EFTA01398963

Kirby Customer Number Customer Name Type * High Risk * Moderate Risk Annual Client Update Due Dat e Auto Exempt Reason Exemption Reason Customer Owner IPE Limited Client Y N 6/14/2017 Heather Kirby Irrawaddy Policy Exchange Trust Client 6/14/2017 Heather Kirb Trust f/b/o Louise G. Collins u/a Kevin J. Collins 12/12/02 Client N Heather Kirby Boehly, Todd L. Client N 8/23/2017 Heather Kirby NZC 136, LLC Client N 9/1/2017 Heather Kirby NZC LA, LLC Client N 9/20/2017 Heather Kirby George Soros Revocable Trust Client Y N 10/25/2017 Heather Kirb NZC CO, LLC Client N Y 11/15/2017 Heather Kirby NZC SC, LLC Client N Y 11/15/2017 Heather Kirby McElvenny, Ralph W. Client N Y 12/20/2017 Heather Kirby ASL Media Holdings, LLC Client Y N 2/10/2018 Heather Kirby For internal use only EFTA01398963