EFTA01398726.pdf

US-Onshore HRIPM Due2017 Customer Name leustomer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Explanation Bank Auto Exempt Reason Client Since Date Hernstadt, Edward W. Liz Payne 2017 1 3/20/1985 CLAWSON, CURTIS J Sean Jules 2017 1 1/24/2003 Sillerman, Robert F.X. Terri Sohrab 2017 1 1/5/2007 Allen, Paul Gardner Russell Daulton 2017 1 12/8/2009 Desnick, James Rosemary Vrablic 2017 1 7/22/2008 Desnick, Ahuva Rosemary Vrablic 2017 1 7/29/2014 DEG Capital G.P. 1 Inc. Terrence Tangney 2017 1 9/17/1997 Big River Real Estate, LLC Brian Convey 2017 1 12/31/2007 The 2000 Robert and Laura Sillerman Descendants' Trust Terri Sohrab 2017 l ignagal5/2008 Comsup Commodities Inc Rosemary Vrablic 2017 1 4/27/2009 Comsup Ltd. Rosemary Vrablic 2017 1 12/26/2008 Comsup Minerals Ltd Rosemary Vrablic 2017 1 12/26/2008 Atlas Real Estate Funds, Inc Terri Sohrab 2017 1 12/23/2008 Charles G. Koch 1997 Trust David Rodin 2017 1 7/29/2009 Profile Property Trust Dated 3/16/2005 Susan Burnett 2017 1 8/7/2009 Antelope Insurance Company, Inc. Deirdre Judge 2017 1 12 29 2009 Hymowitz, Gregg Joanne Jensen 2017 1 12/14/2010 Jolli Four, LLC Joanne Jensen 2017 1 12/20/2010 EDF LLC 00000458968 Joanne Jensen 2017 1 11/21/2011 20 East 64th Street, LLC Joanne Jensen 2017 1 7/18/2011 Infinity LW 12th Street, LLC Rosemary Vrablic 2017 1 6/17/2011 LW 12th Street Holding, LLC Rosemary Vrablic 2017 1 6/17/2011 IL MULINO USA, LLC Rosemary Vrablic 2017 1 6/29/2011 Guardian Investment Company Ltd. Terri Sohrab 2017 1 6/27/2011 Perpetual Aviation, LLC Rosemary Vrablic 2017 1 9/6/2011 EFTA01398726 A-GRADE INVESTMENTS II LLC Deirdre Judge 2017 1 11/15/2011 Winklevoss, Cameron Joanne Jensen 2017 1 5/29/2012 Winklevoss, Tyler Joanne Jensen 2017 1 5/29/2012 MDeG Investment Group, LLC Terrence Tangney 2017 1 7/3/2012 Carlyle Energy Mezzanine Opportunities Fund - Q, L.P. Joanne Jensen 2017 1 9/6/2012 The 2012 Diana L. Mercer Family GST Trust Mary Ann Coleman 2017 1 9/26/201 Noah B. Mamet Revocable Trust Deirdre Judge 2017 1 2/13/2013 Stallion 44, LLC Rosemary Vrablic 2017 1 3/12/2013 Rockpoint Real Estate Fund IV LP Rosemary Vrablic 2017 S illi4/2013 Zelenko, Jill Joanne Jensen 2017 1 10/21/2014 Sunbridge Holdings, LLC Malcolm Kimble 2017 1 6/27/2013 Marriott, Stephen Blake Brian Convey 2017 1 8/20/2013 New Balloon Investments, LLC David Rodin 2017 1 9/20/2013 3075 Wilshire, LLC Susan Burnett 2017 1 11/8/2013 WS Paley 68 Suppl Tr SC Burden III Et Al Rachel Maglicic 2017 1 2/26/2014 WS Paley 68 Prmry Tr SC Burden III Et Al Rachel Maglicic 2017 1 2/25/2014 Honey Badger Investments LLC Deirdre Judge 2017 1 11/26/2013 Rousseau, Douglas E Salvatore E. Moore 2017 1 1/30/2014 Casterlirock Holdings, LLC Joanne Jensen 2017 1 4/16/2014 Schwartz, Alan E. Salvatore E. Moore 2017 1 6/4/2014 KKR Holdings, LP Michael King 2017 1 5/13/2014 9800 La Cienega, LLC Susan Burnett 2017 1 7/9/2014 KYUNG KU CHO AND DEBRA MIHEI CHO REVOCABLE TRUST Susan Burnett 2017 1 7/17/2014 EnTrust Palmetto LLC Joanne Jensen 2017 1 6/10/2014 The ABEN Liquidating Trust IIIIIIIIIIII Rosemary Vrablic 2017 1 6/26/2014 The James and Debbie Cho Foundation Susan Burnett 2017 1 6/27/2014 EFTA01398727 David E.I. Pyott Trust dtd 04/18/2014 Jake Block 2017 1 9/10/2014 Julianna Eva Pyott Trust est 06/20/2014 Jake Block 2017 1 9/10/2014 Alliance for a Free Society, Inc. David Rodin 2017 1 8/6/2014 Coalition for a Better Wichita, Inc. David Rodin 2017 1 8/7/2014 Arbiter Special Opportunities Fund I LP Joanne Jensen 2017 1 9/25/2014 Arbiter Special Opportunities Fund II LP Joanne Jensen 2017 1 9/25/2014 Zisook Enterprises L.P. Michael E. McCarthy 2017 1 10/7/2014 Michelle Desnick Minority Trust dtd 8/14/89 Rosemary Vrablic 2017 1 9/16/2014 Jordan Desnick Minority Trust INOMPIANINI Rosemary Vrablic 2017 1 9/16/2014 Desnick Descendants Irrevocable Trust Rosemary Vrablic 2017 1 Active View, LLC ii ii Deirdre Judge 2017 1 10/9/2014 LHRB LLC Joanne Jensen 2017 1 11/20/2014 Bee's Center Films LLC Joanne Jensen 2017 1 11/20/2014 Do It Again, LLC Joanne Jensen 2017 1 12/5/2014 Cameron Winklevoss Family Exchange Trust Joanne Jensen 2017 1 10/23/2014 Tyler Winklevoss Family Exchange Trust Joanne Jensen 2017 1 10/23/2014 AFSF II AIV-D LP Joanne Jensen 2017 1 12/5/2014 Blackstone Property Partners Lower Fund 1 L.P. Joanne Jensen 2017 1 11/20/201 Infinity Equity Ventures LLC Rosemary Vrablic 2017 1 11/26/2014 Blackstone Property Partners L.P. Joanne Jensen 2017 1 11/20/2014 AFSF II AIV Investors - D L.P Joanne Jensen 2017 1 12/5/2014 Gemini IP, LLC Joanne Jensen 2017 1 12/17/2014 For internal use only EFTA01398728 US-Onshore HRIPM PastDue Customer Name leustomer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Explanation Bank Auto Exempt Reason Client Since Date L P Weicker Est H Weicker Et At Tr Andrea Nicoletti 1986 1 2/17/198 L P Weicker Est T M Weicker Et Al Tr Andrea Nicoletti 1986 1 2/17/198 L P Weicker Est Mary A Mellor Etal Tr Andrea Nicoletti 1986 1 2/17/1983 GEORGE L K FRELINGHUYSEN TRUST Liz Payne 1997 1 7/27/1994 Bunzel, Max Joanne Jensen 2016 1 9/4/2013 Bunzel, Maxwell Joanne Jensen 2016 1 1/15/2013 Bunzel, Mary Joanne Jensen 2016 1 1/8/2013 MARY ELIZABETH BUNZEL 2009 IRREVOCABLE TRUST UAD 09/11/09 Joanne Jensen 2016 1 1/10/2013 Nevada Land III LLC Rosemary Vrablic 2016 1 8/13/2009 Levitt Jr., Arthur Joanne Jensen 2016 1 12/22/2009 Fertitta, Tilman Malcolm Kimble 2015 1 12/31/2012 Loeb Jr, John Salvatore E. Moore 2016 1 3/27/2013 Zappala, Joseph Joanne Jensen 2016 1 4/17/2013 John L. Loeb Associates, Inc. Employee Pension Plan Salvatore E. Moore 2016 1 5/9/2013 The Mercer Family 2009 Non-Exempt Trust f/b/o Heather Sue Mercer Mary Ann Coleman 2016 1 7/3/2013 The Mercer Family 2009 Non-Exempt Trust f/b/o Jennifer L. Mercer Mary Ann Coleman 2016 1 7/3/2013 The Mercer Family 2009 Non-Exempt Trust f/b/o Rebekah Mercer Mary Ann Coleman 2016 1 7/3/2013 STB Holdings L.P. 00000485824 Michael S. Jacoby 2016 1 9/26/2013 JEGE, LLC Stewart Oldfield 2016 1 10/18/2013 Plan D, LLC Stewart Oldfield 2016 1 10/18/2013 GNLC Holdings, Inc. Malcolm Kimble 2015 1 11/20/2013 Marjorie S Daitch Revocable Trust Salvatore E. Moore 2016 1 7/22/2011IIIIIIIIII Lone Star Fund VI (U.S.), L.P. Rosemary Vrablic 2016 This client is exiting by the end of 2017 the latest. the client is aware that DB is exiting the PE business. This account also belonged to Marcy Morgan who is no longer with the bank. 1 7/1/2008 For internal use only EFTA01398729 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 Customer Owner Exception Expires Reason for Exce tion (If Ap licable Days Overdue MSR Silo 691 St Nicholas JV LLC Client Rosemary Vrablic 5/31/2017 ****extended. 30- day exception for executed operating agreement of 691 St Nicholas JV LLC. See attached Compliance approval for extension until 4/14/2017. -30 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01618173 UNICOM Technology Park, Inc. Prospect Dan Gray 6/24/2017 Temporary exception to obtain a Borrowers Resolution. Extended for 90 more days (see email attached) 11/22/2016 Extended for 4 more weeks. See email attached (2/24/17). Extended for 90 days (3/24/17) -54 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Fanjul, Alfonso Prospect Oti Roberts 5/21/2017 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 -20 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob US-Onshore 691 St Nicholas JV LLC Client Rosemary Vrablic 5/31/2017 **extended** See KYC 1609297 for temporary exception for executed operating agreement of 691 St Nicholas JV LLC. See attached Compliance approval for extension until 4/14/2017. -30 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01699159 Janet and Earl Seekins Family Foundation lent Terrence Tangney 5/8/2017 30 day Temporary exception to obtain the IRS letter providing the client with an exempt status -7 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01704241 Colony Lascombes Partners, L.P. Prospect Susan Burnett 7/24/2017 Monitoring the ongoing investigation -84 Armen Brash, Andrew Galivan, Michael J. Davis Michael Jacoby US-Onshore 01739673 Leonard N. Stern Family Trust Client Mary Ann Coleman 5/3/2017 TIN and Date of registration for the trust. 3/22/2017: executed trust is attached. The TIN and date of the establishment for the trust are documented on the case comments. (Cleared) Exco approval -2 Armen Brash, Andrew Galivan, Michael J. Davis Michael Jacoby US-Onshore 01752644 IIIIIIIIIIII Batmasian, Marta Client Rachel Maglicic 10/6/2017 Monitoring of ongoing litigation. -158 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01755879 Capital University Client EFTA01398730  Terrence Tangney 5/10/2017 30-day temp exception for full KYC info in compliance with updated policy -9 Armen Brash, Andrew Galivan Michael J. Davis, Michael Jacoby US-Onshore 01758801 Lascell, Daniel M. Client Terrence Tangney 5/12/2017 30-day temp exception for full KYC info in accordance with updated policy, additionally, BIS searches for SOW Appirio are required in accorance with updated policy -11 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onsh 01759276 Kimball-Ruttenberg, Jemma Q. Client Terrence Tangney 5/5/2017 30-day temp exception for full KYC info in compliance with updated policy, full KYC party searches -4 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Todd R. Wanek 2015 GRAT Client Stewart Oldfield 5/2/2017 10-day temp exception for RM approval, please see attached email -1 Armen Brash, Andrew Ga • ' el J. Davis, Michael Jacoby US-Onshore 01760109 The Patricia A. Russo Personal Residence Trust - 1998 Client Joanne Jensen 7/9/2017 Standard 90-day exception for executed trust agreement. -69 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore For internal use only EFTA01398731 US-Onshore_TmpExcptOver Temporary Exceptions- Domestic (All Overdue) 5/1/2017 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 Customer Owner Exception Expires Reason for Exception (If Ap licable Days Overdue MSR Silo 01637120 Equities First Holdings, LLC Prospect Vanessa Simonetti 3/20/2017 Pending investigation. -DB was notified by their sub-custodian that the Thai Police were "investigating" First Equities LLC. The WM business attempted to get more information about the scope of the investigation (e.g. is it civil, is it criminal, does it concern First Equities LLC or another entity, etc.), but were unable to obtain any additional information. It was agreed that a "standard" Level II Public Records (ie REDD Cat 2) investigation, and an APAC vendor (Blue Umbrella) provided report to DB dtd September 4th, 2015. Findings were reviewed with Wayne Salit and Armen Bras, and all agreed that it did not warrant exiting the relationship. However, it was agreed that relationship will be upgraded to 'high-risk' and reviewed every six months for the next few years. (see attached Blue Umbrella report and email confirmation summary from Wayne Salit). 42 Armen Brash, Andrew Galivan, Michael . D vis Michael Jacoby US-Onshore 01758071 Durwood Wilmot Ringo Revocable Trust Client Terrence Tangney 4/28/2017 TE to complete all the fields in the KYC profile including the Volcker flag. 3 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01758149 Patricia Louise Ringo Revocable Trust Client Terrence Tangney 4/28/2017 TE to complete all the fields in the KYC profile including the Volcker flag. 3 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore For internal use only EFTA01398732 Acct opening exceptions Case Number Customer Name Created By Opened Date Product Description Exception Expires Created Alias Reason for Exception Fax Copies Exception Days Overdue 01754160 BPP F.1 DE Viking 3 LP Melisa Venegas 3/23/2017 30 day exception for CRP for the following accounts: 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 Viking 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 (Contributing) 42967076 BPP F.2 DE Viking LP (Operating) 42967498 BPP F.2 DE Viking 2 LP (Contributing) 42967084 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 ABR 30 day CRP exception for 18 entities N 12 01443412 Axia Realty, LLC Anna-Sofiya Lupolover 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 already a money market account o ened for this entity. KYC: 01352638 NAO: 10157045 Please email with the account # once the account is opened. Thank you. 9/8/2015 MNGMNT Updated LLC Resolution N 435 For internal use only EFTA01398733