EFTA Document EFTA01463581

report1375278250600 1 Opportunity Name Customer Name Type Stage Probability Sales Credit Close Date Product Name Actual Assets Recurring Fee Structure BPS/Flat Fee Amount ($) One-time Fee Amount Actual Revenue Approver Approval Status Description Airplane Loan Fitzgibbons, John New Product - New Client 11/15/2013 U.S. Structured Lending (Secured) 10000000 Sarita Medina Not Reviewed Airplane Finanching Tharani, Haresh 11/12/2013 U.S. Structured Lending Sarita Medina Not Reviewed Black Family Partners, L.P.- Black Family osal 0.50 1 9/26/2013 U.S. 0 Sarita Medina Not Reviewed Murstein, Alvin- Murstein, Alvin New Product - New Client 9/12/2013 U.S. Secured Lending (Lombard) 50000000 BPS ta Medina Not Reviewed Candover Investments- Candover Investments 1 11/14/2013 U.S. Letter of Credit 10000000 ta Medina Not Reviewed Merit Energy- Merit Energy 0/2013 U.S. Letter of Credit 10000000 Reviewed Avista Avista Capital Partners /2013 10000000 Reviewed Lime Rock Lime Rock Partners 9/16/2013 10000000 a Not Reviewed Deerpath Capital Management- Deerpath Capital Management loped 0.25 1 9/24/2013 300000 Sarita Medina Not Reviewed HG Capital- HG Capital /2013 10000000 Reviewed Asset Management Purchase Lawrence, Bryan New Product 1 9/13/2013 20000000 ta Medina Not Reviewed EnCap Flatrock EnCap Flatrock Midstream 1 10/10/2013 10000000 ta Medina Not Reviewed Line of Credit Cummings, Ian /2013 25000000 Reviewed SCF Partners- SCF Partners 8/2013 U.S. Letter of Credit 10000000 Reviewed Medallion Loan Corrigan, Patton 11/19/2013 25000000 a Not Reviewed EnCap EnCap Investments 6/2013 U.S. Letter of Credit 10000000 Reviewed Viola, Vincent- Viola, Vincent /2013 25000000 Reviewed Credit Line 2/2013 U.S. 50000000 Reviewed Warren, Glenn- Warren, 2/2013 U.S. IA - RCM Fitzgibbons, John- 1 10/17/2013 Standard Mortgage - Diane Minarczyk Not Reviewed Meister, Todd- Meister, Todd New Product /2013 Standard Mortgage - Floating Arm zyk Not Reviewed 6200 Hollywood Deal Schaefer, Marla New Product 7/30/2013 Real Estate Funds 5000000 - Reviewed 1 7/31/2013 Not Reviewed Cummings, 7/31/2013 5000000 - Reviewed 1 7/31/2013 Not Reviewed Gottesman, Noam Letter of Credit Meister, Robert A. Ian (Secured) 10000000 New Product - New Product - Prospecting 0.10 1 0 Prospecting 0.10 1 0 Partners, L.P. Secured Lending (Lombard) 100000000 New Client New Client New Product New Product - New Product - New Client BPS 100 New Client New Product [repeated 4 times] Glenn New Product 50000000 Prop Developed 0.25 1 200 - 1000000 Sari Prospecting 0 Prospecting 0 Prospecting 0 0.10 Sari 0.10 1 11/2 Sarita Medina Not 0.10 1 8/19 Sarita Medina Not Prospecting 0.10 1 New Product - 30000000 Prospecting 0 - New Client BPS 200 - New Client Proposal 250000 Prospecting 0 - New Client BPS 100 New Client New Client BPS 100 New Client New Client New Product Floating Arm - New Client 7000000 BPS 0 Sarita Medin New Client BPS 100 Deve 0.10 1 9/23 Sarita Medina Not Developed 0.25 400000 Developed 0 Sari 0.25 Sari 0.50 1 9/12 Sarita Medina Not 0.10 1 11/1 Sarita Medina Not Developed 250000 Developed 0 Developed 250000 Developed 0 0.25 1 Sarita Medin 0.25 1 Sarita Medina 0.25 1 Sarita Medina 0.25 1 Sarita Medina Developed 0.25 0 Brian Biggar - New Client 4000000 - - New Client Developed 200 New Product - New 5000000 - New Product - New Client New Product - New Client Gerschel, Patrick New Product - New 5000000 - Client Client 10/1 Not 11/7 Not 10/2 Not 1 11/2 Not Reviewed Developed 0.25 1 140000 Diane Prospecting 0.10 O Brian Biggar Prospecting O Brian Prospecting 0.10 O Brian Biggar Prospecting O Brian 0.25 0 7/15 Minarc 1 Not 0.10 Biggar 1 Not 0.10 Biggar PROT0 1 7/31/2013 Not Reviewed Bronfman, Edgar 7/31/2013 Reviewed - Tharani, Haresh 7/31/2013 Reviewed - Milton Academy- Milton Academy 4/2013 PWM-IA Advisor Select Reviewed - Jain, Sunil- Jain, Sunil Developed 7/2013 Private Wealth Premium Checking w/Interest 25000000 - Michael Gotimer Not Reviewed - Deposits Bryant Jr., Donald Developed 11/21/2013 Private Wealth Premium Checking w/Interest 10000000 - 0 - Southern Financial LLC- Southern Financial LLC New Product - New Client Proposal 100000000 - Gotimer Not Reviewed - Meister, Robert A. Developed 25000000 - Gotimer Not Reviewed - Inc.- Southern Trust Company, Inc. Prop 10/22/2013 100000000 0 SK Family Office 1 10/7/2013 0 Michael M- eister, Robert A.- 1 12/11/2013 0 Michael S- outhern Trust Company, osal 0.50 1 Bronfman, Edgar Bronfman, Edgar New Product - New Client Developed 8/2013 Private Wealth Premium Checking w/Interest 25000000 - - Murstein, Andrew- Murstein, Andrew Developed 1 11/13/2013 10000000 - 0 - SK Family Office- New Product - New 1 11/19/2013 Private Wealth Premium Checking 25000000 - Zaro, Andrew- Zaro, Andrew 4/2013 Private Wealth Premium Checking 50000000 - mer Not Reviewed - KKR Deal Tharani, Haresh - /2013 Hedge Funds 5000000 KKR Deal Jain, Sunil - /2013 Hedge Funds 5000000 KKR Deal Milch, Neal - /2013 Hedge Funds 5000000 - - KKR Deal Gaslow, Peter New Product - /2013 Hedge Funds 5000000 - - KKR Deal Britton, Charles New 7/15/2013 Hedge Funds 5000000 - K- KR Deal Cline, - /2013 Hedge Funds KKR Deal Klein, - /2013 Hedge Funds CIO Strategies Simon, Richard M. New Product 10/21/2013 Global Select - Equities/Balanced Brian Biggar Not Reviewed - Wilson, Welcome- Wilson, 11/11/2013 Commercial Real a Not Reviewed - Commercial Mortgage 1 10/22/2013 a Not Reviewed - Epstein, Jeffrey- 1 11/11/2013 Needed Not Reviewed - Petrides, George- 1 11/10/2013 - Hyman, Ed- Hyman, Ed - /2013 Brokerage (Commissions) 20000000 Reviewed - Brokerage Account Cummings, Ian New Product 9/12/2013 Brokerage (Commissions) 10000000 Not Reviewed - Tharani, Haresh- Tharani, Haresh New Product 12/13/2013 Brokerage (Commissions) 30000000 Not Reviewed - Richardson, Julie G.- Richardson, Julie G. New New Product - New 5000000 - 5000000 - 5000000 - 40000000 BPS 200 New Product [repeated 3 times] New Client 0 New- Client 0 Client Proposal Prospecting Brian Biggar Prospecting Brian Biggar Developed 0.50 0 11/1 0 0.25 0.25 0 1 10/2 Michael Goti 0.10 1 Not Reviewed 0.10 1 Not Reviewed 7/24 7- /23 New Product New Client Prospecting 0.10 1 7/24 - 0 Brian Biggar Not Reviewed - New Client Prospecting 0.10 1 7/23 - 0 Brian Biggar Not Reviewed - Product - New Client Prospecting 0.10 1 - - 0 Brian Biggar Not Reviewed Michael New Product 5000000 - Martin New Product 5000000 - New Client 0 New- Client Prospecting Brian Biggar Prospecting 0.10 1 0 Brian Biggar Not Reviewed - New Client Developed 0.25 25000000 Welcome New Product - New Client Estate 200000000 Commercial Real Estate Epstein, Jeffrey Brokerage (Commissions) Client Prospecting 0.10 O Brian Biggar Prospecting 0.10 1 O Brian Biggar Not Prospecting O Brian 0.10 1 Biggar Not Developed 0.25 1 800000 Brian Biggar BPS 100 New Product 5000000 - New Product 50000000 Petrides, George New Product Brokerage (Commissions) 10000000 New Client BPS - New Client [repeated 5 times] 0.25 0.25 1 0.10 1 Not Reviewed 1 11/1 Not 10/1 0 0.25 1 0.50 0.25 7/24 7- /24 1 0 Prospecting 0.10 1 2000000 Sarita Medin Developed 0 Product - New Developed 0.25 O Sarita Medin Proposal 0.75 0 Not Developed 0 0.25 Not 0.25 1 9/20 Not Needed Not Developed 0 Developed 0 0.25 1 Not Needed 0.25 1 Not Needed Client Proposal 0.50 PROT1 1 11/15/2013 Britton, Charles- 1 11/20/2013 TOMS Capital LLC- 1 10/22/2013 Patriot Strategy Partnersosal 0.75 1 0 Not Needed Brokerage Account 9/17/2013 Not Reviewed William Howard- 10/17/2013 Not Reviewed Lawrence- 1 Needed Keenan, 1 Needed Gas low, 1 10/16/2013 Gaslow, Peter- Gaslow, Peter 1/2013 Brokerage (Commissions) Reviewed Gerschel, Patrick- 1 11/5/2013 Brody, Cary- Brody, Cary 2/2013 Brokerage (Commissions) Reviewed Brokerage Zaro, Andrew 5/2013 Brokerage (Commissions) Reviewed Leidel, Peter- Leidel, Yorktown Partners LLC- Heravi, Amanda- Heravi, Durkin, David- Durkin, Ireland, Matthew- Goldman, Budd- N- ir, Dan- Goldman, Budd 0 N- ir, Dan 0 Taxel, Nelson- Taxel, Nelson 0 Alagappan, Arun - - 0 Not Blatt, Mitchell - - 0 Not Glimcher, Arnie - 0 Not Prospecting N- ot Needed Not Prospecting Not Needed Not Prospecting Not Needed Not - Prospecting 0.10 O Not Needed Not Reviewed Lindsay, Robert - Prospecting 0.10 - 0 Not Needed Not Reviewed J. - Prospecting 0.10 1 - - 0 Not Not Reviewed - - Prospecting 5/31/2013 Not Needed Not - Prospecting O Not Needed Not Purcell, Thomas - Prospecting 0.10 - 0 Not Needed Not Reviewed Salzman, Richard - Prospecting - - 0 Not Needed Not Reviewed Chou, Silas K.F. - Prospecting 0.10 - - 0 Not Needed Not Reviewed Dinaker - Prospecting 0.10 1 5/31/2013 - O Not Needed Not Reviewed - Ayres, Dillaway - Prospecting 0.10 1 2/28/2013 Alagappan, Arun- Blatt, Mitchell- Glimcher, Arnie- Kalikow, Peter- Kelly, Judy- Hatfield, Jay- Fine, Lonnie- Lindsay, Robert- Britton, Charles T- OMS Capital LLC 30000000 BPS 10000000 50000000 Patriot Strategy Partners 11/8/2013 Not Reviewed Brokerage (Commissions) 25000000 Keenan, William Howard Gas low, Lawrence 25000000 25000000 25000000 Gerschel, Patrick New Product Brokerage (Commissions) 15000000 Peter 10000000 10000000 - Prospecting O Not Needed Not Yorktown Partners LLC - 0 Not Amanda - Prospecting O Not Needed Not David - Prospecting O Not Needed Not Ireland, Matthew - 0 Not - Prospecting Not Needed Not - Prospecting Not Needed Not - Prospecting Not Needed Not Kalikow, Peter 0 Kelly, Judy 0 Hatfield, Jay 0 Fine, Lonnie Ellman, Stuart J.- Ellman, Leeds, Richard- Leeds, Richard 0 Porter, Alex- Porter, Alex Purcell, Thomas- Salzman, Richard- Chou, Silas K.F.- Singh, Ayres, Dinaker- S- ingh, Dillaway- Developed 0 - New Client BPS 100 Proposal 0 Developed 0 Proposal 0 0.25 1 Not Needed 0.25 Not 0.25 Not Prop 0.50 Not 0.25 Not 0.50 Not 11/1 Not Developed 0.25 150000 Not Proposal 0.75 1 O Not Needed Developed 0.25 1 O Not Needed 0.10 1 8/31/2013 Reviewed - Prospecting 0.10 1 Needed 0.10 Reviewed 0.10 Reviewed Prospecting 0.10 Needed Not Reviewed 0.10 Reviewed 0.10 Reviewed 0.10 Reviewed Not Reviewed - 1 5/31/2013 1 5/31/2013 1 5/31/2013 11/1 Not 10/1 Not 5/31/2013 5/31/2013 Prospecting 0.10 1 5/31/2013 Needed Not Reviewed - Prospecting 0.10 1 5/31/2013 Needed Not Reviewed - Prospecting 0.10 1 2/28/2013 Needed Not Reviewed 0.10 Reviewed 0.10 Reviewed 0.10 Reviewed - 0 Not Developed 0 Developed 0 25000000 Stuart Needed 0.10 Reviewed 0.10 Reviewed 1 5/31/2013 1 5/31/2013 1 5/31/2013 5/31/2013 1 5/31/2013 0- .10 1 5/31/2013 1 5/31/2013 PROT2 - 0 Not Needed Holterbosch, Heidi- Holterbosch, Heidi - [repeated 6 times] 0 Not Cline, Michael- Cline, Michael - Prospecting - 0 Not Needed Not DeNatale, Robert - 0 Not Cannella, Adrienne - 0 Not Lichtenstein, Warren - [repeated 6 times] 0 Not James - Prospecting - 0 Not Needed Not Keynejad, Jamshid- Keynejad, Jamshid - [repeated 6 times] 0 Not Weiss, George- Weiss, George - Prospecting - 0 Not Needed Not Glickman, Donald- Glickman, Donald - Jain, Neil- Jain, Neil - 0 Cummings, John- Cummings, John - 0 Milch, David- Milch, David - 0 Barry, Mitchell- Barry, - Trafelet, Remy- Trafelet, Remy - 0 Siris Capital- Siris Capital - 0 Husain, Fazle- Husain, Fazle - 0 Kristoff, Mark- Kristoff, Mark - - 0 Cooper, Frederick- Cooper, Frederick 0 Not Dinan, Jamie- Dinan, Jamie Prospecting - 0 Not Needed Not Shanken, Marvin- Shanken, Marvin - Prospecting 0.10 - 0 Not Needed Not Reviewed Siegel, Jerome- Siegel, Jerome - Prospecting 0.10 1 - 0 Not Needed Not Reviewed - Brandis, Steve- Brandis, Steve - Prospecting - 0 Not Needed Not Steller, Cary- Staller, Cary - Prospecting - 0 Not Needed Not Silvestri, Angelo- Silvestri, Angelo - [repeated 6 times] 0 Not Tablada, Maro- Tablada, Maro - Prospecting - 0 Not Needed Not Bommer, Scott- Bommer, Scott - Prospecting - 0 Not Needed Not DeNatale, Robert- Cannella, Adrienne Lichtenst- ein, Warren- Zelter, James- Zelter, Cushman, Rodney- Packer, M- arc- P- acker, W- ebster, - Steven- Harvey, Berger- H- arvey, Berger 0 Dodd, Ryan- Dodd, Ryan 0 Pensler, Sandy- Pensler, Sandy 0 Rose, Simon- Stillman, Bruce- Aston, Sherrell- - Siadet, Barry- - 0 Not - Prospecting Not Needed Not - Prospecting Not Needed Not - Prospecting Not Needed Not Not Reviewed - Prospecting 0.10 1 Needed Not Reviewed - 0.10 1 5/31/2013 Reviewed - Prospecting 0.10 Needed Not Reviewed Prospecting 0.10 Needed Not Reviewed Prospecting Needed Not 0.10 1 Reviewed Prospecting Needed Not 0.10 1 Reviewed Prospecting Needed Not 0.10 1 Reviewed 0.10 Reviewed 0.10 Reviewed 1 1 Mitchell - Prospecting 0.10 0 Not Needed Not Reviewed - Prospecting 0.10 1 Not Needed Not Reviewed - Prospecting Not Needed Not Prospecting Not Needed Not Prospecting Not Needed Not 0.10 1 Reviewed 0.10 Reviewed 0.10 Reviewed Prospecting 0.10 1 Needed Not Reviewed - 0.10 1 5/31/2013 Reviewed - 1 0.10 1 Reviewed - 2/2B/2013 0.10 1 Reviewed - 2/2B/2013 0.10 1 Reviewed - 5/31/2013 [repeated 7 times] 2/28/2013 5/31/2013 1 5/31/2013 -5 /31/2013 8/31/2013 5/31/2013 5/31/2013 0.10 1 Reviewed 0.10 1 Reviewed Prospecting 0.10 1 Needed Not Reviewed - 0.10 1 5/31/2013 Reviewed - 0.10 1 5/31/2013 Reviewed - Bhalla, Ajay- Bhalla, Ajay - Prospecting 0.10 1 5/31/2013 - 0 Not Needed Not Reviewed - Burgstahler, David- Burgstahler, David - Prospecting 0.10 1 - 0 Not Needed Not Reviewed - Silbert, Ben - Prospecting 0.10 1 5/31/2013 - 0 Not Needed Not Reviewed - Cushman, Rodney - Prospecting 0.10 - 0 Not Needed Not Reviewed Marc - Prospecting 0.10 1 0 Not Needed Not Reviewed - Webster, Steven - Prospecting 0.10 - 0 Not Needed Not Reviewed 5/31/2013 1 5/31/2013 Silbert, Ben- - Prospecting Not Needed Not Prospecting Not Needed Not Prospecting Not Needed Not 0.10 Reviewed 0.10 Reviewed 0.10 Reviewed Rose, Simon - Prospecting 0.10 - 0 Not Needed Not Reviewed Stillman, Bruce - Prospecting 0.10 - - 0 Not Needed Not Reviewed Aston, Sherrell - Prospecting 0.10 - - 0 Not Needed Not Reviewed Siadat, Barry - Prospecting 0.10 1 - 0 Not Needed Not Reviewed - 1 5/31/2013 5/31/2013 1 5/31/2013 2- /28/2013 1 5/31/2013 1 5/31/2013 1 5/31/2013 2- /28/2013 PROT3 Kwon, OhSang- Kwon, OhSang - Prospecting - 0 Not Needed Not Kimmel, Adam- Kimmel, Adam - Prospecting O Not Needed Not Laffont, Philppe - 0 Not Laf font, Philppe- 0.10 1 5/31/2013 Reviewed 0.10 1 5/31/2013 Reviewed Prospecting 0.10 1 Needed Not Reviewed Kargman, Harry- Kargman, Harry - Prospecting 0.10 1 5/31/2013 O Not Needed Not Reviewed - Prospecting 0.10 Needed Not Reviewed - Prospecting 0.10 Not Needed Not Reviewed - Prospecting 0.10 - 0 Not Needed Not Reviewed Stroll, Lawrence - Prospecting 0.10 - - 0 Not Needed Not Reviewed Bradley, Thomas - Prospecting 0.10 1 - 0 Not Needed Not Reviewed James - Prospecting 0.10 1 O Not Needed Not Reviewed - Feldstein, Andrew - Prospecting 0.10 1 - - 0 Not Needed Not Reviewed - Daniels, Joseph- Overstrom, Gunnar- Goodwin, Keirnan- Stroll, Lawrence- Bradley, Thomas- Staley, James- Staley, Feldstein, Andrew- - Daniels, Joseph - - 0 Not Overstrom, Gunnar 0 Goodwin, Keirnan 1 5/31/2013 5/31/2013 1 -5 /31/2013 5/31/2013 2/28/2013 PROT4 Structured Lending Customer Name Stage Probability al Assets Close Date Product Name Actu Airplane Loan Prospecting ing (Secured) 10000000 0.10 11/15/2013 U.S. Structured Lend Airplane Finanching Tharani, Haresh Prospecting ing (Secured) 10000000 0.10 11/12/2013 U.S. Structured Lend Black Family Partners, L.P.- Black Family Partners, L.P. Proposal 0.50 9/26/2013 U.S. Secured Lending (Lombard) 100000000 Murstein, Alvin- Murstein, Alvin Developed 0.25 (Lombard) 50000000 Total for Structured Lending SUM(G2:G7)0000000 9/12/2013 U.S. Secured Lending PROT5 Letter of Credit Customer Name Stage Probability al Assets Candover Investments- Candover Investments Prospecting 0.10 of Credit Merit Energy- 0000 Avista Avista 0000 Lime Rock t 10000000 Deerpath Capital Management- Deerpath Capital Management Developed 30000000 HG Capital- HG Capital Prospecting 0.10 9/23/2013 0000 Asset Management Purchase Lawrence, Bryan Developed 0.25 of Credit 20000000 EnCap Flatrock EnCap Flatrock Midstream Developed 0.25 of Credit 10000000 Line of Credit Cummings, Ian Proposal 0.50 9/12/2013 0000 SCF Partners- SCF Partners Prospecting 0.10 11/18/2013 0000 Medallion Loan Corrigan, Patton Developed t 25000000 EnCap EnCap Investments Developed 0.25 10/16/2013 1000 0000 Viola, Vincent- Viola, Vincent Developed 0.25 11/7/2013 2500 0000 Credit Line Gottesman, Noam Developed 0.25 10/22/2013 5000 0000 Total for Letter of Credit SUM(G2:G17)%5000000 10000000 Merit Energy Prospecting 0.10 Capital Partners Prospecting 0.10 Lime Rock Partners Prospecting 11/20/2013 8/19/2013 0.10 9/16/2013 Close Date Product Name Actu 11/14/2013 U.S. Letter 1000 1000 U.S. Letter of Credi 0.25 9/24/2013 1000 9/13/2013 U.S. Letter 10/10/2013 U.S. Letter 2500 1000 0.25 11/19/2013 U.S. Letter of Credi PROT6 IA - RCM Customer Name Stage Probability Close Date Product Name Actu al Assets Warren, Glenn- Warren, Glenn Developed 0.25 11/22/2013 U.S. IA - RCM 50000000 Total IA 50000000 PROT7 Standard Mortgage Customer Name Type Stage Probability Close Date Product Name Actual Assets Fitzgibbons, John- Developed 0.25 10/17/2013 Standard Mortgage - Floating Arm 4000000 Meister, Todd- Meister, Todd Developed 0.25 7/15/2013 Standard Mortgage - Floating Arm 7000000 Total Standard Mortgage SUM(H2:H6)000000 PROT8 Customer Name uct Name Actual Assets Schaefer, Marla Funds 5000000 Meister, Robert Estate Funds 5000000 Cummings, Ian Funds 5000000 Estate Funds 5000000 Estate Funds 5000000 Bronfman, Edgar Funds 5000000 Tharani, Haresh Funds 5000000 Total SUM(H2:H10)5000000 Gerschel, Patrick Stage Probability Sales Credit Close Date Prod Prospecting 0.10 1 7/30/2013 Real Estate A. Prospecting 0.10 1 7/31/2013 Real Prospecting 0.10 1 7/31/2013 Real Estate Prospecting 0.10 1 7/31/2013 Real Prospecting 0.10 1 7/31/2013 Real Prospecting 0.10 1 7/31/2013 Real Estate Prospecting 0.10 1 7/31/2013 Real Estate PROT9 PWM IA Customer Name Stage Probability Sales Credit Close Date Prod uct Name Actual Assets Milton Academy- Milton Academy Developed 0.25 1 11/14/2013 PWM-IA Advisor Selec t 40000000 Total SUM(H2:H5)@000000 PROT10 Checking Customer Name Stage Probability Close Date Product Name Actu al Assets Jain, Sunil- Jain, Sunil 0.25 ing w/Interest 25000000 Deposits Bryant Jr., Dona um Checking w/Interest 10000000 Southern Financial LLC- Southern th Premium Checking w/Interest Meister, Robert A.- Meister, th Premium Checking w/Interest Southern Trust Company, Inc.- Private Wealth Premium Checking Bronfman, Edgar Bronfman, Edgar ing w/Interest 25000000 Murstein, Andrew- Murstein th Premium Checking w/Interest SE Family Office- SK Famil th Premium Checking 25000000 Zaro, Andrew- Zaro, Andrew ing 50000000 Total Checking SUM(G2:G13)70000000 Developed Id Developed 10/17/2013 0.25 11/21/2013 Financial LLC Proposal 0.50 100000000 Robert A. Developed 0.25 25000000 Southern Trust Company, Inc. Proposal w/Interest 100000000 Developed 0.25 11/18/2013 , Andrew 10000000 y Office Proposal Developed Developed 10/7/2013 12/11/2013 0.50 Private Wealth Premium Check Private Wealth Premi Private Weal Private Weal 10/22/2013 Private Wealth Premium Check 0.25 11/13/2013 0.25 11/19/2013 0.50 10/24/2013 Private Weal Private Weal Private Wealth Premium Check PROT11 Hedge Funds uCt Name Customer Name Stage Actual Assets Probability Sales Credit Close Date Prod KKR Deal Tharani, Haresh Prospecting 0.10 1 7/24/2013 Hedge Funds 5000 000 KKR Deal Jain, Sunil Prospecting 0.10 1 7/23/2013 Hedge Funds 5000 000 KKR Deal Milch, Neal Prospecting 0.10 1 7/24/2013 Hedge Funds 5000 000 KKR Deal Gaslow, Peter Prospecting 0.10 1 7/23/2013 Hedge Funds 5000 000 KKR Deal Britton, Charles Prospecting 0.10 1 7/15/2013 Hedge Funds 5000000 KKR Deal Cline, Michael Prospecting 0.10 1 7/24/2013 Hedge Funds 5000 000 KKR Deal Klein, Martin Prospecting 0.10 1 7/24/2013 Hedge Funds 5000 000 Total KKR SUM(H2:H11)5000000 PROT12 CIO Strategies Customer Name Stage Probability Close Date Product Name Actu al Assets CIO Strategies Simon, Richard M. Developed 0.25 10/21/2013 Global Select - Equi ties/Balanced 25000000 Total CIO Strategies SUM(G2:G4)%000000 PROT13 Commercial Real Estate al Assets Wilson, Welcome- te 200000000 Commercial Mortgage Fitzgibbons, eal Estate 5000000 Total SUM(G2:G8) 5000000 Customer Name Wilson, Welcome John Stage Probability Close Date Product Name Actu Prospecting 0.10 11/11/2013 Commercial Real Esta Developed 0.25 10/22/2013 Commercial R PROT14 Brokerage al Assets Epstein, Jeffrey- Epstein, Jeffrey Proposal ommissions) 50000000 Petrides, George- Petrides, George Developed ommissions) 10000000 Hyman, Ed- Hyman, Ed Developed 0.25 0000 Brokerage Account Cummings, Ian Developed ns) 10000000 Tharani, Haresh- Tharani, Haresh Developed ns) 30000000 Richardson, Julie G.- Richardson, Julie G. Proposal ommissions) 30000000 Britton, Charles- Britton, Charles Developed ommissions) 10000000 TOMS Capital LLC- TOMS Capital LLC Developed ommissions) 50000000 Patriot Strategy Partners- Patriot Strategy Partners Brokerage (Commissions) 25000000 Brokerage Account Proposal ommissions) 25000000 Keenan, William Howard- Keenan, William Howard Developed ommissions) 25000000 Gaslow, Lawrence- Gaslow, Lawrence Proposal ommissions) 25000000 Gaslow, Peter- Gaslow, Peter Developed 0000 Gerschel, Patrick- Gerschel, Patrick ommissions) 15000000 Brody, Cary- Brody, Cary Proposal 0.75 0000 Brokerage Zaro, Andrew Developed 0.25 0000 Total Brokerage SUM(G2:G22)70000000 Customer Name Stage Probability 9/20/2013 0.25 0.25 Close Date Product Name Actu 0.75 11/11/2013 Brokerage (C 0.25 11/10/2013 Brokerage (C Brokerage (Commissions) 2000 9/12/2013 12/13/2013 0.50 0.25 0.25 Brokerage (Commissio Brokerage (Commissio 11/15/2013 11/20/2013 10/22/2013 Proposal O. 0.50 0.25 0.50 0.25 11/11/2013 Developed 0.25 11/12/2013 10/15/2013 ((5512D11C-5CC6-11CF-8D67-00AA00BDCE1D})(persistStream)(rldl) ((5512D11C-5CC6-11CF-8D67-00AA00BDCE1D})(persistStream}(rldl) ((5512D11C-5CC6-11CF-8D67-00AA00BDCE1D})(persistStream)(rldl) 9/17/2013 10/17/2013 10/16/2013 Brokerage (Commissions) 2500 11/5/2013 Brokerage (C Brokerage (Commissions) 1000 Brokerage (Commissions) 1000 Brokerage (C 75 11/8/2013 Brokerage (C PROT15