EFTA Document EFTA01478313

> 75% Pipeline Opportunity Name Relationship Name Customer Name Close Date (%) Product Name Actual Assets Structure BPS/Flat Fee Actual Revenue Sales Team Member Estimated Mo nth 8 2015 Est 2016 Rev Est 2017 Rev Banking ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 90 Private Wealth Premi um Checking 25000000 BPS 40 100000 0 IF(H2="BPS",J2*(L2/12),J2)=0 IF(H 2="BPS",J2,0)0000 Brokerage THIRD LAKE CAPITAL RELATIONSHIP WANEK TRUST OF 2000 3/31/2016 90 Brok erage (Commissions) 5000000 BPS 5 2500 Morris 0 IF(H3="BPS",J3*(L3/12),J3)=0 IF(H3="BPS",J3,0)%00 JTWROS Brokerage THIRD LAKE CAPITAL RELATIONSHIP Wanek, Karen A. 3/31/2016 90 Brok 5000000 BPS 20 10000 Morris 0 IF(H4="BPS",J4*(L4/12),J4)=0 IF(H4="BPS",J4,0)000 Real Estate Opportunity 54 MADISON PARTNERS RELATIONSHIP 54 Madison Partners 3/31/2016 75 U.S. Structured Lending (Secured) 150000000 BPS 550 12000000 Morr is 0 0 J5000000 KCP ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 75 Brokerage (Commissio ns) 50000000 BPS 5 25000 Morris 0 0 J6%000 Credit Facility GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Family Office 3/31 /2016 75 U.S. Letter of Credit 150000000 BPS 200 3500000 IF(H22="BPS",J22*(L7 /12),J22)=0 J22=0 Goldrush MEISTER, TODD RELATIONSHIP Meister, Todd 6/30/2016 75 U.S. Structu red Lending (Secured) 90000000 BPS 1235 13365000 0 0 J8365000 Deposits Meister, Todd 3/31/2016 75 Private Weal th Premium Money Market 10000000 BPS 35 35000 Morris 0 IF(H9="BPS",J9*(L9/1 2),J9)=0 IF(H9="BPS",J9,0)5000 KCP Private Markets ORIX RELATIONSHIP ORIX Corporation 3/31/2016 75 Priv ate Equity Funds 10000000 Flat Fee 400000 400000 Morris 0 IF(H10="BPS" ,J10*(L10/12),J10)@0000 J10@0000 Structured Credit PARAMI CAPITAL MANAGEMENT RELATIONSHIP Vaid, Rahul 6/30/2016 75 U.S. Secured Lending (Lombard) 50000000 BPS 300 1500000 Oldfield 0 IF(H 11="BPS",J11*(L11/12),J11)=0 IF(H1l="BPS",J11,0)00000 Deposits PARAMI CAPITAL MANAGEMENT RELATIONSHIP Parami Capital Management 3/31/2016 75 Private Wealth Premium Money Market 10000000 BPS 35 35000 Morris 0 0 J125000 Airplane Loan SAPIR, TAMIR RELATIONSHIP Sapir, Tamir 3/31/2016 75 U.S. Structu 10000000 BPS 200 200015 Morris 0 IF(H13="BPS",J13*(L1 3/12),J13)=0 IF(H13="BPS",J13,0) 0015 Falcon Trail Capital, LLC 3/31/2016 75 Deri 200 100000 Morris 0 0 J140000 Falcon Trail Capital, LLC 3/31/2016 75 Deri 200 100000 Morris 0 IF(H15="BPS",J15*(L15/12),J1 CLO 2 SK FAMILY OFFICE RELATIONSHIP vatives (Equity - Swap) 5000000 BPS CLO 5K FAMILY OFFICE RELATIONSHIP vatives (Equity - Swap) 5000000 BPS 5)=0 IF(H15="BPS",J15,0)0000 Structured Notes SK Family Office 3/31/2016 Structured Notes S Deposits (Equity) 3000000 Flat Fee 45000 45000 Loan 3/31/2016 75 U.S. 5000000 BPS 200 100000 Brokerage SOUTHERN FINANCIAL RELATIONSHIP Gratitude America 3/31/2016 75 erage (Asset-Based Fees) - Advisor Select 10000000 BPS 20 20000 Additional Banking SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 Private Wealth Premium Checking w/Interest 50000000 BPS 20 100000 SUM(G2:G19)=6.43E8 SUM(J2:J19)1637515 SUM(M2:M19)@0000 SUM(N2:N19)'872515 75 Structu Brok 75 PROT0 Full Pipeline Opportunity Name Relationship Name Customer Name Actual Assets Structure BPS/Flat Fee Actual Revenue Real Estate Opportunity 54 MADISON PARTNERS RELATIONSHIP 75 150000000 art Oldfield Introduction ANNANDALE CAPITAL RELATIONSHIP Annandale ate Wealth Premium Money Market 0 Stewart Oldfield Introduction ARDEN ASSET MGMT RELATIONSHIP Arden Asset ASPEN GROVE CAPITAL RELATIONSHIP Aspen Grove Capital, LLC /2016 25 Brokerage (Commissions) 15000000 BPS 5 7500 Paul Morris Introduction BAKHSHANDEHPOUR, SAM RELATIONSHIP Bakhshandehpour, Sam 2/29/2016 0 Lending BASQUTAT RELATIONSHIP Estate of Gerard Basquiat 3/31/2016 50000000 BPS 100 500000 Paul Morris Structured Lending BENEFIT STREET PARTNERS RELATIONSHIP Benefit Street Partners 25 30000000 BPS 100 300000 BLUE MOUNTAIN RELATIONSHIP Greatrex, Peter 3/31/2016 25000000 BPS 5 12500 Paul Morris Credit Line BLUE MOUNTAIN RELATIONSHIP Blue Mountain Capital Management, LLC 25 50000000 HF Secondaries BLUESTEM LLC RELATIONSHIP O BOMMER, SCOTT RELATIONSHIP SAB Capital Management, LP 25 Brokerage (Commissions) 35000000 BPS 5 17500 Paul Morris Deposits BOMMER, SCOTT RELATIONSHIP Bommer, Scott 3/31/2016 10 th Premium Checking 25000000 BPS 40 100000 Paul Morris Residential Mortgage BOMMER, SCOTT RELATIONSHIP Sommer, Scott 3/31/2016 dard Mortgage - 5/1 Arm 25000000 BPS 100 250000 Paul Morris Introduction BRACK CAPITAL RELATIONSHIP Brack Capital 3/31/2016 th Premium Money Market 0 Paul Morris Introduction BRIGHT GROUP RELATIONSHIP Bright Group 3/31/2016 Banking BRONFMAN, EDGAR RELATIONSHIP Bronfman, Edgar 3/31/2016 10 um Checking w/Interest 25000000 BPS 40 Muni Portfolio CAVALRY RELATIONSHIP Cavalry Portfolio Services, LLC 3/31/2016 al Select - Fixed Income 25000000 BPS 50 125000 Paul Morris Banking Account CAVALRY RELATIONSHIP Cavalry Portfolio Services, LLC 3/31/2016 ate Wealth Premium Checking 50000000 BPS 40 200000 Paul Morris Brokerage CAVALRY RELATIONSHIP Cavalry Portfolio Services, LLC 3/31/2016 10000000 BPS 5 5000 Paul Morris Custody CFM RELATIONSHIP Capital Fund Management 3/31/2016 10 Onshore Introduction CFM RELATIONSHIP Comprehensive Financial Management 3/31/2016 0 KCP/ Private Markets COLLIS, CHARLES RELATIONSHIP EverWatch Financial 3/31/2016 Private Equity Funds 5000000 Flat Fee 200000 200000 Stewart Oldfield Brokerage ommissions) Share Collars ommissions) Introduction um Money Market HF Secondaries Close Date (%) Product Name Sales Team Member 54 Madison Partners 3/31/2016 BPS 550 12000000 Stew Capital Mgmt 3/31/2016 0 3/31/2016 0 10 U.S Priv Priv 3/31 0 Structu 3/31/2016 Paul Morris 50 Brok 3/31/2016 BPS 100 Bluestem LLC 3/31/2016 25 Hedge Funds 3/31/2016 Private Weal 10 Stan O Private Weal O Private Weal Private CROSS, LISA RELATIONSHIP Cross, Lisa 3/31/2016 10 75000000 BPS 5 37500 Paul Morris CUMMINGS, IAN RELATIONSHIP Cummings, Ian 3/31/2016 5000000 Flat Fee 250000 250000 Paul Morris CV STARR RELATIONSHIP CV Starr 3/31/2016 0 DELL, MICHAEL RELATIONSHIP Dell, Michael S. 3/31/2016 e Funds 0 Paul Morris Introduction DOCK STREET CAPITAL RELATIONSHIP Dock Street Capital 3/31/2016 0 0 Deposits DONALD BRYANT JR. RELATIONSHIP Bryant Jr., Donald 3/31/2016 10 Priv ate Wealth Premium Checking w/Interest 10000000 BPS 40 40000 Paul Morris Loan DORRANCE FAMILY RELATIONSHIP Dorrance Family Foundation 3/31/2016 0 U.S. Structured Lending (Secured) 200000000 BPS 100 2000000 Stewart Oldfield Cash management DORRANCE FAMILY RELATIONSHIP Dorrance Family Foundation 3/31/2016 0 20000000 BPS 30 60000 Private Equity DORRANCE FAMILY RELATIONSHIP Dorrance Family Foundation 3/31/2016 0 Private Equity Funds 0 Margin Loan DF Enterprises 3/31/2016 0 U.S. Secured Lending (Lombard) 250000000 BPS 65 1625000 Stewart Oldfield Land Loan DF Enterprises 12/31/2016 0 U.S. Structu 100000000 BPS 600 6000000 Stewart Oldfield Introduction DUNCAN INVESTMENTS RELATIONSHIP Duncan Investments 3/31/2016 0 Priv Retirement Plan ELLIN, HOWARD RELATIONSHIP Ellin, Howard 9/30/2016 10 U.S. IA - Ba lanced 1000000 BPS 60 6000 Paul Morris Banking ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 90 um Checking 25000000 BPS 40 KCP ELYSIUM MANAGEMENT RELATIONSHIP Black, Leon D. 3/31/2016 75 Brokerage (COmmiSSiO ns) 50000000 BPS 5 25000 Paul Morris Cash Management ELYSIUM MANAGEMENT RELATIONSHIP Elysium Management 3/31/2016 50 U.S. Wealth Premi 10 Glob 10 Priv 10 Brok Custody 0 0 50 Brokerage (C 10 Brokerage (C 0 10 Hedg PROT1 IA - RCM 50000000 BPS 25 Art Lending ELYSIUM MANAGEMENT RELATIONSHIP 250000000 BPS Proxy Hedge ELYSIUM MANAGEMENT RELATIONSHIP vatives (Equity - Option) 250000000 Introduction ELYSIUM MANAGEMENT RELATIONSHIP Deposits ERGEN, CHARLES th Premium Checking w/Interest Brokerage ERGEN, CHARLES ommissions) 50000000 Credit Line ERGEN, CHARLES 300000000 BPS 100 3000000 Paul Morris Lending FALLLINE RELATIONSHIP FallLine 3/31/2016 25 U.S. Structured ured) 100000000 100 0 Custody FALLLINE RELATIONSHIP FallLine 3/31/2016 10 10 1000000 Stewart Oldfield Lending FITZGIBBONS, JOHN RELATIONSHIP Deerpath Capital Management Letter of Credit 30000000 BPS 100 300000 Paul Morris Airplane Loan FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 Structured Lending (Secured) 10000000 BPS 100 FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 50000000 BPS 200 1000000 Paul Morris Residential Mortgage FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 Standard Mortgage - Floating Arm 4000000 BPS 100 40000 Paul Morris Commercial Mortgage FITZGIBBONS, JOHN RELATIONSHIP Fitzgibbons, John 3/31/2016 Commercial Real Estate 5000000 BPS 100 50000 Paul Morris Introduction FORRESTAL CAPITAL RELATIONSHIP Forrestal Capital LLC 3/31/2016 Deposits GAGOSIAN, LARRY RELATIONSHIP Gagosian, Larry 3/31/2016 th Premium Checking w/Interest 25000000 0 Paul Morris Brokerage GASLOW, LAWRENCE RELATIONSHIP Gaslow, Peter 3/31/2016 ommissions) 25000000 BPS 5 12500 Paul Morris Credit Facility GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Family Office /2016 75 150000000 BPS 200 3500000 Paul Morris Secondary CLOs GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Family Office /2016 50 Structured Notes & Deposits (Equity) 5000000 Flat Fee 200000 200000 Morris Rated Infrastructure Notes ily Office 3/31/2016 90000 90000 Paul Morris Brokerage GEORGETOWN UNIVERSITY RELATIONSHIP 50 Brokerage (Asset-Based Fees) - Advisor Select Brokerage GERSCHEL, PATRICK RELATIONSHIP Gerschel, Patrick 3/31/2016 15000000 BPS 5 7500 Paul Morris Introduction GRANITE GROUP RELATIONSHIP Granite Group Advisors 3/31/2016 Introduction HIGHLANDER PARTNERS RELATIONSHIP Hirsch, Lawrence 0 Referall Fees HUDIBURG RELATIONSHIP Sullivan, Hardin 3/31/2016 0 Referral Fee O Brokerage HYMAN, ED RELATIONSHIP Hyman, Ed 3/31/2016 10 Brokerage (Commissio ns) 20000000 BPS 5 Introduction ILLIG, CLIFF RELATIONS 3/31/2016 0 Priv Paul Morris RELATIONSHIP 50000000 RELATIONSHIP BPS 5 RELATIONSHIP 125000 Paul Morris Black, Leon D. 9/30/2016 50 100 2500000 Paul Morris Elysium Management 3/31/2016 BPS 100 2500000 Paul Morris AP Investco LLC 3/31/2016 0 Ergen, Charles 3/31/2016 50 BPS 40 200000 Paul Morris Ergen, Charles 3/31/2016 25 25000 Paul Morris Ergen, Charles 3/31/2016 10 Onshore Custody 3/31/2016 U.S. Structu 10 Deri Private Weal Private Weal Brokerage (C U.S. Structu Lending (Sec 1.0E9 BPS 10 U.S. 10 U.S. 10 [repeated 3 times] 0 Priv 25 Private Weal 50 Brokerage (C 3/31 3/31 Paul GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP General Atlantic Fam 50 Structured Notes & Deposits (Equity) 3000000 Flat Fee Georgetown University Endowment 3/31/2016 25000000 Flat Fee 100 100 25 Brok 0 Priv 3/31/2016 0 10000 Paul Morris HIP Rock Island Capital Introduction ILLIG, CLIFF RELATIONSHIP Sporting KC Referral Fees ILLIG, CLIFF RELATIONSHIP Illig, Cliff O Introduction IRONSIDES ASSET MGMT RELATIONSHIP Ironsides 0 Real Estate Financing ITAFIN RELATIONSHIP eal Estate 25000000 BPS 120 Banking JAIN, NEIL RELATIONSHIP Jain, Sunil ing w/Interest 25000000 BPS 40 JAIN, NEIL RELATIONSHIP Jain, Neil 3/31/2016 ommissions) 15000000 BPS 5 7500 Paul Morris HF Secondaries JL SQUARED GROUP RELATIONSHIP JL Squared Group e Funds 10000000 0 KIM, STEVEN RELATIONSHIP Kim, Steven Structured Lending (Secured) 50000000 BPS 100 500000 Deposits LAFFONT, PHILPPE RELATIONSHIP Laf font, Philppe ate Wealth Premium Checking 25000000 BPS 40 Mortgage LAFFONT, PHILPPE RELATIONSHIP Laf font, Philppe 3/31/2016 25 dard Mortgage - 5/1 Arm 25000000 BPS 100 Consumer RE LINDEMANN FAMILY RELATIONSHIP Lindemann Jr., George 3/31/2016 50 ercial Real Estate 50000000 BPS 100 500000 Stewart Oldfield Residential Loan Lindemann Jr., George 3/31/2016 3/31/2016 0 3/31/2016 0 Asset Mgmt Private Weal Referral Fee 3/31/2016 0 Chammah, Ezra 3/31/2016 10 Commercial R 300000 Paul Morris 3/31/2016 10 Private Wealth Premium Check 10 Brokerage (C 3/31/2016 50 3/31/2016 25 3/31/2016 25 Hedg U.S. Priv Stan Comm 50 PROT2 U.S. Structured Lending (Unsecured) 100000000 BPS 200 Art Loan Lindemann, Adam M. 35000000 BPS 200 700000 Stewart ETE Loan Lindemann Jr., George 25000000 BPS 100 250000 Stewart ETE Loan Lindemann, Adam M. 37500000 BPS 100 375000 Stewart Introduction Tan Tan Bo Puking LLC ETE- Brokerage Series 1 LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partners hip 3/31/2016 0 Brokerage (Commissions) 30000000 BPS 20 60000 Stew art Oldfield ETE loan- Series 2 The George Lindemann Family Limited Partners hip 3/31/2016 0 U.S. Secured Lending (Lombard) 20000000 BPS 135 2700 00 Deposits The George Lindemann Family Limited Partnership 3/31 /2016 0 1000000 BPS 35 3500 Stewart Oldf ield ETE Brokerage- Series 2 LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partners hip 3/31/2016 0 Brokerage (Asset-Based Fees) - Advisor Select 30000000 BPS 20 60000 Introduction LORBER, HOWARD RELATIONSHIP Lorber, Howard 3/31/2016 0 Private Weal Paul Morris Introduction M20 INCORPORATED RELATIONSHIP M20 Incorporated Introduction MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP /2016 0 0 Introduction MARINER CAPITAL RELATIONSHIP Mariner Capital Lending MARRON, DONALD B. RELATIONSHIP Marron, of Credit 25000000 BPS 100 Muhart, Gene- MATEER, CRAIG RELATIONSHIP art Oldfield Goldrush 90000000 BPS Deposits th Premium Money Market 10000000 BPS Meister, Todd 3/31/2016 25 U.S. 50000000 BPS 200 1000000 Paul Morris Residential Mortgage Meister, Todd 3/31/2016 25 Stan dard Mortgage - Floating Arm 7000000 BPS 100 70000 Paul Morris Banking MEISTER, TODD RELATIONSHIP Meister, Robert A. 3/31/2016 25 Private Weal th Premium Checking w/Interest 10000000 BPS 40 40000 Paul Morris Fixed Income MOODY, ERIK RELATIONSHIP Moody, Erik V 3/31/2016 10 U.S. IA - Fi 87500 Paul Morris Moody, Erik V 3/31/2016 10 BPS 35 87500 Paul Morris Murstein, Alvin 3/31/2016 10 100 Murstein, Andrew 3/31/2016 xed 25000000 BPS 35 Banking MOODY, ERIK RELATIONSHIP um Checking w/Interest 25000000 Lending MURSTEIN, ALVIN RELATIONSHIP (Lombard) 50000000 BPS Banking MURSTEIN, ALVIN RELATIONSHIP th Premium Checking w/Interest 10000000 BPS 40 40000 Paul Morris Introduction NAZERIAN, DAVID RELATIONSHIP Nazerian, David 3/31/2016 0 Private Weal ORIX Corporation 3/31/2016 75 Priv ate Equity Funds 10000000 Flat Fee 400000 400000 Stewart Oldfield Infrastructure ORIX RELATIONSHIP ORIX Americas 3/31/2016 25 U.S. Letter of Credi t 50000000 BPS 200 1000000 Stewart Oldfield IX Capital Partners- IX Capital Partners 5/31/2016 10 0 PARAMI CAPITAL MANAGEMENT RELATIONSHIP Vaid, Rahul 6/30/2016 75 U.S. Secured Lending (Lombard) 50000000 BPS 300 1500000 Paul Morris Deposits PARAMI CAPITAL MANAGEMENT RELATIONSHIP Parami Capital Management 3/31/2016 75 10000000 BPS 35 35000 Paul Morris Lending PARAMI CAPITAL MANAGEMENT RELATIONSHIP Parami Capital Management 3/31/2016 25 25000000 BPS 100 Brokerage PATRIOT STRATEGY PARTNERS RELATIONSHIP Patriot Strategy Partners 3/31/2016 0 Brokerage (Commissions) 25000000 Flat Fee 50000 50000 Paul Morris Introduction PEREGRINE GROUP RELATIONSHIP Peregrine Group, LLC 3/31/2016 0 Priv Credit Facility PINE RIVER CAPITAL RELATIONSHIP Pine River Capital Management LP 3/31/2016 10 50000000 BPS 100 Richardson, Julie G.- RICHARDSON, JULIE RELATIONSHIP Richardson, Julie G. 3/31/2016 50 Brokerage (Commissions) 30000000 BPS 5 15000 Paul Morris Loan ROGER BULLOCH RELATIONSHIP Bulloch, Roger 3/31/2016 10 U.S. Structured Lend ing (Secured) 20000000 BPS 100 200000 Stewart Oldfield Introduction Sher Capital 3/31/2016 Introduction SPB Partners 2000000 Stewart Oldfield 3/31/2016 10 U.S. Oldfield 3/31/2016 10 U.S. Oldfield 3/31/2016 10 U.S. Oldfield 3/31/2016 0 Priv 3/31/2016 0 Priv Makena Capital Mangement, LLC 3/31 3/31/2016 0 Private Weal Donald B. 3/31/2016 25 U.S. Letter Muhart, Gene 5/31/2016 10 0 Stew Meister, Todd 6/30/2016 75 U.S. Structu 1235 13365000 Meister, Todd 3/31/2016 75 Private Weal 35 35000 Paul Morris U.S. Secured Lending 10 Private Weal 0 Private Weal 3/31/2016 0 Private Weal PROT3 Introduction RUBENSTEIN, KEITH RELATIONSHIP Rubenstein, Keith 3/31/2016 0 Priv Paul Morris Airplane Loan SAPIR, TAMIR RELATIONSHIP Sapir, Tamir 3/31/2016 75 U.S. Structu 10000000 BPS 200 200015 Stewart Oldfield KCP SCHMIDT, ERIC RELATIONSHIP Hillspire LLC 3/31/2016 10 Brokerage (Commissio ns) 0 Deposits SCHMIDT, ERIC RELATIONSHIP Hillspire LLC 3/31/2016 10 Private Weal 50000000 BPS 20 100000 Stewart Oldfield Introduction SHAMROCK RELATIONSHIP Martin, Greg 3/31/2016 0 um Money Market 0 CIO Strategies SIMON, RICHARD M RELATIONSHIP Simon, Richard M. 3/31/2016 25 Glob al Select - Equities/Balanced 25000000 BPS 35 87500 Paul Morris CLO 2 Falcon Trail Capital, LLC 3/31/2016 75 Deri vatives (Equity - Swap) 5000000 BPS 200 CLO Falcon Trail Capital, LLC 3/31/2016 75 Deri vatives (Equity - Swap) 5000000 BPS 200 Structured Notes 3/31/2016 75 Structured Notes & Deposits (Equity) 3000000 Flat Fee 45000 45000 Paul Morris Loan 3/31/2016 75 U.S. Structu 5000000 BPS 200 HELOC 3/31/2016 25 Standard Mor tgage - Floating Arm 15000000 BPS 100 150000 Paul Morris Introduction SLIFKA, RANDY RELATIONSHIP Slifka, Alfred A. 3/31/2016 0 Priv HF Secondaries SLOME, IAN RELATIONSHIP Slome, Ian 3/31/2016 25 0000 0 Hedge Funds 2500 Euro Hedge SNYDER, DANIEL RELATIONSHIP Snyder, Daniel 3/31/2016 10 Brokerage (C ommissions) 100000000 BPS 20 200000 Stewart Oldfield DPM Mandate Snyder, Daniel 3/31/2016 10 U.S. IA - Eq uity 50000000 BPS 50 250000 Stewart Oldfield Brokerage Snyder, Daniel 3/31/2016 10 Brokerage (C ommissions) 10000000 BPS 5 5000 Loan Snyder, Daniel 3/31/2016 0 U.S. Letter of Credi t 50000000 BPS 100 500000 Stewart Somerset Partners- SOMERSET PARTNERS RELATIONSHIP Oldfield Somerset Partners 2/29/2016 10 O Paul Morris Introduction SONEN CAPITAL RELATIONSHIP Sonen Capital 3/31/2016 0 Private Weal Brokerage SOUTHERN FINANCIAL RELATIONSHIP Gratitude America 3/31/2016 75 Brok erage (Asset-Based Fees) - Advisor Select 10000000 BPS 20 20000 Paul Morris Additional Banking SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 75 Private Wealth Premium Checking w/Interest 50000000 BPS 20 DPM SOUTHERN FINANCIAL RELATIONSHIP The Haze Trust 3/31/2016 50 U.S. IA - Equity 25000000 BPS 35 87500 Paul Morris SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC 3/31/2016 10 50000000 BPS 300 1500000 Paul Morris Brokerage SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP Stock, Robert D. 3/31/2016 25 Brokerage (Commissions) 50000000 BPS 100 500000 Stewart Oldfield Equity Trading SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP Spruce Investment Advisors, LLC 3/31 /2016 25 Brokerage (Commissions) 50000000 BPS 100 500000 Stewart Oldfield Real Estate Loan STREAM REALTY RELATIONSHIP Stream Realty Partners 3/31/2016 10 Commercial Real Estate 50000000 BPS 100 Brokerage THARANI, HARESH RELATIONSHIP Tharani, Haresh 3/31/2016 25 Brokerage (C ommissions) 30000000 BPS 5 15000 Paul Morris Airplane Finanching THARANI, HARESH RELATIONSHIP Tharani, Haresh 3/31/2016 10 U.S. Structured Lending (Secured) 10000000 BPS 100 Credit Draw THE NATIONAL ORGANIZATION OF THE NEW APOSTOLIC CHURCH OF NORTH AMERICA RELATIONSHIP The National Organization of the New Apostolic Church of North America 3/31/2016 50 U.S. Secured Lending (Lombard) 10000000 BPS 180 180000 Paul Morris Brokerage THIRD LAKE CAPITAL RELATIONSHIP WANEK TRUST OF 2000 3/31/2016 90 Brok 5000000 BPS 5 2500 Paul Morris JTWROS Brokerage THIRD LAKE CAPITAL RELATIONSHIP Wanek, Karen A. 3/31/2016 90 Brok 5000000 BPS 20 10000 Paul Morris CMBS THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 50 Commercial R eal Estate 20000000 Flat Fee 30000 30000 Paul Morris Leveraged Loan/Real Estate Lending THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31 /2016 50 Commercial Real Estate 50000000 Flat Fee 3000000 3000000 Paul Morris THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 50 Private Equity Funds 15000000 BPS 150 225000 Paul Morris Banking THIRD LAKE CAPITAL RELATIONSHIP WANEK TRUST OF 2000 3/31/2016 50 Private Weal 10000000 BPS 40 40000 Paul Morris HF Secondaries THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 25 Hedg e Funds 25000000 Flat Fee 125000 125000 Paul Morris Banking Products THIRD LAKE CAPITAL RELATIONSHIP Todd and Karen Wanek Marital Property Trust 3/31/2016 25 10000000 BPS 40 4000 O Paul Morris Cash Management THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 10 U.S. IA - Fixed 100000000 BPS 25 Deposits THIRD LAKE CAPITAL RELATIONSHIP SSW 2007 LLC 3/31/2016 10 Private Weal PROT4 th Premium Money Market 50000000 BPS 40 200000 Paul Morris Fixed Income THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital 3/31/2016 10 U.S. IA - Fixed 100000000 BPS 35 350000 Paul Morris HF Secondaries TISCH FAMILY RELATIONSHIP TFMG, LLC 3/31/2016 25 Hedge Funds 5000000 Flat Fee 125000 125000 Paul Morris Deposits TISCH FAMILY RELATIONSHIP TFMG, LLC 3/31/2016 10 Private Weal 50000000 BPS 40 200000 Paul Morris Stock Lending TISCH FAMILY RELATIONSHIP TFMG, LLC 3/31/2016 10 U.S. Structu 50000000 BPS 100 HF Secondaries TISCH FAMILY RELATIONSHIP Tisch Financial Management 3/31/2016 0 Hedge Funds 0 Paul Morris Custody and Trading TISCH FAMILY RELATIONSHIP Tisch Financial Management 3/31/2016 O Onshore Custody 300000000 BPS 20 600000 Paul Morris Art Financing TOMS CAPITAL LLC RELATIONSHIP TOMS Capital Investment, LLC 3/31/2016 25 50000000 BPS 100 Commerical Real Estate TOMS CAPITAL LLC RELATIONSHIP Gottesman, Noam 3/31/2016 10 Comm ercial Real Estate 50000000 BPS 200 1000000 Paul Morris Real Estate Financing TOMS CAPITAL LLC RELATIONSHIP TOMS Capital Investment, LLC 3/31/2016 10 60000000 BPS 100 600000 Paul Morris Introduction TRUE NORTH ADVISORS RELATIONSHIP True North Advisors, LLC 3/31/2016 O 0 Introduction UNITED COMPANY RELATIONSHIP United Company 3/31/2016 0 Private Weal Lending VIOLA, VINCENT RELATIONSHIP Viola, Vincent 3/31/2016 10 U.S. Letter of Credi t 25000000 BPS 100 HF Secondaries WILLETT ADVISORS RELATIONSHIP Willett Advisors, LLC 3/16/2016 25 Hedg e Funds 5000000 Flat Fee 125000 125000 Stewart Oldfield WILLETT ADVISORS RELATIONSHIP Willett Advisors, LLC 3/31/2016 10 25000000 BPS 100 250000 Stewart Oldfield CRE Loan WILSON, WELCOME RELATIONSHIP Wilson, Welcome 3/31/2016 10 Commercial R eal Estate 200000000 BPS 100 2000000 Paul Morris Introduction WINSTON ADVISORS RELATIONSHIP Winston Advisors 3/31/2016 0 Priv Petrides, George- YORKTOWN PARTNERS, LLC RELATIONSHIP Petrides, George 3/31/2016 25 Brokerage (Commissions) 10000000 BPS 5 5000 Paul Morris Banking YORKTOWN PARTNERS, LLC RELATIONSHIP Lawrence, Bryan 3/31/2016 25 Private Weal 20000000 BPS 40 80000 Paul Morris IA Warren, Glenn 3/31/2016 25 U.S. IA - RC M 50000000 BPS 35 175000 Paul Morris Structured Lending Yorktown Partners LLC 3/31/2016 25 U.S. Structured Lending (Unsecured) 50000000 BPS 200 1000000 Paul Morris Brokerage Keenan, William Howard 3/31/2016 10 Brokerage (Commissions) 25000000 BPS 5 12500 Paul Morris PROT5 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$ 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 $##$$$#$ 4441141#1 Tier 1 $100 - 500 M 00000409133 Active Tier 1 Active Tier 3 00000448035 Active Tier 2 00000416916 Active Tier 2 Active Tier 2 00000409312 Active Tier 3 Active Tier 2 Active Tier 2 Active Tier 3 Active Tier 2 Active Tier 2 00000409286 Active Tier 2 Active Tier 2 00000483947 Active 1111111/ Active Tier 1 $50 - 100 M H Rel. Net Worth Rela Last Modified Date <$0.5 M 414. $250 - 500K $50 - 100 M $0.5 H $50 - 100 m $50 - 100K Active Tier 3 1111111/ 1111111/ Active Tier 1 #104.410 #104114.0 #104114.11 #104114.11 Active Tier 1 $50 - 100 M H H $50 - 100 m H [repeated 6 times] $100 - 250K $50 - 100 m $100 - 250K Tier 3 f$$$$#$$ $0.5 PROT6 Stew 25 Customer Name Last Call Note Customer Number Status Relationship Tier tionship Investable Assets (Est.) Revenue Potential ($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 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 00000497520 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 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 PROT7 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 2/6/2015 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 PROT8 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 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 00000497520 Active PINE RIVER CAPITAL RELATIONSHIP 00000495627 00000514745 SCHAEFER, MARLA RELATIONSHIP 00000482432 SCHMIDT, ERIC RELATIONSHIP 12/4/2014 SHAMROCK RELATIONSHIP 00000508301 Active SIRIS CAPITAL RELATIONSHIP 00000485211 SLOME, IAN RELATIONSHIP 00000499573 Active 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 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 PROT9 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 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 . RELATIONSHIP 00000508353 P 11/5/2014 96026 Inactive 00000482512 Active 00000482508 Active 83662 Inactive P 00000482522 Active 96304 Inactive 00000466131 Active Tier 2 9/20/2015 00000409212 Inactive Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 11/5/2014 00000483929 Active Tier 1 9/20 Active Tier 00000409240 Tier [repeated 6 times] 2 9/20/2015 3 9/20/2015 2 9/20/2015 2 9/20/2015 2 9/20/2015 3 9/20/2015 2 9/20/2015 Tier 3 9/20/2015 00000451105 Inactive Tier 3 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Inactive Tier 2 9/20/2015 9/20/2015 10/16/2015 9/20/2015 9/20/2015 Tier 2 9/20/2015 Tier 2 9/20/2015 9/20/2015 Tier 2 9/20/2015 Active Tier 2 10/19/2015 PROT10 PENSLER, SANDY RELATIONSHIP 00000482468 PEREGRINE GROUP RELATIONSHIP 00000499602 POLYMER LOGISTICS RELATIONSHIP 00000508809 RICHARDSON, JULIE RELATIONSHIP 00000481328 Active ROARK CAPITAL GROUP RELATIONSHIP 11/20/2013 ROSE, SIMON RELATIONSHIP ROSEMORE, INC RELATIONSHIP SALZMAN, RICHARD RELATIONSHIP SCF PARTNERS RELATIONSHIP SCHOR, FRANCIS RELATIONSHIP SCHREIBER, KARL RELATIONSHIP SCS FINANCIAL RELATIONSHIP SHANKEN, MARVIN RELATIONSHIP SIEGEL, JEROME RELATIONSHIP SILVESTRI, ANGELO RELATIONSHIP SIMON, RICHARD M RELATIONSHIP 00000484535 Active Tier 2 9/20/2015 SK CAPITAL PARTNERS RELATIONSHIP 3/6/2013 00000435834 Inactive 9/20/2015 SLIFKA, RANDY RELATIONSHIP 8/12/2015 00000451242 STALLER, CARY RELATIONSHIP 00000482410 Active Tier 2 9/20/2015 TAXEL, NELSON RELATIONSHIP 00000482391 Inactive TRUE NORTH ADVISORS RELATIONSHIP 00000508807 UNITED COMPANY RELATIONSHIP WEINDLING, LESTER RELATIONSHIP WHITE DEER ENERGY RELATIONSHIP WILLETT ADVISORS RELATIONSHIP WILSON, WELCOME RELATIONSHIP WINSTON ADVISORS RELATIONSHIP Active 00000482444 11/4/2014 00000482442 00000483655 00000482430 00000506830 11/10/2014 00000482424 00000482422 Active Tier 2 00000482418 Active Tier 2 Tier 2 9/20/2015 Tier 2 9/20/2015 Tier 2 9/20/2015 00000459563 Active Tier 2 9/20/2015 00000409735 Inactive 9/20/2015 Active Tier 2 9/20/2015 Inactive 00000470597 Active Tier 3 9/20/2015 Active Tier 2 9/20/2015 00000499617 11/17/2014 3/18/2013 00000495941 00000480635 00000514077 Active Tier 2 00000169891 00000478302 Active Tier 2 Active Tier 1 Active Tier 2 9/20/2015 Active Tier 3 9/20/2015 9/20/2015 PROT11