EFTA01452614.pdf

28 January 2014 Brokers, Asset Managers & Exchanges Alternative Asset Manager Initiation Appendix 1 Important Disclosures Additional information available upon request rDisclosui a checklist Company Ticker Recent price' Disclosure The Blackstone Group BX.N 30.52 (USD) 27 Jan 14 1,7,8,17 Apollo Global Management APO.N 31.74 (USD) 27 Jan 14 1,7,8 The Carlyle Group CG.OQ 35.72 (USD) 27 Jan 14 1,2,7,8 KKR & Co. KKR.N 24.00 (USD) 27 Jan 14 1,7,8,14,15,17 Oaktree Capital Group OAK.N 57.36 (USD) 27 Jan 14 1,7,8 'Prices are 90.41Ced from local (niCinnOOS via Reuters. Bloomberg and other vendors Data os sourced from pentad,a earn and Subject COnipanteS Important Disclosures Required by U.S. Regulators Disclosures marked with an asterisk may also be required by at least one jurisdiction in addition to the United States. See Important Disclosures Required by Non-US Regulators and Explanatory Notes. 1. Within the past year, Deutsche Bank and/or its affiliate(s) has managed or co-managed a public or private offering for this company, for which it received fees. 2. Deutsche Bank and/or its affiliate(s) makes a market in securities issued by this company. 7. Deutsche Bank and/or its affiliate(s) has received compensation from this company for the provision of investment banking or financial advisory services within the past year. 8. Deutsche Bank and/or its affiliatels) expects to receive, or intends to seek, compensation for investment banking services from this company in the next three months. 14. Deutsche Bank and/or its affiliate(s) has received non-investment banking related compensation from this company within the past year. 15. This company has been a client of Deutsche Bank Securities Inc. within the past year, during which time it received non-investment banking securities-related services. Important Disclosures Required by Non-U.S. Regulators Please also refer to disclosures in the Important Disclosures Required by US Regulators and the Explanatory Notes. 1. Within the past year, Deutsche Bank and/or its affiliatels) has managed or co-managed a public or private offering for this company, for which it received fees. 2. Deutsche Bank and/or its affiliate(s) makes a market in securities issued by this company. 7. Deutsche Bank and/or its affiliate(s) has received compensation from this company for the provision of investment banking or financial advisory services within the past year. 17. Deutsche Bank and or/its affiliate(s) has a significant Non-Equity financial interest (this can include Bonds, Convertible Bonds, Credit Derivatives and Traded Loans) where the aggregate net exposure to the following issuer(s), or issuer(s) group, is more than 25m Euros. For disclosures pertaining to recommendations or estimates made on securities other than the primary subject of this research, please see the most recently published company report or visit our global disclosure look-up page on our website at http://qm.db.comkter/disclosure/DisclosureDirectorv.eqsr Deutsche Bank Securities Inc. Page 69 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0109755 CONFIDENTIAL SDNY_GM_00255939 EFTA01452614