EFTA01460994.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 SLUSHER TODD 1 0% 207,664 0% 559 0% HAAS DAVID 1 0% 207,127 0% 620 0% WAGLE SHERAD 1 0% 205,846 0% 373 0% ANDREW SAFRAN 1 0% 205,475 0% 257 0% BRUSH DAV&KAR 1 0% 203,425 0% - 0% VARTANIAN PAUL 1 0% 202,376 0% 1,032 0% KANTOR STANLEY L 1 0% 202,151 0% 4 0% CHIPPAS THOMAS J 1 0% 202,040 0% 310 0% KAYE NATICA L 1 0% 199,848 0% 606 0% RANDALL CYNTHIA 1 0% 198,679 0% 194 0% COOK EDWARD T 1 0% 198,285 0% 607 0% BALTZ HARRY R 1 0% 196,412 0% 618 0% MACCRACKEN CONSTABL 1 0% 193,965 0% 12 0% PUTNEY TWOMBLY 1 0% 192,376 0% 447 0% SALPI KERYASHARIAN 1 0% 191,804 0% 314 0% NIKEAS LAZAROS 1 0% 191,410 0% 947 0% SCHULTZ CRAIG 1 0% 190,741 0% 27 0% WALSH MICHAEL J 1 0% 185,703 0% 43 0% BONNER GRACE 1 0% 184,450 0% 167 0% ANLAYNE WOOD 1 0% 183,937 0% 68 0% LEFKOWITZ ELLIOT J 1 0% 182,330 0% 575 0% FERBER RONALD 1 0% 181,704 0% 675 0% FLEMING DAVID 1 0% 181,486 0% (681) 0% MULHEARN RP 1 0% 179,920 0% 264 0% MUDGE DANIEL T 1 0% 179,577 0% 9 0% POLLOCK MARY J 1 0% 178,273 0% 541 0% SLADE TRUSTS FAMILY 1 0% 177,613 0% 293 0% HARAN JACQUES 1 0% 175,158 0% 192 0% SHERER GERRY 1 0% 173,667 0% 0% ART DUQUETTE FAMILY 1 0% 173,149 0% 259 0% ALLEN PAUL GARDNER 1 0% 172,926 0% 346 0% HAWKINS F A 1 0% 171,676 0% 632 0% SCHWINDT NANCY 1 0% 169,362 0% 693 0% DEMICHELE ROB 1 0% 168,742 0% 475 0% BIERMAN/CARRINGTON 1 0% 167,766 0% 466 0% SCHULTZ LINDA 1 0% 167,144 0% 0% BRYANT DEL 1 0% 166,041 0% 750 0% UNDERHILL JAMES 1 0% 164,563 0% 2 0% MINTZ HAL 1 0% 163,804 0% 5,000 0% CONDREN WILL 1 0% 163,223 0% 299 0% KLAEHN 1 0% 163,095 0% 344 0% GEORGES FARHA 1 0% 160,998 0% 294 0% JAMES R LANDERS 1 0% 160,000 0% 931 0% MARINELLI PAUL 1 0% 158,841 0% 0% VINER ANN W 1 0% 158,824 0% 199 0% MACPHERSON GREG 1 0% 158,628 0% 108 0% SAN SOUCI ANNA F 1 0% 157,882 0% 481 0% JUESTEN HENDRIK 1 0% 156,086 0% 18 0% HEPCO TOURS INC 1 0% 154,236 0% 323 0% TUTTLE ARTHUR S 1 0% 152,376 0% 445 0% KELSO DAVE 1 0% 152,362 0% 508 0% LEWIS MARTIN 1 0% 152,362 0% 495 0% BLUMENFELD M&I 1 0% 152,300 0% 437 0% CONNOR FRANCIS 1 0% 151,449 0% 483 0% 44/57 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 122775 CONFIDENTIAL SDNY_GM_00268959 EFTA01460994