EFTA01460998.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 RUTIGLIANO FRANCA 1 0% 34,630 0% 28 0% MARKIEWICZ MICHAEL 1 0% 34,537 0% 136 0% MOH LAURENCE 1 0% 33,838 0% 118 0% MARRIOTT JOHN 1 0% 33,739 0% 80 0% PELIGRI CRAIG 1 0% 32,897 0% 13 0% NEWCOMB EW 1 0% 32,186 0% 40 0% ATAMAN URAL 1 0% 32,120 0% 58 0% STONE SH 1 0% 31,739 0% 7 0% LINDLEY JANE VDH 1 0% 31,254 0% 67 0% FERROGARI MAUREEN 1 0% 31,025 0% 7,319 0% SMORAG 1 0% 30,803 0% - 0% BEUF MELINDA 1 0% 30,370 0% 5 0% KATZ RUDOLPH 1 0% 30,000 0% 2,538 0% KOHLMANN BERTRAND 1 0% 29,907 0% 5,037 0% KELLER KATHY 1 0% 29,877 0% 15 0% GOLDFARB & FLEE 1 0% 29,809 0% 68 0% THORNTON E&J 1 0% 29,257 0% 56 0% COHEN EDWIN 1 0% 29,178 0% 67 0% OMNINET COMMERCE LP 1 0% 27,986 0% 55 0% AUFZIEN ALAN L 1 0% 27,699 0% 297 0% KESS SIDNEY 1 0% 27,655 0% 73 0% GETNICK & GETNI 1 0% 27,521 0% 63 0% COSTANTINO PETER 1 0% 27,439 0% 43 0% BIRDSONG LYN 1 0% 27,307 0% 4,083 0% BUTTINGER MM 1 0% 26,185 0% 102 0% MAISONROUGE JACQUES 1 0% 26,160 0% 1,274 0% SCHWABACHER AL 1 0% 26,095 0% 33 0% TABACCO JOSEPH 1 0% 25,552 0% 931 0% LINGENBRINK GEORGE 1 0% 25,048 0% 22 0% EVANS CHARLES 1 0% 24,751 0% 83 0% SANFORD C BERNSTEIN 1 0% 24,600 0% 118 0% VALENTIN IF 1 0% 24,590 0% 693 0% GRIFFIN FAMILY TRUS 1 0% 24,273 0% 945 0% SLUTSKY LORIE 1 0% 24,126 0% 47 0% MCGUSTY HW 1 0% 23,850 0% 20,483 0% LANE & MITTENDO 1 0% 23,362 0% 102 0% CUSHING SAM 1 0% 23,184 0% 6 0% SIEGEL JEFF 1 0% 22,998 0% 53 0% CLASSIC ASSET S 1 0% 22,689 0% 58 0% AUXILIUM 1 0% 22,320 0% - 0% FULLAGAR GUY K 1 0% 22,193 0% 14,227 0% GOLDBLATT HOWARD 1 0% 21,433 0% 56 0% GLADSTONE STEPHEN 1 0% 20,849 0% 32 0% KNAPE JAMES 1 0% 20,837 0% 70 0% MYRON WEINBERG TRUS 1 0% 20,699 0% 26 0% DEGAETANO PETER F 1 0% 20,521 0% 49 0% JONES PETER D 1 0% 20,520 0% 52 0% KOREN PHYLISS 1 0% 20,253 0% 45 0% SKADDEN ARPS 1 0% 20,194 0% 46 0% EPSTEIN BECKER 1 0% 19,729 0% 45 0% COHEN DAVID J 1 0% 19,621 0% 16 0% WOLFSON ERWIN S 1 0% 19,551 0% 64 0% COHEN ELI D 1 0% 18,944 0% 3,742 0% STERN ROBERT 1 0% 18,751 0% 67 0% 48/57 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 122779 CONFIDENTIAL SDNY_GM_00268963 EFTA01460998