EFTA Document EFTA01432537

Subject: MD approval for ACUs completed for hi h risk clients [I] From: Vaishali-P Mehta Date: Fri, 03 Mar 2017 17:34:50 -0500 To: Andrew Gallivan <[email protected]> Cc: Terrence F Tan ne Terri Sohrab Michael S Jacoby Stewart Oldfield Thomas-B Mayer Trevor Spinney Joanne Jensen Mary A Coleman Brian P Convey <brian. .conve @db.com>, Classification: For internal use only Dear Andrew, Below are the ACUs which were completed for High Risk customers this month. All the below ACUs were completed showing no material changes to the client's circumstances. Please review the ACU comments, and reply back with your approval. Annual Client Update: ID GCIS Customer Number Customer Name MD Annual Client Update: Created Date A14. A15. Client Status Update Description A16. A17. Customer Owner EFTA01432537 82109 00000481084 Batmasian, James H. Andrew Gallivan 2/7/2017 No changes to report. No changes to report. Purpose of the call was for new banker and credit specialist to get background on the relationship. Yes No Rachel Maglicic 81987 00000409100 Black, Leon D. Andrew Gallivan 2/3/2017 client is CEO of Apollo Global management. Family office established in 2014 to manage family wealth. Distributions from APO and other diversified investments. Yes No Stewart Oldfield 81990 00000486427 J. Epstein Virgin Islands Foundation, Inc Andrew Gallivan EFTA01432538 2/3/2017 Private foundation investment income Yes No Stewart Oldfield 81991 00000486423 Jeepers, Inc Andrew Gallivan 2/3/2017 Jeepers is sub S managing various investments investment activities, advisory services Yes No Stewart Oldfield 81989 00000487266 Mort, Inc Andrew Gallivan 2/3/2017 Mort is entity holding shares of private company Jawbone Holds private investment No EFTA01432539 No Stewart Oldfield 81994 00000486428 The Haze Trust Andrew Gallivan 2/3/2017 Investment vehicle No change Yes No Stewart Oldfield 82165 00000489410 Frederic B. Luddy CRT Andrew Gallivan 2/9/2017 Frederick is founder and senior executive at ServiceNow, a publicly traded information technology company. Fred originally funded the LLC with ServiceNow stock. No new status update No No Thomas-B Mayer 81647 EFTA01432540 00000479884 CAGD Holdings Ltd Andrew Gallivan 1/24/2017 no material changes no material changes No No Trevor Spinney 82226 00000430894 Penn Services LTD Andrew Gallivan 2/15/2017 Brian Convey speaks with client quarterly to review account There are no changes to clients employment status, health or primary residence No No Brian Convey 81933 00000524646 AFSF III AIV-OmegaFi L.P. Andrew Gallivan 2/1/2017 EFTA01432541 RE Investment The account has no assets in it No No Joanne Jensen 81934 00000496055 Aquiline Capital Partners III GP (Offshore) Ltd. Andrew Gallivan 2/1/2017 The client is a hedge fund. The client holds $3MM in secured lending and $64K in a money market account here at DB. No No Joanne Jensen 81708 00000494253 Aquiline Financial Services Fund III LP Andrew Gallivan 1/25/2017 This client is a private equity fund of one of our largest clients. The fund currently has a secured credit facility of $93MM and $208K on deposit with DB. No No EFTA01432542 Joanne Jensen 81818 00000412442 Aquiline Holdings LLC Andrew Gallivan 1/30/2017 Aquiline maintains its financial and insurance Aquiline maintains its financial and insurance No No Joanne Jensen 81723 00000411484 Aquiline Holdings LP Andrew Gallivan 1/25/2017 Aquiline maintains its financial and insurance Aquiline maintains its financial and insurance No No Joanne Jensen strategy industry strategy industry strategy industry strategy industry of a private equity investments focusing on buyouts. of a private equity investments focusing on buyouts. of a private equity investments focusing on buyouts of a private equity investments focusing on buyouts 81817 EFTA01432543 00000411484 Aquiline Holdings LP Andrew Gallivan 1/30/2017 Aquiline maintains its financial and insurance Aquiline maintains its financial and insurance No No Joanne Jensen strategy industry strategy industry 82169 00000528991 BPP F.1 DE City L.P. Andrew Gallivan 2/10/2017 Private Equity Investment PE Fund No No Joanne Jensen 82170 00000528989 BPP F.1 DE East Andrew Gallivan Union L.P. of a private buyouts of a private buyouts Vehicle equity investments focusing on equity investments focusing on EFTA01432544 2/10/2017 Private Equity Investment Vehicle PE No No Joanne Jensen 82171 00000528990 BPP F.1 DE Southern Palm L.P. Andrew Gallivan 2/10/2017 PE Investment Fund PE Investments No No Joanne Jensen 82168 00000528992 BPP F.2 DE City L.P. Andrew Gallivan 2/10/2017 This is a PE Fund managed by Blackstone. PE Fund No No EFTA01432545 Joanne Jensen 82069 00000491332 Casterlirock Holdings, LLC Andrew Gallivan 2/6/2017 the client holds a $10MM mortgage for a property in Soho, Manhattan. In addition to the mortgage, the client has $55K on deposit with DB to pay operating expenses on the property. No No Joanne Jensen 82065 00000483625 Digital Asset Services LLC Andrew Gallivan 2/6/2017 This account is owned by the Winklevoss brothers as a private investment account. the account currently holds approx. $70K in assets. No No Joanne Jensen 81775 00000465806 EFTA01432546 Hymowitz, Jenna Andrew Gallivan 1/26/2017 This client is the daughter of Gregg Hymowitz. The account is a joint checking account with her father. The account holds minimal assets: —$2K No No Joanne Jensen 81709 00000409944 Kalish, Geoffrey Andrew Gallivan 1/25/2017 Private Equity Client has approximately $25MM in investable assets of which DB currently has $17M. No material changes No No Joanne Jensen 82068 00000485138 Winklevoss IP LLC Andrew Gallivan 2/6/2017 EFTA01432547 the client has approx. $3,600 on deposit. The entity is created for the sole purpose of holding/investing in patents. No No Joanne Jensen 82067 00000485139 Winklevoss Ventures LLC Andrew Gallivan 2/6/2017 This account is owned by the Winklevoss brothers as a private investment account. Currently, minimal assets are on deposit; —$10K No No Joanne Jensen 82106 00000499901 WP Private Equity X, Inc. Andrew Gallivan 2/7/2017 This account is part of a syndicated credit facility. We have a loan in the amount of $18 mio Warburg Pincus has invested more than $58 billion in more than 760 companies in more than 40 countries around the world No EFTA01432548 No Joanne Jensen 81793 00000471000 Hernstadt, Zoe Claire Andrew Gallivan 1/26/2017 We have met with Zoe's parents, Bill and Jerene Hernstadt, over the past year. I have also communicated with Zoe email. There are no material changes to report at this time. We have met with Zoe's parents, Bill and Jerene Hernstadt, over the past year. I have also communicated with Zoe email. There are no material changes to report at this time. No No Liz Payne 82178 00000496153 Alpine Homes, LLC Andrew Gallivan 2/10/2017 Michael L. DeGeorge is the grandson of the late Florence and Lawrence J. DeGeorge. In addition to inherited family wealth and Trusts, Michael is a Partner and Founder of MDeG Investment Group, LLC. He derives income from business revenues and private investments. Terrence and Rebecca spoke to Mike on the phone to discuss a cash transfer as well as congratulate him on his new baby girl. Yes No EFTA01432549 Terrence Tangney 82129 00000459011 Bredesen, Philip Andrew Gallivan 2/8/2017 Philip Bredesen founded HealthAmerica Corp. in 1975 and sold the business in 1986. After selling his company, Mr. Bredesen ran for Governor of Tenneessee and won. Since he made so much money from the sale of his business, when he became Governor, Mr. Bredesen refused a salary. Deutsche Bank does not communicate directly with Mr. Bredesen. All transaction requests and account inquiries are handled through Hirtle, Callaghan & Co. Discussed the pricing of the loan outstanding Yes No Terrence Tangney 82179 00000489336 DeGeorge, Brooke T. Andrew Gallivan 2/10/2017 Casey DeGeorge is Peter M DeGeorge's wife. They are parents to Brooke DeGeorge and Payton DeGeorge. We are opening an UTMA for Brooke and Payton which is a distribution from their great grandparents trust (450815 - FLORENCE & LAWRENCE DEGEORGE 2008 IRR TR) Rebecca spoke with Peter DeGeorge in regards to transactions involving their joint accounts and their children's UGMA accounts. Yes No EFTA01432550 Terrence Tangney 81995 00000456209 Cerberus Capital Management, L.P. Andrew Gallivan 2/3/2017 $60MM deposit on 2/3/16. Private Equity. Yes No Terri Sohrab 81997 00000493755 Elderberry X, LLC Andrew Gallivan 2/3/2017 no material changes no material changes No No Terri Sohrab 82005 00000460090 Function(x) Inc. EFTA01432551 Andrew Gallivan 2/3/2017 no material changes no changes No No Terri Sohrab 82104 00000478687 IDL Wheel Tenant, LLC Andrew Gallivan 2/7/2017 no material changes. client would like to open an additional account to depost rent for this entity. No No Terri Sohrab 82020 00000415485 MJX, LLC Andrew Gallivan 2/3/2017 no change No changes EFTA01432552 No No Terri Sohrab 82022 00000418125 Sea Change Foundation Andrew Gallivan 2/3/2017 no material changes no material changes No No Terri Sohrab 82001 00000472894 SFX Entertainment Inc. Andrew Gallivan 2/3/2017 accounts have closed as of 2/1/2016 accounts have closed as of 2/1/2016 No No Terri Sohrab 82019 EFTA01432553 00000408988 Sillerman, Robert F.X. Andrew Gallivan 2/3/2017 no material changes no changes No No Terri Sohrab 82009 00000457803 Sillerman Investment Corporation Andrew Gallivan 2/3/2017 no changes no changes No No Terri Sohrab 82014 00000423456 The 2000 Robert and Laura Sillerman Descendants' Trust Andrew Gallivan 2/3/2017 EFTA01432554 no changes no material change No No Terri Sohrab Please let me know if you have any questions Regards, Vaishali Mehta Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management 101 California Street, Suite 2400, San Francisco, CA USA Tel. + Mobil Email EFTA01432555