EFTA Document EFTA01296610

NAME SEARCHED: LSJE, 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 see attached) ■ Ilit PCR ... No lilt • Not Required II. PCR Results No PCR alert (Please sec attached) M Hit 1315 0 Yes 0 No Ill. 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 Yes No M Not Required Sinanlinx Results? 0 Yes 0 No El Not Required VII. Smartlinx Result found(please see attached) Court Cases 0 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: 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-comhip/Martindale/home.:tml 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_00059313 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0022137 EFTA_00169872 EFTA01296610 OFAC RESULTS RDC:: 11602717 No Match Found 11602718 No Match Found kyc 1790849 kyc 1790849 LSJE, LLC LSJE, LLC Count ':VIRGIN ISLANDS, U.S. Country :UNITED STATES PCR: C20170637909277 LSJE, LLC 12891589 NCA customised Auto-Closed No-Hit 15/06/2017 C20170637909278 LSJE, LLC 12891589 NCA customised Auto-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 1 RECORD(S) Comprehensive Business Report Report Created:6-15-2017 4:55 PM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2017 LexisNexis, All rights reserved. Search Terms - company(LSJE, LLC) radius(15) Executives - Current (0) Licenses (0) MVRs - Current (0) IncorporationrS0S (0) URLs (0) MVRs - Prior (5) 0perauonsiSites (1) Real Property - Current (0) Watercraft - Current (0) For internal use only Sales (0) Real Property - Prior (0) Watercraft - Prior (4) SDNY_GM_00059314 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0022138 EFTA_00 I 69873 EFTA01296611 Page 2 Aircraft - Current (0) UCC Filings (0) Possible Employees (0) Possible Connected Business (0) View All Sources (12) Business Summa Name Address Phone LSJ LLC i (No recent public filings on file) 6100 Red Hook Qtrs Ste B-3 St Thomas. VI 00802-1348 St. Thomas County LexID Established TIN 0000-8427-5929 2005 (12 Years in Business) Aircraft - Prior (0) Executives - Prior (0) Person Associates (1) Parent Company (0) Bankruptcy Filings (0) Registered Agents (0) Business Associates (0) Industry Information (0) Judgments S. Liens Filings (0) Name Variations (3) TINs (0) 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 - 3 name variations found NO. NAME 1. LSJ LLC 2. LITTLE ST JAMES LLC 3 LSJE LLC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 0 other) OperatingLocations - Showing 1 location(s) NO. ADDRESS METRO AREA PHONE 1 6100 Red Hook Qtrs 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 - 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) For internal use only SDNY_GM_00059315 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0022139 EFTA_00I6987,1 EFTA01296612 Page 3 Real Property (0 current, 0 prior) Personal Property (0 current, 9 prior) NO. TYPE STATUS YEAR/MAKE MODEL VIN 1. Vehicle MVR Information Prior 2004 Mack 600 MR600, Tilt Cab VIN. Year. 2004 Make: Mack Model: 600 MR600 Style: Tilt Cab Source Information Data Source: GOVERNMENTAL Registrant 1 LSJE LLC 6100 Red Hook Qtrs Ste B-3 St Thomas, VI 00802-1348 St. Thomas County Jurisdiction: F License Plate: License Plate Type: Other Previous License Plate: Registration Date: 12/05/2014 Registration Expiration Date: 01/03/2015 2. MVR Prior 2010 Smart FORTWO PASSION. Convertible Vehicle Information VIN: Year: 2010 Make. Smart Model: FORTWO PASSION Style: Convertible Base Price: $16,990.00 Source Information Data Source. GOVERNMENTAL Owner 1 LSJ LLC 6100 Red Hook Qtrs Ste B-3 St Thomas, VI 00802-1348 St. Thomas County Title Number: 0105384013 Title Date: 12/02,2010 For internal use only Some_Gm_00060316 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022140 EFTA_00 I 69875 EFTA01296613 Page 4 3. MVR Prior Vehicle Information VIN: Year: 2010 Make: Chevrolet Model: C1500 SUBURBAN LTZ Style: 4 Dr Wagon Sport Utility Base Price: 552,880.00 Source Information Data Source: GOVERNMENTAL Registrant 1 LSJ LLC 6100 Red Hook Otis Ste B-3 St Thomas, VI 00802-1348 St. Thomas County Jurisdiction. FLI License Plate: Registration Date: 07/03/2010 Registration Expiration Date: 08/01/2010 2010 Chevrolet C1500 SUBURBAN LTZ, 4 Dr Wagon Sport Utility 4. 1 MVR 1Prior 11987 1 Vehicle Information VIN: Year 1987 Source Information Data Source: GOVERNMENTAL Registrant 1 LITTLE ST. JAMES LLC 6100 Red Hook Otrs Ste 2 St Thomas, VI 00802-1348 St. Thomas County Jurisdiction: F License Plate: License Plate Type: Boat Registration Date: 10/06/1999 Registration Expiration Date: 06/30/2000 5. 1 MVR 1Prior 11993 Vehicle Information VIN: Year: 1993 Source Information For internal use only SDNY_GM_00059317 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022141 EFTA_00 169876 EFTA01296614 Page 5 Data Source: GOVERNMENTAL Registrant 1 LITTLE ST. JAMES LLC 6100 Red Hook Qtrs Ste 2 St Thomas. VI 00802-1348 St. Thomas County Jurisdiction: FL License Plate: License Plate Type: Boat Registration Date: 10/06/1999 Registration Expiration Date: 06/30/2000 6. Watercraft Prior 1984 C&C YACHTS INC Watercraft Info Vessel Name: Lady G Vessel Service Type: COMMERCIAL Length (Ft-In): 40-6 Propulsion: Diesel Reduction Registrant Info Status: VALID Registration Date: 12/22/2004 Expiration Date: 01/31/2006 Owner 1 L S J LLC 6100 Red Hook Qtrs Ste B-3 St Thomas. VI 00802-1348 Source Information Data Source. GOVERNMENTAL 7. Watercraft Prior 1987 SILVERTON Watercraft Info Vessel Service Type: PLEASURE VESSEL Length (Ft-In): 34-0 Propulsion: INBOARD Registrant Info State Florida Number Status: ACTIVE Registration Date: 07/03/2003 Expiration Date: 06/30/2004 Owner 1 LITTLE ST. JAMES L.L.C. For internal use only SDNY_GM_00059318 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022142 EFTA_00 I 69877 EFTA01296615 Page 6 6100 Red Hook Qtrs Ste 2 St Thomas. VI 00802-1348 Party Type: OWNER/REGISTRANT Source Information Data Source: GOVERNMENTAL 8. I Watercraft I Prior I 1993 DYNOUS Watercraft Info Vessel Service Type: PLEASURE VESSEL Length (Ft-In): 10-0 Propulsion: OUTBOARD Registrant Info State: Flo Number: Status: ACTIVE Registration Date: 10/06/1999 Expiration Date: 06/30/2000 Owner 1 LITTLE ST. JAMES L.L.C. 6100 Red Hook Qtrs Ste 2 St Thomas, VI 00802-1348 Party Type: OWNER/REGISTRANT Source Information Data Source: GOVERNMENTAL 9. Watercraft Prior 1985 MIDNIGHT EXPRESS BOAT Watercraft Info Vessel Service Type. PLEASURE VESSEL Length (Ft-In): 37-0 Propulsion: OUTBOARD Registrant Info State: Fil m Number: Status: ACTIVE Registration Date: 10/14/1986 Expiration Date: 06/30/1901 Owner 1 LITTLE ST. JAMES, LLC 6100 Red Hook Qtrs Ste 2 St Thomas. VI 00802-1348 Party Type: OWNER For internal use only SDNY_GM_00059319 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022143 EFTA_00 I 69878 EFTA01296616 Page 7 Owner 2 Martinez Se undo Party Type. REGISTRANT Source Information Data Source: GOVERNMENTAL 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 - 1 other person associates found NO. NAME ADDRESS ROLE 1. Martinez: Segundo ADeceased Miami-Dade County Watercraft Possible Connected Business - 0 businesses found Business Associates - 0 business associates found Sources All Sources Personal Property 12 Source Documents 12 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. Of 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. • 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: Tho Public Records and common:UP/ available data sources used on reports have errors. Data is sometimes entered poorly. processed stIC011itetly and is generally not free from defect. This system should not be relied upon as definitrvely accurate. Before relying on any data this system supplies. il should be independently vended. For Secretary of Slate documents, the following dale is for information purposes only and is not an official record. Certified copies may be obtained from that individual stale's Department of Stale. For internal use only SDNY_GMS10059320 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022144 EFTA_00 I 69579 EFTA01296617 Page 8 Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright O 2017 Lexistieids. a division of Reed Elsevier inc. All Rights Reserved. D& B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00059321 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0022145 EFTA_00 169880 EFTA01296618