EFTA01398848

Sheet1 Reason for KYC GCIS Customer Number KYC ID Full Legal Name Case Manager RAG Status Next Step by Exclusion Reason # Days in Outreach Due Date Customer Risk Score PEP? DC Status RR 1883718 Techview Investments Ltd. Vijay Sawant Due soon Quality Rejection with Client 5 10/18/18 High RR 1981932 Sillerman, Robert F.X. Adrian Lopez Overdue Initial Due Diliver 8/28/18 High ABR SME working on Remediation Nativos Investment LTD Chantelle Williams Overdue Pending Approval with ABR 2/28/18 High EXCLUSION COMPLETED Remediation BPP F.1 Cayman LP Pradeep Vaje Due soon Client Outreach with Client 12 10/31/18 High RR Due soon Client RR Due soon Client RR Due soon Client RR soon Client Outreach Remediation Due soon Quality 10/31/18 High BPP F.1 Outreach BPP F.1 Outreach BPP F.1 Outreach BPP F.1 DE 3800 Alameda L.P. with Client 12 DE Central Park L.P. with Client 12 DE Media Studios L.P. with Client 12 DE Pointe L.P. Pradeep with Client 12 11/3/18 BPP F.1 DE Viking LP Rejection with Client Remediation BPP F.1 Due soon Quality Rejection 10/31/18 Remediation iiiill BPP F.1 Due soon Quality Rejection Remediation Hi BPP F.1 10/31/18 Due soon Quality Rejection Remediation iiill BPP F.2 10/31/18 Due soon Quality Rejection Remediation Hi BPP F.2 10/31/18 Due soon Quality Rejection Remediation Hi BPP F.2 10/31/18 Due soon Quality Rejection RR 10/31/18 — High Pradeep Vaje RR 10/17/18 — High NQ L.P. Pradeep Vaje 12 10/17/18 RR DE Viking 2 LP with Client DE Viking 3 LP with Client DE Viking 4 LP with Client DE Viking 2 LP with Client DE Viking 3 LP with Client DE Viking LP with Client Pradeep Vaje 11/3/18 High Pradeep Vaje 11/3/18 High Pradeep Vaje 11/3/18 High Vaje Due High Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Blackstone Tactical Opportunities Fund Due soon Client Outreach with Client Blackstone Due soon High Blackstone II.F L.P. 12 Tactical Opportunities Fund II (Cayman) Client Outreach with Client Tactical Opportunities Fund II-NQ EFTA01398848 L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II.F (Cayman)-NQ L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II.F-Q L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II-0 L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High RR Blackstone Tactical Opportunities Fund II L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 Hi h RR Blackstone Tactical Opportunities Fund II (Cayman) L.P. Pradeep Vaje Due soon Client Outreach with Client 12 RR (Cayman) L.P. Client 12 RR L.P. 12 RR Pradeep Vaje 10/17/18 RR Pradeep Vaje 10/17/18 RR 10/17/18 High Blackstone Tactical Opportunities Fund II.F Pradeep Vaje Due soon Client Outreach with 10/17/18 High Blackstone Tactical Opportunities Fund-F (Cayman) Pradeep Vaje Due soon Client Outreach with Client 10/17/18 High Blackstone Tactical Opportunities Fund-I-NQ L.P. Due soon Client Outreach with Client 12 High Blackstone Tactical Opportunities Fund-F-Q L.P. Due soon Client Outreach with Client 12 Hioh Blackstone Tactical Opportunities Fund-I (Cayman)- NQ L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 High Blackstone Tactical Opportunities Fund-I L.P. Due soon Client Outreach with Client 12 Hioh RR Pradeep Vaje 10/17/18 RR Blackstone Tactical Opportunities Fund-I (Cayman) L.P. Pradeep Vaje Due soon Client Outreach with Client 12 RR Pradeep Vaje 10/17/18 RR 10/17/18 High Blackstone Tactical Opportunities Fund-F L.P. Due soon Client Outreach with Client 12 Hioh Blackstone Tactical Opportunities Fund-F (Cayman)- NQ L.P. Pradeep Vaje Due soon Client Outreach with Client 12 10/17/18 RR Pending Approval - RR Babu Due soon 10/20/18 High RR soon Pending Approval High SDMP Services, Inc Natalie Barak with AFC 7/31/18 High EDR Vernon E. Jordan, Jr. Revocable Trust Client Outreach with Client 47 Tananbaum, Steven A. Vijay Sawant with PO 11/7/18 High Overdue Alka Due EFTA01398849 RR Jazz Realty LLC Chantelle Williams Due soon Pending Approval with AFC 10/31/18 High RR Fairfax Harbor Real Estate LLC Crystal Pouncy Overdue Quality Rejection 10/3/18 High Will be submitted this week RR Lucy's Landing, LLC Rachel Wachs Overdue Client Outreach with RM 8 9/15/18 High Yes RR The JWM Generations Trust Share B-JRJ Crystal Pouncy Overdue Quality Rejection with RM 8 7/14/18 High Will be submitted this week RR Prime Overseas Investments and Enterprises Limited Vijay Sawant Overdue Quality Rejection with Client 35 RR 9/15/18 „ III The JWM Generations Trust Share B-AES Crystal Pouncy Overdue Quality Rejection with RM 8 7/14/18 High Will be submitted this week RR Big River Real Estate, LLC Rachel Wachs Overdue Client Outreach with RM 8 9/19/18 High Yes Remediation Cerberus Executive, LLC Vijay Sawant Overdue Client Outreach with RM 60 7/31/18 High RR The JWM Generations Trust Share A-DMH Pouncy Overdue Quality Rejection with Client 6 High Will be submitted this week RR The JWM Generations Trust Share C-JWM Pouncy Overdue Quality Rejection with Client 6 High Will be submitted this week RR Cerberus Capital Management, Sawant Overdue Quality Rejection with RM 16 This has over 60 party roles Remediation Pending Approval ■ RR Quality Rejection submitted this week RR The JWM Generations Trust Share D-DSM Pouncy Overdue Quality Rejection with Client 6 High Will be submitted this week Remediation Convey, Brian Armen Brash soon Not ManaiiiiiiCM 10/31/18 High CP IV QP, LLC Vijay Sawant Remediation Quality with Client 43 6/30/18 High RR Due soon High RR Lopez RR Initial RR Lopez RR Quality Due Overdue Initial 483289 1977695 Rejection L.P. 8/18/18 Crystal 5/25/18 Crystal 6/2/18 Vijay High Franco, Isaac S. TBD Overdue with AFC 7/31/18 High SUBMITTED Evergreen Property, LLC Crystal Pouncy Overdue with Client 6 6/6/18 High Will be Crystal 6/7/18 Due Overdue Gemini Trust Company, LLC Akash Bhosle Client Outreach with Client 12 10/17/18 Sillerman Investment Company III, LLC Overdue Initial Due Diligence 8/3/18 High Elderberry X, LLC Adrian Lopez 8/3/18 High Sillerman Investment Corporation Due Diligence 8/3/18 High Epstein, Jeffrey E. Mayur Rathod Overdue with RM 2 8/8/18 High Yes Additional Adrian Overdue Adrian EFTA01398850 neg media; waiting for guidance from DCO RR 483882 1977703 Southern Financial LLC Pending Approval with PO 8/8/18 High No Additional neg media; waiting for guidance from DCO RR 483883 1977695 Southern Trust Company, Inc. Overdue Quality Rejection with RM 2 8/8/18 Additional neg media; waiting for guidance from DCO RR 486427 1977699 J. Epstein Virgin Islands Foundation, Inc Mayur Rathod Overdue Pending Approval with PO 8/8/18 High No Additional neg media; waiting for guidance from DCO RR GoldenTree Asset Management UK LLP Babu Overdue Client Outreach with Client 49 8/9/18 RR Gratitude America Ltd Mayur Rathod Quality Rejection with RM 14 8/16/18 High No neg media; waitiiiiiiiiiiidance from DCO RR NES, LLC Approval with MD 8/16/18 High RR 499733 1977703 LSJE, LLC Approval with PO 8/18/18 High waiting iiiiiirance from DCO RR Hyperion Air, LLC Mayur Rathod Overdue Pending Approval with PO 8/18/18 High No Additional neg media; waiting RR Approval RR Approval RR Approval RR Approval RR for uidance from DCO JEGE, Inc with AFC 8/18/18 JEGE, LLC with AFC 8/18/18 Plan D, LLC with MD 8/18/18 High Jeepers, Inc with AFC 8/18/18 Mort, Inc Rejection with RM 2 8/18/18 media; waiting for guidance from DCO RR 550331 1977695 Zorro Management, LLC Quality Rejection with RM 2 8/18/18 neg media; waiting for guidance from DCO RR 487199 1977694 The 2007 Jeffrey E. Epstein Insurance Trust #3 Alka Babu Overdue Pending Approval with MD 9/6/18 High SUBMITTED RR 486428 1977694 Approval with MD RR Overdue Client Outreach RR Client Outreach with RM this week RR Client Outreach with RM this week RR Alka High Overdue Additional Alka Babu Overdue Pending SUBMITTED Mayur Rathod Overdue Pending No Additional neg media; Mayur Rathod Overdue Mayur Rathod High No Atka Babu Overdue Pending High SUBMITTED Atka Babu Overdue Pending High SUBMITTED Atka Babu Overdue Pending SUBMITTED Atka Babu Overdue Pending High SUBMITTED Mayur Rathod Overdue Quality High No Additional neg Mayur Rathod Overdue High No Additional The Haze Trust Atka Babu Overdue Pending 9/6/18 High SUBMITTED The Jockey Club PAC Sandeep Ruparelia with Client 21 9/12/18 High Forest Road Realty, LLC Hilda Berrios 14 9/13/18 High Yes Will be Overdue submitted Christian Cove, LLC Hilda Berrios Overdue 14 9/13/18 High Yes Will be submitted Golden Road LLC Hilda Berrios Overdue Client EFTA01398851 Outreach with RM 14 9/13/18 High Yes Will be submitted this week RR Overdue Client Outreach RR Overdue Client Outreach RR Priyanka Mohite Overdue RR Mohite Overdue Quality RR Priyanka Mohite Overdue RR Overdue Client Outreach RR Alka Babu Overdue High RR Overdue Client Outreach RR Overdue RR Overdue RR Overdue Client Outreach RR Srivastav Overdue High SUBMITTED RR Client Outreach RR soon RR soon RR Babu Due soon RR iiiilll 10/20/18 Client Outreach soon RR Master Due soon High RR Clayton High RR Mistry High RR Mistry High Hernstadt, Edward W. Jacqueline Holloman with RM 6 9/19/18 High Shadowbrook Properties, LLC Rachel Wachs with RM 30 9/26/18 High Yes GoldenTree Asset Management (Ireland) Limited Profile Completion 9/27/18 High GOLDENTREE EMERGING MARKETS GP LLC Priyanka Rejection 9/27/18 High No MA Multi-Sector Opportunistic Fund GP, LLC Quality Rejection 9/27/18 High No Hernstadt II, William L. Clayton Allen with RM 13 9/29/18 High Goldentree Asset Management Singapore PTE Ltd Client Outreach with Client 19 10/4/18 GoldenTree Asset Management, LP Alka Babu with Client 16 10/4/18 High Fertitta, Tilman Pending with AFC GNLC Holdings, Inc. Pending Approval with AFC Preeti Srivastav 10/5/18 High SUBMITTED Preeti Srivastav 10/5/18 High SUBMITTED Parkview Associates, LLC Krupa Shah with Client 20 10/5/18 High Fertitta Entertainment, Inc. Preeti Pending Approval with AFC 10/5/18 GT NM GP LLC Krupa Shah Due soon with RM 20 10/10/18 High GOLDENTREE SPC LLC Alka Pending A royal 10/10/18 High Meritage Group LP Priyanka Mohite Due Initial Due Diligence 10/18/18 High GOLDENTREE PARTNERS LOAN FUND LLC Alka Client Outreach with Client 19 Babu Due GTIS REOF SPONSOR LLC Alem Shaikh Due with RM 13 10/20/18 High GoldenTree Leverage Loan Manager LLC Pritesh Client Outreach with RM 16 10/20/18 William H. Hernstadt 2016 Irrevocable Trust Allen Due soon Initial Due Diligence 10/25/18 GoldenTree Capital Partners, LLC Nikita Due soon Client Outreach with RM 22 10/26/18 GOLDENTREE REINVESTMENT VEHICLE LLC Nikita Due soon Client Outreach with RM 22 10/26/18 EFTA01398852 RR Mohite Due soon High RR soon RR soon Not Mana RR Pending Approval RR Due soon RR soon RR soon RR soon Pending Remediation Overdue Quality EXCLUSION Remediation Patel Overdue SUBMITTED Remediation Patel Overdue SUBMITTED Remediation Managed by CM RR Client Outreach Remediation Shah Overdue Remediation Williams High No Remediation Rachel Wachs Remediation Rachel Wachs Remediation Barak Due 10/31/18 RR Due soon RR soon Client 0 Remediation Ruparelia RR NQ II, LP Client 12 Pending Pending GoldenTree Credit Opportunities GP LLC Priyanka Client Outreach with RM 40 10/26/18 GoldenTree GTIS SPV LLC Priyanka Mohite Due Client Outreach with RM 40 10/26/18 High DVI PE (Mauritius) Ltd Natalie ged by CM 10/31/18 High Zises, Selig A Keyzad Patel 11/6/18 High Mediterranean Properties Inc Client Outreach with Client 6 Bal Harbour 1604N, LLC Aracely Approval with AFC 11/8/18 First & 91st LLC Aracely A royal with AFC 11/8/18 Forkosh, Alexander Aracely Approval with AFC 11/8/18 Rejection Pending Bekkedam, Barry R. with RM 8 8/31/18 Barak Due Due soon Keyzad Patel 11/6/18 High Sanchez Due High Sanchez Due High Sanchez Due High Crystal Pouncy High PENDING Infinity Lifestyle Brands, LLC Approval with AFC 7/31/18 Pending Approval 5/31/18 High GTAM with RM 30 nfinity S Kingswood LLC Keyzad High Keyzad with AFC 7/31/18 High Herncal Realty Corp No Allied LLC Krupa Shah 10/10/18 High Atlas Real Estate Funds, Inc Client Outreach with Client 39 8/31/18 Zoe Hernstadt Irrevocable Trust Overdue Pending Approval with ABR Overdue Not Due soon Krupa High Chantelle 6/30/18 W L Hernstadt Est W L Hernstadt Ii Tr Overdue Pendin Approval with PO 5/31/18 High No W L Hernstadt Est Wh Hernstadt Tr #2 Overdue Pending Approval with PO 5/31/18 High No The Hawk 3A 2015 GST Trust Natalie soon Pending Approval with ABR High BPP F.1 DE Pinnacle L.P. Pradeep Vaje Client Outreach with Client 12 11/3/18 High BPP F.1 DE Tower L.P. Pradeep Vaje Due utreach with Client 12 11/3/18 High Wyser Pratte, Guy Sandeep Overdue Client Outreach with RM 19 10/2/18 High Blackstone Tactical Opportunities Fund II (Cayman)- Pradeep Vaje Due soon Client Outreach with 10/17/18 High EFTA01398853 &"arial unicode ms,Regular"For internal use only EFTA01398854