EFTA01370998.pdf

• When I joined, KCP was fairly new and ISG was nonexistent. Paul was having limited success. • At various times, I have been offered positions as head of ISG or part of KCP Financial progress: 2014 revenues (Paul)— $0.9mm 2015 revenues (combined) — $1.3mm 2016 revenues (combined) — $1.6mm 2017 targets Revenues 56.2mm — based primarily on $4mm+ fee from AMP Investment revs 52.0mm Deposits $150mm New relationships 3 2017 actuals Revenues (Stew, annualized) $1.7mm, just under target (ex AMP) Revenues exit run rate (Stew) $2.5mm, above target Deposits $150mm+, on target (and significant given loss of 2016 assets during 0OJ) New relationships 2. Significant other wins in account retention 2017 performance highlights: Third Lake — had major relationship breakthrough in 2016. Won $107mm in deposits in DBTCA across 18 accounts. All deposits and 16 accounts were gone by the end of the year due to the DOJ news (the two remaining open accounts had less than $1in them). Family CIO also left in 2016. Rebuilt trust in DB throughout 2017. Have opened 37 new accounts this year, including for family office executive who isn't part of the family. Have received $130mm in new deposits this year into DBNY, with current balance at $82mm. Have developed strong relationship with new CIO and also directly with family members. In active dialog around new investments. Revenues will be up 100% yoy vs. 2016. This is a huge win from where we started. Southern Financial — one of the most complicated client situations I've seen. Have been extremely vocal about our lack of trading capabilities in KCP. Withdrew large portion of assets during 2016 (not DOJ related). Client was offboarded by Global markets at the end of 2016 due to lack of profitability. Further internal issues nearly caused us to offboard the client completely. Client was quite close to Paul and viewed his departure as a negative. We've managed to salvage and massively improve this relationship in 2017. To start, we won 550mm of deposits into DBNY based on strong relationship coverage of client and his family office. We've also turned around the GM/trading issues via KCP. Client has been re-onboarded and ISDA reestablished, and is now the first and largest trading counterparty of the KCP capital markets group. Current balances are - $150mm across brokerage and deposits. Revenues should be up 100% yoy vs. 2016 and investment revenue run rate (via KCP) is substantial. Ali Rashid - $50mm + net worth client. Former private equity partner. Won relationship away from GS and JPM. Accounts established July 2017. So far has traded: 0PM, RCM and structured notes via ISG. DB has become his top bank and relationship is growing steadily. Financial Architects — Insurance advisory firm based in Boston and California. Strong relationship with former CS broker who runs business development there has led to several referrals for insurance premium finance and a single stock hedging transaction. At this point we are working on a few live situations, but have been held back by some state insurance licensing constraints. This should be a major source of new client relationships for us if we can efficiently execute on the premium finance opportunity. So far, they have referred clients worth more than $1.5bn. Working closely with Suzy Cozzi in lending and Sam Petrucci to make this work. MCM — Worked closely with Terri and KCP to win $250mm fundraising mandate. Successfully convinced KCP to take on the 3PI mandate. Deal still in progress, and complicated. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0064127 CONFIDENTIAL SDNY_GM_00210311 EFTA01370998