EFTA Document EFTA01296222

NAME SEARCHED: J. Epstein Virgin Islands Foundation, 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 names) 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 see attached) ■ l lit PCR ... No Hit • Not Required II. PCR Results No PCR alert (Please see attached) M Hit BLS 0 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 R There Rests? vi . D was no information found 0 Yes No M Not Required &minium Results? 0 Yes 0 No El Not Required VII. Smartliax 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:06/19/2017 Research Analyst Instructions: 1. 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:Manindale-Hubbellhttp://www.martindak.com/sp/Martindale/home.sml 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 SDNY_GM_OOOSIS340 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0021164 EFTA_00168900 EFTA01296222 OFAC RESULTS RDC: 11603149 No Match Found KYC 11603150 No Match Found KYC PCR: C20170637932300 J. Epstein Virgin Islands Closed No-Hit 18/06/2017 C20170637932301 J. Epstein Virgin Islands Closed No-Hit 18/06/2017 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: J. Epstein Virgin Islands Foundation, Inc J. Epstein Virgin Islands Foundation, Inc U.S UNITED STATES VIRGIN ISLANDS, Foundation, Inc 12908527 NCA customised Auto- Foundation, Inc 12908527 NCA customised Auto- 1 OF 1 RECORD(S) Comprehensive Business Report Report Created:6-18-2017 7.15 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright O 2017 LexisNexis. All rights reserved. For internal use only SDNY_GM_00058341 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021165 EFTA_00 I 6890 I EFTA01296223 Page 2 Search Terms company(J. Epstein Virgin Islands Foundation, Inc) radius(15) Executives - Current (0) IncorporationiSOS (0) Operations:Sara (1) Sales (0) Licenses (0) URLs (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) Executives - Prior (0) Registered Agents (0) Name Variations (2) Possible Employees (1) Person Associates (0) Business Associates (0) TINs (1) Possible Connected Parent Company (0) Industry Information (1) Business (1) View All Sources (3) Business Summa Name Address Phone J EPSTEIN VIRGIN ISLANDS FOUNDATION I (No recent public filings on file) 6100 Red Hook Otis Ste B-3 St Thomas. VI 00802-1348 St. Thomas County LexID Established TIN 0004-2142-8151 2000 (17 Years in Business) 66-058)=X 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 - 2 name variations found NO. NAME 1. J EPSTEIN VIRGIN ISLANDS FOUNDATION 2. J EPSTEIN VIRGIN ISLANDS FOUNDATION INC TINs -1 TINs found NO. TIN NAME J EPSTEIN VIRGIN ISLANDS FOUNDATION INC Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 0 other) 0 eratm Locations - Showing 1 location s NO. ADDRESS METRO AREA PHONE 1. 6100 Red Hook airs Ste B-3 St Thomas. VI 00802-1348 St. Thomas County ST. THOMAS COUNTY Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information SIC NAIC 8733 Noncommercial Research Organizations No NAIC information available Industry Description: CHARITABLE ORGANIZATION:PRIVATE INDEPENDENT FOUNDATIONS Business Description: For internal use only SDNY_GM_000 58342 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021166 EFTA_00 I 68902 EFTA01296224 Page 3 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 - 0 registered agent(s) found Possible Employees - 0 current, 1 prior employees found NO. NAME ADDRESS STATUS DATE(S) 1. Hoffman. Paul 6100 Red Hook Qtrs Ste 8-3 St Thomas, VI 00802-1348 Prior Person Associates - 0 other person associates found Possible Connected Business -1 businesses found NO. NAME ADDRESS 1. ISLAND RESOURCES FOUNDATION IN 6100 Red Hook Qtrs Ste 8-3 St Thomas, VI 00802.1348 St. Thomas County Business Associates - 0 business associates found Sources All Sources 3 Source Documents Government Agency 1 Source Documents Other Directories 1 Source Documents Experian FEIN 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. se. The most recent telephone listing as reported by Electronic Directory Assistance. ® Wireless Phone Indicator. These symbols indicate a cell phone number. For internal use only SDNY_GM_00058343 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021167 EFTA_00 168903 EFTA01296225 Page 4 ® Residential Phone Indicator. These symbols indicate a residential phone number. 8 Business Phone Indicator. These symbols indicate a business phone number. • 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. © Government Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and cornmercialty available data sources used on reports have errors. Dala 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 shoold be independently verified. For Secretary of State documer ts. the following data Is for Information purposes only and is not an official record. Certified copies may be obtained from that individual stele's Department of Slate. Your 0PPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright O 2017 Loris/*xis. a division of Reed Elsevier Inc. All Rights Reserved. There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00058344 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021168 EFTA_001 68904 EFTA01296226