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10 10 10 10 25 10 50 10 75 0 10 10 EFTA01477094 0 0 10 50 50 75 0 0 Q1-2015 Q1-2015 1141 12/17/2012 Ed Finley 105 10/19/2015 Paul Morris 139 9/15/2015 Paul Morris 9/1/2015 Paul Morris Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015
10 75 0 10 10 EFTA01477094 0 0 10 50 50 75 0 0 Q1-2015 Q1-2015 1141 12/17/2012 Ed Finley 105 10/19/2015 Paul Morris 139 9/15/2015 Paul Morris 9/1/2015 Paul Morris Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015 Q1-2015
Bulloch, Roger Dorrance Family Foundation Dorrance Family Foundation FallLine Lindemann Jr., George Lindemann Jr., George Lindemann, Adam M. The George Lindemann Family Limited Partnership The George Lindemann Family Limited Partnership Opportunity Name Advisory Mandate Nikitine, VadimProxy Hedge Cash Management Structured Credit
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e (%) cture BPS/Flat Fee Actual Revenue Sales Team Member KCP Private Markets Aspen Grove Capital, LLC 9/30/2015 ns) 15000000 BPS 5 7500 Paul Morris Benefit Street Partners- Benefit Street Partners 9/30/2015 ing (Secured) 30000000 BPS 100 300000 Paul Morris Art Lending Black, Leon D. 9/30
Paul Morris Airplane Finanching Tharani, Haresh 9/30/2015 10 U.S. Structured Lending (Secured) 10000000 BPS 100 100000 Paul Morris Deposits The George Lindemann Family Limited Partnership 12/31/2015 90 Private Weal th Premium Money Market 1000000 BPS 35 3500 Stewart Oldfield ETE Brokerage- Series 2 The George Lindemann Family Li
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Oldfield KCP Private Markets ASPEN GROVE CAPITAL RELATIONSHIP Aspen Grove Capital, LLC /2016 25 Brokerage (Commissions) 15000000 BPS 5 7500 Paul Morris Introduction BAKHSHANDEHPOUR, SAM RELATIONSHIP Bakhshandehpour, Sam 2/29/2016 Private Wealth Premium Money Market 0 Stewart Oldfield Lending
Partners hip 3/31/2016 0 U.S. Secured Lending (Lombard) 20000000 BPS 135 2700 00 Stewart Oldfield Deposits LINDEMANN FAMILY RELATIONSHIP The George Lindemann Family Limited Partnership 3/31 /2016 0 Private Wealth Premium Money Market 1000000 BPS 35 3500 Stewart Oldf ield ETE Brokerage- Series 2 LINDEMANN FAMILY RELATIONSHIP
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