EFTA01425718.pdf

NY_Stewart Oldfield Relationship Information Account Planning classifications CBV (USDm) - non-custody onl y, Sept YTD Rev (USDm) - Sept YTD NNA (USDm) - Sept YTD Pipeline (as at end-October) Rel Name Total net worth (2018 estimate) - USDm Part of 2018 Account Planning Included? (t o be filled out by banker) 1. Client / Prospect 2. KCP eligible / adopted clients 3. 0 ne dimensional clients (>95% product concentration) 4. Underpenetrated clients Deposits DPM Lending Other Products Capital Markets Total >95% product concentration? Total >95% product concentration? YTD Y deals >25% 12m PWR (USDm) PW NNA (USDm) PW NNL (USDm) Y JOCKEY CLUB 100 Yes Client - IF(OR(03="Yes",Q3="Yesm),"Yesm,"Nom)=Yes - 2610978.4066 0 0 5.1931724042509995E7 5066544.0045 SUM(13:M3)=5.960924645360999 6E7 No 46171.06434000001 Yes -2534816.853380005 0 0 0 0 THIRD LAKE CAPITAL 5000 Yes Client KCP Adopted IF(OR(04="Yes",Q4="Yes"),"Yes","No") =Yes IFERROR(IF(N4/(B4*1000000)<0.05,"Yes","No"),"n.a.")=Yes 1.1927278405776998E8 0 0 O 0 SUM(14:M4)=1.1927278405776998E8 Yes 624587.4135499999 Yes 3.6768044348 59E7 1 0.10416666666666669 0 20.833333333333336 SOUTHERN FINANCIAL 1000 Yes Client KCP Adopted IF(OR(05="Yesm,Q5="YeS"),"Yes","No") =Yes - 5.280238340517998E7 0 0 0 0 SUM(15:M5)=5.280238340517998 E7 Yes 1029235.70171 No -3.7702635181450024E7 1 0.06250000000000001 6.25 0 RASHID ALI 50 - Client - - - 2013772.2648800001 2692583.9985 300004 0 0 419752.49584 SUM(16:M6)=5126108.75925 No 26350.57155 No 1951522.14456 3 0.011822916666666669 1.0416666666666667 0 THE NATIONAL ORGANI 100 - Client - - IFERROR(IF(N7/(B7*1000000)<0.05,mYes o,"No°),"n.a.")=Yes 64208.32264 0 0 802880.91524 1333241.92057 SUM(17:M7)=2 200331.15845 No 35331.20682 No -699366.24513 1 0.020833333333333336 0 2.0833333333333335 ASHLEY HOLDINGS No estimate Client - IF(OR(08=mYes",Q8="Yes"),"Yes","No")=Yes 1.7502662217526E8 0 0 0 0 SUM(18:M8)=1.7502662217526E8 Yes 1020246.6494000001 Yes 1.7502642983317998E8 2 0.5791666666666667 52.083333333 333336 0 DEERING/CROSBY 200 Yes Client - - - 1359.92469 5063809.57014 5257 621.558080001 4.4187047142340004E7 4.351946274225E? SUM(19:M9)=9.80293009375E7 No 45176.90181000001 No -5.0105026995999984E7 1 0.010416666666666668 4.1666666666 66667 0 ADIKESHAVAR 20 - Client - IF(OR(010=mYes",Q10="Yesm),"Yes","Nom)=Yes 57225.85814 0 0 0 3749324.22761 SUM(I10:M10)=3806550.08575 Yes 1444 .29764 No 3735241.8360300004 0 0 0 0 ELLIN HOWARD closed - Client IF(OR(011=mYes",Q11="Yesm),"Yes","Nom)=Yes O 198243.28913000002 0 0 O SUM(I11:M11)=198243.28913000002 Yes 271. 48352 Yes 1452.62538 0 0 0 0 LINDEMANN JR GEORGE No estimate Yes Client - IF(OR(012="Yes",Q12="Yes"),"Yes","No ")=Yes - 116264.39138 0 0 0 1132950.00504 SUM(I12:M12)=1249214.39642 No 269.10215 Yes 59700.57256 0 0 0 0 ELYSIUM MANAGEMENT 5000 Yes Client KCP Adopted IF(OR(013="Yes",Q13="Yes"),"Yes","No ")=Yes IFERROR(IF(N13/(B13*1000000)<0.05,"Yesm,mNo"),"n.a.")=Yes 0.15108 0 0 0 O SUM(I13:M13)=0.15108 Yes 4.1000000000000005E-4 Yes -309609.9955 0 0 O 0 BOIES FAMILY closed - Client - IF(OR(014="Yes",Q14="Yes"),"Yes","No")=Yes - 0.39513 4482584.17632 0 0 0 SUM(I14:M14)=4482584.57145 Yes 7509.0368899 99999 Yes 303216.16977000004 0 0 0 0 Southern Financial No estimate Yes Client KCP 2018 revenue - - 0 O 0 0 0 SUM(I15:M15)=0 No 75.50563 Yes 0 0 0 O 0 DZIALGA KIRSTEN d M closed Yes Client KCP Adopted IF(OR(016="Yes",Q16="Yes"),"Yes","No ")=Yes - 0 O 0 0 O SUM(I16:M16)=0 No 0.11476 Yes -172 .12328 0 0 O 0 MCM CAPITAL PARTNER No estimate Client KCP 2018 revenue O 0 0 O SUM(I17:M17)=0 No 1017900.9972999999 Y-es 0 O 0 0 Echelon Investment No estimate Client KCP 2018 revenue O 0 0 O SUM(I18:M18)=0 No 5000.0055 Yes 0 0 O 0 GENERAL ATLANTIC FA 100 Yes Client KCP Adopted IF(OR(019="Yes",Q19="Yes"),"Yes" "No ")=Yes IFERROR(IF(N19/(B19*1000000)<0.05,"Yesm,"No"),"n.a.")=Yes 0 0 0 0 SUM(I19:M19)=0 No 0.00245 Yes -2941259.9987399997 0 0 0 BLANK, ARTHUR M. No estimate Protected Prospect - - - 0 0 0 0 SUM(120:M20)=0 No 0 No 0 0 0 0 BLUE MOUNTAIN No estimate - Protected Prospect 0 0 0 0 SUM(121:M21)=0 No 0 No 0 0 0 0 BRIGHT GROUP No estimate - Protected Prospect 0 0 0 0 SUM(122:M22)=0 No 0 No 0 0 0 0 CARUSO, RICHARD No estimate - Protected Prospect 0 0 0 0 SUM(123:M23)=0 No 0 No 0 0 0 0 CFM No estimate Protected Prospect - 0 0 0 0 SUM(124:M24)=0 No 0 No 0 0 0 0 0 COLLIS, CHARLES No estimate - Protected Prospect 0 0 0 0 SUM(125:M25)=0 No 0 No 0 0 0 0 DELL, MICHAEL No estimate - Protected Prospect 0 EFTA01425718 O 0 0 SUM(126:M26)=0 No 0 No 0 O 0 0 DORRANCE FAMILY No estimate - Protected Prospect - - - 0 O 0 0 SUM(127:M27)=0 No 0 No 0 O 0 0 DUNCAN INVESTMENTS No estimate - Protected Prospect - _ - O 0 0 O SUM(I28:M28)=0 No 0 No O 0 0 0 FORD, GERALD J No estimate - Protected Prospect - 0 O 0 0 SUM(129:M29)=0 No 0 No 0 O 0 0 FORRESTAL CAPITAL No estimate - Protected Prospect O 0 0 O SUM(I30:M30)=0 No 0 No O 0 0 0 GEORGETOWN UNIVERSITY No estimate Protected Prospect O 0 0 O SUM(I31:M-31)=0 No 0 No O 0 0 0 HIGHLANDER PARTNERS No estimate Protected Prospect O 0 0 O SUM(132:M-32)=0 No 0 No O 0 0 0 ILLIG, CLIFF No estimate - Protected Prospect - 0 O 0 0 SUM(133:M33)=0 No 0 No 0 O 0 0 JL SQUARED GROUP No estimate - Protected Prospect O 0 0 O SUM(134:M34)=0 No 0 No O 0 0 0 MARRON, DONALD H. No estimate Protected Prospect O 0 0 O SUM(I35:M-35)=0 No 0 No O 0 0 0 MEISTER, TODD No estimate Protected Prospect - - 0 O 0 0 SUM(136:M-36)=0 No 0 No 0 O 0 0 MONTRONE, PAUL No estimate Protected Prospect - - 0 O 0 0 SUM(137:M-37)=0 No 0 No 0 O 0 0 NICHOLAS, HENRY No estimate Protected Prospect - - 0 O 0 0 SUM(138:M38)=0 No 0 No 0 O 0 0 ORIX No estimate - Protected Prospect - - 0 0 O 0 SUM(139:M39)=0 No 0 No 0 0 O 0 0 PACIFIC LIFE No estimate - Protected Prospect - - 0 O 0 0 SUM(I40:M40)=0 No 0 No 0 O 0 0 SAFANAD No estimate - Protected Prospect - - 0 0 O 0 SUM(141:M41)=0 No 0 No 0 0 O 0 0 SCHMIDT, ERIC No estimate - Protected Prospect - - 0 O 0 0 SUM(I42:M42)=0 No 0 No 0 O 0 0 SHAMROCK No estimate - Protected Prospect - - 0 O 0 0 SUM(I43:M43)=0 No 0 No 0 O 0 0 &aerial unicode ms,Regular"Confidential EFTA01425719