EFTA Document EFTA01356272

Classification: For internal use only Dear Andrew, As you know, our procedures require MDs to approve all ACUs completed for High Risk clients each month. Please review the below ACUs completed and approve them. Annual GCIS Client Customer Customer Owner Update: Number ID MD Customer Name Annual Client Update: Created Date A14. ASS. Client Status Update Description A16. A17. Douglas Robertson Andrew Gallivan Atlantix Investment LLC 10/12/2016 I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not yet ready. No changes yet. No No Douglas Robertson Andrew Gallivan Millstein Atlantix LLC 10/12/2016 I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not yet ready. No changes yet. No No Mark Gonzalez Andrew Gallivan 435 E 76 3D LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No Mark Gonzalez Andrew Gallivan 555 W 23 N4R LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. The property has been sold and the entity will be winding down. Yes No Mark Gonzalez Andrew Gallivan 635 W 42 7E LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No Mark Gonzalez Andrew Gallivan 67 Liberty PHB LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No Stewart Oldfield Andrew Gallivan Butterfly Trust 9/29/2016 change in trustees No material change Yes No Stewart Andrew Gratitude 9/29/2016 no material no material Yes No CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042059 SDNY_GM_00188243 EFTA01356272