EFTA01299771.pdf

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCY PANIC INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4G-002162 1 2,760.00 EUR IBD P6XEDSUM 09.07.09 03.31.09 CMG7F0000010
USDE : $3,075.74
TRADE DATE: 09/24/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO NAIVE 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 958409510 DEUTSCHE BANK AG NEW YORK
ADDITIONAL INSTRUCTIONS : ISAR DE67500700100958409510 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 : IND1CWO7F0000010
Req E Eligible : No
USER ID DATE TIME STATUS COMMENTS
CPSAMPS 09/25/15 03.31.09 SNT The Currency wire got settled.
MGNTLUB 09/24/15 10.47.58 PPR
HGNTLUB 09/24/15 10.47.58 ULK
M3NTLUB 09/24/15 10.47.58 APP LOA / PRTNTSHP / HOLD LIFTED BY MARGIN / SUFI, BUR
MONTLUB 09/24/15 10.44.36 LCK
WORKAUTO 09/24/15 10.38.04 APP
P6XE2K02 09/24/15 10.38.03 ULK
SONY_GM_00065870
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028695
EFTA_00 176370
EFTA01299771

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XZ
USER ID DATE TIME STATUS COMMENTS
P6XEZKOZ 09/24/15 10.38.03 APP
➢6XEZKOZ 09/24/15 10.35.19 LCK
P6XEDSUM 09/24/15 09.07.09 SIM
ACCOUNT TYPE AMOUNT CCY BANK SNIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4G-014779 1 406,757.60 EUR IBD P6XEADWY 12.24.02 08.16.02 CMG7F0000050
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
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK DEUTDEFF DEUTSCHE BANK AO 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 TIKEFRAME
09938 -ACCOUNT ON WATCH LIST - HIGH RISK ACCUNT PER PIN US ETC POLICY
SDNY_GM_00065871
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028696
EFTA_00 76371
EFTA01299772

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: MBSOSOCA-02 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 : IID1CWG7F000005D
Reg E Eligible : No
USER ID DATE TIME STATUS COANENTS
MONKSHI 09/25/15 08.16.02 SNT
MONKSMI 09/25/15 08.16.02 ULK
HGNKSMI 09/25/15 08.16.02 APP SUP? EUR AVA V/D 9/25/USD DEBIT VS NNF/DBAB APPROVED /LOA RECD/CORP RES OK
MOINKSMI 09/25/15 08.15.50 LCK
IIGHTIAR 09/24/15 17.15.58 ULK
NONTLAR 09/24/15 17.15.58 BID PENDING ADDITIONAL ACTIVITY. PLEASE SSE PRIOR APPRVL optimums
HGNJIAR 09/24/15 17.14.44 LOS
MGNPBUN 09/24/15 17.11.18 ULK
102NPBUN 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
MGNPBUN 09/24/15 17.10.59 LCK
HOMPWRI 09/24/15 17.04.08 ULK
MGNPBUN 09/24/15 17.04.08 HID PENDING ADDITIONAL ACTIVITY. SUFF EUR AVA V/D 9/25/USD DEBIT VS 101E/DRAB APPROVED /LOA RECD/CORP
RES OK
MONPRIMI 09/24/15 17.02.10 LCK
MGNPBUN 09/24/15 17.01.32 ULK
NCORIMIN 09/24/15 16.51.55 LCK
MGNPBUN 09/24/15 16.27.42 ULK
MGNPBUN 09/24/15 16.26.23 LCK
NGNMEA1 09/24/15 16.25.11 ULK
MGNPBUN 09/24/15 16.23.16 LCK
MGNPBUN 09/24/15 15.54.38 ULK
MGNPBUN 09/24/15 15.54.38 HID PENDING ADDITIONAL ACTIVITY. PENDING DBAB(SUFF EUR AVA V/D 9/25/USD DEBIT VS NNF/DBAB/LOA RECD/C
ORP RES OK
MGNPBUN 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 P6XEADRY 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 FEE $7.50 OFFICE N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
SDNY_GM_00065872
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028697
EFTA 00176372
EFTA01299773

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 4
REPORT ID: MBSOSOCA-02 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 DEUTJPJT DEUTSCHE BANK AG TOKYO JAPAN
SECOND
FFC
ULT GENE 85160720000JP2000TOK 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 WS/W9. PLEASE REVIEW.
03504 -MULTIPLE REQUEST
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09921 -AML/EXCEEDS TURNOVER RATIO: REG/FOR ACCT-521% OVER STANDARD TIMEIGU/1210
09938 -ACCOUNT ON WATCH LIST - HIGH RISK Accurr PER PW51 US KYC POLICY
REASON : .
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CWO7F0000051
Reg E Eligible : No
USER ID DATE TINE STATUS CONSENTS
CPSAMPS 09/25/15 03.30.42 SNT The Currency wire got settled.
MGNJLAR 09/24/15 17.14.39 PPR
MONJLAR 09/24/15 17.14.38 ULK
MGNJIAll 09/24/15 17.14.38 APP PRIOR APPRVL COMMENTS VALID/AMT OK'D BY TREASURY
MONTLAR 09/24/15 17.13.38 LCK
IKRAIRAC 09/24/15 17.08.42 ULK
MGNMRAC 09/24/15 17.08.42 APP DBAB INTERNAL WIRE-JPY AV 9/25-KMF TO CVR USD DR-TSY OK-OK PER SHARATH5DBAB.CR
)40NNRAC 09/24/25 17.06.35 LCK
MOTIMRAC 09/24/15 16.15.58 ULK
MGNMRAC 09/24/15 16.15.58 HID PENDING ADDITIONAL INSTRUCTION. DBAB.CR APPVL-DBAB INTERNAL WIRE-BUFF JPY AV 9/25-MDR TO CVR USD
DR-TSY OK/TONY
MGNMRAC 09/24/15 16.07.35 LCK
SDNY_GM_00065873
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028698
EFTA_00176373
EFTA01299774

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 5
REPORT ID: MBSO5OCA-02 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 09/24/25 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
P6XEADWY 09/24/15 12.04.10 SUBM
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
H40-022285 1 50,000.00 EUR IBD PAXEDSUM 14.06.55 14.38.51 CW0700000070
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
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK INGBFR21XXX INC BANK FRANCE-RETAIL BANKING PARIS FRANCE
SECOND
FFC
ULT ERNE 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
SONY_GM_00065874
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028699
EFTA_00 176374
EFTA01299775

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 6
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 624E
RULE NUMBER MESSAGE
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
09999 -ANL/AGGREGATION ALERT- 1 RULES TRIGGERED IN 1 REQUESTS
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMDICW07,00000070
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
MGNMUUI 09/25/15 14.38.51 PPR
MONAKAN 09/25/15 14.38.51 ULK
MONJUGUI 09/25/15 14.38.51 APP APPRVD PER L2 APPVR COWIENTS/HRM COMM SHEET RECD/SUFF EUR IS AVAILABLE
MGNMUUt 09/25/15 14.37.48 LCK
NONAPER 09/25/15 14.37.25 ULK
MGNAPER 09/25/15 14.37.25 APP FOS AVA VD 9-28/W9/MULTI/AML APP/LOA RECD/DBAB
MONAPER 09/25/15 14.36.38 LCK
WORKAUTO 09/25/15 14.23.00 APP
P6XEZKOZ 09/25/15 14.22.59 ULK
P6XE2KOZ 09/25/15 14.22.59 APP
P6XE2K02 09/25/15 14.21.53 LC%
P6XEDSUM 09/25/15 14.06.55 SUBM
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 CW13700000040
USDE : $1,942,284.31
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 NAME CITY COUNTRY INVL
BANK INGBFRPP ING BANK PRANCE COMMERCIAL BAN PARIS FRANCE
SECOND
FFC
SDNY_GM_00065875
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028700
EFTA_00176375
EFTA01299776

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 7
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6/M
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
ULT BENZ FR7630438000012717203000421 IMO LEASING FRANCE
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
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09924 -ND./EXCEEDS TURNOVER RATIO: MIN/DOM ACCT- 77% OVER STANDARD TIKEFRAMEC
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CMG7G000004N
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
MOKAMAN 09/25/15 13.31.35 PPR
NONMUUI 09/25/15 13.31.35 ULK
MCNAMAR 09/25/15 13.31.35 APP APPROVED PER L2 APPVR COMMENTS/SUFF EUR/MULTIPLE REQS OKAY
MONAKAN 09/25/15 13.31.01 LOX
MGNRWAT 09/25/15 13.29.14 ULK
MONPINAI 09/25/25 13.29.14 APP SUFF EUR V/D 9/28/LOA RECD/CORP RES IMAGED./DBAB /ANL APPROVED
MORPH/IV 09/25/15 13.28.42 LCK
M0INFTRAT 09/25/15 12.41.39 ULK
NOWPWAI 09/25/15 12.41.39 HID PENDING COMPLIANCE REVIEW. PENDING AML (SUFF EUR V/D 9/28/LOA RECD/CORP RES IMAGED./DBAB
MONPBUN 09/25/15 12.31.04 LCK
WORKAUTO 09/25/15 11.59.13 APP
P6XE2KOZ 09/25/15 11.59.11 ULK
P6XEZKO2 09/25/15 11.59.11 APP
P6XE21(02 09/25/15 11.57.02 LCK
P6XEDSUM 09/25/15 11.38.57 SOHN
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 FILE $7.50 OFFICE N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACC? NO/IRAN RANI CITY COUNTRY INVL
SIDNY_GM_00065876
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028701
EFTA_00176376
EFTA01299777

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 8
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : EXE
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 BENS FR7630438000012717203000421 ING LEASING FRANCE
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
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -t4ULTIPLE 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 RANK 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
USDE : $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_00065877
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028702
EFTA_00 176377
EFTA01299778

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 9
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK BNPAFRPPXXX BHP-PARIBAS SA (FORMERLY MUMU PARIS FRANCE
SECOND
FFC
ULT BENZ FR7630004007780000261369725 MLLE HELENE DOUDEAU
ADDITIONAL INSTRUCTIONS : PAUL BLOCK 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
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
09999 -AML/AGGREGATION ALERT- 1 RULES TRIGGERED III 1 REQUESTS
REASON : LOA UPLOADED.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CW070000006W
Req B Eligible : No
USER ID DATE TIME STATUS COMMENTS
NGNTLUB 09/25/15 14.35.14 PPR
MGNTLUB 09/25/15 14.35.14 ULK
MGINTLUB 09/25/15 14.35.14 APP LOA / SUFF EUR / MULTI
M3NTLUB 09/25/15 14.26.22 LCK
WORKAUTO 09/25/15 14.19.16 APP
P6XEZKOZ 09/25/15 14.19.15 ULK
P6XEZKOZ 09/25/15 14.19.15 APP
P6XEZKOZ 09/25/15 14.18.50 LCK
P6XEDSUM 09/25/15 13.57.15 SUM
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
1140-022285 1 379,184.62 BUR ZED 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
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NNE CITY COUNTRY INVL
SONY_GM_00065878
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028703
EFTA_00 I 76378
EFTA01299779

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 10
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6/4Z
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK HEBACY2N HELLENIC BANK PUBLIC COMPANY L NICOSIA (LEFKOSIA) CYPRUS
SECOND
FFC
ULT BENE 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 -tfULTIPLE 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 : IMD1CM070000006U
Reg E Eligible : NO
USER ID DATE TIME STATUS COMMENTS
MONAHAN 09/25/15 14.37.41 PPR
MGMUCAN 09/25/15 14.37.41 ULK
MONAKAN 09/25/15 14.37.41 APP APPROVED PER 12 ADM COMMENTS/SUFI' EUR IS AVAILABLE
MONAHAN 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
MOM PER 09/25/15 14.34.11 LCK
MORKAUTO 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 09/25/15 13.49.09 SUBM
SDNY_GM_00065879
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028704
EFTA_00 176379
EFTA01299780

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 11
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 6XE
ACCOUNT TYPE AMOUNT Ca BAND( INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4G-022285 1 23,814.40 EUR IBD P6XEDSUM 09.39.27 12.22.19 CMG7G000002Q
OBOE : $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
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK PASCITM1IMI BANCA MONTE DEI ➢ASCHI 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 : LOI1CNG7G000002Q
Req E Eligible : No
USER ID DATE TIME STATUS COMMENTS
MGETLUB 09/25/15 12.22.19 PPR
HGNTLUB 09/25/15 12.22.18 ULK
MGNTLUB 09/25/15 12.22.18 APP IAA / SURF EUR
MONTLUB 09/25/15 12.21.29 LOC
WORKAUTO 09/25/15 11.59.52 APP
P6XEZKOZ 09/25/15 11.59.51 ULK
P6XZEKOZ 09/25/15 11.59.51 APP
P6XZEKOE 09/25/15 11.59.16 LCK
SDNY_GM_00065880
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028705
EFTA_00 176380
EFTA01299781

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 12
REPORT ID: MBSOSOCA-02 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
N4G-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
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT SO/IBAN NAME CITY COUNTRY INVL
SANK BNPAIRPPrAX SNP-PARIBAS SA (FORMERLY BANQU PARIS FRANCE
SECOND
FFC
ULT BENS FR7630004007780000261369725 MLLE HELENE DOUDEAU
ADDITIONAL INSTRUCTIONS : REF PAUL BIRCH 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 CAIIC
P6XEDSUM 09/25/15 09.36.54 SUBN
SDNY_GM_00065881
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028706
EFTA_00176381
EFTA01299782

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 13
REPORT ID: MBSO5OCA-02 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
N4G-024950 1 30,000.00 EUR IBD P6XEADNY 08.39.57 09.03.45 CMG7G000002F
USDE : $33,861.00
TRADE DATE: 09/25/2015
VALUE DATE: 09/25/2015
FEE DESCRIPTION AMOUNT CHARGE TO NAIVE FEE REASON
WIRE FEE $7.50 OFFICE N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK CCSPETIPPMTO BANQUE POPULAIRE RIVES DE PARI PARIS FRANCE
SECOND
FFC
ULT BENZ FR7610207000852121190726369 ASS DES AMIS DE VALERIE LANG
ADDITIONAL INSTRUCTIONS : DOMICILIATION BPRIVES SEVRES DUR0000085
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON :
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CW070000002E
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
IRAPBEL 09/25/15 09.03.45 SNT
IRAPBEL 09/25/15 09.03.45 ULK
IRAPBEL 09/25/25 09.03.45 APP PEW RECD/DB CALLED CLIENT TO VERIFY, SOFT SUR, W9
IRAPBEL 09/25/15 09.00.35 LCK
WORKAUTO 09/25/15 08.48.38 APP
P6XEZKOZ 09/25/15 08.47.48 ULK
P6XEZKOZ 09/25/15 08.47.48 APP
P6XEZKOZ 09/25/15 08.46.37 LCK
P6XEADWY 09/25/15 08.39.57 SUBM
SDNY_GM_00065882
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028707
EFTA 00176382
EFTA01299783

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4H-037373 1 235,000.00 AND IBD P6XEAHEW 17.01.26 09.49.59 CMG7F0000081
OBOE : $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 MACQAU2S 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 TINE 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 -AMT./EXCEEDS TURNOVER RATIO: NEW/DOM ACCT- 97% OVER STANDARD TIMEFRAIDI
09999 -AND./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
FSrhonti 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 W8 W9/NO SALES/DOA RICO/AUTO SIGNER LIST IN HAND/DBAB: OK
Fc rumti 09/25/15 09.47.09 LCK
SDNY_GM_00065883
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028708
EFTA_00176383
EFTA01299784

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
MOMPER 09/25/15 09.46.52 ULK
MOMPER 09/25/15 09.46.52 APP FDS AVA VD 9-28/NO W8 W9/NO SALES/LOA RECD/AUTHRIZED SIGNER LIST IN HAND/DBAB
MGNAPER 09/25/15 09.45.01 LCK
HGNAPER 09/25/15 09.41.24 ULK
MGNAPER 09/25/15 09.38.37 LCK
HGNAPER 09/25/15 09.16.28 ULK
MGNAPER 09/25/15 09.16.28 HUD PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE
WORKING WITH IBD
MGNAPER 09/25/15 09.16.07 LCK
MGNAPER 09/25/15 08.05.48 ULK
MOMPER 09/25/15 08.05.48 HID PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE
WORKING WITH IBD
MGNAPER 09/25/15 08.05.30 LCK
MGNAPER 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
NGNJLAR 09/24/15 17.52.52 NW PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE
WORKING WITH IBD
HGNJIAR 09/24/15 17.37.19 LCK
MGNAPER 09/24/15 17.17.52 ULK
MOMPER 09/24/15 17.17.52 HID PENDING ADDITIONAL ACTIVITY. PAST CUT OFF
MGNAPER 09/24/15 17.17.26 LOX
WORKAUTO 09/24/15 17.11.08 APP
➢6XEXMCMI 09/24/15 17.11.08 ULK
P6XEXMCM 09/24/15 17.11.08 APP
P6XEKMCM 09/24/15 17.11.04 LCK
NGNAKAN 09/24/15 17.09.30 PAPP
MONJUUdi 09/24/15 17.09.29 ULK
193NAKAII 09/24/15 17.09.23 LCK
P6XEAHEW 09/24/15 17.01.26 POVR
SONY_GM_00065884
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028709
EFTA_00 I 76384
EFTA01299785

RUN DATE : 09/26/2015 - 00.11 .11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE:
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : EXE
ACCOUNT TYPE AMOUNT OCT BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
QJU-001220 1 182,296.23 EUR IBD PEXETDON 10.11.33 10.11.35 CM370000002Z
USD/ : 5205,757.75
TRADE DATE: 09/25/2015
VALUE DATE: 09/28/2015
PEE 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 AO FRANKFURT AM MAIN GERMANY
SECOND
FFC
ULT BENE 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 ➢ERSHING
09921 -AML/EXCEEDS TURNOVER RATIO: REG/FOR ACCT-100% OVER STANDARD TIMEFRAME
09938 -ACCOUNT ON WATCH LIST - PIC ACCOUNT
09941 -A141.-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 CONNENTS
P6XETDOM 09/25/15 10.11.35 SUER
SDNY_GM_00065885
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6( DB-SDNY-0028710
EFTA_00 176385
EFTA01299786

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
ACCOUST TYPE AMOUNT CCY 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 CWG7P000003W
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 UBS SWITZERLAND AO ZURICH SWITZERLAND
SECOND
FFC
ULT BENE 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.
MONTLUB 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
P6XETWIG 09/24/15 12.50.23 ULK
SIDNY_GM_00065886
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028711
EFTA_00176386
EFTA01299787

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
P6XETWIG 09/24/15 12.50.23 APP
➢6XETWIG 09/24/15 12.44.12 LCX
P6XETWIG 09/24/15 12.05.05 ULK
P6XETWIG 09/24/15 11.44.06 LCK
P6XETWIG 09/24/15 11.39.59 ULK
P6XETWIG 09/24/15 11.37.41 Inc
ANPSSY2 09/24/15 11.23.20 PAPP
P6XEOCR2 09/24/15 10.53.19 AWNS Awaiting Mandatory Hold Period
P6XECKR2 09/24/15 10.53.19 SUBN Disclosure provided at initiation
SDNY_GM_00065887
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028712
EFTA_00 176387
EFTA01299788

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : EXE
ACCOUNT TYPE AMOUNT Ca BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
SXG-030284 1 3,086.25 EUR IBD P6XEGVAL 08.39.27 03.30.15 CWG7P000001L
OBOE : $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
CPSAMPS 09/25/15 03.30.15 SNT The Currency vire got settled.
MONTLOS. 09/24/15 13.52.01 PPR
MGNTLUB 09/24/15 13.52.00 ULK
MODULUS 09/24/15 13.52.00 APP LOA / LLC / COMB ACCT EXCSS / SUFF EUR / MO'
HONTLUB 09/24/15 13.46.30 LCK
WORKAUTO 09/24/15 13.26.42 APP
P6XELGA1 09/24/15 13.26.41 ULK
P6XELGA1 09/24/15 13.26.41 APP
SIDNY_GM_00065888
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028713
EFTA_00 176388
EFTA01299789

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
P6XELOAL 09/24/15 13.26.34 LCK
P6XEGVAL 09/24/15 08.39.28 SUBM
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XG-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 BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
HANK MHCBJPJT MIZUHO BANK, LTD. TOKYO JAPAN
SECOND
FFC
ULT BENZ 1426352 NISHIMURA AND ASAHI
ADDITIONAL INSTRUCTIONS : REFERENCE 15015732 WISDOM=
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE MASER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
09924 -ANL/EXCEEDS TURNOVER RATIO: NIN/DOM ACCT-100% OVER STANDARD TIMEFRAME
09999 -ANL/AGGREGATION ALERT- 25 RULES TRIGGERED IN 9 REQUESTS
REASON : ATTACHING LOA
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMB1CWG7G000003C
Req E Eligible : No
SDNY_GM_00065889
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c OS-SDNY-0028714
EFTA_00176389
EFTA01299790

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: MBSO5OCA-02 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 / SUFF JPY
HONTLUB 09/25/15 11.23.48 LCX
*MOM° 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 LOC
P6XEMSWE 09/25/15 10.36.41 SUBM
SIDNY_GM_00065890
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DS-SDNY-0028715
EFTA_00 176390
EFTA01299791

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XL
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XM-061399 1 100,000.00 GBP IBD P6XEKROS 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 FEZ $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 GB17BARC20510160730440 RATHBONE INVESTMENT MANAGEMENT LTD
ADDITIONAL INSTRUCTIONS : REF FFCT JD AND MRS D J HIGGONS ACNO 118294 RATHBONE STERLING ACCT 60730440
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER MESSAGE
03100 -REG S 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 ➢ERSHING
09951 -AID.-VELOCITY JOURNAL TRANSACTION THRESHOLD EXCEEDED FOR AN ESTABLISHE
09952 -ANL-VELOCITY FED FUND TRANSACTION THRESHOLD EXCEEDED FOR AN ESTABLISH
09953 -AML-VELOCITY TOTAL DEPOSITS THRESHOLD EXCEEDED FOR AN ESTABLISHED ACC
09954 -ANL-VELOCITY TOTAL DISBURSEMENTS THRESHOLD EXCEEDED FOR AN ESTABLISHE
REASON : UPLOADING LOA AND HRH
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IND1CW0700000040
Req E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
MCMAHAN 09/25/15 13.06.37 PPR
SDNY_GM_00065891
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028716
EFTA_00 7639 I
EFTA01299792

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
MONAHAN 09/25/15 13.06.36 ULK
MONAHAN 09/25/15 13.06.36 APP APPROVED PER L2 APPVR CONMENTS/COMBINED ACCT 6XE995180 HAS SUFF EXCESS
NORMAN 09/25/15 13.05.29 LCK
MONPBUN 09/25/25 12.56.39 ULK
MGNPBUN 09/25/15 12.56.39 APP SUFF GBP V/D 9/28/WIRE FEE L USD DEBIT VS MMF/LOA RECD/DBAB/COMBINED XCS
MONOYAT 09/25/15 12.52.45 LO(
WORKAUTO 09/25/15 12.24.55 APP
P6XEATUB 09/25/15 12.24.55 ULK
P6XEATUB 09/25/15 12.24.55 APP RATEIBONE 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 gold Period
P6XEKROS 09/25/15 11.16.07 SUBM Disclosure provided at initiation
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5KM-065523 1 450,000.00 EUR IBD P6XEYKOZ 11.51.34 12.21.36 CWG70000004Z
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/IRAN NAME CITY COUNTRY INVL
BANK USSWCHZHBOA UBE SWITZERLAND AG ZURICH SWITZERLAND
SECOND
FFC
ULT GENE CH570024024021912060H CARUGATI AUTOMOBILES SA
ADDITIONAL INSTRUCTIONS : REF FRANK SELLDORFF NO 125 B 15 PAGANI ZONDA
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
SDNY_GM_00065892
ONFIDENTIA L
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028717
EFTA_00 176392
EFTA01299793

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : EXE
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 -NIL-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 ANNE Awaiting Mandatory Hold Period
P6XEYKOZ 09/25/15 11.51.35 SUER Disclosure provided at initiation
SDNY_GM_00065893
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028718
EFTA_00 176393
EFTA01299794

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 624E
ACCOUNT TYPE AMOUNT Ca PANIC INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XN-060648 1 5,101.05 EUR IBD P6NIGAMM 11.39.19 03.31.03 CWG7P000004L
USDE : 85,684.61
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
BANK CCFRFRPP BMW FRANCE (FORMERLY HSBC CCP PARIS FRANCE
SECOND
FFC
ULT BENS FR7630056000700070248290074 NEITHER - 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 : IMD1CNO7F0000041.
Reg E Eligible : Yes
Ras 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 SIR The Currency wire got settled.
NONIGNAT 09/24/15 14.47.02 PPR
HOWPWAI 09/24/15 14.47.02 ULK
MGNPBUN 09/24/15 14.47.02 APP SUFF EUR V/D 9/25 PER PRIOR APPROVER COMMITS
HGNMNIN 09/24/15 14.46.25 LCK
MGNTLUB 09/24/15 14.27.33 ULK
MGNTLUB 09/24/15 14.27.33 APP LOA / SUFF SUR / !Off TO CVR USD DEBIT
SIDNY_GM_00065894
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028719
EFTA 00176394
EFTA01299795

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
MONTLUB 09/24/15 14.22.08 LCK
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 I3 COMPLETE
P6XELOSS 09/24/15 13.50.30 LCK
AMPSSY2 09/24/15 12.09.21 PAPP
P6XEMUNT 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 Ca BANK 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 CWG7P000007B
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/IRAN NAME CITY COUNTRY INVL
BANK DEUTPTPL DEUTSCHE BANK AG PORTUGAL BRAN LISBON ➢ORTUGAL
SECOND
FFC
ULT BENZ PT50004300010400106674373 SOCIEADE COMERCIAL DE LEILOES 0 PR
ADDITIONAL INSTRUCTIONS : LEILAO 171 LOTE 145 FACTURA FTC 1509 35
RELEASE DATE : 2015-09-24
RELEASE COMMENTS
RULE NUMBER MESSAGE
03026 -MONEY FUND CUTOFF TIME HAS PASSED. INTEREST CHARGES MAY 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
SIDNY_GM_00065895
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028720
EFTA_00 176395
EFTA01299796

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 6/4Z
RULE NUMBER MESSAGE
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
REASON : IT IS CURRENCY NOT MONEY FUND
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMDICMG71,000007B
Req E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
MONKSMI 09/25/15 08.16.11 SNT
MGNXSMI 09/25/15 08.16.11 ULK
MCWKSMI 09/25/15 08.16.11 APP FDS AVA VD 9-25/W9/LOA RECD/DBAH/FDS TO COVER FEE
MONKSMI 09/25/15 08.16.02 LCK
MGNAPER 09/25/15 07.01.49 ULK
MONAPER 09/25/15 07.01.49 APP EDS AVA VD 9-25/W9/LOA RECD/DRAB/FDS TO COVER FEE
MG-RAPER 09/25/15 07.01.03 LCK
MONAPER 09/24/15 17.01.28 ULK
*MADER 09/24/15 17.01.28 NW PENDING ADDITIONAL ACTIVITY. PAST CUT OFT / PDS AVA VD 9-25/W9/LOA RECD/DEAR
MONAPER 09/24/15 16.59.23 LCK
WORKAUTO 09/24/15 16.37.32 ARP
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 LCK
AMPSSY2 09/24/15 15.51.22 PAPP
➢6XECROM 09/24/15 15.21.21 ARM Awaiting Mandatory Hold Period
P6XECROM 09/24/15 15.21.21 SUBM Disclosure provided at initiation
SIDNY_GM_00065846
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028721
EFTA_001763%
EFTA01299797

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6/4Z
ACCOUNT TYPE AMOUNT Ca BANE INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XR-179634 1 8,546.35 AUD IBD PEXEKHUR 10.03.28 03.30.54 CMG7F0000027
USDE : $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
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK CTBAAU2S AU062000 COMMONWEALTH BANE OF AUSTRALIA SYDNEY AUSTRALIA
SECOND
FFC
ULT BENZ 14156758 PERPETUAL CORPORATE TRUST LIMITED ACF CHAMP 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 : IMD1CMG7F0000027
Req E Eligible : No
USER ID DATE TINE STATUS COMMENTS
CPSAMPS 09/25/15 03.30.54 SCUT The Currency wire got settled.
MGNTLUB 09/24/15 15.01.58 PPR
MONTLUB 09/24/15 15.01.57 ULK
HONTLUB 09/24/15 15.01.57 APP LOA / LLC / MULTI / TIP JUL / SUPF ADD
NONTLUB 09/24/15 15.01.05 LCE
WHNNUOTO 09/24/15 14.46.51 APP
P6XEBKOS 09/24/15 14.46.51 ULK
SDNY_GM_00065897
ONF lD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DB-SDNY-0028722
EFTA_00 I 76397
EFTA01299798

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
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 AUTO 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
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 BENZ 14156571 PERPETUAL CORPORATE TRUST LTD ATE CHAMP VENTURES INVESTMENTS TRUST 7A
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.
09921 -AML/EXCEEDS TURNOVER RATIO: REG/DOM ACCT- 734 OVER STANDARD TIHEFRAME
REASON : LOA ON FILE
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CWG7F0000024
Req E Eligible : No
SDNY_GM_00065898
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028723
EFTA_00 176398
EFTA01299799

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: NBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 62M
USER ID DATE TIME STATUS COMMENTS
CPSAMPS 09/25/15 03.30.58 SNT The Currency wire got settled.
WINTLUB 09/24/15 15.00.59 ➢PR
MGNTLUB 09/24/15 15.00.59 ULK
MONTLUB 09/24/25 15.00.59 APP LOA / LLC / MULTI / TYP NL / SUIT AUD
MONTLUB 09/24/15 14.58.31 LCK
PERHAM° 09/24/15 14.46.40 APP
P6XEBKOS 09/24/15 14.46.40 ULK
P6XEBKOS 09/24/15 14.46.40 APP
P6XEBKOS 09/24/15 14.46.29 LCK
P6XEIGIUR 09/24/15 09.58.55 SUBN
SDNY_GM_00065899
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028724
EFTA_00 176399
EFTA01299800

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCY PANIC INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XW-025385 1 60.00 CHF IBD P6XEVALB 10.23.18 03.31.16 CMG717000002H
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/IRAN NAME CITY COUNTRY INVL
BANK BLKSCH22 SASELLANDSCHAFTLICNE KANTONALB LIESTAL SWITZERLAND
SECOND
FFC
ULT BENE CH6800769016206621064 POLIZEI BASEL DONDSCHAFT
ADDITIONAL INSTRUCTIONS : OEM55589061303 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 : IMD1CMG7F000002H
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 SAT The Currency vire got settled.
MGNTLUB 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 LCK
WORXMYTO 09/24/15 12.59.53 APP
P6XELICRU 09/24/15 12.59.53 ULK
P6XELKRU 09/24/15 12.59.53 APP
SONY_GM_00065900
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028725
EFTA_00 II 76400
EFTA01299801

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: NBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
PEXELICRU 09/24/15 12.59.49 LCX
ANPSSY2 09/24/15 10.53.18 PAPP
P6XEVALB 09/24/15 10.23.18 ANNIE Awaiting Mandatory Hold Period
P6XEVALB 09/24/15 10.23.18 SUBS Disclosure provided at initiation
SDNY_GM_00065901
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028726
EFTA_00176401
EFTA01299802

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCY PANIC INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
57X-009003 1 1,000.00 GBP IBD P6XEJCLI 10.11.14 11.26.19 CWG7G000002X
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/IBAN NAME CITY COUNTRY INVL
BANK BARCOB22 BARCLAYS BANK PLC LONDON UNITED KINGDO
SECOND
FFC
ULT BENE GB88BARC20944830804568 E. S. ROGERS L V. A. ROGERS
ADDITIONAL INSTRUCTIONS : BANK ADDRESS WESTMINSTER BRANCH 2 VICTORIA ST LONDON SN1H OND ENGLANDSORT CODE 20 9448 ACCOUNT NUMBER 30
04568
RELEASE DATE : 2015-09-25
RELEASE COMMENTS
RULE NUMBER 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
Req E Eligible : No
USER ID DATE TIME STATUS COMMENTS
ICNTLUB 09/25/15 11.26.19 PPR
MGNTLUB 09/25/15 11.26.19 ULK
MONTLUB 09/25/15 11.26.19 APP STI / SUFF GBP
NONTLUB 09/25/15 11.25.46 LCK
PRXEMIL2 09/25/15 10.39.37 ULK
PRXEMIL2 09/25/15 10.39.37 APP
PIXEMIL2 09/25/15 10.39.19 LCK
SDNY_GM_00065902
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028727
EFTA 00176402
EFTA01299803

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
P6XEJCLI 09/25/15 10.11.14 SUBN
SDNY_GM_00065903
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DB-SDNY-0028728
EFTA_00176403
EFTA01299804