EFTA Document EFTA01297385

NAME SEARCHED: Gratitude America Ltd 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 0 Not Required 0 Hit I . RDC Results No RDC Alert(please see attached) PCR 0 No !fit • Not Required II. PCR Results No PCR Alert(please see attached) 0 Hit BIS Ea. Ncgaii% c Meslig No Information Found 0 Yes =r No K No Not Required IV. Non-Neg.i 1 ive Media Information Found V. Other Language Media No Information Found D&B VI. D&B Result found(please see attached) Results'? Cs Yes • No 0 Not Required Smartlinx VII. Smartlinx Result found(please see attached) Results? C.4 Yes 0 No • Not Required Court Cases M Review by Legal May VIII. Court Cases No Information Found be Required 0 No Results ID Starch not required Prepared by: Shreya pamshar Date: 07/26/2017 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 conveniencedHartindale-Hubbellhttp://www.martindale.com/xp/hlartindale/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 SONY_GM_00060454 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023278 EFTA_00 170992 EFTA01297385 Page 2 OFAC RESULTS RDC: 11605829 No Match Found GCIS 00000499760 Am' Gratitude America Ltd Country:UNITED STATES PCR: C20170738397738 Gratitude America Ltd 13002816 NCA customised Auto- Closed No-Hit 26/07/2017 BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Record: 1 OF 2 RECORD(S) Comprehensive Business Report Report Created:7-26-2017 9 27 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright O 2017 LexisNexis. All rights reserved. Search Terms - company(Gratitude America Ltd) radius(15) Executives - Current (0) Incorporation/SOS (0) Operations/Sites (0) 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) BaNuuptcy Filings (0) Judgments & Liens Filings (0) UCC Filings (0) Executives - Prior (0) Registered Agents (0) Name Variations (1) Possible Employees (1) Person Associates (0) Business Associates (0) TI Ns (1) Possible Connected Parent Company (0) Industry Information (1) Business (1) View All Sotscem (3) Business Summary Name Address Phone GRATITUDE AMERICA LTD 9100 Havensight Port Of Sale St Thomas. VI 00802 St. Thomas County LexID Established TIN For internal use only SDNY_GM_00060455 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0023279 EF1'A_00 170993 EFTA01297386 Page 2 0023-0086-2402 At a Glance Real Property 0 UCC Debtor 0 Personal Property 0 Bankruptcy 0 Secured Assets 0 Judgments/Liens 0 ExecutNes 0 Foreclosure/Notice of Default 0 2012 (5 Years in Business) 66-0789697 Name Variations -1 name variations found NO. 1 NAME GRATITUDE AMERICA LTD TINs -1 TINs found NO. TIN NAME 1 66-0789697 GRATITUDE AMERICA LTD Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 0 other) OperatingLocations - Showing 0 location(s) Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information SIC NAIC I No SIC information available I No NAIC information available Industry Description: CHARITABLE ORGANIZATION:PRIVATE GRANTMAKING FOUNDATIONS Business Description: 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 For internal use only SDNY_GM_00060456 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0023280 EFTA_00 170994 EFTA01297387 Page 3 Registered Agents - 0 registered agent(s) found Possible Employees - 0 current, 1 prior employees found NO. NAME ADDRESS STATUS DATE(S) 1 Kellerhals. Erika 9100 Havensight Port Of Sale Ste 15 St Thomas. VI 00802 Prior Person Associates - 0 other person associates found Possible Connected Business -1 businesses found NO. NAME ADDRESS 1 GRATITUDE AMERICA LTD 9053 Estate Thomas Suite 101 St Thomas, VI 00802 St. Thomas County Business Associates - 0 business associates found Sources All Sources 3 Source Documents Government Agency 2 Source Documents Other Directories 1 Source Documents Key: AHigh Risk Indicator. These symbols may prompt you to investigate further. 1 Moderate Risk Indicator. These symbols may prompt you to investigate further. General Information Indicator. These symbols inform you that additional information is provided. 4° The most recent telephone listing as reported by Electronic Directory Assistance. Wireless Phone Indicator. These symbols indicate a cell phone number. 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. 4 Government Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, Processed :sconce*ly 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 Slate dccunwints, the lobo/Mg data is for information purposes only and is not an official record. Certified copies may be obtained from that individual states Department of Stale. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use Is: Legal Compliance Copyright C 2017 LexisNexis a division of Rood Elsevier Inc. Al Rights Reserved. 2 OF 2 RECORD(S) Comprehensive Business Report Report Created:7-26-2017 9:27 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2017 LexisNexis, All rights reserved. For internal use only SDNY_GM_00060457 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023281 EFTA_00 l 70995 EFTA01297388 Page 4 Search Terms company(Grabtude America Ltd) radius(15) Executives • Current (0) IncorporationISOS (0) Operations/Sites (0) Sales (0) Licenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0) MVRs - Current (0) MVRs - Prior (0) Watercraft - Caren (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 Venetians (1) Possible Employees (1) Person Associates (0) Business Associates (0) TI Ns (1) Possible Connected Parent Company (0) Industry Information (1) Business (1) View All Sources (1) Business Summa Name Address Phone GRATITUDE AMERICA LTD 9053 Estate Thomas Suite 101 St Thomas, VI 00802 St. Thomas County LexID Established TIN 1187-1786-2657 2012 (5 Years in Business) 66.0789697 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. 1. NAME GRATITUDE AMERICA LTD TINs - 1 TINS found NO. TIN NAME 1. 66.0789697 GRATITUDE AMERICA LTD Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 0 other) OperatingLocations - Showing 0 location(s) Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information SIC NAIC I No SIC information available I No NAIC information available Industry Description: CHARITABLE ORGANIZATION:PRIVATE GRANTMAKING FOUNDATIONS Business Description: Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) For internal use only SDNY_GM_00060458 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023282 EFTA_00 I 70996 EFTA01297389 Page 5 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. Kellerhals, Enka 9053 Estate Thomas Suite 101 St Thomas. VI 00802 Prior Person Associates - 0 other person associates found Possible Connected Business -1 businesses found NO. NAME ADDRESS 1. GRATITUDE AMERICA LTD 9100 Havensight Port Of Sale St Thomas. VI 00802 St. Thomas County Business Associates - 0 business associates found Sources All Sources Govemment Agency 1 Source Documents 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. It General Information Indicator. These symbols inform you that additional information is provided. 10° 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. Jet Business Phone Indicator. These symbols indicate a business phone number. e Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline service. 0 FAX Indicator. These symbols indicate a FAX number. '© Government Phone Indicator. These symbols indicate a government phone number. For internal use only SDNY_GM_00060459 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023283 EFTA_00 I 70997 EFTA01297390 Page 6 Important: The PUNIC Records and commercially available data sources used on reports have onOtS. Data is sometimes entered poorly. processed incorrectly and is generally not Iron from defect This system should not be relied upon as definitively accurate. Before retying on any data this system supplies.4 should be independently verified. For Secretary of Slate documents, the (dewing data is for information purposes only and is not an official record. Certified copet: may be obtained from that sniff idual states Department of Slate. Your 0PPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright O 2017 LexisNexis• a division of Rood Elsevier Inc Al Rights Resolved. D& B: Copyright 2017 Dun & B adstreet, Inc. dun la& bradstreet Federal Employer Identification Numbers December 13, 2015 GRATITUDE AMERICA LTD 9100 HAVENSIGHT PORT OF SALE ST THOMAS, VI 00802 UNITED STATES COMPANY IDENTIFIERS FEIN: 66-0789697 SOURCE REFERENCE NAME: DEPARTMENT OF TREASURY - TAX EXEMPT LOAD-DATE: July 1, 2017 LEGAL RESULTS: Court Cases: No Information Found For internal use only SONY_GM_00060460 CONFIDENTIAL - PURSUANT TO FED. R.QP .NEIDENTIAL DB-SDNY-0023284 EFTA_00 I 70998 EFTA01297391