EFTA Document EFTA01386934

2018 Account Planning RM contribution Relationship Name: Jockey Club Banker Team: Ste GCIS Number Relationship Team: ISG: Brian Harrington/Frank DeBenedittis Trust/Custody: DPM: WPS: KCP: Deposits: Charlie Burrows Lending: Other: Client Profile The Jockey Club is the breed registry for Thoroughbred horses in the United States, Canada and Puerto Rico. It is dedicated to the improvement of Thoroughbred breeding and racing and fulfills that mandate by serving many segments of the industry through its subsidiary companies and by supporting numerous industry initiatives. The Club, formed on February 9, 1894, is the keeper of the American Stud Book. It came into existence after James R. Keene spearheaded a drive in support of racehorse trainers who had complained about the Board of Control that governed racing in New York State. The Jockey Club is the registry for all Thoroughbred horses in the United States, Canada, and Puerto Rico and maintains offices in New York City and Lexington, Kentucky. The Registry maintained by The Jockey Club, called the American Stud Book, dates back to the club's founding and contains the descendants of those horses listed, as well as horses imported into North America up to the present_ Participants in the Registry program agree to allow the Registry to conduct genetic testing to verify parentage as well as arbitrating any disputes between owners. The Jockey Club has taken the position that it will not allow cloned Thoroughbreds to be registered in the American Stud Book, making it impossible for such horses to compete in most races. The Club has consistently prohibited artificial insemination throughout its history, only allowing the registration of horses born through "natural" procreation. The current officers are: • James Gagliano, President & COO • Matt F. luliano, Executive Vice President & Executive Director • Laura Barillaro, Executive Vice President & CFO This client has had a long standing relationship with Deutsche Bank since March 1976 and was previously managed by Terri Sohrab and then Michael Mullin before Stewart Oldfield took over in Nov. 2017. They currently have over 20 deposit accounts and 4 brokerage accounts with current AUMs of approximately $60mm. They also have a long standing banking relationship at JP Morgan Chase. The main point of contact for this relationship is Laura Barillaro. Confidential CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0088873 CONFIDENTIAL SDNY_GM_00235057 EFTA01386934