EFTA01398969.pdf

Kimble Customer Number Customer Name Type * High Risk * Moderate Risk Annual Client Update Due Dat A Exempt Reason Exemption Reason Customer Owner Golub, David Client N N 5/7/2017 Malcolm Kimble Toll, Robert I. Client N N 5/10/2017 Malcolm Kimble Adamski, Dorothea S Client N N 5/11/2017 Malcolm Kimble Adamski, Paulina J. Client N N 5/11/2017 Malcolm Kimble Adamski, Claudia C. Client N N 5/11/2017 Malcolm Kimble Adamski, Theresa M Client N N 5/11/2017 Malcolm Kimble Adamski, Susanne Client N N 5/11/2017 Malcolm Kimble The Estate of Gerald Houghton Client N N 5/11/2017 Malcolm Kimb The Aileen P. Houghton Revocable Trust Client N N 5/17/2017 Malc Valiotis, Stamatiki Client N Y 5/17/2017 Malcolm Kimble Houghton, Aileen P Client N N 5/17/2017 Malcolm Kimble Tunney, John V. Client N N 5/19/2017 Malcolm Kimble Davidson Equities LLC Client Y N 5/24/2017 Malcolm Kimble THE TOW FOUNDATION INC Client N N 6/1/2017 Malcolm Kimble Eckman, William P. Client N N 6/3/2017 Malcolm Kimble Washington Avenue Ventures Inc. Client N Y 6/8/2017 Malcolm Kimb Northeastern Industrial Park Inc. Client N 6/8/2017 Malc Rotterdam Ventures Client N 6/8/2017 Malcolm Kimble Valiotis, Sophia Client N 6/13/2017 Malcolm Kimble Femmes-Invest LLC Client N N 6/13/2017 Malcolm Kimble Adamski, Christoph Client N N 6/13/2017 Malcolm Kimble Tunney, Jonathan R. Client N 6/13/2017 Malcolm Kimble Russell and Willene Dobson Foundation Client N N 6/17/2017 Malc Dobson Performance Fund, LLC Client N Y 6/17/2017 Malcolm Kimb Dobson Family Foundation Client N Y 6/17/2017 Malcolm Kimb Dobson CC Limited Partnership Client N 6/17/2017 Malcolm Kimb Mary Power Logan Serenity Trust Client N • 7/28/2017 Malcolm Kimb Net Income Only Charitable Remainder Unitrust for the Benefit of Mary Power Logan Y 7/28/2017 Malcolm Kimble Camphill Village Copake Foundation, Inc. Client N Y 7/28/2017 le Fertitta, Tilman Client Y N 7/29/2017 Malcolm Kimble GNLC Holdings, Inc. Client Y N 8/2/2017 Malcolm Kimble Ritman, Sidney H. Client N N 8/5/2017 Malcolm Kimble Joy, Robert Client N N 8/19/2017 Malcolm Kimble Thaler, Richard Client N N 9/12/2017 Malcolm Kimble Golub Capital Partners 9 Client N Y 9/27/2017 Malcolm Kimb Oliver, Alex R. Client N N 10/6/2017 Malcolm Kimble Lemaster, Nancy Client N N 10/7/2017 Malcolm Kimble LEG Partners Debenture SBIC L.P. Client N 10/11/2017 Malc LEG Partners III SBIC L.P. Client N Y 10/11/2017 Malcolm Kimb Golub Capital Partners 10, L.P. Client N Y 10/11/2017 Malcolm Kimb Cityview Plaza LLC Client N 11/7/2017 Malcolm Kimble Axia Realty, LLC Client N 11/21/2017 Malcolm Kimble Tow, Leonard Client N N 11/28/2017 Malcolm Kimble Valiotis, Efstathios Client N 12/1/2017 Malcolm Kimble Golub, Lawrence E. Client N 12/6/2017 Malcolm Kimble STEWART BAINUM JR. REVOCABLE TRUST Client Y N 12/9/2017 Malc Bridge Equities VI, LLC Client N 12/9/2017 Malcolm Kimble Sunbridge Holdings, LLC Client N 12/9/2017 Malcolm Kimble Czujko, Andrew Client N 12/14/2017 Malcolm Kimble Estate Of Edward T. Cone Client N N 12/20/2017 Malcolm Kimb Rotonda, Gerard (Jerry) Client N N 12/29/2017 Malcolm Kimble Fertitta Entertainment, Inc. Client N Y 12/30/2017 Malcolm Kimb ETC Charitable Lead Annuity Trust #2 Client N N 1/4/2018 Malc Etc Charitable Lead Unitrust Client N N 1/4/2018 Malcolm Kimb Minskoff, Edward J. Client N 1/25/2018 Malcolm Kimble ✓ interna use only EFTA01398969