EFTA01460689.pdf

Pi•eline Monday. March 24. 2014 KCP Weekly Business Review Revenue-Pipeline deals-Transactions closed-Client updates-Trade ideas Emu" atad EXpected Client Trade Ticket Size Dalt, Annual NNA Relationship Manager Channel Office KCP Revenue Revenue KCP US Pipeline 18200003 55% 7 SC0000 1 Wes Nadal MOCA Stock Loan S45nyn 1500000 95% 1 000000 Mos Nadal FS San, York Thomas °Rorke 2 GH Paine, Associates TRS to, real estate draeopet 5.003.000 75% TBD Choy Paler PB Los Angeles Taro Smite 3 JI-LAC Propel Troop, tnancing team resat $2Cerrn 1000.000 75% 1 000000 Bill Furber PCS Boston David Mann 4 Olson CMGS. RB Olson Deveoprreil (MarrottNosiotaley) $2030mm 500.000 70% TBD Elisabeth Schreiber FCS Los Angeles Taro &nal 5 Java, Forest Toro Spitfire 3 0 TOO 1.400.020 75% 1000000 Vacuous PCS NY. MIA David Mann 6 Angelo Takao:Kies S45mrn loan vs Slerrm Water Rights Contract (200) S45errn loan 500000 50% TBD Ed Lok PB San Francisco Taro Smth 7 Rice Family Office W/APdtategue (PSNIT) • Block Trade TOO 300 003 50% soam Cardin Barenhard PB Los Angeles Craw] Mann 8 EnTrust Treasures on repo and long SPY S750mm 2 500000 50% 1 MO OX Patsca Bennett PB Los Angeles David Mann 9 Wilbur Ross Puerto Rom Sy TRS S1COrern 5.000,000 50% 1000000 Robert Lady PCS Palm Beach Cereal Mann 10 Robert Snerrren FX Management (SFXE) Ongoing 500000 25% 507000 Terri &trap PB New York Taro &nth II Vegas (Y.P Au) PACE hormone S Retold artnabontoppceb.moly TBO 1000.000 20% 5001300 Ed Lok PB San Franca* Taro Smith 12 Marneather Anson Hotel Equity (capital raise) SSOrnm 1.000.0® 20% 1 000 000 Venous PB/PCS VariOkis Bruce McDermott 13 Intend Real Estate PACE bond Program TBD TBD TOD TOD TimRiey PCS New York David Mann 10 Jemn.IHAC Tobacco bonds TBO TOO TED TOD Watt* PCS Various Deed Mann Estirnp:Pd Ew pcchn7 Client Tiede ccxer Size Anzwal NSA RoUprtstsp Ntine)er Cn.t.nntl Oluce KCP Re•tnue RavenP.. mmlm.§5 IMP IMAM Pipeline 3.450020 24500W / Noble Fired Inoarne portfolio St Orrin 75000 250030 Antcno Braun NW Mown Zagury.Chaves 2 Angeem Fame Structured notes $1Onm 30000 250 C(!O Patrice Loon PWIA Mimeo lagurythaves 3 Sayre Correany Bond portlotiowth a cross currency overlay $305Orrei 300.003 TOD Patron Leon PWM Magri ZaguryChaves 4 Berord deSelect linked note S5rren 100000 500 000 Goshen Gonzalez PWM Marro ZaguryCaaves 5 Fundscion Structured note snitch into dtSeleC linked tote S5rms 100000 500000 Gnaw Gonzalez PIMA Mir Zaguryttuwes 6 ProArus CROCI Stared notes $1015rern 200000 100030 Mercedes Sampedio PWM NY Zagurythaves 7 Bulgheroni Family Food Income portfolio S1COrrm 220.003 TBD Jan Eddicks PWM Narrburg ZeguryClutves 8 Stars US Corportale LoansCLOLoan Funds S305Orrrn 300000 100 0® Paco Leon PAW khans Zagury Chaves 9 Signature Capital Leveraged Exposure to Structured No*, 5104&m 100,000 TOD Mtn* &sun PWM Mown ZaguryChaves 10 Tendencia Asset lAsnag Equity Steep S20enrn 75000 250.000 Joseph Jannto PWM NY ZeguryiChaves I/ Aruceo Finer • cA CRE oto S75rren 2 030 020 500030 Ana Sosa PARA Geneva Z ur a ayes Et!ir.31..d EneCtP1 Client Tic ,o:S're Dp At' n.Jpi RHO Relit p %Una, or C.n..P10 Of, cc Sevenpt. RevunLe VAC US Pipeline Corporate Executive 15k Surds St 5k Cadet Arra wieta PB Miarri Joseph Cothran Va. ous SOF ul Feeder Fund Sernm 95% Bean liatnngton MS Employee Sock hedging 8 rrenceraw S5Dirm S20mm Russell Coulter. PB San Francesco Brian Hanington Pearl operators lGolub) Equity Block Trade (NAOL) SO 2rrrn 200.000 10% Chris Cuana.aro New client Fa LorigrShol (USDJPY USONC(a4) SlOrrrn Vahe Stepa Nan Vat ous SOF ul Feeder Fund S2-3rrrn 95% Joseph Cothew FereeliCaral SOF Ill Feeder Fund 15mrn 100.000 50% TBD Joshua Snoshan New client Cash 8. bonds structured notes 530mn &on Conroy PB Net, York ChnsOuartraro Corporate Single stock hedging S nswelszatew S1&20mm German &along Teem New York Chris Ovenware New dent Estate I • udaten cot rront • 'viewed*. see- n Chris Ouartara re ‘n1C, US Ptah: CloSed For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 122130 CONFIDENTIAL SDNY_GM_00268314 EFTA01460689