EFTA01430500.pdf

Hedge Funds Structured Notes Private Equity Hedge Funds Vista Goldman BDC Alkeon Aspect Canyon Email Client Name Banker Contact Name Contact Confirmed DPM Engagement? Overview Sent Invested Comments Status Notes Status Notes Status Notes Status Notes Ten Thems 1 2 3 Aspen Grove Capital, LLC Oldfield Jeff Kirwood 3/10/2017 N 6/1/2016 Y N None None Docs sent Bright Group Oldfield Darren Campf 3/10/2017 N 6/1/2016 Y N Docs sent No response Docs sent Just added CTA exposure last month with Graham and Winton. Send anyting interesting as it comes up Docs sent Chris Boies Oldfield Chris Boies 3/10/2017 N 6/1/2016 N None None None Cliff Illig Oldfield Matt Ferguson 3/10/2017 N 6/1/2016 Y N Docs sent No response Docs sent No response Docs sent Comprehensive Financial Management Oldfield Tim Sarhatt & Rob Cain 3/10/2017 N None None Docs sent DF Enterprises Oldfield Jason Stiles and Clint Gossage 3/10/2017 N 6/1/2016 N Docs sent No response Docs sent No response None EverWatch Financial Oldfield Send to Ted Kokas... Other contacts: Frohman Anderson , Matt Womble, and Tyler Webb 3/10/2017 6/1/2016 Y N At this time it is highly unlikely that Everwatch would be utilizing structured notes. Should our needs change, I will let you know. n None None Docs sent Forrestal Capital, LLC Oldfield Annette Franqui 3/10/2017 N 6/1/2016 Y N Docs sent No response Docs sent No response Docs sent Georgetown University Endowment Oldfield Michael K. Barry & Maksim Altmark 3/10/2017 N 6/1/2016 Y N None None Docs sent Gerschel Oldfield Jonathan Botwinick 3/10/2017 N None None Docs sent Henry Nicholas Oldfield Milo Gonzalez and Gosha Zandt 3/10/2017 N 6/1/2016 Y N Docs sent ilo.ir c i -it il esc lone Ian Slome Oldfield Ian Slome 3/10/2017 N Docs sent No response Docs sent Will review and let us know if they want to do anything. Docs sent EFTA01430500 Iconiq Oldfield Kevin Foster and Steve Kim 6/1/2016 N None None None Ironsides Asset Management Oldfield Mark Roberts 6/1/2016 None None None JL Squared Group Oldfield Jonathan "Jon" Liggett & Michael Wigrizer 3/10/2017 N 6/1/2016 Y N Docs sent No response Docs sent Have an existing rel. with Aspect. Send funds/ideas as they come up. Docs sent Karl Schreiber Oldfield Karl Schreiber N 6/1/2016 N None None None Latona Associates Oldfield Katherine Montrone N 6/1/2016 N Docsser- \loresorise Docs sent No response None Marron Oldfield Ton Persico 3/10/2017 N None None None Michael Bills / Bluestem Oldfield Brian Merrins & Michael Bills? N None None Docs sent Michael Tabacinic Oldfield Michael Tabacinic N 6/1/2016 Y N Yes - As you say, the market is in an "interesting" era. At the moment we've decided to mostly just step away from the public market for the time being, until the situation changes. - June 2016 Thank you for the term sheets. Alwa s ood to see what's out there. N None None None Parkview US LLC Oldfield Marcus Epprecht and Cecilia Santana 3/10/2017 N 6/1/2016 Y N Docs sent No response Docs sent No response Docs sent Perspecta Oldfield Tony Annino and Katherine Montrone N 6/1/2016 None None Docs sent Shamrock Holdings Oldfield Greg Martin and Stanley Gold N 6/1/2016 N None None Docs sent SK Capital Oldfield Charles Britton N 6/1/2016 N None None Docs sent Southern Financial Oldfield None None None TFMG LLC Oldfield Steve Warner 3/10/2017 N None None Docs sent Tony Ehinger Oldfield N 6/1/2016 N None None None True North Advisors, LLC Oldfield Dhruv Maniktala N 6/1/2016 Y N None None Docs sent Third Lake Oldfield Paul Watson & Robert Forsythe Docs ser- \loresor-ise Docs Sent No res onse Docs sent EFTA01430501 Glen Warren Oldfield Glen Warren 3/10/2017 None None Docs sent For internal use only EFTA01430502 Vista Banker DPM Previous ISG Contact Previous AIS Req Brokerage Account Submitted Signed Pre Qual Submited Billionaire Docs Received In Folder Notes Email Sent Response Follow Up Email Sent Date of Last Contact % Chance of Close Potential Order Size Comments Bluestem Oldfield N N N Y Y Y Y Michael Billis Y Yes- will give it more thought and think about who else might be willing to give it a look N Bright Oldfield Y Y N Y Y Y Y Y Y Dorrance Oldfield Y Y N Y Y Y Y Y Y Y Forrestal Oldfield Y Y N Y Y Y Y Y Y Illig Oldfield Y Y N Y Y Y Y Y Y Y- Sent to Robb Shamrock - Greg Martin Oldfield N Y N Y Y Y Y Y Y Y Slome Oldfield Y Y N Y Y Y Y Y Yes- Pass for the moment N True North Oldfield N Y N Y Y Y Y Y Y Latona Oldfield Y Y N Y Y Y Y Y Y Ellin Oldfield Y Y N Y Y Y Y Y Tisch - TFMG? Oldfield N Y Y N Y Y Y Q38001811 - KCP Y Y AIS for Tisch is submitted. The request is submitted under the KCP account under Daniel Sabba. If the client wants to invest, we will open the WIC account, Joseph Cothron will be the WIC sales. Parkview Oldfield Y Y Y Y Y Y TFMG Associates Insitution Banker Stew Olfield has known for 18 months - has been a client of KCP for multiple years History of investing in illiquid investments, have a very large PE and HF portfolio. They are even willing to seed new hedge fund mgrs For internal use only EFTA01430503 Oldfield Status Client Response AIS Request Tracking ID Client/Prospect Name Banking Team Office AIS Submitter Potential Order Size Comments Contact(s) Email 1 Email 2 Email 3 Nickname Previous Contact Documents sent to client No response from client Aspen Grove Oldfield, Stewart New York Andrew King Submitted Jeff Kirwood Documents sent to client No response from client Bright Oldfield, Stewart New York Andrew King Submitted Darren Campf Documents sent to client No response from client CFM Oldfield, Stewart New York Andrew King Submitted Tim Sarhatt & Rob Cain Documents sent to client No response from client Dorrance Oldfield, Stewart New York Andrew King Submitted Jason Stiles and Clint Gossage No response from client Parkview Oldfield, Stewart New York Andrew King Is being sent by Pieta Documents sent to client No response from client Everwatch Oldfield, Stewart New York Andrew King Submitted Frohman Anderson , Matt Womble, and Tyler Webb Documents sent to client No response from client Forrestal Oldfield, Stewart New York Andrew King Submitted Annette Franqui Documents sent to client No response from client Gerschel Oldfield, Stewart New York Andrew King Submitted Jonathan Botwinick Documents sent to client No response from client GU Oldfield, Stewart New York Andrew Kin Submitted Michael K. Barry & Maksim Altmark Documents sent to client No response from client Illig Oldfield, Stewart New York Andrew King Submitted Robb Heinemann No response from client Epstein/Southern Financial Old field, Stewart New York Andrew King KCP Documents sent to client No response from client JL squared Oldfield, Stewart New York Andrew Kin Submitted Johnathati l ett iS ichael Wigrizer Documents sent to client No response from client Marron Oldfield, Stewart New York Andrew King Submitted Tony Persico Documents sent to client No response from client Slome Oldfield, Stewart New York Andrew King Submitted Ian Slome No response from client Tisch Oldfield, Stewart New York Andrew King KCP Steve Warner For internal use only EFTA01430504