EFTA Document EFTA01478857

Financials Thursday, April 10, 2014 KCP Weekly Business Review Revenue-Pipeline deals-Transactions closed-Client updates-Trade ideas Revenue ($)MM — March flash number Desk 2012 KCP U.S. WIC U.S. KCP LATAM WIC LATAM Total 10.0 20.0 30.0 40.0 50.0 60.0 70.0 80.0 90.0 29.7 26.1 2.1 0.0 57.9 2013 23.6 23.4 0.5 2.2 49.7 JAN 5.9 2.8 0.6 0.2 9.5 FEB 4.0 1.4 0.5 0.2 6.1 *MAR 11.7 1.7 0.1 0.1 EFTA01478857 13.6 2014 21.7 5.9 1.1 0.6 29.3 Y/Y (%) v 2013 revenue 266 1 780 27 136 2014 Target 40.0 32.0 6.5 6.5 85.0 R/R (%) v 2014 budget 116 (26) (32) (57) 38 Pipeline 28.0 0.5 3.8 0.2 32.5 85.0 Revenue Target USD (MM) DB Revenue USD (MM) NNA* CBV** New Client Revenues 29.3 29.3 21.3 13.7 9.5 6.1 EFTA01478858 Jan Feb Mar 10 Apr 2014 Budget: Euro 65 million Y/Y based on annualized 2014 revenue Totals may not sum due to rounding (nearest 100k to 1 decimal place) May Jun 2Q Jul Aug Sep 3Q Oct Nov Dec 40 Total *Net New Assets — New funds transferred in / out for both AuM and Lending Volume **Client Business Volume — AuM plus Lending Volume For internal use only 1 21.3 21.3 21.3 EFTA01478859 KCP Deal Pipeline Thursday, April 10, 2014 KCP Weekly Business Review Revenue-Pipeline deals-Transactions closed-Client updates-Trade ideas Client KCP US Pipeline 1 GLS 2 Price Family Office 3 EnTrust 4 Wilbur Ross 5 6 7 Toro / Jaws / Forest Jaws / JHAC Inland Real Estate 8 GH Palmer Associates 9 Angelo Tsakopoulos 10 LLBH (RIA) 11 Veritas (Yat-Pang Au) / Mullin 12 Tutor 13 Miles Nadal 14 Centaurus Capital / GAI 15 MHHS Trade Warehouse facility v non-standard auto loans VWAP dialogue (PSMT) - Block Trade UST purchase on repo & SPY hedge Puerto Rico 5y TRS Spitfire 4.0 - Aircraft equity capital reinvestment Tobacco 3.0 - receivable litigation notes PACE bond program TRS for real estate developer $45mm loan vs $76mm Water Rights Contract (20yr) ENT VDF 2 x PACE financing opportunities, Retrofit and Museum Art Concentrated stock - tax efficient monetization MDCA Stock Loan RIN CLO Swap novation portfolio Ticket Size $100mm TBD $750mm $100mm $15m TBD TBD TBD Expected Revenue EFTA01478860 3,000,000 300,000 Delta $45mm loan 500,000 $60mm 500,000 $1-200mm 3,000,000 $250mm $45mm $50mm $350mm 5,000,000 1,500,000 750,000 2,000,000 KCP US deals closed: Trafigura, Athena, Gapstow, Gallagher, Loeb, SK Family Office Product Focus: RIN, SOF III, Maryland Proton Centre, Bastille, Project Troop, Spitfire 3.0, DBREEF Retrofit, Marinas International Client KCP LATAM Pipeline 1 Noble 2 Angelini Family 7 Belford 3 Belford 8 4 Fundacion ProAltus 5 Alto Global Fund Fixed Income portfolio Structured notes dbSelect linked note Preferreds Alocation; Fixed-To-Floaters Invesment Structured note switch into dbSelect linked note / SOF III CROCI filtered notes Argentine Bond Repo 12 Tendencia Asset Management Equity Swap 6 Siemel Company 9 Bulgheroni Family 10 Stars 11 Signature Capital 13 Arizona Bond portfolio with a cross currency overlay Fixed Income portfolio US Corportate Loans/CLO/Loan Funds Leveraged Exposure to Structured Notes Financing of CRE portfolio Trade Ticket Size EFTA01478861 $10mm $10mm $5mm $10mm $5mm Expected Revenue 75,000 30,000 Delta $10/15mm 200,000 $15mm $20mm 300,000 75,000 $30/50mm 300,000 $100mm 200,000 $30/50mm 300,000 $10/20mm 100,000 $75mm KCP LATAM deals closed Leveraged Fixed Income Product Focus: SOF III 2 For internal use only 3,880,000 42% 95% 90% 30% 75% 30% 50% 50% 10% 50% 20% 20% 20% Estimated Annual Revenue 100,000 100,000 100,000 2,450,000 250,000 250,000 500,000 500,000 : CDS, ETF, MM Fund, Structured Notes, GLD Bullion, Portfolio , THL CLO, Credit axes, Fixed Income Flow 100,000 EFTA01478862 250,000 TBD TBD 100,000 TBD 2,000,000 10% 500,000 Antonio Braun Patricio Leon Cristian Gonzalez Cristian Gonzalez Cristian Gonzalez PWM Miami PWM Miami PWM Miami PWM Miami PWM Miami Mercedes Sampedro PWM NY Diego Canalda Joseph Jacinto PCS Patricio Leon Jan Eddicks Patricio Leon Antonio Braun Ana Sosa Miami PWM NY PWM Miami PWM Miami PWM Miami PWM Geneva Zagury/Chaves Zagury/Chaves Zagury/Chaves Zagury/Chaves Zagury/Chaves Zagury/Chaves Zagury/Chaves Zagury/Chaves Zagury/Chaves PWM Hamburg Zagury/Chaves Zagury/Chaves Zagury/Chaves Zagury/Chaves Relationship Manager Channel Office KCP 28,050,000 55% 95% 50% 50% EFTA01478863 50% 50% 50% TBD 75% 50% 50% 15% 10% 75% 75% 70% Estimated Annual Revenue 6,250,000 1,750,000 500,000 2,500,000 3,000,000 1,000,000 TBD TBD 5,000,000 Relationship Manager Todd Ryman Channel PCS Carolin Botzenhard PB 1,000,000 Patricia Bennett PB 1,000,000 Robert Leidy 1,000,000 Dhodhy/Grous Dhody/Furber Tim Riley Cheryl Paller Ed Lok TBD TBD TBD TBD TBD TBD TBD 1,000,000 TBD TBD PCS PCS PCS PCS EFTA01478864 PB PB Mary Ann Coleman PB Lok / Burnett Susan Burnett Neal Fiore Jim Fink Frank Winford PB PB PCS PCS PCS Office KCP Atlanta David Mann Los Angeles David Mann Los Angeles David Mann Palm Beach David Mann MIA / NY MIA / BOS New York David Mann David Mann David Mann Los Angeles Tazia Smith San Francisco Tazia Smith New York SF / LA Tazia Smith Tazia Smith Los Angeles Tazia Smith New York Greenwich Houston Thomas ORorke Thomas ORorke Thomas ORorke EFTA01478865 WIC Deal Pipeline Thursday, April 10, 2014 KCP Weekly Business Review Revenue-Pipeline deals-Transactions closed-Client updates-Trade ideas Client WIC US Pipeline 1 2 3 4 5 6 7 8 9 10 11 12 Berkheimer Obernier Vaccaro Roscini Samson Benioff Buchsteiner Lindfield Inc. Meridian Plaza Paul Bloch Norman Tulchin Michael Muldoon WIC US deals closed: Product Focus: SOF III Trade Corporate Bond Sale Structured Note MBS Equity Trading Equity Trading Options VDF IRS IRS SOF III FX Option FX Option Ticket Size Expected Revenue 1,026,500 1.25mm 12,500 100k EFTA01478866 7mm 9,000 15mm 140mm 5mm 22mm $20mm $50mm $2mm $5mm $5mm 10,000 25,000 100,000 60,000 200,000 225,000 350,000 15,000 10,000 10,000 69% 80% 75% 50% 80% 60% 90% 50% 75% 50% 90% 75% 50% Delta Estimated Annual Revenue 556,500 12,500 9,000 10,000 50,000 150,000 120,000 200,000 5,000 0 EFTA01478867 0 7mm 15mm 0 0 22mm 0 0 1mm 6mm 0 NNA 44mm Salvatore Moore Convey Cindy Loundenslager Russ Daulton Terrence Tangney Russ Daulton Schmidinger-Brown Brand Daniels Ed Lok Dan Gray Susan Burnett Dan Gray PB PB PB PB PB PB PB PB PB PB PB PB NY NY NY SF NY SF NY Los Angeles San Francisco Los Angeles Los Angeles Los Angeles BH CO BH CQ EFTA01478868 BH CO BH CO BH CO BH CO BH CO 3SP 3SP 3SP 3SP 3SP Individual Individual Individual Individual LLC Individual Individual CRE CRE Personal Acct. Personal Acct. Personal Acct. Relationship Manager Channel Office WIC Investor Type 3 For internal use only EFTA01478869 Private Markets & Alts Thursday, April 10, 2014 Product: Private Markets: Rated Infrastucture Notes (RIN) Live RIN Ltd. is a newly formed private debt fund, utilizing CLO structuring, that will seek to invest primarily in a diversified portfolio of private economic infrastructure loans Maryland Proton Therapy Live Debt financing which will be used to finance CapEx, including construction and equipment costs, and to fund working capital for a five room Proton Therapy center next to the University of Maryland Bastille Pipeline High value series of broad, intellectual property portfolios with a seasoned commercialization team working alongside the US' pre-eminent IP law firm Marinas Pipeline Participation in the acquisition of marinas under new REIT inclusion laws for industry roll up into a public company 14-16% IRR, 8%REIT yield FST21 Pipeline Facial recognition security technology which will be invested in by Google The following connected to the Panama canal: Puerto Nuevo Pipeline 1. State of the art Seaport; 2. Eco Tourism accommodations; 3. Population center accommodating over 40,000 people including housing, retail and commercial use. 4. Campus of the University of Miami 5. Urgent care medical center 6. Marine Arts trade school Alternatives: AFS SOF III Live EFTA01478870 The fund targets the purchase of private equity fund interests, portfolios of direct private equity assets, and co-investments alongside private equity sponsors Abraaj Pipeline Turkish PE fund Private Markets Carlos Munoz-Lucas Billy Obregon Wes Sturdevant TBD TBD 4/20 first document deadline Sub doc package 1. Pre-approval for Adam Graev for Teaser 3. AIS request 4. Send customized Sub Doc package once AIS is approved TBD Available to QIBs $4.5mm of interest $20-25mm target 75bps mgmt fee TBD TBD WM PCS CIB KCP TBD Deck on file TBD Bruce and CIB meeting with management on April 9th AFS TBD Intro-only TBD TBD TBD TBD None ARA Infrastructure 4/30 close EFTA01478871 Jorge Rodriguez Jonathan Newman CB&S Exotic Muni Trading Michael Kuras CB&S ECM Jeff Mortara ECM TBD Chad Cooper Presentation TBD Post NDA Package TBD Presentation PPM 1. QIBs only 2. Offshore Reg S 3. ECM to send all docs 1. QIBs only 2. Offshore Reg S 3. ECM to send all docs Upon request $25mm target raise Upon request Perhaps first week of April for large accounts $300mm target raise $50-100mm from KCP 3% net fee = $1.5-3mm TBD ECC Teaser NDA Watermarked PPM QIB Only US Only PMs are available for meetings $75mm target raise AWM KCP Live or Pipeline: KCP Weekly Business Review Revenue-Pipeline deals-Transactions closed-Client updates-Trade ideas Description Sponsor: EFTA01478872 Contacts: Dates: Materials: READY TO SEND DO NOT SEND Process & Steps: Management Meetings: Target Raise: Fees/Revs: NPA & DD: Teaser #5mm tickets and up TBD $96.2mm CB&S TBD TBD TBD 4 For internal use only EFTA01478873 Private Markets & Alts Thursday, April 10, 2014 Product: ReGaL Citroen - Lyon, France Live or Pipeline: KCP Weekly Business Review Revenue-Pipeline deals-Transactions closed-Client updates-Trade ideas Description Pipeline Acquisition of an iconic building in the heart of Lyon which is undergoing a redevelopment into a unique, high spec office building by a reputable developer Aman Pipeline Project Peace is the acquisition of Aman Resorts, led by SURF Hotels Pte Ltd (SURF). Aman Resorts, comprises the 100% equity ownership in Silverlink Resorts Ltd, a BVI holding company that owns the Aman Resorts group of companies, including the mangement rights to 100% of the Aman branded hotels, all associated intellectual property rights and systems, and the ownership interests in sixteen properties (together, Aman.) RetroFit Pipeline RREEF fund to acquire and manage a diverse portfolio of energy efficiency retrofits on real estate buildings in North America Bacalr Beach, Ambergris Caye Belize Pipeline To be located on the northeastern section of Amergris Caye, approximately 18 miles north of the town of San Pedro in Belize, Central America. The project presents a 76room hotel with 70 residential units proposed for a portion of a 185-acre site on the Carribean Sea to be operated as a luzury resort. The primary means of access to the proposed Ambergris Caye Resort will be by air via an 8,000 foot airstrip located proximate to the site. In addition, the site will also be accessible by sea. Las Olas Tower Pipeline EFTA01478874 Development of a multifamily residential building in Ft. Lauderdale, FL. The land is under contract with the opportunity to partner (75%) with a reputable developer (25%), who controls the site. 60% LTV. Parker Place Pipeline Development of a mixed-use (residential + retail) building in Berkeley, California. The land is currently under contract with the opportunity to partner (75%) with a reputable developer (25%), who controls the site. 60% LTV. Les Bourdes Closed Deals: Fotress WWT&I Top Up Pipeline Golf course and lodging development in the heart of France. Current owner is willing to sell anywhere from controlling stake through full ownership. Closed Additional private capital raise for the Fortress Worldwide Transportation & Infrastructure fund. The goal is to soon become a publicly traded company. Sponsor: Contacts: AFS/ARA TBD Ronen Ribek Teaser TBD TBD TBD ARA/AFS JV Dates: Materials: Process & Steps: Management Meetings: Target Raise: Fees/Revs: NPA & DD: AFS 30-Apr Bernard Abdo Deck Data Room I. Evaluate capital structure or posiible refinance or equity EFTA01478875 raise 2. Equity intros only Upon introduction and signed cert doc $50mm 3% n/a intro ARA TBD Jeff Baer Teaser TBD $25mm by 4/30 ARA + KCP KCP David Mann Pierre Economacos TBD DD Items TBD TBD TBD TBD AFS Paul A. Milotis Ronen Ribak AFS Paul A. Milotis Ronen Ribak CFP TBD Usual suspects KCP Bruce McDermott 3/31 close PPM Consent Letter Presentation TBD Teaser Internal teaser for puproses of demand assesment TBD $20-25mm TBD EFTA01478876 Teaser Internal teaser for puproses of demand assesment TBD $25-30mm Bruce to supply intitial short list Kevin Cash but, min sale is control pos. Call with management previously held $663mm CIB $20-50mm target raise $43mmActual raise 125bps net = 300-600mm AWM PnL —$500k ECC 5 For internal use only EFTA01478877 Clients Thursday, April 10, 2014 Client KCP Weekly Business Review Ultimate Beneficial Owner TIER 1: Clients Currently Being Onboarded 1 Butterfly Trust 2 Gapstow 3 Parkwood Capital 4 EnTrust Palmetto LLC 5 MDCA 6 Tisch Family (TFMG) 7 Omidi 8 Black 9 Porticoes LLC 10 TOMS Capital 11 Dan Loeb 2 Falcon Trail Capital LLC 3 Freestyle Capital 4 Terrapin Partners 5 JVB Properties 6 Sage Capital 7 Heritage Provider Network 2 Barry Kitt (CIO TOMs Capital) 3 Meredith Corp 4 The Roosevelt Investment Company 5 Geffen 6 Spielberg 7 Katzenberg 8 Lucas 9 Palmer 10 Queally 11 CP Group 12 Meier 13 RBC Carribean Corp 14 Rendina Companies Adoption Cancelled 1 Voltaire Capital Jeffrey Epstein Fund of Funds Mandel Family EnTrust Capital Miles Nadal Laurence Tisch Julian Omidi Leon Black Les Lieberman Noam Gottesman Daniel Loeb EFTA01478878 TIER 2: Clients Approved for Adoption 1 Thirdlake Wanek Family Barry Siadat Michael Stone Nathan Leight Jack Thompson Raz Steinmetz Richard Merkin TIER 3: Clients Who Have Requested Coverage 1 National Commerce Bank Publicly held Barry Kitt Meredith Family Institutional MM David Geffen Steven Soielberg Jeffrey Katzenberg George Lucas Geoffrey Palmer Paul Queally Chareon Pokphand Group Brad Meier RBC Carribean Corp Redina Companies Krishan Rattan 2 RJET (Republic Airway Holdings) Noam Gottsman 200,000,000 10,000,000,000 130,000,000 1,000,000,000 3,000,000,000 500,000 100,000 Revenue-Pipeline deals-Transactions closed-Client updates-Trade ideas Relationship Manager Channel Office New Worth / AUM Estimated Annual Revenue 17,600,000,000 10,850,000 1,000,000,000 500,000 1,000,000,000 1,000,000,000 1,500,000,000 350,000,000 5,000,000,000 125,000,000 4,000,000,000 125,000,000 EFTA01478879 2,000,000,000 1,500,000,000 7,373,000,000 1,500,000,000 250,000,000 1,000,000,000 58,000,000 65,000,000 500,000,000 4,000,000,000 500,000 500,000 100,000 1,000,000 500,000 1,000,000 500,000 250,000 1,000,000 5,000,000 2,300,000 500,000 250,000 100,000 100,000 100,000 250,000 1,000,000 14,330,000,000 500,000 250,000 250,000 Andrew Mandala Brad LaConte Jeff Neal Todd Kurowski Cheryll Paller Cheryll Paller Cheryll Paller Cheryll Paller Cheryll Paller David Fleming Jr Ken Germann Charles Rudnick Bobby Liedy Mark Gonzalez Frank Winford PCS PCS PCS PCS PB EFTA01478880 PB PB PB PB PCS PCS PCS PCS PB PCS Paul Morris Mark Gonzales Patricia Bennett Patricia Bennett Miles Nadal Paul Morris Matthew Ayers Paul Morris Charles Rudnick Paul Morris/Brad LaConte Rosemary Vrablic Paul Morris Paul Morris Jarret Brady Edward Maier Edward Maier Michael David Cheryl Paller PB PB PB PB PCS PB PCS PB PCS PB PB PB PB PCS PCS PCS PCS PB New York New York KCP Tazia Smith EFTA01478881 Thomas Ororke New York New York New York New York Thomas Ororke Investor Type Self-directed capital markets flow Fund of Funds / HF Los Angeles David Mann Family Office Los Angeles David Mann Fund of Funds Equity Margin Loan / Individual Tazia Smith Family Office Individual Los Angeles Tazia Smith Family Office Tazia Smith New York/Miami New York New York New York David Mann Private Investment LLC Tazia Smith Family Office David Mann Individual Tazia Smith Family Office Tazia Smith Family Office San Francisco Tazia Smith PE/ Hedge Fund Chicago Chicago New York David Mann Family Office Los Angeles Tazia Smith Family Office Miami Miami Chicago Baltimore Individual David Mann Family Office Thomas Ororke Institutional Long Only MM Los Angeles Tazia Smith Family Office Los Angeles Tazia Smith Family Office Los Angeles Tazia Smith Family Office Los Angeles Tazia Smith Family Office Los Angeles Tazia Smith Family Office Greenwhich Greenwhich EFTA01478882 New York New York Houston Thomas Ororke Thomas Ororke Family Office Family Office David Mann Family Office Greenwhich David Mann Private Entity Thomas Ororke Thomas Ororke For internal use only Investment Manager Corporate Holding Co 6 David Mann Publicly Held Bank Tazia Smith David Mann Individual / PE Firm Owner David Mann Private Investment Co EFTA01478883