EFTA Document EFTA01385125

From: Vaishali-P Mehta [[email protected] Sent: 3/3/2017 5:34:50 PM To: Andrew Gallivan [[email protected]] CC: Terrence F Tangney ][email protected]]; Terri Sohrab [[email protected]]; Michael S Jacoby [email protected]; Stewart Oldfield [[email protected]; Thomas-B Mayer Ithomas- [email protected]]; Trevor Spinney [email protected]; Brian P Convey [[email protected]; Joanne Jensen [email protected]); Mary A Coleman [[email protected]] Subject: MD approval for ACUs completed for high risk clients [II 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 82109 GCIS Customer Number 00000481084 Customer Name Batmasian, James H. MD Andrew Gallivan Annual Client Update: Created Date 2/7/2017 A14. No changes to report. A15. Client Status Update Description No changes to report. Purpose of the call was for new banker and credit specialist to get background on the relationship. A16. Yes A17. No Customer Owner 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 2/3/2017 Private foundation investment income Yes No Stewart Oldfield 81991 00000486423 Jeepers, Inc Andrew Gallivan 2/3/2017 Jeepers is sub 5 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 No Stewart Oldfield 81994 00000486428 The Haze Trust Andrew Gallivan 2/3/2017 Investment vehicle No change Yes No Stewart Oldfield CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0086154 SDNY_GM_00232338 EFTA01385125