EFTA Document EFTA01460997

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 RUMELY LEO M 1 0% 60,000 0% 75 0% FRIEDMAN DAVID L 1 0% 59,591 0% 2,262 0% EHRLICH STEPHEN R 1 0% 56,643 0% 2,472 0% BRINKER CAPITAL 1 0% 55,750 0% 1,731 0% MARTIN KELLY CAPITA 1 0% 55,370 0% 37 0% MORTIMER PETE 1 0% 55,135 0% 33 0% OETTINGER SPENCER D 1 0% 54,901 0% 5,629 0% GOTTHELF MICHAEL A 1 0% 54,505 0% 58 0% SCHULZE 1 0% 53,237 0% 113 0% BLICKLE 1 0% 52,631 0% 265 0% SARKISIAN ARTHUR D 1 0% 52,102 0% 125 0% SUMERS GEORGE W 1 0% 52,068 0% 65 0% OTTAWAY JAMES H 1 0% 51,137 0% 75 0% PURNAIYA RAJEEV 1 0% 51,040 0% 118 0% STARK NORMAN 1 0% 50,981 0% 5 0% ANDREWS TERRY 1 0% 50,729 0% 1,778 0% GURNEE AUGUSTUS C 1 0% 50,722 0% 64 0% SOLLAR ARNOLD R 1 0% 50,570 0% 2,135 0% ATAPCO 1 0% 50,562 0% 172 0% HONIGSBERG CLA 1 0% 50,009 0% 32 0% CHI ENERGY 1 0% 49,978 0% 62 0% ROSENBLATT CECIL 1 0% 49,271 0% 1 0% SWEENEY THOMAS 1 0% 46,883 0% 100 0% CORBIN SILVERMAN 1 0% 46,687 0% 120 0% JOHN KELLY 1 0% 46,499 0% 3 0% BETTELHEIM ERI 1 0% 45,793 0% 109 0% HUGOTON FOUNDAT 1 0% 45,171 0% 223 0% PRYCE-JONES 1 0% 44,957 0% 102 0% TRONIK FELIX 1 0% 44,471 0% 11 0% OWEN DAVID 1 0% 42,864 0% 145 0% TANSILL DOUGLAS 1 0% 42,505 0% 71 0% BHATTACHARYYA RAJ 1 0% 42,001 0% 5,000 0% YYC CAPITAL 1 0% 41,593 0% 54 0% ZIMMERMAN RACH 1 0% 41,478 0% 99 0% BLOOM ROGER 1 0% 41,151 0% 76 0% MCKINNEY WALKE 1 0% 41,072 0% 245 0% VOROBEYCHIK VITALY 1 0% 40,352 0% - 0% MAY CORDELIA S 1 0% 40,220 0% 3,244 0% BROOKS PEARL 1 0% 40,131 0% 54 0% GLADSTEIN JEROME 1 0% 40,000 0% 0% BLINKEN DONALD 1 0% 39,842 0% 182 0% SUTTON RENEE H 1 0% 39,552 0% 91 0% LONGMAN ROBERT 1 0% 39,392 0% 136 0% GACCIONE ANTHO 1 0% 39,311 0% 872 0% RUBIN AND BURKE 1 0% 39,290 0% 146 0% MCCREERY CHARLES C 1 0% 37,783 0% 199 0% BRANCH GREG 1 0% 37,735 0% 0 0% GLICKMAN ADAM 1 0% 37,379 0% 36 0% MALEKAN KAMRAN 1 0% 36,971 0% 20 0% KECK FRAN 1 0% 35,527 0% 6 0% GORDON MICHAEL 1 0% 35,367 0% 247 0% HACK NORMA 1 0% 35,230 0% 76 0% HELMS GATES M 1 0% 34,738 0% 66 0% FRIEDMAN DAVID A 1 0% 34,658 0% 2,013 0% 47/57 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0122778 CONFIDENTIAL SDNY_GM_00268962 EFTA01460997