EFTA01398793

Subject: RE: MD approval for ACUs completed for High Risk Clients [I] From: Andrew Gallivan Date: Fri, 07 Apr 2017 To: Vaishali-P Mehta < Classification: For internal use only Approved. From: Vaishali-P Mehta Sent: Friday, April 07, 2017 2:21 PM To: Andrew Gallivan Subject: FW: MD approval for ACUs completed for High Risk Clients [I] Classification: For internal use only Hi Andrew, In an effort to ensure that you have to approve only 1 email, I sent the below email, in hindsight I should have been more careful about not ccing all the Bankers on the email. I apologize for the inconvenience caused. However I still need the approval from you. Could you please approve the below High Risk ACus which were completed? As I mentioned in the below email, this is the last email based approval I will be needing from you. Regards, Vaishali Mehta Deutsche Bank Wealth Management EFTA01398793 From: Vaishali-P Mehta Sent: Wednesday, April 05, 2017 12:23 PM To: Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Joanne Jensen; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Terri Sohrab Subject: MD approval for ACUs completed for High Risk Clients [I] Classification: For internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner / RM. Which means if the RM is an MD, the approval must come from another MD who is in their reporting line. In that regard, could you please approve the below ACUs? Annual Client Update: ID GCIS Customer Number Customer Name EFTA01398794 MD Annual Client Update: Created Date A14. A15. Client Status Update Description A16. A17. Customer Owner 82744 00000469756 CJA Private Equity Financial Restructuring Master Fund I, L.P. Andrew Gallivan 3/8/2017 The entity is a Private Equity Investments firm. Commitments to the fund are raised from a number of sources including personal pension funds, financial institutions, foundations, endowments, and wealthy individuals. Commitments to the fund are raised from a number of sources including personal pension funds, financial institutions, foundations, endowments, and wealthy individuals. Yr Net Profit $10MM, Investable Assets $100MM No changes so far this year. No No Mark Gonzalez 82747 00000469757 CJA Public Private Multi Manager Master Fund, L.P. Andrew Gallivan 3/8/2017 EFTA01398795 The entity is a Private Equity Investments firm. Commitments to the fund are raised from a number of sources including personal pension funds, financial institutions, foundations, endowments, and wealthy individuals. Yr Net Profit $10MM, Investable Assets $100MM There have been no changes for this entity this year. No No Mark Gonzalez 82749 00000469433 Gapstow Capital Partners LP Andrew Gallivan 3/8/2017 Private Equity Investments-Income is derived from investment management fees. There have been no significant changes to this client's activity. No No Mark Gonzalez 82750 00000486910 Gapstow Community Financials Fund LP Andrew Gallivan 3/8/2017 The entity is a Private Equity Investments firm. Commitments to the fund are raised from a number of sources including personal pension funds, financial institutions, foundations, endowments, and wealthy individuals. EFTA01398796 No changes have occurred for this entity. No No Mark Gonzalez 82746 00000469760 Gapstow Credit & Special Situations Master Fund LP Andrew Gallivan 3/8/2017 The entity is a Private Equity Investments firm. Commitments to the fund are raised from a number of sources including personal pension funds, financial institutions, foundations, endowments, and wealthy individuals. Yr Net Profit $10MM, Investable Assets $100MM There have been no changes in circumstances this year. No No Mark Gonzalez 82748 00000469758 Gapstow Opportunity Master Fund, LP Andrew Gallivan 3/8/2017 The entity is a Private Equity Investments firm. Commitments to the fund are raised from a number of sources including personal pension funds, financial institutions, foundations, endowments, and wealthy individuals. Yr Net Profit $10MM, Investable Assets $100MM Nothing has changed for this particular entity. No EFTA01398797 No Mark Gonzalez 82745 00000469759 Gapstow Real Estate Yield Master Fund, L.P. Andrew Gallivan 3/8/2017 The entity is a Private Equity Investments firm. Commitments to the fund are raised from a number of sources including personal pension funds, financial institutions, foundations, endowments, and wealthy individuals. Yr Net Profit $10MM, Investable Assets $100MM No chages have occured for this entity. No No Mark Gonzalez 82909 00000486553 Gapstow Structured Credit Master Fund LP Andrew Gallivan 3/16/2017 The entity is a Private Equity Investments firm. Commitments to the fund are raised from a number of sources including personal pension funds, financial institutions, foundations, endowments, and wealthy individuals. No changes have occurred for this entity. No No Mark Gonzalez EFTA01398798 82881 00000421598 Cabrerizo, Tom Andrew Gallivan 3/14/2017 No changes to report. No changes to report. Rachel spoke w/Tom Cabririzo to inform him she would now be handling his DB relationship. Yes No Rachel Maglicic 82882 00000500416 Florescue Family Corporation Andrew Gallivan 3/14/2017 No changes to report. No changes to report. Rachel provided Barry Florescue an update on the recently executed swap and introduced the GSMM investment opportunity. Yes No Rachel Maglicic 82925 00000486426 Butterfly Trust EFTA01398799 Andrew Gallivan 3/16/2017 change in beneficiaries No material change Yes No Stewart Oldfield 82915 00000487223 HBRK Associates, Inc Andrew Gallivan 3/16/2017 No material change No material change Yes No Stewart Oldfield 82916 00000487225 Hyperion Air, LLC Andrew Gallivan 3/16/2017 no material change no material change EFTA01398800 Yes No Stewart Oldfield 82918 00000487244 JEGE, Inc Andrew Gallivan 3/16/2017 no material change no material change Yes No Stewart Oldfield 82919 00000487244 JEGE, Inc Andrew Gallivan 3/16/2017 no material change no material change Yes No Stewart Oldfield 82917 EFTA01398801 00000487216 JEGE, LLC Andrew Gallivan 3/16/2017 No material change No material change Yes No Stewart Oldfield 82914 00000489505 Andrew Gallivan 3/16/2017 no material change no material change Yes No Stewart Oldfield 82920 00000487264 Neptune, LLC Andrew Gallivan 3/16/2017 no material change EFTA01398802 no material change Yes No Stewart Oldfield 82922 00000487265 NES, LLC Andrew Gallivan 3/16/2017 No material change No material change Yes No Stewart Oldfield 82923 00000487219 Plan D, LLC Andrew Gallivan 3/16/2017 No material change No material change Yes No Stewart Oldfield EFTA01398803 82912 00000483882 Southern Financial LLC Andrew Gallivan 3/16/2017 No changes in activities. No changes Yes No Stewart Oldfield 82913 00000483883 Southern Trust Company, Inc. Andrew Gallivan 3/16/2017 Southern Trust Company has not changed its nature of business within the past year. it is still a private investment company and has no changed. Southern Trust is still a private investment company and has not had any changes No No Stewart Oldfield 82921 00000487199 The 2007 Jeffrey E. Epstein Insurance Trust #3 EFTA01398804 Andrew Gallivan 3/16/2017 No material change No material change Yes No Stewart Oldfield 82799 00000462886 Altpoint Capital Partners, LLC Andrew Gallivan 3/10/2017 They are part of the small accounts exit project.. we are planning to close their accounts There are no changes to clients employment status, health or primary residence. No No Brian Convey 82798 00000469150 Jarero, Cristina Andrew Gallivan 3/10/2017 John Marson spoke with client re: accounts There are no material changes EFTA01398805 No No Brian Convey 82871 00000426119 Kestenbaum, Jacob Andrew Gallivan 3/13/2017 Scott Prokop and Brian Convey speaks with client to review his account. There are no material changes Yes No Brian Convey 82836 00000420827 Paul A Volcker Irrevocable Life Ins Trust Andrew Gallivan 3/13/2017 Brian Convey speaks with client quarterly to review account. There are no changes to client's employment status, health or primary residence No No Brian Convey EFTA01398806 82833 00000210143 Paul Volcker Tr For James P. Volcker Andrew Gallivan 3/13/2017 Brian speaks with client quarterly to review account There are no material changes No No Brian Convey 82834 00000210142 Paul Volcker Tr For Janice Volcker Zima Andrew Gallivan 3/13/2017 Brian Convey speaks with client quarterly to review accounts. There are no material changes No No Brian Convey 82835 00000208963 Volcker, Paul Andrew Gallivan 3/13/2017 EFTA01398807 Brian Convey speaks with client quarterly to review account. There are no changes to client's employment status, health or primary residence No No Brian Convey 82603 00000496203 BPP F.1 Cayman LP Andrew Gallivan 3/2/2017 The client is an AIV borrower in a credit facility for Blackstone Property Property Partners. The account holds a zero balance currently. No No Joanne Jensen 82601 00000496202 BPP F.1 DE LP Andrew Gallivan 3/2/2017 BPP F.1 DE LP is an AIV borrower under the Blackstone Property Partners credit facility. The client currently holds —$11K on deposit. No EFTA01398808 No Joanne Jensen 82600 00000496201 BPP F.1 REIT Inc. Andrew Gallivan 3/2/2017 BPP F.1 REIT Inc. is an AIV borrower on the Blackstone Property Partners credit facility. The client currently holds no assets on deposit with DB. No No Joanne Jensen 82599 00000496200 BPP F.2 DE LP Andrew Gallivan 3/2/2017 BPP F.2 DE LP is an AIV borrower on a credit facility for Blackstone Property Partners. The client has a deposit account holding —$20K. No No Joanne Jensen 82483 EFTA01398809 00000493007 D & D Funding II, LLC Andrew Gallivan 2/28/2017 This company is a Joint Venture entity created owned 50/50 by Chris Diamantis and Joe Dinardo. Both Chris and Joe's wealth come from their own businesses and they use this company for joint ventures in various companies and assets. This entity is used solely as an investment vehicle; currently hold —$4MM at DB No No Joanne Jensen 82431 00000489085 Winklevoss Index, LLC Andrew Gallivan 2/27/2017 This entity is owned by the Winklevoss brothers for private investment purposes. The account currently holds approx. $6K on deposit. No No Joanne Jensen 82429 00000454155 Wolfson Equities EFTA01398810 Andrew Gallivan 2/27/2017 Wolfson Equities is the investment arm of the Wolfson Group, a family-based investment and real estate company. The client doesn't currently have any assets with DB. No No Joanne Jensen 82664 00000494254 Windels, Catherine Andrew Gallivan 3/3/2017 No material changes. No material changes. No No Andrea Nicoletti 82654 00000493298 Bridge Equities VI, LLC Andrew Gallivan 3/3/2017 No material changes. No material changes. Donna Snyder has retired as of 1/13/2017. EFTA01398811 No No Malcolm Kimble 82655 00000498379 STEWART BAINUM JR. REVOCABLE TRUST Andrew Gallivan 3/3/2017 No material changes No material changes. Donna Snyder has retired as of 1/13/2017. No No Malcolm Kimble 82653 00000484974 Sunbridge Holdings, LLC Andrew Gallivan 3/3/2017 No material changes. No material changes. Donna Snyder has retired as of 1/13/2017. No No Malcolm Kimble 82629 EFTA01398812 00000521059 DVI PE (Mauritius) Ltd Andrew Gallivan 3/3/2017 The purpose of the entity is to invest in shares of private investment companies in India and to serve as a master fund for other existing funds. No material changes No No Mary Ann Coleman 82560 00000490484 1960 East 5th Street, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic 82785 00000463109 469 Avenue S LLC Andrew Gallivan 3/9/2017 EFTA01398813 no activity. This account is used to own the property at 469 Avenue S, Brooklyn, NY no activity. This account is used to own the property at 469 Avenue S, Brooklyn, NY Yes No Rosemary Vrablic 82521 00000520681 AQL Hartwell LLC Andrew Gallivan 2/28/2017 no changes from KYC - loan has been terminated no changes from KYC - loan has been terminated Yes No Rosemary Vrablic 82548 00000435801 Community Organizations, LLC Andrew Gallivan 3/1/2017 no material changes no material changes Yes EFTA01398814 No Rosemary Vrablic 82774 00000435801 Community Organizations, LLC Andrew Gallivan 3/9/2017 no material changes no material changes Yes No Rosemary Vrablic 82546 00000418627 Franco, Isaac S. Andrew Gallivan 3/1/2017 no changes from KYC No changes from KYC Yes No Rosemary Vrablic 82549 00000435806 EFTA01398815 Franco Realty Group, LLC Andrew Gallivan 3/1/2017 No new activities or changes No changes Yes No Rosemary Vrablic 82550 00000435806 Franco Realty Group, LLC Andrew Gallivan 3/1/2017 No new activities or changes No changes Yes No Rosemary Vrablic 82775 00000435806 Franco Realty Group, LLC Andrew Gallivan 3/9/2017 No new activities or changes No changes EFTA01398816 Yes No Rosemary Vrablic 82779 00000435806 Franco Realty Group, LLC Andrew Gallivan 3/9/2017 No new activities or changes No changes Yes No Rosemary Vrablic 82559 00000497510 I Like Ike, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic 82562 EFTA01398817 00000497009 I Like Ike Kingswood, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic 82564 00000478501 Infinity AL Holdings, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic 82561 00000503732 Infinity Entertainment, LLC Andrew Gallivan 3/1/2017 EFTA01398818 No changes No changes Yes No Rosemary Vrablic 82553 00000463528 Infinity LW 12th Street, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic 82552 00000443214 Infinity PLR 44, LLC Andrew Gallivan 3/1/2017 no changes from KYC no changes from kyc Yes No Rosemary Vrablic EFTA01398819 82740 00000443214 Infinity PLR 44, LLC Andrew Gallivan 3/8/2017 no changes from KYC no changes from kyc Yes No Rosemary Vrablic 82778 00000443214 Infinity PLR 44, LLC Andrew Gallivan 3/9/2017 no changes from KYC no changes from kyc Yes No Rosemary Vrablic 82547 00000497509 Infinity S Kingswood LLC Andrew Gallivan EFTA01398820 3/1/2017 No changes No changes Yes No Rosemary Vrablic 82558 00000503731 Infinity Sports Licensing, LLC Andrew Gallivan 3/1/2017 no changes no changes Yes No Rosemary Vrablic 82784 00000497007 IRE-NG 1715 E. 13th Street, LLC Andrew Gallivan 3/9/2017 no change to KYC Subject property was recently leased to Target in a 10 year contract. Yes EFTA01398821 No Rosemary Vrablic 82565 00000472784 Isaac Franco 2001 Grantor Retained Annuity Trust Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic 82566 00000472785 Isaac Franco 2002 Grantor Retained Annuity Trust Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic 82557 00000472786 EFTA01398822 Isaac Franco 2008 Irrevocable Trust Andrew Gallivan 3/1/2017 No Changes No Changes Yes No Rosemary Vrablic 82776 00000435810 ISF Parkway LLC Andrew Gallivan 3/9/2017 no new changes no new changes Yes No Rosemary Vrablic 82556 00000472123 IUC 701 Times Square LLC Andrew Gallivan 3/1/2017 no changes no changes EFTA01398823 Yes No Rosemary Vrablic 82742 00000437170 Katzoff, Gerald Andrew Gallivan 3/8/2017 no changes to kyc no changes to kyc Yes No Rosemary Vrablic 82743 00000437170 Katzoff, Gerald Andrew Gallivan 3/8/2017 no changes to kyc no changes to kyc Yes No Rosemary Vrablic 82741 EFTA01398824 00000437167 Katzoff, Stuart Andrew Gallivan 3/8/2017 There are no material changes. There are no material changes. Yes No Rosemary Vrablic 82334 00000463529 LW 12th Street Holding, LLC Andrew Gallivan 2/22/2017 no changes from KYC no changes from KYC Yes No Rosemary Vrablic 82554 00000464881 MISS AMERICA PROPERTIES, LLC Andrew Gallivan 3/1/2017 EFTA01398825 No updates since previous update No updates since previous update Yes No Rosemary Vrablic 82555 00000464881 MISS AMERICA PROPERTIES, LLC Andrew Gallivan 3/1/2017 No updates since previous update No updates since previous update Yes No Rosemary Vrablic 82738 00000438525 Nevada Land III LLC Andrew Gallivan 3/8/2017 no changes from kyc no changes from kyc Yes No Rosemary Vrablic EFTA01398826 82523 00000520534 Seminole Housing LLC Andrew Gallivan 2/28/2017 no changes since KYC no changes since KYC Yes No Rosemary Vrablic 82551 00000435811 S Franco Realty, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic 82777 00000435811 S Franco Realty, LLC Andrew Gallivan EFTA01398827 3/9/2017 No changes No changes Yes No Rosemary Vrablic 82780 00000435811 S Franco Realty, LLC Andrew Gallivan 3/9/2017 No changes No changes Yes No Rosemary Vrablic 82737 00000437345 SK Baseball Holdings LLC Andrew Gallivan 3/8/2017 no changes from kyc no changes from kyc Yes EFTA01398828 No Rosemary Vrablic 82563 00000480796 Stallion 44, LLC Andrew Gallivan 3/1/2017 no changes from kyc no changes from kyc No No Rosemary Vrablic 82739 00000488487 Westbury Management Group LLC Andrew Gallivan 3/8/2017 no changes to kyc no changes to kyc Yes No Rosemary Vrablic 82530 00000490083 EFTA01398829 Fundacion Noal Andrew Gallivan 2/28/2017 Hildegarde Novey Kotchman inherited a piece of undeveloped land in Panama from her father (Robert Novey - KYC CASE # 583662). The land was sold to a developer who established the Santa Maria Business park. These are the proceeds of that sale. After a number of conversations we received her signed Entity Self Certification Form (CRP) as required for a resident of Panama. Yes No Terrence Tangney 82535 00000490083 Fundacion Noal Andrew Gallivan 2/28/2017 Hildegarde Novey Kotchman inherited a piece of undeveloped land in Panama from her father (Robert Novey - KYC CASE # 583662). The land was sold to a developer who established the Santa Maria Business park. These are the proceeds of that sale. After a number of conversations we received her signed Entity Self Certification Form (CRP) as required for a resident of Panama. Yes No Terrence Tangney 82459 00000491914 Lundberg, Fredrik EFTA01398830 Andrew Gallivan 2/27/2017 Fredrik Lundberg (born August 5, 1951) is a Swedish businessman. His father was Lars Erik Lundberg (1920-2001) founder of L E Lundbergf6retagen. Fredrik Lundberg is president and CEO of L E Lundbergf6retagen, of which he inherited a controlling stake from his father. He is the ninth wealthiest person in Sweden, according to Forbes magazine. In 1944, when Lars Erik Lundberg - Frederik's father - was only 24, he formed the company that was later to become Lundbergs in his apartment in Norrk6ping. This company engaged in construction operations and focused on residential building. At an early stage, Lars Erik Lundberg started to show an interest in investing in proprietary properties, having understood the value represented by expansion into an additional business sector, real estate management. This move created greater stability in the company, which could gradually reduce its dependence on construction operations. It is this foundation upon which Fastighets AB L E Lundberg?s property operations rest today. At the end of the 1970s, Lundbergs began to consider a further expansion of the group?s operations and, during the 1980s, a series of investments were made within new industries. Finance companies were acquired and developed, as were several smaller industrial companies. Investments were also made in certain publicly listed companies. The group?s operations became increasingly diversified and, during the second half of the 1980s, it was decided that investments outside the core area of construction and real estate operations would be concentrated in a limited number of publicly listed companies. In 1983, the shares in Lundbergs, with Lars Erik Lundberg's son Fredrik Lundberg as President and CEO, were listed on the Stockholm Stock Exchange. From its original status as a wholly owned family company, the step was now fully taken into the glare of the public eye. However, the Lundberg family retained a clear majority holding in the Company. Accordingly, during its first 60 years, Lundbergs has developed from a construction company to an investment company with interests in several different areas. KYC was recently completed as front office noticed there was no electronic version to be found. No changes to report. Yes No Terrence Tangney 82595 00000450954 Vakirtzis, George EFTA01398831 Andrew Gallivan 3/2/2017 George Vakirtzis is Managing Director at Polembros Shipping, Limited, headquartered in Greece. He is also on the Board of American Steamships, Inc. Mr. Vakirtzis derives his income for salary/bonus, Director's fees and private investments. Discussed replacement debit card. No material changes. Yes No Terrence Tangney 82729 00000440507 Vernon E. Jordan, Jr. Revocable Trust Andrew Gallivan 3/7/2017 Mr. Jordan is a Partner at the law firm of Akin, Gump, Strauss, Hauer & Feld. He is also a Senior Managing Director at Lazard Freres. Mr. Jordan also remains a director on a number of corporate boards including American Express, J.C. Penney Corporation, Xerox, Asbury Automotive Group and the Dow Jones & Company. He is formerly a member of the board of directors of Revlon, Sara Lee, Corning and RJR Nabisco. no changes Yes No Terrence Tangney 82727 00000486896 Vickee Jordan Adams 2013 GRAT Andrew Gallivan EFTA01398832 3/7/2017 Mr. Jordan is a Partner at the law firm of Akin, Gump, Strauss, Hauer & Feld. He is also a Senior Managing Director at Lazard Freres. Mr. Jordan also remains a director on a number of corporate boards including American Express, J.C. Penney Corporation, Xerox, Asbury Automotive Group and the Dow Jones & Company. He is formerly a member of the board of directors of Revlon, Sara Lee, Corning and RJR Nabisco. no changes Yes No Terrence Tangney 82757 00000460090 Function(x) Inc. Andrew Gallivan 3/8/2017 no material changes no changes No No Terri Sohrab 82756 00000418125 Sea Change Foundation Andrew Gallivan 3/8/2017 no material changes EFTA01398833 no material changes No No Terri Sohrab 82758 00000472894 SFX Entertainment Inc. Andrew Gallivan 3/8/2017 accounts have closed as of 2/1/2016 accounts have closed as of 2/1/2016 No No Terri Sohrab Please note that this is the last month that I will be asking for these approvals manually, as of April we will be doing KYC updates/ Periodic Reviews which will require the MD signature via DB Force. Please let me know if you have any questions. Regards, Vaishali Mehta EFTA01398834 Deutsche Bank Wealth Management EFTA01398835