EFTA Document EFTA01428714

Subject: RE: MD approval for ACUs completed for High Risk Clients [I] From: Vaishali-P Mehta Date: Wed, 05 Apr 2017 13:16:38 -0400 To: Joanne Jensen Andrew Gallivan Cc: Mark Gonzalez Rachel Maglicic Stewart Oldfield Brian P Conve Jennifer Shay Andrea Nicoletti Rosemary Vrablic Mary A Coleman Terrence F Tan Terri Sohra Classification: For internal use only Hi Joanne I fully understand. Thankfully this is the last of the emails as going forward we will have KYC updates which will be individually approved. Therefore, this will not be repeated. I apologize for the distribution list below. Regards, Vaishali Mehta Deutsche Bank Wealth Management 101 California Street, Suite 2400, San Francisco, CA USA EFTA01428714 From: Joanne Jensen Sent: Wednesday, April 05, 2017 1:15 PM To: Vaishali-P Mehta; Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Terri Sohrab Subject: RE: MD approval for ACUs completed for High Risk Clients [I] Classification: For internal use only Vaishali, For confidentiality purposes, I do not believe that this list should be broadly distributed. I would request that any correspondence regarding our clients be sent exclusively to me and not the broader group. I'm sure my colleagues would agree. Kind regards, Joanne Jensen fhttps://brandportal.intranet.db.com/img/modules/- DAWN_ logo_ metallic 46x46.gifl Joanne Jensen Managing Director I Private Banker Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor 10154-0004 New York, NY, USA EFTA01428715 {https://brandportal.intranet.db.com/img/modules/claim_en_rgb.gif} Securities offered through Deutsche Bank Securities Inc. 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 MD Annual Client Update: Created Date A14. EFTA01428716 A15. Client Status Update Description A16. A17. Customer Owner 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 CJA Public Private Multi Manager 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 There have been no changes for this entity this year. EFTA01428717 No No Mark Gonzalez 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 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. No changes have occurred for this entity. No No Mark Gonzalez EFTA01428718 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 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 No Mark Gonzalez EFTA01428719 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 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 Cabrerizo, Tom EFTA01428720 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 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 Butterfly Trust Andrew Gallivan 3/16/2017 change in beneficiaries EFTA01428721 No material change Yes No Stewart Oldfield HBRK Associates, Inc Andrew Gallivan 3/16/2017 No material change No material change Yes No Stewart Oldfield Hyperion Air, LLC Andrew Gallivan 3/16/2017 no material change no material change Yes No Stewart Oldfield EFTA01428722 JEGE, Inc Andrew Gallivan 3/16/2017 no material change no material change Yes No Stewart Oldfield JEGE, Inc Andrew Gallivan 3/16/2017 no material change no material change Yes No Stewart Oldfield JEGE, LLC Andrew Gallivan 3/16/2017 EFTA01428723 No material change No material change Yes No Stewart Oldfield Andrew Gallivan 3/16/2017 no material change no material change Yes No Stewart Oldfield Neptune, LLC Andrew Gallivan 3/16/2017 no material change no material change Yes No EFTA01428724 Stewart Oldfield NES, LLC Andrew Gallivan 3/16/2017 No material change No material change Yes No Stewart Oldfield Plan D, LLC Andrew Gallivan 3/16/2017 No material change No material change Yes No Stewart Oldfield Southern Financial LLC EFTA01428725 Andrew Gallivan 3/16/2017 No changes in activities. No changes Yes No Stewart Oldfield 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 The 2007 Jeffrey E. Epstein Insurance Trust #3 Andrew Gallivan 3/16/2017 No material change No material change EFTA01428726 Yes No Stewart Oldfield 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 Jarero, Cristina Andrew Gallivan 3/10/2017 John Marson spoke with client re: accounts There are no material changes No No Brian Convey EFTA01428727 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 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 Paul Volcker Tr For James P. Volcker Andrew Gallivan EFTA01428728 3/13/2017 Brian speaks with client quarterly to review account There are no material changes No No Brian Convey 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 Volcker, Paul Andrew Gallivan 3/13/2017 Brian Convey speaks with client quarterly to review account. There are residence no changes to client's employment status, health or primary No EFTA01428729 No Brian Convey 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 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 No Joanne Jensen EFTA01428730 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 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 D & D Funding II, LLC Andrew Gallivan EFTA01428731 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 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 Wolfson Equities Andrew Gallivan 2/27/2017 Wolfson Equities is the investment arm of the Wolfson Group, a family-based investment and real estate company. EFTA01428732 The client doesn't currently have any assets with DB. No No Joanne Jensen Windels, Catherine Andrew Gallivan 3/3/2017 No material changes. No material changes. No No Andrea Nicoletti Bridge Equities VI, 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 EFTA01428733 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 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 DVI PE (Mauritius) Ltd Andrew Gallivan EFTA01428734 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 1960 East 5th Street, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic 469 Avenue S LLC Andrew Gallivan 3/9/2017 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 EFTA01428735 Yes No Rosemary Vrablic 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 Community Organizations, LLC Andrew Gallivan 3/1/2017 no material changes no material changes Yes No Rosemary Vrablic EFTA01428736 Community Organizations, LLC Andrew Gallivan 3/9/2017 no material changes no material changes Yes No Rosemary Vrablic Franco, Isaac S Andrew Gallivan 3/1/2017 no changes from KYC No changes from KYC Yes No Rosemary Vrablic Franco Realty Group, LLC Andrew Gallivan 3/1/2017 No new activities or changes EFTA01428737 No changes Yes No Rosemary Vrablic Franco Realty Group, LLC Andrew Gallivan 3/1/2017 No new activities or changes No changes Yes No Rosemary Vrablic Franco Realty Group, LLC Andrew Gallivan 3/9/2017 No new activities or changes No changes Yes No Rosemary Vrablic EFTA01428738 Franco Realty Group, LLC Andrew Gallivan 3/9/2017 No new activities or changes No changes Yes No Rosemary Vrablic I Like Ike, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic I Like Ike Kingswood, LLC Andrew Gallivan EFTA01428739 3/1/2017 No changes No changes Yes No Rosemary Vrablic Infinity AL Holdings, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic Infinity Entertainment, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No EFTA01428740 Rosemary Vrablic Infinity LW 12th Street, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic Infinity PLR 44, LLC Andrew Gallivan 3/1/2017 no changes from KYC no changes from kyc Yes No Rosemary Vrablic Infinity PLR 44, LLC EFTA01428741 Andrew Gallivan 3/8/2017 no changes from KYC no changes from kyc Yes No Rosemary Vrablic Infinity PLR 44, LLC Andrew Gallivan 3/9/2017 no changes from KYC no changes from kyc Yes No Rosemary Vrablic Infinity S Kingswood LLC Andrew Gallivan 3/1/2017 No changes No changes EFTA01428742 Yes No Rosemary Vrablic Infinity Sports Licensing, LLC Andrew Gallivan 3/1/2017 no changes no changes Yes No Rosemary Vrablic 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 No Rosemary Vrablic EFTA01428743 Isaac Franco 2001 Grantor Retained Annuity Trust Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic Isaac Franco 2002 Grantor Retained Annuity Trust Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic Isaac Franco 2008 Irrevocable Trust Andrew Gallivan 3/1/2017 No Changes EFTA01428744 No Changes Yes No Rosemary Vrablic ISF Parkway LLC Andrew Gallivan 3/9/2017 no new changes no new changes Yes No Rosemary Vrablic IUC 701 Times Square LLC Andrew Gallivan 3/1/2017 no changes no changes Yes No Rosemary Vrablic EFTA01428745 Katzoff, Gerald Andrew Gallivan 3/8/2017 no changes to kyc no changes to kyc Yes No Rosemary Vrablic Katzoff, Gerald Andrew Gallivan 3/8/2017 no changes to kyc no changes to kyc Yes No Rosemary Vrablic Katzoff, Stuart Andrew Gallivan EFTA01428746 3/8/2017 There are no material changes. There are no material changes. Yes No Rosemary Vrablic LW 12th Street Holding, LLC Andrew Gallivan 2/22/2017 no changes from KYC no changes from KYC Yes No Rosemary Vrablic MISS AMERICA PROPERTIES, LLC Andrew Gallivan 3/1/2017 No updates since previous update No updates since previous update Yes No EFTA01428747 Rosemary Vrablic MISS AMERICA PROPERTIES, LLC Andrew Gallivan 3/1/2017 No updates since previous update No updates since previous update Yes No Rosemary Vrablic Nevada Land III LLC Andrew Gallivan 3/8/2017 no changes from kyc no changes from kyc Yes No Rosemary Vrablic Seminole Housing LLC EFTA01428748 Andrew Gallivan 2/28/2017 no changes since KYC no changes since KYC Yes No Rosemary Vrablic S Franco Realty, LLC Andrew Gallivan 3/1/2017 No changes No changes Yes No Rosemary Vrablic S Franco Realty, LLC Andrew Gallivan 3/9/2017 No changes No changes EFTA01428749 Yes No Rosemary Vrablic S Franco Realty, LLC Andrew Gallivan 3/9/2017 No changes No changes Yes No Rosemary Vrablic SK Baseball Holdings LLC Andrew Gallivan 3/8/2017 no changes from kyc no changes from kyc Yes No Rosemary Vrablic EFTA01428750 Stallion 44, LLC Andrew Gallivan 3/1/2017 no changes from kyc no changes from kyc No No Rosemary Vrablic Westbury Management Group LLC Andrew Gallivan 3/8/2017 no changes to kyc no changes to kyc Yes No Rosemary Vrablic Fundacion Noal Andrew Gallivan 2/28/2017 Hildegarde Novey Kotchman inherited a piece of undeveloped land in Panama EFTA01428751 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 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 Lundberg, Fredrik 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 Lundbergfaretagen. Fredrik EFTA01428752 Lundberg is president and CEO of L E Lundbergferetagen, 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 Norrkiiping. 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 Vakirtzis, George 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 EFTA01428753 private investments. Discussed replacement debit card. No material changes. Yes No Terrence Tangney 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 Vickee Jordan Adams 2013 GRAT 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 EFTA01428754 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 Function(x) Inc. Andrew Gallivan 3/8/2017 no material changes no changes No No Terri Sohrab Sea Change Foundation Andrew Gallivan 3/8/2017 no material changes no material changes No No EFTA01428755 Terri Sohrab 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 Deutsche Bank Wealth Management 101 California Street, Suite 2400, San Francisco, CA USA Tel. +1(415)617-2935 Mobile +1 (516)359-1775 Email vaishali-p.mehta@db.com EFTA01428756 EFTA01428757