EFTA Document EFTA01461000

USPB relationships by size tier - size tier in EUR - data in USD Row Labels # % of total Relationships relationships CBV Q1 2015 % total Revenue Q1 CBVs 2015 (USD) % of total Revenue TORRES E 1 0% 264 0% 0 0% SANCILIO FRED 1 0% 250 0% 0 0% ALWAZIR 1 0% 220 0% 0 0% LAURENCE FRANCES 1 0% 211 0% 1,875 0% MCCOY FOSTER 1 0% 209 0% - 0% TOPOL NATHAN L 1 0% 202 0% 0 0% REGAS FRIEDA 1 0% 168 0% 0% TANNER PROPP 1 0% 150 0% 0 0% PUTIS MARION 1 0% 133 0% 0 0% BLUMENTHAL SANFORD 1 0% 126 0% 0 0% ROSIN FAMILY 1 0% 120 0% 478 0% BURROWS CHARLES 1 0% 118 0% 0 0% CHASE SUSAN H 1 0% 117 0% 0 0% STARK RUTH 1 0% 113 0% 0 0% FRANCIS RAYMOND 1 0% 112 0% 0 0% O'BRIEN JOHN J 1 0% 101 0% 0 0% HENDERSON & KOP 1 0% 100 0% 0 0% GREG BRODY 1 0% 88 0% 0 0% MISSAN RICHARD 1 0% 87 0% 0 0% BREN STEVE 1 0% 86 0% 0 0% MARSHALL MARGARET 1 0% 83 0% 0 0% BARR DEAN 1 0% 83 0% 2 0% TERRY HOWARD 1 0% 81 0% 0 0% BURTON KATE 1 0% 77 0% 0% AVRA SURGICAL INC 1 0% 72 0% 1 0% KRIZ NED 1 0% 72 0% 0 0% STAADECKER JUSTIN 1 0% 69 0% 0% REPUBLIC AIRWAYS HO 1 0% 56 0% 0 0% JAFFE SEGAL 1 0% 55 0% 0 0% ROBBINS D&L 1 0% 50 0% 153 0% AMORUSO STEFANIA 1 0% 49 0% 0 0% GRISHAM MICHAEL 1 0% 48 0% 0 0% KLEIN HAROLD M 1 0% 47 0% 0 0% THE WEINBERG FOUNDA 1 0% 21 0% 11,712 0% SCHNUR DOROTHY 1 0% 20 0% 0 0% REIST J&L 1 0% 18 0% 0% MAXWELL H 1 0% 15 0% 0 0% KRAUSZ RON 1 0% 13 0% 0 0% TREMBLAY ARTHUR J 1 0% 11 0% 0 0% JOHNSTON H FRE 1 0% 10 0% 0 0% CRAVATH SWAINE & MO 1 0% 10 0% 80,831 0% RAQUET WALTER 1 0% 10 0% 0 0% DEUTSCHE BANK PRIVA 1 0% 9 0% 0 0% MARTIN W DOLAN 1 0% 8 0% 0 0% LIEB WALT 1 0% 7 0% 0 0% CARR JR HARRY 1 0% 6 0% 562 0% BERGHINZ GIORGIO 1 0% 6 0% 0 0% ROCKEFELLER STEVE 1 0% 6 0% 0 0% HERSHBERG PETER 1 0% 5 0% 0 0% BROGAN MATTHEW N 1 0% 5 0% 0 0% GLOBAL EQUITY ACCES 1 0% 3 0% 2,752 0% ROSINGER WILLIAM 1 0% 2 0% - 0% KATZ ALYSON D 1 0% 2 0% 0 0% WEXLER GARY MARTIN 1 0% 2 0% 0 0% 52/57 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0122783 CONFIDENTIAL SDNY_GM_00268967 EFTA01461000