EFTA Document EFTA01387512

PEP - William M.E. Simon Sr. During the time period of review of January 2016 - J Peter Simon — accounts and were reviewed. Account Account had 9 outgoing transfers totaling $1,559,621.36 and received 5 transfers totaling $739,621.36. The outgoing transactions were as follows: 5 outgoing wires totaling $1,550,000.00 to client's DB account 4 outgoing transfers totaling $9,621.36 as Transfer From Inc To Prin Same Account Stn Dividend Reinvestment The incoming transactions were as follows: 1 incoming transfer for $730,000 from client's DB account referencing Distribution 4 incoming transfers totaling $9,621.36 Transfer From Inc To Prin Same Account Stn Dividend Reinvestment Account Account had 2 outgoing transfers totaling $174.42 and received 1 transfer for $0.81 as follows: On 1/6/16 for $0.81 as Transfer From Inc To Prin Same Account On 1/6/16 for $0.81 as transfer From Inc To Prin Same Account On 1/22/16 for $173.61 to Neuberger Berman referencing Investment Management Fees (investment manager - http://www.nb.com/pages/public/global/our-firm.aspx) Account : $28,703.77 Account had 15 outgoing transfers totaling $1,266,131.09 and received 12 transfers totaling $2,406,601.58. The incoming transfers were as follows: 3 incoming wires totaling $125,036.57 as follows: o On 1/12/16 for $112,750 from South Street Capital L P referencing Distribution(related) o On 1/29/16 for $12,179 from William E Simon Sons LLC referencing "Guaranteed PYMT -2015 True Upper Memo DTD 01/29/15" (related) o On 1/29/16 for $107.57 from South Street Capital L P referencing Distribution For internal use only Comment [1141]: 2 $01111,2MICTS INCOMING/OUTGOING CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0090314 CONFIDENTIAL SDNY_GM_00236498 EFTA01387512