EFTA01398757.pdf

US-Onshore_HRIPM_Due2017 Customer Name Customer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Exp lanation Bank Auto Exem t Reason Client Since Date Hernstadt, Edward W. Liz Payne 2017 1 3/20/1985 Marriott, Stephen Blake Brian Convey 2017 1 8/20/2013 Big River Real Estate, Brian Convey 2017 1 12/31/2007 Zisook Enterprises L.P. Michael S. Jacoby 2017 1 10/7/2014 Allen, Paul Gardner Russell Daulton 2017 1 12/8/2009 KKR Holdings, LP Michael King 2017 1 5/13/2014 Schwartz, Alan E. Salvatore E. Moore 2017 1 6/4/2014 Sunbridge Holdings, LLC olm Kimble 2017 1 6/27/2013 Fertitta Entertainment, Inc. Malcolm Kimble 2017 1 4/23/2012 The 2012 Diana L. Mercer Family GST rust 00000477782 Mary Ann Coleman 2017 1 9/26/2012 Coalition for a Better Kansas, Bruce McDermott 2017 1 8/7/2014 Charles G. Koch 1997 Trust Bruce McDermott 2017 1 7/29/2009 1998 Simons Family Revocable Trust Terri 5ohrab 2017 1 12/15/2014 Guardian Investment Company Ltd. Terri 5ohrab 2017 1 6/27/2011 Atlas Real Estate Funds, Inc. Terri Sohr 2 17 1 12/23/2008 The 2000 Robert and Laura Sillerman Descendants' Trust Terri Sohrab 2017 1 9/15/2008 Infinity Equity Ventures LLC Rosemary Vrablic 2017 1 11/26/2014 Desnick Descendants Irrevocable Trust Rosemary Vrablic 2017 1 10/3 /2014 Jordan Desnick Minority Trust Rosemar Vrablic 2017 1 9/16/2014 Michelle Desnick Minority Trust dtd 8/14/89 Rosemary Vrablic 2017 1 9/16/2014 American Entertainment Properties Corp. Rosemary Vrablic 2017 1 8/15 /2014 The ABEN Liquidating Trust Rosemary Vrablic 2017 1 6/26/2014 Icahn Enterprises Holdings. LP Rosemary Vrablic 2017 1 3/27/2014 Stallion 44, LLC Rosemary Vrablic 2017 1 3/12/2013 Perpetual Aviation, LLC Rosemary Vrablic 2017 1 9/6/2011 IL MULINO USA, LLC Rosemary Vrablic 2017 1 6/29/2011 LW 12th Street Holding, LLC ■ Rosemary Vrablic 2017 1 6/17/2011 Infinity LW Rosemary Vrablic 2017 1 6/17/2011 CCI Onshore LLC Rosemary Vrablic 2017 1 12/11/2008 Comsup Ltd. Rosemary Vrablic 2017 1 4/20/2009 Comsup Commodities Inc ■ Rosemary Vrablic 2017 1 8/24/2009 Icahn Management LP Rosemar Vrablic 2017 1 3/14/2008 Koala Holding Limited Partnership Rosemary Vrablic 2017 1 2/21 /2008 Desnick, Ahuva Rosemary Vrablic 2017 1 7/29/2014 Gaston Partners Rosemary Vrablic 2017 1 11/10/2006 CLAWSON, CURTIS J 2017 1 1/24/2003 The James and Debbie Ch Deirdre Judge 2017 1 6/27/2014 3075 Wilshire, LLC Deirdre Judge 2017 1 11/8/2013 Noah B. Mamet Revocable Trust Deirdre Judge 2017 1 2/13/2013 A-GRADE INVESTMENTS II LLC ' dre Judge 2017 1 11/15/2011 Antelope Insurance Company, Inc. Deirdre Judge 2017 1 12/29/2009 Julianna Eva Pyott Trust est 06/20/2014 Jake Block 2017 1 9/10/2014 David E.I. Pyott Trust dtd 04/18/2014 Jake Block 2017 1 9/10/2014 Gemini IP, LLC 0 en 7 1 12/17/2014 AFSF II AIV Investors - D L.P Joanne Jensen 2017 1 12/5/2014 Blackstone Property Partners L.P. Jensen 2017 1 11/20/2014 Blackstone Property Partners Lower Fund 1 L.P. IIIIIIIIiiinne Joanne Jensen 2017 1 11/2 0/2014 AFSF II AIV-D LP 2017 1 12/5/2014 Tyler Winklevoss Family Exchange Trust n Joanne Jensen 2017 1 10/23/2014 Cameron Winklevoss Family Exchange Trust Joanne Jensen 2017 1 10/2 3/2014 Do It Again, LLC Joanne Jensen 2017 1 12/5/2014 Bee's Center Fi Joanne Jensen 2017 1 11/20/2014 LHRB LLC Joanne Jensen 2017 1 11/20/2014 Arbiter Special pportun t es Fund II LP Joanne Jensen 2017 1 9/25 /2014 Arbiter Special Opportunities Fun I LP Joanne Jensen 2017 1 9/25/2014 Casterlirock Holdings, LLC Joanne Jensen 2017 1 4/16/2014 Zelenko-Kuller, Jill Joanne Jensen 2017 1 10/21/2014 Winklevoss, Tyler Joanne Jensen 2017 1 5/29/2012 Winklevoss, Cameron Joanne Jensen 2017 1 5/29/2012 20 East 64th Street, LLC Joanne Jensen 2017 1 7/18/2011 EDF LLC Joanne Jensen 2017 1 11/21/2011 Jolli Four, LLC Joanne Jensen 2017 1 12/20/2010 Hymowitz, Gregg Joanne Jensen 2017 1 12/14/2010 WS Paley 68 Prmry Tr SC Burden III Et Al Rachel Maglicic 2017 1 2/25 /2014 WS Paley 68 Suppl Tr SC Burden III Et Al Rachel Maglicic 2017 1 2/26 /2014 EFTA01398757 Batmasian, James H. Rachel Maglicic 2017 1 3/8/2013 Profile Property Trust Susan Moffat 2017 1 8/7/2009 8"Microsoft Sans Serif,Bold"For internal use only EFTA01398758 US-Onshore_HRIPM_PastDue Customer Name Customer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Exp lanation Bank Auto Exem t Reason Client Since Date Budinger, William M. Terrence Tangney 2004 1 5/30/2001 STB Holdings L.P. iilliacoby 0 / 6 2016 9 1 2 13 Marjorie S Daitch Revocable Trust Salvatore E. Moore 2016 1 7/22 /2013 John L. Loeb Associates, Inc. Employee Pension Plan Salvatore E. Moore 2016 1 5/9/2013 Loeb Jr, John Salvatore E. Moore 2016 1 3/27/2013 Smith, Robert Salvatore E. Moore 1995 1 4/14/1992 Donaldson, William H. Salvatore E. Moore 2013 1 6/24/2003 GNLC Holdings, Inc. Malcolm Kimble 2015 1 11/20/2013 Fertitta, Tilman Malcolm Kimble 2015 1 12/31/2012 The Mercer Family 2009 Non-Exempt Trust f/b/o Rebekah Mercer Mary Ann Coleman 2016 1 7/3/2013 The Mercer Family 2009 Non-Exempt Trust f/b/o Jennifer L. Mercer Mary Ann Col eman 2016 1 7/3/2013 The Mercer Family 2009 Non-Exempt Trust f/b/o Heather Sue Mercer Mary Ann Col eman 2016 1 7 3 2013 Meritage Group LP Terri Sohrab 2006 1 12/12/2014 GoldenTree SG GP LLC Terri Sohrab 2016 1 11/13/2013 GT NM GP LLC Terri Sohrab 2016 1 6/27/2013 GOLDENTREE REINVESTMENT Terri Sohrab 2015 1 12/17/2012 GoldenTree GTIS SPV LLC Terri Sohrab 2015 1 6/21/2012 GOLDENTREE SPC LLC Terri Sohrab 2013 1 1/19/2011 GoldenTree Asset Management (Ireland) Limited Terri Sohrab 2013 1 8/19 /2010 GTAM Allied LLC Terri Sohrab 2013 1 10/6/2010 GoldenTree Leverage Loan Manager LLC Terri Sohrab 2011 1 12/16/2008 GoldenTree Leverage Loan GP LLC 00000420547 Terri Sohrab 2011 1 5/23/2008 GTIS REOF I SPONSOR LLC Terri Sohrab 2009 1 2/15/2007 GTAM Opportunities, LLC 2009 1 12/8/2006 GoldenTree Credit Opportunities GP LLC Terri Sohrab 2009 1 12/8/2006 GoldenTree Capital Partners, LLC Terri Sohrab 2009 1 12/8/2006 Zappala, Joseph ne Jensen 2016 1 4/17/2013 Levitt Jr., Arthur Joanne Jensen 2016 1 12/22/2009 MARY ELIZABETH BUNZEL 2009 IRREVOCABLE TRUST UAD 09/11/09 Joanne Jensen 2016 1 1/10/2013 Bunzel, Mary Joanne Jensen 2016 1 1/8/2013 Bunzel, Maxwell Joanne Jensen 2016 1 1/15/2013 Bunzel, Eli Joanne Jensen 2016 1 9/4/2013 Erica P Terpstra Irrev Trust Rachel Maglicic 2011 1 4/17/2003 Plan D, LLC Stewart Oldfield 2016 1 10/18/2013 JEGE, LLC Stewart Oldfield 2016 1 10/18/2013 MST TRUST dtd 03/13/2000 Susan Moffat 2016 1 12/4/2000 Z"Microsoft Sans Serif,Bold"For internal use only EFTA01398759 US-Onshore_TempExceptDue Temporary Exceptions- Domestic Overdue by more than 90 days/Closing Queue Due in Overdue by more than 60 days Overdue by more than 30 days Case Number Customer Number Customer Name Customer Record Type Relationship Number Cust omer Owner Exception Expires Reason for Exception (If Applicable) EM Days Overdue MSR Silo 01818861 La Mesa Homes, LLC Client Dan Gray 11/1 8/2017 The standard 90 days temporary exception for executed trust agreement, TIN, and date of inco rporation has been granted for this KYC. russell daulton -17 Armen Brash, Andrew Galivan, Michael J. Davis.MI h l Jacoby US-Onshore 01840031 Dina Wind Art Foundation Client Terrence Tan gney 11/23/2017 30 days exception approved by Compliance for the IRS exemption letter Andr ew F Gallivan -22 ArmenBrash,AndrewGalivan,MichaelJ. Davis Michael Jacoby US-Onshore 01684903 Fanjul, Alfonso Prospect IIIIIIIIIII Oti Roberts 12/2 0/2017 EXTENDED -- The standard 90 days temporary exception for executed trust agreement, TIN, and date of incorporation has been granted for this KYC. 60 days extension approved on 3/21/17. -49 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01740136 Barrack, Jr., Thomas J. Client Susan Moffat 12/1 /2017 Lee Huter -30 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-O nshore 01783091 Leslie W Davies Revocable Trust of 1988 U/A DTD 9/1/1988 Clie nt Michael King 11/15/2017 Please see email attached for Temporary Exce ption for Client meeting Michael Jacoby -14 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoby US-Onshore $"Microsoft Sans Serif,Bold"For internal use only EFTA01398760 US-Onshore_impExcptOver Temporary Exceptions- Domestic (All Overdue) 11/1/2017 Overdue by more than 90 days/Closing Queue Overdue by more than 60 days Overdue by more than 30 days Case Number Customer Number Customer Name Customer Record Type Relationship Number Cust omer Owner Exception Expires Reason for Exception (If Applicable) Days Overdue MSR Silo 01819456 Batmasian, Marta Client Rachel Maglicic 2/28 /2017 To monitor ongoing litigation. 246 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby US-Onshore 01755879 Capital University Client Terrence Tangney 5/26/2017 EXCEPTION HAS BEEN EXTENDED 30-day temp exception for full KYC info in compliance wi th updated policy 159 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-O nshore 01758071 Durwood Wilmot Ringo Revocable Trust Client Terr ence Tangney 42881 EXCEPTION HAS BEEN EXTENDED TE to complete all the fields in the KYC profile including the Volcker flag. 159 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob y US-Onshir 01758149 Patricia Louise Ringo Revocable Trust Client Terr ence Tangney 42881 EXCEPTION HAS BEEN EXTENDED TE to complete all the fields in the KYC profile including the Volcker flag. 159 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob Y US-Onshore 01772858 J & L Family LP Client Salvatore E. Moore 6/25 /2017 Temporary exception approved for 30 days to obtain a updated and clear signatory list from 1 919 Investment Counsel 129 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-O nshore 01802177 BENJAMIN F BAILAR TRUST Client Terrence Tangney 8/28/2017 Temporary exception to collect beneficiaries' information required in the new policy . Exception will clear upon closure of the account. 65 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob US-Onshore 01774886 Limestone Partners Client Andrea Nicoletti 42979 Kerry (LPOA)'s summary of civil suits. 61 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael JacoliiiiiiiiiiiOnshore 01813239 Tradelnvest Financial Holdings Ltd Client Terr i Sohrab 9/8/2017 CRP 54 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby 01772929 Erica P. Terpstra Revocable Trust Prospect Rachel Maglicic 90-day exception for tax ID number and executed trust agreement. 48 Armen B Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01795534 The John V. Gibson Revocable Trust for Jessica Gibson Client Brian Convey 10/5/2017 Standard 90-day exception for TIN, inception date and fully- executed document. 27 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-O nshore 01752644 Batmasian, Marta Client Rachel Maglicic 10/6 /2017 Monitoring of ongoing litigation. 26 Armen Bras , An rew Galivan, Michael J. Davi s, Michael Jacoliiiiiiiiiiiinshore 01795679 Spencer Family GRAT C Client Liz Payne 10/1 0/2017 standard 90-day temp exception for executed trust document/TIN 22 Armen Brash, Andrew Galivan, Michael J. Davis Michael Jacoby US-Onshore 01813809 Blackstone Tactical Opportunities Fund I I L.P. Prospect Joanne Jensen 10/31/2017 Borrowers' resolution 1 Armen Brash, Andrew Gal van, Michael J. Davis, Michael Jacoby US-Onshore &"Microsoft Sans Serif,Bold"For internal use only EFTA01398761 Acct Opening Exceptions Case Number Customer Name Opened Date Description Exception Expires Reason for E xception Fax Copies Exception Days Overdue 01823138 GoldenTree Asset Management UK LLP 8/31/2017 temporary exception on the C RP for Goldentree Asset Management UK LLP 9/19/2017 temporary exception on the CRP for G oldentree Asset Management UK LLP N 35 01754160 BPP F.1 DE Viking 3 LP 3/23/2017 30 day exception for CRP for the following a ccounts: BPP F.1 DE Viking LP (Contributing) 42966962 BPP F.1 DE Viking LP (Operating) 42966970 BPP F.1 DE Viking 2 LP (Contributing) 42966989 BPP F.1 DE Viking 2 LP (Operating) 42966997 BPP F.1 DE Vi king 3 LP (Contributing) 42967009 BPP F.1 DE Viking 3 LP (Operating) 42967017 BPP F.1 DE Viking 4 LP (Contributing) 42967041 BPP F.1 DE Viking 4 LP (Operating) 42967068 BPP F.2 DE Viking LP (Contribut ing) 42967076 BPP F.2 DE Viking LP (Operating) 42967498 BPP F.2 DE Viking 2 LP (Contributing) 429670 84 BPP F.2 DE Viking 2 LP (Operating) 42967092 BPP F.2 DE Viking 3 LP (Contributing) 42967105 BPP F. 2 DE Viking 3 LP (Operating) 42967113 4/21/2017 30 day CRP exception for 18 entities N 142 01443412 Axia Realty, LLC 8/21/2015 ABR, Please vett the signers and approve the case with W-9 Please open a checking account for Axia Realty, LLC. There is alread a mone market account opened for this entity. KYC: 01352638 NAO: 10157045 Please email m with the account 4 once the account is opened. Thank you. 9/8/2015 Updated LLC Resoluta. on N 565 S"Microsoft Sans Serif,Bold"For internal use only EFTA01398762