EFTA Document EFTA01460547

Weekly Business Updates Transactions Closed. Pipeline Deals & Client Updates Nov 12th 2013 Macro Themes & Trade Ideas Client Prospects Transaction Highlights / Clients Deutsche Asset Wealth Managemorit KCP: YTD TO WIC: YTD MTD 1 Key Client Partners Americas KCP LATAM & WIC KCP: YTD MTD WIC: YTD MTD - Global Equities: Bullish S&P 1750+ YE - "Tech " - US Rates: expectations of rising rates pushed out - European Recovery slow but +ye GDP growth - Hedging solutions. taking gains - Japanese growth: Abenomics lead to 2x Equity - Inflation GIC view increase CPI in 2914 - Municipal Bonds (dislocated v UST) - Efficient structure to monetize oil spikes - RREEF: Price upside due to low supply Client • Saga Capital KCP-A Sates • David Mann RM (Office) • Machael Corm( (NY PCS) Client • Sales RM • • NB Zoullas Sec • David Mann • Deny Heaton (NY PCS) • • • • Fladda Crystals • Thomas OR • Bryan Stoneman (GVVH PCS) • • • • HCCA • Thomas CR • Neal Fiore (NY PCS) • • • • Price Family • Thomas OR • Carolin BoVenhard OA Pei • • • Desk KCP-US Deal • PnceSmart Block Sale Product • Private Markets Client • Price Family %/$(000)k • 503 Economics • 400k stock sale (PSMT) fa, • KCP- LATAM . . . . . WIC-US • Oxford Lane Capital • Syndicate • Vanous • 123 • 227k Preferred. paid .54 per bond • WIC- LATAM . . . . . . For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0121891 SDNY_GM_00268075 EFTA01460547