EFTA01432607.pdf

GSE Counterparts Gifts / Entertainment Multiple Counterparts Template (for requests involving more than 10 counterparts) Note: Austria - If it is a PWM client, do not disclose name of individual Counterpart. All Users from Aust ria, please add Client ID to 'Last Name' column Channel Islands - Do not disclose name of individual Counterpart Luxembourg, Malaysia, and Switzerland - Do not disclose name of individual Counterpart and organisat ion name of Counterpart Columns K, L: "Pending Business": Please indicate any upcoming transactions to the best of your kno wledge. Pending business is closure of the deal, extension of a business, termination of a contract or other legally binding relationship with the counterpart or the third person. I Last Name First Name Middle Name (Optional) Organization Name Country Orga nization Type Type of relationship with the counterpart Are you aware of any pending busines s of DB With Counterpart? Details according pending business Are you aware of any G&E tha t was exchanged between Deutsche Bank and any of these Counterparts in the last 12 months? Deta ils about offered / received G&E Comment 1 Sahay Rudy 54 Madison Partners, LLC USA Individual/Retail Prospective/ New Client (<3 months) No Yes Frieze NYC/ Billy Joel Attended Billy Joel. Did not attend Frieze 2 Gabriel James 55 Madison Partners, LLC USA Individual/Retail Prospective/ New Client (<3 months) No Yes Frieze NYC/ Billy Joel Attended Billy Joel. Did not attend Frieze 3 Murzyn Eric Private Investor USA Individual/Retail Prospective/New Clie nt (<3 months) No Yes Frieze NYC/ Billy Joel Attended Billy Joel. Did not attend Frieze 4 Wechsler Brad Private Investor USA Individual/Retail Prospective/ New Client (<3 months) No Yes Frieze NYC/ Billy Joel/Napa Attended Billy Joel. Did no t attend Frieze or Napa 5 Black Leon Private Investor USA Individual/Retail Prospective/New Clie nt (<3 months) No No 6 Carpenter Scott Private Investor USA Individual/Retail Prospective/ New Client (<3 months) No Yes Frieze NYC/Napa Offered Frieze and did not attend. Napa sti 11 pending 7 Lynch Gene Private Investor USA Individual/Retail Prospective/New Clie nt (<3 months) No No 8 Barry Michael Private Investor USA Individual/Retail Prospective/New Clie nt (<3 months) No Yes Frieze NYC Did not attend 9 Lindermann Adam Private Investor USA Individual/Retail Prospective/ New Client (<3 months) No No Frieze NYC/London Attended Frieze London and NYC 10 Lindermann George Private Investor USA Individual/Retail Prospective/ New Client (<3 months) No No Frieze NYC/Jackson Hole Did not attend 11 Marron Don Marron Capital USA Individual/Retail Prospective/New Client (<3 nt onths) No Yes Frieze NYC Did not attend 12 Meister Todd Meister Company LLC USA Individual/Retail Prospective/New Clie nt (<3 months) No Yes Frieze NYC Did not attend 13 Montrone Katherine Latona Associates USA Individual/Retail Pros pective/New Client (<3 months) No Yes Frieze NYC Attended Frieze NYC 14 Chai Chuck Hillspire USA Individual/Retail Prospective/New Client (<3 m onths) No Yes Frieze NYC Did not attend 15 Caska Amber Hillspire USA Individual/Retail Prospective/New Client (<3 m onths) No Yes Frieze NYC Did not attend 16 Snyder Dan Washington Redskins USA Individual/Retail Prospective/New Clie nt (<3 months) No Yes Frieze NYC Did not attend 17 Schreiber Karl Washington Redskins USA Individual/Retail Prospective/ New Client (<3 months) No Yes Frieze NYC Did not attend 18 Gold Stan Shamrock Capital USA Individual/Retail prospective/New Clie nt (<3 months) No Yes Frieze NYC Did not attend 19 Martin Greg Shamrock Capital USA Individual/Retail Prospective/New Clie nt (<3 months) No Yes Frieze NYC and Hockey Game Attended Hockey game, not Frieze 20 Slome Ian Slome Capital USA Individual/Retail Prospective/New Client (<3 m onths) No Yes Frieze NYC Did not attend 21 Epstein Jeffrey J. Epstein Virgin Islands Foundation, Inc USA Individual/Retail Existing Client (>3 months) No No 22 Britton Charles Private Investor USA Individual/Retail Prospective/New Clie nt (<3 months) No Yes US Open/Napa Offered US Open and did not attend. Napa still pend ing 23 Jones Ken Third Lake Capital USA Individual/Retail prospective/New Clie nt (<3 months) No Yes Napa Napa still pending 24 Wanek Ron Private Investor USA Individual/Retail Existing Client (>3 months) No No 25 Bloom Barry Tish Financial Management USA Individual/Retail Prospective/ New Client (<3 months) No Yes Frieze NYC/ Billy Joel/Napa Attended Billy Joel. Did no t attend Frieze or Napa 26 Warner Steve Private Investor USA Individual/Retail prospective/New Clie nt (<3 months) No No 27 Mitra Bonnie Private Investor USA Individual/Retail prospective/New Clie nt (<3 months) No No 28 Kern Jonathan Private Investor USA Individual/Retail Prospective/ EFTA01432607 New Client (<3 months) No No 29 Vaid Rahul Private Investor USA Individual/Retail Prospective/New Clie nt (<3 months) No No 30 Anderson Frohman Everwatch Capital USA Individual/Retail Prospective/ New Client (<3 months) No Yes Frieze NYC Did not attend 31 Wonble Matt Private Investor USA Individual/Retail Prospective/New Clie nt (<3 months) No No Frieze NYC Did not attend 32 Boies Chris Private Investor USA Individual/Retail Existing Client (>3 months) No No 33 Bills Michael Private Investor USA Individual/Retail Prospective/New Clie nt (<3 months) No No 34 Merrins Brian Bluestern LLC USA Individual/Retail Prospective/New Client (<3 m onths) No Yes Frieze NYC Did not attend 35 Homrich David Arthur Blank USA Individual/Retail Prospective/New Client (<3 m onths) No Yes Napa Napa still pending 36 Warren Glen Yorktown Partners USA Individual/Retai1 Prospective/New Clie nt (<3 months) No Yes Frieze NYC/Napa Did not attend either 37 Campf Darren Private Investor USA Individual/Retai1 Prospective/New Clie nt (<3 months) No No 38 Bulloch Roger Private Investor USA Individual/Retail Prospective/New Clie nt (<3 months) No No 39 Burritt Jim Pacific Private Fund Advisors LLC USA Individual/Retail Pros pective/New Client (<3 months) No No 40 Ellin Howard Private Investor USA Individual/Retail Existing Client (>3 months) No No 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 EFTA01432608 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 EFTA01432609 174 175 176 177 178 179 180 181 182 183 184 185 186 187 188 189 190 191 192 193 194 195 196 197 198 199 200 Column H "Type of relationship with the counterpart": "Established clients": Clients where your desk has an established business relationship lasting for more than 3 months. Afghanistan Albania Algeria Andorra Angola Antigua and Barbuda Argentina Armenia Australia Sensitive Counterpart (Eg. Public Official) Regulatory/Supervisory Agency Austria Yes Public Officials (US only) Prospective/New Client (<3 months) Azerbaijan No Corporate Prospective/New Vendor (<3 months) Bahamas Family Member Existing Client (>3 months) Bahrain Government Entity Existing Vendor (>3 months) Bangladesh Government Owned Entity Other Barbados Institutional NA Belarus Individual/Retail Interdealer Broker Belgium Vendor Belize ERISA related (US only) Benin Union or Union-related Official (US only) Bhutan Interdealer Broker Bolivia Bosnia and Herzegovina Botswana Brazil Brunei Bulgaria Burkina Faso Burundi Cambodia Cameroons Canada Cape Verde Cayman Islands Central African Republic Chad Channel Islands Chile China Colombia Comoros Congo-Democratic Republic Congo-Republic Costa Rica Croatia Cuba Cyprus Czech Republic Denmark Djibouti Dominica EFTA01432610 Dominican Republic East Timor / Timor-Leste Ecuador Egypt El Salvador Equatorial Guinea Eritrea Estonia Ethiopia Fiji Finland France Gabon Gambia Georgia Germany Ghana Greece Grenada Guatemala Guinea Guinea-Bissau Guyana Haiti Honduras Hong Kong Hungary Iceland India Indonesia Iran Iraq Ireland Israel Italy Ivory Coast Jamaica Japan Jordan Kazakhstan Kenya Kiribati Kosovo Kuwait Kyrgyzstan Laos Latvia Lebanon Lesotho Liberia Libya Liechtenstein Lithuania Luxembourg Macedonia Madagascar Malawi Malaysia Maldives Mali Malta Marshall Islands Mauritania Mauritius Mexico Micronesia Moldova Monaco Mongolia Montenegro Morocco Mozambique Myanmar Namibia Nauru Nepal Netherlands New Zealand Nicaragua EFTA01432611 Niger Nigeria North Korea Norway Oman Pakistan Palau Palestine Panama Papua New Guinea Paraguay Peru Philippines Poland Portugal Qatar Romania Russia Rwanda Samoa San Marino Sao Tome and Principe Saudi Arabia Senegal Serbia Seychelles Sierra Leone Singapore Slovakia Slovenia Solomon Islands Somalia South Africa South Korea South Sudan Spain Sri Lanka St. Kitts and Nevis St. Lucia St. Vincent and the Grenadines Sudan Suriname Swaziland Sweden Switzerland Syria Taiwan Tajikistan Tanzania Thailand Togo Tonga Trinidad and Tobago Tunisia Turkey Turkmenistan Tuvalu Uganda UK(United Kingdom) Ukraine United Arab Emirates Uruguay USA Uzbekistan Vanuatu Vatican city Venezuela Vietnam Yemen Zambia Zimbabwe For internal use only EFTA01432612 Sheet2 Organizational type Pending business Relationship type Category of Gift or Enteltd_ nment Currency Past G&E Government Entity Yes Established client Gift EUR Yes Institutional No Prospective client Entertainment JPY No Public Official New client PWM client Vendor Retail Family member State Owned Entity Vendor Workers Council Member For internal use only EFTA01432613