EFTA01398963

Kirby Customer Number Customer Name Type * High Risk e Auto Exempt Reason Exemption Reason IPE Limited Client Y N Irrawaddy Policy Exchange Trust Client * Moderate Risk Annual Client Update Due Dat Customer Owner 6/14/2017 Heather Kirby 6/14/2017 Heather Kirb Trust f/b/o Louise G. Collins u/a Kevin J. Collins Heather Kirby Boehly, Todd L. Client N NZC 136, LLC Client N NZC LA, LLC Client N George Soros Revocable Trust Client NZC CO, LLC Client N NZC SC, LLC Client N McElvenny, Ralph W. Client ASL Media Holdings, LLC Client For internal use only 8/23/2017 9/1/2017 9/20/2017 Y N 12/12/02 Client N Heather Kirby Heather Kirby Heather Kirby 10/25/2017 Y 11/15/2017 Heather Y 11/15/2017 Heather N Y 12/20/2017 Y N 2/10/2018 Heather Kirb Kirby Kirby Heather Kirby Heather Kirby EFTA01398963