EFTA01475567

Q4 High Probability Pipeline Opportunity Name Customer Name Close cture BPS/Flat Actual Revenue Sales Fee Est 2016 Rev KCP Black, Leon 0 Morris 1 Banking Black, Leon 00 Morris 1 Margin Loan DF Enterprises 12/31/2015 75 Lombard 250000000 BPS 65 1625 000 Morris 1 IF(G4="BPS",I4*(K4/12),I4)5416.66666666666 IF(G4="BPS",I4,0)25000 KKR EverWatch Financial 12/31/2015 75 Private Equity Funds 5000000 Flat Fee - 200000 Morris 0 IF(G5="BPS",15*(K5/12),15) 0000 IF(G5="BPS",15,0)=0 Brokerage Gratitude America 12/31/2015 75 Brokerage 10000000 BPS 20 20000 Morris 1 IF(G6="BPS",16*(K6/12),16)66.6666666666665 IF(G6="BPS",16,0) 000 Deposits Meister, Todd 12/31/2015 75 Money Market 10000000 BPS 35 35000 Morris 1 IF(G7="BPS",17*(K7/12),17))16.6666666666665 IF(G7="BPS",17,0)5000 Phoenix America ORIX Corporation 12/31/2015 75 10000000 Flat Fee - 400000 Oldfield 0 IF(G8="BPS",18*(KB/12),18)@0000 IF(G 8="BPS",18,0)=0 Deposits Parami Capital Management 12/31/2015 75 Money Market 10000000 BPS 35 35000 Morris 1 IF(G9="BPS",19*(K9/12),19))16.6666666666665 IF(G9="BPS", 19,0)5000 Goldrush Parami Capital Management 0000 BPS 1235 13365000 Morris 10="BPS",I10,0)365000 Structured Notes SK Family Office 000 Flat Fee - 45000 Morris 11="BPS",I11,0)=0 Loan 12/31/2015 75 Structured Lending 5000000 BPS 200 100000 Morris 1 IF(G12="BPS",112*(K12/12),I12)33.333333333332 IF(G12="BPS",I12,0)100000 Additional Brokerage Southern Financial LLC 12/31/2015 75 Brokerage 75000000 BPS 20 F13*(H13/10000)0000 Morris 1 IF(G13="BPS",I13*(K13/12),I13)500 IF(G 13="BPS",I13,0)0000 Brokerage Account Southern Financial LLC 12/31/2015 75 Brokerage 10000000 BPS 20 20000 Morris 1 IF(G14="BPS",I14*(K14/12),I14)66.6666666666665 IF(G 14="BPS",I14,0) 000 SSW 2007 LLC- SSW 2007 LLC 12/31/2015 75 Money Market 50000000 BPS 40 200000 Morris 1 IF(G15="BPS",115*(K15/12),I15)666.666666666664 IF(G15="BPS",I15,0)200000 Deposits The George Lindemann Fam LP 12/31/2015 90 Money Market 1000000 BPS 35 3500 Oldfield 2 IF(G16="BPS",I16*(K16/12),116)X3.3333333333333 IF(G 16="BPS",I16,0)500 ETE Brokerage S2 0000 BPS 20 17="BPS",I17,0)`000 ETE loan S2 The George Lindemann Fam LP 12/31/2015 90 Lombard 135 270000 Oldfield 1 IF(G18="BPS",118*(K18/12),I18)"500 270000 DPM 0 87500 Panda Third Lake Capital 12/31/2015 75 15000000 BPS 150 225000 Morris 1 IF(G20="BPS",120*(K20/12),120)750 IF(G20="BPS",120,0)"5000 Phoenix America Third Lake Capital 12/31/2015 75 15000000 BPS 150 225000 Morris 1 IF(G21="BPS",121*(K21/12),121)750 IF(G21="BPS",121,0)225000 Fixed Income 12/31/2015 75 IA - FI 100000000 BPS 35 350000 Morris 1 IF(G22="BPS",122*(K22/12),122))166.666666666664 IF(G22="BPS",122,0)350000 Preferred CD Fee 50 0 Brokerage 2500 Morris 2500 RIN General Atlantic 12/31/2015 75 Structured Notes 3000000 Flat Fee - 90000 Morris 0 IF(G25="BPS",125*(K25/12),125)000 IF(G25="BPS",125,0)=0 JTWROS Brokerage Wanek, Karen A. 12/31/2015 90 Brokerage 5000000 BPS 20 10000 Morris 1 IF(G26="BPS",126*(K26/12),126)3.3333333333333 IF(G26="BPS",126,0)10000 SUM(F2:F26)=1.047E9 SUM(12:126)743500 SUM(L2:L26)152666.666666667 SUM(M2:M26)008500 D. D. 12/31/2015 IF(G2="BPS",12* 12/31/2015 IF(G3="BPS",13* Date (It) Product Name Actual Team Member Estimated Month # 2015 75 Brokerage 50000000 BPS (K2/12),12) 83.333333333333 IF(G2="BPS",12, 90 Checking 50000000 BPS (K3/12),13)666.666666666664 IF(G3="BPS",13, Assets Stru Est 2015 Rev 5 2500 0)%000 40 2000 0) 0000 12/31/2015 75 Structured Lending 9000 1 IF(G10="BPS",I10*(K10/12),I10)13750 IF(G 12/31/2015 75 Structured Notes 3000 0 IF(G11="BPS",I11*(K11/12),I11)E000 IF(G The George Lindemann Fam LP 12/31/2015 90 Brokerage 3000 60000 Oldfield 1 IF(G17="BPS",I17*(K17/12),I17)P00 IF(G The Haze Trust 12/31/2015 90 IA - Equity 25000000 Morris 1 IF(G19="BPS",I19*(K19/12),I19)r91.666666666666 1000000 Morris 1.5 12/31/2015 90 Preferred CD IF(G23="BPS",123*(K23/12),I23)00000 Wanek Trust of 2000 12/31/2015 90 Brokerage 1 IF(G24="BPS",124*(K24/12),124) 8.33333333333331 20000000 BPS IF(G18="BPS",I18,0)BPS 35 8750 IF(G19="BPS",I19,0)200000000 Flat IF(G23="BPS",123,0)5000000 BPS 5 IF(G24="BPS",124,0)PROT0 Paul 25 Customer Name Last Call Note Customer Number Status Relationship Classification th Relationship Investable Assets (Est.) Revenue Potential ($M per annum) d Date Last Activity Date Date Contacted Forbes Ranking Category Notes 3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 H AVISTA RELATIONSHIP 5/16/2013 00000408824 Active Tier 3 $25 - 50 M ftf# H BLUE MOUNTAIN RELATIONSHIP 00000494553 Active Tier 2 Ofilflifil H BOMMER, SCOTT RELATIONSHIP 00000482412 Active Tier 3 66666666 H BRONFMAN, EDGAR RELATIONSHIP 00000482491 Active Tier 2 66666666 H CAVALRY RELATIONSHIP 00000483810 Active Tier 1 14404141 H CUMMINGS, IAN RELATIONSHIP 00000481149 Active Tier I $100 - 500 M fi4f# DELL, MICHAEL RELATIONSHIP 1/6/2015 - 1 M 66666666 DINAN, JAMIE RELATIONSHIP ERGEN, CHARLES RELATIONSHIP - 1 M 66666666 FELDSTEIN, ANDREW RELATIONSHIP (14444 GAGOSIAN, LARRY RELATIONSHIP GATES FOUNDATION RELATIONSHIP LAFFONT, PHILPPE RELATIONSHIP MANDEL, STEPHEN RELATIONSHIP MARRON, DONALD B. RELATIONSHIP PINE RIVER CAPITAL RELATIONSHIP SCHAEFER, MARLA RELATIONSHIP SIRIS CAPITAL RELATIONSHIP STREAM REALTY RELATIONSHIP TABLADA, MARO RELATIONSHIP TOMS CAPITAL LLC RELATIONSHIP VIOLA, VINCENT RELATIONSHIP f#f# WEISS, GEORGE RELATIONSHIP 00000480421 (Mt YORKTOWN PARTNERS, LLC RELATIONSHIP ALAGAPPAN, ARUN RELATIONSHIP 000004 AMOROUSO, PAUL RELATIONSHIP 000004 ARROWPOINT PARTNERS RELATIONSHIP ASPEN GROVE CAPITAL RELATIONSHIP ASTON, SHERRELL RELATIONSHIP 000004 ATLAS PIPELINE PARTNERS, LP RELATIONSH BARRY, MITCHELL RELATIONSHIP 000004 BASQUTAT RELATIONSHIP 00000486597 BENEFIT STREET PARTNERS RELATIONSHIP BERTAGNA, ROBERT RELATIONSHIP 000004 BHALLA, AJAY RELATIONSHIP 000004 BLACK, LEON D. RELATIONSHIP 000004 fitft BLATT, MITCHELL RELATIONSHIP BRACK CAPITAL RELATIONSHIP BRADLEY, THOMAS RELATIONSHIP BRANDIS, STEVE RELATIONSHIP BRESLOW, LEN RELATIONSHIP BROWN, BATES RELATIONSHIP BRUDERMAN, MATTHEW RELATIONSHIP CANDOVER INVESTMENTS RELATIONSHIP 00000483659 Inactive Tier 2 #0SOS#0# CANTER, STEPHEN RELATIONSHIP 00000481394 Tier 2 1#0#0$00 CHOU, SILAS RELATIONSHIP 00000482437 CLINE, MICHAEL RELATIONSHIP 00000482481 COLD SPRING HARBOR LABORATORY RELATIONSHIP - 100K iffif#f# COOPER, FRED RELATIONSHIP 00000482464 CORRIGAN, PATTON RELATIONSHIP 00000481136 f#f# CROSS, LISA RELATIONSHIP 00000487462 DANIELS, JOSEPH RELATIONSHIP 00000482485 DENATALE, ROBERT RELATIONSHIP 00000482487 DODD, RYAN RELATIONSHIP 00000482489 Active DONALD BRYANT JR. RELATIONSHIP 00000469399 ELLMAN, STUART RELATIONSHIP ENCAP INVESTMENTS RELATIONSHIP FINE, LONNIE RELATIONSHIP FITZGIBBONS, JOHN RELATIONSHIP GAIL, COLEMAN RELATIONSHIP GASLOW, LAWRENCE RELATIONSHIP GEMINI REAL ESTATE RELATIONSHIP GERSCHEL, PATRICK RELATIONSHIP 00000482458 7/9/2013 00000480417 1/12/2015 00000487611 00000482519 12/20/2012 00000487026 00000495627 00000482432 00000485211 00000495565 00000482398 6/3/2013 00000481140 Rel. Net Wor Last Modifie <$0.5 M ffff $250 - 500K 00000409133 Active Tier 1 $50 - 100 M Active Tier 3 1111111/ 00000448035 Active Tier 1 $50 - 100 M Active Tier 2 00000416916 Active Tier 2 Active Tier 2 00000409312 Active Tier 3 Active Tier 2 Active Tier 2 Active Tier 3 Active Tier 2 Active Tier 2 00000409286 Active Tier 2 $50 - 100 m $50 - 100K Active Tier 3 1111111/ 1111111/ Active Tier 1 0104.410 H [repeated 3 times] MIMI* fiffffff Active Tier 1 'MIMI $50 - 100 m $100 - 250K 2141 $0.5 100 m $0.5 Active Tier 2 $50 - 100 M $100 - 250K flit 00000483947 Active Tier 3 82385 Active Tier 1 liff4141# 82396 Inactive Tier 2 00000493738 Active Tier 2 00000493757 Active Tier 2 66460404 82400 Active Tier 2 IP 00000495788 Active Tier 2 66666666 82402 Active Tier 2 ifitif**0 Active Tier 2 66666666 00000494492 Active Tier 2 $01#0$00 82406 Inactive Tier 2 4#0#0400 82389 Active Tier 2 11400#00i 09101 Inactive Tier 1 $50 - 100 M 00000482408 00000507983 00000482414 00000482416 00000482420 00000482426 00000482429 Active Tier 2 [repeated 4 times] Inactive Tier 2 likpl#O$00 Inactive Tier 2 f#O#O$00 Inactive Tier 2 f#O#O$00 *41,4#4O, *41,4#4O, II4O0#04O 14146441 4t4t0*04 00000482462 00000466131 00000482493 00000482193 00000482497 00000482500 00000492404 00000481147 Inactive Active Tier 1 Active Tier 2 00000481396 H <$25K 4*4* 11/41411 41/41421 Active Tier 2 $50 - 100 M 550 Active Tier 3 66666666 Active Tier 3 $10 - 25 M Active Tier 2 66666666 Inactive Tier 2 22212122 Inactive Tier 2 fififfili Tier 2 12222121 Active Tier 2 22221222 Active Tier 3 Active Tier 2 Active Tier 2 Active Tier 3 Inactive Active Tier 2 4444144/ 42/11126 #4*AfAill Tier 2 4* #4101#0,0 411.4#0,0 $100 - 5C0 $25 - 50K 0#0$00 M $100 - 250K if#0# PROT1 GLICKMAN, DONALD RELATIONSHIP 00000482505 Active Tier 2 #4004040 CLINCHER, ARNIE RELATIONSHIP 00000480419 Active Tier 2 $25 - 50 M $25 - 5OK GOLDMAN, BUDD RELATIONSHIP 00000482509 Active Tier 2 GOODWIN, KEIRNAN RELATIONSHIP 00000482456 Active Tier 3 .104#440 HARVEY, BERGER RELATIONSHIP 00000482512 Active Tier 2 ***AAA.* HATFIELD, JAY RELATIONSHIP 00000482508 Active Tier 2 ###4#440 HG CAPITAL RELATIONSHIP 00000483662 Inactive Tier 2 #104#44# HOLTERBOSCH, HEIDI RELATIONSHIP 00000482522 Active Tier 3 HUGHSON, PAUL RELATIONSHIP 00000482515 Inactive Tier 2 4010,404 HUSAIN, FAZLE RELATIONSHIP 00000482529 Active Tier 2 HYMAN, ED RELATIONSHIP 00000481404 Active Tier 3 $10 - 25 M $25 - 50K MAYA.* ITAFIN RELATIONSHIP 00000498895 Active Tier 3 *MM.. JACK NORRIS RELATIONSHIP 00000451105 Inactive Tier 2 $10 - 25 M >$2 M *AAA JAIN, NEIL RELATIONSHIP 00000482496 Active Tier 3 JESSELSON CAPITAL RELATIONSHIP 00000489088 Active Tier 2 ######$$ JSC INTERIORS LLC RELATIONSHIP 00000496076 Inactive Tier 2 $O1#0*04 KALIKOW, PETER RELATIONSHIP 00000178401 Active Tier 2 MADAN KARGMAN, HARRY RELATIONSHIP 00000482503 Inactive Tier 3 004/0404 KATZ, STEVEN RELATIONSHIP 00000482472 Inactive Tier 3 ####0400 KEENAN, WILLIAM HOWARD RELATIONSHIP 00000482513 Inactive Tier 2 #0$0$01# KELLY, JUDY RELATIONSHIP 00000482527 Inactive Tier 3 ####0400 KIMMEL, ADAM RELATIONSHIP 00000482533 Active Tier 3 ######## KRISTOFF, MARK RELATIONSHIP 00000482524 Inactive Tier 3 *0600404 LANGFORD, DAVID RELATIONSHIP 000004 82518 Inactive Tier 2 *0440#04 LICHTENSTEIN, WARREN RELATIONSHIP 00000482267 Active Tier 2 #44#11 400 LIME ROCK PARTNERS RELATIONSHIP 000004 78453 Active Tier 2 0$04#### MEISTER, TODD RELATIONSHIP 000004 82449 Active Tier 2 #404Y4A1 MEP INVESTORS LLC RELATIONSHIP 000004 10774 Active Tier 1 $50 - 100 M $50 - 1O0K *VOA MILCH, NEAL RELATIONSHIP 00000482476 Active Tier 3 #4040440 MILTON ACADEMY RELATIONSHIP 00000483494 Active Tier 2 04040400 MOODY, ERIK RELATIONSHIP 00000514634 Active Tier 3 #S0404#1 MURSTEIN, ALVIN RELATIONSHIP 00000481145 Active Tier 2 $50 - 100 M $50 - 1O0K *04A NIR, DAN RELATIONSHIP 00000482454 Active Tier 3 OVERSTROM, GUNNAR RELATIONSHIP 000004 82474 Active Tier 3 ######## OXFORD LANE CAPITAL RELATIONSHIP 00000493740 Active Tier 2 ######## PACKER, MARC RELATIONSHIP 000004 81318 Active Tier 2 $50 - 100 M $50 - 1O0K *040 PARAMI CAPITAL MANAGEMENT RELATIONSHIP 00000498424 Active Tier 2 ######I# PATRIOT STRATEGY PARTNERS RELATIONSHIP 00000484400 Active Tier 2 ######## PENSLER, SANDY RELATIONSHIP 000004 82468 Active Tier 3 ######## RICHARDSON, JULIE RELATIONSHIP 000004 81328 Active Tier 2 $25 - 50 M $25 - 5OK 400A ROARK CAPITAL GROUP RELATIONSHIP 00000459563 Active Tier 2 $10 - 25 M $250 - 5O0K ROSE, SIMON RELATIONSHIP 00000482444 Active Tier 3 #404A440 SALZMAN, RICHARD RELATIONSHIP 00000482442 Active Tier 3 #4040440 SCF PARTNERS RELATIONSHIP 00000483655 Active Tier 2 #4040440 SCHOR, FRANCIS RELATIONSHIP 00000482430 Inactive Tier 2 40400404 SCHREIBER, KARL RELATIONSHIP 00000506830 Active Tier 3 #4040440 SHANKEN, MARVIN RELATIONSHIP 00000482424 Active Tier 2 #4044440 SIEGEL, JEROME RELATIONSHIP 00000482422 Active Tier 2 04044440 SILVESTRI, ANGELO RELATIONSHIP 00000482418 Active Tier 2 *40001$0 SIMON, RICHARD M RELATIONSHIP 000004 84535 Active Tier 2 *40001$0 SK CAPITAL PARTNERS RELATIONSHIP 00000435834 Inactive # 4@0#04 STALLER, CARY RELATIONSHIP 000004 82410 Active Tier 2 TAXEL, NELSON RELATIONSHIP 00000482391 Inactive Tier 3 40000400 WHITE DEER ENERGY RELATIONSHIP 00000478302 Active Tier 2 WILSON, WELCOME RELATIONSHIP 00000480635 Active Tier 1 $100 - 500 M $250 - 50OK PROT2 Stew 25 Customer Name Last Call Note th Relationship Investable d Date Last Activity Date ANNANDALE CAPITAL RELATIONSHIP BBR PARTNERS RELATIONSHIP H BLUESTEM LLC RELATIONSHIP CARUSO, RICHARD RELATIONSHIP K 9/20/2015 CFM RELATIONSHIP 00000508292 Active COLLIS, CHARLES RELATIONSHIP 00000499562 DORRANCE FAMILY RELATIONSHIP 8/3/2015 - 500 M $25 - 50K 9/20/2015 DUNCAN INVESTMENTS RELATIONSHIP 00000499619 Active Tier 2 FORRESTAL CAPITAL RELATIONSHIP 2/18/2015 00000475431 GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 $250 - 500K 9/20/2015 HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active Tier 2 9/20/2015 KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 9/20/2015 MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 ORIX RELATIONSHIP 00000497520 ROGER BULLOCH RELATIONSHIP 00000514745 Active Tier 2 9/20/2015 SCHMIDT, ERIC RELATIONSHIP 12/4/2014 00000409366 Active Tier 2 /2015 H SHAMROCK RELATIONSHIP 00000508301 Active SLOME, IAN RELATIONSHIP 00000499573 Active SNYDER, DANIEL RELATIONSHIP 00000495876 SONEN CAPITAL RELATIONSHIP 00000507994 SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP - 25 M <$25K 9/20/2015 Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 11/3/2014 00000416313 H >$500 Customer Number Status Relationship Classification Assets (Est.) Revenue Potential ($M per annum) Date Contacted Category Notes 00000499580 Active Tier 2 9/20/2015 11/10/2014 00000480937 Active Tier 2 <$25K 9/20/2015 Rel. Net Wor Last Modifie 00000499584 Active Tier 3 9/20/2015 1/6/2015 00000411476 Active Tier 2 $10 - 25 M <$25 Active Tier 2 9/20/2015 00000409820 Inactive Tier 1 1.5E9 $100 9/20/2015 Active Tier 1 9/20/2015 Inactive Tier 1 $100 - 500 M H M <$0.5 M 9/20 H H Active Tier 3 $10 PROT3 Clients Customer Name Last Call Note Customer Number Status Relationship Classification Last d Date Category BLANK, ARTHUR M. RELATIONSHIP 8/3/2015 00000409087 BOIES FAMILY RELATIONSHIP 8/3/2015 00000474263 DZIALGA, KIRSTEN S MARK RELATIONSHIP 00000492969 Active GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP 00000492971 THIRD LAKE CAPITAL RELATIONSHIP 10/1/2014 TISCH FAMILY RELATIONSHIP 7/22/2013 ELLIN, HOWARD RELATIONSHIP 8/3/2015 ELYSIUM MANAGEMENT RELATIONSHIP 00000483288 KLEIN, LISA RELATIONSHIP 12/14/2012 LINDEMANN FAMILY RELATIONSHIP 2/6/2015 SK FAMILY OFFICE RELATIONSHIP 00000481998 SOUTHERN FINANCIAL RELATIONSHIP 00000483290 THE NATIONAL ORGANIZATION OF THE NEW APOSTOLIC 00000499740 00000490359 00000409409 00000474212 Active Tier 2 00000440552 00000427075 Active Tier 1 Active Tier 1 Tier 2 10/19/2015 Active Tier 3 9/20/2015 9/20/2015 Active Tier 3 10/19/2015 Active Tier 3 10/19/2015 9/20/2015 10/19/2015 Modifie H CHURCH OF NORTH AMERICA RELATIONSHIP 8/3/2015 PROT4 Pospects Customer Name Last Call Note Customer Number Status Relationship Classification d Date Category 3 G CAPITAL RELATIONSHIP 00000492967 Active Tier 2 ANNANDALE CAPITAL RELATIONSHIP 00000499580 Active Tier 2 AVISTA RELATIONSHIP 5/16/2013 00000408824 Active BBR PARTNERS RELATIONSHIP 11/10/2014 00000480937 BLUE MOUNTAIN RELATIONSHIP 00000494553 BLUESTEM LLC RELATIONSHIP 00000499584 BONIER, SCOTT RELATIONSHIP 00000482412 BRONFMAN, EDGAR RELATIONSHIP 00000482491 CARUSO, RICHARD RELATIONSHIP 1/6/2015 CAVALRY RELATIONSHIP 00000483810 Active CFM RELATIONSHIP 00000508292 Active COLLIS, CHARLES RELATIONSHIP 00000499562 CUMMINGS, IAN RELATIONSHIP DELL, MICHAEL RELATIONSHIP DINAN, JAMIE RELATIONSHIP DORRANCE FAMILY RELATIONSHIP H DUNCAN INVESTMENTS RELATIONSHIP ERGEN, CHARLES RELATIONSHIP FELDSTEIN, ANDREW RELATIONSHIP FORRESTAL CAPITAL RELATIONSHIP GAGOSIAN, LARRY RELATIONSHIP GATES FOUNDATION RELATIONSHIP 00000487611 GEORGETOWN UNIVERSITY RELATIONSHIP 00000495959 Active GETZ FAMILY RELATIONSHIP 8/19/2015 00000421545 H HIGHLANDER PARTNERS RELATIONSHIP 00000499594 Active KIM, STEVEN RELATIONSHIP 00000499732 Active Tier 2 LAFFONT, PHILPPE RELATIONSHIP 00000482519 Active Tier 2 MAKENA CAPITAL MANAGMENT, LLC RELATIONSHIP 00000499849 MANDEL, STEPHEN RELATIONSHIP 12/20/2012 MARRON, DONALD B. RELATIONSHIP 00000487026 ORIX RELATIONSHIP 00000497520 Active PINE RIVER CAPITAL RELATIONSHIP 00000495627 ROGER BULLOCH RELATIONSHIP 00000514745 SCHAEFER, MARLA RELATIONSHIP 00000482432 SCHMIDT, ERIC RELATIONSHIP 12/4/2014 SHAMROCK RELATIONSHIP 00000508301 Active SIRIS CAPITAL RELATIONSHIP 00000485211 SLOME, IAN RELATIONSHIP 00000499573 Active SNYDER, DANIEL RELATIONSHIP 7/3/2015 SONEN CAPITAL RELATIONSHIP 00000507994 SPRUCE PRIVATE INVESTORS LLC RELATIONSHIP /2015 H STREAM REALTY RELATIONSHIP TABLADA, MARO RELATIONSHIP TOMS CAPITAL LLC RELATIONSHIP VIOLA, VINCENT RELATIONSHIP 00000481140 Active Tier 2 WEISS, GEORGE RELATIONSHIP 00000480421 Active Tier 2 YORKTOWN PARTNERS, LLC RELATIONSHIP 00000483947 Active DELUCA, FREDERICK RELATIONSHIP 11/5/2014 00000409192 A 54 MADISON PARTNERS RELATIONSHIP 00000520240 Active Tier 1 10/14/2015 ALAGAPPAN, ARUN RELATIONSHIP 00000482385 AMOROUSO, PAUL RELATIONSHIP 00000482396 Inactive ARCHSTONE MULTIFAMILY PARTNERS AC, LP RELATIONSHIP 11/5/2014 00000469740 Tier 1 9/20/2015 ARDEN ASSET MGMT RELATIONSHIP 00000499582 Active Tier 2 ARROWPOINT PARTNERS RELATIONSHIP 00000493738 Active ASPEN GROVE CAPITAL RELATIONSHIP 00000493757 Active ASTON, SHERRELL RELATIONSHIP 00000482400 Active Tier 2 ATLAS PIPELINE PARTNERS, LP RELATIONSHIP 00000495788 BARRY, MITCHELL RELATIONSHIP 00000482402 Active Tier 2 9/20/2015 BASQUTAT RELATIONSHIP 00000486597 BENEFIT STREET PARTNERS RELATIONSHIP 00000494492 BERTAGNA, ROBERT RELATIONSHIP 00000482406 Inactive BHALLA, AJAY RELATIONSHIP BLACK, LEON D. RELATIONSHIP BLATT, MITCHELL RELATIONSHIP BRACK CAPITAL RELATIONSHIP BRADLEY, THOMAS RELATIONSHIP BRANDIS, STEVE RELATIONSHIP BRESLOW, LEN RELATIONSHIP BRIGHT GROUP RELATIONSHIP BROWN, BATES RELATIONSHIP BRUDERMAN, MATTHEW RELATIONSHIP 00000481149 1/6/2014 00000482458 8/3/2015 00000499619 7/9/2013 00000480417 2/18/2015 1/12/2015 Active Tier 2 Active Tier 3 Active Tier 3 Active Tier 2 00000411476 Active Tier 2 Active Tier 2 9/20/2015 Active Tier 1 00000409133 Active Tier 3 00000409820 Active Tier 2 00000448035 Active Tier 2 00000475431 00000416916 Active Tier 2 00000409312 Active Tier 3 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 Active Tier 2 9/20/2015 00000409366 Active Tier 2 Active Tier 3 9/20/2015 00000495876 Active Tier 2 Active Tier 2 9/20/2015 11/3/2014 00000416313 Last Modifie 9/20/2015 9/20/2015 Tier 3 9/20/2015 9/20/2015 [repeated 6 times] Active Tier 1 9/20/2015 Inactive 9/20/2015 Active Tier 1 9/20/2015 Active Tier 1 Active Tier 3 9/20/2015 Inactive H H 9/20/2015 H H 9/20/2015 H 9/20/2015 9/20/2015 H [repeated 4 times] 9/20/2015 9/20/2015 Active Tier 2 H 9/20/2015 H 00000495565 Active Tier 2 00000482398 Active Tier 2 6/3/2013 00000409286 H 9/20/2015 H 9/20/2015 H Active Tier 3 9/20 00000482389 6/5/2013 00000482408 00000507983 00000482414 00000482416 00000482420 00000499587 00000482426 00000482429 Active Tier 2 00000409101 Active Tier 2 [repeated 4 times] Inactive Active Tier 3 Inactive Inactive 9/20/2015 9/20/2015 Active Tier 1 9/20/2015 9/20/2015 Inactive Tier 1 H H 9/20/2015 H 9/20/2015 H Inactive 9/20/2015 9/20/2015 9/20/2015 Inactive 9/20/2015 [repeated 4 times] 9/20/2015 PROT5 CANDOVER INVESTMENTS RELATIONSHIP 00000483659 Inactive CANTER, STEPHEN RELATIONSHIP 00000481394 Inactive CHOU, SILAS RELATIONSHIP 00000482437 CLINE, MICHAEL RELATIONSHIP 00000482481 Active Tier 2 9/20/2015 COLD SPRING HARBOR LABORATORY RELATIONSHIP 00000481396 COOPER, FRED RELATIONSHIP 00000482464 CORRIGAN, PATTON RELATIONSHIP 00000481136 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 DENATALE, ROBERT RELATIONSHIP 00000482487 Inactive DOCK STREET CAPITAL RELATIONSHIP 00000520273 Active Tier 1 10/16/2015 DODD, RYAN RELATIONSHIP 00000482489 DONALD BRYANT JR. 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