EFTA Document EFTA01431397

Summary SO Portfolio Summary: As of March 2019 Relationships March 2019 YTD Revenue March 2018 YTD Revenue 2018 Total Revenue March 2019 AUM March 2018 AUM 2018 AUM Summary 1 ADIKESHAVAR 8417.738440000001 936.5488999999999 1554.2577700000002 9950531.14025 1.162075644111E7 4.460708678749E7 Total Relationships: COUNT(A4:A24)! 2 ASHLEY HOLDINGS 434836.53421 0 1284878.30085 8.4220767201612E8 0 1.40368915706803E9 Current YTD Revenue: C2573315.8511700002 3 BOIES FAMILY 2123.1632 2669.3317099999995 9753.466500000002 1.4505112716650002E7 1.382386647127E7 5.665735102879999E7 Prior Year YTD Revenue: D25H7631.4977 4 DEERING/CROSBY 13.92572 4174.597650000001 23531.545060000004 1291.9632 3.143139809216401E8 1.0443246586556699E9 A: P5-P6h5684.3534700002 5 DZIALGA KIRSTEN & M 0 0.11476 0.11476 0 344.32639 344.32639 2018 Revenue: F25576566.7647100003 6 Echelon Investment 0 0 6250.00795 0 [repeated 3 times] 7 ELLIN HOWARD 110.3982 117.88863 363.28467 595863.57968 771400.59602 2794652.8125499994 Revenue Breakdown YTD 8 ELYSIUM MANAGEMENT 1.2000000000000002E-4 1.5000000000000001E-4 5.300000000000001E-4 0.44294 760530.44804 1820691.8190100002 Capital Markets 6218.25344 011/$0$19=0.005299726781837407 9 GENERAL ATLANTIC FA 0 0.00122 0.00245 0 8585113.64731 1.9878922329710003E7 Custody 18556.880540000002 012/$0$19=0.015815758835522054 10 JOCKEY CLUB 24722.624219999998 18075.544330000008 61899.16293000003 1.8745196285241E8 1.7730075530008003E8 6.971169534459103E8 Deposits 726959.3607199998 013/$0$19=0.6195768684068276 11 LINDEMANN JR GEORGE 47861.15021 69.79865 398.67046 3.937875591855E7 3330045.9769100007 1.3858011413800001E7 DPM 4893.342890000001 014/$0$19=0.004170524829371808 12 MCM CAPITAL PARTNER 0 0 476072.39691 0 Fund Solutions 0 015/$0$19=0 13 PARAMI CAPITAL MANA 5538.94089 0 3639.1098899999997 5284161.08181 0 3506067.65535 Partnerships 379000.002 016/$0$19=0.3230161781433969 14 RASHID ALI 5457.73887 7808.11766 37649.897800000006 1.51360094337E7 1.107190264986E7 5.599548367682999E7 Wealth Planning Solutions 0 017/$0$19=0 15 SAFANAD 379000.002 0 [repeated 5 times] Lending 37688.01158 018/$0$19=0.03212094300304433 16 SK FAMILY OFFICE 0 [repeated 4 times] 6566701.547300001 1.892142055942E7 TOTAL SUM(011:018)73315.8511699997 019/$0$19=1 PROT0 17 SOUTHERN FINANCIAL 0 235072.75402000002 703615.7417100001 0 1.8921895497397E8 5.803621984472002E8 18 THE NATIONAL ORGANI 10344.77313 11612.03553 46212.80486 1.0995850287050998E8 1.2153417724572E8 4.6425595961847E8 19 THIRD LAKE CAPITAL 244847.5133700001 197447.47843 896516.35581 4.534213143026801E8 2.610722798805E8 1.3455856958168101E9 20 VOLPE NOEL 0 9647.286059999999 15189.55446 0 1.0418613892049998E7 1.734149149032E7 21 ZUECH CHRIS 10041.348590000001 0 9042.089339999999 769631.2088199999 0 2.7425506617422E8 TOTAL SUM(C4:C24)73315.8511700002 SUM(D4:D24)H7631.4977 SUM(F4:F24)576566.7647100003 SUM(H4:H24)=1.6786608095273201E9 SUM(I4:I24)=1.13038942431817E9 SUM(K4:K24)=6.044971213125981E9 Top 10 Relationships by Revenue March YTD Revenue Rank Relationship Revenue % of Total 1 ASHLEY HOLDINGS 434836.53421 045/$C$25=0.37060484078212386 2 SAFANAD 379000.002 046/$C$25=0.3230161781433968 3 244847.5133700001 047/$C$25=0.20867996722778823 4 47861.15021 048/$C$25=0.04079136079366362 5 JOCKEY CLUB 24722.624219999998 049/$C$25=0.021070732314190793 6 10344.77313 050/$C$25=0.008816699373561228 7 ZUECH CHRIS 10041.348590000001 051/$C$25=0.008558095060240623 8 ADIKESHAVAR 8417.738440000001 052/$C$25=0.007174315791954954 9 5538.94089 053/$C$25=0.004720758595800706 10 RASHID ALI 5457.73887 054/$C$25=0.004651551297596196 TOTAL Top 10 Revenues SUM(045:054)71068.3639300002 055/$C$25=0.9980844993803171 Top 10 Relationships by AUM March YTD AUM Rank Relationship Revenue % of Total 1 ASHLEY HOLDINGS 8.4220767201612E8 062/$H$25=0.5017140253922233 2 4.534213143026801E8 063/$H$25=0.27010895335690543 3 JOCKEY CLUB 1.8745196285241E8 064/$H$25=0.11166756368440686 4 1.0995850287050998E8 065/$H$25=0.06550370524315288 5 3.937875591855E7 066/$H$25=0.02345843525687499 6 RASHID ALI 1.51360094337E7 067/$H$25=0.009016716985227064 PROT1 7 BOIES FAMILY 1.4505112716650002E7 068/$H$25=0.008640883634338478 8 ADIKESHAVAR 9950531.14025 069/$H$25=0.005927660361030222 9 5284161.08181 070/$H$25=0.0031478432401706707 10 ZUECH CHRIS 769631.2088199999 071/$H$25=4.584792856614755E-4 TOTAL Top 10 AUM SUM(062:071)=1.6780636535415E9 072/$H$25=0.9996442664399914 Chart 3 Revenue Breakdown YTD PROT2 Lending Summary Lending (5/16/2019) Relationship Deal Name Facility Outstanding LIBOR Sprd Prime Spread Unutilized Fee LC Fee Facility Effective Maturity Date Product Name Structured N/A Strcutured Sub-Total SUM(C5:C6)=0 SUM(D5:D6)=0 Relationship Deal Name Facility Outstanding Current Rate Next Pmt Change ARM Margin I/O End Date Maturity Date Product Name Residential Funding Date Lindemann Jr, George L Coal Creek Farm, LC 9900000 9900000 0.04625 8/1/19 0.0175 2/1/20 12/11/09 1/1/40 6 Mo ARM Lindemann, Adam Adam Lindemann 14000000 14000000 0.0434 6/1/28 0.0175 4/1/25 1/29/10 2/1/40 10/1 ARM Lindemann, Adam 508 West 25th Street, LLC 4000000 4000000 0.04375 11/1/19 0.0175 5/1/20 3/19/10 4/1/25 6 Mo ARM Residential Sub-Total SUM(C10:C12)'900000 SUM(D10:D12)'900000 Grand Total C7+C13'900000 D7+D13'900000 PROT3 Lending Breakdown Lending Revenue Summary Current YTD Revenue: 37688.01158 Prior Year YTD Revenue: 2902.9761900000003 A: F2-F34785.03539 2018 Revenue: 6844.99739 Lending Top Revenue Relationships Structured Lending Residential Mortgage Lending Lombard Lending Total 2018 Relationship Revenue Relationship Revenue N/A 37674.08586 DEERING/- CROSBY -2588.635269999999 Grand Total Grand Total SUM(E11)7674.08586 Grand Total SUM(H11)=-2588.635269999999 2019 YTD (through March) 2019 YTD (through March) 2019 YTD (through March) Relationship Revenue N/A VOLPE NOEL 9433.63266 DEERING/CROSBY 13.92572 Grand Total Grand Total SUM(E17)”33.63266 Grand Total SUM(H17).92572 PROT4 Deposits Breakdown Deposits Revenue Summary 726959.3607200001 Prior Year YTD Revenue: 454493.5242000001 A: G2-G3'2465.83652 2018 Revenue: 2969672.37491 Deposits Top Revenue Relationships YTD 2019 (Through March) YTD 2018 (Through March) Total 2018 Relationship Revenue % of Total Deposits Relationship Revenue % of Total Deposits Relationship Revenue % of Total Deposits ASHLEY HOLDINGS 434836.53421 B10/$G$2=0.5981579682519339 SOUTHERN FINANCIAL 235072.75402000002 F10/$G$3=0.5172191494560352 ASHLEY HOLDINGS 1284878.30085 J10/$G$5=0.4326666846166625 244847.5133700001 B11/$G$2=0.3368104554393474 197447.47843000002 F11/$G$3=0.43443408523267135 THIRD LAKE CAPITAL 896516.3558100001 J11/$G$5=0.3018906608636147 JOCKEY CLUB 24122.0187 B12/$G$2=0.03318207317133781 JOCKEY CLUB 18075.544330000008 F12/$G$3=0.0397707412043254 SOUTHERN FINANCIAL 703540.2360800001 J12/$G$5=0.2369083680826313 10187.064349999999 B13/$G$2=0.014013251497181982 RASHID ALI 1924.4903599999998 F13/$G$3=0.004234362554202482 JOCKEY CLUB 60679.67422000003 J13/$G$5=0.02043312074849301 5538.94089 B14/$G$2=0.007619326731709024 VOLPE NOEL 984.81478 F14/$G$3=0.0021668400704574877 RASHID ALI 14571.12451 J14/$G$5=0.004906643787748337 ADIKESHAVAR 3316.84371 B15/$G$2=0.0045626260410415636 THE NATIONAL ORGANI 866.66295 F15/$G$3=0.001906876344444073 PARAMI CAPITAL MANA 3639.1098899999997 J15/$G$5=0.0012254247036629043 RASHID ALI 2797.9569699999997 B16/$G$2=0.0038488492220924535 69.79865 F16/$G$3=1.5357457539765752E-4 3586.78173 J16/$G$5=0.0012078038507896693 1312.48799 B17/$G$2=0.0018054489162916572 ADIKESHAVAR 51.86414 F17/$G$3=1.1411414517135597E-4 VOLPE NOEL 1753.83645 J17/$G$5=5.905824712576762E-4 BOIES FAMILY 4.0999999999999994E-4 B18/$G$2=5.639930127509809E-10 DZIALGA KIRSTEN & M 0.11476 F18/$G$3=2.525008474037131E-7 LINDEMANN JR GEORGE 398.67046 J18/$G$5=1.3424728713115443E-4 1.2000000000000002E-4 B19/$G$2=1.6507112568321396E-10 GENERAL ATLANTIC FA 0.00122 F19/$G$3=2.684306673340275E-9 ADIKESHAVAR 108.16556 J19/$G$5=3.642339839029486E-5 Grand Total SUM(B10:619)r6959.3607200002 B20/$G$2=1.0000000000000002 Grand Total SUM(F10:F19)E4493.5236400001 F20/$G$3=0.9999999987678592 Grand Total SUM(J10:319))69672.25556 J20/$G$5=0.9999999598103815 PROT5 Investments Breakdown DPM Revenue Summary Revenue Summary Prior Year YTD Revenue: 0 Prior Year YTD Revenue: 11019.63949 A: C2-C3=-7149.344829999998 A: N3=-4801.386049999999 2018 Revenue: 43676.486789999995 2018 Revenue: 0 Revenue: 29702.01987 DPM Top Revenue Relationships YTD 2019 (through March) YTD 2018 (through March) Relationship Revenue AUM Relationship Revenue AUM Relationship Revenue AUM RASHID ALI 2659.7819 1.51360094337E7 RASHID ALI 4008.63275 1.107190264986E7 DEERING/CROSBY 17478.83889 1.0443246586556699E9 BOIES FAMILY 2123.1627899999994 1.4505112716650002E7 DEERING/ CROSBY 2831.09932 3.143139809216401E8 RASHID ALI 12578.78251 5.599548367682999E7 ELLIN HOWARD 110.3982 595863.57968 BOIES FAMILY 2669.3313 1.382386647127E7 BOIES FAMILY 9616.78004 5.665735102879999E7 VOLPE NOEL 2415.7357199999997 1.0418613892049998E7 VOLPE NOEL 4002.0853500000003 1.734149149032E7 Grand Total SUM(B11:613)H93.342889999999 SUM(C11:C13)=3.0236985730030004E7 Grand Total 12042.687719999998 SUM(G11:G14)=3.496283639348202E8 Grand Total SUM(J11:J14)C676.486789999995 SUM(K11:K14)=1.17431898485162E9 Wealth Planning Top Revenue Relationships YTD 2019 (through March) YTD 2018 (through March) Total 2018 Relationship Revenue N/A Grand Total Capital Markets Top Revenue Relationships YTD 2019 (through March) YTD 2018 (through March) Total 2018 Relationship Revenue ADIKESHAVAR 5100.89473 DEERING/CROSBY 6706.96136 DEERING/- CROSBY 11217.39647 JOCKEY CLUB 600.60552 1928.00173 RASHID ALI 10499.99078 516.75319 RASHID ALI 1874.99455 5759.20838 ADIKESHAVAR 509.68185 JOCKEY CLUB 1219.48871 ADIKESHAVAR 1005.9355300000001 Grand Total SUM(B30:B32)b18.25344 Grand Total SUM(F30:F33)019.639490000001 Grand Total SUM(J30:J34))702.01987 Wealth Planning Revenue Summary Capital Markets 4893.34289 0 6218.25344 12042.687719999998 Prior Year YTD Revenue: I2-I3=0 A: N2- 2018 Total 2018 PROT6 Revenue Pivot Investment Platform Name (All) YearMonth (Multiple Items) Sum of USD Column Labels Row Labels Lending Lombard Lending Mortgages Grand Total DEERING/CROSBY -3343.7593699999998 -3343.7593699999998 VOLPE NOEL 6246.73556 6246.73556 Grand Total -3343.7593699999998 6246.73556 2902.9761900000003 PROT7 AUM Pivot Investment Platform Name (All) YearMonth (Multiple Items) Row Labels Sum of USD ADIKESHAVAR 4.460708678749E7 ASHLEY HOLDINGS 1.40368915706803E9 BOIES FAMILY 5.665735102879999E7 DEERING/CROSBY 1.0443246586556699E9 DZIALGA KIRSTEN & M 344.32639 ELLIN HOWARD 2794652.8125499994 1820691.8190100002 1.9878922329710003E7 JOCKEY CLUB 6.971169534459103E8 1.3858011413800001E7 3506067.65535 RASHID ALI 5.599548367682999E7 SK FAMILY OFFICE 1.892142055942E7 5.803621984472002E8 4.6425595961847E8 1.3455856958168101E9 VOLPE NOEL 1.734149149032E7 ZUECH CHRIS 2.7425506617422E8 Grand Total 6.044971213125981E9 PROT8 Revenue Data 1.CRM YearMonth Investment Platform Name UBR description Name Level relationship reference* client reference* Categorie EUR USD Stewart Oldfield Interest Revenues CAPITAL CRW 2009 LLC THE JOCKEY CLUB PAC Deposit Interest Revenues THE JOCKEY CLUB Revenues 1442.21 1760.00098 201802 Deposits Deposits TJC MEDIA VENTURES INC. Revenues 11.47 13.99741 201803 Deposits Deposits BLOOD-HORSE LLC Revenues 564.32 694.00074 Deposits THE JOCKEY CLUB FOUNDATION Revenues 239.06 Deposits EQUIBASE COMPANY Revenues 691.98 850.997 201804 Deposits Deposits INCOMPASS SOLUTIONSINC. Revenues 44.73 54.00029 Deposits FINANCIAL SOUTHERN TRUST COMPANY INC. Revenues 65.42088 Deposits ALI RASHID Revenues 49.70 60.00033 Deposits 492.86 595.00524 201805 Deposits Deposits NOEL VOLPE Revenues 213.97 249.43553 Deposits CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. WAGNER Revenues 401.55424 Deposits 508.69 593.00537 Deposits CAPITAL SHARI WAGNER 2015 GRAT FOR MARA WAGNER Revenues 201801 Deposits Deposits Revenues 20.10 24.99938 Deposits Revenues 69.95 87.00031 Deposits Deposit THIRD LAKE JOCKEY [repeated 4 times] Deposit JOCKEY CLUB 293.99599 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit SOUTHERN 54.19 344.46 Deposit JOCKEY CLUB Deposit THIRD LAKE 344.46 Deposit JOCKEY CLUB Deposit CLUB Deposit CLUB Deposit CLUB Deposit CLUB Deposit RASHID ALI Deposit VOLPE NOEL Deposit THIRD LAKE PROT9 401.55424 TJC HOLDINGS, INC Deposits CAPITAL SHARI WAGNER 2012 IRREVOCABLE TRUST Revenues 313.00388 201806 Deposits Deposits 528.86 616.99452 Deposits 1377.45 1607.00205 Deposits Revenues 15.43 18.00141 201807 Deposits Deposits 360.78 422.00437 201809 Deposits Deposits COALITION FOR HORSE RACING INTEGRITY, IN Revenues TJC MEDIA VENTURES INC. CAPITAL TRAVIS WAGNER 201811 Deposits Deposits CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M FOX Revenues 61.20183 201812 Deposits Deposits FINANCIAL Revenues 75.22311 Deposits CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR CAI Revenues 58.76376 Deposits Deposit JOCKEY CLUB Revenues 8.58 10.00214 201810 Deposits Deposit Interest Revenues Revenues Revenues Revenues Deposit THIRD LAKE 268.50 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit THIRD LAKE Deposits Revenues JOCKEY 820.71 929.00268 Deposits Deposit Revenues JOCKEY CLUB 10.60 11.99814 Deposits Deposit Revenues JOCKEY CLUB 38.87 43.99695 Deposits Deposit Revenues THIRD LAKE 170.65 193.15874 Deposit JOCKEY CLUB Deposit JOCKEY CLUB 6.02 6.99614 Deposit CLUB Deposit THIRD LAKE 54.07 Deposit SOUTHERN 65.72 Deposit THIRD LAKE 51.34 Deposits Deposit JOCKEY CLUB Revenues 74.26 84.998 Deposits Deposit PROT10 THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR GABRIEL Revenues 246.79 282.47584 201901 Deposit 201901 Deposits CAPITAL TODD R WANEK 2015 GRAT TRUST FOR 40.67686 CAPITAL CAITLIN A. CAPITAL THIRD LAKE TJC MEDIA VENTURES Deposits Deposits Deposit JOCKEY CLUB 652.62 748.00041 201901 Deposit FORSYTHE 201901 PARTNERS, LLC 201902 Deposits INC. Revenues CAPITAL SHARI WAGNER 2012 IRREVOCABLE TRU 109.99532 CAPITAL LAURA A FORSYTHE REVOCABLE TRUST 10.99839 GEORGE SAN MARCO HOLDINGS, LLC Revenues 201903 Deposits GEORGE SAN MARCO HOLDINGS, LLC Revenues GEORGE SABAL CLUB HOLDINGS, LLC Revenues Revenues CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR Deposits Interest Revenues Deposits Deposits Revenues 13.09 15.0031 Deposits Revenues CAMERON Revenues Deposits Revenues 4.36 Deposits Revenues Revenues Deposits Revenues 45.67 51.99758 Deposits Revenues ST Revenues Deposits Revenues Revenues Deposits Revenues 0.88 Deposits Revenues 355.39 Deposits Revenues Revenues Deposits Revenues 5.35 6.00538 Deposits Revenues 142.54 160.0011 Deposits Revenues 12.47 13.99758 Deposits Revenues FOR CAI Revenues Deposit JOCKEY CLUB Deposit THIRD LAKE 35.49 Deposit THIRD LAKE 4.99721 Deposit THIRD LAKE 463.05 530.72476 Deposit JOCKEY CLUB Deposit THIRD LAKE 96.61 Deposit THIRD LAKE 9.66 Deposit LINDEMANN JR 1.00192 Deposit LINDEMANN JR 398.92528 Deposit LINDEMANN JR 218.26 244.99685 Deposit JOCKEY CLUB Deposit THIRD LAKE 5 Deposit JOCKEY CLUB Deposit THIRD LAKE 0.09 PROT11 0.10103 201803 Capital Markets Capital Markets Transaction Revenues from Equity Options Transaction Revenues from Equity Options/Listed THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 1305.09 1604.99968 201806 Capital Markets Capital Markets Equities Transaction Revenues Equities Transaction Revenues THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 128.57 149.99619 201810 Capital Markets Capital Markets Equities DEERING/CROSBY HEATHER CROSBY Revenues 234.11 265.00081 201901 Capital Markets Capital Markets Equities THE NATIONAL ORGANI THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 429.52 492.29435 201804 Other Products Funds Solutions Mutual Funds/Equities Transaction Revenues Mutual Funds/Equities Transaction Revenues external DEERING/CROSBY 2016 MAYSON-DEERING FAMILY TRUST Revenues 82.83 99.99652 201806 Other Products THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 678.23 791.25703 201808 Other Products DEERING/CROSBY THE SANDRA E.C. DEERING 2018 IRREVOCABLE Revenues 438.71 510.00038 201810 Other Products DEERING/CROSBY ACE LIMITED PARTNERSHIP LLLP Revenues 88.34 99.99646 201810 Other Products DEERING/CROSBY 2016 MAYSON-DEERING FAMILY TRUST Revenues 176.69 200.00425 201808 DPM DPM Mutual Funds/Money Market Non-Transaction Revenues Mutual Funds/Money Market Non-Transaction Revenues internal DEERING/CROSBY THE CHARLESMEAD FOUNDATION INC. Revenues 1.78 2.06925 201811 Other Products Funds/Money Market Non-Transaction Revenues Non-Transaction Revenues internal DEERING/CROSBY SPENCER DEERING Revenues -0.31 -0.35089 201902 DPM DPM RASHID ALI ALI RASHID Revenues 0.04 0.04554 201903 DPM DPM RASHID ALI ALI RASHID Revenues PROT12 3.69 4.14203 201803 Mutual internal VOLPE NOEL 2.57028 201811 Mutual internal RASHID ALI 2.3204 201802 Revenues Management/ Flat RASHID Revenues 831.69 201805 Revenues CHARLESMEAD FOUNDATION INC. 201808 Revenues 201809 Fee Revenues DEERING Revenues -131.02 201810 Revenues 847.16 201810 Revenues CROSBY Revenues 736.19 201811 Revenues 201802 externally booked assets Revenues from externally booked assets DEERING/CROSBY HEATHER CROSBY Revenues -1655.02 -2019.70366 201811 Partnerships Partnerships Partnership Revenues MCM CAPITAL PARTNER MCM CAPITAL PARTNERS Revenues 36622.67 41453.20017 201901 DPM DPM Private Equity Fund Non- Private Equity Fund Non-Transaction Revenues/- internal BOIES FAMILY CHRISTOPHER BOIES Revenues 22.16 25.39868 201802 Income Transaction Revenues RASHID ALI ALI RASHID 201806 RASHID ALI ALI RASHID 201803 Loans - VOLPE NOEL NOEL VOLPE 201801 DPM DPM Funds Other Non NOEL VOLPE DPM DPM Funds Other Non ALI RASHID DPM DPM Fee Revenues 1014.95289 DPM DPM Fee Revenues Revenues DPM DPM Fee Revenues Revenues Other Products Fee Revenues -152.26489 DPM DPM Fee Revenues 958.94276 DPM DPM Fee Revenues 833.33027 DPM DPM Fee Revenues Revenues Other Products Mutual Funds Other Non - -Transaction Revenues/- Revenues 2.09 -Transaction Revenues/- Revenues 2.05 Management/ Flat Fee RASHID ALI ALI DEERING/CROSBY THE 714.84 833.32473 DEERING/CROSBY THE 716.84 833.3265 Other DEERING/CROSBY SPENCER RASHID ALI ALI DEERING/CROSBY HEATHER DEERING/CROSBY THE 1374.28 1555.54753 Other Revenues from Capital Markets Capital Markets Fixed Fixed Income Transaction Revenues Revenues 1536.44 1874.99455 Revenues 1285.73 1499.9969 Lending Lending Mortgages Loans Mortgages private - Interest Revenues Revenues 1429.99 1758.6017 Lending Lending Lombard Loans Interest Revenues Loans (Margin Lending / Lombard) Interest Revenues PROT13 DEERING/CROSBY KATHRYN DEERING Revenues 1141.45 1419.67844 201808 Lending Lending Lombard Loans Interest (Margin Lending / Lombard) Interest Revenues M DEERING Revenues 558.27 648.98888 201806 DPM DPM Non-Transaction Revenues from Hedge Funds/- FAMILY Revenues Revenues Loans DEERING/CROSBY MARON from Hedge Funds external BOIES 558.04 651.03737 external BOIES 619.06 700.71401 201801 NTLP - Deposit JOCKEY CLUB 2.54597 3.16655 201801 NTLP - Deposit JOCKEY CLUB 453.51205 564.05561 NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit 2.13094 2.60049 NTLP - Deposit 4.0E-5 5.0E-5 NTLP - Deposit Revenues NTLP - Deposit 73.09788 NTLP - Deposit 201811 DPM DPM FAMILY Revenues Deposits Deposits NTLP Deposits Deposits NTLP Deposits NTLP 2451.04166 3048.48306 Deposits NTLP JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN 0.02548 0.03109 Deposits NTLP JOCKEY CLUB Revenues Deposits NTLP LEON D. BLACK Revenues Deposits KATI FORSYTHE 2014 0.02731 0.03333 201803 JOCKEY CLUB 89.89577 201803 JOCKEY CLUB NTLP GRAT Deposits Deposits NTLP Revenues Deposits Deposits NTLP Revenues 0.02529 0.0311 Deposits NTLP NTLP - Deposit JOCKEY CLUB 663.55293 816.0374 Deposits NTLP NTLP - Deposit JOCKEY CLUB Revenues 67.81118 83.39419 Deposits NTLP NTLP - Deposit Revenues NTLP - Deposit 116.00752 THE 2017 CATERPILLAR TRUST 6102.15578 7504.43118 Deposits NTLP VOLPE NOEL NOEL VOLPE Revenues 94.3304 PROT14 NTLP - Deposit 52182.80126 NTLP - Deposit Revenues NTLP - Deposit 133.74359 NTLP - Deposit 0.02761 0.03333 NTLP - Deposit 4.0E-5 5.0E-5 NTLP - Deposit NTLP - Deposit 2.15407 2.6005 NTLP - Deposit LIMITED PART NTLP - Deposit NTLP - Deposit 11.20228 NTLP - Deposit 7.69554 8.97108 NTLP - Deposit TRUST Revenues NTLP - Deposit WAGNER Revenues NTLP - Deposit 0.02863 0.0334 NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit GABRIEL Revenues NTLP - Deposit Deposits NTLP Revenues 43224.51956 Deposits NTLP SHARI WAGNER 2014 GRAT Deposits NTLP JOCKEY CLUB 161.46195 Deposits NTLP KWF 2007 LLC Revenues Deposits NTLP LEON D. BLACK Revenues Deposits NTLP RASHID ALI Revenues 828.32885 1000 Deposits NTLP JOCKEY CLUB Revenues Deposits NTLP THE GEORGE LINDEMANN FAMILY Revenues 27.53459 32.09845 Deposits NTLP 39.87163 46.48035 Deposits NTLP JOCKEY CLUB THE GRAYSON JOCKEY CLUB Revenues 13.05906 Deposits NTLP CRW 2009 LLC Revenues THIRD Deposits NTLP LAKE CAPITAL LAURA A FORSYTHE REVOCABLE 0.02859 0.03333 Deposits NTLP LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR MARA 107.22711 125 Deposits NTLP LAKE CAPITAL GEW 2007 LLC Revenues Deposits NTLP SOUTHERN FINANCIAL LLC 228.70188 266.81505 Deposits NTLP RASHID ALI Revenues 854.92007 1000.00001 Deposits NTLP TODD R WANEK 2015 GRAT TRUST FOR 213.73002 250 201808 Deposits Deposits NTLP BOIES FAMILY Revenues PROT15 1.1E-4 1.3E-4 NTLP - Deposit Revenues NTLP - Deposit 0.0287 0.03336 NTLP - Deposit NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit FOR STE Revenues NTLP - Deposit 24.04529 NTLP - Deposit 14.16969 NTLP - Deposit NTLP - Deposit NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit 0.02868 0.03333 NTLP - Deposit NTLP - Deposit 1.2E-4 1.4E-4 NTLP - Deposit 0.03365 0.03809 NTLP - Deposit LIMITED PART Deposits NTLP JOCKEY CLUB 73.5115 85.45712 Deposits NTLP CRW 2007 LLC Revenues Deposits NTLP 107.52688 125 Deposits NTLP ASHLEY HOLDINGS Revenues 75781.27722 88095.73477 Deposits NTLP 230.2181 267.62854 Deposits NTLP KATI WANEK-FORSYTHE 2015 GRAT TR 107.52688 125 Deposits NTLP JOCKEY CLUB 27.94423 Deposits NTLP JOCKEY CLUB 16.46731 Deposits NTLP 27.63808 32.11959 Deposits NTLP 107.55927 125.00001 Deposits NTLP SHARI WAGNER 2015 GRAT FOR MARA 107.55927 125.00001 Deposits NTLP JOCKEY CLUB 0.05444 0.06327 Deposits NTLP TODD R. WANEK Revenues 201810 RASHID ALI 201810 BOIES FAMILY Deposits Deposits NTLP Revenues 662.57344 750.00001 Deposits Deposits NTLP Revenues Deposits NTLP CRW 2009 LLC Revenues Deposits NTLP Revenues 34.24944 38.76865 Deposits NTLP PROT16 NTLP - Deposit Revenues NTLP - Deposit 3409.8023 NTLP - Deposit Revenues NTLP - Deposit 0.02948 0.03336 NTLP - Deposit Revenues NTLP - Deposit 0.02945 0.03333 NTLP - Deposit 2.29746 2.60049 NTLP - Deposit NTLP - Deposit 0.02912 0.03333 NTLP - Deposit Revenues NTLP - Deposit 0.02915 0.03336 NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit 2.27197 2.6005 NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit 0.02914 0.0334 KATI FORSYTHE 2014 GRAT 0.02945 0.03333 Deposits NTLP THE HAZE TRUST Revenues 3859.55522 Deposits NTLP KATI WANEK-FORSYTHE 0.02945 0.03333 Deposits NTLP CRW 2007 LLC Revenues Deposits NTLP JOCKEY CLUB 8.32219 9.41989 Deposits NTLP STEVEN FORSYTHE Revenues Deposits NTLP JOCKEY CLUB Revenues Deposits NTLP 219.95121 251.75615 Deposits NTLP TODD R. WANEK Revenues Deposits NTLP JOCKEY CLUB AXCIS INFORMATION NETWORK INC. 62.00506 70.97099 Deposits NTLP CRW 2007 LLC Revenues Deposits NTLP SHARI WAGNER 2015 GRAT TRAVIS T. 219.95121 251.75615 Deposits NTLP JOCKEY CLUB 1.58308 1.81199 Deposits NTLP JOCKEY CLUB Revenues Deposits NTLP KEYHOLE PARTNERS, LLC 153.23917 175.39755 Deposits NTLP 45.30158 51.85219 Deposits NTLP GEW 2007 LLC Revenues Deposits NTLP PROT17 NTLP - Deposit NTLP - Deposit 10.80291 NTLP - Deposit Revenues NTLP - Deposit 2.2689 2.6005 NTLP - Deposit NTLP - Deposit NTLP - Deposit SUMMER COVE HOLDINGS, LLC Revenues 2.23442 2.544 Deposits NTLP NTLP - Deposit SHARI WAGNER Revenues 362.44931 412.66666 Deposits NTLP NTLP - Deposit LIMITED PART Revenues 45.71825 52.05251 Deposits NTLP NTLP - Deposit KWF 2007 LLC Revenues 0.02928 0.03334 Deposits NTLP NTLP - Deposit Revenues 0.0297 0.03334 Deposits NTLP NTLP - Deposit KATI WANEK- FORSYTHE 2012 IRR TRUST Revenues 255.38233 286.66667 Deposits NTLP NTLP - Deposit KEYHOLE PARTNERS, LLC Revenues 379.94325 426.4863 Deposits NTLP NTLP - Deposit LIMITED PART Revenues 46.38732 52.06977 Deposits NTLP NTLP - Deposit JOCKEY CLUB 11.73326 13.17058 Deposits NTLP NTLP - Deposit SUMMER COVE HOLDINGS, LLC Revenues 153.87166 172.72094 Deposits Deposit JOCKEY CLUB Revenues 8.04 9.99975 Deposits Deposit SOUTHERN FINANCIAL THE HAZE TRUST Revenues 34167.32 42495.60425 439.76454 504.03613 Deposits NTLP JOCKEY CLUB 12.38176 Deposits NTLP JOCKEY CLUB 69.90678 80.12366 Deposits NTLP JOCKEY CLUB Revenues RASHID ALI Revenues Deposits NTLP 76876.00766 88111.43618 Deposits NTLP 791.63213 907.32917 Deposits NTLP PROT18 CAPITAL Revenues CAPITAL GEW 2009 LLC Deposit ALI RASHID Revenues 201805 Deposit CAPITAL KATI WANEK-FORSYTHE 2015 401.55424 201805 Deposit CAPITAL KATI WANEK-FORSYTHE 201805 Deposit 201805 Deposit CAPITAL SHARI WAGNER 2015 GRAT F 401.55424 FINANCIAL THE 2017 7966.0664 FINANCIAL SOUTHERN CAPITAL STEVEN FORSYTHE FINANCIAL THE HAZE 201802 Deposit Revenues 201803 Deposit 46882.15 201803 Deposit Revenues 201803 0 Deposits Interest Deposits Interest Deposits Interest Deposits Interest 117.09 Deposits Interest GRAT TR Deposits Interest Revenues Deposits Interest Revenues Deposits Interest R LEAH M Deposits Deposit Revenues JOCKEY CLUB 1074.28 1310.9976 Deposits Deposit Revenues THIRD LAKE 57655.66806 Deposits Deposit Revenues THIRD LAKE 24.39 29.99482 Deposits Deposit Revenues RASHID ALI 143.99728 Deposits Deposit Revenues THIRD LAKE 344.46 Deposits Revenues 536.99 Deposits Revenues 270.21 Deposits Revenues FOX Revenues Deposits 5438.09 6344.34771 Deposits Revenues 14.53 16.99574 Deposits CATERPILLAR TRUST Revenues Deposits FINANCIAL LLC Revenues Deposits 5073.73 5898.21118 Deposits Revenues 12.04 13.9965 Deposits Revenues 78.1 90.79125 Deposits TRUST Revenues 20070.38 Deposit THIRD LAKE 625.99609 Deposit JOCKEY CLUB 314.99731 Deposit THIRD LAKE 344.46 Deposit THIRD LAKE Deposit THIRD LAKE Deposit SOUTHERN 6810.35 Deposit SOUTHERN 269.06 314.71948 Deposit THIRD LAKE Deposit THIRD LAKE Deposit THIRD LAKE Deposit SOUTHERN 23331.81675 PROT19 CAPITAL LAURA A FORSYTHE 27.99619 Revenues 277.93 322.9963 Deposits FINANCIAL Revenues 62.94204 Deposits Revenues 1.1 1.24515 Deposits ALI RASHID Revenues 678.48 768.00544 Deposits 1459.49 1651.99674 Deposits CAPITAL SHARI WAGNER 2015 GRAT FOR MARA WAGNER Revenues 61.20183 Deposits CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR CAI Revenues 61.20183 Deposits 61.20183 Deposits CAPITAL TODD R WANEK 2015 GRAT TRUST FOR CAMERON Revenues 203.25807 Deposits CAPITAL KEYHOLE PARTNERS, LLC Revenues 95.69 Deposits CAPITAL SHARI WAGNER 2015 GRAT FOR MARA WAGNER Revenues 203.25807 Deposits FINANCIAL Revenues 9887.3295 Deposits Deposits REVOCABLE TRUST Revenues Deposits 7154.80 8314.95085 Deposits Deposit THIRD LAKE 24.09 Deposit THIRD LAKE Deposit JOCKEY CLUB 5 Deposit SOUTHERN 54.16 Deposit ASHLEY HOLDINGS Deposit RASHID ALI Deposit JOCKEY CLUB Deposit THIRD LAKE 54.07 Deposit THIRD LAKE 54.07 Deposit THIRD LAKE 54.07 Deposit THIRD LAKE 177.58 Deposit THIRD LAKE 109.52677 Deposit THIRD LAKE 177.58 Deposit SOUTHERN 8638.24 Deposit PROT20 THIRD LAKE CAPITAL STEVEN FORSYTHE Revenues 4.36 4.99721 Deposits Deposit RASHID ALI ALI RASHID Revenues 23.56 27.00329 CAPITAL SHARI WAGNER 2015 GRAT TRAVIS T. 40.67686 CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR 0.13754 Deposits Deposit JOCKEY CLUB Revenues 334.64 381.00437 Deposits Deposit THIRD LAKE 34.23 38.97257 Deposits Deposit THIRD LAKE CAPITAL CAITLIN A. FORSYTHE Revenues 9.66 10.99839 Deposits Deposit JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN Revenues 10.54 12.00032 Deposits Deposit LINDEMANN JR GEORGE ADDISON AT MILLENIA HOLDINGS, LLC Revenues 786.20 882.5095 Revenues 3747.18 CAPITAL CAMERON WANEK CAPITAL TODD R WANEK 2015 GRAT TRUST FOR GABRIEL Revenues 83.88443 Deposits CAPITAL THIRD LAKE PARTNERS, LLC Revenues 201805 Capital Markets Capital ADIKESHAVAR HOLDINGS LLC Revenues 42.89 201808 Capital Markets Capital Revenues Deposit THIRD LAKE Deposits Revenues 1.26 1.44415 Deposits Revenues Deposits Revenues Deposits 4206.20956 Deposits Revenues 2.67 2.99708 Deposits Deposit THIRD LAKE 35.49 Deposit THIRD LAKE 0.12 Deposit ASHLEY HOLDINGS Deposit THIRD LAKE Deposit THIRD LAKE 74.73 Deposit THIRD LAKE 367.55 412.57488 Markets Equities ADIKESHAVAR 49.99902 DEERING/CROSBY PROT21 2016 MAYSON-DEERING FAMILY TRUST Revenues 43.01 49.99913 201810 Capital Markets Capital Markets Equities DEERING/CROSBY LYNN DEERING REVOCABLE TRUST Revenues 88.34 99.99646 201811 Capital Markets Capital Markets Equities ADIKESHAVAR Revenues 88.13 99.75435 201803 DPM DPM DEERING/CROSBY THE CHARLESMEAD FOUNDATION INC. Revenues 0.98 1.2052 201808 Other Products DEERING/CROSBY SPENCER DEERING Revenues -0.27 -0.31388 201811 Other Products Custody only Mutual ZUECH CHRIS LONG TERM INSURED CREDIT FUND LLC Revenues 57.32 64.88051 201812 Other Products Custody only Mutual ZUECH CHRIS 3.53 4.04044 201901 DPM DPM RASHID ALI ALI RASHID Revenues 0.01 0.01146 201902 Other Products Custody only Mutual ZUECH CHRIS 11.87 13.51459 201801 DPM DPM Revenues Management/ Flat Fee Revenues RASHID ALI ALI 1629.63 2026.85231 201801 DPM DPM Revenues VOLPE NOEL NOEL VOLPE Revenues 620.94 772.29413 201804 DPM DPM Revenues DEERING/CROSBY THE Revenues 690.27 833.32846 201808 Other Products Other Fee Revenues DEERING/CROSBY SPENCER DEERING Revenues -914.12 -1062.6645 201811 DPM DPM Revenues RASHID ALI ALI 805.72 911.99447 201807 DPM DPM Private Equity Fund Non-Transaction Revenues/internal BOIES FAMILY Revenues 52.32 61.1987 201809 DPM DPM PROT22 internal BOIES 52.66 61.19882 internal ELLIN 30.59941 internal ELLIN 91.80115 internal BOIES 22.31 25.40105 201805 Capital Markets Capital Fixed Income Transaction Revenues 2555.01 2978.50291 201807 Capital Markets Capital Fixed Income Transaction JOCKEY CLUB 528.95 201810 Capital Markets Capital RASHID ALI ALI RASHID 201803 Revenues Custody Revenues NATIONAL ORGANIZATION OF THE NEW 201902 Private internal BOIES FAMILY 125.60 143.00188 VOLPE NOEL Revenues DEERING/CROSBY 2603.0966 Revenues DEERING/CROSBY 663.12632 Revenues DEERING/CROSBY Revenues DEERING/CROSBY Revenues Private FAMILY 201809 Private HOWARD 201810 Private HOWARD 201902 Private FAMILY Equity Fund Non-Transaction Revenues/- Revenues DPM DPM HOWARD ELLIN Revenues 26.33 DPM DPM HOWARD ELLIN Revenues 81.1 DPM DPM Revenues Markets Fixed Revenues NEW APO Markets Fixed Revenues 618.71282 Markets Fixed Revenues 2981.58 3374.99948 Other Products Custody only Custody THE APO Revenues 7169.76 8817.37085 DPM DPM Private Equity Fund Equity Fund Transaction Revenues/- Revenues 201802 Lending Lending Mortgages Loans Loans - Mortgages private - Interest Revenues NOEL VOLPE Revenues 201804 Lending Lending Loans (Margin Lending / Lombard) 201807 Lending Lending 201808 Lending Lending SPENCER DEERING Revenues 201810 Lending Lending -1671.16398 -1891.67407 201902 DPM DPM 1979.91 2416.18317 Lombard Loans Interest Revenues 2156.22 Revenues 566.92 38.75 45.04688 PROT23 external BOIES FAMILY Revenues 537.89 612.41466 NTLP - Deposit Revenues 5.0E-5 6.0E-5 NTLP - Deposit 640.66553 NTLP - Deposit 19792.52654 24616.95488 NTLP - Deposit 7.19507 8.94887 Deposits NTLP - Deposit Revenues 0.0268 0.03333 Deposits NTLP NTLP - Deposit LIMITED PART Revenues 15.1596 18.85475 Deposits NTLP NTLP - Deposit SSW 2007 LLC Revenues 0.0268 0.03333 NTLP - Deposit 10.68935 NTLP - Deposit 22.14235 NTLP - Deposit 7.21095 8.79988 NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit 126.74123 NTLP - Deposit 10.61087 NTLP - Deposit 408.02372 NTLP - Deposit 0.0271 0.03333 201802 JOCKEY CLUB 13.04475 201802 JOCKEY CLUB 27.02142 Deposits NTLP GEW 2009 LLC Revenues Deposits NTLP KATI WANEK-FORSYTHE 2016 GRAT Deposits NTLP 796.82775 Deposits NTLP THE HAZE TRUST Revenues Deposits NTLP CRW 2009 LLC Revenues NTLP Deposits Deposits NTLP Deposits Deposits NTLP Revenues Deposits NTLP TODD R. WANEK 2016 GRAT 0.14536 0.17876 Deposits NTLP RASHID ALI Revenues 203.28509 250 Deposits NTLP JOCKEY CLUB 155.86636 Deposits NTLP JOCKEY CLUB 13.04925 Deposits NTLP RASHID ALI ALI RASHID Revenues 501.78758 Deposits NTLP SSW 2007 LLC Revenues Deposits NTLP PROT24 NTLP - Deposit 20058.68509 NTLP - Deposit 1.1E-4 1.3E-4 NTLP - Deposit NTLP - Deposit 0.02764 0.03337 BOIES FAMILY 83.894 NTLP - Deposit 1.78801 NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit TRUST Revenues NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit 107.24188 NTLP - Deposit Revenues NTLP - Deposit 21213.85294 NTLP - Deposit NTLP - Deposit NTLP - Deposit THE HAZE TRUST Revenues 24668.17092 Deposits NTLP BOIES FAMILY Revenues Deposits NTLP TODD R. WANEK Revenues Deposits NTLP CRW 2007 LLC Revenues 201804 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 69.49182 Deposits NTLP RASHID ALI ALI RASHID Revenues 1.48106 Deposits NTLP ADIKESHAVAR 5.84006 7.05041 Deposits NTLP 107.22711 125 Deposits NTLP ROBERT S FORSYTHE REVOCABLE Deposits NTLP JOCKEY CLUB 41.82757 48.76049 Deposits NTLP Deposits NTLP JOCKEY CLUB 91.86988 107.09732 Deposits NTLP TRAVIS WAGNER Revenues 125.01722 Deposits NTLP CAITLIN A. FORSYTHE Deposits NTLP THE HAZE TRUST Revenues 24730.04906 Deposits NTLP 107.14439 125 Deposits NTLP RASHID ALI Revenues 857.1551 1000 Deposits NTLP Revenues 51171.06938 PROT25 59698.7281 NTLP - Deposit Revenues NTLP - Deposit 0.02857 0.03333 NTLP - Deposit LIMITED PART NTLP - Deposit NTLP - Deposit 1.1E-4 1.3E-4 NTLP - Deposit TRUST Revenues NTLP - Deposit 42.37491 NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit 15329.97163 NTLP - Deposit LIMITED PART NTLP - Deposit 1.1E-4 1.3E-4 NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit 26.99172 NTLP - Deposit NTLP - Deposit 294.04695 Deposits NTLP Deposits NTLP SSW 2007 LLC Revenues Deposits NTLP Revenues 27.52173 32.10823 Deposits NTLP 214.28878 250.00001 Deposits NTLP BOIES FAMILY Revenues Deposits NTLP ROBERT S FORSYTHE REVOCABLE 0.0285 0.03334 Deposits NTLP JOCKEY CLUB 49.26083 Deposits RASHID ALI Revenues 860.21506 Deposits 0.02867 0.03333 Deposits NTLP THE HAZE TRUST Revenues 17821.09202 Deposits NTLP Revenues 33.3475 38.7548 Deposits NTLP BOIES FAMILY Revenues NTLP 1000.00001 NTLP Deposits NTLP 215.11853 250 Deposits NTLP 0.02868 0.03333 Deposits NTLP JOCKEY CLUB 31.36843 Deposits NTLP 107.55927 125.00001 Deposits NTLP JOCKEY CLUB 332.84644 PROT26 NTLP - Deposit 152.88961 NTLP - Deposit NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit NTLP - Deposit NTLP - Deposit 11.44526 NTLP - Deposit NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit LIMITED PART NTLP - Deposit Revenues NTLP - Deposit 644.70288 Deposits NTLP JOCKEY CLUB Revenues 173.06339 Deposits NTLP 77311.98283 87513.29896 Deposits NTLP 220.85781 250 Deposits NTLP JOCKEY CLUB 46.33796 52.45225 Deposits NTLP WANEK TRUST OF 2000 0.02945 0.03334 Deposits NTLP 0.02945 0.03334 Deposits NTLP 110.42891 125 Deposits NTLP ADIKESHAVAR 2.4658 2.79104 Deposits NTLP 222.27411 251.59207 Deposits NTLP 77841.73019 88109.0544 Deposits NTLP 31.88817 36.09422 Deposits NTLP JOCKEY CLUB 13.10024 Deposits NTLP 76979.0705 88110.24409 Deposits NTLP RASHID ALI Revenues 655.25075 750.00001 Deposits NTLP 5954.40531 6815.41232 Deposits NTLP Revenues 39.6718 45.40834 Deposits NTLP 0.02912 0.03333 Deposits NTLP JOCKEY CLUB 737.92691 Deposits NTLP PROT27 NTLP - Deposit 4.0E-5 4.0E-5 NTLP - Deposit 2.18084 2.49619 NTLP - Deposit Revenues NTLP - Deposit TRUST Revenues NTLP - Deposit FOX Revenues NTLP - Deposit 0.02908 0.03333 NTLP - Deposit 17.41024 NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit 0.00845 0.00962 NTLP - Deposit Revenues NTLP - Deposit 93.22896 NTLP - Deposit TRUST Revenues NTLP - Deposit Revenues NTLP - Deposit 12.78762 NTLP - Deposit 451.86505 NTLP - Deposit TRUST Revenues 201812 JOCKEY CLUB LEON D. BLACK Revenues Deposits Deposits NTLP 0.02908 0.03333 0.02908 0.03333 219.79596 Deposits WANEK TRUST OF 2000 NTLP Deposits NTLP ROBERT S FORSYTHE REVOCABLE Deposits NTLP SHARI WAGNER 2015 GRAT FOR LEAH M 251.91914 Deposits NTLP SSW 2007 LLC Revenues Deposits NTLP JOCKEY CLUB Revenues 19.95475 Deposits NTLP 29.30628 33.36667 Deposits NTLP JOCKEY CLUB 27.6399 31.46941 Deposits NTLP ASHLEY HOLDINGS ASHLEY HOLDINGS, INC. Revenues Deposits NTLP WANEK TRUST OF 2000 2561.76716 2916.70 Deposits NTLP JOCKEY CLUB 106.14583 Deposits NTLP ROBERT S FORSYTHE REVOCABLE 29.30628 33.36667 Deposits NTLP JOCKEY CLUB 1.59149 1.81199 Deposits NTLP JOCKEY CLUB 14.55934 Deposits NTLP JOCKEY CLUB 507.21852 Deposits NTLP 0.0297 0.03334 Deposits NTLP PROT28 NTLP - Deposit Revenues 0.0297 0.03334 Deposits 6257.09 7782.2557 Deposits Revenues 16.39 20.00154 Deposits Revenues 74.57 Deposits FINANCIAL THE HAZE TRUST Revenues 27191.58 Deposits Revenues 7.45 8.99401 Deposits 4685.44 5656.49745 Deposits Deposit 201804 Deposit 201804 Deposit Interest 1396.56 Deposits Interest Revenues Deposits Interest Revenues 24022.54 ALI RASHID Revenues 54.04 62.99713 Deposits CAPITAL TODD R WANEK 2015 GRAT TRUST FOR CAMERON Revenues 401.55424 201805 Deposit FINANCIAL THE HAZE TRUST 201806 Deposit FINANCIAL THE HAZE TRUST 201806 Deposit ALI RASHID Revenues 201806 78.86 92.00202 Deposits Interest Revenues Deposits Interest Revenues Deposits Interest 53.14 Deposits Revenues 1685.99707 Deposits Revenues 191.34 Deposits Revenues 82.83 99.99652 Deposits Revenues 28004.27606 Deposits Revenues Deposits Revenues 30035.21 Deposits Revenues 27110.43 Deposits Revenues 61.99578 Deposits Deposit THIRD LAKE Deposit THIRD LAKE Deposit JOCKEY CLUB 91.0015 Deposit SOUTHERN 33440.20508 Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit JOCKEY CLUB Deposit JOCKEY CLUB 230.99522 Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit RASHID ALI Deposit THIRD LAKE 344.46 Deposit SOUTHERN 35013.54606 Deposit SOUTHERN 31628.38316 Deposit RASHID ALI Deposit JOCKEY CLUB PROT29 Deposits Deposit SOUTHERN FINANCIAL Revenues 58.91 68.72735 ALI RASHID Revenues 44.46 52.00486 Deposits Revenues 14.62 16.99575 Deposits Revenues 289.89 Deposits 60.23 69.99629 Deposits 1198.63 1392.98786 Deposits 11.99867 Deposits CAPITAL SHARI WAGNER Revenues 108.66 122.9976 Deposits CAPITAL KATI WANEK- FORSYTHE 2012 IRR TRUST Revenues 49.00212 Deposits CAPITAL KEYHOLE PARTNERS, LLC Revenues 29.92 Deposits CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR STE Revenues 61.20183 Deposits Revenues 96 111.9984 Deposits Revenues 9.40 10.99518 Deposits Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit RASHID ALI Deposit THIRD LAKE Deposit JOCKEY CLUB 336.99713 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit THIRD LAKE 10.60 Deposit THIRD LAKE 9 Deposit THIRD LAKE 43.29 Deposit THIRD LAKE 33.86645 Deposit THIRD LAKE 54.07 Deposits Deposit JOCKEY CLUB Revenues 71.56 80.99876 Deposits Deposit THIRD LAKE Revenues 14.29 16.35633 Deposits Deposit THIRD LAKE PROT30 177.58 203.25807 Deposits Deposit SOUTHERN FINANCIAL Revenues 978.38 1119.85375 Deposits Deposit THIRD LAKE CAPITAL ROBERT S FORSYTHE REVOCABLE TRUST Revenues 4.36 4.99721 CAPITAL CAMERON WANEK CAPITAL WANEK TRUST OF Deposits Deposit JOCKEY CLUB Revenues 11.34 12.99734 Deposits Deposit THIRD LAKE 4112.68 4682.4918 Deposits Deposit THIRD LAKE Revenues 101.88 115.99547 Deposits Deposit THIRD LAKE 2000 Revenues 850.20 967.99521 Deposits Deposit THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR GABRIEL Revenues 90.77 103.34618 Deposits Deposit LINDEMANN JR GEORGE MARINA LANDING HOLDINGS, LLC Revenues 1.76 2.00385 Deposits Deposit JOCKEY CLUB Revenues 88.71 101.00077 Deposits Deposit THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR STE Revenues 0.11 0.12524 Deposits Deposit THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M FOX Revenues 28.17 31.62083 AXCIS INFORMATION THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR CAMERON Revenues 28.17 31.62083 MANA RAHUL VAID 201903 Deposit NETWORK INC. 201903 Deposits Deposits Deposit JOCKEY CLUB Revenues 339.43 381.01018 Deposits Deposits Deposit Deposits Deposit PARAMI CAPITAL Revenues 721.79 810.20928 Deposits Deposit THIRD LAKE PROT31 CAPITAL SHARI WAGNER 31.62083 ORGANI THE NATIONAL 399.19943 201808 Capital Markets Capital Markets Equities DEERING/CROSBY Revenues 1213.88 1411.1355 201810 Capital Markets Capital Markets Equities DEERING/CROSBY 2016 MAYSON-DEERING FAMILY TRUST Revenues 44.17 49.99823 201811 Capital Markets Capital Markets Equities DEERING/CROSBY SPENCER DEERING Revenues -212.11 -240.08731 201804 DPM DPM VOLPE NOEL NOEL VOLPE Revenues 1.81 2.18512 201805 DPM DPM RASHID ALI ALI RASHID Revenues 2.29 2.66957 201809 DPM DPM RASHID ALI ALI RASHID Revenues 0.14 0.1627 201805 DPM DPM Mutual Funds Other Non -Transaction Revenues/internal VOLPE NOEL NOEL VOLPE Revenues 2.41 2.80946 201810 DPM DPM Mutual Funds Other Non -Transaction Revenues/internal RASHID ALI ALI RASHID Revenues 2.24 2.53557 201803 DPM DPM Revenues VOLPE NOEL NOEL VOLPE Revenues 653.11 803.19468 201803 DPM DPM Revenues DEERING/CROSBY HEATHER 677.61 833.32478 201804 DPM DPM Revenues RASHID ALI ALI 789.27 952.84621 201805 DPM DPM Revenues RASHID ALI ALI 818.48 954.14306 201807 DPM DPM Revenues DEERING/CROSBY HEATHER 712.43 833.32937 201809 DPM DPM 2015 GRAT FOR MARA WAGNER Revenues 28.17 201805 Capital Markets Capital Markets Equities THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 342.44 PROT32 Revenues Revenues 201812 DPM DPM Revenues Southern Financial MCM CAPITAL PARTNERS Revenues 24257.96 27458.79782 201903 Partnerships Partnerships SAFANAD Safanad Revenues 337639.20 379000.002 201804 DPM DPM Private Equity Fund Non-Transaction Revenues/internal BOIES FAMILY Revenues 102.38 123.59826 internal ELLIN 30.59935 internal BOIES 22.63 25.40218 201808 RASHID ALI ALI RASHID 201901 THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 21.34 24.45884 201812 Other Products Custody only Custody Revenues ZUECH CHRIS 4956.57 5673.29002 201902 Other Products Custody only Custody Revenues ZUECH CHRIS 2927.70 3333.33284 201903 Other Products Custody only Custody Revenues THE NATIONAL ORGANIZATION OF THE NEW APO Revenues 7586.22 8515.53195 201803 Lending Lending Lombard Loans Interest Revenues DEERING/CROSBY HEATHER CROSBY Revenues 60.03 73.82489 201806 Lending Lending Lombard Loans Interest Revenues DEERING/CROSBY MARON M DEERING Revenues 590.58 689.00016 201807 Lending Lending Lombard Loans Interest Revenues DEERING/CROSBY HEATHER CROSBY Revenues 12.64 14.78501 806.23 922.81086 201805 Partnerships Revenues 64.77 201810 Partnerships DEERING/CROSBY THE 717.06 833.33128 RASHID ALI ALI Partnerships Southern Financial 75.50563 Partnerships MCM CAPITAL PARTNER 201807 Private HOWARD 201903 Private FAMILY DPM DPM HOWARD ELLIN Revenues 26.16 DPM DPM Revenues Revenues 1612.90 1874.99625 PROT33 Revenues DEERING/CROSBY Revenues DEERING/CROSBY Revenues DEERING/CROSBY 17.37503 Revenues Loans DEERING/CROSBY MARON Revenues DEERING/CROSBY SPENCER DEERING Revenues 96.69 110.67137 201805 DPM DPM external BOIES FAMILY Revenues 574.90 670.18968 201809 DPM DPM external BOIES FAMILY Revenues 576.15 669.57272 Deposits NTLP NTLP - Deposit JOCKEY CLUB 10.48423 NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit 0.17874 0.21813 NTLP - Deposit Revenues NTLP - Deposit 52175.34464 NTLP - Deposit 0.0271 0.03333 BOIES FAMILY NTLP - Deposit 4.02526 4.95026 201811 Lending Lending MARON M DEERING Revenues 201811 Lending Lending HEATHER CROSBY Revenues 201812 Lending Lending 201812 Lending Lending (Margin Lending / Lombard) M DEERING Revenues 201812 Lending Lending Lombard Interest 813.38 Lombard Interest 0.05 Lombard Interest Revenues Loans Interest Revenues 920.66482 Loans Interest Revenues 0.0566 Loans Interest Revenues 15.18 340.08 389.25557 13.03976 Deposits NTLP 0.02731 0.03333 Deposits NTLP ADIKESHAVAR 10.4376 12.73753 Deposits NTLP JOCKEY CLUB Deposits NTLP MADISON PARK CAPITAL, LLC 3.3E-4 4.0E-4 Deposits NTLP Revenues 42425.8779 Deposits NTLP TODD R. WANEK Revenues 201803 DPM DPM NTLP NTLP - Deposit DIAMOND B CAPITAL, INC. Revenues 68.2176 83.894 Deposits NTLP JOCKEY CLUB Deposits NTLP PROT34 NTLP - Deposit LIMITED PART NTLP - Deposit 20458.54938 NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit 0.82257 0.95891 NTLP - Deposit 24.09443 NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit FOX Revenues NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit 0.0286 0.03336 NTLP - Deposit 11.39695 NTLP - Deposit Revenues 20.71492 25.47521 Deposits NTLP THE HAZE TRUST Revenues 24698.58374 Deposits NTLP MADISON PARK CAPITAL, LLC 3.4E-4 4.1E-4 Deposits NTLP KATI WANEK-FORSYTHE 2016 GRAT 5.0E-5 6.0E-5 Deposits NTLP 107.22711 125 Deposits NTLP Revenues Deposits NTLP JOCKEY CLUB Revenues 28.08808 Deposits NTLP ADIKESHAVAR 13.47081 15.7036 Deposits SHARI WAGNER 2015 107.22711 125 Deposits NTLP MADISON PARK CAPITAL, LLC 3.5E-4 4.1E-4 Deposits NTLP KWF 2007 LLC Revenues NTLP GRAT TRAVIS T. Deposits NTLP SHARI WAGNER 2015 GRAT FOR LEAH M 107.14439 125 Deposits NTLP TODD R. WANEK Revenues Deposits NTLP Deposits NTLP CRW 2007 LLC Revenues Deposits NTLP RASHID ALI ALI RASHID Revenues 13.29625 Deposits NTLP 107.14439 125 Deposits NTLP PROT35 NTLP - Deposit Revenues NTLP - Deposit 59728.35385 NTLP - Deposit NTLP - Deposit 0.0285 0.03334 NTLP - Deposit Revenues NTLP - Deposit TRUST Revenues NTLP - Deposit NTLP - Deposit 59.19705 NTLP - Deposit 0.0285 0.03334 NTLP - Deposit NTLP - Deposit 0.02867 0.03333 NTLP - Deposit 4.0E-5 4.0E-5 NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit FOX Revenues NTLP - Deposit NTLP - Deposit 2.23699 2.6005 0.0285 0.03334 Deposits NTLP Revenues 51062.96815 Deposits NTLP 76.42699 89.39665 Deposits NTLP TODD R. WANEK Revenues Deposits NTLP 0.0285 0.03334 Deposits NTLP 0.0171 0.02 Deposits NTLP SHARI WAGNER 2015 GRAT FOR MARA 106.86501 125 Deposits NTLP JOCKEY CLUB 69.24279 Deposits NTLP SSW 2007 LLC Revenues THIRD THIRD LAKE CAPITAL 106.86501 LAKE CAPITAL Deposits NTLP 125 Deposits NTLP SSW 2007 LLC Revenues Deposits NTLP LEON D. BLACK Revenues Deposits NTLP 0.02867 0.03333 Deposits NTLP JOCKEY CLUB 190.38759 221.32557 Deposits SHARI WAGNER 2015 GRAT 107.52688 125 Deposits SHARI WAGNER 2015 GRAT 107.52688 125 Deposits NTLP JOCKEY CLUB Revenues NTLP FOR LEAH M NTLP TRAVIS T. Deposits NTLP PROT36 NTLP - Deposit Revenues NTLP - Deposit 0.00825 0.00959 NTLP - Deposit 7.60896 8.84275 NTLP - Deposit Revenues NTLP - Deposit 16.5969 19.28809 NTLP - Deposit 0.02945 0.03334 NTLP - Deposit 4.0E-5 4.0E-5 NTLP - Deposit NTLP - Deposit 1.94644 2.20327 NTLP - Deposit 0.03363 0.03807 NTLP - Deposit 0.00847 0.00959 NTLP - Deposit Revenues NTLP - Deposit 485.34377 NTLP - Deposit 36.80764 NTLP - Deposit Revenues NTLP - Deposit 68.51061 NTLP - Deposit 15.568 17.62142 ADIKESHAVAR 0.52909 0.61488 Deposits NTLP Revenues Deposits NTLP GEW 2009 LLC Revenues Deposits NTLP 661.16223 768.36969 Deposits NTLP JOCKEY CLUB Revenues TODD R. LEON D. Deposits NTLP WANEK Revenues Deposits NTLP BLACK Revenues Deposits NTLP 110.42891 125 Deposits NTLP JOCKEY CLUB Deposits NTLP GEW 2009 LLC Revenues Deposits NTLP Revenues 201810 ADIKESHAVAR 1.81881 2.0588 201811 JOCKEY CLUB 549.36061 201811 JOCKEY CLUB 41.66257 201811 JOCKEY CLUB 50.42007 201811 JOCKEY CLUB 77.54716 201811 JOCKEY CLUB Deposits Deposits Deposits Deposits NTLP NTLP Deposits Deposits NTLP Revenues Deposits Deposits 57.07048 Deposits Deposits NTLP NTLP Deposits Deposits NTLP Revenues Deposits NTLP PROT37 NTLP - Deposit 5.91457 6.6947 NTLP - Deposit Revenues NTLP - Deposit TRUST Revenues NTLP - Deposit NTLP - Deposit 0.02908 0.03333 NTLP - Deposit 4.0E-5 4.0E-5 NTLP - Deposit 0.1266 0.1451 NTLP - Deposit 0.02911 0.03336 NTLP - Deposit NTLP - Deposit 69.21723 NTLP - Deposit NTLP - Deposit 123.22238 NTLP - Deposit 11.43495 NTLP - Deposit 0.12754 0.14521 NTLP - Deposit THIRD NTLP - Deposit THIRD NTLP - Deposit THIRD JOCKEY CLUB Deposits NTLP 6011.56272 6804.48784 Deposits NTLP 0.02912 0.03333 Deposits NTLP 0.21291 0.2437 Deposits NTLP TODD R. WANEK Revenues Deposits NTLP LEON D. BLACK Revenues Deposits NTLP CRW 2009 LLC Revenues Deposits NTLP CRW 2007 LLC Revenues Deposits NTLP SHARI WAGNER 2015 GRAT FOR MARA 219.79596 251.91914 Deposits NTLP SHARI WAGNER Revenues 79.33333 Deposits NTLP 0.21307 0.24421 Deposits NTLP JOCKEY CLUB Revenues 141.23133 Deposits NTLP JOCKEY CLUB 13.10617 Deposits NTLP CRW 2009 LLC Revenues Deposits NTLP LAKE CAPITAL 0.2149 0.24467 Deposits NTLP LAKE CAPITAL 221.3927 252.06666 Deposits NTLP LAKE CAPITAL 221.3927 252.06666 Deposits NTLP PROT38 NTLP - Deposit 0.5376 0.61208 NTLP - Deposit 0.12752 0.14519 NTLP - Deposit Revenues NTLP - Deposit TRUST Revenues NTLP - Deposit LLC Revenues NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit 72.10709 NTLP - Deposit 70.67558 NTLP - Deposit NTLP - Deposit Revenues Interest Revenue BLOOD-HORSE LLC TJC MEDIA VENTURES INC. FINANCIAL Revenues 3360.17271 JOCKEY CLUB Deposits NTLP GEW 2009 LLC Revenues 1.71851 1.95661 292.77004 616.47719 0.21844 0.2452 0.0297 0.03334 201903 JOCKEY CLUB 4.54669 5.10366 201903 JOCKEY CLUB 80.94021 Deposits NTLP SHARI WAGNER Revenues 79.33334 Deposits NTLP 224.70611 252.23261 Deposits NTLP SAN MARCO HOLDINGS, LLC 282.38489 316.97704 Deposits Deposit s JOCKEY CLUB Revenues 525.83 654.00106 Deposits NTLP SOLSTICE LOOP HOLDINGS, LLC Deposits NTLP SHARI WAGNER 2012 IRREVOCABLE 333.33333 Deposits NTLP ADDISON AT MILLENIA HOLDINGS, 701.8901 Deposits NTLP Deposits NTLP Deposits Deposits NTLP Deposits Deposits NTLP Deposits Revenues 6.43 7.99731 Deposits Revenues 20.10 24.99938 Deposits 909.25 1109.60325 Deposits Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit THIRD LAKE Deposit SOUTHERN 2753.45 PROT39 Deposit Revenues 2526.40 TJC MEDIA VENTURES INC. Deposits THIRD Revenues 13.25 15.99606 Deposits THIRD CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR STE Revenues 401.55424 Deposits THIRD CAPITAL RONALD & JOYCE WANEK IRR DY TR UAD 3/26 Revenues 313.00388 Deposits Revenues 841.73 982.0043 Deposits FINANCIAL Revenues 9033.27762 INCOMPASS SOLUTIONSINC. CAPITAL CAITLIN A. 201802 Deposit Revenues 201803 Deposits Interest Deposits Interest 1982.44 Revenues Revenues 3049.9964 Revenues Deposits Revenues 72.93 89.00013 Deposits Revenues 2438.00471 Deposits Revenues 8.94 10.99441 Deposits Revenues 13.25 15.99606 Deposits Revenues Deposits Revenues 6.63 8.00407 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit THIRD LAKE Deposit RASHID ALI Deposit JOCKEY CLUB Revenues 201807 Deposit Revenues 201808 Deposit FORSYTHE 201809 Deposit 201809 Deposit Revenues 201809 Deposit Deposits Interest Deposits Interest Revenues Deposits Interest 221.14 Deposits Interest Deposits Interest Deposits Revenues 43.60 50.99892 Deposits Revenues 12.04 Deposits Revenues 256.99785 Deposits Revenues 70.56 82.0013 Deposits Revenues 79.12 91.94931 Deposit LAKE Deposit LAKE 344.46 Deposit LAKE 268.50 Deposit JOCKEY CLUB Deposit SOUTHERN 7742.92 Deposit JOCKEY CLUB Deposit THIRD LAKE 13.9965 Deposit JOCKEY CLUB Deposit JOCKEY CLUB Deposit THIRD LAKE PROT40 FINANCIAL THE 8273.67125 JOCKEY CLUB Revenues 246.48 279.00304 Deposits Deposit THIRD LAKE CAPITAL SHARI WAGNER 2015 GRAT FOR LEAH M FOX Revenues 10.60 11.99867 Deposits Deposit JOCKEY CLUB COALITION FOR HORSE RACING INTEGRITY, IN Revenues 24.74 28.00444 Deposits Deposit THIRD LAKE Revenues 12.37 14.00222 Deposits Deposit THIRD LAKE 29514.80 33407.80211 Deposits Deposit PARAMI CAPITAL MANA RAHUL VAID Revenues 686.43 776.97012 Deposits Deposit THIRD LAKE CAPITAL CAMERON WANEK Revenues 37.11 42.00481 Deposits Deposit THIRD LAKE CAPITAL TODD R WANEK 2015 GRAT TRUST FOR CAMERON Revenues 54.07 61.20183 TJC MEDIA VENTURES INC. Revenues 673.97 INCOMPASS SOLUTIONSINC. SOUTHERN FINANCIAL THE HAZE TRUST Revenues 3739.38 4280.09435 Deposits Deposit THIRD LAKE CAPITAL KATI WANEK-FORSYTHE 2015 GRAT TR FOR STE Revenues 51.34 Deposits 2017 CATERPILLAR TRUST Revenues Deposits Revenues 9.72 11.00255 Deposits Deposit SOUTHERN 7119.28 Deposit JOCKEY CLUB Deposit 17687.53 Revenues 771.42606 Revenues Deposits Deposit Revenues THIRD LAKE 20245.14683 Deposits Deposit Revenues JOCKEY CLUB 33.2 38.00072 Deposits Deposit Revenues ASHLEY HOLDINGS Deposits Revenues JOCKEY 97.85 111.99911 Deposits Deposit CLUB Deposit PROT41 58.76376 CAPITAL CAMERON WANEK CAPITAL RONALD & JOYCE 39.00348 201901 Deposit 201901 Deposit CAPITAL SHARI WAGNER 2015 GRAT FOR MARA WAGNER Revenues 35.49 40.67686 Deposits Deposit THIRD LAKE CAPITAL SHARI WAGNER Revenues 179.73 205.99754 Deposits Deposit LINDEMANN JR GEORGE SOLSTICE LOOP HOLDINGS, LLC Revenues 1.76 2.00385 Deposits Deposit PARAMI CAPITAL MANA RAHUL VAID Revenues 770.01 876.69489 Deposits Deposit LINDEMANN JR GEORGE Revenues 1218.39 1367.64279 Deposits Deposit LINDEMANN JR GEORGE MARINA LANDING HOLDINGS, 201903 Deposit ASHLEY FURNITURE INDUSTRIES 201903 Deposit CAPITAL KATI WANEK-FORSYTHE 201903 Deposit 117.59 131.99478 Deposits Deposit LINDEMANN JR GEORGE SOLSTICE LOOP HOLDINGS, LLC Revenues 241.54 271.12865 Deposits Deposit THIRD LAKE CAPITAL SHARI WAGNER Revenues 400.89 449.99903 201811 Capital Markets Capital Markets Transaction Revenues from Equity Options Transaction Revenues from Equity Options/Listed DEERING/CROSBY SPENCER DEERING Deposits Deposit JOCKEY CLUB Revenues 574.97 659.00187 Deposits Deposit THIRD LAKE Revenues 111.68 128.00203 Deposits Deposit THIRD LAKE WANEK IRR DY TR UAD 3/26 Revenues 34.03 Deposits Deposits Deposit JOCKEY CLUB 2728.27 3127.00666 Deposits Deposits Deposit THIRD LAKE LLC Deposits Interest Revenues Deposits Interest Revenues Deposits Interest Revenues Deposits Revenues 7399.55 Deposits Revenues 261.02 Deposits Revenues 170.91 191.84648 Deposit ASHLEY HOLDINGS 8305.99488 Deposit THIRD LAKE 292.99495 Deposit JOCKEY CLUB PROT42 Revenues -14.88 -16.84267 201801 Capital Markets Capital Revenues 80.02 201807 Capital Markets Capital Revenues 42.75 201808 Capital Markets Capital THE CHARLESMEAD FOUNDATION INC. Revenues 832.48 201810 Capital Markets Capital THE CHARLESMEAD FOUNDATION INC. 201801 RASHID 1.84 2.2885 201802 DPM Mutual RASHID ALI 0.57 0.6956 0.75 0.91526 0.72 0.86922 0.13 0.15113 201802 DPM DPM Mutual Funds Other Non internal VOLPE NOEL NOEL VOLPE 2.83121 201802 DPM DPM Revenues 796.67 972.21623 201805 DPM DPM Revenues VOLPE Revenues 674.53 201806 Revenues 201810 Fee Revenues DEERING Revenues -554.01 -627.11162 201811 DPM DPM Revenues 786.33335 DPM DPM Fee Revenues Revenues Other Products Fee Revenues 201802 DPM Mutual VOLPE NOEL ADIKESHAVAR 99.52488 ADIKESHAVAR 50.00468 DEERING/CROSBY 967.758 DEERING/CROSBY Revenues 892.32 1010.06162 DPM DPM ALI ALI RASHID Revenues DPM Funds/Money Market Non-Transaction ALI RASHID Revenues DPM Funds/Money Market Non-Transaction NOEL VOLPE Revenues 201804 DPM DPM RASHID ALI ALI RASHID Revenues 201808 DPM DPM RASHID ALI ALI RASHID Revenues -Transaction Revenues/- Revenues 2.32 DEERING/CROSBY HEATHER VOLPE NOEL NOEL DEERING/CROSBY THE 714.29 833.32643 Other DEERING/CROSBY SPENCER DEERING/CROSBY HEATHER PROT43 1251.58 1416.6634 201901 DPM DPM Revenues 756.42 866.97079 201902 DPM DPM Revenues 778.29 886.12208 201903 DPM DPM Revenues internal ELLIN 12.7973 internal ELLIN 12.7965 201804 JOCKEY CLUB 497.64 201903 Other Products Custody Revenues ZUECH CHRIS CREDIT FUND LLC Revenues DEERING/CROSBY Revenues Revenues DEERING/CROSBY Revenues DEERING/CROSBY 2939.20548 201806 Lending Lending Revenues DEERING/CROSBY 2535.72544 Revenues DEERING/CROSBY Revenues DEERING/CROSBY Revenues DEERING/CROSBY 354.20547 804 902.49 201902 DPM Private Equity HOWARD HOWARD 201903 Private HOWARD DPM Fund Non- ELLIN DPM DPM Equity Fund Non- HOWARD ELLIN Management/ RASHID ALI Management/ RASHID ALI Management/ RASHID ALI Flat Fee ALI Flat Fee ALI Flat Fee ALI Private Equity Fund Non Transaction Revenues/- Revenues 11.24 Private Equity Fund Non Transaction Revenues/- Revenues 11.40 600.77589 only Custody Revenues 2969.56 3333.3311 201803 Lending Lending Lombard Loans Interest -406.82114 -500.30864 201804 Lending Lending HEATHER CROSBY Revenues 201805 Lending Lending 201807 Lending Lending MARON M DEERING Revenues 201809 Lending Lending MARON M DEERING Revenues 201811 Lending Lending -3255.72339 -3930.47207 Revenues 2521.3 Revenues 2173.51 Lombard Interest 448.94 Lombard Interest 598.36 Lombard Interest Revenues Loans Interest Revenues 525.12512 Loans Interest Revenues 695.38407 Loans Interest Revenues 312.93 201804 DPM DPM PROT44 external BOIES FAMILY Revenues 570.73 689.01379 external BOIES 581.87 680.61334 external BOIES 560.22 641.22781 NTLP - Deposit DZIALGA 0.04613 0.05737 201801 NTLP - Deposit JOCKEY CLUB 107.56156 133.77969 NTLP - Deposit KWF 0.0268 0.03333 201801 NTLP - Deposit JOCKEY CLUB 2.09085 2.60049 NTLP - Deposit 39139.99263 NTLP - Deposit 684.34055 NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit 0.02731 0.03333 NTLP - Deposit 0.04703 0.05739 NTLP - Deposit 7.33697 8.95367 NTLP - Deposit Revenues NTLP - Deposit 1.1E-4 1.3E-4 NTLP - Deposit 201807 DPM DPM FAMILY Revenues 201812 DPM DPM FAMILY Revenues KIRSTEN & M MARK F. Deposits NTLP DZIALGA Revenues Deposits Deposits NTLP Deposits NTLP 2007 LLC Revenues Deposits Deposits NTLP Revenues Deposits NTLP Revenues 32072.75997 Deposits NTLP JOCKEY CLUB 560.774 Deposits NTLP 34.69214 42.33655 Deposits NTLP TODD R. WANEK 2016 GRAT 0.14648 0.17876 Deposits NTLP KWF 2007 LLC Revenues Deposits NTLP DZIALGA KIRSTEN & M MARK F. DZIALGA Revenues Deposits NTLP CRW 2009 LLC Revenues Deposits NTLP 1680.44449 2050.73043 Deposits NTLP BOIES FAMILY Revenues Deposits NTLP JOCKEY CLUB Revenues PROT45 2.11457 2.6005 NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit 7.1611 8.80672 NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit 128.81441 NTLP - Deposit LIMITED PART NTLP - Deposit Revenues NTLP - Deposit Revenues NTLP - Deposit 50.5567 61.03458 NTLP - Deposit BOIES FAMILY NTLP - Deposit Revenues NTLP - Deposit 227.83024 NTLP - Deposit Revenues Deposits NTLP ADIKESHAVAR 4.93366 6.06742 Deposits NTLP 22.36026 27.49865 Deposits NTLP GEW 2009 LLC Revenues Deposits NTLP KATI WANEK-FORSYTHE 2016 GRAT 5.0E-5 6.0E-5 Deposits NTLP JOCKEY CLUB 75.30838 92.61424 Deposits NTLP SSW 2007 LLC Revenues 201804 JOCKEY CLUB 87.33009 201804 VOLPE NOEL 155.51119 THE Revenues 21.10813 THE 5579.58578 201804 JOCKEY CLUB 0.05241 0.06327 201804 JOCKEY CLUB Deposits Deposits 105.42925 Deposits Deposits NOEL VOLPE Revenues NTLP NTLP Deposits NTLP GEORGE LINDEMANN FAMILY 25.48279 Deposits NTLP 2017 CATERPILLAR TRUST 6735.95493 Deposits COALITION FOR Deposits NTLP HORSE RACING INTEGRITY, IN Deposits Deposits NTLP Revenues Deposits NTLP 27.80521 33.56784 201804 DPM DPM NTLP NTLP - Deposit Revenues 0.54544 0.65848 Deposits NTLP Deposits NTLP JOCKEY CLUB 265.5931 Deposits NTLP JOCKEY CLUB 0.05427 0.06327 PROT46 NTLP - Deposit 100.04282 NTLP - Deposit NTLP - Deposit NTLP - Deposit 39.25977 NTLP - Deposit Revenues NTLP - Deposit 26.92324 NTLP - Deposit TRUST Revenues NTLP - Deposit Revenues NTLP - Deposit 167.72943 NTLP - Deposit Revenues NTLP - Deposit 0.82246 0.95952 NTLP - Deposit 6.03113 7.03622 NTLP - Deposit 107.06191 NTLP - Deposit 15.63485 NTLP - Deposit Revenues NTLP - Deposit 0.02856 0.03341 NTLP - Deposit 0.0285 0.03334 VOLPE NOEL NOEL VOLPE 116.62491 RASHID ALI Revenues SSW Deposits Revenues NTLP Deposits NTLP 857.81686 1000 Deposits NTLP 2007 LLC Revenues Deposits NTLP RASHID ALI ALI RASHID Revenues 45.76708 Deposits NTLP 871.62207 1016.09343 Deposits NTLP JOCKEY CLUB 31.41 Deposits NTLP Deposits NTLP 5788.75591 6753.45208 Deposits NTLP JOCKEY CLUB Revenues 195.68154 Deposits NTLP Deposits NTLP Revenues 201806 JOCKEY CLUB Deposits Deposits NTLP Deposits NTLP TRAVIS WAGNER Revenues 125.23032 Deposits NTLP JOCKEY CLUB Revenues 18.28808 Deposits NTLP JOCKEY CLUB 0.05409 0.06327 Deposits NTLP GEW 2007 LLC Revenues Deposits NTLP STEVEN FORSYTHE Revenues 201807 DPM DPM NTLP NTLP - Deposit PROT47 BOIES FAMILY NTLP - Deposit Revenues NTLP - Deposit 11.36739 NTLP - Deposit Revenues NTLP - Deposit 7.73385 8.9906 NTLP - Deposit 30.13326 NTLP - Deposit NTLP - Deposit 16.87864 NTLP - Deposit 0.02871 0.03336 NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit 11.25698 NTLP - Deposit Revenues NTLP - Deposit NTLP - Deposit Revenues NTLP - Deposit 0.02948 0.03337 NTLP - Deposit 3404.61472 NTLP - Deposit 11.56236 Revenues 0.5478 0.64076 Deposits NTLP 43.99313 51.45876 Deposits NTLP RASHID ALI ALI RASHID Revenues 13.29644 Deposits NTLP 5782.425 6763.70252 Deposits NTLP CRW 2009 LLC Revenues Deposits NTLP JOCKEY CLUB 35.02991 Deposits NTLP 215.05377 250.00001 Deposits NTLP JOCKEY CLUB Revenues 19.62142 Deposits NTLP CRW 2007 LLC Revenues Deposits NTLP 107.55927 125.00001 Deposits NTLP JOCKEY CLUB 82.77973 96.20247 Deposits NTLP JOCKEY CLUB 13.0823 Deposits NTLP 0.02868 0.03333 Deposits 75302.92709 Deposits 0.02945 0.03334 Deposits NTLP CRW 2007 LLC Revenues THE 3853.85363 JOCKEY CLUB THE GRAYSON 13.08801 NTLP 87513.29672 NTLP Deposits NTLP HAZE TRUST Revenues Deposits NTLP JOCKEY CLUB Revenues PROT48 NTLP - Deposit 122.68543 NTLP - Deposit 2.29736 2.6005 NTLP - Deposit Revenues NTLP - Deposit 3.79829 4.29928 NTLP - Deposit NTLP - Deposit NTLP - Deposit 0.03366 0.0381 NTLP - Deposit 22.18983 NTLP - Deposit NTLP - Deposit FOX Revenues NTLP - Deposit NTLP - Deposit 766.5317 NTLP - Deposit NTLP - Deposit 1.2E-4 1.4E-4 NTLP - Deposit LIMITED PART NTLP - Deposit 559.20834 NTLP - Deposit 0.00839 0.00962 Deposits NTLP JOCKEY CLUB 138.87377 Deposits NTLP JOCKEY CLUB Revenues Deposits NTLP 680.87539 770.68285 Deposits NTLP JOCKEY CLUB Deposits NTLP 111.84032 126.59206 Deposits NTLP 444.54819 503.18409 Deposits NTLP GEW 2009 LLC Revenues Deposits NTLP CAMERON WANEK Revenues 25.11667 RASHID ALI Revenues 219.95121 439.98237 877.37218 0.21291 0.2437 Deposits NTLP BOIES FAMILY Revenues Deposits 662.60271 Deposits SHARI WAGNER 2015 GRAT 251.75615 Deposits NTLP 503.60382 Deposits NTLP RAHUL VAID Revenues Deposits NTLP THE Revenues 39.63281 201901 JOCKEY CLUB 640.93664 201901 Revenues NTLP 750.00001 NTLP FOR LEAH M Deposits NTLP GEORGE LINDEMANN FAMILY 45.42515 Deposits Deposits NTLP Deposits Deposits NTLP Deposits NTLP PROT49