EPSTEIN
page 5 / 275 . OCR, unverified
Cerberus Redwood Levered Opportunities GP 8 LLC
Cerberus ND Credit Manager LLC
•
COI or COGS dated within past 6 months
•
Constitutional doc of the entity
•
Beneficial Ownership
•
From GBSA perspective, we also require responses to 1) Purpose of the entity,
2) Copy of Private Placement Memorandum, 3) If the entity has a website, the link, 4)
The ownership hierarchy & Organizational chart & 5) Whether you believe the entity
maybe an AIF
•
From the Volcker perspective, we require response to "Account Type". If answer
is None of the Above, then advise, Is the vehicle an operating company which does not
own or propose to acquire securities having a value of 40% or more of the value of its
total assets on an unconsolidated basis? Respond in Yes or No
In addition to the above, we would require SoS or COGS for the following entities as
their COI/COGS (dtd within 6 months) are not available —
1.
Cerberus Executive, LP
2.
Partridge Hill Overseas Management, LLC
3.
Cerberus Real Estate GP, LLC
4.
Cerberus Institutional Associates AEN, Ltd
5.
Cerberus Institutional Associates CAL II, Ltd
6.
Cerberus Institutional Associates 651, Ltd
7.
Cerberus Institutional Associates, Ltd
8.
Cerberus Institutional Associates II, Ltd
9.
Cerberus Institutional Associates III, Ltd
10.
Cerberus Associates II, Ltd
11.
Cerberus Institutional Associates SC II, Ltd
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0031325
CONFIDENTIAL
SDNY_GM_00177509
EFTA01345157
--- SOURCE: IMAGES__0015__EFTA01345158.txt ---
METADATA_SOURCE: IMAGES0015
METADATA_FILENAME: EFTA01345158.pdf
----------------------------------------
This review relates to above high risk account due for remediation 7/31/2018.
Upon reviewing docs extracted from the repositories and attachments, I have
completed attached checklist for this account. Main RP's identified are as follows —
Acct Holder - Cerberus Executive, LLC (a.k.a. formerly Cerberus Employees, LLC)
Managing Member — Stephen A. Feinberg
Senior Managing Director and Authorized Signatory — Mark A. Neporent
Senior Managing Director and Authorized Signatory — Jeffrey L. Lomasky
Senior Managing Director and Authorized Signatory — Seth P. Plattus
SOW Company - Cerberus Capital Management LP
All researches will be done on the above RP's so kindly advise if RP's are correctly
identified in this case? I am not including the 62 non managing members as they are
meant to have equal holdings in this entity and hence it will be bound to be less than
10%.
Kindly confirm if there are any material changes to this account, so case will be launched
and worked on accordingly. ID docs are missing for the Senior Managing Directors, but
their addresses can be obtained from previous approved KYCPrints — 01713689 &
01690832. However an updated ID doc for Mr Feinberg will be required in case there
are material changes to this account.
We also require Fincen form to be completed for this account, attached blank form for
convenience.
I will proceed to launch this case upon your confirmation of the above, thanks.
Kind Regards,
<image001.gif>
Vijay Sawant
KYC Case Representative
Deutsche CIB Centre Private Limited - Deutsche Bank Group
Wealth Management
91, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore on East Mumbai - 400063, India
Tel.
Mob
<Cereberus Checklist.xlsx>
<Fincen CDD
Form_Certification_Regarding_Beneficial_Owners_01 Legal_Entity_Customers_
FINAL.pdf>.
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e)
DB-SDNY-0031333
CONFIDENTIAL
SDNY_GM_00177517
EFTA01345158
--- SOURCE: IMAGES__0015__EFTA01345159.txt ---
METADATA_SOURCE: IMAGES0015
METADATA_FILENAME: EFTA01345159.pdf
----------------------------------------
Wealth Management
B I, OB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore aon East Mumbai - 400063 , India
fel.
Mobile
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-WW-0031335
CONFIDENTIAL
SONY GM_00177519
EFTA01345159
--- SOURCE: IMAGES__0015__EFTA01345160.txt ---
METADATA_SOURCE: IMAGES0015
METADATA_FILENAME: EFTA01345160.pdf
----------------------------------------
Document Produced in Native Format
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0031336
CONFIDENTIAL
SDNY_GM_00177520
EFTA01345160
--- SOURCE: IMAGES__0015__EFTA01345161.txt ---
METADATA_SOURCE: IMAGES0015
METADATA_FILENAME: EFTA01345161.pdf
----------------------------------------
KYC Case Representative
Deutsche CUB Centre Private Limited - Deutsche Bank Group
Wealth Management
91, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore on East, Mumbai - 400063, India
Tel.
Mobile 4
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0031341
CONFIDENTIAL
SONY GM_00177525
EFTA01345161
--- SOURCE: IMAGES__0015__EFTA01345162.txt ---
METADATA_SOURCE: IMAGES0015
METADATA_FILENAME: EFTA01345162.pdf
----------------------------------------
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