EFTA01297290

NAME SEARCHED: 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 Q No Hit • Not Required I. RDC Results No RDC alert (Please sec attached) • llit PCR E l No Hit • Not Requires II. PCR Result No PCR alert (Please sec attached) • Hit BIS HI. Negative Media There was no information found El Yes No IV. Non-Negative Media There was no information found • Not Required V. Other Language Media There was no information found D&B VI. Ilta Not required Results? • Yes 0 No (83 Not Required Smanlinx Rogilts? 0 Yes 0 No VU. Smanlinx Result Found (Please See Attached) • Not Required Court Cases El Review bil.egal May be Required N4 No Results 0 Search not required VIII. Court Cases There was no information found Prepared by: Ankita Shah Da e:0712012017 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-Huhhell search (if applicable) on each search subject. We have attached the web link below for your convenience:alartindale-Ilubbellhttp://www.martindale.com/sp/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 CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL SONY_GM_00060303 DB-SDNY-0023127 EFTA_00 7084 I EFTA01297290 OFAC RESULTS RDC: 11605341 Found KYC 1804531 tch PCR: C201707383171611 20/07/2017 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: Date: 7/20/2017 Report processed by: DEUTSCHE BANK AGII Date of Countr y : UNITED STATES Birth: 3/14/1984 13018221 NCA customised Auto-Closed No-Flit 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Full Name Address County Phone 301 E 66TH ST APT 3M NEW YORK None Listed For internal use only SDNY_GM_00060304 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023128 EFTA_OOI 70842 EFTA01297291 Page 2 Full Name Address County Phone NEW YORK, NY 10065-6205 NEW YORK COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB 890-37-XXXX I SSN potentially randomly issued by the SSA Subject Summary Nam 1 Gender SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: 1: 890-37-XXXX N/A SSN is potentially randomized Others Using SSN - 0 records found Address Summary - 4 records found No. Address 1: 301 E 66TH ST APT 3M NEW YORK, NY 10065-6205 NEW YORK COUNTY 2: 6 W 14TH ST STE 2 NEW YORK, NY 10011-7506 NEW YORK COUNTY 3: 6 W 14TH ST STE 3 NEW YORK. NY 10011-7506 NEW YORK COUNTY 4: 6100 RED HOOK OTRS STE B-3 ST THOMAS, VI 00802-1348 ST. THOMAS COUNTY LexID(sm) 189029524089 Address Details 1: 301 E 66TH ST APT 3M NEW YORK, NY 10065-8205 Address Dates Phone 301 E 66TH ST APT 3M 12/2012 - M017 NEW YORK, NY 10065-6205 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 36 Median Income: $156.291 Median Home Value: $753,989 Median Education: 16 years Household Members None Listed Other Associates None Listed 2: 6 W 14TH ST STE 2 NEW YORK, NY 10011-7506 Address For internal use only Dates Phone SDNY_GM_00060305 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023129 EFTA_00 170843 EFTA01297292 Page 3 6 W 14TH ST STE 2 NEW YORK, NY 10011-7506 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 37 Median Income: $130,793 Median Home Value: $1,000,000 Median Education: 17 years Household Members None Listed Other Associates None Listed 3: 6 W 14TH ST STE 3 NEW YORK, NY 10011-7506 Address 6 W 14TH ST STE 3 NEW YORK, NY 10011-7506 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age 37 Median Income: $130,793 Median Home Value: $1,000,000 Median Education: 17 years Household Members None Listed Other Associates None Listed 3/2012 - 7/2012 Dates Phone (212) 966-4200 4: 6100 RED HOOK QTRS STE B-3 ST THOMAS, VI 00802-1348 Address Dates Phone 6100 RED HOOK QTRS STE B-3 ST THOMAS, VI 00802-1348 ST. THOMAS COUNTY Household Members None Listed Other Associates None Listed Voter Registrations - 0 records found Driver Licenses - 0 records found Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations - 0 records found Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 0 records found For internal use only SDNY_GM_00060306 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023130 EFTA_00 I 708,14. EFTA01297293 Page 4 Business Associates -1 records found 1: EDUCATION ADVANCE Name: Address: 408 CHESTER ST MENLO PARK, CA 94025-2524 Status: ACTIVE State: CA Corporation Number: C3947595 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/5/2017 Filing Date: 9/21/2016 Person Associates - 0 records found Neighbors - 7 records found 301 E 66TH ST APT 3M NEW YORK, NY 10065-6205 Name Address ROSS. JAMIE 301 E 66TH ST APT 3D NEW YORK, NY 10065-6206 HOFFMAN. YVETTE 301 E 66TH ST APT 3E KAY, IRA E NEW YORK, NY 10065-6206 REILLY, MEGAN 301 E 66TH ST APT 3F NEW YORK, NY 10065-6206 SCHNEIDER, ALEXANDRA SCHNEIDER. JACQUELINE H TILLMAN. ROSS J ASCHER, ELIZABETH C GUINLE, MARIA YOUDIM, JESSICA 301 E 66TH ST APT 3G NEW YORK, NY 10065-6206 301 E 66TH ST APT 3H NEW YORK, NY 10065-6206 GARFIELD, BRIAN P 301 E 66TH ST APT 3.1 SEHERR THOSS. MARIAN K NEW YORK, NY 10065-6206 Phone BOOKMAN. ADAM 301 E 66TH ST APT 3K (646) 964-4833 TEMAN, W NEW YORK, NY 10065-6206 TOPPER, JESSICA S Employment Locator - 2 records found 1: 2: Company Name: EDUCATION ADVANCE Name: SSN: 890-37-XXXX Confidence: Medium Company Name: EDUCATION ADVANCE Name: Title: PRESIDENT SSN: 890-37-XXXX Confidence: Medium For internal use only SDNY_GM_00060307 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023131 EFTA_00 I 70845 EFTA01297294 Page 5 Criminal Filings - 0 records found Cellular & Alternate Phones - 0 records found Sources - 17 records found All Sources 17 Source Document(s) Corporate Affiliations 1 Source Document(s) Historical Person Locator 2 Source Document(s) Person Locator 1 1 Source Document(s) Phone 12 Source Document(s) Utility Locator 1 Source Document(s) Key AHigh Risk Indicator. These symbols may prompt you to investigate further. I Moderate Risk Indicator. These symbols may prompt you to investigate further. General Information Indicator. These symbols inform you that additional information is provided. The most recent telephone listing as reported by the EDA source. Important: The Public Records and commercially 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 definitively accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your OPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2017 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. D&B: Not required LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00060308 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023132 EFTA_00170846 EFTA01297295