EFTA Document EFTA01413261

> 75% Pipeline Opportunity Name cture BPS/Flat Est 2016 Rev Brokerage WANEK TRUST OF 2000 3/31/2016 90 Brokerage (Commissions) 5000000 BPS 5 2500 0 IF(G2="BPS",12*(K2/12),12)=0 IF(G2="BPS",12,0)%00 JTWROS Brokerage Wanek, Karen A. 3/31/2016 90 Brokerage (Commissions) 5000000 BPS 20 10000 Morris 0 IF(G3="BPS",13*(K3/12),13)=0 IF(G3="BPS",13,0)000 Banking Black, Leon D. 3/31/2016 90 Private Wealth Premium Checking 50000000 BPS 40 200000 Morris 0 IF(G4="BPS",14*(K4/12),I4)=0 IF(G4="BPS",I4,0) 0000 Secondary CLOs General Atlantic Family Office 3/31/2016 75 Structured Notes & Deposits (Equity) 5000000 Flat Fee 200000 200000 Morris 0 0 15 0000 Phoenix America Third Lake Capital 12/31/2015 75 Private Equity Funds 15000000 BPS 150 225000 Morris 0 0 16"5000 KCP Black, Leon D. 25000 0 0 3/31/2016 75 17%000 Brokerage (Commissions) 50000000 BPS 5 Additional Deposits Third Lake Capital 3/31/2016 75 DB AG NY Preferred Certifica to of Deposit 50000000 BPS 20 100000 Morris 0 IF(G8="BPS",I8*(KB/12),18)=0 IF(G8="BPS",I8,0)0000 RIN General Atlantic Family Office 3000000 Flat Fee 90000 90000 0000 Brokerage Gratitude America or Select 10000000 BPS 0/121,110)=0 IF(G10="BPS",I10,0) 000 Structured Notes SK Family Office (Equity) 3000000 Flat Fee 45000 Deposits Meister, Todd 3/31/2016 0000 BPS 35 35000 Morris 0 ,I12,0)5000 Additional Banking Southern Financial LLC ing w/Interest 50000000 BPS 20 Loan SK Family Office 3/31/2016 000 BPS 200 100000 Morris 0 ,214,0)0000 DPM The Haze Trust 3/31/2016 75 U.S. IA - Equity 25000000 BPS 35 87500 Morris 0 IF(G15="BPS",I15*(K15/12),I15)=0 IF(G15="BPS", I15,0)‡500 Goldrush Parami Capital Management 3/31/2016 75 U.S. Structured Lending (Sec ured) 90000000 BPS 1235 13365000 Morris 0 IF(G16="BPS",I16*(K16/12),I1 6)=0 IF(G16="BPS",I16,0)365000 ETE Loan Lindemann, Adam M. 12/31/2015 75 U.S. Letter of Credit 37500000 BPS 100 375000 Morris 0 IF(G17="BPS",I17*(K17/12),117)=0 IF(G17="BPS",I17,0)= 375000 KCP/ Private Markets EverWatch Financial 3/31/2016 000 Flat Fee 200000 200000 Oldfield 0 O IF(G18="BPS",I18,0)=0 KCP/ Private Markets ORIX Corporation 3/31/2016 0000 Flat Fee 400000 400000 Oldfield 0 O IF(G19="BPS",I19,0)=0 SUM(F2:F19)B8500000 SUM(12:I19)560000 SUM(L2:L19)i0000 SUM(M2:M19)980000 Customer Name Close Date (%) Product Name Actual Assets Stru Fee Actual Revenue Sales Team Member Estimated Month 44 2015 Est 2015 Rev 3/31/2016 Morris 0 3/31/2016 20 20000 75 Structured Notes & Deposits (Equity) IF(G9="BPS",19*(K9/12),19)000 19=9 75 Brokerage (Asset-Based Fees) - Advis Oldfield 0 IF(G10="BPS",I10*(K1 3/31/2016 75 Structured Notes & Deposits 45000 Morris 0 0 I11E000 75 Private Wealth Premium Money Market 1000 IF(G12="BPS",I12*(K12/12),I12)=0 IF(G12="BPS" 3/31/2016 75 Private Wealth Premium Check 100000 Morris 0 0 I130000 75 U.S. Structured Lending (Secured) 5000 IF(G14="BPS",I14*(K14/12),I14)=0 IF(G14="BPS" 75 5000 IF(G18="BPS",I18*(K18/12),I18) 000 75 1000 IF(G19="BPS",I19*(K19/12),I19)@000 PROT0 Full Pipeline Opportunity Name Customer Name cture BPS/Flat Fee Actual Revenue Brokerage WANEK TRUST OF 2000 5 2500 Paul Morris JTWROS Brokerage Wanek, Karen 3/31/2016 20 10000 Paul Morris Banking Black, Leon D. 3/31/2016 40 200000 Paul Morris Secondary CLOs General Atlantic (Equity) 5000000 Flat Fee Phoenix America Third Lake Capital BPS 150 225000 Paul Morris KCP Black, Leon D. 3/31/2016 25000 Paul Morris Additional Deposits 3/31/2016 75 DB AG NY Preferred Certifica to of Deposit 50000000 BPS 20 100000 Paul Morris Rated Infrastructure Notes General Atlantic Family Office 3/31/2016 75 Structured N otes & Deposits (Equity) 3000000 Flat Fee 90000 90000 Paul Morris Brokerage Gratitude America 3/31/2016 75 Brokerage (Asset-Based Fees) - Advis or Select 10000000 BPS 20 20000 Paul Morris Structured Notes SK Family Office 3/31/2016 75 Structured Notes & Deposits (Equity) 3000000 Flat Fee 45000 Deposits Meister, Todd 3/31/2016 0000 BPS 35 35000 Paul Morris Additional Banking Southern Financial LLC ing w/Interest 50000000 BPS 20 Loan SK Family Office 3/31/2016 000 BPS 200 100000 Paul Morris DPM The Haze Trust 3/31/2016 75 U.S. IA - Equity 87500 Paul Morris Goldrush Parami Capital Management 3/31/2016 ured) 90000000 BPS 1235 13365000 Stewart ETE Loan Lindemann, Adam M. 12/31/2015 75 BPS 100 375000 KCP/ Private Markets 000 Flat Fee KCP Private Markets 0000 Flat Fee Cash Management Elysium 25 125000 Paul Morris Commerical Real Estate Gottesman, Noam 12/31/2015 BPS 200 1000000 Paul Morris CMBS 3/31/2016 50 Fee 30000 30000 Paul Morris Art Lending Black, Leon D. 9/30/2016 50 BPS 100 2500000 Paul Morris KCP Private Markets 3/31/20 0000 BPS 150 225000 Paul Morris Fixed Income 3/31/2016 35 350000 Paul Morris Credit Draw The National Organization of the NAC (Lombard) 10000000 BPS 180 180000 Deposits Hillspire LLC 3/31/2016 50 BPS 20 100000 Stewart Oldfield Consumer RE Lindemann Jr., George 12/31/2015 BPS 100 500000 Stewart Oldfield Unsecured Loan Lindemann Jr., George 12/31/2015 100000000 BPS 200 2000000 Stewart Oldfiel Proxy Hedge Elysium Management 12/31/2015 25 BPS 100 2500000 Paul Morris Aggregator Fund TFMG, LLC 3/31/2016 25 125000 125000 Paul Morris Aggregator Fund Third Lake Capital 3/31/2016 Fee 125000 125000 Paul Morris Deposits Gagosian, Larry 3/31/2016 25 25000000 0 Paul Morris Syntex Southern Financial LLC 12/31/2015 25 0 Paul Morris Structured Credit 0000 BPS 200 Structured Credit BPS 200 1000000 Aggregator Fund Willett Advisors, LLC 3/16/2016 Fee 125000 125000 Stewart Oldfield Cash Management Third Lake Capital 12/31/2015 25 250000 Paul Morris Fixed Income Moody, Erik V 12/31/2015 10 87500 Paul Morris A. Close Date (%) Sales Team Member 3/31/2016 90 Product Name Actual Assets Stru Brokerage (Commissions) 5000000 BPS 90 Brokerage (Commissions) 5000000 BPS 90 Private Wealth Premium Checking 50000000 BPS Family Office 3/31/2016 200000 200000 Paul Morris 12/31/2015 75 75 Brokerage (Commissions) 75 Structured Notes S Deposits 15000000 50000000 BPS 5 Stewart Oldfield EverWatch Financial 3/31/2016 200000 200000 Stewart Oldfield ORIX Corporation 3/31/2016 400000 400000 Stewart Oldfield Management 12/31/2015 50 45000 Paul Morris 75 Private Wealth Premium Money Market 1000 3/31/2016 75 Private Wealth Premium Check 100000 Paul Morris 75 5000 25000000 BPS 35 75 U.S. Structured Lending (Sec Oldfield U.S. Letter of Credit 75 Private Equity 75 Private Equity 37500000 Funds 5000 Funds 1000 U.S. IA - RCM 50000000 BPS 50 Commercial Real Estate 50000000 Commercial Real Estate 20000000 Flat 2500 16 50 1500 50 U.S. IA - Fixed 100000000 BPS 50 U.S. Structured Lending (Unsecured) d 12/31/2015 50 U.S. Secured Lending Paul Morris Private Wealth Premium Checking 50000000 50 Commercial Real Estate 50000000 Derivatives (Equity - Option) 2500 5000000 Flat Fee 25 5000000 Flat Private Wealth Premium Checking w/Interest Brokerage (Commissions) 5000000 Flat Fee Fitzgibbons, John 12/31/2015 1000000 Paul Morris Meister, Todd 3/31/2016 25 Paul Morris 25 U.S. Letter of Credit 5000 U.S. Letter of Credit 50000000 25 5000000 Flat 10 U.S. IA - Fixed 100000000 BPS U.S. IA - Fixed 25000000 BPS 35 PROT1 Banking Moody, Erik 0000 BPS 35 Spurlin, Angela- Rubenstein, Keith- Somerset Partners- SSW 2007 LLC- SSW 2007 LLC 3/31/2016 0000 BPS 40 200000 Paul Morris Retirement Plan Ellin, Howard 9/30/2016 10 U.S. IA - Balanced 6000 Paul Morris Loan Bulloch, Roger 12/31/2015 10 BPS 100 200000 Stewart Oldfield FallLine- FallLine 2/29/2016 10 0 Stewart Bakhshandehpour, Sam- Bakhshandehpour, Sam 2/29/2016 10 Custody and Trading Tisch Financial Management 12/31/2015 BPS 20 600000 Paul Morris Hattrick Sports Group Meister Company LLC 12/31/2015 0 cured) 50000000 BPS 325 1625000 Paul Morris Loan Dorrance Family Foundation 12/31/2015 0 200000000 BPS 100 2000000 Stewart Oldfield Cash management Dorrance Family Foundation 12/31/2015 Market 20000000 BPS 30 60000 Deposits The George Lindemann Family Limited Partnership 12/31/2015 th Premium Money Market 1000000 BPS 35 3500 ETE Brokerage- Series 2 The George Lindemann Family Limited Partnership 12/31/2015 erage (Asset-Based Fees) - Advisor Select 30000000 BPS 20 60000 ield ETE- Brokerage Series 1 The George Lindemann erage (Commissions) 30000000 BPS ETE- Loan Series 1 The George Lindemann Secured Lending (Lombard) 20000000 ETE loan- Series 2 The George Lindemann Secured Lending (Lombard) 20000000 ETE loan- Series 2 The George Lindemann Secured Lending (Lombard) 20000000 Margin Loan DF Enterprises 3/31/2016 BPS 65 Land Loan BPS V 12/31/2015 10 87500 Paul Morris Private Wealth Premium Checking w/Interest 2500 Spurlin, Angela 2/29/2016 10 0 Paul Morris Rubenstein, Keith 2/29/2016 10 0 Paul Morris Somerset Partners 2/29/2016 10 0 Paul Morris 10 Private Wealth Premium Money Market 5000 1000000 BPS 60 20000000 Oldfield 0 0 Onshore Custody 3000 Int'l Structured Lending (Se 0 Family Limited Partnership 20 60000 Stewart Family Limited Partnership BPS 135 270000 Family Limited Partnership BPS 135 270000 Family Limited Partnership BPS 135 270000 0 1625000 Stewart Oldfield DF Enterprises 12/31/2016 0 600 6000000 Stewart Oldfield Private Wealth Premium Money 0 Private Weal 0 Brok Stewart Oldf 3/31/2016 0 Oldfield 3/31/2016 0 3/31/2016 0 3/31/2016 0 Brok U.S. [repeated 3 times] U.S. Secured Lending (Lombard) 250000000 1000 PROT2 Paul 25 Customer Name Last Call Note Customer Number Status Relationship Tier tionship Investable Assets (Est.) Revenue Potential ($M per annum) Last Activity Date Date Contacted Category Notes 3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 Offflifff AVISTA RELATIONSHIP 5/16/2013 00000408824 Active Tier 3 $25 - 50 M f$1$ BLUE MOUNTAIN RELATIONSHIP 00000494553 BOMMER, SCOTT RELATIONSHIP 00000482412 BRONFMAN, EDGAR RELATIONSHIP 00000482491 CAVALRY RELATIONSHIP 00000483810 Active CUMMINGS, IAN RELATIONSHIP 00000481149 (144$ DELL, MICHAEL RELATIONSHIP 1/6/2015 DINAN, JAMIE RELATIONSHIP ERGEN, CHARLES RELATIONSHIP FELDSTEIN, ANDREW RELATIONSHIP f$f$ GAGOSIAN, LARRY RELATIONSHIP GATES FOUNDATION RELATIONSHIP LAFFONT, PHILPPE RELATIONSHIP MANDEL, STEPHEN RELATIONSHIP - 1 M flitifftt MARRON, DONALD B. RELATIONSHIP PINE RIVER CAPITAL RELATIONSHIP SCHAEFER, MARLA RELATIONSHIP SIRIS CAPITAL RELATIONSHIP STREAM REALTY RELATIONSHIP TABLADA, MARO RELATIONSHIP TOMS CAPITAL LLC RELATIONSHIP VIOLA, VINCENT RELATIONSHIP 'Mt WEISS, GEORGE RELATIONSHIP 00000480421 fitf$ YORKTOWN PARTNERS, LLC RELATIONSHIP 00000482458 7/9/2013 00000480417 1/12/2015 00000487611 00000482519 12/20/2012 00000487026 00000495627 00000482432 00000485211 00000495565 00000482398 6/3/2013 00000481140 Active Tier 1 Active Tier 2 *finite Tier 3 $##$#$## Tier 2 $##$$$#$ 4441141#1 Tier 1 $100 - 500 M 00000409133 Active Tier 1 Active Tier 3 00000448035 Active Tier 2 00000416916 Active Tier 2 Active Tier 2 00000409312 Active Tier 3 Active Tier 2 Active Tier 2 Active Tier 3 Active Tier 2 Active Tier 2 00000409286 Active Tier 2 Active Tier 2 00000483947 Active 1111111/ Active Tier 1 $50 - 100 M H Rel. Net Worth Rela Last Modified Date <$0.5 M 414. $250 - 500K $50 - 100 M $0.5 H $50 - 100 m $50 - 100K Active Tier 3 1111111/ 1111111/ Active Tier 1 #104.410 #104114.0 #104114.11 #104114.11 Active Tier 1 $50 - 100 M H H $50 - 100 m H [repeated 6 times] $100 - 250K $50 - 100 m $100 - 250K Tier 3 f$$$$#$$ $0.5 PROT3 Stew 25 Customer Name Last Call Note Customer Number Status Relationship Tier tionship Investable Assets (Est.) Revenue Potential ($M per annum) Last Activity Date Date Contacted Category Notes 54 MADISON PARTNERS RELATIONSHIP 00000520240 Active ANNANDALE CAPITAL RELATIONSHIP 00000499580 Active Tier 2 BBR PARTNERS RELATIONSHIP 11/10/2014 00000480937 H BLUESTEM LLC RELATIONSHIP CARUSO, RICHARD RELATIONSHIP K 9/20/2015 CFM RELATIONSHIP 00000508292 Active COLLIS, CHARLES RELATIONSHIP 00000499562 DORRANCE FAMILY RELATIONSHIP 8/3/2015 - 500 m $25 - 50K 9/20/2015 DUNCAN INVESTMENTS RELATIONSHIP 00000499619 Active Tier 2 FORRESTAL CAPITAL RELATIONSHIP 2/18/2015 00000475431 GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 $250 - 500K 9/20/2015 HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active Tier 2 9/20/2015 KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 9/20/2015 MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 ORIX RELATIONSHIP 00000497520 ROGER BULLOCH RELATIONSHIP 00000514745 Active Tier 2 9/20/2015 SCHMIDT, ERIC RELATIONSHIP 12/4/2014 00000409366 Active Tier 2 /2015 H SHAMROCK RELATIONSHIP 00000508301 Active SLOME, IAN RELATIONSHIP 00000499573 Active SNYDER, DANIEL RELATIONSHIP 00000495876 SONEN CAPITAL RELATIONSHIP 00000507994 SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP - 25 M <$25K 9/20/2015 00000499584 1/6/2015 Active Tier 3 00000411476 Rel. Net Worth Rela Last Modified Date Tier 1 H 9/20/2015 Active Tier 2 <$25K 9/20/2015 9/20/2015 Active Tier 2 $10 - 25 M <$25 Tier 2 9/20/2015 Active Tier 2 9/20/2015 00000409820 Inactive Tier 1 1.5E9 $100 9/20/2015 Active Tier 1 9/20/2015 Inactive Tier 1 $100 - 500 M Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 11/3/2014 00000416313 H >$500 H M <$0.5 M 9/20 H H Active Tier 3 $10 PROT4 Clients Customer Name Last Call Note Customer Number Status Relationship Classification Last d Date Category BLANK, ARTHUR M. RELATIONSHIP 8/3/2015 00000409087 BOIES FAMILY RELATIONSHIP 8/3/2015 00000474263 DZIALGA, KIRSTEN S MARK RELATIONSHIP 00000492969 Active GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP 00000492971 THIRD LAKE CAPITAL RELATIONSHIP 10/1/2014 TISCH FAMILY RELATIONSHIP 7/22/2013 ELLIN, HOWARD RELATIONSHIP 8/3/2015 ELYSIUM MANAGEMENT RELATIONSHIP 00000483288 KLEIN, LISA RELATIONSHIP 12/14/2012 LINDEMANN FAMILY RELATIONSHIP 2/6/2015 SK FAMILY OFFICE RELATIONSHIP 00000481998 SOUTHERN FINANCIAL RELATIONSHIP 00000483290 THE NATIONAL ORGANIZATION OF THE NEW APOSTOLIC 00000499740 00000490359 00000409409 00000474212 Active Tier 2 00000440552 00000427075 Active Tier 1 Active Tier 1 Tier 2 10/19/2015 Active Tier 3 9/20/2015 9/20/2015 Active Tier 3 10/19/2015 Active Tier 3 10/19/2015 9/20/2015 10/19/2015 Modifie H CHURCH OF NORTH AMERICA RELATIONSHIP 8/3/2015 PROT5 Prospects Customer Name Last Call Note Customer Number Status Relationship Classification d Date Category 3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 ANNANDALE CAPITAL RELATIONSHIP 00000499580 Active Tier 2 AVISTA RELATIONSHIP 5/16/2013 00000408824 Active BBR PARTNERS RELATIONSHIP 11/10/2014 00000480937 BLUE MOUNTAIN RELATIONSHIP 00000494553 BLUESTEM LLC RELATIONSHIP 00000499584 BONIER, SCOTT RELATIONSHIP 00000482412 BRONFMAN, EDGAR RELATIONSHIP 00000482491 CARUSO, RICHARD RELATIONSHIP 1/6/2015 CAVALRY RELATIONSHIP 00000483810 Active CFM RELATIONSHIP 00000508292 Active COLLIS, CHARLES RELATIONSHIP 00000499562 CUMMINGS, IAN RELATIONSHIP DELL, MICHAEL RELATIONSHIP DINAN, JAMIE RELATIONSHIP DORRANCE FAMILY RELATIONSHIP H DUNCAN INVESTMENTS RELATIONSHIP ERGEN, CHARLES RELATIONSHIP FELDSTEIN, ANDREW RELATIONSHIP FORRESTAL CAPITAL RELATIONSHIP GAGOSIAN, LARRY RELATIONSHIP GATES FOUNDATION RELATIONSHIP 00000487611 GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 H HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 LAFFONT, PHILPPE RELATIONSHIP 00000482519 Active Tier 2 MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 MANDEL, STEPHEN RELATIONSHIP 12/20/2012 MARRON, DONALD B. RELATIONSHIP 00000487026 ORIX RELATIONSHIP 00000497520 Active PINE RIVER CAPITAL RELATIONSHIP 00000495627 ROGER BULLOCH RELATIONSHIP 00000514745 SCHAEFER, MARLA RELATIONSHIP 00000482432 SCHMIDT, ERIC RELATIONSHIP 12/4/2014 SHAMROCK RELATIONSHIP 00000508301 Active SIRIS CAPITAL RELATIONSHIP 00000485211 SLOME, IAN RELATIONSHIP 00000499573 Active SNYDER, DANIEL RELATIONSHIP 7/3/2015 SONEN CAPITAL RELATIONSHIP 00000507994 SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP /2015 H STREAM REALTY RELATIONSHIP TABLADA, MARO RELATIONSHIP TOMS CAPITAL LLC RELATIONSHIP VIOLA, VINCENT RELATIONSHIP 00000481140 Active Tier 2 WEISS, GEORGE RELATIONSHIP 00000480421 Active Tier 2 YORKTOWN PARTNERS, LLC RELATIONSHIP 00000483947 Active DELUCA, FREDERICK RELATIONSHIP 11/5/2014 00000409192 A 54 MADISON PARTNERS RELATIONSHIP 00000520240 Active Tier 1 10/14/2015 ALAGAPPAN, ARUN RELATIONSHIP 00000482385 AMOROUSO, PAUL RELATIONSHIP 00000482396 Inactive ARCHSTONE MULTIFAMILY PARTNERS AC, LP RELATIONSHIP 11/5/2014 00000469740 Tier 1 9/20/2015 ARDEN ASSET MGMT RELATIONSHIP 00000499582 Active Tier 2 ARROWPOINT PARTNERS RELATIONSHIP 00000493738 Active ASPEN GROVE CAPITAL RELATIONSHIP 00000493757 Active ASTON, SHERRELL RELATIONSHIP 00000482400 Active Tier 2 ATLAS PIPELINE PARTNERS, LP RELATIONSHIP 00000495788 BARRY, MITCHELL RELATIONSHIP 00000482402 Active Tier 2 9/20/2015 BASQUTAT RELATIONSHIP 00000486597 BENEFIT STREET PARTNERS RELATIONSHIP 00000494492 BERTAGNA, ROBERT RELATIONSHIP 00000482406 Inactive BHALLA, AJAY RELATIONSHIP BLACK, LEON D. RELATIONSHIP BLATT, MITCHELL RELATIONSHIP BRACK CAPITAL RELATIONSHIP BRADLEY, THOMAS RELATIONSHIP BRANDIS, STEVE RELATIONSHIP BRESLOW, LEN RELATIONSHIP BRIGHT GROUP RELATIONSHIP BROWN, BATES RELATIONSHIP BRUDERMAN, MATTHEW RELATIONSHIP 00000481149 1/6/2014 00000482458 8/3/2015 00000499619 7/9/2013 00000480417 2/18/2015 1/12/2015 Active Tier 2 Active Tier 3 Active Tier 3 Active Tier 2 00000411476 Active Tier 2 Active Tier 2 9/20/2015 Active Tier 1 00000409133 Active Tier 3 00000409820 Active Tier 2 00000448035 Active Tier 2 00000475431 00000416916 Active Tier 2 00000409312 Active Tier 3 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 00000409366 Active Tier 2 Active Tier 3 9/20/2015 00000495876 Active Tier 2 Active Tier 2 9/20/2015 11/3/2014 00000416313 Last Modifie 9/20/2015 9/20/2015 Tier 3 9/20/2015 9/20/2015 [repeated 6 times] Active Tier 1 9/20/2015 Inactive 9/20/2015 Active Tier 1 9/20/2015 Active Tier 1 Active Tier 3 9/20/2015 Inactive H H 9/20/2015 H H 9/20/2015 H 9/20/2015 9/20/2015 H [repeated 4 times] 9/20/2015 9/20/2015 Active Tier 2 H 9/20/2015 H 00000495565 Active Tier 2 00000482398 Active Tier 2 6/3/2013 00000409286 H 9/20/2015 H 9/20/2015 H Active Tier 3 9/20 00000482389 6/5/2013 00000482408 00000507983 00000482414 00000482416 00000482420 00000499587 00000482426 00000482429 Active Tier 2 00000409101 Active Tier 2 [repeated 4 times] Inactive Active Tier 3 Inactive Inactive 9/20/2015 9/20/2015 Active Tier 1 9/20/2015 9/20/2015 Inactive Tier 1 H H 9/20/2015 H 9/20/2015 H Inactive 9/20/2015 9/20/2015 9/20/2015 Inactive 9/20/2015 [repeated 4 times] 9/20/2015 PROT6 CANDOVER INVESTMENTS RELATIONSHIP 00000483659 Inactive CANTER, STEPHEN RELATIONSHIP 00000481394 Inactive CHOU, SILAS RELATIONSHIP 00000482437 CLINE, MICHAEL RELATIONSHIP 00000482481 Active Tier 2 9/20/2015 COLD SPRING HARBOR LABORATORY RELATIONSHIP 00000481396 COOPER, FRED RELATIONSHIP 00000482464 Active Tier 3 9/20/2015 CORRIGAN, PATTON RELATIONSHIP 00000481136 COX, BERRY RELATIONSHIP 00000495990 Active Tier 3 9/20/2015 CROSS, LISA RELATIONSHIP 00000487462 Active Tier 2 9/20/2015 CV STARR RELATIONSHIP 00000499589 Active Tier 3 9/20/2015 DANIELS, JOSEPH RELATIONSHIP 00000482485 Inactive DENATALE, ROBERT RELATIONSHIP 00000482487 Inactive DOCK STREET CAPITAL RELATIONSHIP 00000520273 Active Tier 1 10/16/2015 DODD, RYAN RELATIONSHIP 00000482489 DONALD BRYANT JR. RELATIONSHIP 6/1/2013 00000469399 ELLMAN, STUART RELATIONSHIP ENCAP INVESTMENTS RELATIONSHIP FINE, LONNIE RELATIONSHIP FITZGIBBONS, JOHN RELATIONSHIP FORD, GERALD J RELATIONSHIP GAIL, COLEMAN RELATIONSHIP SASLOW, LAWRENCE RELATIONSHIP GEMINI REAL ESTATE RELATIONSHI GERSCHEL, PATRICK RELATIONSHIP GLICKMAN, DONALD RELATIONSHIP GLIMCHER, ARNIE RELATIONSHIP GOLDMAN, BUDD RELATIONSHIP GOODWIN, KEIRNAN RELATIONSHIP GRANDWAY ASSET MANAGEMENT, INC /2015 GRANITE GROUP RELATIONSHIP GREENBERG, MAURICE RELATIONSHI HARBOURTON RELATIONSHIP 000004 HARVEY, BERGER RELATIONSHIP HATFIELD, JAY RELATIONSHIP HG CAPITAL RELATIONSHIP 000004 HOLTERBOSCH, HEIDI RELATIONSHI HUDIBURG RELATIONSHIP 000004 HUGHSON, PAUL RELATIONSHIP 00000482515 Inactive HUSAIN, FAZLE RELATIONSHIP 00000482529 Active Tier 2 9/20/2015 HYMAN, ED RELATIONSHIP 00000481404 Active Tier 3 9/20/2015 ILLIG, CLIFF RELATIONSHIP 00000499604 IRONSIDES ASSET MGMT RELATIONSHIP 00000499596 ITAFIN RELATIONSHIP 00000498895 Active JACK NORRIS RELATIONSHIP 3/7/2013 JAIN, NEIL RELATIONSHIP 00000482496 Active JESSELSON CAPITAL RELATIONSHIP 00000489088 JL SQUARED GROUP RELATIONSHIP 00000499598 JSC INTERIORS LLC RELATIONSHIP 00000496076 KALIKOW, PETER RELATIONSHIP 00000178401 Active Tier 2 9/20/2015 KARGMAN, HARRY RELATIONSHIP 00000482503 Inactive KATZ, STEVEN RELATIONSHIP 00000482472 Inactive KEENAN, WILLIAM HOWARD RELATIONSHIP 00000482513 Inactive KELLY, JUDY RELATIONSHIP 00000482527 Inactive KIMMEL, ADAM RELATIONSHIP 00000482533 Active Tier 3 KRISTOFF, MARK RELATIONSHIP 00000482524 Inactive LANGFORD, DAVID RELATIONSHIP 00000482518 Inactive LICHTENSTEIN, WARREN RELATIONSHIP 00000482267 Active LIME ROCK PARTNERS RELATIONSHIP 5/16/2013 00000478453 LORBER, HOWARD RELATIONSHIP 00000520256 Active Tier 3 M20 INCORPORATED RELATIONSHIP 00000499600 Active Tier 2 MARINER CAPITAL RELATIONSHIP 00000499577 Active Tier 3 MATEER, CRAIG RELATIONSHIP 8/19/2015 00000495818 Inactive Tier 2 9/20/2015 MEISTER, TODD RELATIONSHIP 00000482449 Active Tier 2 9/20/2015 MEP INVESTORS LLC RELATIONSHIP 12/14/2012 00000410774 MICHELSON, GARY KARLIN RELATIONSHIP 11/6/2014 00000435204 Inactive Tier 2 9/20 /2015 MILCH, NEAL RELATIONSHIP 00000482476 Active MILTON ACADEMY RELATIONSHIP 00000483494 Active MIVEN LP RELATIONSHIP 11/4/2014 00000418860 MOODY, ERIK RELATIONSHIP 00000514634 Active MURSTEIN, ALVIN RELATIONSHIP 00000481145 Active NAZERIAN, DAVID RELATIONSHIP 00000499575 Active NIR, DAN RELATIONSHIP 00000482454 Active Tier 3 OVERSTROM, GUNNAR RELATIONSHIP 00000482474 Active OXFORD LANE CAPITAL RELATIONSHIP 00000493740 PACKER, MARC RELATIONSHIP 00000481318 Active PARAMI CAPITAL MANAGEMENT RELATIONSHIP 00000498424 PATRIOT STRATEGY PARTNERS RELATIONSHIP 00000484400 00000482462 5/16/2013 00000482493 00000482193 2/18/2015 00000482497 00000482500 P 00000492404 00000481147 00000482505 00000480419 00000482509 00000482456 . 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