EFTA01406708.pdf

IWP WM Client Name GM Client Name WM Contact/RM _Updated Has the client been through the CIB KYC onboarding process? YES/NO Does the client have the London terms of Business on file? YES/NO Does the client have an Agency Direction Letter on file? YES/NO PRIORITY YES / NO 509 Avenue Associates LP 509 Avenue Associates LP Rosemary Vrablic NO NO NO NO Allen, Paul Gardner Paul G Allen Russell Daulton / Lindsy Sanders / Terri Sohrab NO NO NO NO AMZAK Capital Management PWM US AMZAK CAPITAL MANAGEMENT LLC Rachel Maglicic (RM) Tazia Smith (KCP) YES NO NO YES ANSCHUTZ, PHILIP RELATIONSHIP E.N. Investment Company not in DBF NO NO NO NO Arclight Energy Partners Fund V LP Arclight Energy Partners Fund V LP Rosemary Vrablic NO NO NO NO Armory Fund Limited Armory Fund Limited Eduardo Pieta YES NO NO YES Avalon Hedged Equity Fund LP Avalon Hedged Equity Fund L.P. Joanne Jensen YES NO NO NO Bancard International Investment Inc Bancard International Investments Inc Mauricio Pretelt YES NO NO YES Bedford Property Inc Bedford Property Inc Chris Maxmin NO NO NO NO Belford Investments Belford Investments Mauricio Pretelt NO NO NO YES Bellerofonte LLC Bellerofonte LLC Sven-Otto Westphalen NO NO NO NO Blue Dragon Investments BLUE DRAGON INVESTMENTS Eduardo Pieta (RM) Billy Obregon (KCP) NO NO NO NO Blue Media Investments Inc. Blue Media Investments Inc Reynaldo Figueredo YES NO NO NO Cascade Investment LLC Cascade Investment LLC Russell Daulton NO NO NO NO Centaurus Capital Centaurus Capital LP Cheryl Paller YES NO NO NO Cerberus Capital Management, L.P. Cerberus Capital Management, L.P. Terri Sohrab YES NO NO NO CHARLES M VON ARENTSCHILDT TR UAD 04/19/12 CHARLES & MEREDITH TTEES Charles and MEREDITH VON ARENTSCHILDT trust Bradley Gillin NO NO NO NO CRE CAPITAL LLC CRE CAPITAL LLC GAT NO NO NO NO CRE TRUST CRE TRUST GAT NO NO NO NO Dakota Pacific Global Macro Fund LLC Dakota Pacific Global Macro Fund LLC Xavier Avila YES NO YES YES Daniel and Suzanne Cohen Daniel and Suzanne Cohen Joseph Cothron/Dan Gray NO NO NO YES David H. Murdock Living Trust 05/28/1986 DAVID H MURDOCK LIVING TRUST Anthony Scotti YES NO NO NO Devon International Group Inc Devon International Group Inc Mauricio EFTA01406708 Pretelt YES NO NO NO Drake Aurora Fund Drake Aurora Fund Mauricio Pretelt (RM) Billy Obregon (KCP) YES NO NO NO DUQUESNE FAMILY OFFICE LLC Duquesne Family Office Mark Gonzalez YES NO NO NO Endurance Voyages LLC ENDURANCE VOYAGES, LLC Michael King YES NO NO YES Euro-Partners Fund Euro-Partners Fund Chris Maxmin NO NO NO YES Fifth Street Station LLC Fifth Street Station LLC Russell Daulton YES NO NO NO Fouad Chartouni Fouad Chartouni Rosemary Vrablic NO NO NO NO Gascon Partners GASCON PARTNERS Rosemary Vrablic (RM) Josh Shoshan (KCP) NO NO NO NO GEOFFREY H PALMER TRUST GEOFFREY H PALMER TRUST Deirdre Judge NO NO NO NO GEORGE B KAISER GEORGE B KAISER Michael King YES NO NO YES GUY WYSER PRATTE GUY WYSER PRATTE Chris Maxmin NO NO NO YES Hartz Capital Investments LLC HARTZ CAPITAL INVESTMENTS LLC Mary Ann Coleman YES NO NO NO Heritage Investing Inc Heritage Investing Inc Jimmy Benzaquen NO NO YES NO IMDN Holdings LLC IMDN Holdings LLC Mark Gonzalez YES NO NO NO Inverban SA INVERBAN SA Mauricio Pretelt (RM) YES NO NO NO James E Ferrell Revocable Trust Two JAMES E FERRELL REVOCABLE TRUST TWO Sean Jules (RM) Josh Shoshan (KCP) NO NO NO NO JAWS CAPITAL LP JAWS CAPITAL LP Michele-M Quattrocchi YES NO NO YES JHAC LLC JHAC, LLC Carolyn Magliaro YES NO NO NO JOHN R MILLER ENTERPRISES LLC JOHN R MILLER ENTERPRISES, LLC Xavier Avila NO NO NO NO JOHN W CHILDS JOHN CHILDS Salvatore E. Moore NO NO NO NO Kawa Capital Kawa Capital Management Eduardo Pieta NO NO NO NO KIFENOR SA KIFENOR SA DCARLA OLIVEIRA NO NO NO NO Lepton Fund Ltd Lepton Fund Ltd Eva Pace YES NO NO YES LUMA RELATIONSHIP Tresalia Hedge Latam L.P. not in DBF YES NO NO NO Mantiqueira Overseas Mantiqueira Overseas Fund Eva Pace NO NO NO NO Meister, Keith A KEITH A MEISTER Rosemary Vrablic (RM) Josh Shoshan (KCP) NO NO NO NO Milber 219 Mamaroneck LLC Milber 219 Mamaroneck LLC Rosemary EFTA01406709 Vrablic YES NO NO NO Milber Holdings LLC Milber Holdings LLC Rosemary Vrablic YES NO NO NO Monex Inversiones S.A. Monex Inversiones SA Reynaldo Figueredo YES NO NO NO MPT Funds SPC Ltd MPT Funds SPC Ltd Mauricio Pretelt YES NO NO NO MSD Capital, LP MSD Capital L.P. Stewart Oldfield YES NO NO NO 03 Capital Global Fund 03 Capital Global Fund Eduardo Pieta YES NO NO YES PARKWOOD LLC Parkwood LLC not in DBF YES NO NO YES Peak6 Investments, L.P. Peak6 Investments,L.P. Sean Jules YES NO NO NO PEROT, HENRY R. RELATIONSHIP Petrus Asset Management Company not in DBF YES NO NO NO PETER FINE PETER FINE Brian Convey NO NO NO NO PW FOCUS FUND LLC PW FOCUS FUND LLC Lee Flutter YES NO NO NO Rentas Hay International Inc Rentas Hay International Inc Mauricio Pretelt YES NO NO YES Robert L Allbritton Robert L Allbritton Douglas Robertson NO NO NO NO Robert Lewis Allbritton 1996 Trust Robert Lewis Allbritton 1996 Trust Douglas Robertson NO NO YES NO Ronald W Burkle RONALD BURKLE Deirdre Judge (RM) Vahe Stephanian (KCP) NO NO NO NO SC Delancey LLC SC DELANCEY LLC Mark Gonzalez YES NO NO NO SHEFFIELD ASSET MANAGEMENT Sheffield Asset management Gregory Kiesel YES NO NO NO SIGNATURE CAPITAL SAPI DE CV SIGNATURE CAPITAL SAPI DE CV BILLY OBREGON YES NO NO NO Silver Rock Financial LLC Silver Rock Financial LLC Deirdre Judge YES NO NO NO Sincock II, Craig R CRAIG R SINCOCK II Michael S. Jacoby (RM) Josh Shoshan (KCP) NO NO NO NO SOMERSTON INVESTMENTS LTD SOMERSTON INVESTMENTS LIMITED Mark Westhoff YES NO NO YES SOUTHERN FINANCIAL LLC SOUTHERN FINANCIAL LLC Stewart Oldfield NO NO NO YES Southern Trust Company Inc Southern Trust Company Inc Stewart Oldfield NO NO NO NO STEVEN A TANANBAUM STEVEN A TANANBAUM Terri Sohrab NO NO NO NO Televisa Talento, S.A de C.V. Grupo Televisa, S.A.B Armando Estua- Belaunzaran YES NO NO NO TENDENCIA ASSET MANAGEMENT LTD TENDENCIA ASSET MANAGEMENT Limited Eduardo Pieta (RM) Billy Obregon (KCP) YES NO NO NO The Lamia Ventures Corporation The Lamia Ventures Corporation Mauricio Pretelt NO NO NO YES EFTA01406710 The Shenandoah 2008 Trust THE SHENANDOAH 2008 TRUST UAD 07-23-08 STANLEY N B Rosemary Vrablic (RM) Josh Shoshan (KCP) NO NO NO NO Tonelle Limited Tonelle Limited Gabriel Micheletti YES NO NO NO TOW, LEONARD RELATIONSHIP Equity Investments, LP Sean Jules YES NO NO YES Tradelnvest Financial Holdings Ltd Tradelnvest Financial Holding LTD Terri Sohrab YES NO YES YES Vanguardia Inversiones SAS Vanguardia Inversiones SAS Dcarla Oliviera/Eduardo Castro NO NO YES YES 43 = YES OLD VERSION OF ADL 7 - Priority &"arial unicode ms,Regular"For internal use only EFTA01406711 WM ISG WM Client Name GM Client Name Has the client been through the CIB KYC onboarding process? YES/NO Does the client have the London Terms of Business on file? YES/NO Does the client have an Agency Direction Letter on file? YES/NO PRIORITY YES / NO 125 Washington Place, LLC 125 WASHINGTON PLACE LLC YES NO NO NO 134 West 58 Realty LLC 134 West 58 Realty LLC YES NO NO YES 140-154 W 72 Realty LLC 140- 154 W 72 REALTY LLC NO NO NO YES 175 West 85 Realty LLC 175 WEST 85 REALTY LLC YES NO NO NO 198-202 Elizabeth Street LLC 198-202 & 204-210 ELIZABETH STREET LLC NO NO NO YES 237 WEST 13 REALTY LLC 237 WEST 13 REALTY LLC YES NO NO NO 239-243-247 W 21 Realty LLC 239-243-247 W 21 REALTY LLC NO NO NO YES 23rd Street, LLC 23rd Street LLC YES NO NO NO 245 E 19 REALTY LLC 245 E 19 REALTY LLC NO NO NO NO 250 E 63 REALTY LLC 250 E 63 REALTY LLC NO NO NO YES 30 WEST 72 REALTY LLC 30 WEST 72 REALTY LLC NO NO NO NO 78/79 York Associates LLC 78/79 YORK ASSOCIATES LLC YES NO NO YES A/D Investors Fund LP A D INVESTORS FUND LP YES NO NO NO Adriatic Opportunities Master Fund Cayman, SPC ADRIATIC OPPORTUNITIES MASTER FUND CAYMAN SPC NO NO NO NO ALCANTARA LLC ALCANTARA LLC NO NO NO NO Amazonia SP PWM NY AMAZONIA SP NO NO NO NO Amir Weissfisch Amir Weissfisch YES NO YES YES ANTONY S & JANET C WILLIAMS ANTONY S & JANET C WILLIAMS NO NO NO NO ARBITER SPECIAL OPPORTUNITIES FUND II LP ARBITER SPECIAL OPPORTUNITIES FUND II LP YES NO NO NO Banco Invex, SA, Institucion de Banca Multiple, INVEX Grupo Financiero as Trustee to Fideicomiso No 911 Banco Invex, SA, Institucion de Banca Multiple, INVEX Grupo Financiero as Trustee to Fideicomiso No 911 NO NO NO NO Bayern Ltd BAYERN LIMITED NO NO NO NO Ben Nevis Partnership SP Ben Nevis Partnership SP YES NO NO YES Bhat, Nityanand PWM NY NITYANAND BHAT NO NO NO NO BioDuro LLC BioDuro LLC NO NO NO YES BNDD Shabtai Investments LLC BNDD Shabtai Investments LLC NO NO NO NO Bridgewest Capital LLC Bridgewest Capital LLC YES NO NO NO Burger, Peter Peter Burger NO NO NO NO BURO INMOBILIARIO AVANTI SA DE CV BURO INMOBILIARIO AVANTI SA DE CV NO NO NO NO EFTA01406712 Camphill Village Copake Foundation, Inc Camphill Village Copake Foundation, Inc NO NO NO NO Charles Stein Charles Stein NO NO NO NO Chicago NBC Tower Investments, Inc Chicago NBC Tower Investments, Inc NO NO NO NO Cityview Plaza LLC Cityview Plaza LLC YES NO YES YES CORDISH ENTERPRISES II LLLP CORDISH ENTERPRISES II LLLP YES NO NO NO CROWN WATERIDGE ASSOCIATES LP CROWN WATERIDGE ASSOCIATES, LP YES NO NO YES CUSTODY ERRORS & CLAIMS ACCOUNT MISC CUSTODY ERRORS & CLAIMS ACCOUNT MISC NO NO NO NO d'Arenberg, Pierre PWM NY PRINCE PIERRE D ARENBERG_Markets_NSP NO NO NO NO DAVID TODD STEVENS DAVID TODD STEVENS NO NO NO YES DAVID W ZALAZNICK & BARBARA M ZALAZNICK DAVID W & BARBARA M ZALAZNICK YES NO NO NO DB Zurich DB Zurich NO NO NO NO de Balmann Family Holdings LLLP de Balmann Family Holdings LLLP NO NO NO NO DECCAN VALUE ADVISORS FUND LP DECCAN VALUE ADVISORS FUND LP NO NO NO NO DECCAN VALUE INVESTORS BPI FUND LP DECCAN VALUE INVESTORS BPI FUND LP YES NO NO NO Diakrisis Fund LP Diakrisis Fund NO NO NO NO Dirnad Fund LP DIRNAD FUND LP NO NO NO NO Diro PTE LTD NY DIRO PTE LIMITED NO NO NO NO DISCERENE FUND LP DISCERENE FUND LP NO NO NO NO DOBSON CC LIMITED PARTNERSHIP DOBSON CC LIMITED PARTNERSHIP YES NO NO NO DVG 1740 Fund LP DVG 1740 Fund LP YES NO NO NO Elysee of Brickell LLC Elysee of Brickell LLC NO NO NO YES EQUINIMITY LLC EQUINIMITY LLC NO NO NO NO ETERNITY LIMITED ETERNITY LIMITED NO NO NO NO FIDEICOMISO BANAMEX 16730-2 BANCO NACIONAL DE MEXICO S A FIDEICOMISO 167302 NO NO NO NO FRANCISCO AGUSTIN COPPEL LUKEN FRANCISCO AGUSTIN COPPEL LUKEN YES NO NO NO Gabena PTE LTD GABENA PTE LIMITED NO NO NO NO GOLDENTREE ASSET MANAGEMENT LP GOLDENTREE ASSET MANAGEMENT LP YES NO NO NO Gracie Investing, LLC Gracie Investing, LLC NO NO NO NO Granite 1717 Hotel LLC GRANITE 1717 HOTEL LLC NO NO NO YES H & N Shahery Revocable Trust The H&N Shahery Revocable Trust YES NO NO NO H/D INVESTORS FUND LP PWM US H D INVESTORS FUND LP YES NO NO NO EFTA01406713 Harmonia International Ltd. Harmonia International Ltd NO NO YES NO HEBRIDES PARTNERSHIP HEBRIDES PARTNERSHIP YES NO YES NO HENRY RITCHOTTE HENRY RITCHOTTE YES NO NO YES Hialeah Fee commons Ltd Hialeah Fee commons, Ltd YES NO NO YES HUIZHI FUND LP PWM US Huizhi Fund LP NO NO NO NO Humility Ltd HUMILITY LIMITED NO NO NO NO ICARO INVESTMENTS LIMITED ICARO INVESTMENTS LTD NO NO NO NO Inmobiliaria Evian-Chamonix SA de CV Inmobiliaria Evian-Chamonix SA de CV NO NO NO NO IN-REL Properties Inc IN-REL PROPERTIES INC NO NO NO NO INRES CORPORATION INRES CORPORATION YES NO NO YES Internet Resources Management, Inc Internet Resources Management, Inc NO NO NO YES James P Kellner & Michele D Kellner James P & Michele D Kellner NO NO NO NO JANA HOLDINGS LLC JANA HOLDINGS LLC NO NO NO NO JESUS MANUEL MUNOZ and MARYEN MUNOZ JESUS MANUEL & MARYEN MUNOZ NO NO NO NO JONATHAN BLOOSTEIN JONATHAN BLOOSTEIN YES NO NO NO JORGE LUIS ORBAY & MARIA MARGARITA TREMOLS JORGE LUIS ORBAY MARIA MARGARITA TREMOLS NO NO NO NO Josiko Properties LLC Josiko Properties LLC YES NO NO YES Juergen and Meifang Buchsteiner Juergen and Meifang Buchsteiner YES NO NO NO JWM Family Enterprises, Inc JWM FAMILY ENTERPRISES NO NO NO NO Karlin Las Palmas Subsidiary, LLC Karlin Las Palmas Subsidiary, LLC YES NO NO YES Karlin Real Estate 2, LLC Karlin Real Estate 2, LLC YES NO NO YES Kassar Price 2008 Revocable Trust Kassar Price 2008 Revocable Trust YES NO NO YES KLAUS NEHRING PROF KLAUS NEHRING NO NO NO NO Lenton Properties Inc Lenton Properties Inc NO NO NO NO Lepow, Howard Howard Lepow YES NO YES NO Linton Grove Holdings LLC Linton Grove Holdings LLC YES NO NO YES M/D Investors Fund LP PWM NY M D INVESTORS FUND LP YES NO NO NO MC2 Holdings LLC MC2 Holdings LLC NO NO YES YES Mercer, Robert L Mercer, Robert L NO NO NO NO MONTECO INTERNATIONAL CORP MONTECO INTERNATIONAL CORP NO NO NO NO Mulberry Vine Limited Mulberry Vine Limited NO NO NO NO NINA FUND LP NINA FUND L P NO NO NO NO EFTA01406714 NIV Capital Partners LP NIV Capital Partners LP NO NO NO NO Onni Hudson Limited Partnership Onni Hudson Limited Partnership YES NO NO NO OP, LLC OP LLC NO NO NO NO Parmer RTP LLC Parmer RTP LLC NO NO NO NO PINEWOLD MANAGEMENT COMPANY LP PINEWOLD MANAGEMENT COMPANY, LP NO NO NO NO PRIVATE WEALTH MANAGEMENT NEW YORK PRIVATE WEALTH MANAGEMENT NEW YORK YES NO NO NO PRIVATE WEALTH MANAGEMENT NY AC PB US ONSHORE PRIVATE WEALTH MANAGEMENT NY AC PB US ONSHORE YES NO NO NO PRODUCTIVE HOLDINGS S A PRODUCTIVE HOLDINGS S A YES NO NO YES Railroad Properties LLC Railroad Properties LLC NO NO NO NO RAJ BHATTACHARYYA RAJ BHATTACHARYYA YES NO NO YES RAVENSFIELD TRUST RAVENSFIELD TRUST NO NO NO NO Red Oak Investment Fund Red Oak Investment Fund YES NO YES YES SCA Ventures LLC SCA Ventures LLC YES NO NO NO Southern Fox Investments Ltd Southern Fox Investments LTD YES NO NO NO STEVEN J KASSIN & ISAAC S FRANCO JOINTLY & SEVER STEVEN J KASSIN & ISAAC S FRANCO JOINTLY & SEVER NO NO NO YES Stitzer, Howard T HOWARD TODD STITZER NO NO NO NO Sunset and Doheny Property, LLC SUNSET & DOHENY PROPERTY LLC NO NO NO YES T CO Metals LLC T CO Metals LLC YES NO NO YES The Balmoral Unit Trust The Balmoral Unit Trust NO NO NO NO The Cordish Family II, LLC The CORDISH FAMILY II LLC YES NO NO NO THE FLORESCUE FAMILY CORP THE FLORESCUE FAMILY CORP YES NO NO NO The Gary E Primm Family Trust dated April 10, 1984 THE GARY E PRIMM FAMILY TRUST DATED APRIL 10 1984 NO NO NO NO THE JAMES P KELLNER 2008 IRREVOCABLE TRUST THE JAMES P KELLNER 2008 IRREVOCABLE TRUST YES NO NO YES The MST Trust MST Trust YES NO YES NO THE PETER MULLIN FAMILY TRUST UDT DTD 12-18-2000 PETER MULLIN FAMILY TRUST Dated Dec 18 2000 NO NO NO NO The Tayebi Family Trust AKA The Unity Trust Tayebi Family Trust YES NO YES NO Third Street Mall Properties, LLC Third Street Mall Properties, LLC YES NO NO YES Thomas Point Ventures LP THOMAS POINT VENTURES LP NO NO NO NO Tilman J. Fertitta Tilman J. Fertitta NO NO NO NO Timothy Rattray Timothy Rattray YES NO NO NO TRUMBULL EQUITIES LLC TRUMBULL EQUITIES LLC YES NO NO NO Valiotis, Efstathios EFSTATHIOS VALIOTIS NO NO NO NO Visper Pte Ltd Visper Pte Ltd NO NO NO NO EFTA01406715 Vitton, Michael MICHAEL S VITTON NO NO NO NO Wasserman, Edward EDWARD PAUL WASSERMAN NO NO NO NO YD SMA LLC YD SMA LLC YES NO NO NO 53 = YES OLD VERSION OF ADL 12 - Priority Warial unicode ms,Regular"For internal use only EFTA01406716 Other Outstanding Counterparty Name 78/79 York Associates, LLC (7879YORADANY) Richard Ortwell Balmoral Unit Trust Bellerofonte LLC (PWMBELLEROMD) Ben Nevis Partnership SP (PWMNYBENSPNY) Brian Bradstreet Cityview Plaza LLC (PWMUSCITPLMD) Crown Wateridge (CROWWATASSCA) Fifth Avenue South, LLC Florescue Family Corporation (PWMUSFLOFCMD) Frank Strausser H&N Shahery Revocable Trust Hialeah Fee Commons, Ltd. IMDN Holdings LLC (PWMUSIMDNHNY) Internet Resources Management (PWMUSINTRENY) James and Michele Kellner JTWROS (PWMUSJAMKENY) Jappa Investments LP Jesus Manuel Munoz Maryen Munoz JT TEN (PWMUSJESUSMD) John Childs Josiko Properties, LLC (PWMUSJOSPRNY) Karlin Las Palmas Subsidiary LLC (PWMUSKARLANY) Karlin Real Estate Europe 2, LLC (PWMUSKARRENY) fleetwood Kassar Price 2008 Revocable Trust (PWMUSK2008NY) Linton Grove MC2 Holdings LLC (PWMUMC2HOLMD) MST Trust/ Masood Tayebi PWMNYINRESNY (Inres Corporation) Santa Clara Valley Housing SC Delancey LLC (PWMUSSCDELNY) SCA Ventures LLC Steve Edgar Sunset and Doheny The James P. Kellner 2008 Irrevocable Trust (JAMPKEL20INY) Third Street Mall Porperties LLC (PWMTHSSTREECA) Trumbull Equity LLC (TRUMBEQUITNY) Victoria Property Holdings LP Victoria Property Holdings LP &"arial unicode ms,Regular"For internal use only EFTA01406717