EFTA01460976.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 GOLDBERG ALAN 1 0% 6,342,047 0% 8,659 0% LISKIN LOUIS D 1 0% 6.326,780 0% 12,646 0% SHEEHY BRIAN 1 0% 6,322,157 0% 27,851 0% PATTERSON ELIZABETH 1 0% 6,318,564 0% 783 0% ROBERTS ESTHER K 1 0% 6,308,528 0% 16,343 0% ADELSON SCOTT 1 0% 6,308,499 0% 32,824 0% DEUTSCH ALVIN 1 0% 6,295,188 0% 4,978 0% ZELAYA JOHN 1 0% 6,293,877 0% 21,289 0% AKIN ROBERT M 1 0% 6,284,010 0% 17,912 0% PENN ARTHUR S 1 0% 6,260,615 0% 9,165 0% NOFER EDWARD J 1 0% 6,257,799 0% 16,839 0% ELLINGHAUS WIL 1 0% 6,242,218 0% 10,214 0% ARORA NIKESH 1 0% 6,228,984 0% 30,066 0% HO JING AND PATSY 1 0% 6,185,688 0% 7,266 0% WEINMANN HP 1 0% 6,163,648 0% 22,360 0% JONES WILLIAM H 1 0% 6,158,067 0% 15,425 0% KIRSMAN GRACIELA R 1 0% 6.157,862 0% 14,712 0% DELUMEN LYNN 1 0% 6,115,553 0% 3,914 0% BAILEY MARSHALL 1 0% 6,060,200 0% 5,747 0% HENDERSON TRUST 1 0% 6,037,125 0% 20,075 0% ROELOFFS JR KURT 1 0% 6,025,967 0% 7,838 0% BERGER RUTH 1 0% 6,024,795 0% 13,184 0% STAR AMERICA INFRAS 1 0% 6,012.933 0% 13.516 0% ZAFIROPOULO ARTHUR 1 0% 6,000,000 0% 26,048 0% HEYMAN JEFFREY 1 0% 6,000,000 0% 33,420 0% KAPLAN STEVE M 1 0% 6,000,000 0% (2,428) 0% DUPONT A FELIX 1 0% 5,992,767 0% 118 0% CONVEY BRIAN 1 0% 5,979,110 0% 12,721 0% HYMOWITZ GREGG 1 0% 5,968,630 0% 32,054 0% HATTON BRUCE 1 0% 5,960,000 0% 26,436 0% MEISTER KEITH 1 0% 5,947,106 0% 12,493 0% KIMMEL DAVE 1 0% 5,875,335 0% 8,543 0% WIESSNER MURIEL 1 0% 5,873,661 0% 12,739 0% GRANT FAMILY 1 0% 5,859,658 0% 1,103 0% KROL IGOR 1 0% 5,843,503 0% 3,660 0% MOSES & SINGER 1 0% 5,811,648 0% 12,670 0% THOMSON TODD 1 0% 5,811,144 0% 17,656 0% R H RAUSCH FBO V BO 1 0% 5,796,425 0% 11,376 0% OLSON ROBERT D 1 0% 5,750,000 0% 26,637 0% SHA'QUAN ELDRIDGE 1 0% 5,736,564 0% 14,473 0% CAUSIN MARY 1 0% 5,725,989 0% 13,219 0% IRWIN EDLAVITCH LIV 1 0% 5,724,422 0% 3,773 0% LONG ELSA B 1 0% 5,723,616 0% 18,964 0% GREVE MARY P 1 0% 5,721,635 0% 9,508 0% HARD DECOURCY L 1 0% 5,720,429 0% 16,783 0% KAPPLER GEORGE 1 0% 5.703,800 0% 14,062 0% CHAO STEVEN 1 0% 5,697,747 0% 25,111 0% LEGG MASON 1 0% 5,690,088 0% 133,766 0% DOSCHER CK 1 0% 5,689,973 0% 16,563 0% MAITLAND JAMES W 1 0% 5,683,239 0% 23,155 0% PICONE JOHN 1 0% 5,670,980 0% 4,693 0% DUFF MARY 1 0% 5,665.679 0% 12.086 0% POLYMINERALS 1 0% 5,657,531 0% 94 0% WINSTON HARRY 1 0% 5,643,945 0% 3,884 0% 14/57 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 122745 CONFIDENTIAL SDNY_GM_00268929 EFTA01460976