EFTA Document EFTA01399609

ACUwMatChngs Annual Client Update: ID Customer Number Customer Name Primary Officer Relationship Meet ing/Call Date Material Changes A15. Client Status Update Description Days Overdue MSR Bank Silos COMMENTS PB Comments 61372 415387 Edward Torres Management Trust f/b/o Lara Torres Terrence Tangney TORR ES, E RELATIONSHIP 3/11/2014 none DBTCNA has been removed as trustee by the trust prot ector and replaced by Wells Fargo. 355 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic Need Update - There is remaining balance. ACU Can't be closed remaining balance ($263.16) to be transferred out by Trust Officer Haesemeyer, Craig Michael E. McCarthy HAESEMEYER, CRAIG RELATIONSHIP 7/17 /2013 On July 17, 2013, Mike McCarthy and Janet Sible spoke with Wendy to review the outstanding d ocuments needed to create an estate account. Craig Haesemeyer is deceased. New account in the nam e of The Estate of Craig Haesemeyer needs to be created as soon as necessary documents are provided. 592 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Dom estic Need Update - Status still Active and no instructions located in the case. ACU Can't be clos ed Private equity accounts only Haesemeyer, Craig Michael E. McCarthy HAESEMEYER, CRAIG RELATIONSHIP 10/7 /2013 Client held two private equity funds which are reflected in the client's DB Alex Brown accou nt. Craig Haesemeyer has passed away. Estate account has been established and assets have been transferred to the new account, 510 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic Need Update - Status still Active and no ins [ructions located in the case. ACU Can't be closed Private equity accounts only Haesemeyer, Craig Michael E. McCarthy HAESEMEYER, CRAIG RELATIONSHIP 11/2 /2012 Marci & Brett met with Craig's widow, Wendy Haesemeyer, to see if we could be of assistance and she was not ready to move forward with a trust and she was still pretty shell-shocked about the unexpected death of her husband. Mike McCarthy had an appointment to meet with Wendy in March and fl ew to Los Angeles before heading to another meeting in San Francisco. Mrs Haesemeyer cancelled their appointment when he reached the airport in LA. Craig Haesemeyer has passed away. 849 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic Need Update - Status still Active and no instructions located in the case. ACU Can't be closed Priv ate equity accounts only L K Williams Est Aw Judith Webster WILLIAMS, LOIS K RELATIONSHIP 10/29/2013 Client is deceased Income beneficiary died 10/18/13 and trust is terminating 488 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby San Francisco COVERAGE-Domestic Need Update - Status still Active and no instructions located in the case. ACU Can't be closed Acco unt is terminating but acct needs to remain open for 2014 tax purposes DVG 1740 Fund LP Mary Ann Coleman DECCAN RELATIONSHIP 12/4/2014 See above. The fund administrator is changing as of January 1. No other changes aside from dropping one authorized signatory and adding one for all funds. All Deccan KYCs will be updated to reflect th is change in authorized signers. One authorized signer has been dropped and one new signer is being added to all Deccan hedge funds. The KYCs will be updated. 87 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic Need Update KYC is fine; note has been sent to AMLKYC for case to be removed from list Deccan Value Investors BPI Fund LP Mary Ann Coleman DECCAN RELATIONSHIP 12/3/2014 No changes to the investment guidelines and income is generated through the manageme nt fees. Aside from removing one authorized signatory and adding one for all of the Deccan funds, th ere are no material changes to make note of. We are in the process of updating the list of author ized signatories for all of the Deccan funds. One name has been removed and one name is being added. 88 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Dom estic Need Update Natalie Barak is looking this Nina Fund LP Mary Ann Coleman HARKIN RELATIONSHIP 1/16/2015 No m aterial changes Office address changed to 475 Park Avenue South NY NY 10016 A KYC update will be per formed 44 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE RAGE-Domestic Need Update Waiting for client to re-send documents with missing signature DVI Fund (Mauritius) Ltd. Mary Ann Coleman DECCAN RELATIONSHIP 11/2 5/2014 No material changes Remove signatory George Ho and add Signatory Josh Duhl 96 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic Need Update Waiting for documents from client Deccan Value Investors LP Mary Ann Coleman DECCAN RELATIONSHIP 1/8/ 2015 Investable assets are reflected in the custody account held here at DB. No material changes to report. George Ho is no longer a limited partner. New limited partners have been added and a KYC update is in process. 52 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic Need Update Waiting for documents from client CAROLYN C ROWLAND TRUST #2 Terri Sohrab CROSSETT, EDWARD C RELATIONSHIP 7/2/ 2013 Carolyn Rowland died on 5/15/12. Carolyn Rowland died on 5/15/12. Trust is terminatin g. 607 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE RAGE-Domestic Need Update Gina Manzino to update CAROLYN C ROWLAND TRUST #2 Terri Sohrab CROSSETT, EDWARD C RELATIONSHIP 5/15 /2012 Client died on 5/15/12. Account is terminating. Client died on 5/15/12. Account is terminati ng. 1020 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE RAGE-Domestic Need Update Gina Manzino to update CAROLYN C ROWLAND TRUST #2 Terri Sohrab CROSSETT, EDWARD C RELATIONSHIP 6/27 /2014 Carolyn Rowland died on 5/15/12. Carolyn Rowland died on 5/15/12. Trust is terminatin g. 247 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE RAGE-Domestic Need Update Gina Manzino to update CAROLYN C ROWLAND TRUST #2 Terri Sohrab CROSSETT, EDWARD C RELATIONSHIP 5/15 /2012 Carolyn Rowland died on 5/15/2012. Trust is terminating. Carolyn Rowland died on 5/15 /2012. Trust is terminating. 1020 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic Need Update Gina Manzino to update EFTA01399609 AGMA Relief Fund Joanne Jensen CORNELIUS BLISS FAMILY RELATIONSHIP 10/2 /2013 Client has terminated relationship with bank. Account sits in all cash. Client has terminate d relationship with bank. Account sits in all cash. 515 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic Need Update Updated KYC has been submitted AGMA Relief Fund Joanne Jensen CORNELIUS BLISS FAMILY RELATIONSHIP 9/3/ 2014 Client has terminated relationship with bank. Account sits in all cash. Client has terminate d relationship with bank. Account sits in all cash. 179 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-DomestiC Need Update Updated KYC has been submitted William H Moore Unitrust Salvatore E. Moore MOORE, ADA RELATIONSHIP 5/7/ 2009 William H. Moore is deceased. 11/3/11 - If funds are being distributed to a charity, please provide the name of charity. 10/4/11 - Compliance Comment - Distribution instructions and list of be neficiaries still required 9/4/11 - Distribution instructions and list of beneficiaries still requir ed If the beneficiaries are not currently listed on any KYC, a KYC will have to be submitted with th e beneficiaries listed. In addition, please have front office run PCR searches on these beneficiarie s. 8/1/11 - Compliance comments -: Distribution instructions and list of beneficiaries still require d 7/6/11 - Compliance comments -: Distribution instructions and list of beneficiaries still required 6/13/11 - Compliance comment - Compliance comments: Distribution instructions and list of beneficia ries still required. William H. Moore passed away on 5/6/09. The remaining assets of this Trust a re to be distributed to a charity of the Trustees choice, which is to be determined. 7/31/2009 AML C ompliance Comment: Once you know the names of the charities, please notify AML Compliance so we can complete the PCR for trust distribution. 3/5/2010 - KYC Update Case: 528385 is in progress since 8/2 7/09 - very little completed 4/6/10 - Distribution instructions and list of beneficiaries still requ ired. 5/5/2010 - Distribution instructions and list of beneficiaries still required. 6/8/2010 - Dist ribution instructions and list of beneficiaries still required. 7/7/2010 - Distribution instructions and list of beneficiaries still required. 8/10/2010 - Distribution instructions and list of benefit iaries still required. 9/2/10 - Distribution instructions and list of beneficiaries still required. 10/1/10 - Distribution instructions and list of beneficiaries still required. 11/2/10 - Distribution instructions and list of beneficiaries still required. 12/2/10 - Distribution instructions and list of beneficiaries still required. 1/14/2011 - Distribution instructions and list of beneficiaries st ill required. 2/14/2011 - Distribution instructions and list of beneficiaries still required. 3/18/2 011 - Distribution instructions and list of beneficiaries still required. 4/14//2011 - Distribution instructions and list of beneficiaries still required. 5/9/11 - Compliance comments: Distribution in structions and list of beneficiaries still required. 2124 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic KYC in Progress: #528385 Brig id will look in the repository to make necessary changes Cohen, Abraham E. Terrence Tangney COHEN, ABRAHAM E RELATIONSHIP 12/5 /2013 Mr. Cohen passed away 11/24/2012. Conversations on closing the account have been with Mrs. C ohen executor and beneficiary Mr. Cohen passed away 11/24/2012. Conversations on closing the accou nt have been with Mrs. Cohen executor and beneficiary 451 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic KYC in Progress: #01027930 Wait ing for proof that wife is beneficiary of IRA rollover in order to transfer the balance Merrien Family Limited Partnership Carlos Arrizurieta MERRIEN FAMILY RELAT IONSHIP 5/18/2012 no changes Ownership changes and distribution: -Francoise became a Gene ral Partner -Francoise: 51% -Jeaninne: 29% -Zachary: 20% 1017 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby New York COVERAGE-Domestic KYC in Progress - #1303444 KYC wants formation documents for KYC; client is on a around-the-world cruise but will resubm it once client is back (expected end of April) Merrien Family Limited Partnership Carlos Arrizurieta MERRIEN FAMILY RELAT IONSHIP 1/11/2013 no changes Ownership changes and distribution: -Francoise became a Gene ral Partner -Francoise: 51% -Jeaninne: 29$ -Zachary: 20% 779 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby New York COVERAGE-Domestic KYC in Progress - #1303444 KYC wants formation documents for KYC; client is on a around-the-world cruise but will resubm it once client is back (expected end of April) Templeton World Charity Foundation, Inc. Mary Ann Coleman TEMPLETON, J OHN RELATIONSHIP 1/9/2015 Income is generated through the actively managed investment portfolios held by the Templeton organization. The Foundation maintains a small custody account at D B. The entity changed it's name from Templeton World Charity Foundation to Templeton World Char ity Foundation, Inc. A KYC update will be completed promptly. 51 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby New York COVERAGE-Domestic KYC in Progress - #01350388 this was approved on 2/24 Hartz Capital Investments, Ltd. Mary Ann Coleman STERN, ED RELATIONSHIP 1/14 /2015 No material changes Change to ultimate beneficial ownership structure. A KYC update will be submitted. 46 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic KYC in Progress - #01342457 this was approved on 3/19 H Mountain, Inc. Mary Ann Coleman STERN, ED RELATIONSHIP 1/14/2015 No material changes Change in utlimate beneficial ownership structure. A KYC update will be subm itted 46 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE RAGE-Domestic KYC in Progress - #01342457 this was approved on 3/19 Hartz Capital, Inc. Mary Ann Coleman STERN, ED RELATIONSHIP 1/14/2015 No material changes to report. Change to ultimate beneficial ownership structure. A KYC update will be submitted. 46 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic KYC in Progress - #01342457 this was approved on 3/19 Alerion Strategies Holdings Ltd Mary Ann Coleman STERN, ED RELATIONSHIP 1/14 /2015 No material change to report. Minimal assets remaining. Change in ultimate beneficial owners hip structure. A KYC update will be submitted. 46 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic KYC in Progress - #01342457 this was app roved on 3/19 EFTA01399610 Deniz Yatirim Menkul Kiymetler A.S Mary Ann Coleman DEXIA GROUP RELATION SHIP 5/30/2013 There are not any material changes at Deniz Yatirim Menkul Kiymetler A.S. bu t their parent company DenizBank has been taken over by Russian Sberbank. Deniz Yatirim is 100$ owne d by DenizBank. See above under A15. 640 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic KYC in Progress - $01304804 Business decision wa s made to exit relationship after organizational chart included Russian bank; account should be clos ing soon Worby, Groner, Edelman a Napoli Bern LLP Joanne Jensen BERN, MARC. J RELATI ONSHIP 10/30/2014 Currently the entity holds approximately 517MM which is subject to change ba sed on distributions. Banker Joanne Jensen and her team are in constant contact with the client and to our knowledge they are satisfied with their relationship with DB. In 2011 it was brought to ou  attention that Napoli a Bern is representing multiple clients in a suit against DB and numerous pa rties ( other than DB) wtih regards to the World Trade Center. To our knowledge, the claims against DB are with regards to its former building downtown. Paul Napoli, Marc Bern and their firm are robus t and longstanding clients of banker Joanne Jensen and team. This has been vetted within DB. 122 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic Need update Updated KYC has been submitted Arnow, Joshua Terrence Tangney WEILER/ARNOW RELATIONSHIP 2/12/2015 Terrence had a meeting today at the Weiler Arnow office. We are opening a 2 new accounts for Josh Arnow due a recent fraud attempt. 17 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Change William & Helen Little Family Foundation Paul Bartilucci WILLIAM LITTLE FAMIL Y RELATIONSHIP 12/4/2014 None Majority of client assets left DB to follow Gerald Larr to H PM Partners. We are currently still managing this portion of the funds since it has been left with D B. 87 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE RAGE-Domestic AML to Close - No Material Change Ellin, Howard Ed Finley ELLIN, HOWARD RELATIONSHIP 10/9/2014 Esti mated annual income remains 1.5MM from salary and investment income. After further conversation w ith the client, he revealed more information on positions we were not aware of. His estimated net wo rth is now 20-25MM, revised up from 5-10MM. This is not a change in wealth, just a better understand ing of the assets he has been holding since the relationship began. 143 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC A pproved $1316691 Allen, Paul Gardner Russell Daulton ALLEN, PAUL GARDNER RELATIONSHIP 11/5 /2014 Elizabeth Joy has left Vulcan and been replaced by Russell Paquette. We are currently workin g on updating all accounts to reflect those changes. We also spoke about the Dodd - Frank rules that give Mr. Allen the option to segregate collateral on SWAPS. Russell is looking forward to seeing us the next time we are in Seattle. Elizabeth Joy has left Vulcan, replaced by Russell Paquette. They are working on redocumenting all their accounts at which point we will update the KYC with new parties. 116 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby San FrancisC o COVERAGE-Domestic AML to Close - KYC Approved 11344477 Landis, Betsy M. Liz Payne LANDIS, DONALD RELATIONSHIP 11/6/2014 Client passed away on 8/24/14. Account has been placed on Caution. Client passed away on 8/24/1 4. Account placed on Caution. 115 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved $1343368 Landis, Donald M. Liz Payne LANDIS, DONALD RELATIONSHIP 10/3/2014 Donald Landis passed away on 8/24/14. Cautions have been placed on his accounts with us. We are awai tang Letters Testamentary, etc. on this account from his wife, Betsy Landis. Client passed away o n 8/24/14. 149 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved $1343368 66736 487216 JEGE, LLC Paul Morris SOUTHERN FINANCIAL RELATIONSHIP 2/17/2015 No c hanges in income producing activities Darren Indyke was added as POA in February 2014 12 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - Approved KYC 11195111 Pacific Health Corporation Malcolm Kimble PACIFIC HEALTH RELATIONSHIP 1/30 /2015 We are unable to contact the client as this company no longer exists. This company is no 1 onger in existance. The funds in their accounts were used to pay down a loan of credit, and $117.04 is left in the account. We do not know where to remit these funds. 30 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close EFTA01399611 TmpExcptOver Temporary Exceptions- Domestic (All Overdue) 3/1/2015 Overdue by more than 90 days/Closing Queue Overdue by more than 60 days Overdue by more than 30 days Case Number Customer Number Customer Name Customer Record Type Relationship Number Cust omer Owner Exception Expires Reason for Exception (If Applicable) EM Days Overdue MSR Silo Batmasian, Marta Client 00000454164 Carlos Arrizurieta 2/27/2015 Temporary Exception to monitor compliance with the conditions outlined in the attach ed negative media escalation. Hence, an Update KYC is required within six months or immediately upon resolution of the pending suits, whichever comes first. Kimberly Hart 2 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Fund and Subscription Finance Client Rosemary Vrablic 2/13 /2015 30-day temp exception for IRS letter confirming tax exempt status. Andrew F. Gallivan 16 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic EFTA01399612 TmpExcptDueln Temporary Exceptions- Domestic Overdue by more than 90 days/Closing Queue Due in Overdue by more than 60 days Overdue by more than 30 days Case Number Customer Number Customer Name Customer Record Type Relationship Number Cust omer Owner Exception Expires Reason for Exception (If Applicable) EM Days Overdue MSR Silo Meridiam Infrastructure North America Fund II LP Prospect Rosemary Vrablic 6/30/2015 Exception Extended - see email below Temp - exception Extended 60 Day Temporary Exception for Borrowers Resolution Kimberly Hart -121 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Alliance for a Free Society, Inc. Client Davi d Rodin 3/2/2015 AML Compliance grants the following Temporary Exceptions (TE): 1. 30 days TE to obtain IRS Determination Letter/evidence Form 1024 was filed. Form 1024 has not yet been filed. 2. 5 day TE to run BIS for David Koch Michael S Jacoby -1 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby COVERAGE-DomestiC Coalition for a Better Wichita, Inc. Client Davi d Rodin 3/10/2015 IRS Form 1024 will be applied in two weeks. Client will provide Determine Le tter once received. Michael S. Jacoby -9 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Kalish Loan Trust, LLLP Client Joanne Jensen 3/2/ 2015 30-Day TE for Trust doe for Non-Exempt Marital Trust under the Ronald G. Kalish Living Trust dated 9/8/1997, as amended Kimberly Hart -1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Meridiem Infrastructure North America Fund II LP Prospect Rosemary Vrablic 6/30/2015 Exception Extended 6/3015 see e-mail attache d Exception Extened - see email attached 60 Day Temporary Exception for Borrowers Resolution (see pr evious KYC-- 00906979 for approval) Kimberly Hart -121 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Patterson, Robert E. Client Joanne Jensen 3/2/ 2015 Temporary Exception for Client meeting Kimberly Hart -1 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby COVERAGE-Domestic 01307632 Douglas I. Ostrover 2014 Trust Client Terri Sohrab 3/3/2015 Kimberly Hart -2 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Falk, Raymond F. Client Liz Payne 3/1/ 2015 90 days standard temporary exception to obtain the trust executed agreement, TIN and date of incorporation. Kimberly Hart O Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Falk, Raymond F. Client Liz Payne 3/9/ 2015 A-90 days standard exception has been granted for the TIN and fully Executed Acceptance of A ppointment from DB. B-Permanent exception has been approved for the ID, SSN, DOB and Residential Add ress of Mr. Eric M. Kramer (co-trustee who is going to resign) Kimberly Hart -8 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Falk, Raymond F. Client Liz Payne 3/30 /2015 A-90 days standard exception has been granted for the TIN and fully Executed Acceptance of A ppointment from DB B-Permanent exception has been approved for the ID, SSN, DOB and Residential Addr ess of Mr. Eric M. Kramer (co-trustee who is going to resign) Kimberly Hart -29 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01335734 Meridiam Infrastructure North America Fund II LP Prospect Rosemary Vrablic 6/30/2015 Exception Extended - see email See Temporary Exception for Borrowers Resolution in KYC 906979 Kimberly Hart -121 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Civitas Canyon Mezzanine Fund, LP Client 00000482664 Mark Gonzalez 3/31/2015 Exemption has been extended to 3/31 please refer to attached email f or more details. A 2 week temporary exception has been granted for fully executed PPM, GP and LP Agr eement. Kimberly Hart -30 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic Patterson, Robert E. Client Joanne Jensen 3/15 /2015 Temporary Exception for: 1- Executed POA. RESOLVED 2/25/15. 2-Client meeting (see KYC 129571 4) PENDING TO RESOLVED. Kimberly Hart -14 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacob COVERAGE-Domestic Blackstone Energy Partners II L.P. Client Joan ne Jensen 3/2/2015 Resolution at loan closing Kimberly Hart -1 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Martin, Kenyon Prospect Masa Sekulic 3/31 /2015 Temporary exception to accept the copy of the passport with Mr. Kenyon Martin?s picture part Sally cut off approved by Compliance. Michael J. Davis -30 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby COVERAGE-Domestic Spencer Family 2012 GRAT I Client Liz Payne 5/11/2015 A standard 90 day exception for the trust TINts and fully executed document. Kimb erly Hart -71 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Dom estic EFTA01399613 HRIPM_PastDue Customer Name Customer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Exp lanation Bank Auto Exempt Reason Client Since Date Offshore Account Open Date MSR Silo Temenos Villas, LLC Terri Sohrab 2011 1 Retail Banking < $250K 2/28 /2007 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Lisa S. Benenson Insurance Trust Andrea Nicoletti 1995 1 Reta it Banking < $250K 8/18/1992 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Altpoint Capital Partners, LLC Brian Convey 2014 1 Retail Banking < $25 OK 9/9/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Dom estic MISS AMERICA PROPERTIES, LLC Rosemary Vrablic 2014 1 Retail Banki ng < $250K 7/14/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic Pindle, LLC Cheryl Paller 2014 1 Retail Banking < $250K 3/8/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic GCI Technologies Ltd. Malcolm Kimble 2013 1 Retail Banking < $250K 4/2/ 2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Budinger, William M. Terrence Tangney 2014 1 Relationship Exempt 5/30/2001 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Budinger, William Doyle Terrence Tangney 2014 1 Relationship Exempt 2/25/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Nicholls, Naoma Susan Burnett 2013 1 Portfolio of Exempt Accounts 7/30 n, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Joanne Jensen 2014 1 Force Exempt 3/7/2007 1 J. Davis, Michael Jacoby COVERAGE-Domestic Terrence Tangney 2014 1 Force Exempt 7/1/ n, Michael J. Davis, Michael Jacoby COVERAGE-Domestic /2007 Kim Hart, Andrew Galiva Aquiline Holdings LP Kim Hart, Andrew Galivan, Michae FDEG Holdings, LLLP 2011 Kim Hart, Andrew Galiva Zahid, Mervat ivan, Michael J. Davis, Michael Newamco, LLC drew Galivan, Michael J. Davis, Ortiz Consulting, Inc. drew Galivan, Michael J. Davis, Nussdorf, Arlene drew Galivan, Michael J. Davis, Nussdorf, Glenn ivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Nussdorf, Stephen Joanne Jensen 2014 1 3/3/2010 drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Left Bank Investments Limited Terrence Tangney 2014 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Gottbetter Capital Group, Inc. Terrence Tangney 2014 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Gottbetter & Partners, LLP Terrence Tangney 2014 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-DomestiC Terrence Tangney 2014 1 12/21/2011 Kim Davis, Michael Jacoby COVERAGE-Domestic Andrea Nicoletti 2012 1 4/18/2012 Kim Davis, Michael Jacoby COVERAGE-Domestic Terrence Tangney 2014 1 7/13/2012 Kim Davis, Michael Jacoby COVERAGE-Domestic Susan Burnett 2013 1 12/12/2012 Kim Hart, An Michael Jacoby COVERAGE-Domestic Paul Bartilucci 2013 1 9/30/1994 Jacoby COVERAGE-Domestic Rosemary Vrablic 2011 1 Michael Jacoby COVERAGE-Domestic John Marson 2013 1 Michael Jacoby COVERAGE-Domestic Joanne Jensen 2014 1 Michael Jacoby COVERAGE-Domestic Joanne Jensen 2014 1 3/3/2010 Kim Hart, Andrew Gal 9/18/2008 7/7/2009 3/3/2010 Kim Hart, An Kim Hart, An Kim Hart, An Kim Hart, Andrew Gal Bretton James, Inc. Hart, Andrew Galivan, Michael J. Limestone Partners Hart, Andrew Galivan, Michael J. Mitido Invest LTD Hart, Andrew Galivan, Michael J. SYDELL HOLDINGS LLC drew Galivan, Michael J. Davis, Kim Hart, An 6/15/2011 12/19/2011 12/19/2011 EFTA01399614 HRIPM_Due2015 Customer Name Customer Number Primary Officer High Risk InPerson lanation Bank Auto Exempt Reason Client Since Date MSR Silo Bruli International S.A. Tim MacGuire 2015 1 Retail OK 4/12/1995 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby estic Comsup Commodities Inc Rosemary Vrablic 2015 1 Retail OK 4/27/2009 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby estic Comsup Ltd. 6/2008 Kim Hart, Andrew Comsup Minerals Ltd OK 12/26/2008 estic FDEG Corp. Terrence Tangney 2015 1 /2009 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby Lawrence F DeGeorge Irrevocable Trust Agreement u/a dtd November 12, ence Tangney 2015 1 Retail Banking < $250K 11/19/2010 chael J. Davis, Michael Jacoby COVERAGE-Domestic TIPPT MEDIA INC Terri Sohrab 2015 1 Retail Banking < $250K 1/26/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Viggle Media, Inc. Terri Sohrab 2015 1 Retail Banking < $250K 1/26 /2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic IUC 701 Times Square LLC Rosemary Vrablic 2015 1 Retail Banki ng < $250K 3/23/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic Isaac Franco 2002 Grantor Retained Annuity Trust Rosemary Vrablic 2015 1 Retail Banking < $250K 3/19/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Isaac Franco 2001 Grantor Retained Annuity Trust Rosemary Vrablic 2015 1 Retail Banking < $250K 3/20/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Isaac Franco 2008 Irrevocable Trust 00000472786 Rosemary Vrablic 2015 1 il Banking < $250K 3/16/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael COVERAGE-Domestic Isaac Franco Alaska Trust Rosemary Vrablic 2015 1 Retail ng < $250K 3/23/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby RAGE-Domestic Credit Opportunities Master Fund II, LP Joanne Jensen 2015 1 Retail ng < $250K 6/1/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby RAGE-Domestic Credit Opportunities Overseas Fund II, LP Joanne Jensen 2015 1 il Banking < $250K 6/1/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael COVERAGE-Domestic Institute for the Preservation of Arts and Culture Limited Liz Payne 1 Retail Banking < $250K Jacoby COVERAGE-Domestic Winklevoss Media, LLC Joanne Jensen 2015 1 Retail Banking < $250K 5/31 /2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Walkitalk LLC Joanne Jensen 2015 1 Retail Banking < $250K 7/5/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Technomicom LLC Joanne Jensen 2015 1 Retail Banking < $250K 7/5/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic TRITONIC HOLDINGS, LLC Joanne Jensen 2015 1 Retail Banking < $250K 7/9/ 2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Infinity Lifestyle Brands, LLC Rosemary Vrablic 2015 1 Retail Banki ng < $250K 7/20/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic ASEAN China Investment Fund L.P Malcolm Kimble 2015 1 Retail Banking < $25 OK 10/25/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Dom estic TW RE Trust Joanne Jensen 2015 1 Retail Banking < $250K Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Rado Tours, LLC Joanne Jensen 2015 1 Retail Banking < $250K Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Infinity AL Holdings, LLC Rosemary Vrablic 2015 1 Retail ng < $250K 11/8/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby RAGE-Domestic The CW RE Trust Joanne Jensen 2015 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby CKI Events, LLC David Rodin 2015 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby Paparoni, Fernando Terrence Tangney 2015 1 Relationship Exempt 2/17/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic L J & Fa Degeorge Charitable Trust Terrence Tangney 2015 1 Port folio of Exempt Accounts 12/22/1994 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Khalilzad, Zalmay M John Marson 2015 1 Portfolio of Exempt Accounts Meeting Due Year Past-Due Exp Offshore Account Open Date Banking < $25 COVERAGE-Dom Banking < $25 COVERAGE-Dom Rosemary Vrablic 2015 1 Retail Banking < $250K 12/2 Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Rosemary Vrablic 2015 1 Retail Banking < $25 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Dom Retail Banking < $250K 8/21 COVERAGE-Domestic 2010 Terr Kim Hart, Andrew Galivan, Mi Reta Jacoby Banki COVE Banki COVE Reta Jacoby 2015 8/3/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael 12/17/2012 10/12/2012 Banki COVE Retail Banking < $250K 12/17/2012 COVERAGE-Domestic Retail Banking < $250K 2/9/2012 COVERAGE-Domestic EFTA01399615 11/2/2009 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Kushner, Murray Rosemary Vrablic 2015 1 Non-Funded Accounts 12/2 1/1988 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Cerberus Capital Management, L.P. George Zahringer 2015 1 Non- Funded Accounts 4/3/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic Rein, LLC David Rodin 2015 1 Non-Funded Accounts 2/2/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Denmar, LLC David Rodin 2015 1 Non-Funded Accounts 2/2/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Ario, LLC David Rodin 2015 1 Non-Funded Accounts 8/24/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic FDEG Family Limited Partnership Terrence Tangney 2015 1 Force Exempt 8/24/2009 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Leto, LLC David Rodin 2015 1 Force Exempt 3/14/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic CGK 2011 Annuity Trust David Rodin 2015 1 Force Exempt 3/15/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic TCW Enterprises LLC Joanne Jensen 2015 1 Force Exempt 5/15/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Hestianic Holdings, LLC Joanne Jensen 2015 1 Force Exempt 5/15/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Winklevoss Capital Fund, LLC Joanne Jensen 2015 1 Force Exempt 5/17 /2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Antonine Investments LLC Joanne Jensen 2015 1 Force Exempt 5/18 /2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Hadrian Investments LLC Joanne Jensen 2015 1 Force Exempt 5/18/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Winklevoss Capital Management LLC Joanne Jensen 2015 1 Force Exempt 5/21/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-DomestiC Nina Holdings LLC Joanne Jensen 2015 1 Force Exempt 8/17/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic EFPRP Investments LLC David Rodin 2015 1 Force Exempt 7/10/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Heraclean Holdings LLC Joanne Jensen 2015 1 Force Exempt 7/6/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic CW Crimson Trust Joanne Jensen 2015 1 Force Exempt 12/17/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic The Mao Charitable Remainder Unitrust Russell Daulton 2015 1 11/30/2003 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic MJX, LLC Terri Sohrab 2015 1 6/25/2007 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Sea Change Foundation Terri Sohrab 2015 1 5/8/2008 drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Franco, Isaac S. Rosemary Vrablic 2015 1 Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic The Nagel Family Living Trust Deirdre Judge 2015 1 Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic FF Property Management, LLC John Marson 2015 1 Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic The Roger William Norman Trust Patricia Bennett 2015 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NF Airport Spectrum Investors LP Deirdre Judge 2015 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Paparoni, Cesar Terrence Tangney 2015 1 2/17/2012 drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Estate of Florence A. DeGeorge Terrence Tangney 2015 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic VannaRae, LLC Terrence Tangney 2015 1 6/25/2012 drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NF Marina, LP Deirdre Judge 2015 1 10/9/2012 COVERAGE-Domestic George Zahringer 2015 1 Michael Jacoby COVERAGE-Domestic Rosemary Vrablic 2015 1 Michael Jacoby COVERAGE-Domestic Terri Sohrab 2015 1 11/16/2012 Jacoby COVERAGE-Domestic ivan, Michael J. Davis, Michael Jacoby CIP Five Holdings, Ltd Hart, Andrew Galivan, Michael J. Davis, AL Infinity, LLC Hart, Andrew Galivan, Michael J. Davis, IDL Wheel Tenant, LLC drew Galivan, Michael J. Davis, Michael Kim Hart, An 7/18/2008 Kim 10/20/2008 Kim 12/7/2009 Kim 3/22/2011 1/11/2012 Kim Hart, An 6/1/2012 Kim Hart, An Kim Hart, Andrew Gal 11/16/2012 Kim 11/8/2012 Kim Kim Hart, An EFTA01399616