EFTA01398848.pdf

Sheet1 Reason for KYC GCIS Customer Number KYC ID Full Legal Name Case Manager RAG Status Next Step by Exclusion Reason # Days in Outreach Due Date Customer Risk Score PEP? DC Status RR 1883718 Techview Investments Ltd. Vijay Sawant Due soon Quality Rejection with Client 5 10/18/18 High RR 1981932 Sillerman, Robert F.X. Adrian Lopez Overdue Initial Due Diliver 8/28/18 High ABR SME working on Remediation Nativos Investment LTD Chantelle Williams Overdue Pending Approval with ABR 2/28/18 High EXCLUSION COMPLETED Remediation BPP F.1 Cayman LP Pradeep Vaje Due soon Client Outreach with Client 12 10/31/18 High RR BPP F.1 DE 3800 Alameda L.P. Pradeep Vaje Due soon Client Outreach with Client 12 11/3/18 High RR BPP F.1 DE Central Park L.P. Pradeep Vaje Due soon Client Outreach with Client 12 11/3/18 High RR BPP F.1 DE Media Studios L.P. Pradeep Vaje Due soon Client Outreach with Client 12 11/3/18 High RR BPP F.1 DE Pointe L.P. Pradeep Vaje Due soon Client Outreach with Client 12 11/3/18 High Remediation BPP F.1 DE Viking LP Pradeep Vaje Due soon Quality Rejection with Client 12 10/31/18 High Remediation BPP F.1 DE Viking 2 LP Pradeep Vaje Due soon Quality Rejection with Client 12 10/31/18 Remediation iiiill BPP F.1 DE Viking 3 LP Pradeep Vaje Due soon Quality Rejection with Client 12 10/31/18 Hi Remediation BPP F.1 DE Viking 4 LP Pradeep Vaje Due soon Quality Rejection with Client 12 10/31/18 Remediation iiill BPP F.2 DE Viking 2 LP Pradeep Vaje Due soon Quality Rejection with Client 12 10/31/18 Remediation Hi BPP F.2 DE Viking 3 LP Pradeep Vaje Due soon Quality Rejection with Client 12 10/31/18 Remediation Hi BPP F.2 DE Viking LP Pradeep Vaje Due soon Quality Rejection with Client 12 10/31/18 — High RR Blackstone Tactical Opportunities Fund II.F L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 — High RR Blackstone Tactical Opportunities Fund II (Cayman) NQ L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II-NQ EFTA01398848 L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II.F (Cayman)-NQ L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II.F-Q L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II-0 L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 Hi h RR Blackstone Tactical Opportunities Fund II (Cayman) L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II.F (Cayman) L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund-F (Cayman) L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund-I-NQ L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund-F-Q L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 Hioh RR Blackstone Tactical Opportunities Fund-I (Cayman)- NQ L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund-I L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 Hioh RR Blackstone Tactical Opportunities Fund-I (Cayman) L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund-F L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 Hioh RR Blackstone Tactical Opportunities Fund-F (Cayman)- NQ L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR SDMP Services, Inc Natalie Barak Overdue Pending Approval - with AFC 7/31/18 High EDR RR Vernon E. Jordan, Jr. Revocable Trust Alka Babu Due soon Client Outreach with Client 47 10/20/18 High RR Tananbaum, Steven A. Vijay Sawant Due soon Pending Approval with PO 11/7/18 High EFTA01398849 RR Jazz Realty LLC Chantelle Williams Due soon Pending Approval with AFC 10/31/18 High RR Fairfax Harbor Real Estate LLC Crystal Pouncy Overdue Quality Rejection 10/3/18 High Will be submitted this week RR Lucy's Landing, LLC Rachel Wachs Overdue Client Outreach with RM 8 9/15/18 High Yes RR The JWM Generations Trust Share B-JRJ Crystal Pouncy Overdue Quality Rejection with RM 8 7/14/18 High Will be submitted this week RR Prime Overseas Investments and Enterprises 35 RR 9/15/18„ III Limited Vijay Sawant Overdue Quality Rejection with Client The JWM Generations Trust Share B-AES Crystal Pouncy Overdue Quality Rejection with RM 8 7/14/18 High Will be submitted this week RR Big River Real Estate, LLC Rachel Wachs Overdue Client Outreach with RM 8 9/19/18 High Yes Remediation Cerberus Executive, LLC Vijay Sawant Overdue Client Outreach with RM 60 7/31/18 High RR The JWM Generations Trust Share A-DMH Crystal Pouncy Overdue Quality Rejection with Client 6 5/25/18 High Will be submitted this week RR The JWM Generations Trust Share C-JWM Crystal Pouncy Overdue Quality Rejection with Client 6 6/2/18 High Will be submitted this week RR Cerberus Capital Management, L.P. Vijay Sawant Overdue Quality Rejection with RM 16 8/18/18 High This has over 60 party roles Remediation Franco, Isaac S. TBD Overdue Pending Approval ■ with AFC 7/31/18 High SUBMITTED RR Evergreen Property, LLC Crystal Pouncy Overdue Quality Rejection with Client 6 6/6/18 High Will be submitted this week RR The JWM Generations Trust Share D-DSM Crystal Pouncy Overdue Quality Rejection with Client 6 6/7/18 High Will be submitted this week Remediation Convey, Brian Armen Brash Due soon Not ManaiiiiiiCM 10/31/18 High Remediation CP IV QP, LLC Vijay Sawant Overdue Quality with Client 43 6/30/18 High RR Gemini Trust Company, LLC Akash Bhosle Due soon Client Outreach with Client 12 10/17/18 High RR Sillerman Investment Company III, LLC Adrian Lopez Overdue Initial Due Diligence 8/3/18 High RR Elderberry X, LLC Adrian Lopez Overdue Initial Due 8/3/18 High RR Sillerman Investment Corporation Adrian Lopez Overdue Initial Due Diligence 8/3/18 High RR 483289 1977695 Epstein, Jeffrey E. Mayur Rathod Overdue Quality Rejection with RM 2 8/8/18 High Yes Additional EFTA01398850 neg media; waiting for guidance from DCO RR 483882 1977703 Southern Financial LLC Mayur Rathod Overdue Pending Approval with PO 8/8/18 High No Additional neg media; waiting for guidance from DCO RR 483883 1977695 Southern Trust Company, Inc. Mayur Rathod Overdue Quality Rejection with RM 2 8/8/18 High No Additional neg media; waiting for guidance from DCO RR 486427 1977699 J. Epstein Virgin Islands Foundation, Inc Mayur Rathod Overdue Pending Approval with PO 8/8/18 High No Additional neg media; waiting for guidance from DCO RR GoldenTree Asset Management UK LLP Alka Babu Overdue Client Outreach with Client 49 8/9/18 High RR Gratitude America Ltd Mayur Rathod Overdue Quality Rejection with RM 14 8/16/18 High No Additional neg media; waitiiiiiiiiiiidance from DCO RR NES, LLC Alka Babu Overdue Pending Approval with MD 8/16/18 High SUBMITTED RR 499733 1977703 LSJE, LLC Mayur Rathod Overdue Pending Approval with PO 8/18/18 High No Additional neg media; waiting iiiiiirance from DCO RR Hyperion Air, LLC Mayur Rathod Overdue Pending Approval with PO 8/18/18 High No Additional neg media; waiting for uidance from DCO RR JEGE, Inc Atka Babu Overdue Pending Approval with AFC 8/18/18 High SUBMITTED RR JEGE, LLC Atka Babu Overdue Pending Approval with AFC 8/18/18 High SUBMITTED RR Plan D, LLC Atka Babu Overdue Pending Approval with MD 8/18/18 High SUBMITTED RR Jeepers, Inc Atka Babu Overdue Pending Approval with AFC 8/18/18 High SUBMITTED RR Mort, Inc Mayur Rathod Overdue Quality Rejection with RM 2 8/18/18 High No Additional neg media; waiting for guidance from DCO RR 550331 1977695 Zorro Management, LLC Mayur Rathod Overdue Quality Rejection with RM 2 8/18/18 High No Additional neg media; waiting for guidance from DCO RR 487199 1977694 The 2007 Jeffrey E. Epstein Insurance Trust #3 Alka Babu Overdue Pending Approval with MD 9/6/18 High SUBMITTED RR 486428 1977694 The Haze Trust Atka Babu Overdue Pending Approval with MD 9/6/18 High SUBMITTED RR The Jockey Club PAC Sandeep Ruparelia Overdue Client Outreach with Client 21 9/12/18 High RR Forest Road Realty, LLC Hilda Berrios Overdue Client Outreach with RM 14 9/13/18 High Yes Will be submitted this week RR Christian Cove, LLC Hilda Berrios Overdue Client Outreach with RM 14 9/13/18 High Yes Will be submitted this week RR Golden Road LLC Hilda Berrios Overdue Client EFTA01398851 Outreach with RM 14 9/13/18 High Yes Will be submitted this week RR Hernstadt, Edward W. Jacqueline Holloman Overdue Client Outreach with RM 6 9/19/18 High RR Shadowbrook Properties, LLC Rachel Wachs Overdue Client Outreach with RM 30 9/26/18 High Yes RR GoldenTree Asset Management (Ireland) Limited Priyanka Mohite Overdue Profile Completion 9/27/18 High RR GOLDENTREE EMERGING MARKETS GP LLC Priyanka Mohite Overdue Quality Rejection 9/27/18 High No RR MA Multi-Sector Opportunistic Fund GP, LLC Priyanka Mohite Overdue Quality Rejection 9/27/18 High No RR Hernstadt II, William L. Clayton Allen Overdue Client Outreach with RM 13 9/29/18 High RR Goldentree Asset Management Singapore PTE Ltd Alka Babu Overdue Client Outreach with Client 19 10/4/18 High RR GoldenTree Asset Management, LP Alka Babu Overdue Client Outreach with Client 16 10/4/18 High RR Fertitta, Tilman Preeti Srivastav Overdue Pending with AFC 10/5/18 High SUBMITTED RR GNLC Holdings, Inc. Preeti Srivastav Overdue Pending Approval with AFC 10/5/18 High SUBMITTED RR Parkview Associates, LLC Krupa Shah Overdue Client Outreach with Client 20 10/5/18 High RR Fertitta Entertainment, Inc. Preeti Srivastav Overdue Pending Approval with AFC 10/5/18 High SUBMITTED RR GT NM GP LLC Krupa Shah Due soon Client Outreach with RM 20 10/10/18 High RR GOLDENTREE SPC LLC Alka Babu Due soon Pending A royal 10/10/18 High RR Meritage Group LP Priyanka Mohite Due soon Initial Due Diligence 10/18/18 High RR GOLDENTREE PARTNERS LOAN FUND LLC Alka Babu Due soon Client Outreach with Client 19 10/20/18 RR iiiilll GTIS REOF SPONSOR LLC Alem Shaikh Due soon Client Outreach with RM 13 10/20/18 High RR GoldenTree Leverage Loan Manager LLC Pritesh Master Due soon Client Outreach with RM 16 10/20/18 High RR William H. Hernstadt 2016 Irrevocable Trust Clayton Allen Due soon Initial Due Diligence 10/25/18 High RR GoldenTree Capital Partners, LLC Nikita Mistry Due soon Client Outreach with RM 22 10/26/18 High RR GOLDENTREE REINVESTMENT VEHICLE LLC Nikita Mistry Due soon Client Outreach with RM 22 10/26/18 High EFTA01398852 RR GoldenTree Credit Opportunities GP LLC Priyanka Mohite Due soon Client Outreach with RM 40 10/26/18 High RR GoldenTree GTIS SPV LLC Priyanka Mohite Due soon Client Outreach with RM 40 10/26/18 High RR DVI PE (Mauritius) Ltd Natalie Barak Due soon Not Managed by CM 10/31/18 High RR Zises, Selig A Keyzad Patel Due soon Pending Approval 11/6/18 High RR Mediterranean Properties Inc Keyzad Patel Due soon Client Outreach with Client 6 11/6/18 High RR Bal Harbour 1604N, LLC Aracely Sanchez Due soon Pending Approval with AFC 11/8/18 High RR First & 91st LLC Aracely Sanchez Due soon Pending A royal with AFC 11/8/18 High RR Forkosh, Alexander Aracely Sanchez Due soon Pending Approval with AFC 11/8/18 High Remediation Bekkedam, Barry R. Crystal Pouncy Overdue Quality Rejection with RM 8 8/31/18 High PENDING EXCLUSION Remediation Infinity Lifestyle Brands, LLC Keyzad Patel Overdue Pending Approval with AFC 7/31/18 High SUBMITTED Remediation nfinity S Kingswood LLC Keyzad Patel Overdue Pending Approval with AFC 7/31/18 High SUBMITTED Remediation Herncal Realty Corp Overdue Not Managed by CM 5/31/18 High No RR GTAM Allied LLC Krupa Shah Due soon Client Outreach with RM 30 10/10/18 High Remediation Atlas Real Estate Funds, Inc Krupa Shah Overdue Client Outreach with Client 39 8/31/18 High Remediation Zoe Hernstadt Irrevocable Trust Chantelle Williams Overdue Pending Approval with ABR 6/30/18 High No Remediation W L Hernstadt Est W L Hernstadt Ii Tr Rachel Wachs Overdue Pendin Approval with PO 5/31/18 High No Remediation W L Hernstadt Est Wh Hernstadt Tr #2 Rachel Wachs Overdue Pending Approval with PO 5/31/18 High No Remediation The Hawk 3A 2015 GST Trust Natalie Barak Due soon Pending Approval with ABR 10/31/18 High RR BPP F.1 DE Pinnacle L.P. Pradeep Vaje Due soon Client Outreach with Client 12 11/3/18 High RR BPP F.1 DE Tower L.P. Pradeep Vaje Due soon Client 0utreach with Client 12 11/3/18 High Remediation Wyser Pratte, Guy Sandeep Ruparelia Overdue Client Outreach with RM 19 10/2/18 High RR Blackstone Tactical Opportunities Fund II (Cayman)- NQ II, LP Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High EFTA01398853 &"arial unicode ms,Regular"For internal use only EFTA01398854