EFTA01460683.pdf

Transactions Monday Marc!, 24. 2014 KCP Weekly Business Review Revenue-Pipeline deals-Transactions closed-Client updates-Trade ideas Estimated UR;Mate Expected Expec ted Relationship Channel Office Client T ride Ticket e Delta Annual NNA KCP Investor Type BanesWI OWNS Rev Menefee Rewnue KCP US Transact ions closed 11 darn 11.1rern GapreowCapttei Partners Chas J Aoto Prudental CLO $30nim 1200,00095% 503.000 Mark Gonzales PS Nen Yak Thorn* Monte Randal Funds/ 14F 2 JVN Properbes Jack Tmfrpson Turbo Call Spread SO errrn 100.000 103% 100003 Edward Maier PCS Owego David Mann Private Investment Co 4 Ghettos Gallagher Chadee Gallagher Yacht Low (Protect Genrobrel $130mm 5.000.03095% 5.000.000 Mke le:Carthy PS Chmego Worms °Rorke Mesa-That Loan /Trust 5 Dan Loeb Yacht Put S3rrm 5000.03095% 5000.000 Rowney Vrablic PS New Yak David Mann Anabacher Bahamas Canttean CLN SI Omm 300000 103% 500000 AntonMandate PCS Minns David Mean oduci Focus PIN. SOF in, nia Mild Proton Inward S • itfitt i.0 Estimated Expected Relationship B., Ticket Sae Delta Annual NSA Channel Mee MCP Investor Type Revenue Mamma' Revenue KCPLATNA TlengliftMetSebeled 0 btrn Arizona Gadd Default Step on °Wan Bank S5rrrn 50,000 2 Drake ETF SSCrirn 18.003 3 Stars Money market fund Sl2Orren TEO 4 Ann Forney Suutured Note S5rron 10.000 5 Fundacion Structured Notes with Fundacion S2rren 20,003 Gold ETF sale and switch into Gott Bullion $20ren TEO Feted timorne 010 turnaround SlOnw 00003 Et3 ti ^1.11.N: Ultimate Expec ted Reim:ow-tip Otont Trade Ticket Size Delta Annual NSA Channel Otl,co WIC Investor Typo Beneficial Owner Revenue Manager Revenue WIC US TransettiOne Closed Norman Tulchm EX Option USODPY SI sem 12000 100 50.000 12000 Stcsan R....-vcr. PR :es Lngnles ,tospoh Co9-or. 2 Norman Tuktin EX Option USOWN 53 erern 12000 100 50.000 12000 nem P8 -os Angelo., Cotfror Chaim Kattfren Restricted stock sale 1000) 100 10.000 Catlos izw.eta PB Minor COlt.or 4 5 .1IC uct FOCIA. SOF II Estimated Unimate Expected Relatonship Investor Typo Client Trade Ticket See Ren,nue Delta Annual NNA Channel Dflme WIC Beneficial Owner Manager Revenue INC LAW/ Transactions closed 2 3 4 S L'r0,3a c1 QC.," For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0122121 CONFIDENTIAL SDNY_GM_00268305 EFTA01460683