EFTA01398924.pdf

US-Onshore_HRIPM_PastDue Customer Name Customer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Exp lanation Bank Auto Exempt Reason Client Since Date Offshore Account Open Date MSR Silo The 1990 Vernon E. Jordan, Jr. Irrevocable Life Insurance Trust 00000480029 Terrence Tangney 2015 1 1/7/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-0 nshore THE HICKEY FAMILY FOUNDATION DEFINED BENEFIT PENSION PLAN 00000480230 Susan Burnett 2010 1 2/5/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Fertitta, Tilman 00000480226 Malcolm Kimble 2015 1 12/31/2012 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore GNLC Holdings, Inc. 00000489224 Malcolm Kimble 2015 1 11/20/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Vernon E. Jordan, Jr. Revocable Trust 00000440507 Terrence Tangney 2014 1 4/16 /1991 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Lone Star Real Estate Fund II (U.S.), L.P. 00000467286 Rosemary Vrablic 2015 1 8/18/2011 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Institute for the Preservation of Arts and Culture Limited 00000474130 Liz Payne 2015 1 8/3/2012 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Brown, Peter F 00000248314 Mary Ann Coleman 2008 1 9/21/2005 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Ataman, Ural 00000175071 Terrence Tangney 2006 1 5/9/2003 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Booker Company, Inc. 00000219021 Andrea Nicoletti 2011 1 7/12/2000 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore The Unity Trust 00000219920 Carolin Botzenhard 2015 1 12/4/2000 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Diouf, Jacques 00000210062 Brian Convey 2009 1 3/6/1998 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Simon Bloom, Aimee 00000113121 Douglas Robertson 1996 1 6/29/1993 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Simon, Johanna K. 00000113118 Douglas Robertson 1996 1 6/29/1993 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Porges, Carol Leigh Simon 00000113120 Douglas Robertson 2008 1 6/29/1993 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Simon Jr., William E. 00000113124 Douglas Robertson 2012 1 1/14/1994 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Simon, Julie A. 00000113119 Douglas Robertson 1996 1 6/29/1993 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Streep, Mary Beth Simon 00000113122 Douglas Robertson 1996 1 6/29/1993 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Shorenstein Realty Services East LLC 00000421852 Lindsy Sanders 2011 1 11/12/2008 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Mitchell, Cynthia 00000430721 Dan Gray 2012 1 2/25/2009 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore William H. Hernstadt 2008 Irrevocable Trust 00000422496 Liz Payne 2011 1 10/2 0/2008 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Simons, Nathaniel 00000410487 Terri Sohrab 2015 1 12/28/2006 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Sea Change Foundation 00000418125 Terri Sohrab 2015 1 5/8/2008 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Wolfensohn, James David 00000417459 Brian Convey 2010 1 11/28/2007 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Profile Property Trust Dated 3/16/2005 00000437863 Susan Burnett 2012 1 8/7/2009 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore The 2012 Diana L. Mercer Family GST Trust 00000477782 Mary Ann Coleman 2014 1 9/26/2012 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore EFTA01398924 US-Onshore_HRIPM_Due2016 Customer Name Customer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Exp lanation Bank Auto Exempt Reason Client Since Date Offshore Account Open Date MSR Silo Katzoff, Stuart 00000437167 Rosemary Vrablic 2016 1 3/17/2010 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Katzoff, Gerald 00000437170 Rosemary Vrablic 2016 1 11/12/2009 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore SK Baseball Holdings LLC 00000437345 Rosemary Vrablic 2016 1 8/13/2009 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Hote126 Operating, LLC 00000456121 Rosemary Vrablic 2016 1 9/27/2010 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Marriott Avery, Nicole L. 00000479674 Brian Convey 2016 1 12/7/2012 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore AK Family Investments, LLC 00000479836 Brian Convey 2016 1 12/26/2012 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Infinity Wooster Street LLC 00000482293 Rosemary Vrablic 2016 1 4/5/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Loeb Jr, John 00000482160 Salvatore E. Moore 2016 1 3/27/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Vickee Jordan Adams 2013 GRAT 00000486896 Terrence Tangney 2016 1 9/26/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore John L. Loeb Associates, Inc. Employee Pension Plan 00000483368 Salvatore E. Moore 2016 1 5/9/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Biedrins, Andris 00000483934 Masa Sekulic 2016 1 9/12/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Zappala, Joseph 00000482673 Joanne Jensen 2016 1 4/17/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Vegas I, LLC 00000483864 Rosemary Vrablic 2016 1 6/21/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Southern Financial LLC 00000483882 Stewart Oldfield 2016 1 8/26/2013 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore The Mercer Family 2009 Non-Exempt Trust f/b/o Rebekah Mercer 00000484462 Mary Ann Coleman 2016 1 7/3/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-O nshore The Mercer Family 2009 Non-Exempt Trust f/b/o Heather Sue Mercer 00000484460 Mary Ann Col eman 2016 1 7/3/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob y US-Onshore Southern Trust Company, Inc. 00000483883 Stewart Oldfield 2016 1 8/26/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Kassin, Isaac 00000485089 Rosemary Vrablic 2016 1 7/17/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore The Mercer Family 2009 Non-Exempt Trust f/b/o Jennifer L. Mercer 00000484461 Mary Ann Col eman 2016 1 7/3/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob y US-Onshore STB Holdings L.P. 00000485824 Michael S. Jacoby 2016 1 9/26/2013 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Anchorage Partners, LP 00000485595 Brian Convey 2016 1 9/26/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Nijjar, Sanjeet 00000452345 Susan Burnett 2016 1 3/28/2011 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Infinity NYY2,LLC 00000448051 Rosemary Vrablic 2016 1 2/25/2010 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore YGE Branding, LLC 00000452354 Rosemary Vrablic 2016 1 7/1/2010 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Blue Bay Corp. 00000445552 Terrence Tangney 2016 AML Comment 1/24/13: HR In Person me eting not required as client is referral from South Street Advisors and the advisor meets with clien t. 1 1/11/2010 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-0 nshore Fundacion Brunilda 00000447243 Terrence Tangney 2016 10/24/13 AML Comment: HR In person meeting not required. South Street Advisors referral and no client meeting is required. 1 1/25/2010 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore n Franco Realty, LLC 00000435811 Rosemary Vrablic 2016 1 6/3/2009 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Franco Realty Group, LLC 00000435806 Rosemary Vrablic 2016 1 6/18/2009 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Community Organizations, LLC 00000435801 Rosemary Vrablic 2016 1 6/11/2009 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore SFX Entertainment Inc. 00000472894 Terri Sohrab 2016 1 3/30/2012 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby us-onshore Viggle Inc. 00000460090 Terri Sohrab 2016 1 2/18/2011 Armen Brash, Andrew Davis, Michael Jacoby US-Onshore 00000489505 Stewart Oldfield 2016 1 12/13/2013 Arme ivan, Michael J. Davis, Michael Jacoby US-Onshore Levitt Jr., Arthur 00000442866 Joanne Jensen 2016 1 12/22/2009 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Carlyle Realty Partners V, L.P. 00000472799 Joanne Jensen 2016 1 4/9/2012 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Gabelli, Marc 00000398349 Mary Ann Coleman 2016 3/30/15: MAC reached out again but d EFTA01398925 id not receive a response 1/2015 MAC reached out twice this month but has not received a response. 1 2/30/14: MAC tried calling client 2 times in December. Natalie Barak left a voicemail. 1 6/8/ 2006 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore National Academy Of Engineering Fd 00000114768 Michael E. McCarthy 2016 1 1/11 /1991 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore MST TRUST dtd 03/13/2000 00000219918 Carolin Botzenhard 2016 1 12/4/2000 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Benenson Funding Corporation 00000028642 Andrea Nicoletti 2016 1 3/20/1986 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Thornwood Associates Limited Partnership 00000424351 Rosemary Vrablic 2016 1 11/30/2010 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Lone Star Fund VI (U.S.), L.P. 00000419926 Rosemary Vrablic 2016 1 7/1/2008 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore SCP Baseball, LP 00000437759 Rosemary Vrablic 2016 1 8/7/2009 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Nevada Land III LLC 00000438525 Rosemary Vrablic 2016 1 8/13/2009 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore The Gary E. Primm Family Trust dated April 10, 1984 00000439260 Brian Convey 2016 1 12/18/2009 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Infinity PLR 44, LLC 00000443214 Rosemary Vrablic 2016 1 12/10/2009 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore HBRK Associates, Inc 00000487223 Stewart Oldfield 2016 1 11/1/2013 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore New York Strategy Group, LLC 00000487215 Stewart Oldfield 2016 1 11/1/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Westbury Management Group LLC 00000488487 Rosemary Vrablic 2016 1 11/13/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Carlyle Realty Partners VI LP 00000487527 Joanne Jensen 2016 1 11/18/2013 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Westpoint Pakistan LLC 00000486678 Rosemary Vrablic 2016 1 9/17/2013 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Hyperion Air, LLC 00000487225 Stewart Oldfield 2016 1 10/18/2013 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore JEGE, LLC 00000487216 Stewart Oldfield 2016 1 10/18/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore JEGE, Inc 00000487244 Stewart Oldfield 2016 1 10/18/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Neptune, LLC 00000487264 Stewart Oldfield 2016 1 10/18/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore The 2007 Jeffrey E. Epstein Insurance Trust #3 00000487199 Stewart Oldfield 2016 1 11/1/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore NES, LLC 00000487265 Stewart Oldfield 2016 1 11/8/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Plan D, LLC 00000487219 Stewart Oldfield 2016 1 10/18/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore EFTA01398926 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 Cust omer Owner Exception Expires Reason for Exception (If Applicable) EM Days Overdue MSR Silo 01548895 00000454163 Batmasian, Marta Client 00000454164 Carlos Arrizurieta 9/21/2016 Update on ongoing litigation. Armen Brash -82 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01589365 00000535798 Spencer Family GRAT B Prospect 00000156618 Liz Payne 8/24/2016 Executed Grat Armen Brash -54 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoby US-Onshore 01589838 00000499416 Blackstone Energy Partners II L.P. Client 00000410142 Joan ne Jensen 7/1/2016 Armen Brash 0 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoby US-Onshore 01591639 00000535829 Burns Family Residual Trust Client 00000251883 Liz Payne 9/7/2016 90 standard temp exception for fully executed agent agreement Armen Brash -68 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01594454 00000482257 Patricia A. and Stephen C. Schott, 2012 Dynasty Trust Prospect 00000435881 Ed Lok 9/10/2016 Standard 90 days temporary exception for executed DB trustee acceptance agreement has been approved Armen Brash -71 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01603565 00000481415 Carlyle Global Financial Services Partners II LP Prospect 00000409003 Joanne Jensen 7/29/2016 Temp Exception granted for Joinder Agreement which w ill be obtained at closing Andrew F Gallivan -28 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore EFTA01398927 US-Onshore_impExcptOver Temporary Exceptions- Domestic (All Overdue) 7/1/2016 6/1/2016 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 Cust omer Owner Exception Expires Reason for Exception (If Applicable) EM Days Overdue MSR Silo 01438669 00000454163 Batmasian, Marta Client 00000454164 Carlos Arrizurieta 3/18/2016 Monitor ongoing lawsuits. Andrew F Gallivan 105 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01471242 00000412545 Florescue, Barry W, Client 00000412546 Carlos Arrizurieta 3/31/2016 Borrowers' resolution to be obtained at closing Armen Brash 92 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01518437 00000526141 VR Kona Coast, LLC Client 00000498398 Daniel Kay 3/22 /2016 Current owner of VR Kona Coast llc is EPC Exchange Corporation, a 3rd party 1031 accommodato r. It will NOT remain an owner when exchange is completed 3/22/16. Request temp exception to accept this qualified intermediary as a kyc party until the exchange. Lee Rutter 101 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01532437 00000528995 Spencer Family GRAT A Client 00000156618 Liz Payne 4/29 /2016 Andrew F Gallivan 63 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob y US-Onshore 01534272 00000528995 Spencer Family GRAT A Client 00000156618 Liz Payne 5/2/ 2016 Executed GRAT Armen Brash 60 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby US-Onshore 01553399 00000531258 Marsh Family Trust Client 00000162650 Liz Payne 6/30 /2016 A standard 90 day exception was granted for the trust TINI and fully executed document. Andr ew F Gallivan 1 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01561572 00000499130 GTIS BRAZIL REAL ESTATE FUND III Prospect 00000494504 Terri Sohrab 5/4/2016 A 30 day temporary exception for receipt of appropriate signing auth ority as contemplated within the AML Policy is extended as our counsel will not allow the loan to cl ose unless appropriate signing authority is received. Armen Brash 58 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01561771 00000514400 Blackstone Tactical Opportunities Fund II L.P. Client 00000410142 Joanne Jensen 4/4/2016 executed joinder Armen Brash 88 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01563655 00000495826 Carlyle Power Partners II-A, LP Prospect 00000409003 Joan ne Jensen 5/4/2016 TE granted for borrower's resolution to be obtained at closing. Arme n Brash 58 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01564412 00000534974 Oaktree Real Estate Opportunities Fund VII GP, L.P. Prospect 00000419766 Cheryl Paller 5/20/2016 TE granted to obtain borrower's resolution at closin g. lee hutter 42 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby U5-O nshore 01567768 00000535075 Dover Street VIII L.P. Client 00000420636 Joanne Jensen 4/18 /2016 Temporary exception for signing authority to be obtained at closing Armen Brash 74 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01572862 00000514948 Westbrook Real Estate Fund X, LP Client 00000424752 Joan ne Jensen 6/10/2016 30 day Temporary Exception for a borrowers resolution which will be issued through this Joinder agreement as stipulated in our procedure manual. Armen Brash 21 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01333478 00000499130 GTIS BRAZIL REAL ESTATE FUND III Prospect 00000494504 Terri Sohrab 2/23/2016 Exception has been extended temporary exception extended Temporary E xception for Borrower's Resolution Kimberly Hart 129 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore EFTA01398928 US-Onshore_ACUwMatChngs Annual Client Update: ID Customer Number Customer Name Primary Officer Relationship Meet ing/Call Date Material Changes A15. Client Status Update Description Days Overdue - 30 MSR Bank Silos COMMENTS 75412 00000026833 Burton, Katherine Kim Hart BURTON, KATE RELATIONSHIP 6/3/ 2016 Please see ACU comment There is no contact with this client. She is a "mutual fund only" cl ient with no open Private Bank accounts. The mutual fund account is associated with a "dealer code" that associates it to the Private Bank. We are trying to get the account coded correctly or funds es cheated. In the meantime, there has been no account activity. The client has $77.19 invested in the ICT Treasury Portfolio. -2 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore Update Required 75413 00000179446 Reist, Derrick Kim Hart REIST, J&L RELATIONSHIP 6/3/2016 Plea se see ACU comment There is no contact with this client. He is a "mutual fund only" client with no open Private Bank accounts. The mutual fund account is associated with a "dealer code" that asso ciates it to the Private Bank. We are trying to get the account coded correctly or funds escheated. In the meantime, there has been no account activity. The client has $18.43 invested in the ICT Treas ury Portfolio. -2 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore Update Required 75739 00000240701 McMahan, Linda Terrence Tangney MCMAHAN, LINDA RELATIONSHIP 3/25 /2016 address change. same state. Street Address 10 Golf Drive Apt 301 City Plymouth State MA Zip 02360 Cntry USA address change. client moved to a condo. same state. Street Address 10 Golf Drive Ap t 301 City Plymouth State MA Zip 02360 Cntry USA 68 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore Update Required 75953 00000508784 Sullivan, Brian Frances Carolin Botzenhard SULLIVAN, BRIAN RELATIONSHIP 6/17/2016 Brian Sullivan - 6/17 visited here ? Zach and Carolin met with Brian to discuss curr ent portfolio performance, additional investments into his balanced IA DPM strategy as well as Vista PE fund. Based upon our meeting, Brian has decided to invest $ 500K into the Vista Fund Addr ess changed, purchased new home. DB holds the mortgage. -16 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby Los Angeles US-Onshore Update Required 76043 00000449023 Napoli Bern, Ripka LLP Joanne Jensen BERN, MARC. J RELATIONSHIP 6/28 /2016 The client has all their operating accounts with DB with an average balance of $15MM current ly. Paul Napoli and Marc Bern have split off to their respective lawfirms, Napoli Shkolnik LLP a nd Bern Ripka LLP, and plaintiffs' cases have been divided between the two firms. -27 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore Upda to Required 76127 00000449022 Napoli Bern & Associates, LLP Joanne Jensen BERN, MARC. J RELATIONSHIP 6/28/2016 The client has all their operating accounts with DB with an average balance of $78 - $80 MM in total. Bankers Joanne Jensen, Jennifer Shaw, Jessica Wilbur and team are in constant cont act with the client. To our knowledge, they are satisfied with their relationship with DB thus far. Paul Napoli and Marc Bern are in the process of splitting off into two respective law firms. The fir ms will divide the plaintiffs' cases evenly and proceed on their own. -27 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore Update Required 76128 00000449024 Napoli Bern, Ripka & Associates, LLP Joanne Jensen BERN, MARC. J RELATI ONSHIP 6/28/2016 The client has all their operating accounts with DB with an average balance of $78 - $80 MM in total. Bankers Joanne Jensen, Jennifer Shaw, Jessica Wilbur and team are in const ant contact with the client. To our knowledge, they are satisfied with their relationship with DB th us far. Paul Napoli and Marc Bern are in the process of splitting off into their own respective law firms, Napoli Shkolnik LLP and Bern Ripka LLP. The plaintiffs' cases have been evenly divided by a c ourt-appointed referee between the two firms. -27 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoby New York US-Onshore Update Required 70924 00000478403 Cleveland Thermal Holdings, LLC Joanne Jensen EVANS, CHARLES RELATIONSHIP 10/26/2015 The company was sold for $43MM to a Canadian energy company. The sale is still under way. Mr. Evans received $43.89MM for the sale of Cleveland Thermal. 219 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore Update KYC is requir ed. $43.89mi1 is substantial amount of his source of wealth considering his etimated annual income i s $1 mil. 73702 00000420458 Weisel, Thomas Ed Lok WEISEL, THOMAS RELATIONSHIP 2/26/2016 4-2- 15, No significant changes or updates There are no material changes to report. Mr. Weisel's net wort h has remained constant over the past few years. He is working to pay off debt and maintain liquidit y. 8-12-13: There is negative media surrounding Lance Armstrong and Thomas Weisel's sponsorship company, Trail Wind. Investigation is ongoing with the civil suit. 96 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco US-Onshore Requires update if t he 8/12/13 negative media has not been cleared. 72422 00000483569 Benvenuti, Siena Ed Lok NANCY EMERSON DAVIS RELATIONSHIP 12/1 6/2015 This is a custodial account. Custodian Nancy Emerson Davis passed away 3-15-2015. Her est ate is going through probate court with includes a petition for custodial change. 168 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco us-onshore Requ ires udpate: 01425113 is only for Riley Benvenuti 72423 00000483568 Benvenuti, Rocco Ed Lok NANCY EMERSON DAVIS RELATIONSHIP 12/1 6/2015 This is a custodial account. Custodian Nancy Emerson Davis passed away 3-15-2015. Her est ate is going through probate court with includes a petition for custodial change. 168 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco US-Onshore Requ ires udpate: 01425113 is only for Riley Benvenuti 72426 00000483570 Sedar, Anne Ed Lok NANCY EMERSON DAVIS RELATIONSHIP 12/16/2015 This is a custodial account. Custodian Nancy Emerson Davis passed away 3-15-2015. Her estate is g oing through probate court with includes a petition for custodial change. 168 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco US-Onshore Requires udp ate: 01425113 is only for Riley Benvenuti 72427 00000483571 Seder, John Ed Lok NANCY EMERSON DAVIS RELATIONSHIP 12/16/2015 EFTA01398929 This is a custodial account. Custodian Nancy Emerson Davis passed away 3-15-2015. Her estate is g oing through probate court with includes a petition for custodial change. 168 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco US-Onshore Requires udp ate: 01425113 is only for Riley Benvenuti 68984 00000210664 Moldaw, Stuart Russell Daulton MOLDAW RELATIONSHIP 7/3/2015 The only relationship we have with the client is the BT Private Equity fund. Compliance comment: 3/12/12 only investment is a private equity fund that is closed for investors. No instructions will be take n from persons associated with the account and is reflected on the KYC. Stuart Moldaw passed away in May 2008. DB lost contact with the client prior to his death and received no information to change the title of the account or to update signers. The client's family see no reason to make any account changes as Mrs. Moldaw deposits any fund distributions to a outside account where she has signing a uthority. 334 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisc o US-Onshore Need Update or close the account 71114 00000447928 The Hu/Luo Family 2005 Trust Russell Daulton HU, GEORGE RELATIONSHIP 10/2 1/2015 George is looking into putting some of his new company into trust for his children and is st ill considering creating a DAF. George left salesforce.com last November and has now started his own company. It is based in San Francisco. 224 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby San Francisco US-Onshore Need update 74595 00000131066 Hernstadt, Hayley Liz Payne HERNSTADT, WILLIAM H RELATIONSHIP 4/28/2016 Hayley Hernstadt is believed to have recently graduated from Med School and is now 1 iving in Australia. We are waiting to get her updated contact information. Hayley Hernstadt is believed to have recently graduated from Med School and is now living in Australia. We are waiting t o get her updated contact information. 34 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby New York US-Onshore Need Update 72176 00000406850 Shlens, Robert D. Deirdre Judge SHLENS, ROB RELATIONSHIP 1/5/ 2016 Robert Shlens passed away in December 2014 Robert Shlens passed away in December 2014. The CPA confirmed via email 1/5/16 that probate was not finished, so there are still no documents to appoint a new owner for the accounts. 148 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby Los Angeles US-Onshore Need Update 72373 00000218177 Pacific Health Corporation Malcolm Kimble PACIFIC HEALTH RELATIONSHIP 1/13/2016 We are unable to contact the client as this company no longer exists. This company is no longer in existance. The funds in their accounts were used to pay down a loan of credit, and $117.04 is left in the account. We do not know where to remit these funds. 140 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore Need Update 72476 00000446276 PTV Corp. Terrence Tangney SOUTH STREET ADVISORS RELATIONSHIP 11/30/2015 Per Katy Cheng: The Country of Incorporation for PTV is British Virgin Islands(certi ficate of good standing is in the repository) and the mailing address is in Cayman Island(which is w here CTC Corp is incorporated-also in the repository). I checked the old w8 on file, it?s completed the same way. I see the below as the owner address (permanent address) which is the same as what?s o n W8. Permanent address is: Fleming House Wickhams Cay, Road Town Tortola, BVI Per Katy Cheng: The Country of Incorporation for PTV is British Virgin Islands(certificate of good standing is in the re pository) and the mailing address is in Cayman Island(which is where CTC Corp is incorporated-also i n the repository). I checked the old w8 on file, it?s completed the same way. I see the below as the owner address (permanent address) which is the same as what?s on W8. Permanent address is: Fleming House Wickhams Cay, Road Town Tortola, BVI 184 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoby New York US-Onshore Need Update 73082 00000474133 Aurora Trust Ed Lok ARORA, NIKESH RELATIONSHIP 9/9/2015 Clie nt changed jobs and is now the Vice Chairman at Softbank Corp and CEO of Softbank Internet and Media Inc. 3-10-15 Client changed jobs and is now the Vice Chairman at Softbank Corp and CEO of Softban k Internet and Media Inc. 266 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob Y San Francisco US-Onshore Need Update 75162 00000158024 HELENE D GILROY EST WALTER GRUENDL TR Sequana Beale GILROY, HELENE D REL ATIONSHIP 5/19/2016 The income beneficiary of this trust, Walter Gruendl, died on May 4, 2016 and the Trust terminates in full. Pursuant to power of appointment exercised in Will of Walter Gruendl, trust assets distribute out to his domestic partner and beneficiary, Cassandra Bilodeau. K indley perform PCR searches on Cassandra Bilodeau and attach the results to the client (Trust) on DB force. We estimate that partial distributions may be made in the next three months and this Trust wi 11 be closed in approximately 6 months. The income beneficiary of this trust, Walter Gruendl, died o n May 4, 2016 and the Trust terminates in full. Pursuant to power of appointment exercised in Will o f Walter Gruendl, trust assets distribute out to his domestic partner and beneficiary, Cassandra Bil odeau. Kindley perform PCR searches on Cassandra Bilodeau and attach the results to the client (Trus t) on DBforce. We estimate that partial distributions may be made in the next three months and this Trust will be closed in approximately 6 months. 13 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoby Jacksonville US-Onshore Need update 75227 00000421852 Shorenstein Realty Services East LLC Lindsy Sanders SHORENSTEIN RELATION SHIP 5/20/2016 The Managing Member of Shorenstein Management Inc passed away in November fr om cancer. He was not a signer on the account but we will confirm all signers in follow-up conversat ions. Shorenstein Properties continues to thrive and is about to raise their 11th fund. There has be en some conversation about investing in multifamily properties as an annuity for future generations. The Managing Member of Shorenstein Management Inc (Doug Shorenstein) passed away in November from ca ncer. He was not a signer on the account but we will confirm all signers in follow-up conversations. 12 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco US-Onshore Need update 71155 00000478402 Charon Capital Management, LLC Joanne Jensen EVANS, CHARLES RELATIONSHIP 11/5/2015 Mr. Evans is now engaged in investing his assets from the sale of his company. As p reviously described, Mr. Evans sold one of his companies for $44MM and has moved a significant porti on of this wealth into his DB accounts. 209 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby New York US-Onshore Need KYC update 74959 00000506872 The Gregg S. Hymowitz Irrevocable Trust dtd 9/10/2007 Joanne Jensen HYMO EFTA01398930 WITZ, GREGG RELATIONSHIP 5/5/2016 Mr. Hymowitz is a hedge fund and asset management pr ofessional. This account was set up for one of his trusts, but it currently holds no assets. Greg g Hymowitz recently sold his company, EnTrust Capital, to Legg Mason for $400MM. 27 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore Need KYC update 75115 00000508573 ASL Media Holdings, LLC George Zahringer OREN, AHMET RELATIONSHIP 2/19/2016 No changes. N/A 103 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby New York US-Onshore Litigation against DB entity. Need more details. 75304 00000181607 Gevers, Francoise Douglas Robertson GEVERS, #151# RELATIONSHIP 5/24/2016 I received an email from attorney, Glenn M. Troost, on behalf of Francoise Gevers. F rancoise passed away. Currently, Glenn is working with the courts to establish a succession plan. We cannot take any action until a plan is in place. I received an email from attorney, Glenn M. Troost, on behalf of Francoise Gevers. Francoise passed away. Currently, Glenn is working with the c ourts to establish a succession plan. We cannot take any action until a plan is in place. 8 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore KYC in Progress: #1607827 73411 00000475602 Dauphin Fletcher, Aurelie Mark Gonzalez DAUPHIN, AURELIE RELATIONSHI P 1/27/2016 Aurelie's income is mainly derived from periodic stipends through a trust es tablished by her father. other source of income is from her investment accounts. Her father r ecently passed away and she's spending more time in Europe to be close to her family. Her father's e state has yet to be settled. 126 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob y New York US-Onshore KYC in Progress #1485452 66205 00000417820 H Mountain, Inc. Mary Ann Coleman STERN, ED RELATIONSHIP 1/14 /2015 No material changes Change in utlimate beneficial ownership structure. A KYC update will be submitted 504 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore KYC in Progress - 01400097 66208 00000251764 Alerion Strategies Holdings Ltd Mary Ann Coleman STERN, ED RELATIONSH IP 1/14/2015 No material change to report. Minimal assets remaining. Change in ultimate b eneficial ownership structure. A KYC update will be submitted. 504 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore KYC in Progress - 01400097 66207 00000420241 Hartz Capital Investments, Ltd. Mary Ann Coleman STERN, ED RELATIONSH IP 1/14/2015 No material changes Change to ultimate beneficial ownership structure. A KYC update will be submitted. 504 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob y New York US-Onshore KYC in Progress - 01342457 66209 00000410125 Hartz Capital, Inc. Mary Ann Coleman STERN, ED RELATIONSHIP 1/14 /2015 No material changes to report. Change to ultimate beneficial ownership structure. A KYC upd ate will be submitted. 504 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore KYC in Progress - 01342457 56429 00000434210 Deniz Yatirim Menkul Kiymetler A.S Mary Ann Coleman DEXIA GROUP RELATIONSHIP 5/30/2013 There are not any material changes at Deniz Yatirim Menkul Kiymetler A.S. but their parent company DenizBank has been taken over by Russian Sberbank. Deniz Yatirim is 1 00% owned by DenizBank. See above under A15. 1098 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoby New York US-Onshore KYC in Progress - 01304804 70030 00000160604 Freda L Hartfield Trust Marcy Morgan HARTFIELD, FREDA L RELATIONSHIP 9/2/ 2015 None This trust is terminating due to death of beneficiary Freda Hartfield on 08/29/2015- Payable outright to Peter Burling-20 Lang Road, Cornish, NH 03745 (Please run PCR search) 273 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore KYC in Progress - #01342457 66864 00000406850 Shlens, Robert D. Deirdre Judge SHLENS, ROB RELATIONSHIP 1/12 /2015 Robert Shlens passed away in December 2014 Robert Shlens passed away in December 2014 506 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby Los Angeles US-Onshore 1303444 is not to resolve ACU 66864. 72328 00000420241 Hartz Capital Investments, Ltd. Mary Ann Coleman STERN, ED RELATIONSH IP 1/5/2016 No material changes We will be removing one signatory. KYC update to fol low 148 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-O nshore KYC in Progress - #01342457 72330 00000410125 Hartz Capital, Inc. Mary Ann Coleman STERN, ED RELATIONSHIP 1/5/ 2016 No material changes to report We will be removing one signatory. KYC update to follow 148 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore KYC in Progress - #01342457 68983 00000407688 Newell, Lee Russell Daulton NEWELL, LEE RELATIONSHIP 7/3/2015 No other changes Client has a mortgage, private equity and a small bank account which has $83 0. He reaches out to us when he needs to update something but is otherwise non-responsive. 334 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco US-Onshore Acco unt is still active, please request for the account to be closed 72077 00000249003 Gernert, Lynn Terrence Tangney WEILER/ARNOW RELATIONSHIP 12/1 5/2015 Lynn Gernert and Susan Weiler have a joint account 254098 which at their mutual request are splitting into 2 individual accounts. Lynn Gernert and Susan Weiler have a joint account 254098 wh ich at their mutual request are splitting into 2 individual accounts. 169 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore KYC in Progress - # 01515565 72087 00000249003 Gernert, Lynn Terrence Tangney WEILER/ARNOW RELATIONSHIP 12/1 5/2015 Lynn's new address is: 222 Park Avenue South Apt 11C New York, NY 10003 Lynn Gernert and Sus an Weiler have a joint account 254098 which at their mutual request are splitting into 2 individual accounts. 169 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore KYC in Progress - # 01515565 73376 00000416180 Alan C. Fox Revocable Trust Deirdre Judge FOX, ALAN RELATIONSHIP 3/4/ 2016 no material changes Alan is divorcing Daveen Fox and in a relationship with Asha Dusbabe k. 89 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby Los Angeles US-O EFTA01398931 nshore AML to Close - No Material changes - Divorce doesn't impact the client's wealth. 75369 00000454634 Madeleine Hilton McGraw Revocable Trust Michael Mullin MCGRAW, DSA RELATION SHIP 5/27/2016 Maddie currently makes $13 an hour. She has just over 500k with us and is co nsidering taking a small monthly distribution to help with her living expenses, probably between $1, 000 and $1,500 a month. She is also currently in the process of moving to a new apartment. No m aterial changes at the moment. 5 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob Y New York US-Onshore No material changes 72588 00000485595 Anchorage Partners, LP Brian Convey MARRIOTT, JOHN N RELATIONSHIP 9/30 /2015 Address change Address change 245 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby New York US-Onshore AML to Close - No Material Change / Change of addres S ADDRESS CHANGE FROM: 6106 MacArthur Blvd - Suite 110, Betheda, MD 20816 USA TO: 9737 Washingtonian Boulevard - Suite 404 Gaithersburg, MD 20878 No KYC Update is required. 72230 00000497530 Bridgeton Holdings, LLC Susan Burnett BRIDGETON HOLDINGS, LLC RELATIONSHIP 12/1/2015 No significant changes in assets or income since the original KYC one year ago. n/a 183 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby Los Angeles US-Onshore PEP Question responded by mistake, client is not a PEP. No material changes 75958 00000492719 Trump Old Post Office LLC Rosemary Vrablic TRUMP, DONALD J. REL ATIONSHIP 6/21/2016 Currently the building is still in construction phase. The signific ant owner Donald Trump announced last year that he would be running for President of the US. It was addressed in the current KYC -20 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob y New York US-Onshore This has been documented in approved KYC #01419355 72242 00000448499 Brown & Zhou LLC Mary Ann Coleman SLAV, ZIKI RELATIONSHIP 1/6/ 2016 The LLC's ownership structure has changed. change in ownership structure of the LLC a K YC update will be processed 147 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob Y New York US-Onshore Update has been documented, KYC Approved #01541611 75016 00000486423 Jeepers, Inc Stewart Oldfield SOUTHERN FINANCIAL RELATIONSHIP 3/2/ 2016 client estate advisory services, investments na 91 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby New York US-Onshore This question was answered b y mistake - "Has a party been subject to a criminal or regulatory investigation or negative media?" --- another ACU was created (ACU #0075019), this one should be closed. EFTA01398932 acct opening Case Number Customer Name Created By Opened Date Product Description Exception Ex pires Created Alias Escalation Manager Silo Reason for Exception Fax Copies Exception Days Overdue 01429361 ASEAN China Investment Fund III L.P. Anna-Sofiya Lupolover 7/16/2015 Bank ing int plan ►129. Please open a money market account for ASEAN China Investment Fund III L.P. T hey already have an account in the name of this entity, acct 42958006. Thank you. KYC: 01303850 and 01345876 NAO: 9970455 Online - Yes 913575 existing Please email [email protected] when th e account is opened. Thank you. 8/4/2015 MNGMNT Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoby US-Onshore two week temporary exception for valid tax forms. N 239 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 opened for this entity. KYC: 01352638 NAO: 10157045 Please email ann [email protected]