EFTA01460993.pdf

USPB relationships by size tier - size tier in EUR - data in USD # % of total % total Revenue Q1 % of total Row Labels Relationships relationships CBV Q1 2015 CBVs 2015 (USD) Revenue MCKIE AARON 1 0% 250,005 0% 210 0% MORACE JOHN 1 0% 250,000 0% 450 0% MCCANN KEVIN M 1 0% 250,000 0% 302 0% AHDOUT WIL 1 0% 250,000 0% 213 0% RYAN CHRISTINE 1 0% 250,000 0% 1,000 0% SCHWARTZ RICH 1 0% 250,000 0% 215 0% WEINSTEIN HARRIS 1 0% 250,000 0% 845 0% GUNTHEL RICHARD M 1 0% 249,838 0% 612 0% AMMEEN JAMES J 1 0% 249,589 0% 308 0% WILSON THOMAS W 1 0% 247,770 0% 627 0% WALKER LUCIE A 1 0% 247,300 0% 719 0% RABINIVICIUS H 1 0% 246,047 0% 17 0% FRANK MARJORIE B 1 0% 244,879 0% 743 0% ENNIS OLIN N 1 0% 243,896 0% 304 0% LEONARD MARK 1 0% 243,806 0% 440 0% DURAND PETREA H 1 0% 243,242 0% 1,015 0% RICHARDS JOAN 1 0% 241,927 0% 7 0% BAYNE W 1 0% 241,406 0% 693 0% SWEENEY CHARLIE 1 0% 240,359 0% 449 0% BERNARD B&R 1 0% 239,858 0% 36 0% ROFFMAN STUART 1 0% 239,524 0% 670 0% CHAN JOHNSON 1 0% 239,160 0% 3 0% VALENTINE K 1 0% 238,396 0% 879 0% INTL BK SEC 1 0% 237,140 0% 172 0% AGUILAR MICHAEL 1 0% 235,803 0% 499 0% SCHIPSKI 1 0% 234,731 0% 723 0% BEASLEY 1 0% 234,285 0% 728 0% LASCALA RUSSELL 1 0% 234,064 0% 449 0% THE AISENMAN FAMILY 1 0% 232,785 0% 11 0% PRINCIPALS OF SILVE 1 0% 231,780 0% 418 0% TUCKERMAN ELI 1 0% 230,992 0% 853 0% WOLTER JASON 1 0% 230,647 0% 109 0% BRIO CAPITAL LP 1 0% 228,751 0% 1,134 0% HESS SARA S 1 0% 228,413 0% 14 0% DARA CAPITAL 1 0% 226,771 0% 1,630 0% RACOLIN ALEXAN 1 0% 226,303 0% 402 0% KATE CRANE 1 0% 224,399 0% 12 0% DODI MANAGEMENT GRO 1 0% 223,399 0% 11 0% MALLICK THEODORA 1 0% 221,403 0% 290 0% FAIRCHILD ROBERT 1 0% 219,931 0% 449 0% GREENE DONALD 1 0% 219,867 0% 811 0% FRIENDS OF THE PEAC 1 0% 218,922 0% 470 0% AGF 1 0% 216,779 0% 515 0% SCOTT ADAM 1 0% 215,987 0% 123 0% DOWELL WIL 1 0% 213,469 0% 6 0% HEANEY E&S 1 0% 212,726 0% 496 0% STONE JOAN 1 0% 211,351 0% 0% DELCOL CHRISTOPHER 1 0% 211,344 0% 449 0% HECHT ALVA W 1 0% 210,854 0% 542 0% TALLEYRAND ANNA G 1 0% 209,018 0% 14 0% SOMMER VIOLA 1 0% 208,503 0% 489 0% BERENT 1 0% 208,502 0% 440 0% GERINGER & DOLA 1 0% 208,429 0% 411 0% WHITNEY GUILFORD M 1 0% 208,281 0% 259 0% 43/57 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 122774 CONFIDENTIAL SDNY_GM_00268958 EFTA01460993