EFTA01296274

NAME SEARCHED: Zorro Management, LLC PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC 0 No Hit • Not Required I. RDC Results No RDC alert (Please sec attached) ■ Ilit PCR ... No lift • Not Reignited II. PCR Results No PCR alert (Please sec attached) M Hit 13I5 El Yes 0 No III. Negative Media There was no information found IV. Non-Negative Media There was no information found E Not Required v. Other Language Media There was no information found D&B Results? vi. D There was no information found 0 `As No • Not Required &limn= Results? El Yes 0 No El Not Required VII. Smartlinx Result found(please see attached) Court Cases El be Review by Legal May Requited g No Results Search not required VIII. Court Cases There was no information found M Prepared by: Reena Chandwani Date:06/15/2017 Research Analyst Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Manindalc-Hubbellhttp://www.martindak.comhip/Martindale/home.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only SONY_GM_00058492 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0021316 EFTA_00169052 EFTA01296274 OFAC RESULTS RDC: Not Alerted PCR: kyc a Zorro Management, LLC Zorro Management, LLC Closed No-Hit 15/06/2017 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: 1 OF 2 RECORD(S) Country:UNITED STATES NCA customised Auto- Comprehensive Business Report Report Created:6.15.2017 4:47 PM EST I FOR INFORMATIONAL PURPOSES ONLY I Copynght 2017 LexisNexis, All rights reserved. Search Terms - company(Zorro Management, LLC) radius(15) Executives • Current (2) Incorporation/SOS (1 ) Operations/Sites (2) Sales (0) Licenses (0) URLs (0) Real Property • Current (0) Real Properly • Prior (0) MVRs • Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0) Aircraft Current (0) Aircraft • Prior (0) Bankruptcy Filings (0) Judgments .4 Liens Filings (0) UCC Filings (0) Executives • Prior (0) Registered Agents (1) Name Variations (1) Possible Employees (1) Person Associates (0) Business Associates (0) TINs (0) For internal use only SDNY_GM_00058493 CONFIDENTIAL - PURSUANT TO FED. R.QQA1(f IDENTIAL DB-SDNY-0021317 EFTA_00 169053 EFTA01296275 Page 2 Possible Connected Business (0) View All Sources (2) Business Summary Name Address Phone ZORRO MANAGEMENT. LLC 616 Texas St Fort Worth, TX 76102-4612 Tarrant County LexID Established TIN 2014 (3 Years in Business) Parent Company (0) Industry Information (0) At a Glance Real Property 0 UCC Debtor 0 Personal Property 0 Bankruptcy 0 Secured Assets 0 Judgments/Liens 0 Executives 2 Foreclosure/Notice of Default 0 Name Variations -1 name variations found NO. NAME ZORRO MANAGEMENT, LLC TINs - 0 TINs found Business Profile Executives. Current - 2 executive(s) found NO. NAME TITLE 1. Hudson, Betty C Associated with Other Companies - MEMBER (10/02/2015) - MANAGER (06/24/2014 - 10/12/2014) 2. Hudson, William A II it Associated with Other Companies aDeceased - MEMBER (10/022015) - MANAGER (06/24/2014 - 10/12/2014) Incorporation/SOS (1 active, 0 other) NO. NAME FILING TYPE STATUS FILING DATE FILING NO. STATE 1. ZORRO MANAGEMENT, LLC ACTIVE 06/25/2014 0802015250 TX Additional Details Business Status: ACTIVE Filing Type: CREATION For Profit: Unknown Origin: State of TX Filing History (most recent two years) Filing Date Description 05/10/2017 PUBLIC INFORMATION REPORT (PIR) 12/31/2016 PUBLIC INFORMATION REPORT (PIR) 12/31/2015 PUBLIC INFORMATION REPORT (PIR) 10/01/2015 PUBLIC INFORMATION REPORT (PIR) For internal use only SDNY_GM_00058494 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0021318 EFTA_00 I 69054 EFTA01296276 Page 3 OperatingLocations - Showing 2 location(s) NO. ADDRESS METRO AREA PHONE 1. 616 Texas St Fort Worth, TX 76102-4612 Tarrant County Fort Worth-Arlington, TX 2. 18 Valley Ridge Rd Fort Worth, TX 76107-3111 Tarrant County Fort Worth-Arlington, TX Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information - no information found Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) UCC Filings (0 debtor, 0 creditor) Real Property (0 current, 0 prior) Personal Property (0 current, 0 prior) Associates Executives: Prior - 0 prior executive(s) found Registered Agents -1 registered agent(s) found NO. NAME ADDRESS STATE DATE(S) 1. Hudson. William A II 616 Texas St Fort Worth, TX 76102.4612 Texas 06/24/2014 - 05/11/2017 Possible Employees - 0 current, 1 prior employees found NO. NAME ADDRESS STATUS DATE(S) 1. Nobles. Donna MANAGER 616 Texas St Fort Worth. TX 76102.4612 Prior 06/24/2014 - 10/122014 Person Associates - 0 other person associates found Possible Connected Business - 0 businesses found Business Associates - 0 business associates found Sources All Sources 2 Source Documents For internal use only SDNY_GM_00058495 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021319 EFTA_00 169055 EFTA01296277 Page 4 Corporate Filings Other Directories 1 Source Documents 1 Source Documents Key: AHigh Risk Indicator. These symbols may prompt you to investigate further. 1►/ Moderate Risk Indicator. These symbols may prompt you to investigate further. General Information Indicator. These symbols inform you that additional information is provided. e° The most recent telephone listing as reported by Electronic Directory Assistance. Wireless Phone Indicator. These symbols indicate a cell phone number. 8 Residential Phone Indicator. These symbols indicate a residential phone number. (6) Business Phone Indicator. These symbols indicate a business phone number. 6 Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline service. FAX Indicator. These symbols indicate a FAX number. S©+ Government Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and cornrow/ally available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and Is generally not free from defect. This system should not be relied upon as defininvely accurale. Before relying on any data this system supplies. d should be independently verified. For Secretary of Slate documents, the loboviing data is for information purposes only and is not an official record. Codified copies may be obtained from that individual stale's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright O 2017 LexisNexis. a division of Reed Elsevier Inc. All Rights Reserved. 2 OF 2 RECORD(S) Comprehensive Business Report Report Created:6-15-2017 4:47 PM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2017 LexisNexis, All rights reserved. Search Terms - company(Zorro Management, LLC) radius(15) Executives - Current (0) Incorporation/SOS (1) Operations/Sites (1) Sales (0) Licenses (0) LIRLs (0) Real Property - Current (0) Real Property - Prior (0) MVRs - Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0) Aircraft - Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments & Liens Filings (0) UCC Filings (0) ExeciAives - Prior (0) Registered Agents (0) Name Variations (t) Possible Employees (0) Person Associates (0) Business Associates (0) TINs (0) Possible Connected Parent Company (0) Industry Information (1) Business (0) View All Sources (1) Business Summar Name Address Phone ZORRO MANAGEMENT LLC 1679 S Dupont Hwy Ste 100 Dover, DE 19901-5164 LexID Established TIN 2016 (1 Years in Business) At a Glance Real Property 0 UCC Debtor For internal use only 0 SDNY_GM_00058496 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021320 EFTA_00169056 EFTA01296278 Page 5 Personal Property 0 Bankruptcy 0 Secured Assets 0 Judgments/Liens 0 Executives 0 Foreclosure/Notice of Default 0 Name Variations -1 name variations found NO. 1. NAME ZORRO MANAGEMENT LLC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Inco ration/SOS 1 active, 0 other NO. NAME ZORRO MANAGEMENT LLC FILING TYPE LIMITED LIABILITY CORPORATION STATUS ACTIVE FILING DATE 11/25/2015 FILING NO. 5888766 STATE Additional Details Business Type. LIMITED LIABILITY CORPORATION Business Status: ACTIVE Filing Type: SOS Filing For Profit: Unknown Origin: Other Business Filing OperatingLocations - Showing 1 location(s) NO. ADDRESS METRO AREA PHONE 1. 1679 S Dupont Hwy Ste 100 Dover, DE 19901.5164 Kent County KENT COUNTY Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information SIC NAIC 0762 I Farm Management Services I No NAIC information available Industry Description: Business Description: Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) UCC Filings (0 debtor, 0 creditor) Real Property (0 current, 0 prior) For internal use only SDNY_GM_00058497 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021321 EFTA_00I 69057 EFTA01296279 Page 6 Personal Property (0 current, 0 prior) Associates Executives: Prior - 0 prior executive(s) found Registered Agents - 0 registered agent(s) found Possible Employees - 0 current, 0 prior employees found Person Associates - 0 other person associates found Possible Connected Business - 0 businesses found Business Associates - 0 business associates found Sources All Sources Other Directories 1 Source Documents 1 Source Documents Key: AHigh Risk Indicator. These symbols may prompt you to investigate further. / Moderate Risk Indicator. These symbols may prompt you to investigate further. General Information Indicator. These symbols inform you that additional information is provided. t# The most recent telephone listing as reported by Electronic Directory Assistance. ® Wireless Phone Indicator. These symbols indicate a cell phone number. • Residential Phone Indicator. These symbols indicate a residential phone number. O Business Phone Indicator. These symbols indicate a business phone number. O Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline service. 0 FAX Indicator. These symbols indicate a FAX number. • Government Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and commie/Sy available data sources used on reports have errors. Data is sometimes emoted poorly, processed incorrectly and is generally not free from defect This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents, the follovAng data is for information purposes only and is not an official record. Certified copies may be obtained from that individual stale's Depadment of Slate. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright O 2017 LeesMaxis, a division of Reed Elsevier Inc. NI Rights Reserved. D& B: There was no information found LEGAL RESULTS: For internal use only SDNY_GM_00058498 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021322 EFTA_00 169058 EFTA01296280 Page 2 Court Cases: There was no information found For internal use only SDNY_GM_00058499 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021323 EFTA_OOI 69059 EFTA01296281