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sd-10-EFTA01375337Dept. of JusticeOther

EFTA Document EFTA01375337

winding down. 77880 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 77879 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 77704 Stewart Oldfield Andrew Gallivan Butterfly Trust 9/29/2016 chan

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sd-10-EFTA01375337
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winding down. 77880 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 77879 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 77704 Stewart Oldfield Andrew Gallivan Butterfly Trust 9/29/2016 chan

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
winding down. 77880 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 77879 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 77704 Stewart Oldfield Andrew Gallivan Butterfly Trust 9/29/2016 change in trustees No material change Yes No 77695 Stewart Oldfield Andrew Gallivan Gratitude America 9/29/2016 no material change no material change Yes No 77697 Stewart Oldfield Andrew Gallivan HBRK Associates, Inc 9/29/2016 No material change No material change Yes No 77698 Stewart Oldfield Andrew Gallivan Hyperion Air, LLC 9/29/2016 no material change no material change Yes No 77699 Stewart Oldfield Andrew Gallivan JEGE, Inc 9/29/2016 no material change no material change Yes No 77694 Stewart Oldfield Andrew Gallivan 9/29/2016 no material change no material change Yes No 77701 Stewart Oldfield Andrew Gallivan Neptune, LLC 9/29/2016 no material change no material change Yes No 77844 Stewart Oldfield Andrew Gallivan NES, LLC 10/4/2016 No material change No material change Yes No 77703 Stewart Oldfield Andrew Gallivan Plan D, LLC 9/29/2016 No material change No material change Yes No 77702 Stewart Oldfield Andrew Gallivan The 2007 Jeffrey E. Epstein Insurance Trust #3 9/29/2016 No material change No material change Yes No 77842 Stewart Oldfield Andrew Gallivan The 2007 Jeffrey E. Epstein Insurance Trust #3 10/4/2016 No material change No material change Yes No 77689 Stewart Oldfield Andrew Gallivan Zorro Development Corp. 9/29/2016 no material change no material change Yes No 78200 Thomas-B Mayer Andrew Gallivan Elmer Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments. No Changes. Yes No 78201 Thomas-B Mayer Andrew Gallivan Josephine Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments No Changes Yes No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0070729 SDNY_GM_00216913 EFTA01375337

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Subject: FW: MD Approval for ACUs for Hi h Risk Clients [I] From: Stewart Oldfield Date: Wed, 26 Oct 2016 13:49:48 -0400 To: Cynthia Rodriguez Classification: For internal use only From: Vaishali-P Mehta Sent: Wednesday, October 26, 2016 1:48 PM To: Andrew Gallivan Cc: Douglas Robertson; Stewart Oldfield; Thomas-B Mayer; Mark Gonzalez Subject: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Dear Andrew, As you know, our procedures require MDs to a

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client. _ : 00000496288 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 00000486426 Stewart Oldfield Andrew Gallivan Butterfly Trust 9/29/2016 change in trustees No material change Yes No • 00000499760 Stewart Oldfield Andrew Gallivan Gratitude America 9/29/2016 no material change no material change Yes No r 00000

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Subject: MD approval for ACUs completed for hi h risk clients [I] From: Vaishali-P Mehta Date: Fri, 03 Mar 2017 17:34:50 -0500 To: Andrew Gallivan <andrew.gallivan@db.com> Cc: Terrence F Tan ne Terri Sohrab Michael S Jacoby Stewart Oldfield Thomas-B Mayer Trevor Spinney Joanne Jensen Mary A Coleman Brian P Convey <brian. .conve @db.com>, Classification: For internal use only Dear Andrew, Below are the ACUs which were completed for High Risk customers this month. All the below ACU

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Subject: MD Approval for ACUs for Hi h Risk Clients [I] From: Vaishali-P Mehta Date: Wed, 26 Oct 2016 : : - To: Andrew Gallivan Cc: Douglas Robertso Stewart Oldfie Thomas-B Mayer Mark Gonzalez 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. EFTA01419080 EFTA01419081 EFTA01419082 Stewart Oldfield Andrew Gallivan Butt

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Oldfield Gallivan America change change 00000487223 Stewart Oldfield Andrew Gallivan HBRK Associates, Inc 9/29/2016 No material change No material change Yes No 00000487225 Stewart Oldfield Andrew Gallivan Hyperion Air, LLC 9/29/2016 no material change no material change Yes No 00000487244 Stewart Oldfield Andrew Gallivan JEGE, Inc 9/29/2016 no material change no material change Yes No 00000489505 Stewart Oldfield Andrew Gallivan 9/29/2016 no

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