EFTA01424098

GiE Counterparts Gifts / Entertainment Multiple Counterparts Template (for requests involving more than 10 counterparts) Note: Austria - If it is a PWM client, do not disclose name of individual Counterpart. All Users from Aust ria, please add Client ID to 'Last Name' column Channel Islands - Do not disclose name of individual Counterpart Luxembourg, Malaysia, and Switzerland - Do not disclose name of individual Counterpart and organisat ion name of Counterpart Columns K, L: "Pending Business": Please indicate any upcoming transactions to the best of your kno wledge. Pending business is closure of the deal, extension of a business, termination of a contract or other legally binding relationship with the counterpart or the third person. I Last Name First Name Middle Name (Optional) Organization Name Country Orga nization Type Type of relationship with the counterpart Are you aware of any pending busines s of DB With Counterpart? Details according pending business Are you aware of any G&E tha t was exchanged between Deutsche Bank and any of these Counterparts in the last 12 months? Deta ils about offered / received G&E Comment 1 Sahay Rudy 54 Madison Partners, LLC USA Individual/Retail Prospective/ New Client (<3 months) No Yes Frieze NYC/ Billy Joel Offered Frieze and did not attend. 2 Gabriel James 55 Madison Partners, LLC USA Individual/Retail Prospective/ New Client (<3 months) 3 Murzyn Eric nt (<3 months) No 4 Wechsler New Client (<3 months) 5 Black Leon nt (<3 months) No 6 Carpenter New Client (<3 months) 7 Lynch Gene nt (<3 months) No 8 Barry Michael nt (<3 months) No 9 Lindermann New Client (<3 months) 10 Lindermann New Client (<3 months) 11 Marron Don onths) No Yes 12 Meister Todd nt (<3 months) No 13 Montrone pective/New Client (<3 14 Chai Chuck onths) No Yes 15 Caska Amber onths) No Yes 16 Snyder Dan nt (<3 months) No 17 Schreiber New Client (<3 months) 18 Gold Stan nt (<3 months) No 19 Martin Greg nt (<3 months) No 20 Slome Ian onths) No Yes 21 Epstein Jeffrey Existing Client (>3 months) No No 22 Britton Charles Private Investor USA Individual/Retail nt (<3 months) No Yes US Open Did not attend US Open/2500/155 23 Jones nt (<3 months) 24 Wanek months) No 25 Bloom New Client (<3 26 Warner nt (<3 months) 27 Mitra nt (<3 months) 28 Kern Jonathan New Client (<3 months) No 29 Vaid Rahul Private nt (<3 months) No No 30 Anderson Frohman New Client (<3 months) No 31 Wonble Matt Private No Private Yes Brad No Private No Scott No Private No Private Yes Adam No George No Yes 145/250 Investor USA Individual/Retail 145/250 Private Investor USA Individual/Retail Yes 105.50/155/2500 Investor USA Individual/Retail Private Investor Yes 425/2500 Investor USA Investor 250 Private Investor No Private Investor No Marron Capital 155 Meister Company Yes 155 Katherine months) No Hillspire 250 Hillspire 250 Prospective/New Clie Prospective/ Prospective/New Clie USA Individual/Retail Prospective/ Individual/Retail Prospective/New Clie USA Individual/Retail Prospective/New Clie USA Individual/Retail Prospective/ USA Individual/Retail Prospective/ USA Individual/Retail Prospective/New Client (<3 m LLC USA Individual/Retail Prospective/New Clie Latona Associates USA Individual/Retail Pros Yes 250/105.05 USA Individual/Retail Prospective/New Client (<3 m USA Individual/Retail Prospective/New Client (<3 m Washington Redskins USA Yes 250 Karl Washington Redskins No Yes 250 Shamrock Capital USA Yes 250 Shamrock Capital USA Yes 250 Slome Capital USA 250 J. Epstein Virgin Islands Foundation, Inc USA Ken No Ron No Barry months) Steve No Bonnie No Third Lake Capital USA Individual/Retail Yes Napa 2500/155 Private Investor USA Individual/Retail Tish Financial Management No Yes 105.5 Private Investor No Private Investor No USA USA Private Investor No Investor USA Everwatch Capital Yes 250 Investor USA Individual/Retail Prospective/New Clie USA Individual/Retail Prospective/ Individual/Retail prospective/New Clie Individual/Retail Prospective/New Clie Individual/Retail Prospective/New Client (<3 m Individual/Retail Prospective/New prospective/New Existing Client USA Individual/Retail Clie Clie (>3 Prospective/ Individual/Retail prospective/New Clie Individual/Retail prospective/New Clie USA Individual/Retail Prospective/ Individual/Retail Prospective/New Clie USA Individual/Retail Prospective/ Individual/Retail Prospective/New Clie EFTA01424098 nt (<3 months) No 32 Boies Chris months) No No 33 Bills Michae nt (<3 months) No 34 Merrins Brian onths) No Yes 35 Homrich David onths) No Yes 36 Warren Glen nt (<3 months) No 37 Campf Darre nt (<3 months) No 38 Bulloth Roger nt (<3 months) No No 39 Burritt Jim Pacific pective/New Client (<3 months) 40 Ellin Howard Private months) No No 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 No Private Investor 1 Private Investor No Bluestern LLC USA 250 Arthur Blank USA Napa 2500 Yorktown Partners Yes Napa 155 n Private Investor No Private USA Individual/Retail Existing Client (>3 USA Individual/Retail Prospective/New Clie Individual/Retail Prospective/New Client (<3 m Individual/Retail Prospective/New Client (<3 m USA Or 2500 USA Individual/Retail Individual/Retail Prospective/New Clie Prospective/New Clie Investor USA Individual/Retail Prospective/New Clie Private Fund Advisors LLC USA Individual/Retail No No Investor USA Individual/Retail Existing Client (>3 Pros EFTA01424099 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 179 EFTA01424100 180 181 182 183 184 185 186 187 188 189 190 191 192 193 194 195 196 197 198 199 200 Column H "Type of relationship with the counterpart": "Established clients": Clients where your desk has an established business relationship lasting for more than 3 months. Afghanistan Albania Algeria Andorra Angola Antigua and Barbuda Argentina Armenia Australia Sensitive Counterpart (Eg. Public Official) Regulatory/Supervisory Agency Austria Yes Public Officials (US only) Prospective/New Client (<3 months) Azerbaijan No Corporate Prospective/New Vendor (<3 months) Bahamas Family Member Existing Client (>3 months) Bahrain Government Entity Existing Vendor (>3 months) Bangladesh Government Owned Entity Other Barbados Institutional NA Belarus Individual/Retail Interdealer Broker Belgium Vendor Belize ERISA related (US only) Benin Union or Union-related Official (US only) Bhutan Interdealer Broker Bolivia Bosnia and Herzegovina Botswana Brazil Brunei Bulgaria Burkina Faso Burundi Cambodia Cameroons Canada Cape Verde Cayman Islands Central African Republic Chad Channel Islands Chile China Colombia Comoros Congo-Democratic Republic Congo-Republic Costa Rica Croatia Cuba Cyprus Czech Republic Denmark Djibouti Dominica Dominican Republic East Timor / Timor-Leste Ecuador Egypt El Salvador Equatorial Guinea EFTA01424101 Eritrea Estonia Ethiopia Fiji Finland France Gabon Gambia Georgia Germany Ghana Greece Grenada Guatemala Guinea Guinea-Bissau Guyana Haiti Honduras Hong Kong Hungary Iceland India Indonesia Iran Iraq Ireland Israel Italy Ivory Coast Jamaica Japan Jordan Kazakhstan Kenya Kiribati Kosovo Kuwait Kyrgyzstan Laos Latvia Lebanon Lesotho Liberia Libya Liechtenstein Lithuania Luxembourg Macedonia Madagascar Malawi Malaysia Maldives Mali Malta Marshall Islands Mauritania Mauritius Mexico Micronesia Moldova Monaco Mongolia Montenegro Morocco Mozambique Myanmar Namibia Nauru Nepal Netherlands New Zealand Nicaragua Niger Nigeria North Korea Norway Oman Pakistan EFTA01424102 Palau Palestine Panama Papua New Guinea Paraguay Peru Philippines Poland Portugal Qatar Romania Russia Rwanda Samoa San Marino Sao Tome and Principe Saudi Arabia Senegal Serbia Seychelles Sierra Leone Singapore Slovakia Slovenia Solomon Islands Somalia South Africa South Korea South Sudan Spain Sri Lanka St. Kitts and Nevis St. Lucia St. Vincent and the Grenadines Sudan Suriname Swaziland Sweden Switzerland Syria Taiwan Tajikistan Tanzania Thailand Togo Tonga Trinidad and Tobago Tunisia Turkey Turkmenistan Tuvalu Uganda UK(United Kingdom) Ukraine United Arab Emirates Uruguay USA Uzbekistan Vanuatu Vatican city Venezuela Vietnam Yemen Zambia Zimbabwe For internal use only EFTA01424103 Sheet2 Organizational type Pending business Relationship type Category of Gift or Enteltd_ nment Currency Past G&E Government Entity Yes Established client Gift EUR Yes Institutional No Prospective client Entertainment JPY No Public Official New client PWM client Vendor Retail Family member State Owned Entity Vendor Workers Council Member For internal use only EFTA01424104