EFTA Document EFTA01398741

EFTA01398741 EFTA01398742 1'1'111(11 1 ill iiiiiill nil 'Illy Iiil li II IIIIIIIIIII ill i 1„ii I I II ILI.I.: IIhill' ill 'ill' ! Li , I III II EFTA01398743 = W = = MI = = III 66736 00000487216 JEGE, LLC Paul Morris SOUTHERN FINANCIAL RELATIONSHIP 2/17/2015 No changes in income producing activities Darren Indyke was added as POA in February 2014 73 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - Approved KYC #1195111 EFTA01398744 EFTA01398745 COVERAGE-Domest ic_TmpExcptDue In 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 01370179 00000506803 TSI Giardina Rabbi Trust Client Susan Burnett 6/22/2015 Temporary Exception of 90 Days for executed documents as DB is the Trustee Kimberly Hart -52 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01371036 00000499861 TPG Advisors VI, Inc. Prospect 00000450636 Cheryl Palle  6/1/2015 Borrowers resolution will be obtained at closing. Lee Hutter -31 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01375357 00000406736 Brener, Pablo Prospect 00000406737 Deirdre Judge 4/8/ 2016 The case will be re-evaluated in a year given the internal investigation for possible money laundering. Kimberly Hart -343 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01376949 00000499861 TPG Advisors VI, Inc. Prospect 00000450636 Cheryl Palle  6/1/2015 Borrowers resolution will be obtained at loan closing. Lee Hutter -31 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01377853 00000495893 Lexington Capital Partners VIII, LP Client 00000409936 Terr i Sohrab 5/8/2015 Temporary Exception for Borrowers Resolution and Executed LP documen is Kimberly Hart -7 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic 01378283 00000287842 Susan E. Akin Irrev Trust U/A Dtd 1/27/03, Johanna Stolecki TTEE Client 00000162399 Liz Payne 7/10/2015 The standard 90 days temporary exception for TIN number has been granted for this KYC. Kimberly Hart -70 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby COVERAGE-Domestic 01380558 00000499861 TPG Advisors VI, Inc. Prospect 00000450836 Cheryl Palle  6/1/2015 Borrowers resolution to be obtained at closing for signatory authority. Lee Hutter -31 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01385114 00000508224 Chaitanya Inc Client 00000168925 Brian Convey 5/28/2015 SOS Printout not yet available, will attached within 30 days upon receipt. Kimberly Hart -27 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 00906979 00000471736 Meridiem Infrastructure North America Fund II LP Prospect 00000471737 Rosemary Vrablic 6/30/2015 Exception Extended - see email below Temp - exception Extended 60 Day Temporary Exception for Borrowers Resolution Kimberly Hart -60 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01290743 00000471736 Meridiem Infrastructure North America Fund II LP Prospect 00000471737 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 -60 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01329886 00000458962 Planned Parenthood of Illinois Client 00000175329 Terrence Tan gney 5/17/2015 Kimberly Hart -16 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01335734 00000471736 Meridiam Infrastructure North America Fund II LP Prospect 00000471737 Rosemary Vrablic 6/30/2015 Exception Extended - see email See Temporary Exception for Borrowers Resolution in KYC 906979 Kimberly Hart -60 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01345897 00000479363 Spencer Family 2012 GHAT I Client 00000156618 Liz Payne 5/11/2015 A standard 90 day exception for the trust TINts and fully executed document. Kimb erly Hart -10 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Dom est ic 01347466 00000479316 Jacques, Patrick C. Client 00000167808 Tim MacGuire 7/16 /2015 DB as co ? trustee, there is a Blanket Exception of 90 days for Date of Incorporation, EIN a nd Executed Documents. Kimberly Hart -76 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01350684 00000499861 TPG Advisors VI, Inc. Prospect 00000450636 Cheryl Palle  6/1/2015 TE for sigining authority. Document will be obtained at closing. Kimb erly Hart -31 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Dom est ic 01351513 00000454163 Batmasian, Marta Client 00000454164 Carlos Arrizurieta 9/7/2015 Due to negative media and ongoing legal actions, the KYC is required to be updated i  6 months. Kimberly Hart -129 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01353300 00000497010 The GST Exempt Sydell L. Miller Dynasty Trust FBO Lauren Spilman u/a /d/8/26/93 Client 00000497011 Lisa Adelstein 6/15/2015 Michael S. Jacoby -45 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01366045 00000505227 Tabizuru Foundation Prospect 00000214706 Mary Ann Col eman 5/14/2015 Kimberly Hart -13 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 01367302 00000505296 TPG Growth II Finance, L.P. Prospect 00000450836 Cher yl Paller 5/22/2015 1. Temporary Exception granted for listing of authorized signatory see attached email) 2. Permanent Exception granted to accept AML Letter from CCO in lieu of DB's AML Questionnaire for Private Equity Firms. Lee Hutter -21 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby COVERAGE-Domestic EFTA01398746 EFTA01398747 COVERAGE-Domest ic_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 Manually Remove? Lisa S. Benenson Insurance Trust 00000287202 Andrea Nicoletti 1995 1 Reta it Banking < $250K 8/18/1992 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Altpoint Capital Partners, LLC 00000462886 Brian Convey 2014 1 Retail Banking < $25 OK 9/9/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Dom estic No MISS AMERICA PROPERTIES, LLC 00000464881 Rosemary Vrablic 2014 1 Retail Banki ng < $250K 7/14/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic No Pindle, LLC 00000470744 Cheryl Paller 2014 1 Retail Banking < $250K 3/8/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No GCI Technologies Ltd. 00000472976 Malcolm Kimble 2013 1 Retail Banking < $250K 4/2/ 2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Budinger, William M. 00000451232 Terrence Tangney 2014 1 Relationship Exempt 5/30/2001 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-DOmestiC NO Budinger, William Doyle 00000491423 Terrence Tangney 2014 1 Relationship Exempt 2/25/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Nicholls, Naoma 00000412674 Susan Burnett 2013 1 Portfolio of Exempt Accounts 7/30 /2007 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Aquiline Holdings LP 00000411484 Joanne Jensen 2014 1 Force Exempt 3/7/2007 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No FDEG Holdings, LLLP 00000464495 Terrence Tangney 2014 1 Force Exempt 7/1/ 2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-DomeStiC No Zahid, Mervat 00000225289 Paul Bartilucci 2013 1 9/30/1994 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Newamco, LLC 00000423479 Rosemary Vrablic 2011 1 9/18/2008 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Ortiz Consulting, Inc. 00000437284 John Marson 2013 1 7/7/2009 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Nussdorf, Arlene 00000444723 Joanne Jensen 2014 1 3/3/2010 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Nussdorf, Glenn 00000444725 Joanne Jensen 2014 1 3/3/2010 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Nussdorf, Stephen 00000444726 Joanne Jensen 2014 1 3/3/2010 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Left Bank Investments Limited 00000464330 Terrence Tangney 2014 1 6/15/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-DomestiC No CAP III Maritime AIV, LP 00000469156 Joanne Jensen 2013 1 9/14/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Gottbetter Capital Group, Inc. 00000471300 Terrence Tangney 2014 1 12/19/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Limestone Partners 00000472899 Andrea Nicoletti 2012 1 4/18/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Mitido Invest LTD 00000473138 Terrence Tangney 2014 1 7/13/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No SYDELL HOLDINGS LLC 00000479783 Susan Burnett 2013 1 12/12/2012 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No EFTA01398748 COVERAGE-Domestic_HRIPM_Due2015 Customer Name Customer Number Primary Officer lanation Bank Auto Exempt Reason MSR Silo Comments Bruli International S.A. 00000177992 OK 4/12/1995 Kim Hart, Andrew Galivan estic No Comsup Commodities Inc 00000424709 Rosemary OK 4/27/2009 Kim Hart, Andrew Galivan estic No Comsup Ltd. 00000424797 Rosemary Vrablic 2015 1 Retail Banking < $250K 12/2 6/2008 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Comsup Minerals Ltd 00000424798 Rosemary Vrablic 2015 1 Retail Banking < $25 OK 12/26/2008 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Dom estic No FDEG Corp. 00000439357 Terrence Tangney 2015 1 Retail Banking < $250K 8/21 /2009 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Lawrence F DeGeorge Irrevocable Trust Agreement u/a dtd November 12, 2010 00000457925 Terr ence Tangney 2015 1 Retail Banking < $250K 11/19/2010 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby COVERAGE-Domestic No TIPPT MEDIA INC 00000471609 Terri Sohrab 2015 1 Retail Banking < $250K 1/26/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Viggle Media, Inc. 00000471610 Terri Sohrab 2015 1 Retail Banking < $250K 1/26 /2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No IUC 701 Times Square LLC 00000472123 Rosemary Vrablic 2015 1 Retail Banki ng < $250K 3/23/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic No Isaac Franco 2002 Grantor Retained Annuity Trust 00000472785 Rosemary Vrablic 2015 1 Retail Banking < $250K 3/19/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO Isaac Franco 2001 Grantor Retained Annuity Trust 00000472784 Rosemary Vrablic 2015 1 Retail Banking < $250K 3/20/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO Isaac Franco 2008 Irrevocable Trust 00000472786 Rosemary Vrablic 2015 1 Reta il Banking < $250K 3/16/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Isaac Franco Alaska Trust 00000472787 Rosemary Vrablic 2015 1 Retail Banki ng < $250K 3/23/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic No Credit Opportunities Master Fund II, LP 00000473714 Joanne Jensen 2015 1 Retail Banki ng < $250K 6/1/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic No Credit Opportunities Overseas Fund II, LP 00000474124 Joanne Jensen 2015 1 Reta il Banking < $250K 6/1/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Institute for the Preservation of Arts and Culture Limited 00000474130 Liz Payne 2015 1 Retail Banking < $250K 8/3/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO Winklevoss Media, LLC 00000474232 Joanne Jensen 2015 1 Retail Banking < $250K 5/31 /2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Walkitalk LLC 00000474710 Joanne Jensen 2015 1 Retail Banking < $250K 7/5/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Technomicom LLC 00000474711 Joanne Jensen 2015 1 Retail Banking < $250K 7/5/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No TRITONIC HOLDINGS, LLC 00000474908 Joanne Jensen 2015 1 Retail Banking < $250K 7/9/ 2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Infinity Lifestyle Brands, LLC 00000475597 Rosemary Vrablic 2015 1 Retail Banki ng < $250K 7/20/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-Domestic No Rado Tours, LLC 00000478290 Joanne Jensen 2015 1 Retail Banking < $250K 10/12/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Infinity AL Holdings, LLC 00000478501 Rosemary Vrablic 2015 1 Retail Banki ng < $250K 11/8/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE RAGE-DOmestiC No CKI Events, LLC 00000486696 David Rodin 2015 1 Retail Banking < $250K 2/9/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Paparoni, Fernando 00000471849 Terrence Tangney 2015 1 Relationship Exempt 2/17/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No L J & Fa Degeorge Charitable Trust 00000287358 Terrence Tangney 2015 1 Port folio of Exempt Accounts 12/22/1994 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Khalilzad, Zalmay M 00000442073 John Marson 2015 1 Portfolio of Exempt Accounts 11/2/2009 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-DomestiC No Kushner, Murray 00000100705 Rosemary Vrablic 2015 1 Non-Funded Accounts 12/2 1/1988 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO Cerberus Capital Management, L.P. 00000456209 George Zahringer 2015 1 Non- Funded Accounts 4/3/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVE High Risk InPerson Meeting Due Year Past-Due Exp Client Since Date Offshore Account Open Date Tim MacGuire 2015 1 , Michael J. Davis, Michael Vrablic 2015 1 , Michael J. Davis, Michael Retail Jacoby Retail Jacoby Banking < $25 COVERAGE-Dom Banking < $25 COVERAGE-Dom EFTA01398749 RAGE-Domestic No Rein, LLC 00000471893 David Rodin 2015 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby Denmar, LLC 00000471894 David Rodin 2015 1 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Ario, LLC 00000476062 David Rodin 2015 1 Non-Funded Accounts 8/24/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No FDEG Family Limited Partnership 00000439358 Terrence Tangney 2015 1 Force Exempt 8/24/2009 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Leto, LLC 00000472507 David Rodin 2015 1 Force Exempt 3/14/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No CGK 2011 Annuity Trust 00000472793 David Rodin 2015 1 Force Exempt 3/15/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No TCW Enterprises LLC 00000474015 Joanne Jensen 2015 1 Force Exempt 5/15/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby Hestianic Holdings, LLC 00000474023 Joanne Jensen 2015 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby Winklevoss Capital Fund, LLC 00000474068 Joanne Jensen Non-Funded Accounts COVERAGE-Domestic Non-Funded Accounts 2/2/2012 No 2/2/2012 COVERAGE-Domestic No 1 Force Exempt 5/15/2012 COVERAGE-Domestic No 2015 1 Force Exempt 5/17 /2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Antonine Investments LLC 00000474081 Joanne Jensen 2015 1 Force Exempt 5/18 /2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Hadrian Investments LLC 00000474084 Joanne Jensen 2015 1 Force Exempt 5/18/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Winklevoss Capital Management LLC 00000474107 Joanne Jensen 2015 1 Force Exempt 5/21/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-DomestiC No Nina Holdings LLC 00000474714 Joanne Jensen 2015 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby EFPRP Investments LLC 00000474838 David Rodin 2015 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby Heraclean Holdings LLC 00000475408 Joanne Jensen 2015 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby CW Crimson Trust 00000478206 Joanne Jensen 2015 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby The Mao Charitable Remainder Unitrust 00000236057 Russell Daulton 2015 1 11/30/2003 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No MJX, LLC 00000415485 Terri Sohrab 2015 1 6/25/2007 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Sea Change Foundation 00000418125 Terri Sohrab 2015 1 5/8/2008 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Franco, Isaac S. 00000418627 Rosemary Vrablic 2015 1 7/18/2008 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO The Nagel Family Living Trust 00000423815 Deirdre Judge 2015 1 10/20/2008 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO FF Property Management, LLC 00000441355 John Marson 2015 1 12/7/2009 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO The Roger William Norman Trust 00000459676 Patricia Bennett 2015 1 3/22/2011 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No NF Airport Spectrum Investors LP 00000469638 Deirdre Judge 2015 1 1/11/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Paparoni, Cesar 00000471993 Terrence Tangney 2015 1 2/17/2012 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Estate of Florence A. DeGeorge 00000474025 Terrence Tangney 2015 1 6/1/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No VannaRae, LLC 00000474696 Terrence Tangney 2015 1 6/25/2012 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No NF Marina, LP 00000477716 Deirdre Judge 2015 1 10/9/2012 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No ASEAN China Investment Fund L.P 00000477766 Malcolm Kimble 2015 1 10/25/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO CIP Five Holdings, Ltd 00000478177 George Zahringer 2015 1 11/16/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO AL Infinity, LLC 00000478655 Rosemary Vrablic 2015 1 11/8/2012 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic NO IDL Wheel Tenant, LLC 00000478687 Terri Sohrab 2015 1 11/16/2012 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No 1 Force Exempt COVERAGE-Domestic 1 Force Exempt COVERAGE-Domestic 1 Force Exempt COVERAGE-Domestic 1 Force Exempt COVERAGE-Domestic 8/17/2012 NO 7/10/2012 NO 7/6/2012 NO 12/17/2012 NO EFTA01398750 Acct Opening Case Number Customer Name Created By Opened Date Product Description Exception Ex pires Created Alias Escalation Manager Silo Reason for Exception Fax Copies Exception Days Overdue 01175721 107227 Canada Inc Janet Sible 1/8/2014 IA ABR- Please vett the signors with W-8 Ben for approval. NAO Case* 7306319 (FOR ADVISOR SELECT IA ACC) KYCf 1156121 Conte ct: Janet Sible 312-952-9280 New ADVISOR SELECT account - Manager Clearbridge 1/22/2014 PB S -CH Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Temp orary exception granted for the DB corporate resolutions. E-mail is attached N 333 01250909 9800 La Cienega, LLC Mayra Fonseca 6/30/2014 Business Checking ABR pls approve the case with approved W-9 Thanks Please open new money market KYC 1236985 NAO 8128595 R eserved Account Number- 42956211 Thank you. 7/22/2014 PB S-LA Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby COVERAGE-Domestic This case has been given temporary exception for two Weeks for W-9 Tax form by Vaishali-p Mehta. N 204 01385497 MK Acquisition LLC Carol Meister 4/22/2015 Banking Online-No KYC f 0138 4513 NAO 4 9459820 Carol Meister 212-454-0022 ***PLEASE DISREGARD THE INTERNET BANKING SERVICES Link to exsisting online relationship. It does not pertain to this client.**** ***PLEASE SEE EXCEPTION T O OPEN ACCOUNT ATTACHED 4/29/2015 PB S-NY Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 1 week exception for signature card N 3 01244488 Gummy HR, LLC Cynthia Rodriguez 6/16/2014 Please vett the signers with W-9 approval. DDA Account Type - 10 APY - 0.00% MMDA Account Type - 65 Interest Plan - 129 APY - 0. 20% KYC 01242729 NAO 8045240 RUSH CASE: Reserved account numbers are 42956019 and 44131512. Please e mail cynthia.rodriguezfdb.com once these account are officially opened. Thank you. 7/16/2014 PB S-NY Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Plea se approve with temporary exception of 30 days as per the email so we can track the originals N 208 01287301 Heinz Eppler Life Insurance Trust 1993 Anna-Sofiya Lupolover 9/30/2014 ABR pls Vett the signor with approve W-9. Thanks Please open a checking account for Eppler Life Insuranc e Trust U/A/D 09/14/93. KYC Case -- 01284216 NAO Case -- 8554143 Please email anna-sofiya.lupolover with Account I as soon as it is completed. 10/14/2014 PB S-NY Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby COVERAGE-Domestic 2 week temporary exception is approved for o ur standard letter to be signed by the Trustee and the Limited Agents, to be provided by Tammy N 144 EFTA01398751