EFTA Document EFTA01429752

Customer Owner: 2019 1 Remediation Clients Due Overview Stewart Oldfield 10 12 14 16 18 20 0 2 4 6 8 Jan 2019 Jan 2019 Moderate Low Total 0 0 0 2019 1 Remediation Clients Due: Stewart Oldfield 19 16 4 3 2 1 Feb 2019 Feb 2019 3 0 3 Mar 2019 Mar 2019 16 0 16 Apr 2019 Apr 2019 0 4 4 May 2019 May 2019 4 15 19 Jun 2019 Jun 2019 0 0 0 Jul 2019 Jul 2019 0 2 2 Aug 2019 Aug 2019 0 3 EFTA01429752 3 Sep 2019 Sep 2019 0 3 3 Oct 2019 Oct 2019 0 0 0 Nov 2019 Nov 2019 0 0 0 Dec 2019 Dec 2019 0 1 1 3 3 Clients Detailed Overview GCIS Client Name The Jockey Club Foundation AXCIS INFORMATION NETWORK, INC. THE CHARLESMEAD TODD R. WANEK 2016 GRAT SHARI WAGNER 2016 GRAT KATI WANEKFORSYTHE 2016 GRAT KATI WANEKFORSYTHE 2015 GRAT Kati Forsythe 2014 GRAT Shari Wagner 2014 GRAT CRW 2007 LLC CRW 2009 LLC GEW 2009 LLC GEW 2007 LLC Wanek, Todd R. KWF 2007 LLC SSW 2007 LLC EFTA01429753 WANEK TRUST OF 2000 Relationship Name JOCKEY CLUB RELATIONSHIP JOCKEY CLUB RELATIONSHIP Equibase Company JOCKEY CLUB RELATIONSHIP DEERING/CROSBY RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP THIRD LAKE CAPITAL RELATIONSHIP Boies, Christopher BOIES FAMILY RELATIONSHIP TJC Holdings, Inc Blood-Horse LLC Coalition for Horse Racing Integrity, Inc. IIIIIII he Jockey Club Adikeshavar Holdings LLC Crestline Specialty Lending LP 2016 MaysonDeering Family Trust GREEN EAGLES PARTNERS LLC 45 SOUTH BATTERY JOCKEY CLUB RELATIONSHIP JOCKEY CLUB RELATIONSHIP JOCKEY CLUB RELATIONSHIP JOCKEY CLUB RELATIONSHIP ADIKESHAVAR RELATIONSHIP CRESTLINE SPECIALTY LENDING RELATIONSHIP DEERING/CROSBY RELATIONSHIP DEERING/CROSBY RELATIONSHIP SUPURLATIV LLC DEERING/CROSBY RELATIONSHIP DEERING/CROSBY RELATIONSHIP 293 RUMSTICK LLC DEERING/CROSBY RELATIONSHIP 2011 ANTHONY W DEERING TRUST UAD 11/21/11 KATHYRN DEERING TTEE DEERING/CROSBY RELATIONSHIP EFTA01429754 Last KYC Date Paper KYC Client Risk Status on Tracker Due Date Only Paper Moderate Client not started Only Paper Moderate Client not started Only Paper Moderate Client not started 10/14/2016 Digital KYC Moderate In Progress 3/14/2017 Digital KYC Moderate Client not started 3/14/2017 Digital KYC Moderate Client not started 3/14/2017 Digital KYC Moderate Client not started 3/14/2017 Digital KYC Moderate Client not started 3/29/2017 Digital KYC Moderate Client not started 3/29/2017 Digital KYC Moderate Client not started 12/8/2015 Digital KYC Moderate Client not started 3/29/2017 Digital KYC Moderate Client not started 3/29/2017 Digital KYC Moderate Client not started 12/8/2015 Digital KYC Moderate Client not started 3/29/2017 Digital KYC Moderate Client not started 3/29/2017 Digital KYC Moderate Client not started 3/29/2017 Digital KYC Moderate Client not started 3/29/2017 Digital KYC Moderate In Progress 5/30/2014 Digital KYC Moderate Client not started 6/30/2016 Digital KYC Moderate Client not started 12/16/2015 Digital KYC Moderate Client not started 7/7/2015 Digital KYC Moderate Client not started 3/2/2012 Digital KYC Moderate Client not started Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Client not started Client not started Client not started Client not started Client not started Client not started Client not started Client not started IDD Month Products (Oct-18) 2/28/2019 Dec 2018 2/28/2019 Dec 2018 2/28/2019 Dec 2018 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 3/31/2019 Jan 2019 5/31/2019 Mar 2019 EFTA01429755 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 Brokerage, Global Deposits Global Deposits U.S. Liq Funds, U.S. Invtmt Funds, Global Deposits RCM, Brokerage Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Global Deposits Alternative Investments, Global Deposits, U.S. Invtmt Adv Global Deposits Global Deposits Global Deposits Brokerage, U.S. Lig Funds, U.S. Invtmt Funds, Global Deposits Brokerage Alternative Investments Brokerage Brokerage Brokerage Brokerage Brokerage Brokerage Rev (Sep-18) $2,555 $4,053 $8,508 CBV (Sep-18) $6,091,829 $288,607 $3,609,815 $7,000 $14,087,571 $11,615 $9, 541 $7,288 $0 $43,725 $53,726 $5,825 EFTA01429756 $20,962 $20,957 $5, 827 $150,248 $44,686 $33,059 $142,828 $6, 878 $116 $5,723 $39 $22,672 $1,444 $0 $300 SO SO SO SO SO $0 SO SO $7,810,417 $7,908,514 $1,012,658 $4,284,691 $4,284,237 $1, 012, 905 $30,872,264 $7,811,953 $5,348,884 $30,671,198 $1,597,906 $7,801 $83,833 $190 $34,131,248 $3,806,550 SO $230,854 $1,232,617 $4,463 $454,540 $6, 988 SO $11,015,649 For internal use only 1 of 2 EFTA01429757 GCIS Client Name 2004 DEERING FAMILY TRUST UAD 08/12/04 HEATHER CROSBY & AUGUSTUS D WARREN TTEES SANDRA E DEERING GIFT TRUST UAD 12/09/11 SANDRA E DEERING FAMILY LTD PARTNERSHIP ACE LIMITED PARTNERSHIP MATHEYS LANE GREEN WIZARD INVESTORS LLC THE ROUSE COMPANY FOUNDATION Madison Park Capital, LLC Echelon Investment Partners Master LP. Falcon Trail Capital, LLC 508 West 25th Street, LLC Coal Creek Farm, LC, a Florida Limited Liability Company INCOMPASS SOLUTIONS, INC. Grayson-Jockey Club Research Foundation, Inc. Deering, Sandra DEERING, SPENCER DEERING, MARON JSC Interiors LLC Ellin, Howard TJC Media Ventures, EFTA01429758 Inc. Diamond B Capital, Inc. Relationship Name Last KYC Date DEERING/CROSBY RELATIONSHIP Paper KYC Client Risk Status on Tracker Due Date IDD Month Products (Oct-18) Rev (Sep-18) Only Paper Low Client not started 5/31/2019 Mar 2019 Brokerage $0 CBV (Sep-18) $24 DEERING/CROSBY RELATIONSHIP Only Paper Low DEERING/CROSBY RELATIONSHIP DEERING/CROSBY RELATIONSHIP DEERING/CROSBY RELATIONSHIP DEERING/CROSBY RELATIONSHIP GENERAL ATLANTIC FAMILY OFFICE RELATIONSHIP SK FAMILY OFFICE RELATIONSHIP SK FAMILY OFFICE RELATIONSHIP LINDEMANN FAMILY RELATIONSHIP LINDEMANN FAMILY RELATIONSHIP JOCKEY CLUB RELATIONSHIP JOCKEY CLUB RELATIONSHIP DEERING/CROSBY RELATIONSHIP DEERING/CROSBY RELATIONSHIP DEERING/CROSBY RELATIONSHIP SOUTHERN FINANCIAL RELATIONSHIP BOIES FAMILY RELATIONSHIP ELLIN, HOWARD RELATIONSHIP JOCKEY CLUB RELATIONSHIP Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low Only Paper Low 12/2/2014 Digital KYC Low 5/30/2014 Digital KYC Low 1/8/2015 Digital KYC Low 3/2/2012 Digital KYC Low Client not started Client not started Client not started Client not started Client not started Client not started Client not started EFTA01429759 Client not started Client not started Client not started Client not started Client not started Client not started Client not started Client not started Client not started Client not started Client not started Client not started 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 5/31/2019 Mar 2019 4/30/2019 Feb 2019 4/30/2019 Feb 2019 4/30/2019 Feb 2019 4/30/2019 Feb 2019 7/31/2019 May 2019 Brokerage Brokerage Brokerage Brokerage Brokerage Brokerage Brokerage Brokerage Residential Mortgage Residential Mortgage Global Deposits 7/31/2019 May 2019 Brokerage 8/31/2019 Jun 2019 8/31/2019 Jun 2019 8/31/2019 Jun 2019 9/30/2019 Jul 2019 9/30/2019 Jun 2019 9/30/2019 Jun 2019 12/31/2019 Sep 2019 Brokerage Brokerage Brokerage Global Deposits Alternative Investments, U.S. Invtmt Adv Alternative Investments, U.S. Invtmt Adv Global Deposits $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $1,008 $1,880,574 EFTA01429760 Z Jo z ATuo asn Tsuaa4uT aoa ZOP'665 EW86T5 6L9'688'Z5 £S8'96S 'CU/TEL/TS L90'6L9'ES TLP'E95 86Z5 TLZ5 6665 66T'ZS 99E5 T8G'ES O5 OSS'IP6T"GTS 8TT5 SOT'665 O5 O5 O5 O5 O5 Z9L'6WES O5 ne68P'ES 6GT'EE9'95 EFTA01429761