EFTA Document EFTA01296172

NAME SEARCHED: HBRK Associates, Inc 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: Rix' Result: ZI N,. i ht Li Noi italair....i U lid Click here for results: I. RIX. Results Reviewer Comments (as necessary): No RUC' alert (Please sec attached) PCR No Iht O Not Required O Hit II. PCR Result; No PCR alert (Please see attached) BIS O Yes El No O Not Required III. Negative Media There was no information found IV. Non-Negative Media There was no information found V. Other Language Media Not Required D&H VI. DatB Result Found (Please see attached) Rnesulift 0 Yes • No LJ Not Required Smartlinx VII. Smartlinx Result Found (Please see attached) Result/7 r.:.4 Yes O No MI Not Required Court Cases • Review by Legal May VIII. Court Cases There was no information found be Required No Results O Search not required Prcparcd by: Prachi Pawa Da c: 06/16/2017 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindalc-Hubbellhttp://www.martindalexonthp/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 S0NY_GM_00058149 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0020973 EFTA_00 168709 EFTA01296172 OFAC RESULTS RDC: 11602747 No Match Found NYC 1791049 Country:UNITED STATES KIRK Associates, Inc PCR: C20170637921892 HBRK Associates, Inc 12893127 NCA customised Auto-Closed No-Hit 16/06/2017 BIS 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 For internal use only SDNY_GM_00058150 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0020974 EF1'A_00168710 EFTA01296173 Page 2 Report Created:6-16-2017 7:36 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright SD 2017 LexisNexis, All rights reserved. Search Terms - company(HBRK Associates, Inc) radius(30) last-name(Simoes Birmann) first-name(Bemardo) Executives - Current (0) Incorporation/SOS (0) Operations/Sites (1) Sales (0) Licenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0) MVRs - Current (0) MVRs - Prior (0) Watercraft - arrant (0) Watercraft - Prior (0) Aircraft • Current (0) Aircraft - Prior (0) Bankruptcy Flings (0) Judgments & Liens Filings (0) UCC Filings (0) Executives - Prior (0) Registered Agents (0) Name Variations (1) Possible Employees (0) Person Associates (0) Business Associates (0) TINs (0) Possible Connected Parent Company (0) Industry Information (0) Business (2) View All Sources (3) Business Summary Name Address Phone HBRK ASSOCIATES INC / (No recent public filings on file) 130 E 75th St New York. NY 10021-3241 New York County LexID Established TIN 0000.6537.3878 2014 (3 Years in Business) At a Glance Real Property 0 UCC Debtor 0 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. NAME HBRK ASSOCIATES INC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 0 other) eratingLocations - Showing 1 location(s) NO. ADDRESS METRO AREA PHONE 1 130 E 75th St New York. NY 10021-3241 New York County New York. NY 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) For internal use only SDNY_GM_00058151 CONFIDENTIAL - PURSUANT TO FED. R.QQN(FIDENTIAL DB-SDNY-0020975 EFTA_00168711 EFTA01296174 Page 3 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 - 0 registered agent(s) found Possible Employees - 0 current, 0 prior employees found Person Associates - 0 other person associates found Possible Connected Business - 2 businesses found NO. NAME ADDRESS 1. HBRK ASSOCIATES INC 575 Lexington Ave New York. NY 10022-6102 New York County 2. HBRK ASSOCIATES INC. 1365 York Ave Apt 28A New York. NY 10021-4040 Business Associates - 0 business associates found Sources All Sources 3 Source Documents Telco 2 Source Documents Experian 1 Source Documents D& B: Copyright 2016 Dun & B adstreet, Inc dun a& bradstreet Worldbase For internal use only SDNY_GM_00058152 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020976 EFTA_00168712 EFTA01296175 Page 2 Worldbase, 12/14/2013, HBRK ASSOCIATES INC. December 14, 2013 HBRK ASSOCIATES INC. 1365 YORK AVE NEW YORK, NY 100214035 USA COUNTY: NEW YORK REGION: NORTH AMERICA COMPANY IDENTIFIERS DUNS: 01-011-3230 COMPANY INFORMATION FOUNDED: 2010 COMPANY TYPE: Private EXECUTIVES CEO: RICHARD KAHN, PRINCIPAL DESCRIPTION UNDETERMINED MARKET AND INDUSTRY SIC CODES: 9999 - Nonclassified establishment LOAD-DATE: June 26, 2016 LEGAL RESULTS: Court Cases: There was no information found For internal use only SONY_GM_00058153 CONFIDENTIAL - PURSUANT TO FED. R.ctaNtE IDENTIAL DB-SONY-0020977 EFTA_00168713 EFTA01296176 For internal use only SDNY_GM_00058154 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020978 EFTA_00I 68714 EFTA01296177