EFTA01359549

Southern Financial LLC salesforce.com - Unlimited Edition Page 5 of 12 Type New Product - Existing Client Last Modified Date 5/27/2015 Description Additional Brokerage Product Family Brokerage Stage Business Committed-Not Funded Close Date 3/31/2015 Total Assets $75,000,000.00 Total Estimated Revenue $2,000,000.00 Probability (%) 75 Expected Revenue Lead Source Owner Full Name Won Fiscal Period O2-2014 Next Step Type Additional Assets - Existing Product Last Modified Date 11712015 Description More Brokerage Product Family Stage Close Date Total Assets Total Estimated Revenue Probability (%) Expected Revenue Lead Source Owner Full Name Won Fiscal Period Next Step Type Last Modified Date Description Additional Funds Brokerage Business Awarded 12/13/2013 515,000,000.00 50.00 100 O1-2013 Additional Assets - Existing Product 12/13/2013 Product Family Stage Close Date Total Assets Total Estimated Revenue Probability (%) Expected Revenue Lead Source Owner Full Name- Won  Fiscal Period O1-2013 Next Step Type Additional Assets - Existing Product Last Modified Date 12/12/2013 Brokerage Business Awarded 12/12/2013 511,000,000.00 50.00 100 https://dbforcepb . my . sal esforce.com/00 I 6000000qaNVw/p?retURL=100 6000000qaNVw 9/28/20 1 5 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0047634 CONFIDENTIAL SDNY_GM_0019381 8 EFTA01359549