rp. 9/29/2016 no material change no material change Yes No 00000496101 Thomas-B Mayer Andrew Gallivan Elmer Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments. No Changes. Yes No 00000496099 Thomas-B Mayer Andrew Gallivan Josephine Campbell Fami

9/29/2016 no material change no material change Yes No I 00000496101 Thomas-B Mayer Andrew Gallivan Elmer Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments. No Changes. Yes No i 00000496099 Thomas-B Mayer Andrew Gallivan Josephine Campbell F

Shelley Campbell Family There have Thomas-B Andrew Delaware been no new No Mayer Gallivan Dynasty Trust 10/17/2016 developments changes Yes No Please let me know if you have any questions. Regards, Vaishali Mehta Head of Anti-Money Laundering Bu

velopment Corp. 9/29/2016 no material change no material change Yes No Thomas-B Mayer Andrew Gallivan Elmer Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments. No Changes. Yes No Thomas-B Mayer Andrew Gallivan Josephine Campbell Family Delaware

velopment Corp. 9/29/2016 no material change no material change Yes No Thomas-B Mayer Andrew Gallivan Elmer Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments. No Changes. Yes No Thomas-B Mayer Andrew Gallivan Josephine Campbell Family Delaware

nt Corp. 9/29/2016 no material change no material change Yes No 78200 Thomas-B Mayer Andrew Gallivan Elmer Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments. No Changes. Yes No 78201 Thomas-B Mayer Andrew Gallivan Josephine Campbell Family De

Paul Campbell Family Thomas-B Andrew Delaware Mayer Gallivan Dynasty Trust 10/17/2016 Shelley Thomas-B Andrew Campbell Family Delaware Mayer Gallivan Dynasty Trust 10/17/2016 Please let me know if you have any qu

rly Hart -129 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01353300 00000497010 The GST Exempt Sydell L. Miller Dynasty Trust FBO Lauren Spilman u/a /d/8/26/93 Client 00000497011 Lisa Adelstein 6/15/2015 Michael S. Jacoby -45 Kim Hart, Andrew Galivan, Michael J. Davis,

There have been no new developments. No Changes. Yes No 78201 00000496099 Thomas-B Mayer Andrew Gallivan Josephine Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments No Changes Yes No EFTA01398909 78202 00000496097 Thomas-B Mayer Andrew Gallivan Paul Campb

Brash -68 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01594454 00000482257 Patricia A. and Stephen C. Schott, 2012 Dynasty Trust Prospect 00000435881 Ed Lok 9/10/2016 Standard 90 days temporary exception for executed DB trustee acceptance agreement has been approved Armen

(referred to PCS) Opportunity: Equity Trading Revenue: >4100k p.a Probability: In process RM: Smith referred to McDunaugh (PCS) Client: Grassi. Dynasty Trust, LLC (employee) Opportunity. 520mm AuM trust; cross-asset trading and my relationship (FX & equity index OTC deny) Revenue: > --$100k p.a Probabi

3 Nov-13 Nov-13 Dec-13 Dec-13 Dec-13 Dec-13 Total Pipeline Key Clients 1 •Epstein / Southern Financial ($180 AuM) In process 2 •Grassie Dynasty Trust, LLC ($20 AuM) In process 3 •Zaro Family / Cavalry >50% 4 •Toms Capital (Noam Gottesman Family Office) >50% 5 •THL Capital (Tom Lee's Family