EFTA01356272.pdf

Classification: For internal use only Dear Andrew, As you know, our procedures require MDs to approve all ACUs completed for High Risk clients each month. Please review the below ACUs completed and approve them. Annual Annual ASS. Client GCIS Client Client Customer Customer Status Customer MD Update: A14. A16. A17. Update: Owner Name Update Number Created ID Description Date I spoke to Jane about coming changes to the accounts to be reflected Atlantix by KYC No Douglas Andrew Investment updates not changes Robertson Gallivan LLC 10/12/2016 yet ready. yet. No No I spoke to Jane about coming changes to the accounts to be reflected by KYC No Douglas Andrew Millstein updates not changes Robertson Gallivan Atlantix LLC 10/12/2016 yet ready. yet. No No Nothing Mr. Prabhakar has resides in materially Dubai and is changed Mark Andrew 435 E 76 3D in the duty for this Gonzalez Gallivan LLC 10/4/2016 free business. client. Yes No The property has been Mr. Prabhakar sold and resides in the entity Dubai and is will be Mark Andrew 555 W 23 in the duty winding Gonzalez Gallivan N4R LLC 10/4/2016 free business. down. Yes No Nothing Mr. Prabhakar has resides in materially Dubai and is changed Mark Andrew 635 W 42 7E in the duty for this Gonzalez Gallivan LLC 10/4/2016 free business. client. Yes No Nothing Mr. Prabhakar has resides in materially Dubai and is changed Mark Andrew 67 Liberty in the duty for this Gonzalez Gallivan PHB LLC 10/4/2016 free business. client. Yes No No Stewart Andrew change in material Oldfield Gallivan Butterfly Trust 9/29/2016 trustees change Yes No Stewart Andrew Gratitude 9/29/2016 no material no material Yes No CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0042059 CONFIDENTIAL SDNY_GM_00188243 EFTA01356272