📅 Oct 5, 2015

RE: CLEARED: PCR Alert - Jeffrey Epstein [I]

From: Vaishali-P Mehta

To: Jj Litchford, PWMUS AMLKYC

Classification: For internal use only Thanks Jj I will forward it to compliance as soon as it hits my queue — currently with Office Director Regards, Vaishali Mehta AVP Anti-Money Laundering Business Risk Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 60 Wall Street, 27th Floor, 10005-2836 New York, NY, USA Tel. Mobile Email

Classification: For internal use only

Thanks Jj

I will forward it to compliance as soon as it hits my queue — currently with Office Director

Regards,

Vaishali Mehta

AVP Anti-Money Laundering Business Risk
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
60 Wall Street, 27th Floor, 10005-2836 New York, NY, USA
Tel.
Mobile
Email

📅 Oct 5, 2015

RUSH KYC approval [I]

From: Jj Litchford

To: Kimberly Hart, Andrew Gallivan

Classification: For internal use only Hi Kim and/or Andrew-- We have a rush KYC (01469735) in for an account (George Lindemann Family LP) we need re-opened ASAP (it was auto-closed by BO). The KYC is almost exactly the same as the last time. Can one of you push it through for me? They are expecting it Thanks, JJ 33 Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, New York 10154 Tel. Mobile Email

Classification: For internal use only

Hi Kim and/or Andrew--

We have a rush KYC (01469735) in for an account (George Lindemann Family LP) we need re-opened ASAP (it was auto-closed by BO).

The KYC is almost exactly the same as the last time. Can one of you push it through for me? They are expecting it

Thanks,

JJ

33 Litchford
Associate Banker

Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue, 24th Floor
New York, New York 10154
Tel.
Mobile
Email

📅 Oct 10, 2017

Sept - 2017 AML/KYC Escalation Reports [I]

From: Melisa Venegas

To: Andrew Gallivan, Michael S Jacoby, Lee Hutter, Mark LaRoe, Armen Brash

All, Attached is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. § High Risk in Person Meetings Past Due: 23 § Overdue Temporary Exceptions: 9 Thank you, Melisa Venegas Deutsche Bank Wealth Management 345 Park Avenue, 26th FL, New York, NY, USA {phone} +1 (212) 250-1493 {grey_new_seo-14-512} EFTA01398740

All,

Attached is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly.

§ High Risk in Person Meetings Past Due: 23

§ Overdue Temporary Exceptions: 9

Thank you,

Melisa Venegas

Deutsche Bank Wealth Management
345 Park Avenue, 26th FL, New York, NY, USA
{phone} +1 (212) 250-1493
{grey_new_seo-14-512}

EFTA01398740

📅 May 4, 2016

May 2016 AML/KYC Escalation Reports [I]

From: Melisa Venegas <[redacted]>

To: Armen Brash <[redacted]>, Andrew Gallivan <[redacted]>, Michael S Jacoby <[redacted]>, Lee Hutter <[redacted]>, Mark LaRoe <[redacted]>

Classification: For internal use only All, Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 7 8 Moderate 2 5 22 29 Low 1 1 10 12 * 28 are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 15 1 18 Moderate 1 1 1 3 Low 1 1 Overdue High Risk in Person Me

Classification: For internal use only

All,

Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly Thank you.

ACUs w/Mat Changes*

Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 7 8 Moderate 2 5 22 29 Low 1 1 10 12

* 28 are pending AML Compliance's review

Overdue Temporary Exceptions

Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 15 1 18 Moderate 1 1 1 3 Low 1 1

Overdue High Risk in Person Meetings 32

Office 0-30 31-60 61-90 >90 Total
Los Angeles 1 1 4 6
High 1 1
Moderate 3 3
Low 1 1 2
New York 1 5 20 26
High 6 6
Moderate 5 10 15
Low 1 4 5
San Francisco 2 15 17
High 1 1
Moderate 2 9 11
Low 5 5

EFTA01398752

Melisa Venegas

Deutsche Bank Wealth Management <u>60 Wall Street, 10005-2836</u> New York, NY, USA Tel.: +1 (212) 250-1493 I Email

EFTA01398753

📅 Nov 6, 2017

Oct - 2017 AML/KYC Escalation Reports [I]

From: Melisa Venegas

To: 5 recipients (redacted)

All, Attached is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. § High Risk in Person Meetings Past Due: 36 § Overdue Temporary Exceptions: 13 Thank you, Melisa Venegas Deutsche Bank Wealth Management 345 Park Avenue, 26th FL, New York, NY, USA {phone} +1 (212) 250-1493 EFTA01398756

All,

Attached is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly.

§ High Risk in Person Meetings Past Due: 36

§ Overdue Temporary Exceptions: 13

Thank you,

Melisa Venegas

Deutsche Bank Wealth Management
345 Park Avenue, 26th FL, New York, NY, USA
{phone} +1 (212) 250-1493

EFTA01398756

📅 Oct 3, 2017

Oldfield [I]

From: Daphne Cates

To: Andrew Gallivan

Per our discussion, this is Stewart's list. As you can see they are all moderates. I'll have someone start these as soon as possible. --- Daphne Cates Director I Banking Services & Branch Manager Deutsche Bank Trust Company Americas WM Americas

Per our discussion, this is Stewart's list. As you can see they are all moderates. I'll have someone start these as soon as possible.

---

Daphne Cates

Director I Banking Services & Branch Manager

Deutsche Bank Trust Company Americas

WM Americas

📅 Oct 3, 2017

RE: Oldfield [I]

From: Andrew Gallivan

To: Daphne Cales

The list we were looking at this morning shows 1 high outstanding that is what I was asking about

The list we were looking at this morning shows 1 high outstanding that is what I was asking about

📅 Oct 3, 2017

FW: Oldfield [I]

From: Daphne Cales

To: Melisa Venegas, Adrienne Bull

Hey ladies, EFTA01398763 Steward Oldfield was asking about his one HR KYC outstanding but I don't see it. All I have is his moderates. Please confirm. --- Daphne Cales Director | Banking Services & Branch Manager Deutsche Bank Trust Company Americas WM Americas

Hey ladies,

EFTA01398763

Steward Oldfield was asking about his one HR KYC outstanding but I don't see it. All I have is his moderates. Please confirm.

---

Daphne Cales

Director | Banking Services & Branch Manager

Deutsche Bank Trust Company Americas

WM Americas

📅 Oct 3, 2017

FW: Oldfield [I]

From: Daphne Cales

To: Andrew Gallivan

FYI ... I’ll forward once I get it. I forgot to cc you. Kind regards, Daphne Cales --- Daphne Cales Director I Banking Services & Branch Manager Deutsche Bank Trust Company Americas WM Americas

FYI ... I’ll forward once I get it. I forgot to cc you.

Kind regards,
Daphne Cales

---

Daphne Cales

Director I Banking Services & Branch Manager

Deutsche Bank Trust Company Americas

WM Americas

📅 Apr 5, 2017

MD approval for ACUs completed for High Risk Clients [I]

From: Vaishali-P Mehta

To: Andrew Gallivan

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 EFTA01398794 MD Annual Client Update:

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

EFTA01398794

MD

Annual Client Update: Created Date

A14.

A15. Client Status Update Description

A16.

A17.

Customer Owner

82744

00000469756

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

82747

00000469757

CJA Public Private Multi Manager Master Fund, L.P.

Andrew Gallivan

3/8/2017

EFTA01398795

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.

No
No
Mark Gonzalez

82749

00000469433

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

82750

00000486910

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.

EFTA01398796

No changes have occurred for this entity.

No
No
Mark Gonzalez

82746

00000469760

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

82748

00000469758

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

EFTA01398797

No

Mark Gonzalez

82745

00000469759

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

82909

00000486553

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

EFTA01398798

82881

00000421598

Cabrerizo, Tom

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

82882

00000500416

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

82925

00000486426

Butterfly Trust

EFTA01398799

Andrew Gallivan

3/16/2017

change in beneficiaries

No material change

Yes

No

Stewart Oldfield

82915

00000487223

HBRK Associates, Inc

Andrew Gallivan

3/16/2017

No material change

No material change

Yes

No

Stewart Oldfield

82916

00000487225

Hyperion Air, LLC

Andrew Gallivan

3/16/2017

no material change

no material change

EFTA01398800

Yes
No
Stewart Oldfield

82918

00000487244

JEGE, Inc

Andrew Gallivan

3/16/2017

no material change

no material change

Yes

No

Stewart Oldfield

82919

00000487244

JEGE, Inc

Andrew Gallivan

3/16/2017

no material change

no material change

Yes

No

Stewart Oldfield

82917

EFTA01398801

00000487216

JEGE, LLC

Andrew Gallivan

3/16/2017

No material change

No material change

Yes

No

Stewart Oldfield

82914

00000489505

Andrew Gallivan

3/16/2017

no material change

no material change

Yes

No

Stewart Oldfield

82920

00000487264

Neptune, LLC

Andrew Gallivan

3/16/2017

no material change

EFTA01398802

no material change

Yes

No

Stewart Oldfield

82922

00000487265

NES, LLC

Andrew Gallivan

3/16/2017

No material change

No material change

Yes

No

Stewart Oldfield

82923

00000487219

Plan D, LLC

Andrew Gallivan

3/16/2017

No material change

No material change

Yes

No

Stewart Oldfield

EFTA01398803

82912

00000483882

Southern Financial LLC

Andrew Gallivan

3/16/2017

No changes in activities.

No changes

Yes

No

Stewart Oldfield

82913

00000483883

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

82921

00000487199

The 2007 Jeffrey E. Epstein Insurance Trust #3

EFTA01398804

Andrew Gallivan

3/16/2017

No material change

No material change

Yes

No

Stewart Oldfield

82799

00000462886

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

82798

00000469150

Jarero, Cristina

Andrew Gallivan

3/10/2017

John Marson spoke with client re: accounts

There are no material changes

EFTA01398805

No
No
Brian Convey

82871

00000426119

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

82836

00000420827

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

EFTA01398806

82833

00000210143

Paul Volcker Tr For James P. Volcker

Andrew Gallivan

3/13/2017

Brian speaks with client quarterly to review account

There are no material changes

No

No

Brian Convey

82834
00000210142
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

82835

00000208963

Volcker, Paul

Andrew Gallivan

3/13/2017

EFTA01398807

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

82603
00000496203
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

82601
00000496202
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

EFTA01398808

No

Joanne Jensen

82600

00000496201

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

82599

00000496200

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

82483

EFTA01398809

00000493007

D & D Funding II, LLC

Andrew Gallivan

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

82431

00000489085

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

82429

00000454155

Wolfson Equities

EFTA01398810

Andrew Gallivan

2/27/2017

Wolfson Equities is the investment arm of the Wolfson Group, a family-based investment and real estate company.

The client doesn't currently have any assets with DB.

No

No

Joanne Jensen

82664

00000494254

Windels, Catherine

Andrew Gallivan

3/3/2017

No material changes.

No material changes.

No

No

Andrea Nicoletti

82654

00000493298

Bridge Equities VI, LLC

Andrew Gallivan

3/3/2017

No material changes.

No material changes. Donna Snyder has retired as of 1/13/2017.

EFTA01398811

No
No
Malcolm Kimble

82655

00000498379

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

82653

00000484974

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

82629

EFTA01398812

00000521059

DVI PE (Mauritius) Ltd

Andrew Gallivan

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

82560

00000490484

1960 East 5th Street, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82785

00000463109

469 Avenue S LLC

Andrew Gallivan

3/9/2017

EFTA01398813

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 Yes No Rosemary Vrablic

82521

00000520681

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

82548

00000435801

Community Organizations, LLC

Andrew Gallivan

3/1/2017

no material changes

no material changes

Yes

EFTA01398814

| No |
|-|
| Rosemary Vrablic |
| 82774 |
| 00000435801 |
| Community Organizations, LLC |
| Andrew Gallivan |
| 3/9/2017 |
| no material changes |
| no material changes |
| Yes |
| No |
| Rosemary Vrablic |
| 82546 |
| 00000418627 |
| Franco, Isaac S. |
| Andrew Gallivan |
| 3/1/2017 |
| no changes from KYC |
| No changes from KYC |
| Yes |
| No |
| Rosemary Vrablic |
| 82549 |
| 00000435806 |

EFTA01398815

Franco Realty Group, LLC

Andrew Gallivan

3/1/2017

No new activities or changes

No changes

Yes

No

Rosemary Vrablic

82550

00000435806

Franco Realty Group, LLC

Andrew Gallivan

3/1/2017

No new activities or changes

No changes

Yes

No

Rosemary Vrablic

82775

00000435806

Franco Realty Group, LLC

Andrew Gallivan

3/9/2017

No new activities or changes

No changes

EFTA01398816

Yes
No
Rosemary Vrablic

82779

00000435806

Franco Realty Group, LLC

Andrew Gallivan

3/9/2017

No new activities or changes

No changes

Yes

No

Rosemary Vrablic

82559

00000497510

I Like Ike, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82562

EFTA01398817

00000497009

I Like Ike Kingswood, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82564

00000478501

Infinity AL Holdings, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82561

00000503732

Infinity Entertainment, LLC

Andrew Gallivan

3/1/2017

EFTA01398818

| No | changes |
|-|-|
| No | changes |
| Yes | |
| No | |
| | Rosemary Vrablic |

82553

00000463528

Infinity LW 12th Street, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82552

00000443214

Infinity PLR 44, LLC

Andrew Gallivan

3/1/2017

no changes from KYC

no changes from kyc

Yes

No

Rosemary Vrablic

EFTA01398819

82740

00000443214

Infinity PLR 44, LLC

Andrew Gallivan

3/8/2017

no changes from KYC

no changes from kyc

Yes

No

Rosemary Vrablic

82778

00000443214

Infinity PLR 44, LLC

Andrew Gallivan

3/9/2017

no changes from KYC

no changes from kyc

Yes

No

Rosemary Vrablic

82547

00000497509

Infinity S Kingswood LLC

Andrew Gallivan

EFTA01398820

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82558

00000503731

Infinity Sports Licensing, LLC

Andrew Gallivan

3/1/2017

no changes

no changes

Yes

No

Rosemary Vrablic

82784

00000497007

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

EFTA01398821

No
Rosemary Vrablic

82565
00000472784
Isaac Franco 2001 Grantor Retained Annuity Trust
Andrew Gallivan
3/1/2017
No changes
No changes
Yes
No
Rosemary Vrablic

82566
00000472785
Isaac Franco 2002 Grantor Retained Annuity Trust
Andrew Gallivan
3/1/2017
No changes
No changes
Yes
No
Rosemary Vrablic

82557
00000472786

EFTA01398822

| Andrew Gallivan |
|-|
| 3/1/2017 |
| No Changes |
| No Changes |
| Yes |
| No |
| Rosemary Vrablic |
| 82776 |
| 00000435810 |
| ISF Parkway LLC |
| Andrew Gallivan |
| 3/9/2017 |
| no new changes |
| no new changes |
| Yes |
| No |
| Rosemary Vrablic |
| 82556 |
| 00000472123 |
| IUC 701 Times Square LLC |
| Andrew Gallivan |
| 3/1/2017 |
| no changes |
| no changes |

EFTA01398823

Yes
No
Rosemary Vrablic

82742

00000437170

Katzoff, Gerald

Andrew Gallivan

3/8/2017

no changes to kyc

no changes to kyc

Yes

No

Rosemary Vrablic

82743
000000437170
Katzoff, Gerald
Andrew Gallivan
3/8/2017
no changes to kyc
no changes to kyc
Yes
No
Rosemary Vrablic
82741

EFTA01398824

00000437167

Katzoff, Stuart

Andrew Gallivan

3/8/2017

There are no material changes.

There are no material changes.

Yes

No

Rosemary Vrablic

82334

00000463529

LW 12th Street Holding, LLC

Andrew Gallivan

2/22/2017

no changes from KYC

no changes from KYC

Yes

No

Rosemary Vrablic

82554

00000464881

MISS AMERICA PROPERTIES, LLC

Andrew Gallivan

3/1/2017

EFTA01398825

No updates since previous update

No updates since previous update

Yes

No

Rosemary Vrablic

82555

00000464881

MISS AMERICA PROPERTIES, LLC

Andrew Gallivan

3/1/2017

No updates since previous update

No updates since previous update

Yes

No

Rosemary Vrablic

82738

00000438525

Nevada Land III LLC

Andrew Gallivan

3/8/2017

no changes from kyc

no changes from kyc

Yes

No

Rosemary Vrablic

EFTA01398826

| 82523 |
|-|
| 00000520534 |
| Seminole Housing LLC |
| Andrew Gallivan |
| 2/28/2017 |
| no changes since KYC |
| no changes since KYC |
| Yes |
| No |
| Rosemary Vrablic |
| 82551 |
| 00000435811 |
| S Franco Realty, LLC |
| Andrew Gallivan |
| 3/1/2017 |
| No changes |
| No changes |
| Yes |
| No |
| Rosemary Vrablic |
| 82777 |
| 00000435811 |
| S Franco Realty, LLC |
| Andrew Gallivan |

EFTA01398827

3/9/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82780

00000435811

S Franco Realty, LLC

Andrew Gallivan

3/9/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82737

00000437345

SK Baseball Holdings LLC

Andrew Gallivan

3/8/2017

no changes from kyc

no changes from kyc

Yes

EFTA01398828

No

Rosemary Vrablic

82563

00000480796

Stallion 44, LLC

Andrew Gallivan

3/1/2017

no changes from kyc

no changes from kyc

No

No

Rosemary Vrablic

82739

00000488487

Westbury Management Group LLC

Andrew Gallivan

3/8/2017

no changes to kyc

no changes to kyc

Yes

No

Rosemary Vrablic

82530

00000490083

EFTA01398829

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

82535

00000490083

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

82459

00000491914

Lundberg, Fredrik

EFTA01398830

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 Lundbergf6retagen. Fredrik Lundberg is president and CEO of L E Lundbergf6retagen, 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 Norrk6ping. 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
82595
00000450954
Vakirtzis, George

EFTA01398831

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 private investments.

Discussed replacement debit card. No material changes.

Yes
No
Terrence Tangney

82729

00000440507

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

82727

00000486896

Vickee Jordan Adams 2013 GRAT

Andrew Gallivan

EFTA01398832

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

82757

00000460090

Function(x) Inc.

Andrew Gallivan

3/8/2017

no material changes

no changes

No

No

Terri Sohrab

82756

00000418125

Sea Change Foundation

Andrew Gallivan

3/8/2017

no material changes

EFTA01398833

no material changes

No

No

Terri Sohrab

82758

00000472894

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

EFTA01398834

Deutsche Bank Wealth Management

EFTA01398835

📅 Apr 7, 2017

FW: MD approval for ACUs completed for High Risk Clients [I]

From: Vaishali-P Mehta

To: Andrew Gallivan

Classification: For internal use only Hi Andrew, In an effort to ensure that you have to approve only 1 email, I sent the below email, in hindsight I should have been more careful about not ccing all the Bankers on the email. I apologize for the inconvenience caused. However I still need the approval from you. Could you please approve the below High Risk ACus which were completed? As I mentioned in the below email, this is the last email based approval I will be needing from you. Regards,

Classification: For internal use only

Hi Andrew,

In an effort to ensure that you have to approve only 1 email, I sent the below email, in hindsight I should have been more careful about not ccing all the Bankers on the email. I apologize for the inconvenience caused.

However I still need the approval from you. Could you please approve the below High Risk ACus which were completed?

As I mentioned in the below email, this is the last email based approval I will be needing from you.

Regards,

Vaishali Mehta

Deutsche Bank Wealth Management

EFTA01398793

📅 Apr 7, 2017

RE: MD approval for ACUs completed for High Risk Clients [I

From: Andrew Gallivan

To: Vaishali-P Mehta

Classification: For internal use only Approved.

Classification: For internal use only

Approved.

📅 Mar 2, 2015

February 2015 AML/KYC Escalation Reports [I]

From: [Name redacted] <redacted>

To: 4 recipients (names/redacted addresses)

Classification: For internal use only All, Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. Thank you. Regards, Melisa Venegas Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel.: +1 (212) 250-1493 Fax.: +1 (212) 553-2397 Email EFTA01398836

Classification: For internal use only

All,

Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. Thank you.

Regards,

Melisa Venegas
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
60 Wall Street, 10005-2836 New York, NY, USA
Tel.: +1 (212) 250-1493
Fax.: +1 (212) 553-2397
Email

EFTA01398836

📅 Sep 29, 2014 REDACTED

Message from KMBT_C253

From: █████████████████████

To: ███████████████

[attachment "SHBRK Scann14092911490.pdf" deleted by Aracely Sanchez/db/dbcom] EFTA01398838

[attachment "SHBRK Scann14092911490.pdf" deleted by Aracely Sanchez/db/dbcom]

EFTA01398838

📅 Sep 29, 2014

JE WT to RB

From: bellaklein

To: Amanda Kirby

Please confirm, Thank you, Bella Tel:

Please confirm,

Thank you,
Bella

Tel:

📅 Sep 29, 2014 REDACTED

Fw: JE WT to RB

From: Amanda Kirby

To: █████████████████████

EFTA01398837 Classification: External Communication Not sure if someone already forwarded. Thanks

EFTA01398837

Classification: External Communication

Not sure if someone already forwarded. Thanks

📅 Sep 29, 2014

Re: Fw: JE WT to RB

From: Aracely Sanchez

To: Redacted

Bella- .Please send wire instructions to my attention today. I'm in the office and will submit this request. Amanda will be back in the office tomorrow. Kind regards, Aracely Sanchez (Embedded image moved to file: pic26348.gif) Aracely Sanchez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor 10154-0004 New York, NY, USA Tel. +1(212)454-0024 Fax +1 646 863-9871 Email Securities offered through Deutsche Bank Securitie

Bella- .Please send wire instructions to my attention today. I'm in the office and will submit this request. Amanda will be back in the office tomorrow.

Kind regards,
Aracely Sanchez

(Embedded image moved to file: pic26348.gif)

Aracely Sanchez
Assistant Vice President

Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue, 24th Floor
10154-0004 New York, NY, USA
Tel. +1(212)454-0024
Fax +1 646 863-9871
Email

Securities offered through Deutsche Bank Securities Inc.

(Embedded image moved to file: pic26257.gif)

📅 Nov 5, 2018 REDACTED

Update on KYC HR 2018

From: [sender name and email redacted]

To: 20 recipients (names/emails redacted with black bars)

All, I will be sending the below standard emails to all bankers and copy you for your bankers where clients have either not reacted or bankers could not commit a date by when client information would be available. Cut off date is as communicated the 15 Nov. After that the exit letters will go out (draft attached). Entire list for transparency below. Standard email Dear XXX, First, let me thank you for your ongoing efforts to address our HR KYC challenge. Demonstrating our ability to protect

All,

I will be sending the below standard emails to all bankers and copy you for your bankers where clients have either not reacted or bankers could not commit a date by when client information would be available. Cut off date is as communicated the 15 Nov. After that the exit letters will go out (draft attached).

Entire list for transparency below.

Standard email

Dear XXX,

First, let me thank you for your ongoing efforts to address our HR KYC challenge. Demonstrating our ability to protect the franchise and bring the Americas in line with all other WM regions is pivotal for our growth strategy. For the first time we have a line of sight to closing the year at zero HR overdues. Let me add that it requires AFC approval to count a HR file as completed.

For the following clients of yours, the project team has been informed that the client will either not provide the relevant information by 15 November or did not commit to a due date. Given that the bank would not be in a position to continue business with those clients unless the KYC gets completed, those clients will receive an exit letter after 15 Nov (DBTCA draft attached).

EFTA01398843

If the missing information will be provided in time, those names will of course be removed from the list. Otherwise a letter must be send.

Please reach out to Emily Craig or Daphne Cales if information has / will be received and the file we be handed over to AFC in time. Please feel also free to contact me if need be.

Kind regards,
Thomas

Thanks,
T

Reynaldo Figueredo
Alfa Sca
Risper S.A.
Nirvana Capital International Limited
ASA18J Inc.
TAMAYO, CARLOS ENRIQUE
Di███████ Sca
Lotos Limited
Fjc Sca
Nuevo Mundo Sca
Forum Capital Pte Ltd
Roslyn Property Holdings LLC
Frendall S.A.
Tamayo, Ricardo
High Grove Capital Management Ltd
Los Chicos Sca
Mauricio Pretelt
Pan-am Investments
GOL T.V.
The Family Nekane Trust

Moreno Echavarria, Alfonso
Casal Fernandez, Francisco
Temple Investments Limited
Conor Holdings Limited
Aeropost S.A.

Inigo Momene Cardenal
Solu Americas Inc.
ROSANNA GARCIA MARTINEZ
ST. PETESBURG TRADING INC.
Diaz M de Troncoso, Astrid Elizabeth
ROSANNA MARTINEZ DE ABRAHAM
Global Seafood Capital Inc.

EFTA01398844

SRE Capital LP
Lawson Hills Limited
ABCINQ LTD
POTOMAC DEVELOPMENT INC
Carlos Luna
Tanama C.V.
Remate (USA) INC
Moreno, Joaquin
Darina C.V.
Remate Lince SAPI de CV
Douna C.V.
CRETACEUS INVESTMENT LIMITED
Ickenham Properties C.V.
Deirdre Judge
A-Grade Holdings, LLC
Yucaipa Hospitality Investments, LLC
Sunset and Doheny Property, LLC
A-Grade Management, LLC
Yucaipa U.S. Hospitality Partners Holdings, Inc.
Antelope Insurance Company, Inc.

Lee Rutter
Bridgeton 396 Broadway Investment Corp.

Bridgeton Museum Parc, LLC
Bridgeton 396 Broadway Property, LLC
Kips Bay Property Corp.
Bridgeton Museum Parc Investment Corp.
Bridgeton Museum Parc Property, LLC
Mark Westhoff
Samstock/ZFT LLC
EGI-CW Holdings LLC
SZ Investments LLC
Samstock LLC
Samstock/SIT, LLC
Malcolm Kimble
Fertitta Entertainment, Inc.
GNLC Holdings, Inc.
Fertitta, Tilman
Joanne Jensen
Do it Again, LLC.
NEW DIMENSIONS TRADING LTD
HORIZONS CAYMAN TRADING LTD
Shahin Ahdieh
Dahlia ARR LLC
Dawn Mist LLC
Dahlia ARR Trust FBO Aziz Rahman Rasul
Gabriel Micheletti
LAIF Management (GP-GP) Ltd.
Capex S.A.
Pascal Land rove

EFTA01398845

Cronus Limited
Stewart Oldfield
Gratitude America Ltd
Sven-Otto Westphalen
Defrak Integrated Services S.A. de C.V.
Josie Alonso
Besco Holdings Ltd
Dessy Arteaga
IEGT LTD

Original Appointment From: Patrick Campion Sent: Dienstag, 10. Juli 2018 10:28 To: Patrick Campion; Thomas Klemm; Susanne Sipek; Lee Flutter; Michael S Jacoby; Andrew Gallivan; Steven Mattus; Thomas Clarke; Daniel-E Kaiser; Sheffali Welch; Dana Ponzio; Claudineia Federovsky; Ana-M Guzman; Ailsa Briede; Mamie Holland; Mariacriselda Loleng; Lisa Latino; Joyce Tsoi; Felipe Godard; Donna Kerrigan; Charlie Burrows; Ashok Eastman Subject: 16 EST - Weekly Senior Team Catch-up [I] When: Montag, 5. November 2018 16:00-16:45 (UTC-05:00) Eastern Time (US & Canada).

Where: CR 2405 in NY / Dial-in Attached

Classification: For internal use only

Classification: For internal use only

Patrick Campion's Virtual Meeting Room Details

United States +1 973 631 2000 / +1 201 593 3794
Virtual Meeting Room number: 880884540438

Host Pin: 757893
Participant PIN: 499589

Internal Phone and VC Devices

Virtual Meeting Room number: 880884540438

Desktop Video or External Video

Virtual Meeting Room address:
<mailto
<mailto

External Audio Participants:

Choose country location below for dial in

Then enter number 880884540438

Major Hubs:

Australia +61 39 270 4173

EFTA01398846

| China               | +86 21 2080 2601                  |
|-|-|
| Germany             | +49 69 9104 8927                  |
| Hong Kong           | +85 22 203 7642                   |
| India               | (In progress; delayed due to      |
| regulatory reasons) |                                   |
| Singapore           | +65 6423 8443                     |
| United Kingdom      | +44 20 7541 0599                  |
| United States       | +1 973 631 2000 / +1 201 593 3794 |

<table><tr><th colspan="2">Rest of the world:</th></tr><tr><td>Austria:</td><td>+43 15 1866 1138</td></tr><tr><td>Belgium</td><td>+32 324 459 02</td></tr><tr><td>Canada</td><td>+1 416 682 8029</td></tr><tr><td>Cayman Islands</td><td>+1 345 914 5619</td></tr><tr><td>Channel Islands</td><td>+44 15 3488 9059</td></tr><tr><td>France</td><td>+33 1 44 95 59 85</td></tr><tr><td>Hungary</td><td>+36 1301 3733</td></tr><tr><td>Indonesia</td><td>+62 21 296 44012</td></tr><tr><td>Ireland</td><td>+35 31 865 3753</td></tr><tr><td>Israel</td><td>+972 3 710 2061</td></tr><tr><td>Italy</td><td>+39 02 4024 4995</td></tr><tr><td>Japan</td><td>+813 515 65112</td></tr><tr><td>Malaysia</td><td>+60 3205 36760</td></tr><tr><td>Mauritius</td><td>+230 402 0398</td></tr><tr><td>Mexico</td><td>+52 55 5201 8564</td></tr><tr><td>Netherlands</td><td>+31 20 5554 260</td></tr><tr><td>New Zealand</td><td>+64 9 351 1673</td></tr><tr><td>Philippines</td><td>+63 2 777 0597</td></tr><tr><td>Poland</td><td>+48 22 526 8726</td></tr><tr><td>Portugal</td><td>+351 2 1311 1370</td></tr><tr><td>Romania</td><td>+40 31 222 4248</td></tr><tr><td>Russian Federation</td><td>+7 495 933 9000</td></tr><tr><td>Saudi Arabia</td><td>+966 11 273 9625</td></tr><tr><td>South Africa</td><td>+27 11 775 7072</td></tr><tr><td>South Korea</td><td>+82 2 316 2013</td></tr><tr><td>Spain</td><td>+34 933 672 857</td></tr><tr><td>Sweden</td><td>+46 8 463 5578</td></tr><tr><td>Taiwan</td><td>+886 2 2192 4654</td></tr><tr><td>Thailand</td><td>+66 2 646 5164</td></tr><tr><td>United Arab Emirates</td><td>+971 4 361 1793</td></tr><tr><td>Vietnam</td><td>+84 8 6299 8804</td></tr></table>

EFTA01398847

📅 Apr 5, 2017

MD approval for ACUs completed for High Risk Clients [I]

From: Vaishali-P Mehta

To: Andrew Gallivan

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 EFTA01398856 Customer Name MD Annual Client Update:

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

EFTA01398856

Customer Name

MD

Annual Client Update: Created Date

A14.

A15. Client Status Update Description

A16.

A17.

Customer Owner

82744

00000469756

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

82747

00000469757

CJA Public Private Multi Manager Master Fund, L.P.

Andrew Gallivan

EFTA01398857

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.

No
No
Mark Gonzalez

82749

00000469433

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

82750

00000486910

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.

EFTA01398858

No changes have occurred for this entity.
No
No
Mark Gonzalez

82746

00000469760

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

82748

00000469758

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.

EFTA01398859

No
No
Mark Gonzalez

82745

00000469759

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

82909

00000486553

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

EFTA01398860

Mark Gonzalez

82881

00000421598

Cabrero, Tom

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

82882

00000500416

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

82925

00000486426

EFTA01398861

| Butterfly Trust |
|-|
| Andrew Gallivan |
| 3/16/2017 |
| change in beneficiaries |
| No material change |
| Yes |
| No |
| Stewart Oldfield |
| 82915 |
| 00000487223 |
| HBRK Associates, Inc |
| Andrew Gallivan |
| 3/16/2017 |
| No material change |
| No material change |
| Yes |
| No |
| Stewart Oldfield |
| 82916 |
| 00000487225 |
| Hyperion Air, LLC |
| Andrew Gallivan |
| 3/16/2017 |
| no material change |
| no material change |

EFTA01398862

Yes
No
Stewart Oldfield

82918

00000487244

JEGE, Inc

Andrew Gallivan

3/16/2017

no material change

no material change

Yes

No

Stewart Oldfield

82919

00000487244

JEGE, Inc

Andrew Gallivan

3/16/2017

no material change

no material change

Yes

No

Stewart Oldfield

82917

EFTA01398863

00000487216

JEGE, LLC

Andrew Gallivan

3/16/2017

No material change

No material change

Yes

No

Stewart Oldfield

82914

00000489505

Andrew Gallivan

3/16/2017

no material change

no material change

Yes

No

Stewart Oldfield

82920

00000487264

Neptune, LLC

Andrew Gallivan

3/16/2017

EFTA01398864

no material change

no material change

Yes

No

Stewart Oldfield

82922

00000487265

NES, LLC

Andrew Gallivan

3/16/2017

No material change

No material change

Yes

No

Stewart Oldfield

82923

00000487219

Plan D, LLC

Andrew Gallivan

3/16/2017

No material change

No material change

Yes

No

Stewart Oldfield

EFTA01398865

82912

00000483882

Southern Financial LLC

Andrew Gallivan

3/16/2017

No changes in activities.

No changes

Yes

No

Stewart Oldfield

82913

00000483883

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

82921

00000487199

The 2007 Jeffrey E. Epstein Insurance Trust #3

EFTA01398866

Andrew Gallivan

3/16/2017

No material change

No material change

Yes

No

Stewart Oldfield

82799

00000462886

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

82798

00000469150

Jarero, Cristina

Andrew Gallivan

3/10/2017

John Marson spoke with client re: accounts

EFTA01398867

There are no material changes
No
No
Brian Convey

82871

00000426119

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

82836

00000420827

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

EFTA01398868

82833

00000210143

Paul Volcker Tr For James P. Volcker

Andrew Gallivan

3/13/2017

Brian speaks with client quarterly to review account

There are no material changes

No

No

Brian Convey

82834

00000210142

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

82835

00000208963

Volcker, Paul

Andrew Gallivan

EFTA01398869

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

82603

00000496203

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

82601

00000496202

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.

EFTA01398870

No
No
Joanne Jensen

82600

00000496201

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

82599

00000496200

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

EFTA01398871

82483

00000493007

D & D Funding II, LLC

Andrew Gallivan

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

82431

00000489085

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

82429

00000454155

EFTA01398872

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.

The client doesn't currently have any assets with DB.

No

No

Joanne Jensen

82664

00000494254

Windels, Catherine

Andrew Gallivan

3/3/2017

No material changes.

No material changes.

No

No

Andrea Nicoletti

82654

00000493298

Bridge Equities VI, LLC

Andrew Gallivan

3/3/2017

No material changes.

EFTA01398873

No material changes. Donna Snyder has retired as of 1/13/2017.
No
No
Malcolm Kimble

82655

00000498379

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

82653
00000484974
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

EFTA01398874

82629

00000521059

DVI PE (Mauritius) Ltd

Andrew Gallivan

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

82560

00000490484

1960 East 5th Street, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82785

00000463109

469 Avenue S LLC

Andrew Gallivan

EFTA01398875

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 Yes No Rosemary Vrablic

82521
00000520681
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

82548

00000435801

Community Organizations, LLC

Andrew Gallivan

3/1/2017

no material changes

no material changes

Yes

EFTA01398876

No

Rosemary Vrablic

82774

00000435801

Community Organizations, LLC

Andrew Gallivan

3/9/2017

no material changes

no material changes

Yes

No

Rosemary Vrablic

82546

00000418627

Franco, Isaac S.

Andrew Gallivan

3/1/2017

no changes from KYC

No changes from KYC

Yes

No

Rosemary Vrablic

82549

00000435806

EFTA01398877

Franco Realty Group, LLC

Andrew Gallivan

3/1/2017

No new activities or changes

No changes

Yes

No

Rosemary Vrablic

82550

00000435806

Franco Realty Group, LLC

Andrew Gallivan

3/1/2017

No new activities or changes

No changes

Yes

No

Rosemary Vrablic

82775

00000435806

Franco Realty Group, LLC

Andrew Gallivan

3/9/2017

No new activities or changes

EFTA01398878

No changes

Yes

No

Rosemary Vrablic

82779

00000435806

Franco Realty Group, LLC

Andrew Gallivan

3/9/2017

No new activities or changes

No changes

Yes

No

Rosemary Vrablic

82559

00000497510

I Like Ike, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

EFTA01398879

82562

00000497009

I Like Ike Kingswood, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82564

00000478501

Infinity AL Holdings, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82561

00000503732

Infinity Entertainment, LLC

Andrew Gallivan

3/1/2017

EFTA01398880

No changes

No changes

Yes

No

Rosemary Vrablic

82553

00000463528

Infinity LW 12th Street, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82552

00000443214

Infinity PLR 44, LLC

Andrew Gallivan

3/1/2017

no changes from KYC

no changes from kyc

Yes

No

EFTA01398881

Rosemary Vrablic

82740

00000443214

Infinity PLR 44, LLC

Andrew Gallivan

3/8/2017

no changes from KYC

no changes from kyc

Yes

No

Rosemary Vrablic

82778

00000443214

Infinity PLR 44, LLC

Andrew Gallivan

3/9/2017

no changes from KYC

no changes from kyc

Yes

No

Rosemary Vrablic

82547

00000497509

Infinity S Kingswood LLC

EFTA01398882

Andrew Gallivan
3/1/2017
No changes
No changes
Yes
No
Rosemary Vrablic

82558

00000503731

Infinity Sports Licensing, LLC

Andrew Gallivan

3/1/2017

no changes

no changes

Yes

No

Rosemary Vrablic

82784

00000497007

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

EFTA01398883

No

Rosemary Vrablic

82565

00000472784

Isaac Franco 2001 Grantor Retained Annuity Trust

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82566

000000472785

Isaac Franco 2002 Grantor Retained Annuity Trust

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82557

000000472786

EFTA01398884

| Andrew Gallivan |
|-|
| 3/1/2017 |
| No Changes |
| No Changes |
| Yes |
| No |
| Rosemary Vrablic |
| 82776 |
| 00000435810 |
| ISF Parkway LLC |
| Andrew Gallivan |
| 3/9/2017 |
| no new changes |
| no new changes |
| Yes |
| No |
| Rosemary Vrablic |
| 82556 |
| 00000472123 |
| IUC 701 Times Square LLC |
| Andrew Gallivan |
| 3/1/2017 |
| no changes |

EFTA01398885

no changes

Yes

No

Rosemary Vrablic

82742

00000437170

Katzoff, Gerald

Andrew Gallivan

3/8/2017

no changes to kyc

no changes to kyc

Yes

No

Rosemary Vrablic

82743

00000437170

Katzoff, Gerald

Andrew Gallivan

3/8/2017

no changes to kyc

no changes to kyc

Yes

No

Rosemary Vrablic

EFTA01398886

82741

00000437167

Katzoff, Stuart

Andrew Gallivan

3/8/2017

There are no material changes.

There are no material changes.

Yes

No

Rosemary Vrablic

82334

00000463529

LW 12th Street Holding, LLC

Andrew Gallivan

2/22/2017

no changes from KYC

no changes from KYC

Yes

No

Rosemary Vrablic

82554

00000464881

MISS AMERICA PROPERTIES, LLC

Andrew Gallivan

3/1/2017

EFTA01398887

No updates since previous update

No updates since previous update

Yes

No

Rosemary Vrablic

82555

00000464881

MISS AMERICA PROPERTIES, LLC

Andrew Gallivan

3/1/2017

No updates since previous update

No updates since previous update

Yes

No

Rosemary Vrablic

82738

00000438525

Nevada Land III LLC

Andrew Gallivan

3/8/2017

no changes from kyc

no changes from kyc

Yes

No

EFTA01398888

Rosemary Vrablic

82523

00000520534

Seminole Housing LLC

Andrew Gallivan

2/28/2017

no changes since KYC

no changes since KYC

Yes

No

Rosemary Vrablic

82551

00000435811

S Franco Realty, LLC

Andrew Gallivan

3/1/2017

No changes

No changes

Yes

No

Rosemary Vrablic

82777

00000435811

S Franco Realty, LLC

EFTA01398889

| Andrew Gallivan |
|-|
| 3/9/2017 |
| No changes |
| No changes |
| Yes |
| No |
| Rosemary Vrablic |
| 82780 |
| 00000435811 |
| S Franco Realty, LLC |
| Andrew Gallivan |
| 3/9/2017 |
| No changes |
| No changes |
| Yes |
| No |
| Rosemary Vrablic |
| 82737 |
| 00000437345 |
| SK Baseball Holdings LLC |
| Andrew Gallivan |
| 3/8/2017 |
| no changes from kyc |
| no changes from kyc |
| Yes |

EFTA01398890

| No |
|-|
| Rosemary Vrablic |
| 82563 |
| 00000480796 |
| Stallion 44, LLC |
| Andrew Gallivan |
| 3/1/2017 |
| no changes from kyc |
| no changes from kyc |
| No |
| No |
| Rosemary Vrablic |
| 82739 |
| 00000488487 |
| Westbury Management Group LLC |
| Andrew Gallivan |
| 3/8/2017 |
| no changes to kyc |
| no changes to kyc |
| Yes |
| No |
| Rosemary Vrablic |
| 82530 |
| 00000490083 |

EFTA01398891

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

82535

00000490083

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

82459

00000491914

EFTA01398892

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 Lundbergf6retagen. Fredrik Lundberg is president and CEO of L E Lundbergf6retagen, 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 Norrk6ping. 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

82595

00000450954

Vakirtzis, George

EFTA01398893

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 private investments.

Discussed replacement debit card. No material changes.

Yes
No
Terrence Tangney

82729

00000440507

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

82727

00000486896

Vickee Jordan Adams 2013 GRAT

EFTA01398894

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

82757

00000460090

Function(x) Inc.

Andrew Gallivan

3/8/2017

no material changes

no changes

No

No

Terri Sohrab

82756

00000418125

Sea Change Foundation

Andrew Gallivan

3/8/2017

EFTA01398895

no material changes

no material changes

No

No

Terri Sohrab

82758

00000472894

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

EFTA01398896

Deutsche Bank Wealth Management

EFTA01398897

📅 Apr 5, 2017

RE: MD approval for ACUs completed for High Risk Clients [I]

From: Joanne Jensen

To: Vaishali-P Mehta, Andrew Gallivan

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 Joanne Jensen Managing Director I Private Banker Deutsche Bank Trust Company Americas EFTA01398855 Deutsche Bank Wealth Management USA Securities offered through Deutsche

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

Joanne Jensen
Managing Director I Private Banker

Deutsche Bank Trust Company Americas

EFTA01398855

Deutsche Bank Wealth Management

USA

Securities offered through Deutsche Bank Securities Inc.