EFTA Document EFTA01460690

Transactions Monday Marc!, 24. 2014 KCP Weekly Business Review Revenue-Pipeline deals-Transactions closed-Client updates-Trade ideas UR;Mate T ride Client BanesWI OWNS Ticket Expected e Expected Delta Rev Estimated Annual Rewnue Relationship NNA Menefee Channel KCP US Transact ions closed 11 darn 11.1rern GapreowCapttei Partners Chas J Aoto Prudental CLO $30nim 1200,00095% 503.000 Mark Gonzales PS 2 JVN Properbes Jack Tmfrpson Turbo Call Spread SO errrn 100.000 103% 100003 Edward Maier PCS 4 Ghettos Gallagher Chadee Gallagher Yacht Low (Protect Genrobrel $130mm 5.000.03095% 5.000.000 Mke le:Carthy PS 5 Dan Loeb Yacht Put S3rrm 5000.03095% 5000.000 Rowney Vrablic PS Anabacher Bahamas Canttean CLN SI Omm 300000 103% 500000 Anton Mandate PCS Office Nen Yak Owego Chmego New Yak Minns KCP Investor Type Thorn* Monte Randal Funds/ 14F David Mann Private Investment Co Worms °Rorke Mesa- That Loan /Trust David Mann David Mean oduci Focus PIN. SOF in, nia Mild Proton Inward S • itfitt i.0 B., Ticket Sae Expected Revenue Estimated Relationship Delta Annual NSA Channel Mee Mamma' Revenue MCP Investor Type KCPLATNA TlengliftMetSebeled 0 btrn Arizona Gadd Default Step on °Wan Bank S5rrrn 50,000 2 Drake ETF SSCrirn 18.003 3 Stars Money market fund Sl2Orren TEO 4 Ann Forney Suutu red Note S5rron 10.000 5 Fundacion Structured Notes with Fundacion S2rren 20,003 Gold ETF sale and switch into Gott Bullion $20ren TEO Feted timorne 010 turnaround SlOnw 00003 Otont Ultimate Trade Beneficial Owner Ticket Size Expec ted enue Rev Delta Et3 ti ^1.11.N: Annual Revenue NSA WIC US TransettiOne Closed Norman Tulchm EX Option USODPY SI sem 12000 100 50.000 12000 2 Norman Tuktin EX Option USOWN 53 erern 12000 100 50.000 12000 Chaim Kattfren 4 5 Restricted stock sale 1000) 100 10.000 .1IC uct FOCIA. SOF II Reim:ow-tip Channel Otl,co Manager Stcsan R....-vcr. PR nem P8 Catlos izw.eta PB :es Lngnles -os Angelo., Minor WIC Investor Typo ,tospoh Co9-or. Cotfror COlt.or Client Unimate Beneficial Owner Trade Expected Estimated Ticket See Ren, nue Delta Annual NNA Revenue Relatonship Channel Dflme Manager WIC Investor Typo INC LAW/ Transactions closed 2 3 4 S L'r0,3a c1 QC.," For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0122131 SDNY_GM_00268315 EFTA01460690