EFTA01478778

No Pre-Approval Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael-J Davis, Erin 0 -Rourke, Zia Memon, Chris Jensen Employee Name Emp. ID Emp. Status Concur Entry Key Cost Center Transaction Date Company Name Attendee Name Total Attendees Per Head Cost Total Amount Expense Type Busi ness Purpose Vendor VRABLIC, ROSEMARY 6212663 A 13406206 6201215544 1/9/2014 DB Rose mary T Vrablic 2 200 400 Client Meals Dinner MAREA VRABLIC, ROSEMARY 6212663 A 13406206 6201215544 1/9/2014 DLA Piper Charles Baker 2 200 400 Client Meals Dinner MAREA VRABLIC, ROSEMARY 6212663 A 13340285 6201215544 1/2/2014 Client Howa rd Lepow 3 200 600 Client Meals Dinner MORINI RISTORANTE VRABLIC, ROSEMARY 6212663 A 13340285 6201215544 1/2/2014 Client Sall y Lepow 3 200 600 Client Meals Dinner MORINI RISTORANTE VRABLIC, ROSEMARY 6212663 A 13340285 6201215544 1/2/2014 DB Rose mary T Vrablic 3 200 600 Client Meals Dinner MORINI RISTORANTE This report displays Concur entries requiring pre-approval that were not found in ACERS. Thresholds for Supervisory Approval The following table depicts the thresholds triggering when advance written supervisory approval is n eeded. SA SP EFTA01478778 Pre-Approval Discrepancies Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael-J Davis, Erin 0 -Rourke, Zia Memon, Chris Jensen ACERS Concur ACER Unique ID DB People ID DB Host Last Name DB Host First Name Cost Center ACER Event Date Attendee Name Client Firm Client Relationship Attendee type Total Amount Per Head Count Total Attendees Expense Type Description Compliance Approver Compliance A pproval Date Concur ID Pre-Approval Number Transaction Date/ Time Attendee Name Clie nt Firm Attendee type Total Amount in Concur Attendee Amount Total Attendees Business Purpose Expense Type Vendor 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Judith Webster DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13651467 156792 01/23/2014 Brian P. Convey Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Josh Shoshan DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13651467 156792 01/23/2014 Mike Underwood Wynkoop Capital LLC Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brain Frenkel A M N Investments / Colorado Family Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tick ets courtside include dinner Not applicable 13637008 156792 01/23/2014 Brad Underwo od Colorado Partners Client 2100 350 6 Client Meeting Sporting/Theater Tic kets - Ticket Value REGENCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Noah Agron Brigade Management Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 13637008 156792 01/23/2014 Brian Frenkel Colorado partners Clie nt 2100 350 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONS ULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brad Underwood Altitude Investment Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside in elude dinner Not applicable 13637008 156792 01/23/2014 Joshua Shoshan Employee 2100 350 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING L LC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Michael Underwood Wynkoop Capi tal LLC Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 01/23/2014 Judith A Webster Employee 2100 350 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING L LC 158167 6212651 SCALZI DOMINIC 6201215544 1/12/2014 Dominic Scalzi DB Employee Employee 524.74 131 4 Meals/drinks Client Dinner Not applicable 13408021 158167 01/12/2014 Dominic J Scalzi Employee 525 174.91 3 Dinner Clie nt Meals PICCOLO PARADISO RISTORAN 158167 6212651 SCALZI DOMINIC 6201215544 1/12/2014 Rosemary Vrablic DB Empl oyee Employee 524.74 131 4 Meals/drinks Client Dinner Not applicable 1340 8021 158167 01/12/2014 Rosemary T Vrablic Employee 525 174.91 3 Dinn er Client Meals PICCOLO PARADISO RISTORAN 158167 6212651 SCALZI DOMINIC 6201215544 1/12/2014 Michael Mandt Michael Mandt Clie nt 524.74 131 4 Meals/drinks Client Dinner Not applicable 13408021 1581 67 01/12/2014 Otto Mally Kroenke Organization Client 525 174.91 3 Dinn er Client Meals PICCOLO PARADISO RISTORAN 158167 6212651 SCALZI DOMINIC 6201215544 1/12/2014 Neil Mandt Neil Mandt Clie nt Client 524.74 131 4 Meals/drinks Client Dinner Not applicable 158168 6212651 SCALZI DOMINIC 6201215544 1/16/2014 Dominic Scalzi DB Employee Employee 681.39 227 3 Meals/drinks Client Dinner Not applicable 13466542 158168 01/16/2014 Dominic J Scalzi Employee 681 170.35 4 Dinner Clie nt Meals PATROON 158168 6212651 SCALZI DOMINIC 6201215544 1/16/2014 Rosemary Vrablic DB Empl oyee Employee 681.39 227 3 Meals/drinks Client Dinner Not applicable 1346 6542 158168 01/16/2014 Michael Mandt Client Client 681 170.35 4 Dinner Clie nt Meals PATROON 158168 6212651 SCALZI DOMINIC 6201215544 1/16/2014 Otto Malli Kroenke Group Clie nt Client 681.39 227 3 Meals/drinks Client Dinner Not applicable 13466542 158168 01/16/2014 Neil Mandt Client Client 681 170.35 4 Dinner Client Meals PATROON 158168 6212651 SCALZI DOMINIC Not applicable 13466542 158168 01/16/2014 Rosemary T V rablic Employee 681 170.34 4 Dinner Client Meals PATROON 158249 6106839 MOORE SALVATORE 6201215544 1/13/2014 Sal Moore DB Empl oyee Employee 900 450 2 Ticketed Event Knicks Not applicable 13728352 158249 01/06/2014 alan kestenbaum globe specialty metals Client 17620 677.69 26 Spor t Tickets - Single event Client-Entertainment 158249 6106839 MOORE SALVATORE 6201215544 1/13/2014 Donald Damast Commodore Ma nufacturing Corp Client 900 450 2 Ticketed Event Knicks Not applicable 1372 8352 158249 01/06/2014 Brian P. Convey Employee 17620 677.69 26 Sport Ticket s - Single event Client-Entertainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 Brig id A. Ehrenberg Employee 17620 677.70 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 davi EFTA01478779 da deutsch na Client 17620 677.70 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 dick spoor na Client 17620 677.69 26 Sport Tickets - Single event Client-Entertainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 dimi trios smyrinios n/a Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 done Id damast na Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 donn a kay strategic procurement Client 17620 677.69 26 Sport Tickets - Single event Clie nt-Entertainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 fait h lorenzo na Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 fred erick mcmullen Fidelity asset management Client 17620 677.70 26 Sport Tickets - Sing le event Client-Entertainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 joe rodriguez americana manhasset Client 17620 677.69 26 Sport Tickets - Single event Client-Entertainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 John R Marson Employee 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 jon ostrow na Client 17620 677.69 26 Sport Tickets - Single event Client-Entertainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 kit mcquiston na Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 kyle delaney na Client 17620 677.70 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 max smyrinios na Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 mich ael torregiano hamlin Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 nate perkins na Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 neil sonenberg na Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 pete smyrinios na Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 ron ostrow na Client 17620 677.69 26 Sport Tickets - Single event Client-Entertainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 Salv atore E. Moore Employee 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 scot williams na Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 Scot t T. Prokop Employee 17620 677.70 26 Sport Tickets - Single event Client-Enter tainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 Stev e Schneider Cenosystems, Inc. Client 17620 677.70 26 Sport Tickets - Single event Client-Entertainment 158249 6106839 MOORE SALVATORE Not applicable 13728352 158249 01/06/2014 yuri farison na Client 17620 677.69 26 Sport Tickets - Single event Client-Enter tainment 158454 6106839 MOORE SALVATORE 6201215544 2/2/2014 Salvatore Moore DB Empl oyee Employee 6025 1506 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/1 4/2014 13685884 158454 01/27/2014 gerald barad na Client 4525 1131.25 4 Sport Tickets - Single event Client-Entertainment NFL-TICKETS 158454 6106839 MOORE SALVATORE 6201215544 2/2/2014 Ronnie Apfel Shimmie Horn Relationship - Iriqouis Hotel Client 6025 1506 4 Ticketed Event NFL Super Bowl Jose ph Yuen 02/14/2014 13685884 158454 01/27/2014 ronnie apfel na Client 4525 1131.25 4 Sport Tickets - Single event Client-Entertainment NFL-TICKETS 158454 6106839 MOORE SALVATORE 6201215544 2/2/2014 Shimmie Horn Shimmie Horn Relationship - Iriqouis Hotel Client 6025 1506 4 Ticketed Event NFL Super Bowl Jose ph Yuen 02/14/2014 13685884 158454 01/27/2014 Salvatore E. Moore Employee 4525 1131.25 4 Sport Tickets - Single event Client-Entertainment NFL-TICKETS 158454 6106839 MOORE SALVATORE 6201215544 2/2/2014 Gerald Barad Gerald Barad Client Client 6025 1506 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 EFTA01478780 13685884 158454 01/27/2014 shimmie horm na Client 4525 1131.25 4 Spor t Tickets - Single event Client-Entertainment NFL-TICKETS This report displays Concur entries requiring pre-approval that were found in ACERS but present vari ous discrepancies. Thresholds for Supervisory Approval The following table depicts the thresholds triggering when advance written supervisory approval is n eeded. SA 6P EFTA01478781 Pre-Approval No Discrepancies Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael-J Davis, Erin 0 -Rourke, Zia Memon, Chris Jensen ACERS Concur ACER Unique ID DB People ID DB Host Last Name DB Host First Name Cost Center ACER Event Date Attendee Name Client Firm Client Relationship Attendee Type Total Amount Per Head Count Total Attendees Expense Type Description Compliance Approver Compliance A pproval Date Concur ID Pre-Approval Number Transaction Date/ Time Attendee Name Clie nt Firm Attendee type Total Amount in Concur Attendee Amount Total Attendees Business Purpose Expense Type Vendor 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brain Frenkel A M N Investments / Colorado Family Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tick ets courtside include dinner Not applicable 13637008 156792 1/30/2014 Brian P. Con vey Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Va lue 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brain Frenkel A M N Investments / Colorado Family Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tick ets courtside include dinner Not applicable 13637008 156792 1/30/2014 Mike Underwo od Wynkoop Capital LLC Client 2700 450 6 Client Meeting Sporting/Theater Tic kets - Ticket Value REGENCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brad Underwood Altitude Investment Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside in clude dinner Not applicable 13637008 156792 1/30/2014 Brad Underwood Colorado Par tners Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Brad Underwood Altitude Investment Partners LLC Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside in dude dinner Not applicable 13637008 156792 1/30/2014 Brian Frenkel Colorado par tners Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGE NCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Noah Agron Brigade Management Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 13637008 156792 1/30/2014 Joshua Shoshan Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Noah Agron Brigade Management Client 2700 450 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 13637008 156792 1/30/2014 Judith A Webster Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Josh Shoshan DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 1/30/2014 Cathy Oberg Hudson News Clie nt 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Josh Shoshan DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 1/30/2014 jim cohen n/a Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING LLC 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Judith Webster DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 1/30/2014 John R Marson Employee 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value 156792 6219059 WEBSTER JUDITH 6433705005 1/30/2014 Judith Webster DB Employee Employee 2700 450 6 Ticketed events + meals/drinks Tickets courtside include di nner Not applicable 13637008 156792 1/30/2014 robert cohen n/a Client 2700 450 6 Client Meeting Sporting/Theater Tickets - Ticket Value REGENCY CONSULTING LLC This report displays Concur entries requiring pre-approval that were found in ACERS. Thresholds for Supervisory Approval The following table depicts the thresholds triggering when advance written supervisory approval is n eeded. SA SP EFTA01478782 No Reimbursement Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael-J Davis, Erin O-Rourke, Zia Memon, Chris Jensen Employee Name Emp. ID Emp. Status ACERS Unique ID Status Source Cost Center Transaction Date Company Name Attendee Name Client Relationship Total Attendees Per Head Cost Tota 1 Amount Expense Type Compliance Approver Compliance Approval Date JENSEN, JOANNE 8003324 A 149943 Sent ACERS 6201128669 1/22/2014 DB Joan ne Jensen Employee 2 305 610 Ticketed Event Not applicable JENSEN, JOANNE 8003324 A 149943 Sent ACERS 6201128669 1/22/2014 Eton Park Petr Prerovsky Client 2 305 610 Ticketed Event Not applicable VRABLIC, ROSEMARY 6212663 A 156833 Sent ACERS 6201215544 1/2/2014 DB Rosemary Vrablic Employee 3 200 600 Meals/drinks Not applicable VRABLIC, ROSEMARY 6212663 A 156833 Sent ACERS 6201215544 1/2/2014 Howa rd Lepow Howard Lepow Client 3 200 600 Meals/drinks Not applicable VRABLIC, ROSEMARY 6212663 A 156833 sent ACERS 6201215544 1/2/2014 sail y Lepow Sally Lepow Client 3 200 600 Meals/drinks Not applicable MOORE, SALVATORE 6106839 A 158250 Sent ACERS 6201215544 1/16/2014 DB Sal Moore Employee 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158250 Sent ACERS 6201215544 1/16/2014 Rose n Seymour Shapss Martin & Company Neil Sonenberg 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158251 Sent ACERS 6201215544 1/17/2014 Bank of America Nate Perkins 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158251 Sent ACERS 6201215544 1/17/2014 DB Sal Moore Employee 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158252 sent ACERS 6201215544 1/21/2014 DB Sal Moore Employee 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158252 sent ACERS 6201215544 1/21/2014 Dick Spoor Dick Spoor Client 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158253 sent ACERS 6201215544 1/24/2014 DB Sal Moore Employee 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158253 sent ACERS 6201215544 1/24/2014 Scot Williams Scot Williams Client 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158254 Sent ACERS 6201215544 1/28/2014 DB Sal Moore Employee 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158254 Sent ACERS 6201215544 1/28/2014 Yuri Farison Yuri Farison Client 2 450 900 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158255 Sent ACERS 6201215544 2/1/2014 DB Sal Moore Employee 4 425 1700 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158255 Sent ACERS 6201215544 2/1/2014 Seta: an Foods Dimitrious Smyrinios 4 425 1700 Ticketed Event Not applicable MOORE, SALVATORE 6106839 A 158255 Sent ACERS 6201215544 2/1/2014 Schu an Foods Max Smyrinios (Child of Dimitrious Smyrinios) 4 425 1700 Ticketed Eve nt Not applicable MOORE, SALVATORE 6106839 A 158255 Sent ACERS 6201215544 2/1/2014 Schu an Foods Pete Smyrinios (Child of Dimitrious Smyrinios) 4 425 1700 Ticketed Eve nt Not applicable MORRIS, PAUL 8067863 A 158620 Sent ACERS 6201215544 2/12/2014 DB Paul Morris Employee 3 300 900 Ticketed Event Not applicable MORRIS, PAUL 8067863 A 158620 Sent ACERS 6201215544 2/12/2014 Moses Singer LLP Jim Alterbaum Client 3 300 900 Ticketed Event Not applicable MORRIS, PAUL 8067863 A 158620 Sent ACERS 6201215544 2/12/2014 Southern Fin ancial LLP Richard Kahn Client 3 300 900 Ticketed Event Not applicable MULLIN IV, MICHAEL 6212513 A 158854 Sent ACERS 6201215544 2/4/2014 DB Michael Mullin Employee 2 175 350 Ticketed Event Not applicable MULLIN IV, MICHAEL 6212513 A 158854 Sent ACERS 6201215544 2/4/2014 Holl y Capital Gary Mosko 2 175 350 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 158980 Sent ACERS 6201215544 2/2/2014 DB Bria n Convey Employee 2 1512.5 3025 Ticketed Event Joseph Yuen 02/25/2014 CONVEY, BRIAN 6106275 A 158980 Sent ACERS 6201215544 2/2/2014 Marco Intern ational/Globe Specialty Metals Alan Kestenbaum Client 2 1512.5 3025 Ticketed Event Jose ph Yuen 02/25/2014 JACOBY, MICHAEL 6123267 A 158989 Sent ACERS 6201215594 2/20/2014 DB John Gleber Employee 6 253.333333 1520 Meals/drinks Not applicable JACOBY, MICHAEL 6123267 A 158989 Sent ACERS 6201215594 2/20/2014 DB Mark Westhoff Employee 6 253.333333 1520 Meals/drinks Not applicable JACOBY, MICHAEL 6123267 A 158989 Sent ACERS 6201215594 2/20/2014 DB Mich ael Jacoby Employee 6 253.333333 1520 Meals/drinks Not applicable JACOBY, MICHAEL 6123267 A 158989 Sent ACERS 6201215594 2/20/2014 Somerston Alex Ohlsson Client 6 253.333333 1520 Meals/drinks Not applicable JACOBY, MICHAEL 6123267 A 158989 Sent ACERS 6201215594 2/20/2014 Somerston Nick Wakefield Client 6 253.333333 1520 Meals/drinks Not applicable JACOBY, MICHAEL 6123267 A 158989 Sent ACERS 6201215594 2/20/2014 Somerston Steven Stegenwalner Client 6 253.333333 1520 Meals/drinks Not applicable CONVEY, BRIAN 6106275 A 159040 Sent ACERS 6201215544 2/5/2014 Beth Ostrow Beth Ostrow Client 2 450 900 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159040 Sent ACERS 6201215544 2/5/2014 DB Bria n Convey Employee 2 450 900 Ticketed Event Not applicable EFTA01478783 CONVEY, BRIAN 6106275 A 159041 Sent ACERS 6201215544 2/12/2014 A Kozak S Co LLP Arnie Toren Client 2 450 900 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159041 Sent ACERS 6201215544 2/12/2014 DB Bria n Convey Employee 2 450 900 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159042 Sent ACERS 6201215544 2/16/2014 DB Bria n Convey Employee 4 212.5 850 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159042 Sent ACERS 6201215544 2/16/2014 William AM B urden Margaret Casella Client 4 212.5 850 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159042 Sent ACERS 6201215544 2/16/2014 William AM B urden Michael Casella Client 4 212.5 850 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159042 Sent ACERS 6201215544 2/16/2014 William AM B urden Mike Casella Client 4 212.5 850 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159043 Sent ACERS 6201215544 2/27/2014 DB Bria n Convey Employee 3 355.666666 1067 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159043 Sent ACERS 6201215544 2/27/2014 DB Salv store Moore Employee 3 355.666666 1067 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159043 Sent ACERS 6201215544 2/27/2014 Thomas Moore head Thomas Moorehead Client 3 355.666666 1067 Ticketed Event Not applicab le CONVEY, BRIAN 6106275 A 159044 Sent ACERS 6201215544 2/28/2014 Americana Ma nhasset John Gutleber Client 2 450 900 Ticketed Event Not applicable CONVEY, BRIAN 6106275 A 159044 Sent ACERS 6201215544 2/28/2014 DB Bria n Convey Employee 2 450 900 Ticketed Event Not applicable Thresholds for Supervisory Approval The following table depicts the thresholds triggering when advance written supervisory approval is n eeded. SA SP EFTA01478784 Concur Raw Data Date : 1/1/2014 to 2/28/2014 Business Unit : Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael-J Davis, Erin O-Rourke, Zia Memon, Chris Jensen Employee Name Emp. ID Emp. Status Concur Entry Key Pre-Approval Number Cost Center Transaction Date Company Name Attendee Name Attendee Type Total Attendees Per Head Cos t Total Amt Business Purpose Expense Type VRABLIC, ROSEMARY 6212663 A 13340285 6201215544 1/2/2014 Client Sall y Lepow Client 3 200 600 Dinner Client Meals VRABLIC, ROSEMARY 6212663 A 13340285 6201215544 1/2/2014 DB Rose mary T Vrablic Employee 3 200 600 Dinner Client Meals VRABLIC, ROSEMARY 6212663 A 13340285 6201215544 1/2/2014 Client Howa rd Lepow Client 3 200 600 Dinner Client Meals VRABLIC, ROSEMARY 6212663 A 13406206 6201215544 1/9/2014 DLA Piper Charles Baker Client 2 200 400 Dinner Client Meals VRABLIC, ROSEMARY 6212663 A 13406206 6201215544 1/9/2014 DB Rose mary T Vrablic Employee 2 200 400 Dinner Client Meals WEBSTER, JUDITH 6219059 A 13637008 156792 6433705005 01/23/2014 Joshua Shosh an Employee 6 350 2100 Client Meeting Sporting/Theater Tickets - Ticket Va lue WEBSTER, JUDITH 6219059 A 13651467 156792 6433705005 01/23/2014 Brian P. Con vey Employee 6 450 2700 Client Meeting Sporting/Theater Tickets - Ticket Va lue WEBSTER, JUDITH 6219059 A 13637008 156792 6433705005 01/23/2014 Colorado Par tners Brad Underwood Client 6 350 2100 Client Meeting Sporting/Theater Tickets - T icket Value WEBSTER, JUDITH 6219059 A 13651467 156792 6433705005 01/23/2014 Wynkoop Capi tal LLC Mike Underwood Client 6 450 2700 Client Meeting Sporting/Theater Tickets - T icket Value WEBSTER, JUDITH 6219059 A 13637008 156792 6433705005 01/23/2014 Judith A Web ster Employee 6 350 2100 Client Meeting Sporting/Theater Tickets - Ticket Va lue WEBSTER, JUDITH 6219059 A 13637008 156792 6433705005 01/23/2014 Colorado par tners Brian Frenkel Client 6 350 2100 Client Meeting Sporting/Theater Tickets - T icket Value SCALZI, DOMINIC 6212651 A 13408021 158167 6201215544 01/12/2014 Kroenke Orga nization Otto Mally Client 3 174.91 525 Dinner Client Meals SCALZI, DOMINIC 6212651 A 13408021 158167 6201215544 01/12/2014 Dominic J Sc alzi Employee 3 174.91 525 Dinner Client Meals SCALZI, DOMINIC 6212651 A 13408021 158167 6201215544 01/12/2014 Rosemary T V rablic Employee 3 174.91 525 Dinner Client Meals SCALZI, DOMINIC 6212651 A 13466542 158168 6201215544 01/16/2014 Dominic J Sc alzi Employee 4 170.35 680 Dinner Client Meals SCALZI, DOMINIC 6212651 A 13466542 158168 6201215544 01/16/2014 Rosemary T V rablic Employee 4 170.34 680 Dinner Client Meals SCALZI, DOMINIC 6212651 A 13466542 158168 6201215544 01/16/2014 Client Mich ael Mandt Client 4 170.35 680 Dinner Client Meals SCALZI, DOMINIC 6212651 A 13466542 158168 6201215544 01/16/2014 Client Neil Mandt Client 4 170.35 680 Dinner Client Meals MARSON, JOHN 6107543 A 13519560 158169 6201215544 01/23/2014 John R Marso n Employee 4 160 640 Sport Tickets - Single event Client-Entertainment MARSON, JOHN 6107543 A 13519560 158169 6201215544 01/23/2014 n/a robe rt cohen Client 4 160 640 Sport Tickets - Single event Client-Entertainment MARSON, JOHN 6107543 A 13519560 158169 6201215544 01/23/2014 Hudson News Cathy Oberg Client 4 160 640 Sport Tickets - Single event Client-Entertainment MARSON, JOHN 6107543 A 13519560 158169 6201215544 01/23/2014 n/a jim cohen Client 4 160 640 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 Scot t T. Prokop Employee 26 677.70 17628 Sport Tickets - Single event Client-Enter tainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na davida deutsch Client 26 677.70 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na faith lorenzo Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na pete smyrinios Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 Brig id A. Ehrenberg Employee 26 677.70 17628 Sport Tickets - Single event Client-Enter tainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 John R Marson Employee 26 677.69 17628 Sport Tickets - Single event Client-Enter tainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 Ceno systems, Inc. Steve Schneider Client 26 677.70 17628 Sport Tickets - Single event Clie nt-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 Fide lity asset management frederick mcmullen Client 26 677.70 17628 Sport Tickets - Sing le event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na EFTA01478785 donald damast Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na max smyrinios Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na neil sonenberg Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na yuri farison Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 stra tegic procurement donna kay Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 Salv atore E. Moore Employee 26 677.69 17628 Sport Tickets - Single event Client-Enter tainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 amer icana manhasset joe rodriguez Client 26 677.69 17628 Sport Tickets - Single event Clie nt-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 glob e specialty metals alan kestenbaum Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 n/a dimitrios smyrinios Client 26 677.69 17628 Sport Tickets - Single event Client-Enter tainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na dick spoor Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na jon ostrow Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na kit mcquiston Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na kyle delaney Client 26 677.70 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na nate perkins Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na ron ostrow Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 na scot williams Client 26 677.69 17628 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 Bria n P. Convey Employee 26 677.69 17628 Sport Tickets - Single event Client-Enter tainment MOORE, SALVATORE 6106839 A 13728352 158249 6201215544 01/06/2014 haml in michael torregiano Client 26 677.69 17628 Sport Tickets - Single event Clie nt-Entertainment MOORE, SALVATORE 6106839 A 13685884 158454 6201215544 01/27/2014 na shimmie horm Client 4 1131.25 4524 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13685884 158454 6201215544 01/27/2014 Salv atore E. Moore Employee 4 1131.25 4524 Sport Tickets - Single event Client-Enter tainment MOORE, SALVATORE 6106839 A 13685884 158454 6201215544 01/27/2014 na gerald bared Client 4 1131.25 4524 Sport Tickets - Single event Client-Entertainment MOORE, SALVATORE 6106839 A 13685884 158454 6201215544 01/27/2014 na ronnie apfel Client 4 1131.25 4524 Sport Tickets - Single event Client-Entertainment SA SP EFTA01478786 ACERS Raw Data Date: 1/1/2014 to 2/28/2014 Business Unit: Asset and Wealth Management-WM Americas Front Office Reviewer : Kim Hart, Chip Packard, Michael-J Davis, Erin 0 -Rourke, Zia Memon, Chris Jensen ACERS Transaction Date ACERS Unique ID Status Source Emp ID Employee Name Emp. Status Atte ndee Name Company Name Client Firm Client Relationship Pre Approver Cost Center Client Code Transaction Name EmpUBRLevel9 Per Head Count Total Amount Total Attend ees Expense Type Description Compliance Approver Compliance Approval Date 1/22/2014 149943 Sent ACERS 8003324 JENSEN, JOANNE A Joanne Jensen DB Empl oyee Employee Andrew Gallivan 6201128669 WM Americas Front Office 305 610 2 Ticketed Event Metropolitan Opera Not applicable 1/22/2014 149943 Sent ACERS 8003324 JENSEN, JOANNE A Petr Prerovsky Eton Park Client Client Andrew Gallivan 6201128669 WM Americas Front Office 305 610 2 Ticketed Event Metropolitan Opera Not applicable 1/30/2014 156792 Sent A & C 6219059 WEBSTER, JUDITH A Brain Frenkel A M N Invest ments / Colorado Family Partners LLC Client Michael J Davis 6433705005 WM Americas Front Of fice 450 2700 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 1/30/2014 156792 Sent A S C 6219059 WEBSTER, JUDITH A Brad Underwood Altitude Inv estment Partners LLC Client Michael J Davis 6433705005 WM Americas Front Office 450 2700 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicab le 1/30/2014 156792 Sent A S C 6219059 WEBSTER, JUDITH A Noah Agron Brigade Mana gement Client Michael J Davis 6433705005 WM Americas Front Office 450 2700 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 1/30/2014 156792 Sent A S C 6219059 WEBSTER, JUDITH A Josh Shoshan DB Empl oyee Employee Michael J Davis 6433705005 WM Americas Front Office 450 2700 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 1/30/2014 156792 Sent A S C 6219059 WEBSTER, JUDITH A Judith Webster DB Empl oyee Employee Michael J Davis 6433705005 WM Americas Front Office 450 2700 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 1/30/2014 156792 Sent A a C 6219059 WEBSTER, JUDITH A Michael Underwood Wynk oop Capital LLC Client Michael J Davis 6433705005 WM Americas Front Office 450 2700 6 Ticketed events + meals/drinks Tickets courtside include dinner Not applicable 1/2/2014 156833 Sent ACERS 6212663 VRABLIC, ROSEMARY A Rosemary Vrablic DB Employee Employee Kimberly Hart 6201215544 WM Americas Front Office 200 600 3 Meals/drinks Meals and Drinks Not applicable 1/2/2014 156833 Sent ACERS 6212663 VRABLIC, ROSEMARY A Howard Lepow Howa rd Lepow Client Client Kimberly Hart 6201215544 WM Americas Front Office 200 600 3 Meals/drinks Meals and Drinks Not applicable 1/2/2014 156833 Sent ACERS 6212663 VRABLIC, ROSEMARY A Sally Lepow Sall y Lepow Client Client Kimberly Hart 6201215544 WM Americas Front Office 200 600 3 Meals/drinks Meals and Drinks Not applicable 1/12/2014 158167 Sent A & C 6212651 SCALZI, DOMINIC A Dominic Scalzi DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 131.25 525 4 Meals/drinks Client Dinner Not applicable 1/12/2014 158167 Sent A & C 6212651 SCALZI, DOMINIC A Rosemary Vrablic DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 131. 25 525 4 Meals/drinks Client Dinner Not applicable 1/12/2014 158167 Sent A & C 6212651 SCALZI, DOMINIC A Michael Mandt Michael Mand t Client Andrew Gallivan 6201215544 WM Americas Front Office 131.25 525 4 Meals/drinks Client Dinner Not applicable 1/12/2014 158167 Sent A & C 6212651 SCALZI, DOMINIC A Neil Mandt Neil Mandt Client Client Andrew Gallivan 6201215544 WM Americas Front Office 131.25 525 4 Meals/drinks Client Dinner Not applicable 1/16/2014 158168 Sent A & C 6212651 SCALZI, DOMINIC A Dominic Scalzi DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 227 681 3 Meals/drinks Client Dinner Not applicable 1/16/2014 158168 Sent A & C 6212651 SCALZI, DOMINIC A Rosemary Vrablic DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 227 681 3 Meals/drinks Client Dinner Not applicable 1/16/2014 158168 Sent A & C 6212651 SCALZI, DOMINIC A Otto Malli Kroenke Grou P Client Client Andrew Gallivan 6201215544 WM Americas Front Office 227 681 3 Meals/drinks Client Dinner Not applicable 11/10/2013 158169 Sent A & C 6107543 MARSON, JOHN A John Marson DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 160 640 4 Ticketed Event NY Giants vs. Oakland Raiders Not applicable 11/10/2013 158169 Sent A & C 6107543 MARSON, JOHN A James Cohen Lisa Cohen r elationship Client Client Andrew Gallivan 6201215544 WM Americas Front Office 160 640 4 Ticketed Event NY Giants vs. Oakland Raiders Not applicable 11/10/2013 158169 Sent A & C 6107543 MARSON, JOHN A Kathy Oberg Lisa Cohen r elationship Client Client Andrew Gallivan 6201215544 WM Americas Front Office 160 640 4 Ticketed Event NY Giants vs. Oakland Raiders Not applicable 11/10/2013 158169 Sent A & C 6107543 MARSON, JOHN A Robert Cohen III Lisa Cohen relationship Client Client Andrew Gallivan 6201215544 WM Americas Front Office 160 640 4 Ticketed Event NY Giants vs. Oakland Raiders Not applicable 1/13/2014 158249 Sent A & C 6106839 MOORE, SALVATORE A Donald Damast Comm odore Manufacturing Corp Client Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Not applicable EFTA01478787 1/13/2014 158249 Sent A S C 6106839 MOORE, SALVATORE A Sal Moore DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Not applicable 1/16/2014 158250 Sent ACERS 6106839 MOORE, SALVATORE A Sal Moore DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Rangers Not applicable 1/16/2014 158250 Sent ACERS 6106839 MOORE, SALVATORE A Neil Sonenberg Rose n Seymour Shapss Martin & Company Client Andrew Gallivan 6201215544 WM Americas Front Of Tice 450 900 2 Ticketed Event Rangers Not applicable 1/17/2014 158251 Sent ACERS 6106839 MOORE, SALVATORE A Nate Perkins Bank of America Client Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Not applicable 1/17/2014 158251 Sent ACERS 6106839 MOORE, SALVATORE A Sal Moore DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Not applicable 1/21/2014 158252 Sent ACERS 6106839 MOORE, SALVATORE A Sal Moore DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Rangers Not applicable 1/21/2014 158252 Sent ACERS 6106839 MOORE, SALVATORE A Dick Spoor Dick Spoor Client Client Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Rangers Not applicable 1/24/2014 158253 Sent ACERS 6106839 MOORE, SALVATORE A Sal Moore DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Not applicable 1/24/2014 158253 Sent ACERS 6106839 MOORE, SALVATORE A Scot Williams Scot Williams Client Client Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Not applicable 1/28/2014 158254 Sent ACERS 6106839 MOORE, SALVATORE A Sal Moore DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Not applicable 1/28/2014 158254 Sent ACERS 6106839 MOORE, SALVATORE A Yuri Farison Yuri Farison Client Client Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Not applicable 2/1/2014 158255 Sent ACERS 6106839 MOORE, SALVATORE A Sal Moore DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 425 1700 4 Ticketed Event Knicks Not applicable 2/1/2014 158255 sent ACERS 6106839 MOORE, SALVATORE A Dimitrious Smyrinios Schuan Foods Client Andrew Gallivan 6201215544 WM Americas Front Office 425 1700 4 Ticketed Event Knicks Not applicable 2/1/2014 158255 Sent ACERS 6106839 MOORE, SALVATORE A Max Smyrinios (Child of Dimitrious Smyrinios) Schuan Foods Client Andrew Gallivan 6201215544 WM Americas Front Office 425 1700 4 Ticketed Event Knicks Not applicable 2/1/2014 158255 Sent ACERS 6106839 MOORE, SALVATORE A Pete Smyrinios (Chil d of Dimitrious Smyrinios) Schuan Foods Client Andrew Gallivan 6201215544 WM Americas Front Office 425 1700 4 Ticketed Event Knicks Not applicable 2/2/2014 158454 Sent A S C 6106839 MOORE, SALVATORE A Salvatore Moore DB Employee Employee Andrew Gallivan 6201215544 WM Americas Front Office 1506 .25 6025 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 2/2/2014 158454 Sent A S C 6106839 MOORE, SALVATORE A Gerald Barad Gera Id Barad Client Client Andrew Gallivan 6201215544 WM Americas Front Office 1506 .25 6025 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 2/2/2014 158454 Sent A & C 6106839 MOORE, SALVATORE A Ronnie Apfel Shim mie Horn Relationship - Iriqouis Hotel Client Andrew Gallivan 6201215544 WM Americas Front Of fice 1506.25 6025 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 2/2/2014 158454 Sent A & C 6106839 MOORE, SALVATORE A Shimmie Horn Shim mie Horn Relationship - Iriqouis Hotel Client Andrew Gallivan 6201215544 WM Americas Front Of fice 1506.25 6025 4 Ticketed Event NFL Super Bowl Joseph Yuen 02/14/2014 2/12/2014 158620 Sent ACERS 8067863 MORRIS, PAUL A Paul Morris DB Empl oyee Employee Chip Packard 6201215544 WM Americas Front Office 300 900 3 Ticketed Event NY Knicks vs Sacramento Not applicable 2/12/2014 158620 Sent ACERS 8067863 MORRIS, PAUL A Jim Alterbaum Moses Singer LLP Client Client Chip Packard 6201215544 WM Americas Front Office 300 900 3 Ticketed Event NY Knicks vs Sacramento Not applicable 2/12/2014 158620 Sent ACERS 8067863 MORRIS, PAUL A Richard Kahn Southern Fin ancial LLP Client Client Chip Packard 6201215544 WM Americas Front Office 300 900 3 Ticketed Event NY Knicks vs Sacramento Not applicable 2/4/2014 158854 Sent ACERS 6212513 MULLIN IV, MICHAEL A Michael Mullin DB Employee Employee Chip Packard 6201215544 WM Americas Front Office 175 350 2 Ticketed Event SuperBowl Not applicable 2/4/2014 158854 Sent ACERS 6212513 MULLIN IV, MICHAEL A Gary Mosko Holl y Capital Client Chip Packard 6201215544 WM Americas Front Office 175 350 2 Ticketed Event SuperBowl Not applicable 2/2/2014 158980 Sent ACERS 6106275 CONVEY, BRIAN A Brian Convey DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 1512.5 3025 2 Ticketed Event Super Bowl Joseph Yuen 02/25/2014 2/2/2014 158980 Sent ACERS 6106275 CONVEY, BRIAN A Alan Kestenbaum Marco Intern ational/Globe Specialty Metals Client Client Andrew Gallivan 6201215544 WM Americas Front Of Tice 1512.5 3025 2 Ticketed Event Super Bowl Joseph Yuen 02/25/2014 2/20/2014 158989 Sent ACERS 6123267 JACOBY, MICHAEL A John Gleber DB Empl EFTA01478788 oyee Employee Chip Packard 6201215594 WM Americas Front Office 253.333333 1520 6 Meals/drinks Client Dinner Not applicable 2/20/2014 158989 Sent ACERS 6123267 JACOBY, MICHAEL A Mark Westhoff DB Empl oyee Employee Chip Packard 6201215594 WM Americas Front Office 253.333333 1520 6 Meals/drinks Client Dinner Not applicable 2/20/2014 158989 Sent ACERS 6123267 JACOBY, MICHAEL A Michael Jacoby DB Empl oyee Employee Chip Packard 6201215594 WM Americas Front Office 253.333333 1520 6 Meals/drinks Client Dinner Not applicable 2/20/2014 158989 Sent ACERS 6123267 JACOBY, MICHAEL A Alex Ohlsson Somerston Client Client Chip Packard 6201215594 WM Americas Front Office 253.333333 1520 6 Meals/drinks Client Dinner Not applicable 2/20/2014 158989 Sent ACERS 6123267 JACOBY, MICHAEL A Nick Wakefield Somerston Client Client Chip Packard 6201215594 WM Americas Front Office 253.333333 1520 6 Meals/drinks Client Dinner Not applicable 2/20/2014 158989 Sent ACERS 6123267 JACOBY, MICHAEL A Steven Stegenwalner Some rston Client Client Chip Packard 6201215594 WM Americas Front Office 253.333333 1520 6 Meals/drinks Client Dinner Not applicable 2/5/2014 159040 Sent ACERS 6106275 CONVEY, BRIAN A Beth Ostrow Beth Ostrow Client Client Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Vs Portland Trail Blazers Not applicable 2/5/2014 159040 Sent ACERS 6106275 CONVEY, BRIAN A Brian Convey DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Vs Portland Trail Blazers Not applicable 2/12/2014 159041 Sent ACERS 6106275 CONVEY, BRIAN A Arnie Toren A Kozak S Co LLP Client Client Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Vs Sacramento Kings Not applicable 2/12/2014 159041 Sent ACERS 6106275 CONVEY, BRIAN A Brian Convey DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 450 900 2 Ticketed Event Knicks Vs Sacramento Kings Not applicable 2/16/2014 159042 Sent ACERS 6106275 CONVEY, BRIAN A Brian Convey DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 212.5 850 4 Ticketed Event Georgetown Vs St. Johns Not applicable 2/16/2014 159042 Sent ACERS 6106275 CONVEY, BRIAN A Margaret Casella Will iam AM Burden Client Client Andrew Gallivan 6201215544 WM Americas Front Office 212. 5 850 4 Ticketed Event Georgetown Vs St. Johns Not applicable 2/16/2014 159042 Sent ACERS 6106275 CONVEY, BRIAN A Michael Casella William AM B urden Client Client Andrew Gallivan 6201215544 WM Americas Front Office 212.5 850 4 Ticketed Event Georgetown Vs St. Johns Not applicable 2/16/2014 159042 Sent ACERS 6106275 CONVEY, BRIAN A Mike Casella William AM B urden Client Client Andrew Gallivan 6201215544 WM Americas Front Office 212.5 850 4 Ticketed Event Georgetown Vs St. Johns Not applicable 2/27/2014 159043 Sent ACERS 6106275 CONVEY, BRIAN A Brian Convey DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 355.666666 1067 3 Ticketed Event Rangers Vs Chicago Blackhawks Not applicable 2/27/2014 159043 Sent ACERS 6106275 CONVEY, BRIAN A Salvatore Moore DB Empl oyee Employee Andrew Gallivan 6201215544 WM Americas Front Office 355.666666 1067 3 Ticketed Event Rangers Vs Chicago Blackhawks Not applicable 2/27/2014 159043 Sent ACERS 6106275 CONVEY, BRIAN A Thomas Moorehead Thom as Moorehead Client Client Andrew Gallivan 6201215544 WM 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