EFTA01299737.pdf

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCY BARK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
2,760.00 EUR IBD P6XEDSUM 09.07.09 03.31.09
USDE : $3,075.74
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $7.50 OFFICE N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK DEUTDEFF DEUTSCHE BANK AG FRANKFURT AM MAIN GERMANY
SECOND
FFC
ULT BENZ DEUTSCHE BANK AG NEW YORK
ADDITIONAL INSTRUCTIONS : ATTN PWM PCG SERVICE TEAM RIVERSIDE EUROPEFUND III LP 630 FIFTH AVE NY NY 10
11
RELEASE DATE : 2015-09-24
RELEASE COMMENTS •
RULE NUMBER MESSAGE
03151 -DELIVERING ACCOUNT HAS AN ACCOUNT HOLD INDICATOR-MARGIN REQUEST
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER :
Req E Eligible : No
USER ID DATE TIRE STATUS COMMENTS
CPSAMPS 09/25/15 03.31.09 SNT The Currency wire got settled.
MGNTLUB 09/24/15 10.47.58 PPR
MGNTLUB 09/24/15 10.47.58 ULK
MONTLUB 09/24/15 10.47.58 APP LOA / PRTNTSHP / HOLD LIFTED BY MARGIN / SUP? EUR
MGNTLUB 09/24/15 10.44.36 LCK
IMMUCAUTO 09/24/15 10.38.04 ARP
P6XEZKOZ 09/24/15 10.38.03 ULK
SDNY_GM_00065836
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DB-SDNY-0028661
EFTA_00 I 76336
EFTA01299737

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
P6XEZKOZ 09/24/15 10.38.03 APP
➢6XEZKOZ 09/24/15 10.35.19 LOK
P6XEDSUM 09/24/15 09.07.09 SOHN
ACCOUNT TYPE AMOUNT CCY BANK SNIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
114G-014779 1 406,757.60 EUR IBD P6XEADNY 12.24.02 08.16.02 CMG7F000005D
USDE : $453,290.66
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $7.50 OFFICE N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK DEUTDEFF DEUTSCHE BANK AG FRANKFURT AM MAIN GERMANY
SECOND
FFC
ULT BENZ DE82500700100925815300 DEUTSCHE BANK AG
ADDITIONAL INSTRUCTIONS : GUARDIAN INVESTMENT COMPANY LTD
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03151 -DELIVERING ACCOUNT HAS AN ACCOUNT HOLD INDICATOR-COLLATERAL PLEDGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE
03421 -REQUEST MAY BE SUBJECT TO TAX WITHHOLDINGS DUE TO W8/W9. PLEASE REVIEW.
03504 -MULTIPLE REQUEST
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09921 -AML/EXCEEDS TURNOVER RATIO: REG/FOR ACCT- 42% OVER STANDARD TINEFRAME
09938 -ACCOUNT ON WATCH LIST - HIGH RISK ACCUNT PER PIN US KYC POLICY
SDNY_GM_00065837
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028662
EFTA_00176337
EFTA01299738

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
REASON : EURO JOURNAL FROM ATTACHED ACCOUNT N40013797 COMING IN TO COVER BALANCE
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CWG7F000005D
Req E Eligible : No
USER ID DATE TIME STATUS COMMENTS
MONKSHI 09/25/15 08.16.02 ENT
MONKSHI 09/25/15 08.16.02 ULK
MGNKSMI 09/25/15 08.16.02 APP SUFF EUR AVA V/D 9/25/USD DEBIT VS MMF/DBAB APPROVED /LOA RECD/CORP RES OK
MONNSMI 09/25/15 08.15.50 LCK
HGNJIAR 09/24/15 17.15.58 ULK
NONTLAR 09/24/15 17.15.58 HID PENDING ADDITIONAL ACTIVITY. PLEASE SEE PRIOR APPRVL COMMENTS
HGNJIAR 09/24/15 17.14.44 LOM
MGNPBUN 09/24/15 17.11.18 ULK
WINPBUN 09/24/15 17.11.18 APP SUFF SUR AVA V/D 9/25/USD DEBIT VS MMF/DBAB APPROVED /LOA RECD/CORP RES OK
NONEWAT 09/24/15 17.10.59 LCK
NGNPBUN 09/24/25 27.04.08 ULK
MGNPBUN 09/24/15 17.04.08 BID PENDING ADDITIONAL ACTIVITY. SUP? EUR AVA V/D 9/25/USD DEBIT VS AMF/DBAB APPROVED /LOA RECD/CORP
RES OK
HOWPWAI 09/24/15 17.02.10 LCK
MGNPBUN 09/24/15 17.01.32 ULK
NONITEIN 09/24/15 16.51.55 LCK
NONPBUN 09/24/15 16.27.42 ULK
If:JEPSON 09/24/15 16.26.23 LCK
NONMEA1 09/24/15 16.25.11 ULK
MGNPBUN 09/24/15 16.23.16 LCK
HOMIER; 09/24/15 15.54.38 ULK
MONFORT 09/24/15 15.54.38 HIJ) PENDING ADDITIONAL ACTIVITY. PENDING DBAB(SUFF EUR AVA V/D 9/25/USD DEBIT VS MICF/DBAB/LOA RECD/C
ORP RES OK
HGNPBUN 09/24/15 15.48.01 LCK
WORKAUTO 09/24/15 15.35.19 APP
P6XEMAND 09/24/15 15.35.19 ULK
P6XEMAND 09/24/15 15.35.19 APP PENDING PROCESSING OF EURO JOURNAL FROM ACCOUNT N4G013797
P6XEMAND 09/24/15 15.34.17 LCK
P6XEADWY 09/24/15 12.24.02 SUBM
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4G-014779 1 953,221,026.00 JPY IBD P6XEADNY 12.04.10 03.30.42 CWG7F0000051
USDE : $7,911,734.51
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE ME $7.50 OFFICE N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
SDNY_GM_00065838
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c OS-SDNY-0028663
EFTA_00 176338
EFTA01299739

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 4
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY =MRS INVL
BANK DEUTJPJT DEUTSCHE BANK AG TOKYO JAPAN
SECOND
FFC
ULT BENZ 85160720000JIMOOTOK DEUTSCHE BANK AG
ADDITIONAL INSTRUCTIONS : GUARDIAN INVESTMENT COMPANY LTD
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03151 -DELIVERING ACCOUNT HAS AN ACCOUNT HOLD INDICATOR-COLLATERAL PLEDGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMBIT REQUESTED IS GREATER THAN FUNDS AVAILABLE
03421 -REQUEST HAY BE SUBJECT TO TAX WITHHOLDINGS DUE TO WS/W9. PLEASE REVIEW.
03504 -MULTIPLE REQUEST
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09921 -AML/EXCEEDS TURNOVER RATIO: REG/FOR ACCT-521S OVER STANDARD TIKEPRAME
09938 -ACCOUNT ON WATCH LIST - HIGH RISK Accuin PER MIS1 US KYC POLICY
REASON : .
STANDING INSTRUCTION : N
CURRENCY WIRES REP NUMBER : IMD1CW07F0000051
Reg E Eligible : No
USER ID DATE TINE STATUS COMMENTS
CPSAMPS 09/25/15 03.30.42 SNT The Currency wire got settled.
HGNJLAR 09/24/15 17.14.39 PPR
MONJIAR 09/24/15 17.14.38 ULK
MGNJ1AR 09/24/15 17.14.38 APP PRIOR APPRVL COMMENTS VALID/AMT OK'D BY TREASURY
MONILAR 09/24/15 17.13.38 LCK
MGNMRAC 09/24/15 17.08.42 ULK
MGMISRAC 09/24/15 17.08.42 APP DBAB INTERNAL WIRE-JPY AV 9/25-KMF TO CVR USD DR-TSY OK-OK PER SHARATHSDBAB.CR
WINMRAC 09/24/15 17.06.35 LCK
MGNMRAC 09/24/15 16.15.58 ULK
MONMRAC 09/24/15 16.15.58 HUD PENDING ADDITIONAL INSTRUCTION. DBAB.CR APPVL-DBAB INTERNAL WIRE-SUFF JPY AV 9/25-MMF TO CVR USD
DR-TSY OK/TONY
M313MRAC 09/24/15 16.07.35 LCK
SDNY_GM_00065839
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRI M. P. 6(Q DB-SDNY-0028664
EFTA_00 176339
EFTA01299740

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 5
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
P6XEMAND 09/24/15 15.59.35 ULK
➢6XEMAND 09/24/15 15.59.35 APP
P6XEMAND 09/24/15 15.57.06 LCK
P6XEMAND 09/24/15 15.57.06 ULK
P6XEMAND 09/24/15 15.43.56 LCK
P6XEMAND 09/24/15 15.41.30 ULK
P6XEMAND 09/24/15 15.37.45 LCK
P6XEMAND 09/24/15 15.37.45 ULK
➢6XEMAND 09/24/15 15.36.13 LCK
P6XEMAND 09/24/15 15.34.17 ULK
P6XEMAND 09/24/15 15.34.13 LCK
P6XCADWY 09/24/15 12.04.10 SUBM
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
U40-022285 1 50,000.00 EUR IBD P6XEDSUM 14.06.55 14.38.51 CWG700000070
USDE : $56,435.00
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $7.50 OFFICE N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
HANK INGBFR21XXX ING BANK FRANCE-RETAIL BANKING PARIS FRANCE
SECOND
FTC
ULT RENE FR7630438001004000047950769 M. PAOLO GIULIO BONESCHI
ADDITIONAL INSTRUCTIONS : PAUL BLOCH INDV PROPERTY FX 1401 N.VIEW DRIVE MIAMI BEACH FL 33140
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
SDNY_GM_00065840
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028665
EFTA_00176340
EFTA01299741

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 6
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6/4E
RULE NUMBER MESSAGE
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
09999 -AIL/AGGREGATION ALERT- 1 RULES TRIGGERED IN 1 REQUESTS
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMDICW0760000070
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
MGNMUMI 09/25/15 14.38.51 PPR
MGNAKAR 09/25/15 14.38.51 ULK
MGMUUMI 09/25/15 14.38.51 APP APPRVD ➢ER L2 APPVR COMENTS/HRM COMM SHEET RECD/SUFF EUR IS AVAILABLE
MGNMUUt 09/25/15 14.37.48 LCE
NGNAPER 09/25/15 14.37.25 ULK
MGNAPER 09/25/15 14.37.25 APP FEE AVA VD 9-28/W9/MULTI/AML. APP/LOA RECD/DBAB
HONAPER 09/25/15 14.36.38 LCK
WQRKALYTO 09/25/15 14.23.00 APP
P6XEZKOZ 09/25/15 14.22.59 ULK
P6XEZEOZ 09/25/15 14.22.59 APP
P6XEZEOZ 09/25/15 14.21.53 LCE
P6XEDSUM 09/25/15 14.06.55 SOHN
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
1140-022285 1 1,720,815.38 EUR IBD P6XEDSUM 11.38.56 13.31.35 CW0700000040
USDE : $1,942,284.31
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEZ $7.50 OFFICE N/A
BANE-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK INGBFRPP ING BANK FRANCE COMMERCIAL BAN PARIS PRANCE
SECOND
FPC
SDNY_GM_00065841
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028666
EFTA_00176341
EFTA01299742

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 7
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : EXE
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
ULT BENZ FR7630438000012717203000421 ING LEASING FRANCE
ADDITIONAL INSTRUCTIONS : PAUL BLOCH INDY PROPERTY FX 1401 N.VIEW DRIVE MIAMI BEACH FL 33140
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09924 -AML/EXCEEDS TURNOVER PATIO: MIN/DOM ACCT- 77% OVER STANDARD TIHEFRAME
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CWG7G000004N
Req E Eligible : No
USER ID DATE TIME STATUS COMMENTS
MONAHAN 09/25/15 13.31.35 PPR
MONMUUI 09/25/15 13.31.35 ULK
NONAKAN 09/25/15 13.31.35 APP APPROVED PER L2 APPVR COMMENTS/SUFF EUR/MULTIPLE REQS OKAY
MGMAKAN 09/25/15 13.31.01 Inc
NGNRWAT 09/25/15 13.29.14 ULK
MONPBUN 09/25/15 13.29.14 APP SUFF EUR V/D 9/28/LOA RECD/CORP RES IMAGED./DBAS /AML APPROVED
MGHPBUN 09/25/15 13.28.42 LCK
mourstnr 09/25/15 12.41.39 ULK
NOWPWRI 09/25/15 12.41.39 HID PENDING COMPLIANCE REVIEW. PENDING ANL (SWF EUR V/D 9/28/LOA RECD/CORP RES IMAGED./OBAB
MONPBUN 09/25/15 12.31.04 LCK
WORKAUTO 09/25/15 11.59.13 APP
P6XEZKOZ 09/25/15 11.59.11 ULK
P6XEZKO2 09/25/15 11.59.11 APP
P6XEZKO2 09/25/15 11.57.02 LCK
P6XEDSUM 09/25/15 11.38.57 SEM
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4G-022285 1 1,744,815.38 EUR IBD P6XEDSUM 09.58.30 11.38.32 CWG7G000002V
USDE : $1,969,373.11
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $7.50 OFFICE N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACC? NO/IBAN NAME CITY COUNTRY INVL
SDNY_GM_00065842
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028667
EFTA 00176342
EFTA01299743

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 8
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK INGBFRPP ING BANK FRANCE COMMERCIAL BAN PARIS FRANCE
SECOND
FFC
ULT BENZ FR7630438000012717203000421 ING LEASING FRANCE
ADDITIONAL INSTRUCTIONS : PAUL BLOCK INDV PROPERTY PX 1401 N.VIEW DRIVE MIAMI BEACH FL 33140
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09924 -AML/EXCEEDS TURNOVER RATIO: MIN/DOM ACCT- 784 OVER STANDARD TIMEFRAKE
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER :
Reg E Eligible : NO
USER ID DATE TIME STATUS COMMENTS
P6XEDSUM 09/25/15 11.38.32 CANC
P6XEZKOZ 09/25/15 11.34.49 ULK
P6XEZKOZ 09/25/15 11.31.03 LCK
P6XEDSUM 09/25/15 09.58.31 SUBM
ACCOUNT TYPE AMOUNT CCY PANIC INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4G-022285 1 2,500.00 EUR IBD P6XEDSUM 13.57.15 14.35.14 CMG7G000006W
OBOE : $2,821.75
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $7.50 OFFICE N/A
SDNY_GM_00065843
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c 0B-SDNY-0028668
EFTA_00176343
EFTA01299744

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 9
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO :
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY comma INVL
BANK BNPAFRPPXXX SNP-PARIBAS SA (FORMERLY BAIMU PARIS FRANCE
SECOND
FFC
ULT BENS FR7630004007780000261369725 MLLE HELENE DOUDEAU
ADDITIONAL INSTRUCTIONS : PAUL BLOCK INDV PROPERTY PX 2401 N.VIEW DRIVE MIAMI BEACH FL 33140
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -2PJLTIPLE REQUEST
09999 -A/IL/AGGREGATION ALERT- 1 RULES TRIGGERED III 1 REQUESTS
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CW070000006W
Req E Eligible : No
USER ID DATE TIME STATUS COMMENTS
NGNTLUB 09/25/15 14.35.14 PPR
MGNTLUB 09/25/15 14.35.14 ULK
MGNTLUB 09/25/15 14.35.14 APP LOA / SUFF EUR / MULTI
HONTLUB 09/25/15 14.26.22 LCK
WORKAUTO 09/25/15 14.19.16 APP
P6XLZKOZ 09/25/15 14.19.15 ULK
POCEZKOZ 09/25/15 14.19.15 APP
P6XEIKOZ 09/25/15 14.18.50 LCK
P6XEDSUM 09/25/15 13.57.15 SOHN
ACCOUNT TYPE AMOUNT CCIt BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N40-022285 1 379,184.62 EUR IBD P6XEDSUM 13.49.09 14.37.41 CWG70000006U
USDE : $427,985.68
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $7.50 OFFICE N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NNE CITY COUNTRY INVL
SDNY_GM_00065844
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028669
EFTA_00 I 76344
EFTA01299745

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 10
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 6/4Z
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK HEBACY2N HELLENIC BANK PUBLIC COMPANY L NICOSIA (LEFKOSIA) CYPRUS
SECOND
FFC
ULT GENE CY24005001400001400172181201 MARINETRADE LIMITED
ADDITIONAL INSTRUCTIONS : PAUL BLOCH INDV PROPERTY PX 1401 N.VIEW DRIVE MIAMI BEACH FL 33140
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09999 -AWL/AGGREGATION ALERT- 1 RULES TRIGGERED IN 1 REQUESTS
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CMG70000006U
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
MGNAKAN 09/25/15 14.37.41 PPR
MONAJUdi 09/25/15 14.37.41 ULK
MGNAKAN 09/25/15 14.37.41 APP APPROVED PER L2 APPVR COMKENTS/SUFF EUR IS AVAILABLE
MCMAHAN 09/25/15 14.36.55 LCK
MONAPER 09/25/15 14.36.32 ULK
MONAPER 09/25/15 14.36.32 APP FDS AVA VD 9-28/W9/MULTI/AML APP/LOA RECD/DBAB
MONAPER 09/25/15 14.34.11 LCK
WORKAUTO 09/25/15 14.18.38 APP
P6XEZKOZ 09/25/15 14.18.38 ULK
P6XEZKOZ 09/25/15 14.18.38 AFT
P6XEZKOZ 09/25/15 14.17.12 LOX
P6XEDSUM 09/25/25 13.49.09 SUBS
SDNY_GM_00065845
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028670
EFTA_00 176345
EFTA01299746

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 11
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4G-022285 1 23,614.40 EUR IBD P6XEDSUM 09.39.27 12.22.19 CWG70000002Q
USDE : $26,879.31
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO NAIVE FEE REASON
WIRE FEE $7.50 OFFICE N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
HANK PASCITM1IMI HANCA MONTE DEI PASCHI DI SIEN IMPERIA ITALY
SECOND
FFC
ULT BENZ ITSID0103010500000000157806 MARITTIMA SERVICE GROUP SRL
ADDITIONAL INSTRUCTIONS : REF PAUL BLOCH ADDRESS PAUL BLOCH INDV PROPERTY FX 1401 N. VIEW DRIVEMIAMI BEACH FL 33140
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CMG7G0000020
Req E Eligible : No
USER ID DATE TIME STATUS COMMENTS
MGNTLUB 09/25/15 12.22.19 PPR
MONTLOB 09/25/25 12.22.18 ULK
MGNTLUB 09/25/15 12.22.18 APP LOA / SURF EUR
MONTLUB 09/25/15 12.21.29 LCK
WORKAUTO 09/25/15 11.59.52 APP
P6XEEKOE 09/25/15 11.59.51 ULK
P6XEEKOE 09/25/15 11.59.51 APP
P6XEEKOE 09/25/15 11.59.16 LCK
SDNY_GM_00065846
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028671
EFTA_00 176346
EFTA01299747

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 12
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : EXE
USER ID DATE TIME STATUS COMMENTS
P6XEDSUM 09/25/15 09.39.27 SUBN
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N40-022285 1 2,500.00 EUR IBD P6XEDSUM 09.36.54 10.09.08 CWG7G0000020
USDE : $2,821.75
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
PEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $7.50 OFFICE N/A
HAM-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK BNPAPRPP1OCi SNP-PARIBAS SA (FORMERLY BAYOU PARIS FRANCE
SECOND
FFC
ULT GENE FR7630004007780000261369725 MLLE HELENE DOUDEAU
ADDITIONAL INSTRUCTIONS : REF PAUL BLOCS ADDRESS 1401 N. VIEWDRIVE MIAMI BEACH FL 33140
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER :
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
P6XEDSUM 09/25/15 10.09.08 CANC
P6XEDSUM 09/25/15 09.36.54 SUBN
SDNY_GM_00065847
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028672
EFTA_00 176347
EFTA01299748

RUN DATE : 09/26/2015 - 00.1 11 ASSET mOVEHENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 13
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCT RANK INIT. DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N40-024950 1 30,000.00 SUR IBD P6XEADWY 08.39.57 09.03.45 CWG7G000002F
1.18DE : 533,861.00
TRADE DATE: 09/25/2015
VALUE DATE: 09/25/2015
PEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE PEE $7.50 OFFICE N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/iBAti NAME CITY COUNTRY INTL
BANK =PERMIT* BANQUE POPULAIRI RIVES Di PART PARIS PRANCE
SECOND
l'FC
ULT BENZ FR7610207000852121190726369 ASS DES ANIS DE VALERIE LANG
ADDITIONAL INSTRUCTIONS : DOMICILIATION BRIT./ES SEVRES DUR000008S
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE /RARER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON : .
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IND1CWO700000021:
Reg E Eligible : No
USER ID DATE TINE STATUS COMMENTS
IRAPBEL 09/25/15 09.03.45 ENT
IRAPBEL 09/25/15 09.03.45 ULK
IRAPBEL 09/25/15 09.03.4E APP PPWK RECD/DB CALLED CLIENT TO VERIFY, SUFF EUR, W9
IRAPBEL 09/25/15 09.00.35 LCK
WORKALWO 09/25/15 08.48.38 APP
P6XZEKOE 09/25/15 00.47.48 ULK
P6XEZKOZ 09/25/15 08.47.48 APP
P6XEEKOE 09/23/15 08.46.37 LCK
POSSADIFY 09/25/15 08.39.57 BURN
SDNY_GM_00065848
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6( DB-SDNY-0028673
EFTA_00 176348
EFTA01299749

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT Ca BANG( INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4H-037373 1 235,000.00 ADD IBD P6XEAHEW 17.01.26 09.49.59 CMG7F0000081
USDE : $164,876.00
TRADE DATE: 09/24/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK NACQAU2S AU184446 MACQUARIE BANK LIMITED SYDNEY AUSTRALIA
SECOND
FFC
ULT BENZ 301910311 LORIMER AND MAPLE REAL ESTATE PTY LTD SALES TRUST A/C
ADDITIONAL INSTRUCTIONS :
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03026 -MONEY FUND CUTOFF TIME HAS PASSED. INTEREST CHARGES MAY APPLY
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03421 -REQUEST MAY BE SUBJECT TO TAX WITHHOLDINGS DUE TO W8/W9. PLEASE REVIEW.
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09922 -ANT./EXCEEDS TURNOVER RATIO: NEW/DOM ACCT- 97% OVER STANDARD TIMEFRAIIE
09999 -ANT./AGGREGATION ALERT- 4 RULES TRIGGERED IN 1 REQUESTS
REASON : LOA
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IND1CWG7F0000081
Reg E Eligible : NO
USER ID DATE TINE STATUS COMMENTS
FSraRnU 09/25/15 09.49.59 PPR
FSCARDU 09/25/15 09.49.58 ULK
FSCARDU 09/25/15 09.49.58 APP PDS AVA VD 9-28/NO WS W9/NO SALES/LOA RECD/AUTH SIGNER LIST IN HAND/DBAS; OK
Fer40nU 09/25/15 09.47.09 LCK
SDNY_GM_00065849
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028674
EFTA_00 176349
EFTA01299750

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
MASER 09/25/15 09.46.52 ULK
WiNAPER 09/25/15 09.46.52 APP FDS AVA VD 9-28/NO W8 N9/110 SALES/LOA RZCD/AUTHRIZED SIGNER LIST IN HAND/DRAB
MGNAPER 09/25/15 09.45.01 LCK
MGNAPER 09/25/25 09.41.24 ULK
MGNAPER 09/25/15 09.38.37 LCK
HGNAPER 09/25/15 09.16.28 ULK
HONAPER 09/25/15 09.16.28 HID PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE
WORKING WITH IBD
HGNAPER 09/25/15 09.16.07 LCK
HGNAPER 09/25/15 08.05.48 ULK
MGNAPER 09/25/15 08.05.48 NW PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN BODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE
WORKING WITH IBD
MGNAPER 09/25/15 08.05.30 LCK
WiNAPER 09/25/15 07.03.23 ULK
MGNAPER 09/25/15 07.03.23 HID PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE
WORKING WITH IBD
MGNAPER 09/25/15 07.01.51 LCK
NONJLAR 09/24/15 17.52.52 ULK
IIGNJLAR 09/24/15 17.52.52 HID PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE
WORKING WITH IBD
NGNJIAR 09/24/15 17.37.19 LCK
MGNAPER 09/24/15 17.17.52 ULK
MGNAPER 09/24/15 17.17.52 KW PENDING ADDITIONAL ACTIVITY. PAST CUT OFF
NGNAPER 09/24/15 17.17.26 LOX
VKAKADTO 09/24/15 17.11.08 APP
➢6XEKMCM 09/24/15 17.11.08 ULK
P6XEKMCM 09/24/15 17.11.08 APP
P6XEKMCM 09/24/25 17.11.04 LCK
!UNMAN 09/24/15 17.09.30 PAPP
MONATUdi 09/24/15 17.09.29 ULK
MGRAKAN 09/24/15 17.09.23 LCK
PCCEAHEN 09/24/15 17.01.26 POVR
SONY_GM_000658.50
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028675
EFTA_00176350
EFTA01299751

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : EXE
ACCOUNT TYPE AMOUNT Ca BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
QJU-001220 1 182,296.23 EUR IBD P6XETDOM 10.11.35 10.11.35 CMG7G0000022
USDE : $205,757.75
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $10.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK DEUTDEFF DEUTSCHE BANK AG FRANKFURT AM MAIN GERMANY
SECOND
FFC
ULT BENZ DE43500700100925799900 DEUTSCHE BANK AG LONDON
ADDITIONAL INSTRUCTIONS : BLVD MANUEL AVILA CAMACHO 76 202 LOMAS DE CHAPULTEPEC MEXICO CITY DF 11000 MEXICO
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09921 -AK./EXCEEDS TURNOVER RATIO: REG/FOR ACCT-100% OVER STANDARD TIKEFRAME
09938 -ACCOUNT ON WATCH LIST - ➢IC ACCOUNT
09941 -AID.-ACCT IS A FOREIGN POLITICAL OFFICIAL QJU001220
REASON : SCANNING LOA
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER :
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
P6XETDOM 09/25/15 10.11.35 SUBM
SDNY_GM_00065851
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028676
EFTA_00 7635 I
EFTA01299752

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT Ca BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XF-902392 1 17,000.00 CHF IBD P6XECKR2 10.53.19 03.31.09 CWG7F000003W
USDE : $17,359.32
TRADE DATE: 09/22/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK UBSWCHZHSOA VHS SWITZERLAND AO ZURICH SWITZERLAND
SECOND
FFC
ULT BENZ CH9000243243G76401690 INSTITUT LE ROSEY
ADDITIONAL INSTRUCTIONS : CARTER STONESIFER INVOICE REF 7643
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03100 -REG E ELIGIBLE WIRE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03421 -REQUEST MAY BE SUBJECT TO TAX WITHHOLDINGS DUE TO WS/W9. PLEASE REVIEW.
REASON : LOA ON FILE
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CWG7F000003W
Req E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request No
USER ID DATE TIME STATUS COMMENTS
CPSAMPS 09/25/15 03.31.09 MIT The Currency wire got settled.
MGNTLUB 09/24/15 13.00.50 PPR
N3NTLUB 09/24/15 13.00.50 ULK
HGNTLUB 09/24/15 13.00.50 APP LOA / SUFF CHF
MONTLUB 09/24/15 12.59.15 LCK
MELKWEG) 09/24/15 12.50.23 APP
P6XETWIO 09/24/15 12.50.23 ULK
SDNY_GM_000658.52
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028677
EFTA 00176352
EFTA01299753

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XL
USER ID DATE TIME STATUS COMMENTS
P6XETWIG 09/24/15 12.50.23 APP
PRXETWIG 09/24/15 12.44.12 LC!(
PRXETWIG 09/24/15 12.05.05 ULK
PRXETWIG 09/24/15 11.44.06 LCK
PRXETWIG 09/24/15 11.39.59 ULK
PRXETWIG 09/24/15 11.37.41 Inc
AMPSSY2 09/24/15 11.23.20 PAPP
P6XECKR2 09/24/15 10.53.19 AWN® Awaiting Mandatory Hold Period
P6XECKR2 09/24/15 10.53.19 SUM Disclosure provided at initiation
SDNY_GM_00065853
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(P DS-SDNY-0028678
EFTA_00 I 76353
EFTA01299754

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 624E
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XG-030284 1 3,086.25 EUR IBD P6XEGVAL 08.39.27 03.30.15 CWG7P000001L
USDE : $3,439.31
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 IP N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK BAPPITT2 BANCO POPOLARE DI VERONA VERONA ITALY
SECOND
FFC
ULT BENZ IT86C0503402000000000000671 CARLO MORETTI SPA
ADDITIONAL INSTRUCTIONS :
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03151 -DELIVERING ACCOUNT HAS AN ACCOUNT HOLD INDICATOR-ACCOUNT GUARANTY
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON : LOA UPLOADED
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CMG7F0000011
Req E Eligible : No
USER ID DATE TIME STATUS COMMENTS
CPSAXPS 09/25/15 03.30.15 SNT The Currency wire got settled.
HONTLUB 09/24/25 13.52.01 PPR
MONTLUB 09/24/15 13.52.00 ULK
MONTLUB 09/24/15 13.52.00 APP LOA / LLC / COMB ACCT EXCSS / SUFF EUR / MMF
HONTLUB 09/24/15 13.46.30 LCK
WORKAUTO 09/24/15 13.26.42 APP
P6XELOA1 09/24/15 13.26.41 ULK
P6XELGA1 09/24/15 13.26.41 APP
SIDNY_GM_00065854
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DB-SDNY-0028679
EFTA_00 176354
EFTA01299755

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
PEXELOAL 09/24/15 13.26.34 LCK
PEXEGVAL 09/24/15 08.39.28 SUM
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5EG-044806 1 271,980.00 JPY IBD P6XEMSWE 10.36.41 11.25.14 CWG70000003C
USDE : $2,279.73
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 IP N/A
BANK-INFO SWIFT ID LOCAL BRANCA CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
HANK MHCBJPJT MIZUHO BANK, LTD. TOKYO JAPAN
SECOND
FFC
ULT BENS 1426352 NISHIMURA AND ASABI
ADDITIONAL INSTRUCTIONS : REFERENCE 15015732 WISDOM=
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
09924 -AML/EXCEEDS TURNOVER RATIO: NIN/DOM ACCT-1009 OVER STANDARD TINEFRAHE
09999 -ANL/AGGREGATION ALERT- 25 RULES TRIGGERED IN 9 REQUESTS
REASON : ATTACHING LOA
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CWG7G000003C
Req E Eligible : No
SDNY_GM_00065855
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028680
EFTA_00176355
EFTA01299756

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
MONTLUB 09/25/15 11.25.14 PPR
193NTLUB 09/25/15 11.25.13 ULK
MGNTLUB 09/25/15 11.25.13 APP LOA / CORP / SUFI, JPY
H3NTLUB 09/25/25 11.23.48 LCK
*unarm° 09/25/15 11.08.12 APP
P6XELGAL 09/25/15 11.08.11 ULK
P6XELGAL 09/25/15 11.08.11 APP
P6XELGAL 09/25/15 11.08.09 LCK
PEXEMSWE 09/25/15 10.36.41 SUBM
SIDNY_GM_00065856
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DB-SDNY-0028681
EFTA_00176356
EFTA01299757

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : EXE
ACCOUNT TYPE AMOUNT Ca BAHR INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XM-061399 1 100,000.00 GBP IBD PEXEKROS 11.16.06 13.06.37 CMG7G0000040
USDE : $152,720.00
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK BARCOB22 BARCLAYS BANK PLC LONDON UNITED KINODO
SECOND
FFC
ULT BENZ GH17BARC20510160730440 RATHHONE INVESTMENT MANAGEMENT LTD
ADDITIONAL INSTRUCTIONS : REF nor JD AND MRS D J RIBBONS ACNO 118294 RATHBONE STERLING ACCT 60730440
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03100 -REG E ELIGIBLE WIRE
03151 -DELIVERING ACCOUNT HAS AN ACCOUNT HOLD INDICATOR-COMBINED MARGIN ACCT
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09951 -AML-VELOCITY JOURNAL TRANSACTION THRESHOLD EXCEEDED FOR All ESTABLISHE
09952 -ANL-VELOCITY FED FUND TRANSACTION THRESHOLD EXCEEDED FOR AN ESTABLISH
09953 -Ala-VELOCITY TOTAL DEPOSITS THRESHOLD EXCEEDED FOR AN ESTABLISHED ACC
09954 -ANL-VELOCITY TOTAL DISBURSEMENTS THRESHOLD EXCEEDED FOR AN ESTABLISHE
REASON : UPLOADING LOA AND HRM
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IND1CMG700000040
Req E Eligible : Yes
Was a foreign exchange transaction coepleted in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
PKINAKAN 09/25/15 13.06.37 PPR
SONY_GM_000658.57
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028682
EFTA_00176357
EFTA01299758

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
NOWAK/tit 09/25/15 13.06.36 ULK
NOMMUUI 09/25/15 13.06.36 APP APPROVED PER L2 APPVR COMMENTS/COMBINED ACCT 6XE995180 RAS SUFF EXCESS
NONAIOUt 09/25/15 13.05.29 LCK
MGNPBUN 09/25/15 12.56.39 ULK
MGNPBUN 09/25/15 12.56.39 APP SUET GBP V/D 9/28/WIRE FEE L USD DEBIT VS WMF/LOA RECD/DBAB/COMBINED XCS
HONORAT 09/25/15 12.52.45 LCK
WORKAUTO 09/25/15 12.24.55 APP
P6XEATUB 09/25/15 12.24.55 ULK
P6XEATUB 09/25/15 12.24.55 APP RATHBOItE INVESTMENT MANAGEMENT IS THE HIG3ONS INVESTMENT ACCOUNT IN THE UK.
P6XEATUB 09/25/15 12.18.40 LCK
AMPSSY2 09/25/15 11.46.08 PAPP
P6XEKROS 09/25/15 11.16.07 AMISH Awaiting Mandatory Hold Period
P6XEKROS 09/25/15 11.16.07 SUBN Disclosure provided at initiation
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5)04-065523 1 450,000.00 EUR IBD P6XEYKOZ 11.51.34 12.21.36 CW6760000042
USDE : $507,915.00
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
PEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK UBSECHZHBOA UBS SWITZERLAND AG ZURICH SWITZERLAND
SECOND
FFC
ULT BENZ C8570024024021912060H CARUGATI AUTOMOBILES SA
ADDITIONAL INSTRUCTIONS : REF FRANK SELLDORFF NO 125 B 15 PAGANI ZONDA
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
SONY_GM_000658.58
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028683
EFTA_00176358
EFTA01299759

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 6XL
RULE NUMBER MESSAGE
03100 -REG E ELIGIBLE WIRE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09921 -AML/EXCEEDS TURNOVER RATIO: REG/DOM ACCT-102% OVER STANDARD TIMEFRAME
09951 -AML-VELOCITY JOURNAL TRANSACTION THRESHOLD EXCEEDED FOR AN ESTABLISHE
09952 -AML-VELOCITY FED FUND TRANSACTION THRESHOLD EXCEEDED FOR AN ESTABLISH
09954 -AML-VELOCITY TOTAL DISBURSEMENTS THRESHOLD EXCEEDED FOR AN ESTABLISHE
09956 -AML-VELOCITY TOTAL TRANSACTIONS THRESHOLD EXCEEDED FOR AN ESTABLISHED
09999 -AML/AGGREGATION ALERT- 15 RULES TRIGGERED IN 1 REQUESTS
REASON : LOA UPLOADED
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER :
Reg E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
AMPSSY2 09/25/15 12.21.36 PAPP
P6XEYKOZ 09/25/15 11.51.35 ARMS Awaiting Mandatory Hold Period
P6XEYKO2 09/25/15 11.51.35 SUBM Disclosure provided at initiation
SDNY_GM_000658.59
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028684
EFTA_00 176359
EFTA01299760

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT Ca BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XN-060648 1 5,101.05 EUR IBD P6XERUNT 11.39.19 03.31.03 CWG7P000004L
USDE : 65,684.61
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
HANK CCFRFRPP HSBC FRANCE (FORMERLY HSBC CCP PARIS FRANCE
SECOND
FFC
ULT ERNE FR7630056000700070248290074 RENNER - GMC
ADDITIONAL INSTRUCTIONS : TRANSACTION NUMBER A467167493F
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03100 -REG E ELIGIBLE WIRE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE
REASON : OK
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CWO7F0000041,
Reg E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
CPSAMPS 09/25/15 03.31.03 SET The Currency wire got settled.
NONMENT 09/24/15 14.47.02 PPR
HOMPSIMI 09/24/15 14.47.02 ULK
MGNPBUN 09/24/15 14.47.02 APP SURF EUR V/D 9/25 PER PRIOR APPROVER 0010.00TS
MGNPBUN 09/24/15 14.46.25 LCK
MGNTLUB 09/24/15 14.27.33 ULK
MONTLUB 09/24/15 14.27.33 APP LOA / SUFF SUR / MMF TO CVR USD DEBIT
SDNY_GM_00065860
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028685
EFTA_00 I 76360
EFTA01299761

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
MGNTLUB 09/24/15 14.22.08 LCX
WORKAUTO 09/24/15 13.50.42 APP
P6XELOSS 09/24/15 13.50.42 ULK
P6XELOSS 09/24/15 13.50.42 APP REO Z COMPLETE
P6XELOSS 09/24/15 13.50.30 LCK
AMPSSY2 09/24/15 12.09.21 PAPP
P6XEHUNT 09/24/15 11.39.19 MOW Awaiting Mandatory Hold Period
P6XEHUNT 09/24/15 11.39.19 SUBM Disclosure provided at initiation
ACCOUNT TYPE AMOUNT CCY BARK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XN-934784 1 112,902.70 EUR IBD P6XECROM 15.21.21 08.16.11 CMG7F000007B
USDE : $125,818.76
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK DEUTIMPL DEUTSCHE BANK AG PORTUGAL BRAN LISBON ➢ORTUGAL
SECOND
FFC
ULT BENZ PT50004300010400106674373 SOCIEADE COMERCIAL DE LEILOES 0 PR
ADDITIONAL INSTRUCTIONS : LEILAO 171 LOTE 145 PAC-PIMA FTC 1509 35
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03026 -MONEY FUND CUTOFF TIME HAS PASSED. INTEREST CHARGES HAY APPLY
03100 -REG E ELIGIBLE WIRE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE
SDNY_GM_00065861
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028686
EFTA_00176361
EFTA01299762

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : EXE
RULE NUMBER MESSAGE
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
REASON : IT IS CURRENCY NOT MONEY FUND
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMDICMG7F000007B
Req E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
MONICSMI 09/25/15 08.16.11 SNT
WGICKSMI 09/25/15 08.16.11 ULX
MCMXSMI 09/25/15 08.16.11 APP FDS AVA VD 9-25/W9/LOA RECD/DBAB/FDS TO COVER FEE
WONXSMI 09/25/15 08.16.02 LCX
MGNAPER 09/25/15 07.01.49 ULK
HGNAPER 09/25/25 07.01.49 APP FDS AVA VD 9-25/W9/LOA RECD/DRAB/FDS TO COVER FIE
MGNAPER 09/25/15 07.01.03 LCX
MGNAPER 09/24/15 17.01.28 ULK
MOMPER 09/24/15 17.01.28 HID PENDING ADDITIONAL ACTIVITY. PAST CUT OFF / FDS AVA VD 9-25/W9/LOA RECD/DRAB
HGNAPER 09/24/15 16.59.23 LCX
*MUM= 09/24/15 16.37.32 APP
P6XELOSS 09/24/15 16.37.32 ULK
P6XELOSS 09/24/15 16.37.32 APP REG E COMPLETE
P6XELOSS 09/24/15 16.37.21 LCX
AMPSSY2 09/24/15 15.51.22 PAPP
➢6XECROM 09/24/15 15.21.21 AMR Awaiting Mandatory Hold Period
P6XECROM 09/24/15 15.21.21 SOHN Disclosure provided at initiation
SDNY_GM_00065862
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c OS-SDNY-0028687
EFTA 00176362
EFTA01299763

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 6:4Z
ACCOUNT TYPE AMOUNT Ca BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XR-179634 1 8,546.35 ADD IBD PCMINUR 10.03.28 03.30.54 CMG7F0000027
OBOE : $5,996.11
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK CTBAAU2S AU062000 COMMONWEALTH BANK OF AUSTRALIA SYDNEY AUSTRALIA
SECOND
FFC
ULT BENS 14156758 PERPETUAL CORPORATE TRUST LIMITED ACT CRAMP VENTURES INVESTMENTS 7 LP
ADDITIONAL INSTRUCTIONS : REF M2 ASSOCIATES LLC 1 PEACH HILLRD DARIEN CT 06820 2821
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
09921 -ANL/EXCEEDS TURNOVER RATIO: REG/DOM ACCT- 72% OVER STANDARD TINEFRAME
REASON : LOA ON FILE
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IIND1CMG7F0000027
Req E Eligible : No
USER ID DATE TINE STATUS COMMENTS
CPSAMPS 09/25/15 03.30.54 SET The Currency wire got settled.
MONTLUB 09/24/15 15.01.58 PPR
NONTLUB 09/24/15 15.01.57 ULK
MMITLUB 09/24/15 15.01.57 APP LOA / LLC / MULTI / TYP JUL / SURF AUD
NONTLUB 09/24/15 15.01.05 LCX
WORXMITO 09/24/15 14.46.51 APP
P6XEBKOS 09/24/15 14.46.51 ULK
SDNY_GM_00065863
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028688
EFTA_00176363
EFTA01299764

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : EXE
USER ID DATE TIME STATUS COMMENTS
P6XEBKOS 09/24/15 14.46.51 APP
➢6XEBKOS 09/24/15 14.46.44 LC(
PEXEKMUR 09/24/15 10.03.28 SUER
ACCOUNT TYPE AMOUNT CCY BANK SNIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XR-179634 1 32,800.35 AUD IBD P6XEMMUR 09.58.55 03.30.58 CMG7F0000024
USDE : $23,012.72
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK CTBAAU2S AU062000 COMMONWEALTH BANK OF AUSTRALIA SYDNEY AUSTRALIA
SECOND
FFC
ULT ERNE 14156571 PERPETUAL CORPORATE TRUST LTD ATF CHAMP VENTURES INVESTMENTS TRUST 7A
ADDITIONAL INSTRUCTIONS : REF M2 ASSOCIATES LLC 1 PEACH HILIRD DARIEN CT 06820 2821
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
09921 -AML/EXCEEDS TURNOVER RATIO: REG/DOM ACCT- 73% OVER STANDARD TIFIEFRAICE
REASON : LOA ON FILE
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CWG7F0000024
Req E Eligible : No
SIDNY_GM_00065864
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028689
EFTA_00 176364
EFTA01299765

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
CPSAMPS 09/25/15 03.30.58 SNT The Currency wire got settled.
MONTLUB 09/24/15 15.00.59 ➢PR
MONTLUB 09/24/15 15.00.59 ULK
wrintus 09/24/15 15.00.59 APP LOA / LLC / MULTI / TYP JUL / SUIT AUD
MONTLUB 09/24/15 14.58.31 LCK
WORKAUTO 09/24/15 14.46.40 APP
P6XESKOS 09/24/15 14.46.40 ULK
P6XEBKOS 09/24/15 14.46.40 APP
➢6XEBKOS 09/24/15 14.46.29 LCK
P6XEIGIUR 09/24/15 09.58.55 SUBN
SDNY_GM_00065865
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DB-SDNY-0028690
EFTA_00176365
EFTA01299766

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT Ca BAHR INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
SXW-025385 1 60.00 HP IBD P6XEVALB 10.23.18 03.31.16 CWG7P000002H
USDE : $61.26
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK BLKICHZ2 BASELLANDSCHAFTLICHE KUITONALB LIESTAL SWITZERLAND
SECOND
FFC
ULT BENZ CH6800769016206621064 POLIZEI BASEL LONDSCHAFT
ADDITIONAL INSTRUCTIONS : GRNR55589061303 10830 PLEASANT HILL DR. POTOMAC MD 20854
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03100 -REG E ELIGIBLE WIRE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON : PER THE CLIENT'S REQUEST
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : LC1CWG7F000002H
Reg E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
CPSAMPS 09/25/15 03.31.16 SNT The Currency wire got settled.
MONTLUB 09/24/15 13.02.21 PPR
MONTLUB 09/24/15 13.02.20 ULK
MONTLUB 09/24/15 13.02.20 APP LOA / CHF
MGNTLUB 09/24/15 13.01.16 LCR
WANUGLUTO 09/24/15 12.59.53 APP
PRXELKRU 09/24/15 12.59.53 ULK
P6XELKRU 09/24/15 12.59.53 APP
SONY_GM_00065866
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DB-SDNY-0028691
EFTA_00 176366
EFTA01299767

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
PEXELERU 09/24/15 12.59.49 LCX
AMPSSY2 09/24/15 10.53.18 PAPP
P6XEVALB 09/24/15 10.23.18 AMOR Awaiting Mandatory Hold Period
P6XEVALB 09/24/25 10.23.18 SUBM Disclosure provided at initiation
SDNY_GM_00065867
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028692
EFTA_00176367
EFTA01299768

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : AXE
ACCOUNT TYPE AMOUNT Ca RA111( INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
SZX-009003 1 1,000.00 GBP IBD P6XEJCLI 10.11.14 11.26.19 CWG70000002X
USDE : $1,527.20
TRADE DATE: 09/21/2015
VALUE DATE: 09/28/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK BARCOB22 BARCLAYS BANK PLC LONDON UNITED KINGDO
SECOND
FFC
ULT GENE GB88BARC20944830804568 E. S. ROGERS 6 V. A. ROGERS
ADDITIONAL INSTRUCTIONS : BANK ADDRESS WESTMINSTER BRANCH 2 VICTORIA ST LONDON SW1H OND ENGLANDSORT CODE 20 9448 ACCOUNT NUMBER 30
04568
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE MASER MESSAGE
02790 -THIRD PARTY REQUESTS REQUIRE PERSHING REVIEW.
03301 -ALL CURRENCY WIRES TO APPROVAL.
03421 -REQUEST MAY BE SUBJECT TO TAX WITHHOLDINGS DUE TO W8/W9. PLEASE REVIEW.
REASON : ACKNOWLEDGED
STANDING INSTRUCTION : Y
CURRENCY WIRES REF NUMBER : IMD1CW070000002X
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
IONTLUB 09/25/15 11.26.19 PPR
MGNTLUB 09/25/15 11.26.19 ULK
HONTLUB 09/25/15 11.26.19 APP STI / SUFF GBP
HONTLUB 09/25/15 11.25.46 LCK
P6XEMIL2 09/25/15 10.39.37 ULK
P6XEMIL2 09/25/15 10.39.37 APP
P6XEMIL2 09/25/15 10.39.19 LCK
SIDNY_GM_00065868
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028693
EFTA_00176368
EFTA01299769

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
P6XEJCLI 09/25/15 10.11.14 SEM
SDNY_GM_00065869
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028694
EFTA_00176369
EFTA01299770