EFTA01398949.pdf

Robertson Customer Number Customer Name Type * High Risk * Moderate Risk Annual Client Update Due Date Auto Exempt Reason Exemption Reason Customer Owner Salvador Banziger, Marisol L. Client N Douglas Robertson SOUTH STREET CAPITAL LP Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson IPP93 LP Client Y N 4/7/2017 C/Other Entity Accounts - See Owner/Siganatory's ACU Douglas IPP95 LP Client Y N 4/7/2017 C/Other Entity Accounts - See Owner/Siganatory's ACU Douglas Weskids, Inc Client Y N 4/7/2017 C/Other Entity Accounts - See Owner/Siganatory's ACU Douglas WESASIA, LP Client Y N 4/7/2017 rtson W.S. Hills Associates LP Client Y N Douglas Robertson Algal Inc Client Y N 4/7/2017 rtson Algal Partners Lp Client Y N Corporate/PIC/Other Entity Accounts See Owner/- ACU Douglas Robertson Sd Partners Lp Client Y N 4/7/2017 C/Other Entity Accounts - See Owner/Siganatory's ACU Douglas Olivieri, Frances R. Client Y N Douglas Robertson J. Peter Simon Insurance Trust Client Y N Trust Client—See ACU for Grantor or Trustee Douglas Gummer, Henry Client Y N 4/7/2017 e/Investment Advisor Relationship Douglas Robertson Olivieri Johnston Family Foundation Client Y 2017 Douglas Robertson Tohaiku LLC Client Y N 4/7/2017 C/Other Entity Accounts - See Owner/Signatory's ACU Douglas South Street Capital II LLC Client Y Corporate/PIC/Other Entity Accounts - See Owner/Signatory's las Robertson JOHN PETER SIMON & JANET SIMON CHILDREN'S INSURANCE nt Y N 4/7/2017 Douglas Robertson Simon CLAT No. 9 U/W/O William E Simon Client Y 2017 Family Office/Investment Advisor Relationship rtson Simon CLAT No. 7 U/W/O William E Simon Client Y EFTA01398949 N 4/7/2017 Family Office/Investment Advisor Relationship Dou las Robertson Simon CLAT No. 5 U/W/O William E Simon Client Y 2017 Family Office/Investment Advisor Relationship rtson Simon CLAT No. 4 U/W/O William E Simon Client Y 2017 Family Office/Investment Advisor Relationship rtson Simon CLAT No. 3 U/W/O William E Simon Client Y 2017 Family Office/Investment Advisor Relationship rtson Simon CLAT No. 1 U/W/O William E Simon Client Y 2017 Family Office/Investment Advisor Relationship rtson Julie Simon Munro Trust Dtd 12/20/05 FBO Gabriella Girard nt Y N 4/7/2017 Trust Client—See ACU for rustee Douglas Robertson Julie Simon Munro Trust Dtd 12/20/05 FBO Amelia Stother nt Y N 4/7/2017 Trust Client—See ACU for rustee Douglas Robertson The Munro Children's Trust U/A/D 8/17/00 Julie Simon Munro nt Y N 4/7/2017 Trust Client - See ACU for rustee Douglas Robertson Gummer, Donald Client Y N 4/7/2017 C/Other Entity Accounts - See Owner/Siganatory's ACU Douglas Alham Inc Client Y N 4/7/2017 C/Other Entity Accounts - See Owner/Siganatory's ACU Douglas New Vernon Advisors Inc. Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson Simon Bloom, Aimee Client Y Douglas Robertson Brueckner, Richard F. Client N Douglas Robertson Brown, Randolph Client N N 4/11/2017 rtson Lefkowitz Esq., Stephen A. Client N Douglas Robertson Concord International Holdings LP Client N /2017 Douglas Robertson Krol Esq., Igor Client N Y 4/13/2017 rtson Bendheim, Andrew Client N Douglas Robertson Kimmel, David S. Client N Douglas Robertson Eisenberg, Michael Client N Douglas Robertson Segerman, Adelaide Client N EFTA01398950 4/20/2017 Douglas Robertson Nash, Frank V. Client N N 4/21/2017 ertson Lark Esq., J. Andrew Client N Douglas Robertson Virginia A Benzak Trust u/w of Louis R Benzak Virginia A Client N N 4/25/2017 Douglas Robertson Ippnet Llc Client Y N 4/29/2017 IC/Other Entity Accounts - See Owner/Siganatory's ACU Douglas Simon, Cynthia L Client Y Family Office/Investment Advisor Relationship Douglas Turner Jr., Lewis Client N Douglas Robertson Zia, Karim Client N Y 4/29/2017 ertson Angel, Valerie T Client N Douglas Robertson Barrada, Karim Client N N 5/9/2017 ertson Utendahl, John Client N Y 5/9/2017 ertson James E. Millstein 2005 Family Trust Client N 0/2017 Douglas Robertson James E. Millstein 2012 Family Trust Client N 0/2017 Douglas Robertson Millstein & Co. LLC Client Y Corporate/PIC/Other Entity Accounts See Owner/Signatory's glas Robertson Millstein, James Client N Douglas Robertson Rattray, Timothy S. Client N Douglas Robertson Baylis, Robert M. Client N Douglas Robertson Manganello, J David Client N Douglas Robertson Edward A. Lesser Trust Client N Douglas Robertson Lucille S Day Trust Client N Trust Client - See ACU for Grantor or Trustee Douglas Voruganti, Puru Client N N 5/20/2017 ertson Deutsche Bank Americas Foundation Client N 0/2017 Douglas Robertson Reese, George B. Client N Douglas Robertson DLT Investment LLC Client Y Douglas Robertson EFTA01398951  Skerritt, Susan E Client N N Douglas Robertson The Jeffry L. Von Wald Revocable Trust Client N /2017 Douglas Robertson The Hewitt School Client N N Douglas Robertson Rosenblatt, Lief Client N N Douglas Robertson Apogee Gold Fund, LLC Client N Douglas Robertson Weiss, Yakir Client N N 6/1/2017 rtson Mahdi, Syed Salman Client N N Douglas Robertson Manas, Jean E. Client N N 6/2/2017 C/Other Entity Accounts - See Owner/Signatory's ACU Douglas Bernard Abdo Family Trust No. 2 Client N N Douglas Robertson Bernard Abdo Family Trust Client N N Douglas Robertson Abdo, Bernard Client N N 6/3/2017 rtson Curtis, Thomas A. Client N N Douglas Robertson Villani, Edmond Client N N 6/3/2017 rtson H Winston Inc Client N N 6/8/2017 rtson McDermott, Bruce H. Client N N Douglas Robertson Schwartz, Eric Client N N 6/9/2017 rtson Edwards Anker, Nina S. Client N N Douglas Robertson Cullen, Mark Client N N 6/10/2017 rtson Carbon Initiative for Community Impact Inc Client 6/13/2017 Douglas Robertson Deutsche Bank Trust Company Americas Client N c /2017 Douglas Robertson Hattem, Gary S. Client N N 6/13/2017 rtson de Balmann, Raphael Client N Douglas Robertson Weinstein, Norman S. Client N Douglas Robertson Carolyn Maclver Millstein 2012 Family Trust Client 6/20/2017 Douglas Robertson Schoen III, Arthur B Client N N 6/20/2017 Douglas Robertson EFTA01398952  Schoen, Caroline H Client N Douglas Robertson Li, Alex G. Client N N 6/21/2017 rtson Bianco, David S. Client N Douglas Robertson Bruce Rial Boalt FB0 UA Fourth Michael Bruce Doherty Tr nt N Y 6/27/2017 Douglas Robertson Harper, Stephen J. Client N Douglas Robertson Fotene J. Demoulas 2016 GRAT EM Client N Douglas Robertson Fotene J. Demoulas 2016 GRAT Asia Client N 2017 Douglas Robertson Fotene J. Demoulas 2016 GRAT Europe Client N 2017 Douglas Robertson Fotene J. Demoulas 2016 GRAT US Client N Douglas Robertson J. Robert Moskin Trust U/W Morris Moskin Client N 2017 Douglas Robertson JRM 2008 Trust Client N N 7/6/2017 rtson Kess Esq., Sidney Client N Douglas Robertson Lesser, Edward A. Client N Douglas Robertson Estate of Francoise Gevers Client Y Douglas Robertson Davidowitz, Howard L. Client N Douglas Robertson Younes, Saleh Tarek Client N Douglas Robertson Roeloffs, Jr., Kurt W. Client N Douglas Robertson Usumanu, Elvis Client N N 7/20/2017 rtson The Sidney Kess 1995 Trust Client N Douglas Robertson Gillian Wynn Family Trust Client Y Douglas Robertson Copps, Michael Client N N 7/28/2017 rtson Ludwig, Robert C Client N Douglas Robertson Virtue, James E. Client N Douglas Robertson Albert L Schomp IV Trust Client N Trust Client - See ACU for Grantor or Trustee Douglas Atlantix Investment LLC Client Y 8/11/2017 Douglas Robertson EFTA01398953  Millstein Atlantix LLC Client Y N Douglas Robertson Fischer, James K. Client N N Douglas Robertson Classon, Bruce Client N 8/15/2017 rtson Bendheim Jr., John M. Client N N Douglas Robertson Jonku LLC Client N 8/19/2017 rtson Elizabeth Millstein Tremain 2016 Trust Client N 3/2017 Douglas Robertson Santini, Michael L Client N N Douglas Robertson Concord International (Investments LP) Client N 3/2017 Douglas Robertson Golden, Ray Client N 8/23/2017 rtson Manganello, Jeffrey Client N N Douglas Robertson Howard Garay, Sara Client N Douglas Robertson Classon Family Trust Client N N Douglas Robertson Henry Ritchotte 2008 Revocable Trust Client N /2017 Douglas Robertson RMDL LLC Client N 9/7/2017 rtson Vaccaro, Jon A. Client N 9/7/2017 rtson Kaganoff, Paula Nicole Client N N Douglas Robertson Howe, James E. Client N 9/13/2017 rtson Daniel Kelly 2005 Trust Client N N Douglas Robertson Moskin, John R. Client N 9/19/2017 rtson The Patrick Family 2012 Trust Client N N Douglas Robertson Edmond D. Villani Charitable Lead Annuity Trust Client 9/27/2017 Douglas Robertson MidOcean US Advisor, LP Client N Douglas Robertson Reese, John R. Client N 10/3/2017 rtson Patrick J Concannon Jr Estate Client N N Douglas Robertson Younes, Mohamed Client N 10/4/2017 rtson CHRISTERSON, JAMES B Client N EFTA01398954 10/5/2017 Douglas Robertson Pomrenze, Jay L. Client N Douglas Robertson NAAB LLC Client N N 10/10/2017 rtson Day, Lucille Schomp Client N Douglas Robertson The Bagby Foundation For The Musical Client N 11/2017 Douglas Robertson Majd, Saman Client N N 10/12/2017 rtson Padula, Carlos Client N N 10/12/2017 rtson Beckwith, Stephen R. Client N Douglas Robertson Levy, Michael A. Client N Douglas Robertson Buchman Esq., Stephen Client N Douglas Robertson Robert Lewis Allbritton 1996 Trust Client Y 13/2017 Trust Client—See ACU for Grantor or Trustee rtson Hughes, Tom Client N Y 10/13/2017 rtson Allbritton, Robert Client Y Douglas Robertson Weingord, Philip Client N Douglas Robertson W E SIMON JR TTEE GEN SKIP TR UAD 92 Client N 18/2017 Douglas Robertson W.S. Hills, Inc Client Y N 10/18/2017 rtson Amelia Stother Munro Tr Client Y Trust Client - See ACU for Grantor or Trustee Douglas Gabriella Girard Munro Tr Client Y Trust Client - See ACU for Grantor or Trustee Douglas Bone Roll Llc Client Y N 10/18/2017 C/Other Entity Accounts - See Owner/Siganatory's ACU Douglas Ipp97 Private Equity Llc Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson Beaver Dam Partners, Lp Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson Wesley Creek LLC Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson Weskids III LLC Client Y N 10/18/2017 EFTA01398955 Corporate/PIC/Other Entity Accounts - See Owner/Siganatory's ACU Douglas Robertson Ipp99 Private Equity L.l.c. Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson Hidden Pond Partners, L.p. Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson Ipp97 realty, 1.1.c. Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson Simon Phoenix Hotel I, L.p. Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson Wesinvest Inc Client Y N 10/18/2017 /Other Entity Accounts - See Owner/Siganatory's ACU Douglas William E Simon & Sons LLC Client Y Corporate/PIC/Other Entity Accounts - See Owner/- ACU Douglas Robertson Weskids Lp Client Y N 10/18/2017 /Other Entity Accounts - See Owner/Siganatory's ACU Douglas William E. Simon & Sons Special Situations II, LLC N 10/18/2017 Douglas Robertson Johanna K Morris Sep Children's Tr UAD 2/13/98 FBO e Morris Client Y N 10/18/2017 Trust U for Grantor or Trustee Douglas Robertson Johanna K Morris Separate Children's Trust UAD 2/13/98 FBO Morris Client Y N 10/18/2017 Trust U for Grantor or Trustee Douglas Robertson Johanna K Morris Sep Children's Tr UAD 2/13/98 FBO and Morris Client Y N 10/18/2017 Trust U for Grantor or Trustee Douglas Robertson The Cynthia L Simon Revocable Trust Client Y /2017 Trust Client—See ACU for Grantor or Trustee tson The William E Simon Jr Revocable Trust Client Y /2017 Corporate/PIC/Other Entity Accounts - See Owner/- CU Douglas Robertson Generation Skipping Trust u/a/d 12/22/92 Client Y /2017 Douglas Robertson XWC Investors, L.L.0 Client Y Other (Please Describe) Douglas Robertson Marital Trust U/W/O William E Simon F/6/0 Tonia Simon Dtd nt Y N 10/18/2017 Trust Client—See ACU for ustee Douglas Robertson Simon WC Investors, LLC Client Y Douglas Robertson William E. Simon & Sons Special Situations, LLC Client 10/18/2017 Douglas Robertson EFTA01398956  Simon Children's Trust u/a/d 12/30/91 f/b/o William E. Client Y N 10/18/2017 Family Office/- dvisor Relationship Douglas Robertson Simon Children's Trust u/a/d 12/30/91 f/b/o Griffith nt Y N 10/18/2017 Family Office/Investment tionship Douglas Robertson Simon Children's Trust u/a/d 12/30/91 f/b/o Lindsay Louise nt Y N 10/18/2017 Family Office/Investment tionship Douglas Robertson New Vernon Advisors Inc. f/b/o The Tonia A. Simon Revocable 12/5/05 Client Y N 10/18/2017 Trust ACU for Grantor or Trustee Douglas Robertson Gst Trust U/w/u William E. Simon Client Y 8/2017 Trust Client - See ACU for Grantor or Trustee rtson Simon, J. Peter Client Y N 10/18/2017 rtson Streep, Mary Beth Simon Client Y Douglas Robertson Simon, Julie A. Client Y N 10/18/2017 rtson Simon Jr., William E. Client Y Douglas Robertson Porges, Carol Leigh Simon Client Y Douglas Robertson Simon, Johanna K. Client Y Douglas Robertson Kirschenbaum, Joel S. Client N Douglas Robertson Kirschenbaum, Stephen Client N Douglas Robertson Estate of Bruce R. Boalt Client N Douglas Robertson Beacon Court Holdings Limited Client Y Douglas Robertson TR K. Mahoney U/Tice Farms Inc Fid. DIAA Client N /2017 Douglas Robertson Reese, Elizabeth S Client N Douglas Robertson Jones, Nancy T. Client N N 11/1/2017 rtson Bendheim, Thomas Client N Douglas Robertson Younes, Mona Saleh Client N Douglas Robertson Younes, Hedayat Saleh Client N Douglas Robertson Concord International Partners Client N Douglas Robertson Hull, Gretchen E Client N 11/7/2017 Douglas Robertson EFTA01398957  Estonian Students Fund in USA, Inc. Client N 9/2017 Douglas Robertson Align Ventures LLC Client N Y Douglas Robertson Demoulas, Fotene Client N Y Douglas Robertson Bryce, Ben Client N 11/18/2017 rtson Huie, Marcus Client N 11/18/2017 rtson Younes, Farouk S Client N N Douglas Robertson Stanhope Overseas Limited Client Douglas Robertson Bahadur, Sekhar Client N 11/23/2017 rtson Article Sixth Tr UW Robert .7 Prignano aka Palmer Client 11/29/2017 Douglas Robertson Grassie, Alasdair Client N N Douglas Robertson Estate Of Abdel H Afghani Client N N Douglas Robertson Villani, Cynthia M. Client N Douglas Robertson Schoen, Pamela Client N 12/1/2017 rtson O'Neill, DiManno & Kelly Client Douglas Robertson Robert C.Doherty Irrevocable Trust Client N 2/2017 Douglas Robertson Caymen Partners I LLC Client N N Douglas Robertson Feeney, Peter J. Client N N Douglas Robertson Milrod, Donna Client N 12/8/2017 rtson Peaks Polar Star, LLC Client N Douglas Robertson Casa Estrella, LLC Client N Douglas Robertson Axel Krol & Co Client N 12/13/2017 rtson Younes, Khaled Mohammed Client N N Douglas Robertson J. ANDREW LARK ATTORNEY TRUST ACCOUNT Client N 15/2017 Douglas Robertson ANNE FLUGSTAD-CLARKE 2003 INSURANCE TR Client N 15/2017 Douglas Robertson Lark, Kay Rouse Client N 12/15/2017 rtson Burrows, Charles T Client N EFTA01398958 12/15/2017 Douglas Robertson Selma Dix Properties Corp Client N Douglas Robertson Kiernan, Pamela Ann Client N Douglas Robertson Clarke, Stuart Client N N 12/15/2017 rtson Price, James Client N Y 12/15/2017 rtson Cury, Brian Client N N 12/15/2017 rtson Huntington Packaging Investment LLC Client N 16/2017 Douglas Robertson Millstein HF LLC Client N Douglas Robertson Millstein MPP LLC Client N Douglas Robertson MPP Investment LLC Client N Douglas Robertson Millstein DLT Co-Investment LLC Client N Douglas Robertson Millstein Technology Partners LLC Client N 16/2017 Douglas Robertson DeHavilland LLC Client N Y 12/16/2017 rtson Demoulas, Arthur Client N Douglas Robertson Farha, Georges Client N Y 12/19/2017 rtson Marjorie and Leigh LLC Client N Douglas Robertson Dana Streep Trustee Fbo Mary Gummer Irr Trust Client 12/19/2017 Douglas Robertson Dana Streep Trustee Fbo Louisa Gummer Irr Trust Client 12/19/2017 Douglas Robertson Dana Streep Trustee Fbo Grace Gummer Irr Trust Client 12/19/2017 Douglas Robertson Dana Streep Trustee Fbo Henry Gummer Irr Trust Client 12/19/2017 Douglas Robertson Grassie, Jorie A. Client N Douglas Robertson Bergen, John Client N N 12/19/2017 rtson The David S Kimmel Life Insurance Trust Client N 20/2017 Douglas Robertson Geringer & Dolan Client N Douglas Robertson Fotene J. Demoulas 2015 GRAT Client N Douglas Robertson Fotene J. Demoulas 2016 GRAT US 2 Client N N 12/23/2017 Douglas Robertson EFTA01398959  Fotene J. Demoulas 2016 GRAT Europe 2 Client N 23/2017 Douglas Robertson Fotene J. Demoulas 2016 GRAT EM 2 Client N 23/2017 Douglas Robertson Fotene J. Demoulas 2016 GRAT Asia 2 Client N 23/2017 Douglas Robertson Cales, Francisco Manuel Client N N Douglas Robertson Rowe, Kerstin L Client N 12/29/2017 rtson Moskin, Nancy I. Client N Douglas Robertson O'Keefe, Brian E Client N N Douglas Robertson Jay L Pomrenze Hadasa Pomrenze Foundation Client 12/29/2017 Douglas Robertson Andrew F. Gallivan 2008 Family Trust Client N 29/2017 Douglas Robertson Gallivan, Andrew F. Client N N Douglas Robertson Reese, Alexander S. Client N Douglas Robertson The Richard F. Seamans Trust - 2013 Client N 30/2017 Douglas Robertson Fischer, Douglas L. Client N N Douglas Robertson Museum & Art Advisory, LLC Client N N Douglas Robertson Alexander Reese & Marina Kittery Reese Irrevocable Trust Client N N 1/6/2018 Douglas Robertson Pomrenze Trust Client N 1/9/2018 rtson Pomrenze, Elisheva Client N N Douglas Robertson Livingston, Barbara S. Client N N Douglas Robertson Moskin, Mark D. Client N 1/11/2018 rtson Girl Scouts of Eastern Massachusetts Inc Client N 2/2018 Douglas Robertson de Balmann, Yves C. Client N N Douglas Robertson Millstein GRS LLC Client N Douglas Robertson Sexton, Timothy F. Client N N Douglas Robertson Christerson, Blanche Lark Client Douglas Robertson Foreman, Mark Client N 1/24/2018 rtson Boushy Consulting LLC Client N EFTA01398960 1 25 2018 Douglas Robertson GRS Investment LLC Client N Douglas Robertson Feyerick, Deborah Client N Douglas Robertson Foros Advisors LLC Client N Douglas Robertson Foros Securities, LLC Client N Douglas Robertson Rapoport, Esta M. Client N Douglas Robertson Forrester, Andrew H. Client N Douglas Robertson Prignano, Barbara Client N Douglas Robertson Jawhary, Mohamed Abbas Client N Douglas Robertson Paasche, Michael Client N Douglas Robertson Lemorzellec, Kathy Client N Douglas Robertson Blumenthal, Robert Client N Douglas Robertson TR R.Cherrington U/Tice Inc Fid. DIAA Client N /2018 Douglas Robertson Doherty, Robert K. Client N Douglas Robertson MacDonald Jr., Ralph L. Client N Douglas Robertson Sarkar, Soumyo Client N Y 3/16/2018 rtson Johnston, G. Donald Client N Douglas Robertson The Claudette Sarino Dizon Trust Client N /2018 Douglas Robertson Michael W. Copps Revocable Tr Dtd 7/3/96 Client N /2018 Douglas Robertson Simon Children's Trust u/a/d 12/30/91 f/b/o Cary Matthews nt Y N 3/28/2018 Corporate/PIC/Other Entity ee Owner/Siganatory's ACU Douglas Robertson Little West 12th Street Realty Management, LLC Client 5/5/2018 Douglas Robertson Fotene J. Demoulas 2017 GRAT US Client N Douglas Robertson Fotene J. Demoulas 2017 GRAT Europe Client N /2018 Douglas Robertson Fotene J. Demoulas 2017 GRAT EM Client N Douglas Robertson The 1996 Kess Family Trust Client N Douglas Robertson South Street Investments, Inc. Client Y EFTA01398961 10/18/2018 Corporate/PIC/Other Entity Accounts - See Owner/- Si anator 's ACU Douglas Robertson Stuart Clarke 2003 Insurance Trust Client N Y 12/20/2018 Douglas Robertson Estate Of Dorothy Sartor Client N N 12/20/2018 Douglas Robertson For internal use only EFTA01398962