EFTA01413261.pdf

> 75% Pipeline Opportunity Name Customer Name Close Date (%) Product Name Actual Assets Stru cture BPS/Flat Fee Actual Revenue Sales Team Member Estimated Month 44 2015 Est 2015 Rev Est 2016 Rev Brokerage WANEK TRUST OF 2000 3/31/2016 90 Brokerage (Commissions) 5000000 BPS 5 2500 0 IF(G2="BPS",12*(K2/12),12)=0 IF(G2="BPS",12,0)=2500 JTWROS Brokerage Wanek, Karen A. 3/31/2016 90 Brokerage (Commissions) 5000000 BPS 20 10000 Morris 0 IF(G3="BPS",13*(K3/12),13)=0 IF(G3="BPS",13,0)=10000 Banking Black, Leon D. 3/31/2016 90 Private Wealth Premium Checking 50000000 BPS 40 200000 Morris 0 IF(G4="BPS",14*(K4/12),I4)=0 IF(G4="BPS",I4,0)=200000 Secondary CLOs General Atlantic Family Office 3/31/2016 75 Structured Notes & Deposits (Equity) 5000000 Flat Fee 200000 200000 Morris 0 0 15=200000 Phoenix America Third Lake Capital 12/31/2015 75 Private Equity Funds 15000000 BPS 150 225000 Morris 0 0 16=225000 KCP Black, Leon D. 3/31/2016 75 Brokerage (Commissions) 50000000 BPS 5 25000 0 0 17=25000 Additional Deposits Third Lake Capital 3/31/2016 75 DB AG NY Preferred Certifica to of Deposit 50000000 BPS 20 100000 Morris 0 IF(G8="BPS",I8*(KB/12),18)=0 IF(G8="BPS",I8,0)=100000 RIN General Atlantic Family Office 3/31/2016 75 Structured Notes & Deposits (Equity) 3000000 Flat Fee 90000 90000 Morris 0 IF(G9="BPS",19*(K9/12),19)=90000 19=9 0000 Brokerage Gratitude America 3/31/2016 75 Brokerage (Asset-Based Fees) - Advis or Select 10000000 BPS 20 20000 Oldfield 0 IF(G10="BPS",I10*(K1 0/121,110)=0 IF(G10="BPS",I10,0)=20000 Structured Notes SK Family Office 3/31/2016 75 Structured Notes & Deposits (Equity) 3000000 Flat Fee 45000 45000 Morris 0 0 I11=45000 Deposits Meister, Todd 3/31/2016 75 Private Wealth Premium Money Market 1000 0000 BPS 35 35000 Morris 0 IF(G12="BPS",I12*(K12/12),I12)=0 IF(G12="BPS" ,I12,0)=35000 Additional Banking Southern Financial LLC 3/31/2016 75 Private Wealth Premium Check ing w/Interest 50000000 BPS 20 100000 Morris 0 0 I13=100000 Loan SK Family Office 3/31/2016 75 U.S. Structured Lending (Secured) 5000 000 BPS 200 100000 Morris 0 IF(G14="BPS",I14*(K14/12),I14)=0 IF(G14="BPS" ,214,0)=100000 DPM The Haze Trust 3/31/2016 75 U.S. IA - Equity 25000000 BPS 35 87500 Morris 0 IF(G15="BPS",I15*(K15/12),I15)=0 IF(G15="BPS",I15,0)=87500 Goldrush Parami Capital Management 3/31/2016 75 U.S. Structured Lending (Sec ured) 90000000 BPS 1235 13365000 Morris 0 IF(G16="BPS",I16*(K16/12),I1 6)=0 IF(G16="BPS",I16,0)=13365000 ETE Loan Lindemann, Adam M. 12/31/2015 75 U.S. Letter of Credit 37500000 BPS 100 375000 Morris 0 IF(G17="BPS",I17*(K17/12),117)=0 IF(G17="BPS",I17,0)= 375000 KCP/ Private Markets EverWatch Financial 3/31/2016 75 Private Equity Funds 5000 000 Flat Fee 200000 200000 Oldfield 0 IF(G18="BPS",I18*(K18/12),I18)=20000 O IF(G18="BPS",I18,0)=0 KCP/ Private Markets ORIX Corporation 3/31/2016 75 Private Equity Funds 1000 0000 Flat Fee 400000 400000 Oldfield 0 IF(G19="BPS",I19*(K19/12),I19)=40000 O IF(G19="BPS",I19,0)=0 SUM(F2:F19)=428500000 SUM(12:I19)=15560000 SUM(L2:L19)=690000 SUM(M2:M19)=14980000 EFTA01413261 Full Pipeline Opportunity Name Customer Name Close Date (%) Product Name Actual Assets Stru cture BPS/Flat Fee Actual Revenue Sales Team Member Brokerage WANEK TRUST OF 2000 3/31/2016 90 Brokerage (Commissions) 5000000 BPS 5 2500 Paul Morris JTWROS Brokerage Wanek, Karen A. 3/31/2016 90 Brokerage (Commissions) 5000000 BPS 20 10000 Paul Morris Banking Black, Leon D. 3/31/2016 90 Private Wealth Premium Checking 50000000 BPS 40 200000 Paul Morris Secondary CLOs General Atlantic Family Office 3/31/2016 75 Structured Notes S Deposits (Equity) 5000000 Flat Fee 200000 200000 Paul Morris Phoenix America Third Lake Capital 12/31/2015 75 Private Equity Funds 15000000 BPS 150 225000 Paul Morris KCP Black, Leon D. 3/31/2016 75 Brokerage (Commissions) 50000000 BPS 5 25000 Paul Morris Additional Deposits Third Lake Capital 3/31/2016 75 DB AG NY Preferred Certifica to of Deposit 50000000 BPS 20 100000 Paul Morris Rated Infrastructure Notes General Atlantic Family Office 3/31/2016 75 Structured N otes & Deposits (Equity) 3000000 Flat Fee 90000 90000 Paul Morris Brokerage Gratitude America 3/31/2016 75 Brokerage (Asset-Based Fees) - Advis or Select 10000000 BPS 20 20000 Paul Morris Structured Notes SK Family Office 3/31/2016 75 Structured Notes & Deposits (Equity) 3000000 Flat Fee 45000 45000 Paul Morris Deposits Meister, Todd 3/31/2016 75 Private Wealth Premium Money Market 1000 0000 BPS 35 35000 Paul Morris Additional Banking Southern Financial LLC 3/31/2016 75 Private Wealth Premium Check ing w/Interest 50000000 BPS 20 100000 Paul Morris Loan SK Family Office 3/31/2016 75 U.S. Structured Lending (Secured) 5000 000 BPS 200 100000 Paul Morris DPM The Haze Trust 3/31/2016 75 U.S. IA - Equity 25000000 BPS 35 87500 Paul Morris Goldrush Parami Capital Management 3/31/2016 75 U.S. Structured Lending (Sec ured) 90000000 BPS 1235 13365000 Stewart Oldfield ETE Loan Lindemann, Adam M. 12/31/2015 75 U.S. Letter of Credit 37500000 BPS 100 375000 Stewart Oldfield KCP/ Private Markets EverWatch Financial 3/31/2016 75 Private Equity Funds 5000 000 Flat Fee 200000 200000 Stewart Oldfield KCP Private Markets ORIX Corporation 3/31/2016 75 Private Equity Funds 1000 0000 Flat Fee 400000 400000 Stewart Oldfield Cash Management Elysium Management 12/31/2015 50 U.S. IA - RCM 50000000 BPS 25 125000 Paul Morris Commerical Real Estate Gottesman, Noam 12/31/2015 50 Commercial Real Estate 50000000 BPS 200 1000000 Paul Morris CMBS Third Lake Capital 3/31/2016 50 Commercial Real Estate 20000000 Flat Fee 30000 30000 Paul Morris Art Lending Black, Leon D. 9/30/2016 50 U.S. Structured Lending (Secured) 2500 00000 BPS 100 2500000 Paul Morris KCP Private Markets Third Lake Capital 3/31/2016 50 Private Equity Funds 1500 0000 BPS 150 225000 Paul Morris Fixed Income Third Lake Capital 3/31/2016 50 U.S. IA - Fixed 100000000 BPS 35 350000 Paul Morris Credit Draw The National Organization of the NAC 12/31/2015 50 U.S. Secured Lending (Lombard) 10000000 BPS 180 180000 Paul Morris Deposits Hillspire LLC 3/31/2016 50 Private Wealth Premium Checking 50000000 BPS 20 100000 Stewart Oldfield Consumer RE Lindemann Jr., George 12/31/2015 50 Commercial Real Estate 50000000 BPS 100 500000 Stewart Oldfield Unsecured Loan Lindemann Jr., George 12/31/2015 50 U.S. Structured Lending (Unsecured) 100000000 BPS 200 2000000 Stewart Oldfield Proxy Hedge Elysium Management 12/31/2015 25 Derivatives (Equity - Option) 2500 00000 BPS 100 2500000 Paul Morris Aggregator Fund TFMG, LLC 3/31/2016 25 Private Equity Funds 5000000 Flat Fee 125000 125000 Paul Morris Aggregator Fund Third Lake Capital 3/31/2016 25 Private Equity Funds 5000000 Flat Fee 125000 125000 Paul Morris Deposits Gagosian, Larry 3/31/2016 25 Private Wealth Premium Checking w/Interest 25000000 0 Paul Morris Syntex Southern Financial LLC 12/31/2015 25 Brokerage (Commissions) 5000000 Flat Fee 0 Paul Morris Structured Credit Fitzgibbons, John 12/31/2015 25 U.S. Letter of Credit 5000 0000 BPS 200 1000000 Paul Morris Structured Credit Meister, Todd 3/31/2016 25 U.S. Letter of Credit 50000000 BPS 200 1000000 Paul Morris Aggregator Fund Willett Advisors, LLC 3/16/2016 25 Private Equity Funds 5000000 Flat Fee 125000 125000 Stewart Oldfield Cash Management Third Lake Capital 12/31/2015 10 U.S. IA - Fixed 100000000 BPS 25 250000 Paul Morris Fixed Income Moody, Erik V 12/31/2015 10 U.S. IA - Fixed 25000000 BPS 35 87500 Paul Morris EFTA01413262 Banking Moody, Erik V 12/31/2015 10 Private Wealth Premium Checking w/Interest 2500 0000 BPS 35 87500 Paul Morris Spurlin, Angela- Spurlin, Angela 2/29/2016 10 0 Paul Morris Rubenstein, Keith- Rubenstein, Keith 2/29/2016 10 0 Paul Morris Somerset Partners- Somerset Partners 2/29/2016 10 0 Paul Morris SSW 2007 LLC- SSW 2007 LLC 3/31/2016 10 Private Wealth Premium Money Market 5000 0000 BPS 40 200000 Paul Morris Retirement Plan Ellin, Howard 9/30/2016 10 U.S. IA - Balanced 1000000 BPS 60 6000 Paul Morris Loan Bulloch, Roger 12/31/2015 10 U.S. Structured Lending (Secured) 20000000 BPS 100 200000 Stewart Oldfield FallLine- FallLine 2/29/2016 10 0 Stewart Oldfield Bakhshandehpour, Sam- Bakhshandehpour, Sam 2/29/2016 10 0 Stewart Oldfield Custody and Trading Tisch Financial Management 12/31/2015 0 Onshore Custody 3000 00000 BPS 20 600000 Paul Morris Hattrick Sports Group Meister Company LLC 12/31/2015 0 Int'l Structured Lending (Se cured) 50000000 BPS 325 1625000 Paul Morris Loan Dorrance Family Foundation 12/31/2015 0 U.S. Structured Lending (Secured) 200000000 BPS 100 2000000 Stewart Oldfield Cash management Dorrance Family Foundation 12/31/2015 0 Private Wealth Premium Money Market 20000000 BPS 30 60000 Stewart Oldfield Deposits The George Lindemann Family Limited Partnership 12/31/2015 0 Private Weal th Premium Money Market 1000000 BPS 35 3500 Stewart Oldfield ETE Brokerage- Series 2 The George Lindemann Family Limited Partnership 12/31/2015 0 Brok erage (Asset-Based Fees) - Advisor Select 30000000 BPS 20 60000 Stewart Oldf ield ETE- Brokerage Series 1 The George Lindemann Family Limited Partnership 3/31/2016 0 Brok erage (Commissions) 30000000 BPS 20 60000 Stewart Oldfield ETE- Loan Series 1 The George Lindemann Family Limited Partnership 3/31/2016 0 U.S. Secured Lending (Lombard) 20000000 BPS 135 270000 Stewart Oldfield ETE loan- Series 2 The George Lindemann Family Limited Partnership 3/31/2016 0 U.S. Secured Lending (Lombard) 20000000 BPS 135 270000 Stewart Oldfield ETE loan- Series 2 The George Lindemann Family Limited Partnership 3/31/2016 0 U.S. Secured Lending (Lombard) 20000000 BPS 135 270000 Stewart Oldfield 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. Structured Lending (Secured) 1000 00000 BPS 600 6000000 Stewart Oldfield EFTA01413263 Paul 25 Customer Name Last Call Note Customer Number Status Relationship Tier Rel. Net Worth Rela tionship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modified Date 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 <$0.5 M 414. f$1$ BLUE MOUNTAIN RELATIONSHIP 00000494553 Active Tier 2 *finite H BOMMER, SCOTT RELATIONSHIP 00000482412 Active Tier 3 $##$#$## H BRONFMAN, EDGAR RELATIONSHIP 00000482491 Active Tier 2 $##$$$#$ H CAVALRY RELATIONSHIP 00000483810 Active Tier 1 4441141#1 CUMMINGS, IAN RELATIONSHIP 00000481149 Active Tier 1 $100 - 500 M $250 - 500K #### (144$ DELL, MICHAEL RELATIONSHIP 1/6/2015 00000409133 Active Tier 1 $50 - 100 M $0.5 - 1 M ######## DINAN, JAMIE RELATIONSHIP 00000482458 Active Tier 3 1111111/ H ERGEN, CHARLES RELATIONSHIP 7/9/2013 00000448035 Active Tier 1 $50 - 100 M - 1 M ######## FELDSTEIN, ANDREW RELATIONSHIP 00000480417 Active Tier 2 $50 - 100 m $50 - 100K f$f$ GAGOSIAN, LARRY RELATIONSHIP 1/12/2015 00000416916 Active Tier 3 $##$#$$# GATES FOUNDATION RELATIONSHIP 00000487611 Active Tier 2 1111111/ H LAFFONT, PHILPPE RELATIONSHIP 00000482519 Active Tier 2 1111111/ H MANDEL, STEPHEN RELATIONSHIP 12/20/2012 00000409312 Active Tier 1 $50 - 100 m $0.5 - 1 M flitifftt MARRON, DONALD B. RELATIONSHIP 00000487026 Active Tier 3 #104.410 H PINE RIVER CAPITAL RELATIONSHIP 00000495627 Active Tier 2 #104114.0 H SCHAEFER, MARLA RELATIONSHIP 00000482432 Active Tier 2 #10411 4.11 H SIRIS CAPITAL RELATIONSHIP 00000485211 Active Tier 3 #10411 4.11 H STREAM REALTY RELATIONSHIP 00000495565 Active Tier 2 11111111 H TABLADA, MARO RELATIONSHIP 00000482398 Active Tier 2 11111111 H TOMS CAPITAL LLC RELATIONSHIP 6/3/2013 00000409286 Active Tier 1 $$#$#$$$ VIOLA, VINCENT RELATIONSHIP 00000481140 Active Tier 2 $50 - 100 M $100 - 250K 'Mt WEISS, GEORGE RELATIONSHIP 00000480421 Active Tier 2 $50 - 100 m $100 - 250K fitf$ YORKTOWN PARTNERS, LLC RELATIONSHIP 00000483947 Active Tier 3 f$$$$#$$ EFTA01413264 Stew 25 Customer Name Last Call Note Customer Number Status Relationship Tier Rel. Net Worth Rela tionship Investable Assets (Est.) Revenue Potential ($M per annum) Last Modified Date Last Activity Date Date Contacted Category Notes 54 MADISON PARTNERS RELATIONSHIP 00000520240 Active Tier 1 H ANNANDALE CAPITAL RELATIONSHIP 00000499580 Active Tier 2 9/20/2015 BBR PARTNERS RELATIONSHIP 11/10/2014 00000480937 Active Tier 2 <$25K 9/20/2015 H BLUESTEM LLC RELATIONSHIP 00000499584 Active Tier 3 9/20/2015 CARUSO, RICHARD RELATIONSHIP 1/6/2015 00000411476 Active Tier 2 $10 - 25 M <$25 K 9/20/2015 CFM RELATIONSHIP 00000508292 Active Tier 2 9/20/2015 COLLIS, CHARLES RELATIONSHIP 00000499562 Active Tier 2 9/20/2015 DORRANCE FAMILY RELATIONSHIP 8/3/2015 00000409820 Inactive Tier 1 1.5E9 $100 - 500 m $25 - 50K 9/20/2015 DUNCAN INVESTMENTS RELATIONSHIP 00000499619 Active Tier 2 9/20/2015 FORRESTAL CAPITAL RELATIONSHIP 2/18/2015 00000475431 Active Tier 1 9/20/2015 GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active Tier 2 9/20/2015 GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 Inactive Tier 1 $100 - 500 M $250 - 500K 9/20/2015 HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active Tier 2 9/20/2015 H KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 9/20/2015 MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 Active Tier 2 9/20/2015 ORIX RELATIONSHIP 00000497520 Active Tier 2 9/20/2015 ROGER BULLOCH RELATIONSHIP 00000514745 Active Tier 2 9/20/2015 H SCHMIDT, ERIC RELATIONSHIP 12/4/2014 00000409366 Active Tier 2 >$500 M <$0.5 M 9/20 /2015 H SHAMROCK RELATIONSHIP 00000508301 Active Tier 2 9/20/2015 SLOME, IAN RELATIONSHIP 00000499573 Active Tier 2 9/20/2015 SNYDER, DANIEL RELATIONSHIP 00000495876 Active Tier 2 9/20/2015 H SONEN CAPITAL RELATIONSHIP 00000507994 Active Tier 2 9/20/2015 H SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP 11/3/2014 00000416313 Active Tier 3 $10 - 25 M <$25K 9/20/2015 EFTA01413265 Clients Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Category BLANK, ARTHUR M. RELATIONSHIP 8/3/2015 00000409087 Active Tier 2 9/20/2015 H BOIES FAMILY RELATIONSHIP 8/3/2015 00000474263 Active Tier 2 9/20/2015 H DZIALGA, KIRSTEN S MARK RELATIONSHIP 00000492969 Active Tier 2 10/19/2015 GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP 00000492971 Active Tier 2 9/20/2015 H THIRD LAKE CAPITAL RELATIONSHIP 10/1/2014 00000490359 Active Tier 2 9/20/2015 TISCH FAMILY RELATIONSHIP 7/22/2013 00000409409 Active Tier 1 9/20/2015 ELLIN, HOWARD RELATIONSHIP 8/3/2015 00000474212 Active Tier 3 9/20/2015 ELYSIUM MANAGEMENT RELATIONSHIP 00000483288 Active Tier 2 9/20/2015 KLEIN, LISA RELATIONSHIP 12/14/2012 00000440552 Active Tier 3 10/19/2015 LINDEMANN FAMILY RELATIONSHIP 2/6/2015 00000427075 Active Tier 3 10/19/2015 SK FAMILY OFFICE RELATIONSHIP 00000481998 Active Tier 1 9/20/2015 SOUTHERN FINANCIAL RELATIONSHIP 00000483290 Active Tier 1 10/19/2015 THE NATIONAL ORGANIZATION OF THE NEW APOSTOLIC CHURCH OF NORTH AMERICA RELATIONSHIP 8/3/2015 00000499740 Active Tier 2 9/20/2015 EFTA01413266 Prospects Customer Name Last Call Note Customer Number Status Relationship Classification Last Modifie d Date Category 3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 9/20/2015 ANNANDALE CAPITAL RELATIONSHIP 00000499580 Active Tier 2 9/20/2015 AVISTA RELATIONSHIP 5/16/2013 00000408824 Active Tier 3 9/20/2015 BBR PARTNERS RELATIONSHIP 11/10/2014 00000480937 Active Tier 2 9/20/2015 BLUE MOUNTAIN RELATIONSHIP 00000494553 Active Tier 2 9/20/2015 BLUESTEM LLC RELATIONSHIP 00000499584 Active Tier 3 9/20/2015 BONIER, SCOTT RELATIONSHIP 00000482412 Active Tier 3 9/20/2015 BRONFMAN, EDGAR RELATIONSHIP 00000482491 Active Tier 2 9/20/2015 CARUSO, RICHARD RELATIONSHIP 1/6/2015 00000411476 Active Tier 2 9/20/2015 CAVALRY RELATIONSHIP 00000483810 Active Tier 1 9/20/2015 CFM RELATIONSHIP 00000508292 Active Tier 2 9/20/2015 COLLIS, CHARLES RELATIONSHIP 00000499562 Active Tier 2 9/20/2015 H CUMMINGS, IAN RELATIONSHIP 00000481149 Active Tier 1 9/20/2015 H DELL, MICHAEL RELATIONSHIP 1/6/2014 00000409133 Active Tier 1 9/20/2015 DINAN, JAMIE RELATIONSHIP 00000482458 Active Tier 3 9/20/2015 H DORRANCE FAMILY RELATIONSHIP 8/3/2015 00000409820 Inactive Tier 1 9/20/2015 H DUNCAN INVESTMENTS RELATIONSHIP 00000499619 Active Tier 2 9/20/2015 H ERGEN, CHARLES RELATIONSHIP 7/9/2013 00000448035 Active Tier 1 9/20/2015 H FELDSTEIN, ANDREW RELATIONSHIP 00000480417 Active Tier 2 9/20/2015 H FORRESTAL CAPITAL RELATIONSHIP 2/18/2015 00000475431 Active Tier 1 9/20/2015 H GAGOSIAN, LARRY RELATIONSHIP 1/12/2015 00000416916 Active Tier 3 9/20/2015 H GATES FOUNDATION RELATIONSHIP 00000487611 Active Tier 2 9/20/2015 H GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active Tier 2 9/20/2015 GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 Inactive Tier 1 9/20/2015 H HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active Tier 2 9/20/2015 H KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 9/20/2015 H LAFFONT, PHILPPE RELATIONSHIP 00000482519 Active Tier 2 9/20/2015 H MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 Active Tier 2 9/20/2015 MANDEL, STEPHEN RELATIONSHIP 12/20/2012 00000409312 Active Tier 1 9/20/2015 MARRON, DONALD B. RELATIONSHIP 00000487026 Active Tier 3 9/20/2015 H ORIX RELATIONSHIP 00000497520 Active Tier 2 9/20/2015 PINE RIVER CAPITAL RELATIONSHIP 00000495627 Active Tier 2 9/20/2015 H ROGER BULLOCH RELATIONSHIP 00000514745 Active Tier 2 9/20/2015 H SCHAEFER, MARLA RELATIONSHIP 00000482432 Active Tier 2 9/20/2015 H SCHMIDT, ERIC RELATIONSHIP 12/4/2014 00000409366 Active Tier 2 9/20/2015 SHAMROCK RELATIONSHIP 00000508301 Active Tier 2 9/20/2015 SIRIS CAPITAL RELATIONSHIP 00000485211 Active Tier 3 9/20/2015 H SLOME, IAN RELATIONSHIP 00000499573 Active Tier 2 9/20/2015 SNYDER, DANIEL RELATIONSHIP 7/3/2015 00000495876 Active Tier 2 9/20/2015 SONEN CAPITAL RELATIONSHIP 00000507994 Active Tier 2 9/20/2015 H SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP 11/3/2014 00000416313 Active Tier 3 9/20 /2015 H STREAM REALTY RELATIONSHIP 00000495565 Active Tier 2 9/20/2015 H TABLADA, MARO RELATIONSHIP 00000482398 Active Tier 2 9/20/2015 H TOMS CAPITAL LLC RELATIONSHIP 6/3/2013 00000409286 Active Tier 1 9/20/2015 H VIOLA, VINCENT RELATIONSHIP 00000481140 Active Tier 2 9/20/2015 H WEISS, GEORGE RELATIONSHIP 00000480421 Active Tier 2 9/20/2015 H YORKTOWN PARTNERS, LLC RELATIONSHIP 00000483947 Active Tier 3 9/20/2015 H DELUCA, FREDERICK RELATIONSHIP 11/5/2014 00000409192 Inactive Tier 1 9/20/2015 A 54 MADISON PARTNERS RELATIONSHIP 00000520240 Active Tier 1 10/14/2015 ALAGAPPAN, ARUN RELATIONSHIP 00000482385 Active Tier 1 9/20/2015 AMOROUSO, PAUL RELATIONSHIP 00000482396 Inactive Tier 2 9/20/2015 ARCHSTONE MULTIFAMILY PARTNERS AC, LP RELATIONSHIP 11/5/2014 00000469740 Inactive Tier 1 9/20/2015 ARDEN ASSET MGMT RELATIONSHIP 00000499582 Active Tier 2 9/20/2015 ARROWPOINT PARTNERS RELATIONSHIP 00000493738 Active Tier 2 9/20/2015 ASPEN GROVE CAPITAL RELATIONSHIP 00000493757 Active Tier 2 9/20/2015 ASTON, SHERRELL RELATIONSHIP 00000482400 Active Tier 2 9/20/2015 ATLAS PIPELINE PARTNERS, LP RELATIONSHIP 00000495788 Active Tier 2 9/20/2015 BARRY, MITCHELL RELATIONSHIP 00000482402 Active Tier 2 9/20/2015 BASQUTAT RELATIONSHIP 00000486597 Active Tier 2 9/20/2015 BENEFIT STREET PARTNERS RELATIONSHIP 00000494492 Active Tier 2 9/20/2015 BERTAGNA, ROBERT RELATIONSHIP 00000482406 Inactive Tier 2 9/20/2015 BHALLA, AJAY RELATIONSHIP 00000482389 Active Tier 2 9/20/2015 BLACK, LEON D. RELATIONSHIP 6/5/2013 00000409101 Inactive Tier 1 9/20/2015 BLATT, MITCHELL RELATIONSHIP 00000482408 Active Tier 2 9/20/2015 BRACK CAPITAL RELATIONSHIP 00000507983 Active Tier 2 9/20/2015 BRADLEY, THOMAS RELATIONSHIP 00000482414 Active Tier 2 9/20/2015 BRANDIS, STEVE RELATIONSHIP 00000482416 Active Tier 2 9/20/2015 BRESLOW, LEN RELATIONSHIP 00000482420 Inactive Tier 2 9/20/2015 BRIGHT GROUP RELATIONSHIP 00000499587 Active Tier 3 9/20/2015 BROWN, BATES RELATIONSHIP 00000482426 Inactive Tier 2 9/20/2015 BRUDERMAN, MATTHEW RELATIONSHIP 00000482429 Inactive Tier 2 9/20/2015 EFTA01413267 CANDOVER INVESTMENTS RELATIONSHIP 00000483659 Inactive Tier 2 9/20/2015 CANTER, STEPHEN RELATIONSHIP 00000481394 Inactive Tier 2 9/20/2015 CHOU, SILAS RELATIONSHIP 00000482437 Active Tier 1 9/20/2015 CLINE, MICHAEL RELATIONSHIP 00000482481 Active Tier 2 9/20/2015 COLD SPRING HARBOR LABORATORY RELATIONSHIP 00000481396 Active Tier 2 9/20/2015 COOPER, FRED RELATIONSHIP 00000482464 Active Tier 3 9/20/2015 CORRIGAN, PATTON RELATIONSHIP 00000481136 Active Tier 3 9/20/2015 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 Tier 2 9/20/2015 DENATALE, ROBERT RELATIONSHIP 00000482487 Inactive Tier 2 9/20/2015 DOCK STREET CAPITAL RELATIONSHIP 00000520273 Active Tier 1 10/16/2015 DODD, RYAN RELATIONSHIP 00000482489 Active Tier 2 9/20/2015 DONALD BRYANT JR. RELATIONSHIP 6/1/2013 00000469399 Active Tier 2 9/20/2015 ELLMAN, STUART RELATIONSHIP 00000482462 Active Tier 3 9/20/2015 ENCAP INVESTMENTS RELATIONSHIP 5/16/2013 00000466131 Active Tier 2 9/20/2015 FINE, LONNIE RELATIONSHIP 00000482493 Active Tier 2 9/20/2015 FITZGIBBONS, JOHN RELATIONSHIP 00000482193 Active Tier 3 9/20/2015 FORD, GERALD J RELATIONSHIP 2/18/2015 00000409212 Active Tier 1 9/20/2015 GAIL, COLEMAN RELATIONSHIP 00000482497 Inactive Tier 2 9/20/2015 SASLOW, LAWRENCE RELATIONSHIP 00000482500 Active Tier 2 9/20/2015 GEMINI REAL ESTATE RELATIONSHIP 00000492404 Active Tier 2 9/20/2015 GERSCHEL, PATRICK RELATIONSHIP 00000481147 Active Tier 2 9/20/2015 GLICKMAN, DONALD RELATIONSHIP 00000482505 Active Tier 2 9/20/2015 GLIMCHER, ARNIE RELATIONSHIP 00000480419 Active Tier 2 9/20/2015 GOLDMAN, BUDD RELATIONSHIP 00000482509 Active Tier 2 9/20/2015 GOODWIN, KEIRNAN RELATIONSHIP 00000482456 Active Tier 3 9/20/2015 GRANDWAY ASSET MANAGEMENT, INC. 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