From: Martin Zeman Sent: 7/26/2018 4:15:52 PM To: Nadean Novo ratz I I • Stewart Oldfield • Davide-A Sferrazza CC: Erik Lutkus [ I; Devin Anderson Subject: RE: Options Agreement & Questionnaire [C] Attachments: N4G023804 LTA.PDF Classification: Confidential Nadean, ; Xavier Avila Please s

ilar to this effect to Max already this week — but could you please advise when we might receive the complete list of clients? Thanks Chris From: Devin Anderson Sent: 21 November 2018 13:45 To: ITC ACO < ACO GV >; Erik Lutkus < Cc: Alan Brody < >; David Dirvin < >; Christopher Whyton Subject: RE: ACO f

ect Mercury Deutsche Bank 1 Great Winchester Street, London, EC2N 2DB Tel: (+44) 20754 72254 From: Erik Lutkus Sent: 21 November 2018 13:00 To: Devin Anderson >; ACO GV < Cc: ITC ACO < >; Alan Brody < >; David Dirvin < Subject: RE: ACO for KCP client: Parkwood II) [C] Classification: Confidential Sam

206, United Kingdom Tel. Erna4i From: Dominic Newport On Behalf Of ITC ACO Sent: 21 November 2018 12:35 To: Erik Lutkus ACO GV Cc: Alan Brody Devin Anderson Subject: RE: ACO for KCP client: Parkwood [I] ICJ Classification: Confidential Hi Erik, As stated in the attached, as Alan is an ACO in PCB, this

From: Martin Zeman Sent: 7/26/2018 1:15:38 PM To: Nadean Novo ratz CC: Davide-A Sferrazza Subject: ; Devin Anderson I I; Courteney B Fornal I; Stewart Oldfield [MM I; Xavier Avila Paul Barrett - Southern Financial LLC Intro Call at 3pm today Nadean, Devin, Pau

From: Devin Anderson Sent: 8/8/2018 2:06:08 PM 1; Martin Zeman I CC: Danny Byun ; Daniel McNeill To: Stewart Oldfield Subject: Southern Financial QIS index III

aul Barrett Sent: 10/5/2018 2:09:29 PM To: Nadean Novogratz I CC: Martin Zeman ; Stewart Oldfield ; Xavier Avila I ; Davide-A Sferrazza I ; Devin Anderson I I Subject: RE: Follow-up Attachments: doc03607720181005130218.pdf Finally Paul Barrett Alpha Group Capital LLC 142 W 571° Street, 11th Floo

From: Nadean Novogratz Sent: 7/26/2018 5:01:05 PM To: Paul Barrett CC: Martin Zeman • Stewart Oldfield ; Xavier Avila ; Davide-A Sferrazza Devin Anderson Subject: Follow-up Attachments: Options Execution Agreement (AUG15).pdf; Options Questionnaire (AUG15).pdf Hi Paul, Great to meet you over the p

rom: Nadean Novogratz Sent: Thursday, July 26, 2018 5:01 PM To: Paul Barrett Cc: Martin Zeman; Stewart Oldfield; Xavier Avila; Davide-A Sferrazza; Devin Anderson Subject: Follow-up Hi Paul, Great to meet you over the phone today and discuss our derivatives offerings / market color. As mentioned, Southern F

adean Novogratz Sent: Friday, October 05, 2018 2:15 PM To: Erik Lutkus c Cc: Martin Zeman Stewart Oldfield a; Xavier Avila Davide-A Sferrazza ; Devin Anderson Subject: Southern Financial - Listed Deny Docs [I] Classification: For Internal use only Hi Erik, Please see attached the 2 listed derive does fo

From: Paul Barrett Sent: 7/26/2018 10:49:03 PM To: Nadean Novogratz CC: Subject: ; Stewart 0ldfield ; Xavier Avila ; Davide-A Sferrazza ; Devin Anderson Martin Zeman RE: Follow-up Thanks Nadean Will get the forms filled out and look at the pricing. Best, Paul Paul Barrett Alpha Group Capital L

rom: Nadean Novogratz Sent: Thursday, July 26, 2018 5:01 PM To: Paul Barrett Cc: Martin Zeman; Stewart Oldfield; Xavier Avila; Davide-A Sferrazza; Devin Anderson Subject: Follow-up Hi Paul, Great to meet you over the phone today and discuss our derivatives offerings / market color. As mentioned, Southern F

From: Sent: To: CC: Nadean Novogratz 8/20/2018 2:31:05 PM Paul Barrett Martin Zeman S ' Xavier Avila ; Davide-A Sferrazza ; Devin Anderson Subject: RE: Follow-up Hi Paul, I hope all is well. Below is our latest upside commentary. • Upside implieds have dripped lower with 1M buckets

Barrett [mailto Sent: Thursday, July 26, 2018 10:49 PM To: Nadean Novogratz Cc: Martin Zeman; Stewart Oldfield; Xavier Avila; Davide-A Sferrazza; Devin Anderson Subject: RE: Follow-up Thanks Nadean Will get the forms filled out and look at the pricing. Best, Paul Paul Barrett Alpha Group Capital LLC 1

ean Novogratz Sent: Thursday, Juhr 26, 2018 5:01 PM To: Paul Barrett Cc: Martin Zeman Stewart Oldfield >; Xavier Avila Davide-A Sferrazza <d. Devin Anderson Subject: Follow-up Hi Paul, Great to meet you over the phone today and discuss our derivatives offerings / market color. As mentioned, Southern F

t: 7/30/2018 12:46:20 PM To: PaulBarrettI CC: Subject: Martin Zeman RE: Follow-up ; Stewart Oldfield I I; Xavier Avila ; Davide-A Sferrazza Devin Anderson Thank you, Paul. Off of the inexpensive upside discussion last week. We had a client come in and initiate a new trade with this theme. Client here

rom: Nadean Novogratz Sent: Thursday, July 26, 2018 5:01 PM To: Paul Barrett Cc: Martin Zeman; Stewart Oldfield; Xavier Avila; Davide-A Sferrazza; Devin Anderson Subject: Follow-up Hi Paul, Great to meet you over the phone today and discuss our derivatives offerings / market color. As mentioned, Southern F

rom: Nadean Novogratz Sent: Thursday, July 26, 2018 5:01 PM To: Paul Barrett Cc: Martin Zeman; Stewart Oldfield; Xavier Avila; Davide-A Sferrazza; Devin Anderson Subject: Follow-up Hi Paul, Great to meet you over the phone today and discuss our derivatives offerings / market color. As mentioned, Southern F

an Novogratz Sent: Friday, September 21, 2018 1:30 PM To: Paul Barrett Cc: Martin Zeman ; Stewart Oldfield ; Xavier Avila ; Davide-A Sferrazza Devin Anderson Subject: RE: Follow-up Hi Paul, Thanks very much — if you have any questions about either documents, we're here to help. Kind regards, Nadean F

thern Financial - Listed Deriv Docs [II Classification: For internal use only Yes, I see them now. We're good to go then — thanks! Xavier Avila : Devin Anderson From: Erik Lutkus Sent: Friday, October 05, 2018 2:55 PM To: Nadean Novogratz Cc: Martin Zeman; Stewart Oldfield; Xavier Avila; Davide-A Sferrazz