EPSTEIN
page 4 / 275 . OCR, unverified
Chief Financial Officer, Chief Operating Officer, Managing Member, General Partner, President, Vice President, or Treasurer).
The number of individuals that satisfy this definition of -beneficial owner" may vary. Under section (i), depending on the
factual circumstances, up to four individuals (but as few as zero) may need to be identified. Regard€ess of the number
of individuals identified under section (i), you must provide the identifying information of one individual under section
(ii). It is possible that in some circumstances the same individual might he identified under both sections (e.g., the President
of Acme, Inc. who also holds a 30% equity interest). Thus, a completed form will contain the identifying information of at least
one individual (under section (ii)), and up to five individuals (i.e., one individual under section (ii) and four 25 percent equity
holders under section (i)).
The financial institution may also ask to see a copy of a driver's license or other identifying document for each beneficial
owner listed on this form.
WM189666 026819.051816
P.Igt t e:f
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0031322
CONFIDENTIAL
SDNY_GM_00177506
EFTA01345155
--- SOURCE: IMAGES__0015__EFTA01345156.txt ---
METADATA_SOURCE: IMAGES0015
METADATA_FILENAME: EFTA01345156.pdf
----------------------------------------
II. Certification of beneficial owner(s)
Persons opening an account on behalf of a legal entity must provide the following information:
a. Name and Title of Natural Person Opening Account
b. Name of Legal Entity, Type of Legal Entity, and Address of Legal Entity for Which the Account is Being Opened:
c. The following information for each individual, if any, who, directly or indirect€y, through any contract, arrangement,
understanding, relationship or otherwise, owns 25 percent or more of the equity interests of the legal entity listed above:
Name
Oate of Birth
legal Address
For V.S. Persons:
Social Security
Number
For Non-U.S. PereJOE
(See footnote I for alternatives
to Social Security Number)
For Non-US. Persons, in ereditcon to a Social Security Number or a Passport Number with Country of Issuanot an alien identification card number, or number
and country of issuance of any other government-issued document ewJencing nationality or residence and bearing a photograph of sink', safeguard should
be provided.
(If no individual meets this definition please write "Not Applicable')
d. The following information for one individual with significant responsibility for managing the legal entity listed above,
such as:
• An executive officer or senior manager (e.g., Chief Executive Officer, Chief Financial Officer, Chief Operating Officer,
Managing Member, General Partner, President, Vice President, Treasurer); or
• Any other individual who regularly performs similar functions.
(If appropriate, an individual listed under section (c) above may also be listed in this section (d)).
Name
Date of Birth
legal Address
For U.S. Persons: I For Non-U.S. Persons:
Social Security
(Set footnote I for imernattves
Number
to Social Security Number)
• For Non-US. Persons, in addition to a Social Security Number or a Passport Number with Country of Issuance. an alien identification card number. or number
and country of issuance of anyOther gOvernrnent-IsSued*DCument thidencIng nationality or resloence and bearing a photograph or similar safeguard should
be provided.
(name of natural person opening the account), hereby certify, to the best of
my knowledge, that the information provided above is complete and correct.
Signature
Date
Legal Entity Identifier (Optional)
e 2018 Deutsche Ban( AO. All rights received. WM189666 026819.0.5101S
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
SDNY_GM_00177507
DB-SDNY-0031323
EFTA01345156
--- SOURCE: IMAGES__0015__EFTA01345157.txt ---
METADATA_SOURCE: IMAGES0015
METADATA_FILENAME: EFTA01345157.pdf
----------------------------------------
On Aug 11, 2018, at 6:42 AM, Vijay-A Sawant
rote:
Hello Brad,
Apologies for the delay in reviewing this account, but I have finally made it! I! I 0;
Upon complete review, I have completed the attached checklist. The LLC tab reflects all
info on the account holder — Cerberus Executive LLC and the Guarantors Checklist
reflects info on all of the 68 guarantors involved in this account. There are 4 Partnership
entities, 56 LLC's & 8 Limited companies. These include the 6 entities which were not
KYC'd in the previous KYC case(01690832).
I am going to try & summarize all the pending items for this account below —
For the 6 entities that were not KYC'd previously, we require the following items for the
following entities in bold:
CBF Manager LP
CBF GP Holdings LLC
CBF Offshore GP Holdings LLC
Cerberus Redwood Levered Opportunities GP A LLC
Cerberus Redwood Levered Opportunities GP 8 LLC
Cerberus ND Credit Manager LLC
•
COI or COGS dated within past 6 months