EFTA Document EFTA01296005

NAME SEARCHED: Zo r ro Management, L LC 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 0:4 No lin K Not Riquireil I. RDC Results No RDC alert (Please sec attached) E I lit PCR C.i No Hit • Not Reqwred 0 Hit II. PCR Results No PCR alert (Please sec attached) BIS 0 Yes igi No M. Negative Media There was no information found IV. Non-Negative Media There was no information found • Not Required V. Other Language Media Not Required D&B v .i. Da There was no information found Results? 0 Yes CI No M Not Required Smartlinx Results? gl Yes 0 No • Not Required VII Sinanliitx Result Found (Please sec attached) VIII. Court Cases Court Cases 0 Remy. In Legal Ma, be Required e No Results M Search not required There was no information found Prepared by: Prachi Pawa Da c: 12/15/2016 Research Analyst Instructions: I. Review and confirm that all results are 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:Martindale-Ilubbellhttp://www.martindak.conthip/Martindale/home.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. S. 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 SDNY_Glit 744 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0020273 EFTA_00 I 68017 EFTA01296005 OFAC RESULTS RDC: 11595526 Not Alerted GCIS 00000550331 PCR: Zorro Management, LLC Country:UNITED STATES C20161235799838 Zorro Management, LLC 12223090 NCA customised Auto-Closed No-Hit 15/12/2016 MS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: 1 OF 1 RECORD(S) Comprehensive Business Report Report Created:12-15-2016 6:28 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2016 LexisNexis. All rights reserved. Search Terms - company(Zorro Management, LLC) radius(15) Executives - Current (2) Incorporation(SOS (1) Licenses (0) Operations/Sites (2) Sales (0) URLs (0) Real Property - Current (0) Real Property - Prior (0) For internal use only SDNY_GM_00057450 CONFIDENTIAL — PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0020274 EF1'A_00168018 EFTA01296006 Page 2 MVRs - Current (0) Aircraft - Current (0) UCC Filings (0) Possible Employees (1) Possible Connected Business (0) View All Sources (2) Business Summa Name Address Phone ZORRO MANAGEMENT. LLC 616 Texas St Fort Worth, TX 76102.4612 Tarrant County LexID Established TIN 0446-0856-1391 2014 (2 Years in Business) MVRs - Prior (0) Aircraft - Prior (0) Executives - Prior (0) Person Associates (0) Parent Company (0) Watercraft - Current (0) Bankruptcy Filings (0) Registered Agents (1) Business Associates (0) Industry Information (0) Watercraft - Prior (0) Judgments 8 Liens Filings (0) Name Variations (1) TINs (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. 1. 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 (10/022015) - MANAGER (06/24/2014 - 10/12/2014) 2. Hudson. William A II 45 Associated with Other Companies A Deceased - MEMBER (10/02/2015) - 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 LIMITED LIABILITY CORPORATION ACTIVE 06/25)2014 0802015250 TX Additional Details Business Type: LIMITED LIABILITY CORPORATION Business Status: ACTIVE Filing Type: CREATION Expiration: PERPETUAL For Profit: Unknown Foreign/Domestic: Domestic Origin: State of TX Filing History (most recent two years) Filing Date I Description For internal use only SDNY_GM_00057451 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020275 EFTA_00168019 EFTA01296007 Page 3 O eratin Locations - Showing 2 locations 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 agents) found NO. NAME ADDRESS STATE DATE(S) 1. Hudson. William A II 616 Texas St Fort Worth, TX 76102-4612 Texas 06/26/2014 - 10/0212015 Possib e 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 For internal use only CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL SDNY_GM_00057452 DB-SDNY-0020276 EFTA_00168020 EFTA01296008 Page 4 Business Associates - 0 business associates found Sources All Sources 2 Source Documents Corporate Fihrips 1 Source Documents Other Directories 1 Source Documents D& B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00057453 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020277 EFTA_00 I 68021 EFTA01296009