Customer Name Opportunity Name Type Dose Date Stage Probability N Fiscal Peden, Age Created Date Opportunity Owner OF Enter/Inset Polimory Mandate Product Client 12/31/2015 Inactive 0 Q1.2015 927 7/19/2013 Ed Finley New - New Vadim Maine. yearn- 12/31/2015 Inactme 0 01-2015 1141 12/17/2012 Ed Finley New Product New Client New Product- (pang Client Elysium Management Proxy /wedge 12/31/2015 Prospecting 25 01-2015 105 10/19/2015 Pall Morris Elysium Management Cash Management 12/31/2015 Developed 50 Q1-2015 139 9/15/2015 Pad Morris New Product New Client New Product • busting Clem Augebbons.lohn Structured Credit 12/31/2015 Developed 25 01-2015 153 9/1/2015 Pad Morris Gottesman, Noam Commerical Real Estate 12/31/2015 Developed 50 Q1-2015 133 9/21/2015 Pad Morris New Product - New Client New Product New Cheat Minter Company L1C Hanna Sports Group 12/31/2015 Inane 0 01.2015 108 10/16/2015 Pad Morris Moody, Er4t V Fixed Income New Product New Client 12/31/2015 Prospecting 10 Q1-2015 182 8/3/2015 Pad Malls Moody. Enk V Ba nitr; New Product - New Client 12/31/2015 Prospecting 10 01.2025 182 8/3/2015 Pad Morris RobensteiL Keith Rubenstein. Rath- 2129/2016 Prospecting 10 Q1-2015 K 12/18/2015 Pad Morris Somerset Partners SOmerlet Partners- 2/29/2016 Prospecting 10 01.2025 45 12/18/2015 Pad Morris Southern Finandal LLC Sunta New Product - Existing Client 12131/2015 Developed 25 Q1-2015 153 9/1/2015 Pad Morris Saran. Angola Spudin. Angela- 2/29/2016 Prospecting 10 Q1-2015 60 12/3/2015 Pad Morris The National Organization of the New Apostolic Church el North America Credit Draw New Product - Existing Client 12/31/2015 Business CornmittediNot Funded 50 01-2015 105 10/19/2015 Pad Maris Third lake Capital Cash Management New Product • Ensong Client 12/31/2015 Prospecting 10 Q1-2015 139 9/15/2015 Pad Morris Third Lake Capital Phoenix America New Product - New Client 12/31/2015 Proposal 75 01-2015 105 10/19/2015 Pad Morris Tisch Financial Management Custody and Tradng New Product New Chant 12/31/2015 lnactNe 0 01-2015 123 10/1/2015 Pad Meals BaMphandelipour, San klulkandehoour. Sam 2/29/2016 Prospecting 10 01-2015 as 12/18/2015 Stewart Oldbeld Briloat Roger Loan 12/31/2015 Prospecting 10 01-2015 178 8/7/2015 Stewart Oldfuld New Product New Chem New Product New Cant Dorrance Family Foundation loan 12/31/2013 Inactbie 0 01.2015 152 9/2/2015 Stewart Oldbeld Oorrance Family Foundation Cash management 12/31/2015 Inactive 0 01-2015 152 9/2/2015 Stewart Oldfield New Product New Client Stine 2/29/2016 Prospecting 10 Q1-2015 25 1/7/2016 Stewart Oldheld Lindemann Jr. George Consumer RE New Product Existing Client 12/31/2015 Proposal so Q1-2015 152 9/2/2015 Stewart Oldbeld Lindemann Ir., George Unsecured loan New Product - /pang Client 12/31/2015 Proposal so Q1-2015 152 9/2/2015 Stewart Oldfield Lindemann, Adam M. ETE Loan 12/31/2015 Proposal 75 Q1-2015 250 5/27/2015 Stewart Oldbeld New Product - New Client New Product • (pang Client /haGeorge Lindemann Family limited Partnership Deposits 12/31/2015 Inactue 0 Q1-2015 105 10/19/2015 Stewart Oldheld The George Lindemann Fa-y limited Partnership ETE Brokerage- Ser es 2 New Product Existing Client 12/31/2015 Inactive 0 Q1-2015 105 10/19/2015 Stewart Oldf*Id CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0119933 SONY GM_00266117 EFTA01459494