EFTA Document EFTA01461002

USPB relationships by size tier - size tier in EUR - data in USD Row Labels # % of total Relationships relationships CBV Q1 2015 % total Revenue Q1 CBVs 2015 (USD) % of total Revenue DON BUCHHOLZ 1 0% 0% 17,895 0% SCRIPPS EDWARD 1 0% 0% 1,081 0% BASILE SILVERIO 1 0% 0% 467,621 0% MAGRO JAMES 1 0% 0% 23,189 0% DYNASTY FINANCIAL P 1 0% 0% - 0% MCEVOY NAN T 1 0% 0% 7,517 0% EDWARD R THOMAS 1 0% 0% 2,805 0% MOSKO GARY 1 0% - 0% 94,706 0% EGNA BRAD 1 0% 0% 633 0% NEUMANN GREG 1 0% - 0% 6 0% EINSIDLER F&M 1 0% 0% 1,318 0% PATEL AMIT 1 0% 0% 2,470 0% BERBERIAN ANTRANIG 1 0% 0% 15,000 0% PICKWOAD CHRIS 1 0% 0% 354 0% EVANS VANETTA 1 0% 0% 584 0% RICHARD HUTTING FAM 1 0% 0% 572 0% FELDMAN ROS 1 0% 0% 477 0% ROSENBERG JOSHUA 1 0% 0% (3,563) 0% FINDER FAMILY 1 0% 0% 3,479 0% DENISON CHAR 1 0% 0% 242 0% FOSTER FAMILY 1 0% 0% 1,332 0% LYNNABETH O MAYS TR 1 0% 0% 343 0% + 1 0% 0% 0% MAINSTREET INVESTME 1 0% 0% 40,411 0% GARVEY JOHN K 1 0% 0% 242 0% MASCIOLI ARTHUR 1 0% 0% 17,480 0% GID INVESTMENT 1 0% 0% 90,409 0% MID OAKS INVESTMENT 1 0% 0% 14 0% GINSBURG MAT 1 0% 0% 4 0% CASWELL PAUL 1 0% 0% 672 0% BERRO EDWARD & RITA 1 0% 0% 963 0% CHILD STEVE 1 0% 0% 550 0% GOEDECKE WILLI 1 0% 0% 1,689 0% NA 58 2% 0% 3,842,264 4% GOETZ DIETRICH 1 0% 0% 3 0% AARON BUTLER 1 0% 0% 5,476 0% GOLDMAN RICHARD 1 0% 0% 3 0% PACIFIC HEALTH 1 0% 0% 0 0% BINGHAM JANE 1 0% 0% 1,787 0% DEAN JEFFREY 1 0% 0% 1,293 0% GOODMAN JULES 1 0% 0% 50 0% PERSHING LLC 1 0% 0% 8,050 0% GORDON ANGELO 1 0% 0% 15,718 0% PIERSON STEVEN 1 0% 0% 242 0% GOTTBETTER ADAM S 1 0% 0% 0% RATTRAY TIMOTHY 1 0% 0% 45 0% GRANT HERMAN 1 0% 0% 0 0% RICKMAN MARY 1 0% 0% 4,378 0% GREENE JEFF 1 0% 0% 3,750 0% AXIAT INC 1 0% - 0% 2 0% BLITMAN BARBARA 1 0% 0% 1 0% SCHNEIDER FAMILY 1 0% 0% 3,229 0% BONNIE FAMILY 1 0% 0% 4,238 0% SHEMEL SABAH 1 0% 0% (3,844) 0% 54/57 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0 122785 CONFIDENTIAL SDNY_GM_00268969 EFTA01461002