EFTA01459154.pdf

BPS/Flat Estimated °Neonunity Name Customer Name Close Date (%) Product Name Actual Assets Structure Actual Revenue Est 2015 Rev Est 2016 Rev Fee Month 62015 KCP Black Leon 0. 12/31/2015 75 Brokerage 5 50.00000000 BPS 5 5 25.00000 0 5 25.00000 Banking Black, Leon D. 12/31/2015 90 Checking S 50000.000.00 BPS 40 5 200,0)0.00 $ 8.333.33 5 200,00000 Margin Loan Of Enterprises 12/31/2015 75 Lombard 5 250,000,0)0.00 BPS 6S 5 1,625,000.00 .5 $ 57,708.33 $ 1,625,000.00 KKR EverWatch Financial 12/31/2015 75 Private Equity Funds $ 6000000.0) Flat Fee 5 200,0)0.00 .5 $ 200.000.00 $ KCP General Atlantic 12/31/2015 75 PIN $ 3,000000.03 Flat Foe 90,300.00 0 $ 90.000.00 5 RIN General Atlantic 12/31/2015 75 Structured Notes 3,000,030.00 Flat Fee $ 90,000.00 0 $ 90.003.00 S Brokerage Gratitude America 12/31/1015 75 Brokerage $ 10,030,000.00 BPS 20 20)100.03 .5 5 833.33 5 20.000.00 Deposits Matti Todd 12/31/2015 75 Money Market S 10,0000)0.00 BPS 35 35,000.00 .5 $ 1.458.33 5 35.000.00 MBS Trades New Apostolic Churdi 12/31/2015 90 Brokerage $ 25,000,000.00 Flat Fee 0 501000.00 0 $ 50.000.00 $ Phoenix America ORD( Corporation 12/31/2015 75 Private Equity Funds 5 10,003,0)0.00 Flat Fee 5 400500.00 .5 $ 400,000.00 5 Cle-ts Parami Capital Management 12/31/2015 75 Money Market $ 10,000,000.00 BPS IS 15,000.00 .5 1,458.33 $ 35.00000 Structured Notes SK Family Office 12/31/2015 75 Structured Notes 5 3,000,000.00 Flat Fee 45)300.00 0 $ 45,000.00 $ Loan SK Family Office 12/31/2015 75 Structured Lending 5 500000000 BPS 200 5 100,030.00 1 5 8.333.33 5 100.000.00 Additional Brokerage Southern Financial LLC 12/31/2015 75 Brokerage 75,000,000.00 BPS 20 150,000.00 .5 $ 6.250.00 5 150.000.00 Brokerage Account Southern Fhancial LLC 12/31/2015 75 Brokerage 10,000,000.00 BPS 20 $ 20,000.00 .5 833.33 $ 20,000.00 55W 2007 TLC- 55W 2007 LLC 12/31/2015 75 Money Market $ 50,003,030.00 BPS 40 5 200,000.00 .5 $ 8,333.33 5 200,000.00 Deposits The George Unclemann Fam LP 12/31/2015 90 Money Market 1,000,000.00 BPS 35 5 3,500.00 145.83 5 3300.00 ETE Brokerage 52 The George Undemann Fam LP 12/31/2015 90 Brokerage 5 30,000,000.00 BPS 20 5 60.000.03 .5 5 2.500.00 5 60.00000 ETE loan 52 The George Lindemann Fam LP 12/31/2015 90 Lombard $ 20000,000.00 BPS 135 270,030.00 .5 $ 11,250.00 $ 270,0(0.00 DPM The Haze Trust 12/31/2015 90 LA - filthy $ 25,000,030.00 BPS 35 87500.00 .5 $ 3.64381 $ 87.500.00 Panda Third Lake Capital 12/31/2015 75 Private EquityFunds S 15,000,030.00 BPS 150 5 225,000.60 .5 $ 9.375.00 5 225.00000 Phoenix America Third lake Capital 12/31/2015 75 Private Equity Funds S 15,000500.60 BPS 150 225.0)0.00 .5 5 9.375.00 5 225.00000 Feed Income Third lake Capital 12/31/2015 75 IA -Fl 5 100,000,030.00 BPS 35 350.000.00 .5 $ 14.563.33 5 350.000.00 Preferred CD Third Lake Capital 12/31/2015 90 Preferred CD 5 100,000,030.00 Flat Fee 50 5 500,000.00 .5 500.000.0) $ Brokerage Wanek Trust of 2000 12/31/2015 90 Brokerage 5 5,000500.00 BPS 5 5 2,500.00 5 $ 104,17 $ 2,500.00 JTWROS Brokerage Wanek, Karen A. 12/31/2015 90 Brokerage $ 5,000,030.03 BPS 20 $ 10,000.00 5 $ 416.67 $ 10.00100 Strand Hotel 54 Madison Partners 1/31/2016 75 Structured Lending $ 195000500.0D BPS 550 5 32,000,000.00 0 5 - 12.0(0.00000 Goldrush Pecans' Capital Management 1/31/2016 75 Structured Lending 90,0050)0.00 BPS 1235 5 13,365500.00 .5 $ 556,875.00 $ 13,365,000.00 5 1.12.5,000,0°)A0 5 30383303.02 2.016,81L50 29,008,500.00 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0119417 CONFIDENTIAL SDNY_GM_00265601 EFTA01459154