EFTA Document EFTA01433607

Clients+Products Contact Information KCP AFS communication Events/ Entertainment General Information Current Offerings Offerings September Offerings Relationship Name Family Office Name Claimed? C/P/I Email Phone Address Private Markets Focus Capital Markets Focus To Do Suntex AcTRS RIN Retrofit RESOF Proton Phoenix Lease Monetization Focus Risk Factors Notes To Do Interest Plu MS Apple Autocall MS Crude Oil Autocall Accelerated Return CS XOP Accelereated Return JP SPX Twin Win MS SPX Buffered Jump CIO View Structured Notes Other Interests Frieze London Invite Sent/ response Tailgate ($375) KKR/ (event) Pref. CD Al Arun Arun Alagappan 210 East 86th St, Suite 601 New York NY 10028 IF(COUNTA(AI4,AJ4,AK4,AL4,AM4,AN4,A04,AP4)>0,"Y","")= Y Amster, Yosi Yosi Amster I 340 Madison Ave, 21st Fl New York NY 10173 IF(COUNTA(AI5,AJ5,AK5,AL5,AM5,AN5,A05,AP5)>0,"Y","")= Y Annandale Capital P 325 North St. Paul Street Suite 3500 Dallas TX 75201 General. Funds easier, but comfortable with direct PE n/a RIN, RESOF, Suntex, Astra follow up sent 3/20. May have interest in second close sent 3/20 sent 3/1 sent 3/24 IF(COUNTA(AI6,AJ6,AK6,AL6,AM6,AN6,A06,AP6)>0,"Y","")= Y Anschutz 555 Seventeenth Street, Suite 2400 Denver CO 80202 Telco, Rail, Oil&Gas, Sports/- Entertainment, Lodging/Hospitality energy Do not want funds. Looking at experiential travel ideas meet w/ Scott in Denver sent 12/18 sent 3/18. Passed 4/1 Sent 10/7 IF(COUNTA(AI7,AJ7,AK7,AL7,AM7,AN7,A07,AP7)>0,"Y","")= Y Archer, Thomas J. Thomas Archer I 90 Park Ave New York NY 10016 IF(COUNTA(AI8,AJ8,AK8,AL8,AM8,AN8,A08,AP8)>0,"Y","")= Y Arcus 3060 Peachtree Rd. NW Suite 1880 Atlanta GA 30305 IF(COUNTA(AI9,AJ9,AK9,AL9,AM9,AN9,A09,AP9)>0,"Y","")= Y Arcus 3060 Peachtree Rd. NW Suite 1880 Atlanta GA 30305 IF(COUNTA(AI10,AJ10,AK10,AL10,AM10,AN10,A010,AP10)>0,"Y","")= Attori, Gregory Gregory Attorri I 485 Park Ave, Suite 4B New York NY 10022 IF(COUNTA(AI11,AJ11,AK11,AL11,AM11,AN11,AO11,AP11)>0,"Y","")= Ic uenblick, Ar id Augenblick 730 Park Ave New York NY 10021 IF(COUNTA(AI12,AJ12,AK12,AL12,AM12,AN12,A012,AP12)>0,"Y","")= Barry, Mitchell Mitchell Barry C/P Structured Notes General Current First Last City State Research Focus ABR Astra AFS Focus Periodic Zip Notes Extell Research Notes MS Buffered Jump HSBC SX5E Buffered CS SPX Callable Tax Topics (2015) Invite Deposit PROT0 7 Penn Plaza, Suite 1400 New York NY 10001 IF(COUNTA(AI13,A313,AK13,AL13,AM13,AN13,A013,AP13)>0,"Y","")= Y Y BBR Partners Todd Floor New York Blackrock DNC list IF(COUNTA(AI14,A314,AK14 Beller, Harry Harry Dr Monsey NY IF(COUNTA(AI15,A315,AK15 Bhalla, Ajay Ajay IF(COUNTA(AI16,A316,AK16 Blank David Homrich Northwest Atlanta IF(COUNTA(AI17,A317,AK17 Y Sent 10/1 Blue Mountain Peter 280 Park Ave, 12th FL New York NY 10017 Sent 9/22 IF(COUNTA(AI18,A318,AK18,AL18,AM18,AN18,A018,AP18)>0,"Y","")= Bluestem LLC P 212 E. Main Street, Suite 201 Charlottesville VA 22902 General sent 3/1. Passed 3/12 IF(COUNTA(AI19,A319,AK19,AL19,AM19,AN19,A019,AP19)>0,"Y","")= Brandis, Steve Steve Brandis 215 W 40th St, 10th Fl New York NY 10018 IF(COUNTA(AI20,A320,AK20,AL20,AM20,AN20,A020,AP20)>0,"Y","")= Bright Group Darren Campf P 200 Greenbrier Road Summersville WV 26651 IF(COUNTA(AI21,A321,AK21,AL21,AM21,AN21,A021,AP21)>0,"Y","")= Y Sent 10/1 Sent 10/1 Bulloch, Roger Roger Bulloch P Las Vegas NV maybe as a seller? n/a Makes direct investments into pvt companies. 12-24m hold meeting sent 8/12 sent 3/1 IF(COUNTA(AI22,AJ22,AK22,AL22,AM22,AN22,A022,AP22)>0,"Y","")= Y Y Sent 10/1 Sent 10/1 Caruso Affiliated Kelly Masuda 101 The Grove Drive Los Angeles CA 90036 Real Estate, general sent 2/26. Passed 3/20 Sent 10/7 IF(COUNTA(AI23,AJ23,AK23,AL23,AM23,AN23,A023,AP23)>0,"Y","")= Caruso, Richard Gary Deilella 795 E. Lancaster Avenue Suite 200 Villanova PA 19085 General, prefer funds or direct PE sent 7/28 IF(COUNTA(AI24,AJ24,AK24,AL24,AM24,AN24,A024,AP24)>0,"Y","")_ Y Sent 10/1 Sent 10/1 Caruso, Richard Richard Caruso P Lancaster Avenue Suite 200 Villanova prefer funds or direct PE sent 7/28 IF(COUNTA(AI25,AJ25,AK25,AL25,AM25,AN25,A025,AP25)>0,"Y","")= Whitenack 140 E. 45th Street, 26th NY 10017 Energy, EM, funds on sent 3/16. Passed 3/24 ,AL14,AM14,AN14,A014,AP14)>0,"Y","")= Beller C/P 12 Golar 10952 ,AL15,AM15,AN15,A015,AP15)>0,"Y","")= Bhalla P ,AL16,AM16,AN16,A016,AP16)>0,"Y","")= 3223 Howell Mill Road, GA 30347 ,AL17,AM17,AN17,A017,AP17)>0,"Y","")= Sent 10/1 Greatrex PA 19085 Y 795 E. General, PROT1 Cavalry Andrew Zaro P IF(COUNTA(AI26,AJ26,AK26,AL26,AM26,AN26,A026,AP26)>0,"Y","")= Sent 10/1 Sent 10/1 CFM Rob P 720 University Avenue, Suite 200 Los Gatos CA 95032 sent 2/26. Passed 2/26 Convey sending? IF(COUNTA(AI27,AJ27,AK27,AL27,AM27,AN27,A027,AP27)>0,"Y","")= Sent 10/1 Sent 10/1 CFM Tim Sarhatt P 720 University Avenue, Suite 200 Los Gatos CA 95032 sent 2/26. Passed 2/26 Convey sending? IF(COUNTA(AI28,AJ28,AK28,AL28,AM28,AN28,A028,AP28)>0,"Y","")= Sent 10/1 Sent 10/1 Cline, Michael Michael Cline C/P 51 Madison Ave, Fl 31 New York NY 10010 IF(COUNTA(AI29,AJ29,AK29,AL29,AM29,AN29,A029,AP29)>0,"Y","")= Cold Spring Harbor Laboratory Dill Ayres P 1 Bungtown Rd Cold Spring Harbor NY 11724 IF(COUNTA(AI30,AJ30,AK30,AL30,AM30,AN30,A030,AP30)>0,"Y","")= Cold S rin Harbor Laboratory Richard Leeds P 11 Harbor Park Dr Port Washington NY 11050 IF(COUNTA(AI31,AJ31,AK31,AL31,AM31,AN31,A031,AP31)>0,"Y","")= Coleman, Gail Gail Coleman P 405 Lexington Ave, Fl 71 New York NY 10174 IF(COUNTA(AI32,AJ32,AK32,AL32,AM32,AN32,A032,AP32)>0,"Y","")= Y Y Cox, Berry Cox Partners P 2100 McKinney Ave, Suite 1700 Dallas TX 75201 IF(COUNTA(AI33,AJ33,AK33,AL33,AM33,AN33,A033,AP33)>0,"Y","")= Cross, Lisa Adreinne Cannella 300 Old Country Rd, Suite 351 Mineola NY 11510 IF(COUNTA(AI34,AJ34,AK34,AL34,AM34,AN34,A034,AP34)>0,"Y","")= Cr stal, Jonathan Jonathan Cr stal I Fianncial Sq 32 Old Slip New York NY 10005 IF(COUNTA(AI35,AJ35,AK35,AL35,AM35,AN35,A035,AP35)>0,"Y","")= Danzi er, Thomas Thomas Danziger 405 Park Ave New York NY 10022 IF(COUNTA(AI36,AJ36,AK36,AL36,AM36,AN36,A036,AP36)>0,"Y","")= Dart Mana ement Sharon Cornwell Windward 3, Regatta Office Park Grand Cayman Cayman Islands KY1-1206 General, Biotech?, Pre-IPO mezz financing, MSBs MSBs? Deep value focus, lots of cash collateral, separate real estate group sent 12/18 teaser sent 2/5 IF(COUNTA(AI37,AJ37,AK37,AL37,AM37,AN37,A037,AP37)>0,"Y","")= Do not send research emails Disne , Ro Shamrock Greg Martin P 3500 W. Olive Avenue, Suite 700 Burbank CA PROT2 91505 Yield n/a real estate referral? Merage connection? sent 11/7, discussed 1/15, follow up 8/12 teaser sent 2/5 sent 3/1 sent 2/26 mentioned 11/6, sent 3/16 Sent 10/7 IF(COUNTA(AI38,AJ38,AK38,AL38,AM38,AN38,A038,AP38)>0,"Y","")= (Y) Sent 10/1 Sent 10/1 Dock Street P 510 Feheley Drive King of Prussia PA 19406 General n/a already covered by PCS, just check in occasionally IF(COUNTA(AI39,AJ39,AK39,AL39,AM39,AN39,A039,AP39)>0,"Y","")= Dorrance Family DFE Enterprises Clint Gossage P IF(COUNTA(AI40,AJ40,AK40,AL40,AM40,AN40,A040,AP40)>0,"Y","")= sent 8/26 sent 9/29 Dorrance Family DFE Enterprises Jason Stiles P IF(COUNTA(AI41,AJ41,AK41,AL41,AM41,AN41,A041,AP41)>0,"Y","")= sent 9/11 sent 9/29 Duncan Investments Gregg Hammer P 1100 Louisiana Street, Suite 5200 Houston TX 77002 IF(COUNTA(AI42,AJ42,AK42,AL42,AM42,AN42,A042,AP42)>0,"Y","")= Sent 10/1 Sent 10/1 Dzialga, Kirsten & Mark Kristen Dzialga P 15 Meadowcroft Lane Greenwich CT 6830 IF(COUNTA(AI43,AJ43,AK43,AL43,AM43,AN43,A043,AP43)>0,"Y","")= Edge 1380 W. Paces Ferry Rd. Suite 1000 Atlanta GA 30327 IF(COUNTA(AI44,AJ44,AK44,AL44,AM44,AN44,A044,AP44)>0,"Y","")= Edge 1000 Atlanta GA 30327 IF(COUNTA(AI45,AJ45,AK45,AL45,AM45,AN45,A045,AP45)>0,"Y","")= Edge 1000 Atlanta GA 30327 IF(COUNTA(AI46,AJ46,AK46,AL46,AM46,AN46,A046,AP46)>0,"Y","")= Ehrenkraz, Pamela Pamela Ehrenkranz 51 West 52nd St New York NY 10019 IF(COUNTA(AI47,AJ47,AK47,AL47,AM47,AN47,A047,AP47)>0,"Y","")= El sium Mana ement Brad Wechsler 800 Park Ave, 12th Fl New York NY 10021 IF(COUNTA(AI48,AJ48,AK48,AL48,AM48,AN48,A048,AP48)>0,"Y","")= Essig Erin Enright 174 Nassau Street #320 Princeton NJ 08542 IF(COUNTA(AI49,AJ49,AK49,AL49,AM49,AN49,A049,AP49)>0,"Y","")= Y Sent 10/1 Sent 10/1 EverWatch Financial Frohman Anderson 8 Sound Shore Drive, Suite 200 Greenwich CT 06830 General, but like industrial/agg services, oil & gas, enviromental Maintain lvg. against some commercial RE. Used to have large CL loan @ CS and BAML Send RESOF and Astra sent 8/12 sent 3/18. Passed 3/30 sent 3/16 Sent 10/7 IF(COUNTA(AI50,AJ50,AK50,AL50,AM50,AN50,A050,AP50)>0,"Y","")= PROT3 Y Sent 10/1 Sent 10/1 EverWatch Financial Joe Monaco P 8 Sound Shore Drive, Suite 200 Greenwich CT 06830 General, but like industrial/agg services, oil & gas, enviromental Maintain lvg. against some commercial RE. Used to have large CL loan @ CS and BAML Send RESOF and Astra sent 8/12 sent 3/18. Passed 3/30 sent 3/16 Sent 10/7 IF(COUNTA(AI51,AJ51,AK51,AL51,AM51,AN51,A051,AP51)>0,"Y","")= Y Sent 10/1 Sent 10/1 EverWatch Financial Matt Womble P 8 Sound Shore Drive, Suite 200 Greenwich CT 06830 General, but like industrial/agg services, oil & gas, enviromental Maintain lvg. against some commercial RE. Used to have large CL loan @ CS and BAML Send RESOF and Astra sent 8/12 sent 3/18. Passed 3/30 sent 3/16 Sent 10/7 IF(COUNTA(AI52,AJ52,AK52,AL52,AM52,AN52,A052,AP52)>0,"Y","")= Y Sent 10/1 Sent 10/1 EverWatch Financial Tyler Webb P 8 Sound Shore Drive, Suite 200 Greenwich CT 06830 General, but like industrial/agg services, oil & gas, enviromental Maintain lvg. against some commercial RE. Used to have large CL loan @ CS and BAML Send RESOF and Astra sent 8/12 sent 3/18. Passed 3/30 sent 3/16 Sent 10/7 IF(COUNTA(AI53,AJ53,AK53,AL53,AM53,AN53,A053,AP53)>0,"Y","")= Falk, Charles Charles Falk I 25 Devonshire Lane Mendham NJ 7945 IF(COUNTA(AI54,AJ54,AK54,AL54,AM54,AN54,A054,AP54)>0,"Y","")= Fine, Lonnie Lonnie Fine I 10 Fifth St Valley Stream NY 11581 IF(COUNTA(AI55,AJ55,AK55,AL55,AM55,AN55,A055,AP55)>0,"Y","")= Fitzgibbons, John John Fitzgibbons 405 Lexington Ave, Fl 71 New York NY 10174 IF(COUNTA(AI56,AJ56,AK56,AL56,AM56,AN56,A056,AP56)>0,"Y","")= Ford 200 Crescent Court Suite 1365 Dallas TX 75021 IF(COUNTA(AI57,AJ57,AK57,AL57,AM57,AN57,A057,AP57)>0,"Y","")= Forrestal Ca ital Annette Fran ui P 1450 Brickell Avenue Miami FL 33131 General n/a sent 12/12, follow-up 1/5, 8/12 sent 3/1 sent 2/26 IF(COUNTA(AI58,AJ58,AK58,AL58,AM58,AN58,A058,AP58)>0,"Y","")=Y Sent 9/14 Sent 9/14 Sent 9/14 Y Y Y (Y) Sent 10/1 Sent 10/1 Forrestal Capital Jonathan Fischer P 1450 Brickell Avenue Miami FL 33131 General n/a sent 12/12, follow-up 1/5, 8/12 sent 3/1 sent 2/26 IF(COUNTA(AI59,AJ59,AK59,AL59,AM59,AN59,A059,AP59)>0,"Y","")=Y Sent 9/14 Sent 9/14 Sent 9/14 Y Y Y (Y) Sent 10/1 Sent 10/1 PROT4 Gaslow, Lawrence Peter Gaslow P 105 Madison Ave, 15th Fl New York NY 10016 IF(COUNTA(AI60,AJ60,AK60,AL60,AM60,AN60,A060,AP60)>0,"Y","")= Y Y Sent 10/1 Sent 10/1 General Atlantic Famil Office Rich Gold P 3 Pickwick Plaza Greenwich CT 6830 IF(COUNTA(AI61,AJ61,AK61,AL61,AM61,AN61,A061,AP61)>0,"Y","")= Y Georgetown U P 1000 Potomac Street Suite 301 Washington DC 20007 General n/a Macro - send CIO materials regularly risk factors teaser sent 2/5 sent 3/16. Passed 3/19 IF(COUNTA(AI62,AJ62,AK62,AL62,AM62,AN62,A062,AP62)>0,"Y","")= Y Glenmede 1650 Market Street Suite 1200 Philadelphia PA 19103 IF(COUNTA(AI63,AJ63,AK63,AL63,AM63,AN63,A063,AP63)>0,"Y","")= Y Glickman, Donald Don Glickman P IF(COUNTA(AI64,AJ64,AK64,AL64,AM64,AN64,A064,AP64)>0,"Y","")= Y Granite Group Lyle Himebaugh III P 187 Danbury Road Wilton CT 06897 General open to funds meeting in NYC sent 3/16 IF(COUNTA(AI65,AJ65,AK65,AL65,AM65,AN65,A065,AP65)>0,"Y","")= Y Y (Y) Green, Alex Alex Green 911 Carriage Way Southlake TX 76092 IF(COUNTA(AI66,AJ66,AK66,AL66,AM66,AN66,A066,AP66)>0,"Y","")= Y Guilford Company James Landrigan P P.O. Box 13439 Richmond VA 23225 IF(COUNTA(AI67,AJ67,AK67,AL67,AM67,AN67,A067,AP67)>0,"Y","")= Y Y Highlander Partners Stanley Bould P [email protected] 300 Crescent Court Suite 550 Dallas TX 75201 General puts on public equity? Poland, homebuilding and materials RESOF follow up sent 12/12 sent 3/1. Passed 3/30 sent 3/16. Passed 3/30 IF(COUNTA(AI68,AJ68,AK68,AL68,AM68,AN68,A068,AP68)>0,"Y","")= Y Sent 10/1 Sent 10/1 Holterbosch, Heidi Heidi Holterbosch P 375 Park Ave New York NY 10152 IF(COUNTA(AI69,AJ69,AK69,AL69,AM69,AN69,A069,AP69)>0,"Y","")= Y Y Illig, Cliff Cliff Illig P 8900 State Line Road 5th Floor Leawood KS 66206 IF(COUNTA(AI70,AJ70,AK70,AL70,AM70,AN70,A070,AP70)>0,"Y","")= Y Y Illig, Cliff Robb Heineman P 8900 State Line Road 5th Floor Leawood KS 66206 IF(COUNTA(AI71,AJ71,AK71,AL71,AM71,AN71,A071,AP71)>0,"Y","")= Y Sent 10/1 Sent 10/1 Infinity Q 888 7th Avenue New York NY 10106 Real Estate, yield, esoteric multi-asset for Wildcat PROT5 fund macro, vol? 20% IRR hurdle. Unconstrained. Size up to $40mm with control. Structured and leverage ok sent 8/12 teaser sent 2/5 sent 3/1. Passed 3/30 sent 2/26. Passed 3/30 sent 3/16. Passed 3/30 IF(COUNTA(AI72,AJ72,AK72,AL72,AM72,AN72,A072,AP72)>0,"Y","")= Infinity Q 888 7th Avenue New York NY 10106 Real Estate, yield, esoteric multi-asset for Wildcat fund macro, vol? 20% IRR hurdle. Unconstrained. Size up to $40mm with control. Structured and leverage ok sent 8/12 teaser sent 2/5 sent 3/1. Passed 3/30 sent 2/26. Passed 3/30 sent 3/16. Passed 3/30 IF(COUNTA(AI73,AJ73,AK73,AL73,AM73,AN73,A073,AP73)>0,"Y","")= Ironsides AM P 511 Tarrytown Center Rocky Mount NC 27804 General meeting in NC sent 8/12 sent 3/1 sent 3/24 IF(COUNTA(AI74,AJ74,AK74,AL74,AM74,AN74,A074,AP74)>0,"Y","")=Y Sent 9/14 Sent 9/14 Sent 9/14 Jain, Neil Neil Jain C/P 158 Third St, PO Box 583 Mineola NY 11501 IF(COUNTA(AI75,AJ75,AK75,AL75,AM75,AN75,A075,AP75)>0,"Y","")= Vrablic lead active P 130 Ave of America, Suite 4101 New York NY 10019 IF(COUNTA(AI76,AJ76,AK76,AL76,AM76,AN76,A076,AP76)>0,"Y","")= JL Squared Group 2929 Arch Street, 13th Floor Philadelphia PA 19104 IF(COUNTA(AI77,AJ77,AK77,AL77,AM77,AN77,A077,AP77)>0,"Y","")= Y JL Squared Group 2929 Arch Street, 13th Floor Philadelphia PA 19104 IF(COUNTA(AI78,AJ78,AK78,AL78,AM78,AN78,A078,AP78)>0,"Y","")= Y Keenan, William Howard William Keenan P 410 Park Ave York NY 10022 IF(COUNTA(AI79,AJ79,AK79,AL79,AM79,AN79,A079,AP79)>0,"Y","")= Keiser, Jason Jason Keiser IF(COUNTA(AI80,AJ80,AK80,AL80,AM80,AN80,A080,AP80)>0,"Y","")= Sent 10/1 Sent 10/1 Kelly, Judy Judy Kelly C/P 445 Park Ave, Suite 1502 New York IF(COUNTA(AI81,AJ81,AK81,AL81,AM81,AN81,A081,AP81)>0,"Y","")= Kimmel, Adam Adam Kimmel C/P IF(COUNTA(AI82,AJ82,AK82,AL82,AM82,AN82,A082,AP82)>0,"Y","")= Y Y N Klein, Martin Martin 580 5th IF(COUNTA(AI83,AJ83,AK83 Kristoff, Mark Mark New York NY IF(COUNTA(AI84,AJ84,AK84 Laffont, Philppe Klein C/P Ave, 5th Fl ,AL83,AM83,AN83 Kristoff 10022 ,AL84,AM84,AN84 Philippe NY 10022 New Y Y New York NY 10036 ,A083,AP83)>0,"Y","")= C/P 825 Third Ave, 9th Fl ,A084,AP84)>0,"Y","")= Laffont P PROT6 9 West 57th St New York NY 10019 IF(COUNTA(AI85,AJ85,AK85,AL85,AM85,AN85,A085,AP85)>0,"Y","")= Larocca, Robert Robert Larocca I 135 Crossways Park Drive Woodbury NY 11797 IF(COUNTA(AI86,AJ86,AK86,AL86,AM86,AN86,A086,AP86)>0,"Y","")= Y Y Levy, Jared Jared Levy I 1633 Broadway New York NY 10019 IF(COUNTA(AI87,AJ87,AK87,AL87,AM87,AN87,A087,AP87)>0,"Y","")= Lindemann Family Eran Schreiber IF(COUNTA(AI88,AJ88,AK88,AL88,AM88,AN88,A088,AP88)>0,"Y","")= M20 Inc P 515 South Figueroa Street, Suite 1050 Los Angeles CA 90071 Small operating businesses n/a Microcap activist w/ $1-$5mm EBITDA target 10% stakes sent 3/1. Passed 3/2 IF(COUNTA(AI89,AJ89,AK89,AL89,AM89,AN89,A089,AP89)>0,"Y","")= Makan, Divesh ICONIQ Capital LLC 394 Pacific Ave, 2nd Floor San Francisco CA 94111 Credit n/a need to focus on unique solutions sent 12/18 sent 2/26 IF(COUNTA(AI90,AJ90,AK90,AL90,AM90,AN90,A090,AP90)>0,"Y","")= Makan, Divesh San Francisco CA 94111 Credit n/a need to focus on unique solutions sent 12/18 sent 2/26 IF(COUNTA(AI91,AJ91,AK91,AL91,AM91,AN91,A091,AP91)>0,"Y","")= Makan, Divesh San Francisco CA 94111 Credit n/a need to focus on unique solutions sent 12/18 sent 2/26 IF(COUNTA(AI92,AJ92,AK92,AL92,AM92,AN92,A092,AP92)>0,"Y","")=Y Sent 9/14 Sent 9/14 Sent 9/14 Makena Capital Management P 2755 Sand Hill Rd, Suite 200 Menlo Park CA 94025 Risk factors met 2/2 NDA and portfolio analysis IF(COUNTA(AI93,AJ93,AK93,AL93,AM93,AN93,A093,AP93)>0,"Y","")= Mariner Capital P 485 Lexington Ave, 28th Fl New York NY Risk factors met 11/21 Looking at variuous solutions across the street, all from IB providers Send white papers IF(COUNTA(AI94,AJ94,AK94,AL94,AM94,AN94,A094,AP94)>0,"Y","")= Meister, Robert Bob Meister IF(COUNTA(AI95,AJ95,AK95,AL95,AM95,AN95,A095,AP95)>0,"Y","")= Sent 10/1 Sent 10/1 Meister, Todd Todd Meister P IF(COUNTA(AI96,AJ96,AK96,AL96,AM96,AN96,A096,AP96)>0,"Y","")= Merage 660 Newport Center Drive. Suite 1300 Newport Beach CA 92660 Real Estate trading with the HF? Want intros to other family offices to grow internal HF teaser sent 1/23, follow up 8/12 on Blackrock DNC list sent 2/26 sent 3/16 IF(COUNTA(AI97,AJ97,AK97,AL97,AM97,AN97,A097,AP97)>0,"Y","")= PROT7 Do not send research emails Michael, Neal Neal Milch P NY IF(COUNTA(AI98,A398,AK98,AL98,AM98,AN98,A098,AP98)>0,"Y","")= Moriwaki, Gary S. Gary Moriwaki 100 Park Ave, 3rd Fl New York NY 10017 IF(COUNTA(AI99,A399,AK99,AL99,AM99,AN99,A099,AP99)>0,"Y","")= Murray, Thomas Thomas Murray I IF(COUNTA(AI100,A3100,AK100,AL100,AM100,AN100,A0100,AP100)>0,"Y","")= Y Y Murstein, Alvin Alvin Murstein New York NY IF(COUNTA(AI101,A3101,AK101,AL101,AM101,AN101,A0101,AP101)>0,"Y","")= Y Y Murstein, Alvin Andrew Murstein New York NY IF(COUNTA(AI102,A3102,AK102,AL102,AM102,AN102,A0102,AP102)>0,"Y","")= Y Y Nicholas Milo Gonzalez 15 Enterprise, Ste. 550 Aliso Viejo CA 92656 DPM BRCM hedge into diversified assets. Also want broad banking relationship IF(COUNTA(AI103,A3103,AK103,AL103,AM103,AN103,A0103,AP103)>0,"Y","")= Y Sent 10/1 Sent 10/1 Nicholas Gosha Zandt DPM BRCM hedge into diversified assets. Also want broad banking relationship IF(COUNTA(AI104,A3104,AK104,AL104,AM104,AN104,A0104,AP104)>0,"Y","")= Y Sent 10/1 Sent 10/1 Orix Bonnie Mitra P 1717 Main Street, Suite 1100 Dallas TX 75201 CLOs, consumer finance, esoteric have complete portal access. Primarily focused on rates research 10% ROI target, up to $50mm size call on AcTRS, CLO intro (Chris D'Auria) teaser sent 11/25, discussed 1/20 sent 12/18, met w/ Baxter 1/20 sent 12/5 Folled up 9/10 teaser sent and call 2/5. passed 3/27 sent 3/1 sent 3/16 sent 7/28 Sent 9/10 Sent 10/7 IF(COUNTA(AI105,A3105,AK105,AL105,AM105,AN105,A0105,AP105)>0,"Y","")= Y Y Parami Eric Attias P 6 East 74th Street New York IF(COUNTA(AI106,A3106, Parami Rahul Vaid Street New York IF(COUNTA(AI107,A3107, Y Y Pensler, Sandy Sandy NY IF(COUNTA(AI108,A3108, Y Y Peregrine Group P 1800 Dallas TX 75201 for public markets trading NY 10021 AK106,AL106,AM106,AN106,A0106,AP106)>0,"Y","")= P 6 East 74th NY 10021 AK107,AL107,AM107,AN107,A0107,AP107)>0,"Y","")= Pensler P AK108,AL108,AM108,AN108,A0108,AP108)>0,"Y","")= 2101 Cedar Springs Rd, Suite Energy n/a covered by brokers already mineral rights in Permian mentioned PROT8 12/4 mentioned 12/4 sent 3/1 IF(COUNTA(AI109,AJ109,AK109,AL109,AM109,AN109,A0109,AP109)>0,"Y","")= Persico, Anthony Anthony Persico I IF(COUNTA(AI110,AJ110,AK110,AL110,AM110,AN110,A0110,AP110)>0,"Y","")= Sent 10/1 Sent 10/1 Rose, Simon Simon Rose C/P IF(COUNTA(AI111,AJ111,AK111,AL111,AM111,AN111,A0111,AP111)>0,"Y","")= Schaefer, Marla Marla Schaefer IF(COUNTA(AI112,AJ112,AK112,AL112,AM112,AN112,A0112,AP112)>0,"Y","")= Schmidt, Eric Hillspire LLC P 1010 El Camino Real, Suite 200 Menlo Park CA 94025 General, including real estate. Want yield. Like trophy assets. Want co-invest multiasset. FX and rates hedging looking at cheap assets in Europe. Could use tax shield against GOOG share sales RESOF, Extel. Set up ISDA. Deposits teaser sent 11/12, follow up 1/5 , 8/12 teaser sent 2/5 sent 3/1 sent 2/24. passed 3/27 sent 3/16 Sent 9/14 Sent 10/7 IF(COUNTA(AI113,AJ113,AK113,AL113,AM113,AN113,A0113,AP113)>0,"Y","")= Schmidt, Eric Hillspire LLC Chuck Chai P 1010 El Camino Real, Suite 200 Menlo Park CA 94025 General, including real estate. Want yield. Like trophy assets. Want co-invest multi-asset. FX and rates hedging looking at cheap assets in Europe. Could use tax shield against GOOG share sales RESOF, Extel. Set up ISDA. Deposits teaser sent 11/12, follow up 1/5 , 8/12 teaser sent 2/5 sent 3/1 sent 2/24. passed 3/27 sent 3/16 Sent 9/14 Sent 10/7 IF(COUNTA(AI114,AJ114,AK114,AL114,AM114,AN114,A0114,AP114)>0,"Y","")= Seelig, Mark Mark Seelig IF(COUNTA(AI115,AJ115,AK115,AL115,AM115,AN115,A0115,AP115)>0,"Y","")= SK Family Office Charles Britton P IF(COUNTA(AI116,AJ116,AK116,AL116,AM116,AN116,A0116,AP116)>0,"Y","")=Y Sent 9/11 Sent 9/11- Interested Sent 9/11 Sent 9/11 Slome, Ian Ian Slome P 150 East 58th Street, 34th Floor New York NY 10155 RE (US, Europe, R+C) via direct investment, PE or struct. Products; PE and HF n/a Risk averse. Already seeing HF indeas from AFS send RIN? teaser sent 2/5 passed 2/27 mentioned 2/26, sent 3/16. Passed 3/30 IF(COUNTA(AI117,AJ117,AK117,AL117,AM117,AN117,A0117,AP117)>0,"Y","")= Slome, Ian John Service P 150 East 58th Street, 34th Floor New York NY 10155 RE (US, Europe, R+C) via direct investment, PE or struct. Products; PE and HF n/a Risk averse. Already seeing HF indeas from AFS send RIN? teaser sent 2/5 passed 2/27 mentioned 2/26, sent 3/16. Passed 3/30 PROT9 IF(COUNTA(AI118,AJ118,AK118,AL118,AM118,AN118,A0118,AP118)>0,"Y","")= Y Y (Y) Sn der, Daniel Karl Schreiber P 11900 River Road Potomac MD 20854 IF(COUNTA(AI119,AJ119,AK119,AL119,AM119,AN119,A0119,AP119)>0,"Y","")=Y Sent 9/14 [repeated 3 times] Y Sent 10/1 Sent 10/1 Sonen Capital David Hood P 50 Osgood Place, Ste. 320 San Francisco CA 94133 IF(COUNTA(AI120,AJ120,AK120,AL120,AM120,AN120,A0120,AP120)>0,"Y","")= Y Sonen Capital P 50 Osgood Place, Ste. 320 San Francisco CA 94133 IF(COUNTA(AI121,AJ121,AK121,AL121,AM121,AN121,A0121,AP121)>0,"Y","")= Y Spruce Private Investors LLC 263 Tresser Blvd, 15th Floor Stamford CT 06901 Systematic gamma decay Trading with CS Introduce AFS or CB&S IF(COUNTA(AI122,AJ122,AK122,AL122,AM122,AN122,A0122,AP122)>0,"Y","")= Y Spruce Private Investors LLC P 263 Tresser Blvd, 15th Floor Stamford CT 06901 Systematic gamma decay Trading with CS Introduce AFS or CB&S IF(COUNTA(AI123,AJ123,AK123,AL123,AM123,AN123,A0123,AP123)>0,"Y","")= Y Stiritz, William P. Lynn Morgan IF(COUNTA(AI124,AJ124,AK124,AL124,AM124,AN124,A0124,AP124)>0,"Y","")= Y Sent 10/1 Sent 10/1 Stiritz, William P. William Stiritz P 835 S 8th St St. Louis MO 63102 IF(COUNTA(AI125,AJ125,AK125,AL125,AM125,AN125,A0125,AP125)>0,"Y","")= Y Tharani, Haresh Haresh Tharani P IF(COUNTA(AI126,AJ126,AK126,AL126,AM126,AN126,A0126,AP126)>0,"Y","")= Y Y Thomson Stefan 65 Queen Street West Suite 2400 Toronto ON, Canada M5H 2M8 IF(COUNTA(AI127,AJ127,AK127,AL127,AM127,AN127,A0127,AP127)>0,"Y","")= Y Y Sent 10/1 Sent 10/1 True North Advisors P 8350 N. Central Expressway, Ste. 725 Dallas TX 75206 IF(COUNTA(AI128,AJ128,AK128,AL128,AM128,AN128,A0128,AP128)>0,"Y","")= Y Y United Company Lois Clarke 1005 Glenway Avenue Bristol VA 24201 IF(COUNTA(AI129,AJ129,AK129,AL129,AM129,AN129,A0129,AP129)>0,"Y","")= Y Y Sent 10/1 Sent 10/1 Wanek, Todd Thirdlake Capital Joakim Bergander IF(COUNTA(AI130,AJ130,AK130,AL130,AM130,AN130,A0130,AP130)>0,"Y","")= Y sent 9/14 sent 9/29 Weiss, George George Weiss P Hartford CT IF(COUNTA(AI131,AJ131,AK131,AL131,AM131,AN131,A0131,AP131)>0,"Y","")= Y N PROT10 White Deer Energy Kristin P IF(COUNTA(AI132,AJ132,AK132,AL132,AM132,AN132,A0132,AP132)>0,"Y","")= Y Y Willett Advisors Brad Briner P New York NY Real Assets with focus on natural resources and real estate n/a commodities 20% ownership cap. Funds or direct. Equity rates of return (-20%), $30- $40mm size Intro to Todd Henderson sent 12/18 sent 12/5 sent 3/1 discussed 2/25 no interest sent 3/16. passed 4/13 IF(COUNTA(AI133,AJ133,AK133,AL133,AM133,AN133,A0133,AP133)>0,"Y","")= Y Y Winston Advisors Christopher Donabedian 200 Technecenter Drive, Suite 200 Milford OH 45150 IF(COUNTA(AI134,A3134,AK134,AL134,AM134,AN134,A0134,AP134)>0,"Y","")= Yorktown Partners, LLC Bryan H. Lawrence 410 Park Ave, 19th Fl New York NY 10022 IF(COUNTA(AI135,AJ135,AK135,AL135,AM135,AN135,A0135,AP135)>0,"Y","")= Yorktown Partners, LLC George Petrides IF(COUNTA(AI136,AJ136,AK136,AL136,AM136,AN136,A0136,AP136)>0,"Y","")= Y Y Yorktown Partners, LLC Peter Leidel P NY IF(COUNTA(AI137,A3137,AK137,AL137,AM137,AN137,A0137,AP137)>0,"Y","")= Y N Zubillaga, Alex Alex Zubillaga C/P 345 Park Ave, 12th Fl New York NY 10152 IF(COUNTA(AI138,A3138,AK138,AL138,AM138,AN138,A0138,AP138)>0,"Y","")= Y Y Zuckerberg, Lloyd Lloyd Zuckerberg C/P IF(COUNTA(AI139,AJ139,AK139,AL139,AM139,AN139,A0139,AP139)>0,"Y","")= Y Y Andrew Farkas Kimble prospect active 717 Fifth Ave, 19th Fl New York NY 10022 IF(COUNTA(AI140,AJ140,AK140,AL140,AM140,AN140,A0140,AP140)>0,"Y","")= Ari Glass C/P IF(COUNTA(AI141,AJ141,AK141,AL141,AM141,AN141,A0141,AP141)>0,"Y","")= Y Y Avi Kestenbaum Janco lead inactive C/P IF(COUNTA(AI142,AJ142,AK142,AL142,AM142,AN142,A0142,AP142)>0,"Y","")= Y Y Alan Kufeld Robertson lead inactive I 1350 Avenue of Americas New York NY 10019 IF(COUNTA(AI143,AJ143,AK143,AL143,AM143,AN143,A0143,AP143)>0,"Y","")= Y Y Anup Patel PROT11 IF(COUNTA(AI144,AJ144,AK144,AL144,AM144,AN144,A0144,AP144)>0,"Y","")= William Berkman Convey lead active 650 Madison Ave New York NY 10022 IF(COUNTA(AI145,AJ145,AK145,AL145,AM145,AN145,A0145,AP145)>0,"Y","")= Barry Bloom McCarthy prospect active 655 Madison Ave New York NY 10021 IF(COUNTA(AI146,AJ146,AK146,AL146,AM146,AN146,A0146,AP146)>0,"Y","")= Louis Cailoa IF(COUNTA(AI147,AJ147,AK147,AL147,AM147,AN147,A0147,AP147)>0,"Y","")= Robert Haier C/P IF(COUNTA(AI148,AJ148,AK148,AL148,AM148,AN148,A0148,AP148)>0,"Y","")= Y Y Bryan R. Lawrence IF(COUNTA(AI149,AJ149,AK149,AL149,AM149,AN149,A0149,AP149)>0,"Y","")= Bryce Markus Sohrab prospect active IF(COUNTA(AI150,AJ150,AK150,AL150,AM150,AN150,A0150,AP150)>0,"Y","")= Ben Rechler Powers prospect inactive IF(COUNTA(AI151,AJ151,AK151,AL151,AM151,AN151,A0151,AP151)>0,"Y","")= Brian Blechman C/P IF(COUNTA(AI152,AJ152,AK152,AL152,AM152,AN152,A0152,AP152)>0,"Y","")= Y Y Brooks Duncan I IF(COUNTA(AI153,AJ153,AK153,AL153,AM153,AN153,A0153,AP153)>0,"Y","")= Y Y Bruce Gross IF(COUNTA(AI154, Y Y Cathy Handley IF(COUNTA(AI155, Y Y Cary Brody IF(COUNTA(AI156, Y Y Caroline IF(COUNTA(AI157, Y Y Christopher IF(COUNTA(AI158, Charles Krusen Kimble lead active C/P 700 Northwest 107th Ave Miami FL 33172 AJ154,AK154,AL154,AM154,AN154,A0154,AP154)>0,"Y","")= C/P AJ155,AK155,AL155,AM155,AN155,A0155,AP155)>0,"Y","")= Sent 10/1 Sent 10/1 C/P AJ156,AK156,AL156,AM156,AN156,A0156,AP156)>0,"Y","")= Conegliano AJ157,AK157,AL157,AM157,AN157,A0157,AP157)>0,"Y","")= Goldberg AJ158,AK158,AL158,AM158,AN158,A0158,AP158)>0,"Y","")= Jacoby lead active C/P IF(COUNTA(AI159,AJ159,AK159,AL159,AM159,AN159,A0159,AP159)>0,"Y","")= Y Y Colby Rollins IF(COUNTA(AI160, Y Y Curtis Conway IF(COUNTA(AI161, Y Y David Manlowe Erskine prospect inactive C/P AJ160,AK160,AL160,AM160,AN160,A0160,AP160)>0,"Y","")= C/P AJ161,AK161,AL161,AM161,AN161,A0161,AP161)>0,"Y","")= Y [repeated 7 times] PROT12 IF(COUNTA(AI162,AJ162,AK162,AL162,AM162,AN162,A0162,AP162)>0,"Y","")= David Angstreich IF(COUNTA(AI163,AJ163,AK163,AL163,AM163,AN163,A0163,AP163)>0,"Y","")= David Halliwill C/P IF(COUNTA(AI164,AJ164,AK164,AL164,AM164,AN164,A0164,AP164)>0,"Y","")= Y Y David Cooper C/P IF(COUNTA(AI165,AJ165,AK165,AL165,AM165,AN165,A0165,AP165)>0,"Y","")= Y Y Deepak Raj IF(COUNTA(AI166,AJ166,AK166,AL166,AM166,AN166,A0166,AP166)>0,"Y","")= Daniel Heflin Sohrab ros ect inactive IF(COUNTA(AI167,AJ167,AK167,AL167,AM167,AN167,A0167,AP167)>0,"Y","")= Y Y David Mitchell IF(COUNTA(AI168,AJ168,AK168,AL168,AM168,AN168,A0168,AP168)>0,"Y","")= David Deutsch IF(COUNTA(AI169,AJ169,AK169,AL169,AM169,AN169,A0169,AP169)>0,"Y","")= Edouard Gerschel C/P IF(COUNTA(AI170,AJ170,AK170,AL170,AM170,AN170,A0170,AP170)>0,"Y","")= Y Y Erik Moody IF(COUNTA(AI171,AJ171,AK171,AL171,AM171,AN171,A0171,AP171)>0,"Y","")= Y Sent 10/1 Sent 10/1 Gene Lynch IF(COUNTA(AI172,AJ172,AK172,AL172,AM172,AN172,A0172,AP172)>0,"Y","")= Ira Halperin IF(COUNTA(AI173,AJ173,AK173,AL173,AM173,AN173,A0173,AP173)>0,"Y","")= Y Y Richard Simon C/P IF(COUNTA(AI174,AJ174,AK174,AL174,AM174,AN174,A0174,AP174)>0,"Y","")= Y Y Inder Sodhi Jensen prospect inactive C/P IF(COUNTA(AI175,AJ175,AK175,AL175,AM175,AN175,A0175,AP175)>0,"Y","")= Y Y Jamie Smith IF(COUNTA(AI176,AJ176,AK176,AL176,AM176,AN176,A0176,AP176)>0,"Y","")= John Straus IF(COUNTA(AI177,AJ177,AK177,AL177,AM177,AN177,A0177,AP177)>0,"Y","")= John Barber Sohrab prospect inactive IF(COUNTA(AI178,AJ178,AK178,AL178,AM178,AN178,A0178,AP178)>0,"Y","")= Y Y Jonathon Botwinick C/P IF(COUNTA(AI179,AJ179,AK179,AL179,AM179,AN179,A0179,AP179)>0,"Y","")= Y Y Jeffrey Coopersmith IF(COUNTA(AI180,AJ180,AK180,AL180,AM180,AN180,A0180,AP180)>0,"Y","")= PROT13 Jeff Kirwood IF(COUNTA(AI181,AJ181,AK181,AL181,AM181,AN181,A0181,AP181)>0,"Y","")= John Lummis C/P IF(COUNTA(AI182,AJ182,AK182,AL182,AM182,AN182,A0182,AP182)>0,"Y","")= Y Y Julie Richardson C/P IF(COUNTA(AI183,AJ183,AK183,AL183,AM183,AN183,A0183,AP183)>0,"Y","")= Y Y Kevin Ryan C/P IF(COUNTA(AI184,AJ184,AK184,AL184,AM184,AN184,A0184,AP184)>0,"Y","")= Y Y Ken Jones IF(COUNTA(AI185,AJ185,AK185,AL185,AM185,AN185,A0185,AP185)>0,"Y","")= Lara Brody IF(COUNTA(AI186,AJ186,AK186,AL186,AM186,AN186,A0186,AP186)>0,"Y","")= Lou Cortese Robertson prospect active 191 Glen Rd Mountainside NJ 7092 IF(COUNTA(AI187,AJ187,AK187,AL187,AM187,AN187,A0187,AP187)>0,"Y","")= Matt Ireland C/P IF(COUNTA(AI188,AJ188,AK188,AL188,AM188,AN188,A0188,AP188)>0,"Y","")= Y Y William McBride I IF(COUNTA(AI189,AJ189,AK189,AL189,AM189,AN189,A0189,AP189)>0,"Y","")= Y Y Milton Cooper Janco lead inactive C/P 3333 New Hyde Park Rd, Suite 100 New Hyde Park NY 11042 IF(COUNTA(AI190,AJ190,AK190,AL190,AM190,AN190,A0190,AP190)>0,"Y","")= Y Y Mel Manion IF(COUNTA(AI191,AJ191,AK191,AL191,AM191,AN191,A0191,AP191)>0,"Y","")= Matt Serra IF(COUNTA(AI192,AJ192,Ak192,AL192,AM192,AN192,A0192,AP192)>0,"Y","")= Neil Blechman IF(COUNTA(AI193,AJ193,AK193,AL193,AM193,AN193,A0193,AP193)>0,"Y","")= Phillip Shefter C/P IF(COUNTA(AI194,AJ194,AK194,AL194,AM194,AN194,A0194,AP194)>0,"Y","")= Y Y Robert Hull LaRoe lead active TX IF(COUNTA(AI195,AJ195,AK195,AL195,AM195,AN195,A0195,AP195)>0,"Y","")= Lewis Ranieri Sabbagh prospect active C/P IF(COUNTA(AI196,AJ196,AK196,AL196,AM196,AN196,A0196,AP196)>0,"Y","")= Y Y Richard Merage Convey lead active IF(COUNTA(AI197,AJ197,AK197,AL197,AM197,AN197,A0197,AP197)>0,"Y","")= Rich Joslin IF(COUNTA(AI198,AJ198,AK198,AL198,AM198,AN198,A0198,AP198)>0,"Y","")= Ross Blechman IF(COUNTA(AI199,AJ199,AK199,AL199,AM199,AN199,A0199,AP199)>0,"Y","")= Russell Artzt Convey lead active C/P PROT14 IF(COUNTA(AI200,AJ200,AK200,AL200,AM200,AN200,A0200,AP200)>0,"Y","")= Y Y Russell Blank IF(COUNTA(AI201,AJ201,AK201,AL201,AM201,AN201,A0201,AP201)>0,"Y","")= Steven Blicht C/P IF(COUNTA(AI202,AJ202,AK202,AL202,AM202,AN202,A0202,AP202)>0,"Y","")= Y Y Sonny Jain C/P IF(COUNTA(AI203,AJ203,AK203,AL203,AM203,AN203,A0203,AP203)>0,"Y","")= Y Y Sent 10/1 Sent 10/1 Todd Angkatavanich I IF(COUNTA(AI204,AJ204,AK204,AL204,AM204,AN204,A0204,AP204)>0,"Y","")= Y Y Catherine Moreatis C/P IF(COUNTA(AI205,AJ205,AK205,AL205,AM205,AN205,A0205,AP205)>0,"Y","")= Y Y James Alterbaum IF(COUNTA(AI206,AJ206,AK206,AL206,AM206,AN206,A0206,AP206)>0,"Y","")= Y Y John Binko C/P IF(COUNTA(AI207,AJ207,AK207,AL207,AM207,AN207,A0207,AP207)>0,"Y","")= Y Y IF(COUNTA(AI208,AJ208,AK208,AL208,AM208,AN208,A0208,AP208)>0,"Y","")= IF(COUNTA(AI209,AJ209,AK209,AL209,AM209,AN209,A0209,AP209)>0,"Y","")= IF(COUNTA(AI210,AJ210,AK210,AL210,AM210,AN210,A0210,AP210)>0,"Y","")= For internal use only PROT15 Paul Contacts First Name Last Name Messaging ID CIO Outlook Tax Topics Intermediary Client/Pros ect Intermediary Client/Prospect Arun Alagappan Y 0 C/- P IF(H2="I","I",IF(I2="C/P","C/P","NA"))=C/P James Alterbaum Y Y I 0 IF(H3="I","I",IF(I3="C/P","C/P","NA"))=I Yosi Amster Y I 0 IF(H4="I","I",IF(I4="C/P","C/P","NA"))=I Todd Angkatavanich Y Y I 0 IF(H5="I","I",IF(I5="C/P","C/P","NA"))=I David Angstreich 0 0 IF(H6="I","I",IF(I6="C/P","C/P","NA"))=NA Thomas Archer Y I 0 IF(H7="I","I",IF(I7="C/P","C/P","NA"))=I Russell Artzt Y 0 C/- P IF(H8="I","I",IF(I8="C/P","C/P","NA"))=C/P Eric Attias 0 0 IF(H9="I","I",IF(I9="C/P","C/P","NA"))=NA Gregory Attorri Y I 0 IF(H10="I","I",IF(I10="C/P","C/P","NA"))=I Andy Augenblick 0 0 IF(H1l="I","I",IF(Ill="C/P","C/P","NA"))=NA Dill Ayres 0 0 IF(H12="I","I",IF(I12="C/- P","C/P","NA"))=NA John Barber Y I 0 IF(H13="I","I",IF(I13="C/P","C/P","NA"))=I Mitchell Barry Y 0 C/P IF(H14="I","I",IF(I14="C/P","C/P","NA"))=C/P Harry Beller Y 0 C/- P IF(H15="I","I",IF(I15="C/P","C/P","NA"))=C/P Joakim Bergander 0 0 IF(H16="I","I",IF(I16="C/P","C/P","NA"))=NA William Berkman 0 0 IF(H17="I","I",IF(I17="C/P","C/P","NA"))=NA Ajay Bhalla Y 0 C/- P IF(H18="I","I",IF(I18="C/P","C/P","NA"))=C/P John Binko Y 0 C/P IF(H19="I","I",IF(I19="C/P","C/P","NA"))=C/P Russell Blank 0 0 IF(H20="I","I",IF(I20="C/P","C/P","NA"))=NA Brian Blechman Y 0 C/P IF(H2l="I","I",IF(I21="C/P","C/P","NA"))=C/P Neil Blechman 0 0 IF(H22="I","I",IF(I22="C/P","C/P","NA"))=NA Ross Blechman 0 0 IF(H23="I","I",IF(I23="C/P","C/P","NA"))=NA Steven Blicht Y 0 C/P IF(H24="I","I",IF(I24="C/P","C/P","NA"))=C/P Barry Bloom 0 0 IF(H25="I","I",IF(I25="C/- PROT16 Jonathon Botwinick Y 0 C/P IF(H26="I","I",IF(I26="C/P","C/P","NA"))=C/P Steve Brandis 0 0 IF(H27="I","I",IF(I27="C/P","C/P","NA"))=NA Charles Britton Y 0 C/P IF(H28="I","I",IF(I28="C/P","C/P","NA"))=C/P Cary Brody Y 0 C/P IF(H29="I","I",IF(I29="C/P","C/P","NA"))=C/P Lara Brody 0 0 IF(H30="I","I",IF(I30="C/P","C/P","NA"))=NA Louis Cailoa 0 0 IF(H3l="I","I",IF(I31="C/- Adreinne Cannella 0 0 IF(H32="I","I",IF(I32="C/P","C/P","NA"))=NA Michael Cline Y 0 C/- P IF(H33="I","I",IF(I33="C/P","C/P","NA"))=C/P Gail Coleman Y 0 C/P IF(H34="I","I",IF(I34="C/P","C/P","NA"))=C/P Caroline Conegliano Y I 0 IF(H35="I","I",IF(I35="C/P","C/P","NA"))=I Curtis Conway Y 0 C/- P IF(H36="I","I",IF(I36="C/P","C/P","NA"))=C/P David Cooper Y 0 C/P IF(H37="I","I",IF(I37="C/P","C/P","NA"))=C/P Milton Cooper Y 0 C/- P IF(H38="I","I",IF(I38="C/P","C/P","NA"))=C/P Jeffrey Coopersmith Y I 0 IF(H39="I","I",IF(I39="C/P","C/P","NA"))=I Lou Cortese 0 0 IF(H40="I","I",IF(I40="C/P","C/P","NA"))=NA Jonathan Crystal Y I 0 IF H4l="I" "I" IF I41="C/P","C/P","NA"))=I Thomas Danziger Y I 0 IF(H42="I","I",IF(I42="C/P","C/P","NA"))=I David Deutsch 0 0 IF(H43="I","I",IF(I43="C/P","C/P","NA"))=NA Brooks Duncan Y I 0 IF(H44="I","I",IF(I44="C/P","C/P","NA"))=I Kristen Dzialga 0 0 IF(H45="I","I",IF(I45="C/P","C/P","NA"))=NA Pamela Ehrenkranz Y I 0 IF(H46="I","I",IF(I46="C/P","C/P","NA"))=I Charles Falk Y I 0 IF(H47="I","I",IF(I47="C/P","C/P","NA"))=I Andrew Farkas 0 0 IF(H48="I","I",IF(I48="C/P","C/P","NA"))=NA Lonnie Fine Y I 0 IF(H49="I","I",IF(I49="C/P","C/P","NA"))=I John Fitzgibbons Y 0 C/P IF(H50="I","I",IF(I50="C/P","C/P","NA"))=C/P Peter Gaslow Y PROT17 0 C/P IF(H5l="I","I",IF(I51="C/P","C/P","NA"))=C/P Edouard Gerschel Y 0 C/P IF(H52="I","I",IF(I52="C/P","C/P","NA"))=C/P Ari Glass Y 0 C/- P IF(H53="I","I",IF(I53="C/P","C/P","NA"))=C/P Don Glickman 0 0 IF(H54="I","I",IF(I54="C/P","C/- P","NA"))=NA Rich Gold 0 0 IF(H55="I","I",IF(I5S="C/P","C/P","NA"))=NA Christopher Goldberg 0 0 IF(H56="I","I",IF(I56="C/P","C/P","NA"))=NA Peter Greatrex 0 0 IF(H57="I","I",IF(I57="C/P","C/P","NA"))=NA Bruce Gross Y 0 C/- P IF(H58="I","I",IF(I58="C/P","C/P","NA"))=C/P Robert Haier Y 0 C/P IF(H59="I","I",IF(I59="C/P","C/P","NA"))=C/P David Halliwill Y 0 C/P IF(H60="I","I",IF(I60="C/P","C/P","NA"))=C/P Ira Halperin Y I 0 IF(H6l="I","I",IF(I61="C/P","C/P","NA"))=I Cathy Handley Y 0 C/- P IF(H62="I","I",IF(I62="C/P","C/P","NA"))=C/P Daniel Heflin Y 0 C/P IF(H63="I","I",IF(I63="C/P","C/P","NA"))=C/P Heidi Holterbosch Y Y V 0 C/P IF(H64="I","I",IF(I64="C/P","C/P","NA"))=C/P Robert Hull 0 0 IF(H65="I","I",IF(I65="C/P","C/P","NA"))=NA Matt Ireland Y 0 C/P IF(H66="I","I",IF(I66="C/P","C/P","NA"))=C/P Sonny Jain Y Y 1/ 0 C/- P IF(H67="I","I",IF(I67="C/P","C/P","NA"))=C/P Neil Jain Y Y 1/ 0 C/- P IF(H68="I","I",IF(I68="C/P","C/P","NA"))=C/P Michael Jesselson 0 0 IF(H69="I","I",IF(I69="C/P","C/P","NA"))=NA Ken Jones 0 0 IF(H70="I","I",IF(I70="C/P","C/P","NA"))=NA Rich Joslin 0 0 IF(H7l="I","I",IF(I71="C/P","C/P","NA"))=NA William Keenan Y 0 C/P IF(H72="I","I",IF(I72="C/P","C/P","NA"))=C/P William Howard Keenan 0 0 IF(H73="I","I",IF(I73="C/P","C/P","NA"))=NA Judy Kelly Y 0 C/P IF(H74="I","I",IF(I74="C/P","C/P","NA"))=C/P Avi Kestenbaum Y 0 C/P IF(H75="I","I",IF(I75="C/P","C/P","NA"))=C/P Adam Kimmel Y 0 C/- P IF(H76="I","I",IF(I76="C/P","C/P","NA"))=C/P PROT18 Jeff Kirwood 0 0 IF(H77="I","I",IF(I77="C/P","C/P","NA"))=NA Martin Klein Y 0 C/- P IF(H78="I","I",IF(I78="C/P","C/P","NA"))=C/P Mark Kristoff Y 0 C/P IF(H79="I","I",IF(I79="C/P","C/P","NA"))=C/P Charles Krusen Y 0 C/P IF(H80="I","I",IF(I80="C/P","C/P","NA"))=C/P Alan Kufeld Y Y Y I 0 IF(H8l="I","I",IF(I81="C/P","C/P","NA"))=I Philippe Laffont 0 0 IF(H82="I","I",IF(I82="C/P","C/P","NA"))=NA Robert Larocca Y I 0 IF(H83="I","I",IF(I83="C/P","C/P","NA"))=I Bryan H. Lawrence 0 0 IF(H84="I","I",IF(I84="C/P","C/P","NA"))=NA Bryan R. Lawrence 0 0 IF(H85="I","I",IF(I85="C/P","C/P","NA"))=NA Richard Leeds Y 0 C/- P IF(H86="I","I",IF(I86="C/P","C/P","NA"))=C/P Peter Leidel Y 0 C/P IF(H87="I","I",IF(I87="C/P","C/P","NA"))=C/P Jared Levy Y I 0 IF(H88="I","I",IF(I88="C/P","C/P","NA"))=I John Lummis Y 0 C/- P IF(H89="I","I",IF(I89="C/P","C/P","NA"))=C/P Gene Lynch 0 0 IF(H90="I","I",IF(I90="C/P","C/P","NA"))=NA Mel Manion 0 0 IF(H9l="I","I",IF(I91="C/P","C/P","NA"))=NA David Manlowe 0 0 IF(H92="I","I",IF Bryce Markus 0 0 IF(H93="I","I",IF(I93="C/P","C/P","NA"))=NA Kelly Masuda 0 0 IF(H94="I","I",IF(I94="C/P","C/P","NA"))=NA William McBride Y I 0 IF(H95="I","I",IF(I95="C/P","C/P","NA"))=I Todd Meister Y 0 C/- P IF(H96="I","I",IF(I96="C/P","C/P","NA"))=C/P Richard Merage 0 0 IF(H97="I","I",IF(I97="C/P","C/P","NA"))=NA Neal Milch Y 0 C/- P IF(H98="I","I",IF(I98="C/P","C/P","NA"))=C/P David Mitchell 0 0 IF(H99="I","I",IF(I99="C/P","C/P","NA"))=NA Erik Moody 0 0 IF(H100="I","I",IF(I100="C/- Catherine Moreatis Y 0 C/P IF(H101="I","I",IF(I101="C/P","C/P","NA"))=C/P Gary Moriwaki Y Y PROT19 Y I 0 IF(H102="I","I",IF(I102="C/P","C/P","NA"))=I Thomas Murray Y I 0 IF(H103="I","I",IF(I103="C/P","C/P","NA"))=I Alvin Murstein Y 0 C/P IF(H104="I","I",IF(I104="C/P","C/P","NA"))=C/P Andrew Murstein Y 0 C/P IF(H105="I","I",IF(I105="C/P","C/P","NA"))=C/P Anup Patel 0 0 IF(H106="I","I",IF(I106="C/P","C/P","NA"))=NA Sandy Pensler Y 0 C/P IF(H107="I","I",IF(I107="C/P","C/P","NA"))=C/P Anthony Persico 0 0 IF(H108="I","I",IF(I108="C/P","C/P","NA"))=NA George Petrides Y I 0 IF(H109="I","I",IF(I109="C/P","C/P","NA"))=I Deepak Raj 0 0 IF(H110="I","I",IF(I110="C/P","C/P","NA"))=NA Lewis Ranieri Y 0 C/- P IF(H111="I","I",IF(I111="C/P","C/P","NA"))=C/P Ben Rechler 0 0 IF(H112="I","I",IF(I112="C/P","C/P","NA"))=NA Julie Richardson Y 0 C/P IF(H113="I","I",IF(I113="C/P","C/P","NA"))=C/P Colby Rollins Y 0 C/- P IF(H114="I","I",IF(I114="C/P","C/P","NA"))=C/P Simon Rose Y 0 C/- P IF(H115="I","I",IF(I115="C/P","C/P","NA"))=C/P Kevin Ryan Y 0 C/P IF(H116="I","I",IF(I116="C/P","C/P","NA"))=C/P Marla Schaefer Y 0 C/P IF(H117="I","I",IF(I117="C/P","C/P","NA"))=C/P Karl Schreiber 0 0 IF(H118="I","I",IF(I118="C/P","C/P","NA"))=NA Mark Seelig 0 0 IF(H119="I","I",IF(I119="C/- Matt Serra 0 0 IF(H120="I","I",IF(I120="C/P","C/P","NA"))=NA Phillip Shefter Y 0 C/P IF(H121="I","I",IF(I121="C/P","C/P","NA"))=C/P Richard Simon Y 0 C/- P IF(H122="I","I",IF(I122="C/P","C/P","NA"))=C/P Jamie Smith 0 0 IF(H123="I","I",IF(I123="C/P","C/P","NA"))=NA Inder Sodhi Y 0 C/- P IF(H124="I","I",IF(I124="C/P","C/P","NA"))=C/P John Straus 0 0 IF(H125="I","I",IF(I125="C/P","C/P","NA"))=NA Haresh Tharani Y 0 C/P IF(H126="I","I",IF(I126="C/P","C/P","NA"))=C/P Brad Wechsler 0 0 IF(H127="I","I",IF(I127="C/P","C/P","NA"))=NA PROT20 George Weiss Y 0 C/P IF(H128="I","I",IF(I128="C/P","C/P","NA"))=C/P Andrew Zaro 0 0 IF(H129="I","I",IF(I129="C/- Alex Zubillaga Y 0 C/P IF(H130="I","I",IF(I130="C/P","C/P","NA"))=C/P Lloyd Zuckerberg Y 0 C/P IF(H131="I","I",IF(I131="C/P","C/P","NA"))=C/P Kristin Y 0 C/- P IF(H132="I","I",IF(I132="C/P","C/P","NA"))=C/P For internal use only PROT21 Stew Contacts Client/ Prospect Alex Green Southlake TX 76092 Annandale 325 North St. 75201 Anschutz Suite 2400 Denver CO 80202 Arcus Atlanta GA 30305 Arcus 1880 Atlanta GA 30305 BBR New York NY 10017 Blank Atlanta GA 30347 Bluestem 201 Charlottesville VA Bright Group Summersville WV 26651 Caruso Affiliated Drive Los Angeles CA 90036 Caruso (Richard) Suite 200 Villanova PA 19085 Caruso (Richard) Avenue Suite 200 Villanova PA CFM Los Gatos CA 95032 CFM Los Gatos CA 95032 Cox TX 75201 Dock Street Drive King of Prussia Donabedian 200 Milford OH Dorrance Dorrance Duncan Houston TX 77002 PA 45150 19406 200 Technecenter Drive, Suite 1100 Louisiana Street, Suite 5200 Edge 1000 Atlanta GA 30327 Edge 1000 Atlanta GA 30327 Edge 1000 Atlanta GA 30327 Essig 174 Nassau Street #320 Princeton NJ 08542 Everwatch 8 Sound Shore Drive, Suite 200 Greenwich CT 06830 Everwatch 8 Sound Shore Drive, Suite Emaill Addressl City State 911 Carriage Way Zip Paul Street Suite 3500 Dallas TX 555 Seventeenth Street, 3060 Peachtree Rd. NW Suite 1880 3060 Peachtree Rd. NW Suite 140 E. 45th Street, 26th Floor 3223 Howell Mill Road, 212 E. 200 Greenbrier 22902 Northwest Main Street, Suite Road 101 The Grove 795 E. Lancaster Avenue 795 E. Lancaster 19085 720 University Avenue, Suite 200 720 University Avenue, Suite 200 2100 McKinney Ave, Suite 1700 Dallas 510 Feheley PROT22 200 Greenwich Everwatch CT 06830 8 Sound Shore Drive, Suite 200 Greenwich CT 06830 Ford TX 75021 Forrestal Miami FL Forrestal Miami FL Georgetown Washington 33131 33131 DC 20007 200 Crescent Court Suite 1365 Dallas 1450 Brickell Avenue 1450 Brickell Avenue 1000 Potomac Street Suite 301 Glenmede Suite 1200 Philadelphia 1650 Market Street PA 19103 Granite Group 187 Danbur Road Wilton CT 06897 Guilford VA 23225 Highlander 550 Dallas TX 75201 P.O. Box 13439 Richmond 300 Crescent Court Suite Hillspire Menlo Park CA 94025 1010 El Camino Real, Suite 200 Hillspire Menlo Park CA 94025 1010 El Camino Real, Suite 200 Iconiq Francisco CA 94111 San Iconiq Francisco CA 94111 San Iconiq Francisco CA 94111 San Illig 8900 State Line Road 5th Floor Leawood KS 66206 Illig 8900 State Line Road 5th Floor Leawood KS 66206 Infinity Q 888 7th Avenue New York NY 10106 Infinity Q 888 7th Avenue New York NY 10106 Ironsides 511 Tarrytown Center Rocky Mount NC 27804 JL squared 2929 Arch Street, 13th Floor Philadelphia PA 19104 JL squared 2929 Arch Street, 13th Floor Philadelphia PA 19104 Lindemann m20 515 South Figueroa Street, Suite 1050 Los Angeles CA 90071 Nicholas 15 Enterprise, Ste. 550 Aliso Viejo CA 92656 Nicholas Orix 1717 Main Street, Suite 1100 Dallas TX 75201 Parami 6 East 74th Street New York PROT23 NY 10021 Parami NY 10021 Roger Bulloch Shamrock Burbank CA 91505 Slome Floor New York NY Slome Floor New York NY Snyder MD 20854 Sonen Capital San Francisco CA 94133 Sonen Capital 320 San Francisco CA 94133 Spruce Stamford CT 06901 Spruce Stamford CT 06901 Stiritz Stiritz Thomson ON, Canada M5H 2M8 True North Expressway, Ste. 725 Dallas TX United Company VA 24201 Willett DO NOT SEND: Me rage Newport Beach CA 92660 DART Grand Cayman Cayman Islands KY1-1206 6 East 74th Street New York 10155 10155 Las Vegas NV 3500 W. Olive Avenue, Suite 700 150 East 58th Street, 34th 150 East 58th Street, 34th 11900 River Road Potomac 50 Osgood Place, Ste. 320 50 Osgood Place, Ste. 263 Tresser Blvd, 15th Floor 263 Tresser Blvd, 15th Floor 65 Queen Street West Suite 2400 Toronto 8350 N. Central 75206 1005 Glenway Avenue Bristol New York NY 660 Newport Center Drive. Suite 1300 Windward 3, Regatta Office Park PROT24 Notes 10.15 Relationship Name First Last Email 3PM Twin-Win SPX MS Accelerated Return SPX/RTY MS Accelerated Return EuroStoxx 50 MS Accelerated return SPX MS Phoenix AutoCall AAPL CS Digital SPX/RTY CS Digital EuroStoxx 50 3PM 12M AutoCall SPX/RTY 3PM 15M AutoCall SPX/RTY Forrestal Capital Annette Franqui SK Family Office Charles Britton X Ironsides AM Forrestal Ca Fischer Stewart has met with the prospect numerous times both professionally and socially and believes they would be interested in this offering Snyder, Daniel Karl Schreiber Makan, Divesh Sent 10.7.2015 PROT25