EFTA01420379.pdf

Sheetl Annual Client Update: ID Customer Number Customer Name Relationship Material Changes A15. Client Status Update Description COMMENTS Epstein, Jeffrey SOUTHERN FINANCIAL RELATIONSHIP Jeffrey has not had any circumstantial changes Darren Indyke was added as POA to Jeffrey's accounts AML to Close - KYC Done ►01221773 Katzman, John KATZMAN, JOHN RELATIONSHIP Client is currently building out a new company called noodle.org N/A AML to Close - KYC Done #01296046 Dixon, Wesley M SEARLE FAMILY RELATIONSHIP See above. Client has passed away. Client has passed away - see above. This event was documented in KYC case ►01251849 for the Estate of Wesley M. Dixon Jr. AML to Close - KYC Done #1251849 KASTEGE S.A. KASTEGE S.A.RELATIONSHIP Mr. Federico Lachner, and hi s son Karl are dedicated to construction, and engineering. Income derives from projects, and develpm ents. Mr. Karl Lachner informed that his father passed away last June. A certified copy of the Dea th Certificate will be sent next week. Expected by July 30, 2014. AML to Close - KYC Done #012 98469 Indigo Blue Finance Limited COMPANIA TECNOLOGIA RELATIONSHIP The Chulani family owns jewelry, perfumes, and electronic stores. Mr. Tikamdas Chulani is the register ed holder of 1,000 shares of the company. Mr. Chulani passed away. AML to Close - KYC Done #101 0703 Northumbria Corporation BERNARDO BIRMANN RELATIONSHIP Bernardo is now vice -president of Northumbria Corp, a PIC which holds several business ventures that are under a family trust where he is the beneficiary. Per his lawyers , they are preparing the paperwork so he can be t he joint owner along with the existing owner which is his grandmother. Once documents are received i will update the KYC. Bernardo makes 250m usd in income from local investments. Bernardo Birmann is in the process of joint owning Northumbria with his grandmother. The lawyers will provide me with th e documents in the next couple of weeks . I will update the KYC accordingly. AML to Close - KYC D one #01253754 Marco, LP THE BOSARGE FAMILY RELATIONSHIP currently invested in a dive rse fixed income protfolio and cash. adding & deleted signatories, David Houston should be remove d. Darla Tollefson, Tyson T Voelkel, Mark A Russell are being added. AML to Close - KYC Done #011 79732 Luksic, Guillermo LUKSIC, GUIL RELATIONSHIP Client is deceased Client is deceased. KYC 1129514 was already done to record his death from cancer. AML to Close - KYC Done #01129514 LBF Consulting Services B.C. LTD RAMIREZ RELATIONSHIP No material changes - consulting fees are relatively stable to last year's fees. One of the partners recently passed away - there is going to be changes to the sigantories in the account. The client has not ye t specified if a new sigantory is to be added. AML to Close - KYC Done #01292698 Ramirez Villalon, Eduardo Florentino RAMIREZ RELATIONSHIP family busin ess continues to expand specially into India. relationship is opening a new account in Hamburg for corporate needs. The account will hold aprox $80mm AML to Close - KYC Done #1292698 Southern Financial LLC SOUTHERN FINANCIAL RELATIONSHIP No other changes Darren Indyke was added as POA to the account AML to Close - KYC Done #01221773 The Stephen C. Schott 1984 Trust SCHOTT, STEPHEN C. RELATIONSHIP 10-2 1-2014: Client is investing $20MM in Private Equity fund, KKR and has already deposited the full amo unt. The client's income producing activities include rental income from an apartment building in Cu pertino, income from their 600MM+ investments primarily held in Bonds. The client is getting ready t o start a new project in Milpitas, CA and we may provide a loan, but this is in the beginning stages 10-21-2014: Client is investing $20MM in Private Equity fund, KKR and has already deposited the full amount. AML to Close - No Material Change Taylor, Lynda Benvenuti TAYLOR, LYNDA BENVENUTI RELATIONSHIP Real Estate Investments and securities transactions Client added approximately $13MM from Fidelity to IA account 451143. AML to Close - No Material Change Aquiline Financial Services Fund II, L.P. PRINCIPALS OF AQUILINE RELAT IONSHIP Fund's investment focus is financial service companies. Compliance Comment: 3/15/12 ACU is n ow auto exempt. N/A AML to Close - No material change Kingsley, Todd R. KINGSLEY RELATIONSHIP No changes. New Booking Center - Client is opening a mortgage. AML to Close - No Material Change EFTA01420379 EFTA01420380 EFTA01420381