EFTA Document EFTA01437665

Clients+Products Contact Information KCP AFS Structured Notes rtainment General Information Current Offerings General Current Offerings September Offerings Relationship Name Family Office Name First Last Claimed? C/P/I Email Phon e Address City State Zip Private Markets Focus Capital Markets Focus Research Foc us Notes To Do Suntex AcTRS RIN Retrofit ABR Astra Extell RESOF Prot on Phoenix AFS Focus Research Focus Risk Factors Notes To Do Interest Notes MS B uffered Jump Plu MS Apple Autocall MS Crude Oil Autocall HSBC SXSE Buffered Accelerat ed Return CS XOP Accelereated Return CS SPX Callable JP SPX Twin Win MS SPX Buffered Jump CIO View Tax Topics Structured Notes Other Interests Frieze London (2015) Invite Invite Sent/ response Tailgate ($375) De osit Pref. CD Schmidt, Eric Hillspire LLC P 1010 El Camino Real, Suite 200 Menl o Park CA 94025 General, including rea es a e. an yield. Like trophy assets. Want co-i nest multi-asset. FX and rates hedging looking at cheap assets in Europe. Could use tax sh ield 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 IF(COUNTA(AH4,AI4,AJ4,AK4,AL4,AM4,AN4,AO4)>0,"Y","")_ Kimmel, Adam Adam Kimmel C/P IF(COUNTA(AH5,A15,AJ5,AKS,AL5,AM5,AN 5,AO5)>0,"Y","")= Y Y Cross, Lisa Adreinne Old Country Rd, Suite 351 Andrew Farkas Kimble prospect Fl New York Forrestal Capital Brickell Avenue 3/1 sent 2/26 9/14 Sent 9/14 Ari Glass C/P Y Y Green, Alex Alex Green [email protected] 911 Carriage Way Southlake TX 76092 IF(COUNTA(AH10,AI10,AJ10,AK10,Aiiiiiiiiiiiiiiiiiiii "Y","")= Bhalla, Ajay Ajay Bhalla P IF(COUNTA(AH11,AI11,AJ11,AK11,AL11,A M11,AN11,A011)>0,"Y","")= Y Y Avi Kestenbaum Janco lead inactive C/P IF(COUNTA(AH 12,AI12,AJ12,AK12,AL12,AM12,AN12,AO12)>0,'Y","")_ Alan Kufeld Robertson lead inactive I 917-438-3992 1350 Avenue of Americas New York NY 10019 IF(COUNTA(AH13,AI13,AJ13,AK13,AS")= Y Y Zubillaga, Alex Alex Zubillaga C/P 212-433-1210 345 Park Ave, 12th Fl New York NY 10152 IF(COUNTA(AH14,AI14,AJ14,AK14,AL14,AM14,AN14 ,AO14)>0,"Y","")= Y Y Murstein, Alvin Alvin Murstein P New York NY IF(COUNTA(AH15,AI15,AJ15,AK15,AL15,AM15,AN15,AO1 > Y [repeated 3 times] Murstein, Alvin Andrew Murstein P New York NY IF(C OUNTA(AH16,AI16, 16,A016)> , Anup Patel IF(COUNTA Persico, Anthony Anthony Persico I OUNTA(AH18,A118,AJ18,AK18,AL18,AM18,AN18,A018)> Algappan, Arun Arun Alagappan P ite 601 New York NY 10028 IF(COUNTA Y Y Augenblick, Andy Andy Augenblick 730 Park Ave New York NY 10021 Cold Spring Harbor Laboratory Dill Ayres d Cold Spring Harbor NY 11724 IF(COUNTA(AH21,A121,AJ21,AK21,AL21,AM21,AN21,AO21)>0 Cavalry Andrew Zaro P IF(COUNTA(AH22,A122,AJ22,AK22,AL22,AM22,AN22,A022)>0 Sent 10/1 Sent William Berkman Convey lead active 650 Madison Ave New York NY 10022 IF(COUNTA(AH23,A123,AJ23,AK23,AL23,AM23, Barry Bloom McCarthy prospect active illafilliS i ll= 655 Madison Ave New York NY 10021 IF(C0UNTA(AH24,A124,AJ2 Willett Advisors Brad Briner P Real Assets with focus on natural resources and rea estate n a p cap. Funds or direct. Equity rates of return (-20%), $30-$40mm size 12/18 sent 12/5 sent 3/1 discussed 2/25 no interest OUNTA(AH25,A125 AJ25 AK25 AL25 AM25,AN25,AO25)>0,"Y",'")= Y Louis Cailoa IF(COUNTA(AH26 AI26 AJ26,AK26,AL26,AM26, Robert Haier C/P Bryan R. Lawrence M28,AN28,A028)>0,"Y","")= Yorktown Partners, LLC Bryan H. Park Ave, 19th Fl New York ,A029)>0,"Y","")= Bryce Markus Sohrab prospect active Periodic communication Events/ Ente Cannella Mineola NY P [email protected] 516-307-8855 300 11510 IF(COUNTA(AH6,A16,AJ6,AK6,AL6,AM6,AN6,AO6)>0 active 212-593-5700 717 Fifth Ave, 19th 10022 IF(COUNTA(AH7,A17,AJ7,AK7,AL7,AM7,AN7,AO7)>0,"Y",'")_ Annette Franqui P [email protected] 305-961-2848 1450 Miami FL 33131 General n/a sent 12/12, follow-up 1/5, 8/12 sent IF(COUNTA(AH8,A18,AJB,AKB,ALB,AMB,AN8,AO8)>0,"Y","")=Y Sent 9/14 Sent Y Sent 10/1 Sent 10/1 IF(COUNTA(AH9,A19,AJ9,AK9,AL9,AM9,AN9,AO9)>0,"Y","") Y (AH17,AI17,AJ17,AK17,AL17,AM17,AN17,AO17)>0,"Y","") IF (C Sent 210 East 86th St, Su (AI T19,AK19,AL19,AM19,AN19,A019) >0, "Y", "") IFCOUNTAA ,AL ,AM20,AN ,A0 ) > P 1 Bungtown R , 16y",",1)= New York NY commodities 20% ownershi Intro to Todd Henderson sent sent 3/16. passed 4/13 IF(C AN26,AO26)>0,"Y",'")_ IF(COUNTA(AH27,A127,AJ27,AK27,AL27,AM27,AN27 IF(COUNTA(AH28,A128,AJ28,AK28,AL28,A Lawrence P 410 NY 10022 IF(COUNTA(AH29,A129,AJ29,AK29,AL29,AM29,AN29 [email protected] IF(COUNTA(AH30,AI30,AJ30,AK3 PROT0 0,A130,AM30,AN30,A030)>0 "Y" "")= Bluestem LLC P 212 E. Main Street, Suite 201 Charlottesvi lie VA 22902 enera sen asse 3/12 IF(COUNTA(AH31,A131,AJ31,AK31,AL31,AM31,AN31 ,A031)>0,"Y","")= Orix Bonnie Mitre P 1717 Main Street, Suite 1100 Dallas TX 75201 CLOs, consumer finance,...Mecomplete portal access. Primarily focused on r ates 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 Foiled up 9/10 teaser sent and call 2/5. passed 3/27 sent 3/1 sent 3/16 sent 7/28 Sent 9/10 IF(COUNTA(AH32,A132,AJ32,AK32,AL32,AM32,AN32,A032)>0,"Y","")= Y Ben Rechler Powers prospect inactive IF(COUNTA(AH33,A133,AJ33,AK3 3,A133,AM33,AN33,A033)>0,"1","")= Brian Blechman C/P IF(COUNTA(AH34,A134,AJ34,AK34,A134,AM34,AN34 ,A034)>0,"Y" "")= Y Y Brooks Duncan I IF(COUNTA(AH35,A135,AJ35,AK35,AL35,AM35,AN35,A035)>0 Y Bruce Gross Kimble lead act t 107th Ave Miami FL Y Y Elysium Management 1 New York Cathy Handley C/P Y SK Family Office AJ39,AK39,AL39,AM39, Sent 9/11 Y Cary Brody C/P M40,AN40,A040)>0,"Y","")= Y Y Schmidt, Eric Hillspire LLC Chuck Chai P 1010 El Camino Real, Suite 200 Menlo Park CA 94025 General, nc u ing rea es ate. Want yield. Like t rophy assets. Want co-invest multi-asset. FX and rates hedging looking at cheap assets in E urope. Could use tax shield against GOOG share sales RESOF, Extel. Set up ISDA. Deposits teas er 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 IF(COUNTA(AH41,AI41,AJ41,AK41,AL41,AM41,AN41,A041)>0,"Y","")= Caroline Conegliano I IF(COUNTA(AH42,AI42,AJ42,AK4 2,A142,AM42,AN42,A042)>0,"Y","")= Falk, Charles Charles Falk I ye C/P [email protected] 305-559-4000 700 Northwes 33172 IF(COUNTA(AH36,A136,AJ36,AK36,AL36,AM36,AN36,A036)>0,"Y","") Brad Wechsler P 800 Park Ave, 12th F NY 10021 IF(COUNTA(AH37,A137,AJ37,AK37,AL37,AM37,AN37,A037)>0,"Y","") Y Sent Charles Britton P AN39,A039)>0,"Y","")=Y IF(COUNTA(AH38,A138,AJ38,AK38,AL38,AM38,AN38,A038)>0 Sent 10/1 lirWterested Sent 9/11 IF(COUNTA(AH39,AI39, IF(COUNTA(AH40,AI40,AJ40,AK40,AL40,A 25 Devonshire Lane Mendham NJ 7945 IF(COUNTA(AH43,AI4 ,AJ4 ,AK4 ,AL43,AM43,AN43,A043)>0,"Y","")= Y Y Christopher Goldberg [email protected] IF(COUNTA(AH44,A144,AJ44,AK44,AL44,AM44,AN44 ,A044)>0,"Y","")= Charles Krusen Jacoby lead active C/P 45,A145,AJ45,AK45,AL45,AM45,AN45,A045)>0.,"1","")- Winston Advisors Christopher Donabedian nter Drive, Suite 200 Milford OH 45150 IF Illig, Cliff P 8900 State Line Road 5th Floor Leawood 6 19103 IF(cout -iiiiiii iii i n AJIM I AII ,AM47,AN47,A047) >0, "Y", "")= I Glenmede 1650 Market Street Suite PA IF(COUNTA(AH48,AI ,AJ ,AK ,A1, 8,AM48, Schaefer, Marla Marla Schaefer P IF(COUNTA(AH49,AI49,AJ49,AK4 9,A149,AM49,AN49,A049)>0,"1","")= Y 50,AI50,AJ50,AK50,AL50,AM50,AN50,A050)>0,"Y","")= zer ISI it ser Dorrance Family DFE Enterprises Clint Gossage P IF(COUNTA(AH Colby Rollins C/P fl y" MIT).Curtis Conway C/P David Manlowe Erskine prospect inactive AJ53,AK53,AL53,AM53,AN53,A053)>0,"1","")= David Angstreich IF(COUNTA(AH54,A154,AJ54,AK54,AL54,AM54,AN54,A054)>0 "y" "")David Halliwill C/P ,A055)>0,"Y","")= Y ,AJ5IIMIM,A056) >0, "Y", "")= Sent 10/1 Sent Bright Group Darren Campf P 200 Greenbrier Road Summersville WV 26651 IF(COUNTA(AH56,AI56 10/1 David Cooper C/P ,A057)>0,"Y","")= Y Y Deepak Raj Daniel Heflin Sohrab prospect inactive P 59,A159,AJ59,AK59,AL59,AM59,AN59,A059)>0""Y","")= Y Y Blank David Homrich [email protected] 3223 Howell Mill Road, Northwest Atlanta GA 30347 IF(COUNTA(AH60,A160,AJ60,AK60,AL60,AM60,AN60,A060)>0,"Y","")= Sent 10/1 Sent 10/1 Sonen Capital David Hood P [email protected] 50 Osgood Place, Ste. 320 San Francisco CA 94133 IF(COUNTA(AH61,A161,AJ61,AK61,AL61,AM61,AN61,A061)>0,"Y","")= David Mitchell IF(COUNTA(AH62,A162,AJ62,AK62,AL62,AM62,AN62 ,A062)>0,"Y","")= fl y" Min).P (COUNTA(AH46 IF(COUNTA(AH 200 Technece 46,AN46,A046)>0 1200 Philadelphia KS 6620 IF(COUNTA(AH51,A151,AJ51,AK51,AL51,AM51,AN51,A051)>0 IF(COUNTA(AH52,A152,AJ52,AK52,AL52,AM52,AN52,A052)>0 IF(COUNTA(AH53,A153, IF(COUNTA(AH55,A155,AJ55,AK55,A155,AM55,AN55 IF(COUNTA(AH57,A157,AJ57,AK57,A157,AM57,AN57 IF(COUNTA(AH58,A158,AJ58,AK58,A158,AM58,AN58,A058)>0,"Y","") IF(COUNTA(AH PROT1 True North Advisors P [email protected] 8350 N. Central Expressway, Ste. 725 Dallas TX 75206 IF(COUNTA(AH63,A163,AJ63,AK63,AL63,AM63,AN63,A063)>0,"Y","") David Deutsch IF(COUNTA(AH64,A164,AJ64,AK64,AL64,AM64,AN64,A064)>0,"Y","") Infinity Q 888 7th Avenue New York NY 10106 Real Estate, yield, esotericIIIIIIIIII mu I IIIIIIIII I t -asset or Wildcat fund macro, vol? 20% IRR hurdle. Unconstrain ed. 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(AH65,A165,AJ65,AK6 5,AL65,AM65,AN65,A065)>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/ 6,AJ66,AK66,AL66,AM66,AN66,A066)>0,"Y","")= Sonen Capital P 50 Osgood Place, Ste. 320 San Francisc o CA 94133 , K67,AL67,AM67,AN67,A067)>0""Y","")= Edouard Gerschel C/P IF(COUNTA(AH68,A168,AJ68,AK68,AL68,AM68,AN68 ,A068)>0,"Y","")= Y Y Nicholas Milo Gonzalez 15 Enterprise, Ste. 550 Alis o Viejo CA 92656 DPM BRCM hedge into diversified assets. Also want broad banking relatio nship IF(COUNTA(NA!Pr I§9.AK69,AL69,AM69,AN69,A069)>0,"Y","")= Sent 10/1 Sent 10/1 Erik Moody IF(COUNTA(AH70,AI70,AJ70,AK70,AL70,AM70,AN70,A070)>0,"Y","")= Sent 10/1 Sent 10/1 Lindemann Family Eran Schreiber IF(COUNTA(AH71,A171, AJ71,AK71,AL71,AM71,AN71,A071)>0 "Y" "" = Y Parami Eric Attias P 6 East 74th Street New York NY 10021 IF(COUNTA(AH72,AI72 AJ7 2)>0,"Y","")= Essig Erin Enright 174 Nassau Street 0320 Princeton NJ 08542 IF(COUNTA(AH73,AI73,AJ73,AK73,AL73,AM73,AN73,A0 " " in = Sent 10/1 EverWatch Financial Frohman Anderson P 8 Sound Shor e Drive, Suite 200 Greenwich CT 06830 enera , u le nusra agg services, o it 0 gas, enviromental Maintain lvg. against some commercial RE. Used to have large CL loan @ CS a nd BAML Send RESOF and Astra sent 8/12 sent 3/18. Passed 3/30 sent 3/16 IF(COUNTA(AH 74,A174,;074,AK74,AL74,AM74,AN74,A074)>0."Iiiiiiiiiiiiiiiiiiiiii. Sent 10/1 Attori, Gregory Gregory Attorri I 485 Park Ave, Suite 4B New York NY 10022 IF(COUNTA(AH75,AI75 AJ75 AK75 AL75 AM75 AN75,A075)>0,"Y","")= Y Y Coleman, Gail Gail Coleman P 405 Lexingto n Ave, Fl 71 New York NY 10174 IF(COUNTA(AH76,A176,AJ76,AK76,AL76,AM76,AN76,A076)>0 Y Y Caruso, Richard Gary Deilella P c1IMII=IM 795 E. Lancaster Ave nue Suite 200 Villanova PA 19085 General, prefer funds or direct PE sent 7/28 IF(COUNTA(AH77,A177,AJ77,AK77,AL77,AM77,AN77,A077)>0,"Y" "" = Sent 10 1 Sent 10/1 Yorktown Partners, LLC George Petrides I IF(COUNTA(AH 78,AI78,AJ78,AK78,AL78,AM78,AN78,A078)>0,"Y","")= Y Y Duncan Investments Gregg Hammer P 1100 Louisiana Street, Suite 5200 Houston TX 77002 IF(COUNTA(AH79 , ARIIMIRRIP IPAM79,AN79,A079)>0,"Y","")= Sent 10/1 Sent 10/1 Gene Lynch IF(COUNTA(AH80,A180,AJ80,AK80,AL80,AM80,AN80,A080)>0 Disney, Roy Shamrock Greg Martin P 3500 W. Olive Avenue , Suite 700 Burbank CA 91505 Yield n/a real estate reterral? Merage connection? sent 11/7, discussed 1/15, follow up 8/12 teaser sent 2/5 sent 3/1 sent 2/26 ment ioned 11/6, sent 3/16 IF(COUNTA(AH81,AI81,AJ81,AK81,AL81,AM81,AN81,A081)>0,"Y","")= Sent 10/1 Sent 10/1 Moriwaki, Gary S. Gary Moriwaki I 100 Park Ave, 3rd Fl New York NY 10017 IF(COUNTA(M1112,AIB2,AJ82,AK82,AMMIll ,AO82)>0,"Y","")= Y Y Ford 200 Crescent Court Suite 1365 Dallas TX 75021 IF(COUNTA(AH 83,A183,AJ83,AK83,AL83,AM83,AN83 A083 >0 "Y" "" Nicholas Gosha Zandt assets. Also want broad banking relationship Sent 10/1 Sent 10/1 Beller, Harry Harry Beller C/P 2 IF(COUNTA(AH85,A185,AJ85,AK85,AL85,AM85, Holterbosch, Heidi Heidi Holterbosch Park Ave New York NY 10152 N Y E - Edge 7 IF COUNTA AH ,AI ,AJ Keenan, William Howard William Park Ave New York Tharani, Haresh Haresh Tharani 9,AL89,AM89,AN89,A089)>0,"Y"," Ira Halperin M90,AN90,A090)>0,"Y","")= Slome, Ian Ian Slome loor New York NY oducts; PE and HF n/a er sent 2/5 passed 2/27 1380 W. ,AK87,AL87,AM87 Keenan P DPM BRCM hedge into diversified IF(COUNTA(AH84,A184,AJ84,AK84,AL84,AM84,AN84,A084)>0 12 Golar Dr Monsey NY 1095 AN85,A085)>0,"Y","")= Y Y P 212-421-3800 375 IF(COUNTA(AH86,A186,AJ86,AK86,AL86,AM86,AN86,A086)>0 Paces Ferry Rd. Suite 1000 Atlanta GA 3032 7 > "Y" NY 10022 IF(COUNTA(AH88,AI88,;088,AK88,11.11.A088)>0 P IF(COUNTA(AH89,A189,AJ89,AK8 410 IF(COUNTA(AH90,AI90,AJ90,AK90,AL90,A P 150 East 58th Street, 34th F 10155 RE (US, Europe, R+C) via direct investment, PE or struct. Pr Risk averse. Already seeing HF indeas from AFS send RIN? teas mentioned 2/26, sent 3/16. Passed 3/30 IF(COUNTA(AH91,A191,AJ91,AK9 PROT2 1,AL91,AM91,AN91,A091)>0 "Y" "")= Richard =imon C/P Inder Sodhi Jensen prospect inactive AJ93,AK93,AL93,AM93,AN9 Ironsides AM 4 General meeting in AJ94,AK94,AL94,110 ,Mli s m 4AN , '")=Y Sent 9/14 Y Jamie Smith IF(COUNTA(AH95,A195,AJ95,AK95,AL95,AM95,AN95,A095)>0,"Y","") John Straus IF(COUNTA(AH96,A196,AJ96,AK96,AL96,AM96,AN96,A096)>0 , Nya,..).Guilford Company James Landrigan P P.O. Box 13439 Richmond VA 23225 IF(COUNTA(AH ,AI ,AJ ,AK ,AIIMPIIRA097)>0 ,..y.,..).Levy, Jared Jared Levy I 1633 Broadway New York NY 10019 IF(COUNTA AH98 A198 AJ98 AK98,AL98,AM98,AN98,A098)>0,"Y","")= Y Y Keiser, Jason Jason Keiser IF(COUNTA(AH99,A199,AJ99,AK99,AL99,AM99,AN99 ,A099)>0,"Y","")= Sent 10/1 Sent 10/1 Dorrance Family DFE Enterprises Jason Stiles P 480-367-7000 IF(COUNTA(AH100,AI100,AJ100,AK100,AL100,AM100,AN100,AO1 > " sent 1 sent 9/29 Spruce Private Investors LLC 263 Tresser Blvd, 15th Floor Stant ford CT 06901 Systematcgan gwith CS Introduce AFS or CB&S IF(COUNTA(AH 101,AI101,AJ101,AK101,AL101,AM101,AN101,AO101)>0,"Y","" = John Barber Sohrab prospect inactive I IF(COUNTA(AH 102,AI102,AJ102,AK102,AL102,AM102,AN102,A0102)>0,"Y"," = Wanek, TOdd Thirdlake Capital Joakim Bergander IF(C OUNTA(AH103,AI103,AJ103,AK103,AL103,AM103,AN103,A0103) >0, "Y", sent 9/29 Fitzgibbons, John John Fitzgibbons P 405 Lexington Ave, Fl 71 New York NY 10174 IF(COUNTA(AH104,AI104,AJ104,AK104,AL104,AM10 4,AN104,A0104)>0,"Y","")= Y Y Jonathon Botwinick C/P IF(COUNTA(AH105,AI105,AJ105,AK105,AL 105,AM105,AN105,AO105)>0,"Y","")= Y Y Jeffrey Coopersmith I ill l IF(COUNTA(AH106,AI106,AJ106,AK106,AL106,AM10 6,AN106,A0106)>0,"Y","")= Dock Street P 510 Feheley Drive King of Prus sia PA 19406 M IWIlay PCS, just check in occasionally IF(C OUNTA(AH107,AI107,AJ107,AK107,AL107,AM107,AN107,A0107)>0 "Y" "" = Forrestal Capital Jonathan Fischer P 1450 Brickel 1 Avenue Miami FL 33131 General n/a sent 12 , to ow-up 1 , 2 sent 3/1 sent 2/26 IF(COUNTA(AH108,AI108,AJ108,AK108,AL108,AM108,AN108,A0108)>0,"Y","")=Y Sent 9/14 Sent 9/14 Sent 9/14 Y Sent 10/1 Sent 10/1 Jeff Kirwood IF(COUNTA(AH109,AI109,AJ109,AK109,AL109,AM109,AN109, A0109)>0,"Y","")= JL Squared Group 2929 Arch Street, 13th Floor Philadelphia PA 19104 IF(COUN 11 AM11 AN110,AO110)>0,"Y","")_ EverWatch Financial Joe Monaco P 8 Sound Shore Drive, Suite 2 00 Greenwich CT 06830 General, u ice In us r al/agg services, oil a gas, enviro mental 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 IF(COUNTA(AH111,AIll 1,AJ111,AK111,AL111,AMI Sent 10/1 Sent 10/1 John Lummis C/P IF(COUNTA(AH112,AI112,AJ112,AK112,AL112,AM112,AN112, A0112)>0,"Y","")= Crystal, Jonathan Jonathan Crystal I Fianncial Sq 32 Old Slip New York NY 10005 IF(COUNTA(AH113,AI113,AJ113,AK113,AL 113,AM113,AN113,A0113)>0 "Y" "")= Y Y Slome, Ian P 150 East 58th Street, 34th Floor New York NY 10155 RE (US, Europe, R+C) v a irect investment, PE or struct. Products; PE and H F n/a Risk averse. Already seeing HF indeas from AFS send RIN? teaser sent 2/5 pass ed 2/27 mentioned 2/26, sent 3/16. Passed 3/30 IF(COUNTA(AH114,AI114,AJ114,AK114,AL114,AM114,AN114, AO114)>0,"Y","")_ Julie Richardson C/P IF(COUNTA(AH115,AI115,AJ115,AK115,AL 115,AM115,AN115,AO115)>0,"Y","")= Y Y Snyder, Daniel Karl Schreiber P 11900 River Road Potomac MD 20854 IF(COUNTA(AH116,AI116,AJ ,MC ,M ITI M PIM.M.6,A0116)>O r "Y",•")=Y Sent 9/14 Sent 9/14 Sent 9/14 Y 10/1 Dzialga, Kirsten & Mark Kristen Dzialga P 15 Meadowcro ft Lane Greenwich CT 6830 IF(COUN ,AK117,AL117,AM117,AN117,A0117)>0 My" NO).White Deer Energy Kristin P IF(COUNTA(AH118,AI118,AJ118, AK118,AL118,AM118,AN118,A0118)>0,"Y","")= Y Y Kelly, Judy Judy Kelly C/P 445 Park Ave, Suite 1502 New York NY 10022 IF(COUNTA(AH119,AI119,AJ119,AK119,AL119,AM119,AN119,A0119)>0,"Y","") Y Y Kevin Ryan C/P IF(COUNTA(AH120,AI120,AJ120,AK120,AL120,AM12 0,AN120,A0120)>0,•Y","• Makan, Divesh 94 Pacific Ave, 2nd Floor San Francisco CA 94111 Credit n/a ocus on sent 12/18 sent 2/26 IF(COUNTA(AH121,A1121,AJ121,AK121,AL121,AM121,AN121,A0121)>0,"Y","") IF(COUNTA(AH92,A192,AJ92,AK92,AL92,AM92,AN92,A092)>0 C/P IF(COUNTA(AH93,A193, 511 Tarrytown Center Rocky Mount NC 2780 Sent 3/1 sent 3/24 IF(COUNTA(AH94,A194, PROT3 Ken Jones Caruso Affiliated Angeles CA 90036 AK123,AL123,AM1 Lara Brody 4,AN124,A0124)> " United Company Lois Clarke lclarkeQunitedco.net 1005 Glenway Avenue 1 IF(COUNTA(AH125,AI125,AJ125,AK125,AL125,AM125,AN125,A0125)>0,"Y","")= IF(COUNTA(AH122,AI122,AJ122,AK122,AL122,AM122,AN122,A0122)>0 Kelly Masuda Real Estate, general sent 2/26. 101 The Grove Drive Los Passed 3/20 IF(COUNTA(AH123,AI123,AJ123, IF(COUNTA(AH124,AI124,AJ124,AK124,AL124,AM12 Valley Stream NY 11581 IF(COUNIRMI IMMI. Fine, Lonnie Lonnie Fine I Lou Cortese Robertson prospect active NJ 7092 IF(COUNTA(AH127,AI127,AJ127,AK127,AL127 Zuckerberg, Lloyd Lloyd Zuckerberg C/P 8,AJ128,AK128,AL128,AM128,AN128,A0128)> • " "•)_ Stiritz, William P. Lynn Morgan AK129,AL129,AM1 M20 Inc P CA 90071 Small operating businesses n/a 0% stakes sent 3/1. Passed 3/2 IF(COUNTA(AH130, , Nya,..).Kristoff, Mark Mark Kristoff C/P Third Ave, 9th Fl New York NY 1,AN131,A0131)>0,"Y","")= Y Y Klein, Martin Martin Klein C/P New York NY 10036 IF(COUN Y Y Matt Ireland C/P EverWatch Financial Suite 200 Bristol VA 2420 Sent 10/1 Sent 10 Fifth St , L126,AM126,AN126,A0126)>0,"Y","") 191 Glen Rd Mountainside 7)>0,"Y" "")= IF(COUNTA(AH128,AI12 IF(COUNTA(AH129,AI129,AJ129, t 10/1 515 South Figueroa Street, Suite 1050 Los Angeles Greenw Microcap activist w/ $1-$5mm EBITDA target 1 AI130,AJ130,AK130,AL130,AM130,AN130,A0130)>0 I131,AJ ,AK ,AL 825 31,AM13 1.1...........2,Abil32,A0132)>O r sY","") 580 5th Ave, 5th Fl III II IF(COUNTA(AH133,A1133,AJ133,AK133,AL133,AM133,AN133,A0133)>0 IRIIIIIII.Ma Matt Womble P 8 Sound Shore Drive, ich CT 06830 l/agg services, oil & gas , enviromental Maintain lvg. against Send RESOF and Astra sent 8/12 4,AJ134, AK134,AL134, AM134,AN134,A0134) Barry, Mitchell Mitchell Barry , Suite 1400 New York NY A0135)>0,"Y","")= William McBride I A0136)>0,"Y","")= Cline, Michael Michael Cline C/P 1 New York NY 10010 Milton Cooper Janco lead inactive C/P e Park Rd, Suite 100 New Hyde Park NY 8,AN138,A0138)>0,"Y","")= Jesselson Capital Michael Jesselson Vrablic lead active .com 212-459-9600 130 Ave of America, Suite 4101 New York NY 1141' IF(COUNTA(AH 139,A1139,AJ139,AK139,AL139,AM139 AN139 A0139 >0,"Y","")= Seelig, Mark Mark Seelig IF(COUNTA(AH140,AI140,AJ140,AK140,AL140,AM140,AN140, A0140)>0,"Y","")= Georgetown U P 20007 General n/a 3/16. Passed Mel Manion fl ya , MIT).Matt Serra fl ya , MIT).JL Squared Group PA 19104 IF(COUN Jain, Neil Neil Jain 583 Mineola NY 11501 Y Y Michael, Neal Neal AK146,AL146,AM146,AN146, Neil Blechman Gas low, Lawrence Madison Ave, 15th Fl 8,AN148,A0148)>0,"Y","") Blue Mountain Peter 280 Park Ave, 12th FL AK149,AL149,AM149,AN149, Phillip Shefter C/P 0,AN150 AO150 >0 "Y" "" Edge 7 IF COUNTA AH some commercial RE. Used to have large CL loan @ CS and BAML sent 3/18. Passed 3/30 sent 3/16 IF(COUNTA(AH134,A113 Sent 10/1 C/P 7 Penn Plaza 10001 M illigffl - MINTIM IPILAJ135,AK135,AL135,AM135,AN135, IF(COUNTA(AH136,AI136,AJ136,AK136,AL136,AM136,AN136, Macro - 51 Madison Ave, Fl 3 IF(COUNTAA AL37,AM137,AN137,A0137)>0 3333 New Hyd 138,AL138,AM13 1000 Potomac Street Suite 301 Washington DC send CIO materials regularly risk factors teaser sent 2/5 sent 41,AI141,AJ141,AK141,AL141,AM141,AN141,A0141)>0,"Y","")= IF(COUNTA(AH142,A1142,AJ142,AK142,AL142,AM142,AN142,A0142)>0 C/P IF(COUN Milch P A0146)>0,"Y","" [email protected] IF(COUNTA(AH147,AI147,AJ147,AK147,AL147,AM147,AN147,A0147)>0 IF(COUNTA(AH143,AI143,AJ143,AK143,AL143,AM143,AN143,A0143)>0 2929 Arch Street, 13th Floor Philadelphia 144,AN144,A0144)>0,"Y",")= 158 Third St, PO Box 45,AK145,AL145,AM145,AN145,A0145)>0,"Y","") Peter Gaslow New York Greatrex New York A0149)>0 "Y" GIN P NY Y P NY NY IF(COUNTA(AH146,AI146,AJ146, 105 IF INTA(AH14,A1148,AWIII48,AM14 Sent 10/1 Sent 10/1 10017 Sent 9/22 IF(COUNTA(AH149,AI149,AJ149, IF(COUNTA(AH150,AI150,AJ150,AK150,AL150,AM15 1380 W. Paces Ferry Rd. Suite 1000 Atlanta GA 3032 AI ,AJ 1,AK151,AL151,AM151,AN151,A0151)>0,"Y","")= PROT4 Laf font, Philppe Philippe Laffont P 9 West 57th St New York NY 10019 IF(COUNTA(AH152,AI152,AJ152,AK152,AL152,AM152,AN152,A0152)>0 Yorktown Partners, LLC Peter Leidel P NY IF(COUNTA(AH 153,AI153,AJ153,AK153,AL153,AM153,AN153,A0153)>0,"Y"..")= Y N York NY 10019 IF(COUNI ,AN154, Ehrenkraz, Pamela Pamela Ehrenkranz I 51 c4 est 52nd St N Robert Hull LaRoe lead active 155,AI155,AJ155,AK155,AL155,AM155 AN155 Parami Rahul Vaid 10021 IF(COUNTA(AH156,AI156,A Lewis Ranieri Sabbagh prospect active C/P AK157,AL157,AM157,AN157,A0157)>0,"Y","" - Spruce Private Investors LLC Stamford CT 06901 Systems c gamma ecay OUNTA(AH158,AI158,AJ158,AX158,AL158,AM158 AN158 A0158)>0 Caruso, Richard Richard Caruso P Villanova PA 19085 General, prefer funds or direct 159,AI159,AJ159,AK159,AL159,AM159,AN159,A0159)>0,"Y","")= General Atlantic Family Office Rich Gold 3 Pickwick Plaza Greenwich CT 6830 IF(COUNTA(AH160,AI160,AJ160,AK160,AL160,AM16 0,AN160,A0160)>0,"Y","")= Illig, Cliff Robb Heineman P 8900 State Line Road 5th Floor Leawood KS 66206 IF(CO ,"Y","")Sent 10/1 Sent 10/1 Richard Merage Convey lead active richar AK162,AL162,AM162,AN162,A0162)>0,"Y","")= Cold Spring Harbor Laboratory Richard Leeds arbor Park Dr Port Washington NY 11050 A0163)>0,"Y","")= Y Y Rich Joslin IF(COUNTA(AH164,AI164,AJ164,AK164,AL164,AM164,AN164,A0164)>0 ,..y.,..).IFIR IPIMPR IPPRI 65,AM165,AN165, M Larocca, Robert Robert Larocca I 135 Crossway s Park Drive Woodbury NY A0165)>0,"Y","")= Y Y Merage [email protected] 660 Newport Center Drive. Suite 1300 Newport Beach CA 9266 0 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(AH166,AI166,AJ166,AK166,AL166,AM166,AN166,A0166)>0,"Y","")= Do not send research emails CFM Rob P [email protected] 720 University Avenue, Suite 200 Los Gatos CA 95032 sent 2/26. Passed 2/26 Convey sending? IF(COUNTA(AH167,AI167,AJ167,AK167,AL167,AM16 7,AN167,A0167)>0,"Y","")= Sent 10/1 Sent 10/1 Meister, Robert Bob Meister [email protected] IF(COUNTA(AH168,AI168,AJ168,AX168,AL168,AM16 8,AN168,A0168)>0,"Y","")= Sent 10/1 Sent 10/1 Bulloch, Roger Roger Bulloch P Las Vegas NV maybe as a s eller? n/a Makes direct investments Into pvt companies. 12-24m hold meeting sent 8/12 sent 3/1 IF(COUNTA(AH169,AI169,AJ169,AK169,AL169,AM169,AN169,A0169)>0,"Y","")= Sent 10/1 sent 10/1 Ross Blechman IF(COUNTA(AH170,AI170,AJ170,AK170,AL170,AM170,AN170, A0170)>0,"Y","")= Russell Artzt Convey lead active C/P Ill il IF(COUNTA(AH171,AI171,AJ171, AK171,AL171,AM17iiiiiiii iiiiiiiiiiii"")= Russell Blank IF(COUNTA(AH172,AI172,AJ172,AK172,AL172,AM172,AN172,A0172)>0 fly" MIT).Pensler, Sandy Sandy Pensler P NY IF(COUNTA(AH173,AI17 3,AJ173,AK173,AL173,AM173,AN173,A0173)>0 "Y" "" = Y Y Rose, Simon Simon Rose C/P IF(COUNTA(AH174,AI174,AJ174,AK174,AL 174,AM174,AN174,A0174)>0,"Y","")= Steven Blicht C/P 175,AM175,AN175,A0175)>0,"Y","")= Y Y Highlander Partners Stanley Bould P uite 550 Dallas TX 75201 General puts on public erials RESOF follow up sent 12/12 sent 3/1. Passed 3/30 176,AI176,AJ176,AK176,AL176 AM176,AN176 A0176)>0 "Y" "")= Sent 10/1 Sent 10/1 Anschutz 555 Seventeenth Street, Suite 2400 Denver CO 80202 Telco, Ras , 01 &Gas, Sports Enterta nment, 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 IF(COUN AK177,AL177,AM177,AN177,A0177)>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. Unconstrain ed. 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(AH178,AI178,AJ178, AK178,AL178,AM178,AN178, Dart Management P Windward 3, Regatta Office Park Grand Cayman Cayman Islands KY1-1206 General, Biotech?, Pre-IPO mezz financing, MSBs MSBs? Deep value f ocus, lots of cash collateral, separate real estate group sent 12/18 teaser sent 2/5 IF(C OUNTA(AH179,AI179,AJ179,AX179,AL179,AM179,AN179,A0179)>0,"Y","")= N Do not send research emails TX IF(COUNTA(AH 6 East 74th Street New York NY 156,A0156)>0,"Y","")= Y IF(COUNTA(AH157,AI157,AJ157, 263 Tresser Blvd, 15th Floor with CS Introduce AFS or CB&S IF(C 795 E. Lancaster Avenue Suite 200 PE sent 7/28 IF(COUNTA(AH UN 1,AL161,AM161,AN161,A0161)>0 [email protected] IF(COUNTA(AH162,AI162,AJ162, P 11 H IF(COUNTA(AH175,AI175,AJ175,AK175,AL 300 Crescent Court S equity? Poland, homebuilding and mat sent 3/16. Passed 3/30 IF(COUNTA(AH PROT5 Makan, Divesh 394 Pacific Ave, 2nd Floor San Francisco CA 94111 Credit n/a nee• to o us on un que solutions sent 12/18 sent 2/26 IF(COUNTA(AH180,AI180,AJ180,AK180,AL180,AM180,AN180,A0180)>0,"Y","") =Y Sent 9/14 Sent 9/14 Y Sonny Jain C/P A0181)>0,"Y","")= Thomson Stefan 65 Queen Street West Suite 2400 Toronto 2M8 IF(COUNTA(AH182,AI182,AJ182,AK182,AL182,AM182,AN182,A0182)>0,"Y","")= 10/1 Arcus 3060 Peachtree Rd. NW Suite 1880 5 IF(COUNTA(AH183,A1183,AJ183,AK183,AL183,AM183,AN183,A0183)>0,"Y","")= Arcus [email protected] 3060 Peachtree Rd. NW Suite 1880 Atlanta OUNTA(AH184,AI184,AJ184,AK184,AL184,AM184,AN184,A0184)>0,"Y","")= Brandis, Steve Steve Brandis Fl New York NY 10018 IF(COUNTA(AH185,AI185,AJ185,AK185,AL185,AM185,AN185,A0185)>0 Nyil MIT). Danziger, Thomas Thomas Danziger Park Ave New York NY 10022 A0186)>0,"Y","")= Y Y Meister, Todd Todd Meister P 187,AM187,AN187,A0187)>0,"Y","")= Y Y Murray, Thomas Thomas Murray I 8,AN188,A0188)>0,"Y","")= Todd Angkatavanich I AK189,AL189,AM189,AN189,A0189)>0,"Y","")= Archer, Thomas J. Thomas Archer I New York NY 10016 IF(COUNTA(AH190,AI190,AJ190,AK190,AL190,AM190,AN190,A0190)>0,"Y","") Y Y CFM Tim Sarhatt P Gatos CA 95032 sent 2/ 191,AM191,AN191,A0191)>0,"Y","")= BBR Partners Todd Whiteneck 140 E. 45th Street, 26th Floor New York IF(COUNTA(AH181,AI181,AJ181,AK181,AL181,AM181,AN181, ent 10/1 Sent 10/1 ON, Canada M5H Sent 10/1 Sent Atlanta GA 3030 GA 30305 IF(C 215 W 40th St, 10th I 405 IF(COUNTA(AH186,AI186,AJ186,AK186,AL186,AM186,AN186, IF(COUNTA(AH187,AI187,AJ187,AK187,AL IF(COUNTA(AH188,AI188,AJ188,AK188,AL188,AM18 IF(COUNTA(AH189,A1189,AJ189, 90 Park Ave 720 University Avenue, Suite 200 Los sending? IF(COUNTA(AH191,AI191,AJ191,AK191,AL Sent 10/1 Sent 10/1 l ergy, Eb l t, uns onBackrock DNC list sent 3/16. Passed 3/24 IF(COUNTA(AH192,AI192,AJ192,AK192,AL192,AM192,AN192,A0192)>0 y EverWatch Financial Tyler Webb P 8 Sound Shore Drive, Suite 2 00 Greenwich CT 06830 General, I. .Pe r stra/agg services, oil a gas, enviro mental 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 IF(COUNTA(AH193,AI19 3,AJ193,AK193,AL193,AM193,AN193,A0193)> • " "" = Cox, Berry Cox Partners P 2100 McKinney Ave, Suite 1700 Dall as TX 75201 IF(COUNTA(AH194, ,AM194,AN194,A0194)>0,"Y","")= Edge 1380 W. Paces Ferry Rd. Suite 1000 Atlanta GA 3032 7 IF(COUNTA(AH195,AI195,AJ195,AK195,AL195,AM195 AN195 A0195 >0 "Y" "")= Stiritz, William P. William Stiritz P 835 S 8th St St. Louis MO 63102 IF(COUNTR(AH196,AI196,AJ196,AK191,11,18,AN196, A0196)>0,"Y","")= Amster, Yosi Yosi Amster Ave, 21st Fl New York A0197)>0,"Y","")= Y Catherine Moreatis NY", •^)= Y Y Glickman, Donald Don 9,AN199,A0199)>0,"Y","")= Weiss, George George Weiss P Hartford CT IF(COUNTA(AH200,A1200,AJ200,AK200,AL 200,AM200,AN200,A0200)>0,"Y",")= Y N James Alterbaum I IF(COUNTA(AH2O1,A1201,AJ201,AK201,AL201,AM201,AN201,AO201)>0,"Y","") Y John Binko C/P IF(COUNTA(AH202,A1202,AJ202,AK202,AL202,AM202,AN202,A0202)>0,"Y","")= Y Y Annandale Capital P 325 North St. Paul Street Suite 3500 Dallas TX 75201 Gene ral. 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(C OUNTA(AH203,A1203,AJ203,AK203,AL203,AM203,AN203,AO203)>0,"Y","")= Granite Group P 187 Danbury Road Wilton CT 06897 General open to funds meet ing in NYC sent 3/16 IF(COUNTA(AH204,A1204,AJ204,AK204,AL204,AM204,AN204,A0204)>0,"Y","") Makena Capital Management P 2755 Sand Hill Rd, Suite 200 Menlo Park CA 9402 5 Risk factors met 2/2 NDA and portfolio analysis IF(COUNTA(AH2O5,A1205,AJ205,AK205,AL 205,AM205,AN205,A0205)>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(AH206,A1206,AJ206,AK206,AL206,AM206,AN206,A0206)>0,"Y","")= Peregrine Group P 214-231-6800 2101 Cedar Springs Rd, Suite 1800 Dallas TX 7520 1 Energy n/a covered by brokers already for public markets trading mineral rights in Pe rmian mentioned 12/4 mentioned 12/4 sent 3/1 IF(COUNTA(AH207,A1207,AJ207,AK207,AL207,AM20 7,AN207,A0207)>0,"Y","")= IF(COUNTA(AH208,A1208,AJ208,AK208,AL208,AM208,AN208,A0208)>0,"Y","")= IF(COUNTA(AH209,A1209,AJ209,AK209,AL209,AM209,AN209,A0209)>0,"Y","")= I 340 Madison NY 11 IF(COUNTA C1 ,AL197,AM197,AN197, Y C/P IF(COUNTA(AH198,AI198,AJ198,AK198,AL198,AM198,AN198,A0198)>0 Glickman P IF(COUNTA(AH199,AI199,AJ199,AK199,AL199,AM19 PROT6 IF(COUNTA(AH210,A1210,AJ210,AK210,AL210,AM210,AN210,A0210)>0,"Y","")_ For internal use only PROT7 Paul Contacts First Name Last Name Messaging ID CIO Arun Alagappan Y Y nt/Prospect Interme Prospect "C/P","C/P","NA"))=C/P James Alterbaum Y Y I 0 Yosi Amster Y ",IF(I4="C/1","C/P","NA" Todd Angkatavanich 5="I","I",IF(I5="C/P","C/P","NA"))=I David Angstreich 0 ))=NA Thomas Archer Y Y "C/P","C/P","NA"1 =I Russell Artzt Y Y "C/P","C/P","NA"1)=C/P Eric Attics 0 Gregory Attorri IMIIIMIM Y I",IF(I10="C/P","C/P","NA"))=I Andy Augenblick l="C/P","C/1","NA°1)=NA Dill Ayres John Barber I",IF(I13="C/P", Mitchell Barry [email protected] I",IF(I14="C/P","C/P","NA"))=C/P Harry Beller 5="C/P","C/1","NA°1)=C/P Joakim Bergander "C/P","NA")1=NA William Berkman Ajay Bhalla 8="C/P","C/P","NA 1)=C P John Binko Russell Blank Brian Blechman I",IF(I21="C/P","C/P","NA" Neil Blechman Ross Blechman A"))=NA 24="Im s, "I", IF(I211 .1.11. Steven Blicht Barry Bloom Jonathon Botwinick 26="I","I",IF(I26="C/P","C/P","N Steve Brandis A"))=NA Charles Britton I",IF(I28="C/P","C/P","NA"))=C/P Cary Brody Lara Brody "C/P","NA")1=NA Louis Cailoa Adreinne Cannella "C/P","NA"))=NA Michael Cline 3="C/P","C/1","NA"))=C/P Gail Coleman I", IF (I34="C/P ftelin lirAME Caroline Conegliano IF(H35="I","I",IF(I35="C/P","C/P","NA"))=I Curtis Conway 6="C/P","C/P","NA -C P David Cooper I", IF(I37="C/P", C/P "NA") =C/P Milton Cooper Y 8="C/P","C/P","N Jeffrey Coopersmith I",IF(I39="C/P","C/P","NA"))=I Lou Cortese Jonathan 41="I","I",IF(I41="C/P","C/P" Thomas Danziger I",IF(I42="C/P","C/P"," A -I David Deutsch Brooks Duncan 4="C/P","C/P","Nlii Kristen Dzialga 0 Y 0 Y 0 Y 0 Y Outlook Tax Topics Intermediary Clie 0 C/P IF(H2="I","I",IF(12= IF(H3="I","I",IF(I3="C/P","C/P","NA"))=I 0 IF(H4="I","I 0 Y Y I 0 IF(H IF(H6="I","I",IF(16="C/P","C/P","NA" I O IF(H7="I","I",IF(17= C/P IF(H8="I","I",IF(18= IF(H9="I","I",IF(I9="C/P","C/P","NA"))=NA 0 IF(H10="I"," IF(H1l="I","I",IF(I1 IF(H12="I","I",IF(I12="C/P","C/P","NA"))=NA 0 IF(H13="I"," Y Y 0 0 C/P C/P IF(H14="I"," IF(H15="I","I",IF(I1 IF(H16="I","I",IF(I16="C/P", O IF(H17="I","I",IF(I17="C/P","C/P","NA"))=NA 0 C/P IF(H18="I","I",IF(I1 C/P IF(H19="I","I",IF(I19="C/P","C/P","14A")1=C/P O IF(H20="I","I",IF(120="C/P","C/P","NA")1=NA 0 C/P IF(H2l="I"," O IF(H22="I","I",IF(122="C/P","C/P","NA")1=NA O 0 IF(H23="I","I",IF(123="C/P","C/P","N 0 C/P IF(H ="I","I",IF(I25="C/P","C/P","NA"))=NA 0 C/P IF(H O 0 0 IF(H27="I","I",IF(127="C/P","C/P","N 0 C/P 0 IF(H28="I"," C/P IF(H IF(H30="I","I",IF(I30="C/P", (H3l="I","I",IF(I31="C/P","C/P","NA"))=NA 0 0 IF(H32="I","I",IF(132="C/P", Y Y 0 C/P IF(H33="I","I",IF(13 Y Y r 0 C/P IF(H34="I"," Y I 0 Y Y 0 C/P IF(H36="I","I",IF(13 Y Y r 0 C/P IF(H37="I"," Y Y 0 C/P IF(H3B="I","I",IF(13 Y Y r I 0 IF(H39="I"," Y 0 Y IF(H40="I","I",IF(I40="C/P","C/P","NA")1=NA 0 IF(H 0 IF(H42="I"," IF(H43="I","I",IF(I43="C/P","C/P","NA")1=NA 0 IF(H44="I","I",IF(I4 IF(H45="I","I",IF(I45="C/P","C/P","NA")1=NA PROT8 Pamela Ehrenkranz I",IF(I46="C/P"I i Charles Falk Y Y 7="C/P","C/P","NA"))=I Andrew Farkas 0 0 Lonnie Fine Y I",IF(149="C/P","C/P",'NA") =I John Fitzgibbons Y I",IF(150="C/P","C/P"," Peter Gaslow ppippi y I",IF(I51="C/P", Edouard Gerschel Y I",IF(I52="C/P","C/P","NS"))=C/P Ari Glass 3="C/P","C/P","NA"))=C/P Don Glickman 0 0 Rich Gold A"))=NA Christopher Goldberg Peter Greatrex 7="C/P","C/P","NA" =NA Bruce Gross Y Y 8="C/P","C/P"." Robert Haier Y I",IF(I59="C/P","C/P","NA") David Halliwill Y I",IF(I60="C/P","C/P","NA" =C P Ira Halperin 61="I","I",IF(I61="C/P" •C/P NA ))=I Cathy Handley Y Y 2="C/P","C/P"," Daniel Heflin I",IF(I63="C/P","C/P","NA"))=C/P Heidi Holterbosch Y I",IF(I64="C/P","C P" "NA" =C P Robert Hull 0 0 Matt Ireland Y "C/P","NA"))=C/P Sonny Jain Y Y Neil Jain Y Y 8="C/P", "C/P•, "NA") )=C/ Michael Jesselson Ken Jones 0 Rich Joslin 0 William Keenan Y I", IF (I72="C/P", "C/P", "Niiii William Howard Keenan Judy Kelly Y I", IF(I74="C/P", C P , NA =C P Avi Kestenbaum 75="I","I",IF(I75="C Pm "C P" "NA" =C/P Adam Kimmel Y Y 6="C/P","C/P m e . - Jeff Kirwood 0 A"))=NA Martin Klein Y Y 8="C/P","C/P","NA"))=C/P Mark Kristoff y 0 A"))=C/P Charles Krusen 80="I","I",IF(I =CP , C , NA =C P Alan Kufeld Y y Y I 0 Philippe Laffont 0 0 Robert Larocca Y I",IF(I83="C/P", Bryan H. Lawrence 4="C/P","C/P","NA"))=NA Bryan R. Lawrence 5="C/P","C/P',"wn It= Richard Leeds Y Y 6="C/P","C/P m r . Peter Leidel Y I",IF(I87="C/P","m a l Criiiiiiiiii Jared Levy Y Y 8="C/P","C/P","NA"))=I =C/P 0 IF(H44="I"," Y I 0 IF(H47="I","I",IF(I4 IF(H4B="I","I",IF(I48="C/P","C/P","NA"))=NA Y r I 0 IF(H49="I"," 0 C/P IF(H50="I"," IF(H51="I"," IF(H52="I"," 0 C/P IF(H53="I',"I",IF(15 IF(H54="I","I",IF(I54="C/P","C/P","NA"))=NA 0 0 IF(H55="I","I",IF(155="C/P","C/F","N O 0 IF(H56="I","I",IF(156="C/P", 0 [repeated 4 times] C/P IF(H57="I","I",IF(15 IF(HSB="I","I",IF(15 O C/P IF(H59="I"," O C/P IF(H60="I"," Y I 0 IF(H C/P IF(H62="I',"I",IF(16 0 0 C/P C/P IF(H63="I"," IF(H64="I"," IF(H65="I","I",IF(165="C/P","C/P","NA"))=NA O C/P IF(H66="I","I",IF(I66="C/P", 0 [repeated 4 times] C/P C/P IF(H67="I',"I",IF(16 IF(H68="I•,"I",IF(16 IF(H69="I","I",IF(169="C/P", IF(H70="I","I",IF(I70="C/P","C/P","NA"))=NA IF(H71="I","I",IF(I71="C/P","C/P","NA"))=NA 0 C/P IF(H72="I"," 0 0 C/P 0 IF073=min,"Im,IF(I73=mc/P", 0 C/P IF(H74="I"," 0 C/P IF(H 0 C/P IF(H76="I',"I",IF(17 IF(H77="I","I",IF(177="C/P","C/P","N 0 C/P IF(H7B="I","I",IF(17 IF(H79="I","I",IF(179="C/P","C/P","N 0 C/P IF(H IF(H8l="I","I",IF(I81="C/P","C/P","NA"))=I IF(HB2="I","I",IF(IB2="C/P","C/P","NA"))=NA 0 IF(HB3="I"," 0 0 IF(H84="I","I",IF(IB 0 0 IF(H85="I","I",IF(IB Y 0 C/P IF(H86="I","I",IF(IB Y Y 0 C/P IF(H87="I"," Y I 0 IF(HBB="I","I",IF(IB PROT9 John Lummis 9="C/P","C/P","NA" =C P Gene Lynch A"))=NA Mel Manion David Manlowe A"))=NA Bryce Markus A"))=NA Kelly Masuda A"))=NA William McBride 5="C/P","C/1","NA" )=I Todd Meister 6="C/P","C/1","N Richard Merage A"))=NA Neal Milch 8="C/P","C/P","NA"))=C/P David Mitchell Erik Moody 0 Catherine Moreatis o,"y/P", )Gary Moriwaki 102="I","I",IF(I102="C/P","C/P","NA") Thomas Murray ","C/P","NA"))=I Alvin Murstein 104="I","I",IF(I104="C/P C P NA ) Andrew Murstein "I",IF(I105="C/P" " Anup Patel A Sandy Pensler Anthony Persico "NA"))=NA George Petrides IF(I109="C/ Deepak Raj A Lewis Ranieri 111="C/P","C/P", Ben Rechler A Julie Richardson 113="I","I",IF(I113="C/P","C/P","NA") Wrili ll. Colby Rollins 114="C/P",• Simon Rose 115="C/P","C/P", Kevin Ryan • I",IF(I116="C/PI, Marla Schaefer "I",IF(I117="C/P","C/P" Karl Schreiber ","C/P","NA"))=NA Mark Seelig Matt A Phillip Shefter "I",IF(I121="C /P Richard Simon RaiSili lM ""=CP 122="C/P","C/P","NA"))=C/P Jamie Smith A Inder Sodhi 124="C/P","C/P","NA" John Straus "NA"))=NA Haresh Tharani Brad Wechsler "NA"))=NA George Weiss 0 /P Andrew Zaro 0 0 Alex Zubillaga Serra 0 0 =C/P 0 C/P IF(H89="I","I",IF(18 O 0 IF(H90="I","I",IF(190="C/P","C/P","N O IF(H91="I","I",IF(191="C/P","C/P","NA"))=NA O 0 IF(H92="I","I",IF(192="C/P","C/P","N O 0 O 0 Y [repeated 6 times] 0 O 0 Y 0 O 0 IF(H93="I","I",IF(193="C/P","C/P","N IF(H94="I","I",IF(194="C/P","C/P","N I 0 IF(H95="I","I",IF(19 C/P IF(H96="I","I",IF(19 IF(H97="I","I",IF(197="C/P","C/P","N C/P IF(H98="I","I",IF(19 IF(H99="I","I",IF(I99="C/P", 0 IF(H100="I","I",IF(I100="C/P","C/P","NA"))=NA 0 C/P IF(H101="I","I",IF(I101="C/P )=I )=C P 0 [repeated 7 times] )=C/P 0 I 0 0 IF(H IF(H103="I","I",IF(I103="C/P 0 0 C/P C/P IF(H IF(H105="I", IF(H106="I","I",IF(I106="C/P","C/P","NA"))=N Y Y 0 C/P IF(H107="I", O IF(H108="I","I",IF(I108="C/P","C/P", Y I 0 IF(H IF(H110="I","I",IF(I110="C/P","C/P","NA"))=N 0 C/P IF(H111="I","I",IF(I IF(H112="I","I",/F(/112="C/P","C/P","NA"))=N 0 C/P IF(H 0 C/P IF(H114="I","I",IF(I 0 C/P IF(H115="I","I",IF(I 0 0 C/P IF04116="I", C/P IF04117="I", 0 0 IF(H118="I","I",IF(I118="C/P IF(H119="I","I",IF(I119="C/P","C/P","NA"))=NA O IF(H120="I","I",IF(I120="C/P","C/P","NA"))=N Y Y r 0 C/P IF04121="I", Y Y 0 C/P IF(H122="I","I",IF(I O IF(H123="I","I",IF(I123="C/P","C/P","NA"))=N Y Y 0 C/P IF(H124="I","I",IF(I O 0 IF(H125="I","I",IF(I125="C/P","C/P", Y Y r 0 C/P IF(H126="I", O 0 IF(H127="I","I",IF(I127="C/P","C/P", C/P IF(H128="I","I",IF(I128="C/P","C/P","NA"))=C IF(H129="I","I",IF(I129="C/P","C/P","NA"))=NA 0 C/P IF(H PROT10 130="I","I•,IF(I130="C/ • I/ II Lloyd Zuckerberq Y Y r 0 C/P IF(H131=•I", 'I",IF(I Kristin Y 0 C/P IF(H132="I","I•,IF(I 132="C/P",°C/P m e N NA"))=C/P For internal use only PROT11 Stew Contacts Client/ Prospect Alex Green Annandale Anschutz 80202 Arcus Arcus 5 BBR 7 Blank Bluestem 22902 Bright Group Caruso Affiliated 90036 Caruso (Richard) PA 19085 Caruso (Richard) anova PA 19085 CFM 2 CFM 2 Cox Dock Street 19406 Donabedian 0 Dorrance Dorrance Duncan Edge 7 Edge 7 Edge 7 Essig Everwatch 06830 Everwatch 06830 Everwatch 0 Ford Forrestal Forrestal Georgetown 7 Glenmede PA 19103 Granite Group 187 Danbur Road Guilford Highlander 1 Hillspire 5 Hillspire 5 Iconiq Ill ig Ill ig Infinity Q Infinity Q Irons ides JL squared 19104 JL squared 19104 Lindemann m20 90071 Nicholas 6 Nicholas Emaill Addressl City State Zip 911 Carriage Way Southlake 325 North St. Paul Street Suite 3500 Dallas TX 75201 555 Seventeenth Street, Suite 2400 TX 76092 Denver CO 060 Peachtree Rd. NW Suite 1880 Atlanta GA 30305 3060 Peachtree Rd. NW Suite 1880 Atlanta GA 3030 140 E. 45th Street, 26th Floor New York NY 1001 32 21 3223 How 11 Mill Road, Northwest Atlanta 212 E. Main Street, Suite 201 Road Summersville 101 The Grove Drive GA 30347 Charlottesville VA WV 26651 Los Angeles 95 E. Lancaster Avenue Suite 200 795 E. Lancaster Avenue Suite 720 University Avenue, Suite 200 Los Gatos CA 720 University Avenue, Suite 200 Los Gatos CA 2100 McKinne Ave, Suite 1700 Dallas TX 510 Feheley Drive 200 Technecenter Drive, Suite 200 00 Louisiana Street, Suite 5200 Houston 1380 W. Paces Ferry Rd. Suite 1000 174 Nassau Street 1320 Princeton 8 Sound Shore Drive, Suite 200 8 Sound Shore Drive, Suite 200 CA Villanova 200 Vill 9503 9503 75201 King of Prussia PA Milford OH TX 77002 Atlanta GA NJ 08542 Greenwich 4515 3032 CT Greenwich CT 8 Sound Shore Drive, Suite 200 Greenwich Court Suite 1365 Dallas 1450 Brickell Avenue 1450 Brickell Avenue otomac Street Suite 301 TX 75021 Miami FL Miami FL Washington CT 0683 33131 33131 DC 2000 1650 Market Street Suite 1200 Philadelphia Wilton CT 06897 P.O. Box 13439 Richmond VA 300 Crescent Court Suite 550 1010 El Camino Real, Suite 200 1010 El Camino Real, Suite 200 Menlo Park Menlo Park 394 Pacific Ave, 2nd Floor San Francisco 394 Pacific Ave, 2nd Floor San Francisco 394 Pacific Ave, 2nd Floor San Francisco 8900 State Line Road 5th Floor Leawood 8900 State Line Road 5th Floor Leawood KS th Avenue New York NY th Avenue New York NY arrytown Center Rocky Mount 2929 Arch Street, 13th Floor 2929 Arch Street, 13th Floor 515 South Figueroa Street, Suite 1050 Los Angeles 15 Enterprise, Ste. 550 Aliso Viejo 23225 Dallas TX CA CA 7520 9402 9402 CA 94111 CA 94111 CA 94111 KS 66206 66206 10106 10106 NC 27804 Philadelphia PA Philadelphia PA CA CA 9265 PROT12 Orix 1717 Main Street, Suite 1100 Dallas TX 75201 Parami 6 East 74th Street New York NY 10021 Parami 6 East 74th Street New York NY 10021 Roger Bulloch Las Vegas NV Shamrock 3500 W. Olive Avenue, Suite 700 Burbank CA 91505 Slome 150 East 58th Street, 34th Floor New York NY 10155 Slome 150 East 58th Street, 34th Floor New York NY 10155 Snyder 11900 River Road Potomac MD 20854 Sonen Capital 50 Osgood Place, Ste. 320 San Francisco CA 9413 3 Sonen Capital m 50 Osgood Place, Ste. 320 San Francisco CA 94133 Spruce 263 Tresser Blvd, 15th Floor Stamford CT 0690 1 Spruce 263 Tresser Blvd, 15th Floor Stamford CT 0690 1 Stiritz Stiritz Thomson 65 Queen Street West Suite 2400 Toronto ON, Canada M5H 2M8 True Nor 8350 N. Central Expressway, Ste. 725 Dall as TX United Company 1005 Glenway Avenue Bristol VA 24201 Willett New York NY DO NOT SEND: Merage 660 Newport Center Drive. Suite 1300 Newport Beach CA 9266 0 DART Windward 3, Regatta Office Park Grand Cayman Cayman Islan ds KY1-1206 PROT13 Notes 10.15 Relationship Name First Last Email JPM Twin-Win SPX MS Accelerated Retur n SPX/RTY MS Accelerated Return EuroStoxx 50 MS Accelerated return SPX MS Phoenix A utoCall AAPL CS Digital SPX/RTY CS Digital EuroStoxx 50 JPM 12M AutoCall SPX/RTY JPM 15M AutoCall SPX/RTY Forrestal Capital Annette Franqui SK Family Offic h rl Br' Ironsides AM Forrestal Capital Jonathan Snyder, Daniel Karl Schreiber Makan, Divesh PROT14