EFTA Document EFTA01297686

NAME SEARCHED: Richard D Kahn PWM BIS-RESEARCH performed due diligence research on your subject name(s) in the required databases and Significant negative media results may require escalation in accordance with the standards have attached the search results under to senior business, Legal and Compliance Click here for results: .RD(' Itesult, set by AML Compliance for your business. We completed thorough searches the correct heading below. management. Also, all accounts involving PEPs must be escalated. Search: Result: Re% ILI% C r Comments (as neeessan ) RDC 0 No Hit 0 Not Required K I ROC Alert (please see attached) r• Hit F1RCOSOFT ..7.4 No Hit ID Not Required ii HucOSOFT Results No FIRCOSOFT Alert (please see attached) • Hit MS 0 Yes S I No K No Not Required 111. Nee.ative Media No Information Found N IV. Non-Nc.(2.;ithe \ letha Information Found V. Oki- I :Ii ia:.:".... \li.:(lia No Information Found D&B VI. D&B Not Required Results? 0 Yes H No El Not Requited Smaftlinx Results/ n :83 Yes 0 No 0 Not Required VII. Smartlinx Information Found (please see attached) Cowl Caws .14 Review by Legal May be VIII. Court Outs Information Found (please see attached) Required • No Results • Search not required Prepared by: Vikram-D Instructions: Singh Date: 5/31/2018 and confirm that all results are note that you arc still required to for your convenience:Mart indale-flubbellhttp://w provide comment for any negative please obtain clearance from changes you make to this document of a signed KYC is your confirmation Research Analyst returned for your client. perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link ww.martindale.com/sp/Martindale/home.xml results. Compliance for all alerts. and attach file to your KYC. that you have fully reviewed the research documents. For internal use only For internal use only 1. Review 2. Please below .3. As needed, 4. If applicable, 5. Save any Please note: Submission SONY_ M_ 111 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023841 EFTA_00171628 EFTA01297686 OFAC RESULTS RDC: Inquiry Id Response Type Tracking Id Name Address Date of Birth: 11632113 Aler:r, . KYC 01946825 a Richard D Kahn Country: UNITED STATES Date of Birth: 12/6/1972 11632114 Alerted KYC 01946825 Richard D Kahn Country: VIRGIN ISLANDS, U.S. ate of D Birth: 12/6/1972 FIRCOSOFT: Request ID Record ID Type Name Details Alert(s) ADM INT PEP SAE 12595104 INR_125951042182 Individual Kahn, Richard D No Alert No Alert No Alert False 12595105 VVR_125951052182 Individual Kahn, Richard O No Alert No Alert No Alert False BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Records: For Internal use only For internal use only SDNY_GM_00061117 CONFIDENTIAL - PURSUANT TO FED R.QQNE I DENTIAL DE-SDNY-0023942 EF1'A_00171629 EFTA01297687 FOR INFOPMATIONAL PURPOSES ONLY Copyr oht LexisNexis o division of Pec': P • Inc. All Rights Reserved. Date: S/31/2018 Report processed by: DEUTSCHE BANK AGII KAHN, RICHARD D County NEW YORK Phone ADDITIONAL PERSONAL INFORMATION SSN Sublecl Summary Name Variations 1 0 RICHARD, KAHN : KAHN, R KAHN, RICHARD KAHN, RICHARD D KAHO, RICHARD D SSNs Summary DOB SSN Gender State !sc. Most frequent SSN attributed to subject: 1: New York DOBs LexID(sm) Vivo Ali Name Von:mous Sources Date Iss. 1972-1973 All SS N So Inc Warnings Vice' All DOB Sources Reported DOBs: 12/1972 12/1972 Possible E-Mall Addresses `Others Using SSN - 0 records found ',Address Summon - 11 records found No. View All E: Mail Sources View All Address Variations Sauc es Address For internal use only For internal use only =NM SDNY_GM_00061118 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023943 EFTA_00 I 7 I 630 EFTA01297688 1: 2: 3: 4: 5: 6: 7: 8: 9: 10: 11: Address De Address Dates 2/2008 - 5/2018 41 Census Data for Geographical Region Median Head of Household Age: Median Income: Median Home Value: Median Education: Household Members None Listed Other Associates None Listed Get Report Vicitakal.4 Get Report View Details Qet.RePort View Details Get Report MeV/ Peta Get Report View Details Get Report View Details Get Report View Details Get Report View Details Get Report View Details Get Report View Details Get Report View Details Phone For internal use only For internal use only Actions (pct Report Ncushbors(2) 46 $176,471 $1,000,000 17 years SONY_GM_00061119 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023944 EFTA_00I7163 I EFTA01297689 Address Dates 12/2003 - 2/2009 Phone Actions oci Report Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $81,397 Median Home Value: $429,167 Median Education: 16 years Household Members MINSKY, LISA GALE Get Report Other Associates None Listed Address Dates Phone Actions 5/2006 - 9/2008 Get Report Census Data for Geographical Region Median Head of Household Age: Median Income: Median Home Value: Median Education: Household Members None Listed Other Associates None Listed 39 $81,397 $429,167 16 years Address Household Members None Listed Other Associates None Listed Dates 12/2002 - 6/2008 Phone For internal use only For internal use only Actions Get Report SDNY_GM_00061120 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023945 EFTA 00171632 EFTA01297690 Address Census Data for Geographical Region Median Head of Household Age: Median Income: Median Home Value: Median Education: Household Members None Listed Other Associates None Listed Dates 1/1997 - 1/2005 Phone Actions oct Report 35 $123,611 $678,697 16 years 6:: Address Census Data for Geographical Region Median Head of Household Age: Median Income: Median Home Value: Median Education: Household Members KAHN, CAROL RUBIN KAHN, GARY E Other Associates RUBIN, LUCILLE L Dates 8/1996 - 11/2002 Phone Address Dates 5/1973 - 1/1997 Actions (let Report 38 $225,720 $1,000,000 18 years Oct Report Oct Retort Oct Report Phone Actions Get Report Census Data for Geographical Region Median Head of Household Age: 22 Median Income: $11,280 Median Home Value: $0 Median Education: 12 years For internal use only For internal use only SDNY_GM_0006112i CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023946 EFTA_00171633 EFTA01297691 Household Members None Listed Other Associates None Listed Address Dates Phone Actions 4/1995 - 4/1995 (ict Report Census Data for Geographical Region Median Head of Household Age: 35 Median Income: $139,826 Median Home Value: 8803,571 Median Education: 15 years Household Members None Listed Other Associates None Listed Address Dates Phone Actions 10/1993 - 10/1993 Census Data for Geographical Region Median Head of Household Age: Median Income: Median Home Value: Median Education: Household Members KAHN, IRENE L Other Associates None Listed (845) 638-4564 Report 42 $148,281 $744,932 16 years (ict Report 10 Address Census Data for Geographical Region Dates 5/1973 - 5/1973 For internal use only For internal use only Phone (845) 634-1381 Actions (let Report SDNY_GM_00061122 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023947 EFTA_00171634 EFTA01297692 Median Head of Household Age: 39 Median Income: $80,556 Median Home Value: $448,387 Median Education: 15 years Household Members None Listed Other Associates None Listed Address Dates Phone Actions Oct Report Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $208,387 Median Home Value: $965,909 Median Education: 15 years Household Members None Listed Other Associates RUBIN, LUCILLE L (ha Report -Voter Registrations - 9 records found View Voter Registration Sources 1: New York Voter Registration Name: Residential Address: KAHN, RICHARD D Home Phone: SSN: Date of Birth: Gender:Mae Registration Date: Last Vote Date: Party Affiliation: 10/6/2003 11/8/2016 INDEPENDENCE Active Status: ACTIVE Registrant Information Voter Information For internal use only For internal use only SDNY_GM_00061123 CONFIDENTIAL - PURSUANT TO FED. R.CONIF IDENTIAL DB-SDNY-0023948 EFTA 00171635 EFTA01297693 2: New York Voter Registration Registrant Information Name: Residential Add ran: Home Phone: SSN: Date of Birth: Gender: Male Voter Information Registration Date: Last Vote Date: Party Affiliation: 10/6/2003 2/5/2008 INDEPENDENT Active Status: ACTIVE Name: Residential Address: Home Phone: SSN: Date of Birth: Gender: Male Registration Date: Last Vote Date: Party Affiliation: Active Status: 10/6/2003 11/8/2016 INDEPENDENCE ACTIVE Registrant Information Voter Information Name: Residential Address: SSN: Date of Birth: Gender: Registrant Information Registration Date: 10/6/2003 Voter Information For internal use only For internal use only SDNY_GM_00061124 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023949 EFTA 00171636 EFTA01297694 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENT Active Status: ACTIVE 777719 11 Registrant Information Name: Residential Address: SSN: Date of Birth: Gender: Male Voter Information Registration Date: Last Vote Date: Party Affiliation: 10/6/2003 11/2/2010 INDEPENDENCE Active Status: ACTIVE Registrant Information Name: Residential Address: SSN: Date of Birth: Gender: male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2004 Party Affiliation: REPUBLICAN Active status: ACTIVE 7: New York Voter Registration Name: Residential Address: SSN: Date of Sleth: Gender: Male Registrant Information Voter Information For internal use only For internal use only SDNY_Gliil_00061125 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023950 EFTA_00171637 EFTA01297695 Registration Date: Last Vote Date: Party Affiliation: 10/6/2003 2/5/2008 INDEPENDENT Active Status: ACTIVE 8: New York Voter Re, Istration Name: Residential Address: SSN: Date of Birth: Gender: Registration Date: Last Vote Date: Party Affiliation: Registrant Information Male 10/6/2003 2/5/2008 REPUBLICAN Voter Information Name: Residential Address: SSN: Date of Birth: Gender: Registrant Information male Voter Information Registration Date: 9/6/1996 Party Affiliation: REPUBLICAN Uri% yr Licenses - 0 records found Professional licenses - I records found View Prole:turmoil .icesse SoUrINS Licensee infermatcon Name: SSN: Address: County: Gender: M License Information For internal use only For internal use only SDNY_GM_00061126 CONFIDENTIAL - PURSUANT TO FED R.QPN( I DENTIAL DB-SONY-0023951 EFTA_00 I 71638 EFTA01297696 License Type: CPA License Number: - 'Health Care Providers - (I records found LtIllealth Care Sanctions -11 records found SIPilot Licenses - 0 records found EISPort Licenses - 0 records found (.71Real Property - I records found View Real P rw Sources 1: Assessment Record for SUFFOLK County, NY Name: Address: County/FIPS: Address: Data Source: Assessor's Parcel Number Owner Information RICHARD KAHN Property Information Recording Date: 10/27/2015 Book/Page: Sale Price: $1518000 Legal Information Sale Information Assessment Information Assessed Value: $1243500 Motor Vehicle Rrgist rations - 5 records found Registrant Information Registrant: KAHN, RICHARD D DOB: Address: Original Registration Date: 3/17/2011 Registration Date: 3/17/2011 Registration Expiration 3/16/2013 Date: Registration Information Vehide Information For internal use only For internal use only SDNY_GM_00061127 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0023952 EFTA_00171639 EFTA01297697 VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Plate Information License Plate Type: Private License Plate Number: ■ Plate State: Source Information Data Source: GoviEity N VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Vehicle Information Owner Information Name: KAHN, RICHARD D DOB: Address: Title Information Title Transfer Date: 4/7/2011 Title Issue Date: 4/7/2011 Source Information Data Source: GOVERNMENTAL Registrant Information Registrant: KAHN, RICHARD O DOB: For internal use only For internal use only SDNY_GM_00061128 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0023953 EFTA_00I71640 EFTA01297698 Address: Original Registration Date: 5/22/2009 Registration Date: 5/22/2009 Registration Expiration 7/8/2011 Date: VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Registration Information Vehicle Information License Plate Type: Private Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Plate Information Source Information Data Source: GOVERNMENTAL VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Vehicle Information Owner Information Name: KAHN, RICHARD D DOB: Address: For internal use only For internal use only SDNY_GM_00061129 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023954 EFTA_00171641 EFTA01297699 Title Information Title Transfer Date: 8/9/2007 Title Issue Date: 8/9/2007 Source Information Data Source: GOVERNMENTAL S: NY MYR Registrant Information Registrant: KAHN, RICHARD D DOB: Address: Registration Information Original Registration Date: 12/7/2003 Registration Date: 12/7/2003 Registration Expiration 1/6/2006 Date: Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Nate Information License Plate Type: Pr i\,(:to Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL Boat% - II record% found -Aircraft - 0 records found - :Bankruolcy Information - 0 records found Judynents/Lieris - I records found For internal use only For internal use only SDNY_GM_00061130 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SONY-0023955 EFTA_00 I 71642 EFTA01297700 1: NY Judgments and Liens Filings Debtor Information Name: KAHN, RICHARD Oct Report SSN: Addis: Name: Jurisdiction: NY Amount: $1,783 Filing Date: 5/2/2000 Eviction y Creditor Information Filing Information Filing 1 Number: Type: CIVIL NEW FILING Agency: CIVIL COURT OF THE CITY OF NEW YORK Agency State: NY Agency NEW YORK County: - IUCC Liens - 1 records found 1: NEW YORK CITY RECORD Name: KAHN, RICHARD SSN: Address: Name: SSN: Address: Name: Address: Debtor Information Debtor 1 Debtor 2 Secured Party Information Filing Information Filing Jurisdiction: NEW YORK CITY, NEW YORK Original Filing Number: Original Filing Type: INITIAL COOP UCC I For internal use only For internal use only SDNY_GM_00061131 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023956 EFTA_00171643 EFTA01297701 Original Filing Date: 3/25/2016 Number: Fictitious Businesses -0 records found Notice Of Defaults - 0 records found -.Potential Relatives- 10 records found 2 3 4 For Internal use only For internal use only Get Report Get Report Get Report Get Report S0NYGM_00061132 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023957 EFTA_00171644 EFTA01297702 5 6 7 8 9 10 For internal use only For internal use only Get Report Get Report Get Report Get Report Get Report get..RgPPrt SDNY_GM_00061133 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0023958 EFTA_00171645 EFTA01297703 HEtusiness Associates - 6 records found I: ARC HOLDING INC. Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: Business Report: KAHN, RICHARD INACTIVE NY 2558550 INACTIVE CURRENT 4/24/2018 9/29/2000 Get Report 2: ARKAY CAPITAL CORP. Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: Business Report: KAHN, RICHARD ACTIVE NY 2515783 ACTIVE CURRENT 5/8/2018 5/31/2000 Oct Rcpal 3: HBRK ASSOCIATES INC. Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: KAHN, RICHARD ACTIVE NY 3714818 ACTIVE CURRENT 4/24/2018 8/29/2008 4: I( & F CAPITAL CORP. Name: KAHN, RICHARD Status: INACTIVE State: NY For internal use only For internal use only SDNY_GM_00061134 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0023959 EFTA_00171646 EFTA01297704 Corporation 2516183 Number: Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/24/2018 Filing Date: 6/1/2000 Business Report: ( t F:, Name: Status: State: Corporation Number: Descriptive Status: Record Type: Record Date: Filing Date: Business Report: KAHN, RICHARD INACTIVE NY 2558561 INACTIVE CURRENT 4/24/2018 9/29/2000 Gel Report INC. Name: Address: KAHN, RICHARD Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: Business Report: l'crson .Associatus - S INACTIVE FL F08000003048 INACTIVE DIRECTOR, TREASURER CURRENT 10/18/2017 9/23/2011 (iclEalon records found For internal use only For internal use only SDNY_GM_00061135 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0023960 EFTA_00171647 EFTA01297705 2: 3: 4: 5: Neighbors - 2 records found Name Address MOEDER, ALYSSA C FALVO, PAULA G -1Emolovment Locator - 24 records found (id Report (hi Report Report (ki Report Phone Actions Company HBRK ASSOCIATES INC. Name: Name: KAHN, RICHARD For internal use only For internal use only SDNY_GM_0006t136 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0023961 EFTA_OO171648 EFTA01297706 SSN: Confidence: medium 2: Company RDK ASSET MANAGEMENT INC. Name: Name: KAHN, RICHARD SSN: Confidence: Medium 3: Company ARC HOLDING INC. Name: Name: KAHN, RICHARD SSN: Confidence: Medium 4: Company RDK ASSET MANAGEMENT INC. Name: Name: KAHN, RICHARD SSN: Confidence: Medium Company K & F CAPITAL CORP. Name: 6: Name: KAHN, RICHARD SSN: Confidence: Medium Company ARKAY CAPITAL CORP. Name: Name: KAHN, RICHARD SSN: Confidence: Medium 7: Company THE C.O.U.Q. FOUNDATION, INC. Name: Name: KAHN, RICHARD Title: DIRECTOR, TREASURER SSN: Confidence: Medium Company THE C.O.U.Q. FOUNDATION, INC. Name: For internal use only For internal use only SDNY_GM_00061137 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0023962 EFTA_00171649 EFTA01297707 Name: Title: SSN: Confidence: KAHN, RICHARD DIRECTOR Medium Company HBRK ASSOCIATES INC. Name: Name: KAHN, RICHARD Address: 1365 YORK AVE APT 28 NEW YORK, NY 10021-4035 SSN: Phone: Confidence: (212) 628-6639 High Company Name: Name: Address: SSN: Confidence: RDK ASSET MANAGEMENT INC. KAHN, RICHARD 1365 YORK AVE APT 28A NEW YORK, NY 10021-4040 High Company ARC HOLDING INC. Name: Name: KAHN, RICHARD Address: 10 ESQUIRE RD STE 4 NEW CITY, NY 10956-3336 SSN: Confidence: Medium Company Name: Name: Address: SSN: RDK ASSET MANAGEMENT INC. KAHN, RICHARD Confidence: High Company K & F CAPITAL CORP. Name: Name: KAHN, RICHARD Address: For internal use only For internal use only SDNY_GM_00061138 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023963 EF1'A_00171650 EFTA01297708 SSN: Confidence: medium Company ARKAY CAPITAL CORP. Name: Name: KAHN, RICHARD Address: SSN: Phone: Confidence: Medium 15: Company Name: Name: Title: Address: SSN: ALASKA FREEDOM FISHN KAHN, RICHARD CONTACT Confidence: High 16: Company Name: Name: Title: Address: SSN: ALASKA FREEDOM FISHN KAHN, RICHARD CONTACT Confidence: High 17: Company Name: Name: Title: Address: SSN: Phone: Confidence: HBRK ASSOCIATES INC KAHN, RICHARD CONTACT High Company HBRK ASSOCIATES INC Name: Name: KAHN, RICHARD For internal use only For internal use only SDNY_GM_00061139 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023964 EFTA_00 I 7 165 I EFTA01297709 Title: CONTACT Address: SSN: Phone: Confidence: High Company Name: Name: RDK ASSET MANAGEMENT INC KAHN, RICHARD Title: CONTACT Address: SSN: Confidence: High 2fr Company RDK ASSET MANAGEMENT INC. Name: Name: KAHN, RICHARD Title: CHAIRMAN OR CHIEF EXECUTIVE OFFICER Address: SSN: Confidence: High 21: Company Name: Name: Title: Address: SSN: RDK ASSET MANAGEMENT INC. KAHN, RICHARD CHAIRMAN OR CHIEF EXECUTIVE OFFICER Confidence: High Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Title: PRINCIPAL EXECUTIVE OFFICE CONTACT Address: SSN: Confidence: High For internal use only For internal use only SDNY_GM_0006t140 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023965 EFTA ((117165? EFTA01297710 23; Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Title: PRINCIPAL EXECUTIVE OFFICE CONTACT Address: SSN: Confidence: High 24: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Title: PROCESS ADDRESS CONTACT Add rest: SSN: Confidence: High .Criminal FilinCs - 0 records found - Cellular & Alternate Phones - 0 records found . iPossible Education - 2 records found Student Information Name: KAHN, RICHARD SSN: DOB: LexID(sm): First Reported: Last Reported: High School Graduation Year: Phone: Address: Currently a Student? r cb Attended High School: YES Years Since High School 26 Graduation: Attended College 1: YES Collage Type 1: Private college Description 1: Four Year College For internal use only For internal use only SDNY_GM_0006114i CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023966 EFTA_00I71653 EFTA01297711 College Education Program Tier 1: 3 Attended College 2: YES College Type 2: Private College Description 2: Four Year College College Education Program Tier 2: 3 Student Information Name: KAHN, RICHARD SSN: LexID(sm): Tuition Range: First Reported: Last Reported: Phone: Address: Class Rank: Senior Currently a Student? NO Attended High School: YES Years Since High School 26 Graduation: Attended College 1: YES College Type 1: Private College Description 1: FOur Year College College Education Program Tier 1: 3 Attended College 2: YES College Type 2: Private College Description 2: Four Year College College Education Program Tier 2: 3 College Information College Name: SYRACUSE UNIVERSITY Original Name: SYRACUSE UNIVERSITY Level: FOUR YEAR COLLEGE Type: PRIVATE SCHOOL school Size: 5,001 - 15,000 - Sources - 71 records found All Sources Corporate Affiliations Deed Transfers For internal use only For internal use only 71 Source 1)ocumen1(9 6 Soiurce Ihwannenleq I Source Documeni(s) SDNY_GM_00061142 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023967 EFTA_00171654 EFTA01297712 Email addresses Historical Person Locator Liens and Judgments Motor Vehicle Registrations Person Locator 2 Person Locator 4 Phone Professional Licenses Tax Assessor Records UCC Lien Filings Voter Registrations Key 4 Souk.: Document(%) 2tt Source Doonniml(%) I Source Documents) 6 Source Documents) 6 Source Document1st J Source Docomenti%) 6 Siturve Doeurnegi(1) I SUMO. RN. I SOllICC I $uro: toeuntennsl Soarcc Docuincnt(st • AHigh Risk Indicator. These symbols may prompt you to investigate further. • I Moderate Risk Indicator. These symbols may prompt you to investigate further. • PaGeneral Information Indicator. These symbols inform you that additional information is provided. • /The most recent telephone listing as reported by the EDA source. D&B: No Information Found LEGAL RESULTS: Court Cases: Adolphe A. Juviler. Individually and on Behalf of All Other Stockholders Similarly Situated. Plaintiff. v. Unitronics Corporation. Defendant [NO NUMBER IN ORIGINAL] Supreme Court of New York, Special Term, New York County 8 Tvlisc. 2d 1033; 166 N.Y.S.2d 770; 1957 N.Y. Misc. LEXIS 2521 DISPOSITION: [gal] Motion denied. September 12, 1937 For Internal use only For internal use only SDNY_Gtiol_00061143 CONFIDENTIAL - PURSUANT TO FED- R.CONE I DENTIAL DB-SDNY-0023968 EFTA_00171655 EFTA01297713 CASE SUMMARY PROCEDURAL POSTURE: Plaintiff stockholder. in a representative stockholders' action, applied for an injunction to restrain defendant corporation from holding a meeting and allowing the voting of shares in favor of a proposed merger or. in the event of approval of the merger by the corporation's stockholders, from taking any action designed to effectuate or consummate the merger. OVERVIEW: The stockholder, a holder of 750 of the outstanding 590.96() shares of the corporation. sought an injunction restraining the corporation, its officers, directors. agents and attorneys from voting any shires of stock at a meeting in favor of a proposed merger. In the alternative. the stockholder wanted to restrain the corporation from taking any action to effectuate or consummate the merger. The court denied the motion. The court slated that it did not need to consider the tint pan of the application inasmuch as the meeting of stockholders was not stayed. At that miming. HO percent of the outstanding shares were voted in favor of the proposed merger, and two percent of the outstanding shares were voted against the proposed merger. The court found that the stockholder did not make out a case which plainly showed that the action taken was so far opposed to the true interests of the corporation itself as to lead to the clear inference drat na one thus acting could have been influenced by any honest desire to secure such interests. The court held that the stockholder failed to meet that test by a wide margin. OUTCOME: The court denied the stockholder's motion. CORE TERMS: stockholders. bolder, merger. minority stockholders, proxy. outstanding shares. outstanding. stock. voted. shares of stock, proposed merger. voting LexisNexisX Headnotes Business & Corporate Law> Corporations > Shareholders > Meetings & Voting > General Overview Business & Corporate Law> Corporations > Shareholders > Shareholder Duties & Liabilities > Controlling Shareholders > General Overview Mil To warrant the interposition of the court in favor of the minority stockholders in a corporation or joint-stock association, as against the contemplated action of the majority, where such action is within the corporate powers, a arse must be made out which plainly shows that such action is so far opposed to the true interests of the corporation itself as to lead to the clear inference that no one thus acting could have been influenced by any honest desire to secure such interests, but that he must have acted with an intent to subserve some outside purpose. regardless of the consequences to the company and in a manner inconsistent with its interests. HEADNOTES Corporations -- representative stockholders' action --court will not intervene on behalf of minority stockholders to restrain merger which was approved by holders of 80% of stock since action sought to be enjoined is not clearly opposed to interests of corporation. Plaintiff. a minority stockholder of defendant corporation. in this representative stockholders' action moves to enjoin the officers and directors of defendant from voting any shares of stock owned or controlled by them in favor of a proposed merger of defendant with another corporation. or from consummation of such merger if approved by the majority of defendant's stockholders. The holders of 80% of the outstanding stock voted in favor of the merger. The motion is For Internal use only For internal use only SONY_GNI_00061144 CONFIDENTIAL - PURSUANT TO FED R.WNE I DENTIAL DB-SDNY-0023969 EFTA_00171656 EFTA01297714 denied. A court will not oppose the will of the majority stockholders on behalf of the minority stockholders unless it is shown that the action contemplated or taken is clearly contrary to the true interest of the corporation itself. COUNSEL: Otis Mark Waters. Lawrence S. Timm. W. Philip Van Kirk, and Melvyn Samuels for plaintiff. Edward C. McLean. E. Laurence Gulyassy and Richard D. Kahn for defendant. JUDGES: William l***21 C. Hecht. Jr.. J. OPINION BY: HECHT, JR. OPINION r l033I 1**771I In this representative stockholders' action plaintiff, a holder of 750 of the outstanding 590.960 shares of defendant. Unitronics Corporation, applies for an injunction restraining the corporation, its officers, directors, agents and attorneys, from voting any shares of stock owned or controlled by them or any proxies obtained by them from stockholders, at the special meeting of stockholders called for September II, 1957. or any adjournment thereof, in favor of the proposed merger of defendant with and into The Siegler Corporation or, in the alternative. in the event of approval of such merger by the stockholders of defendant. from taking any action designed to effectuate or consummate such merger. The first pan of the application need not be considered inasmuch as the court did not stay the meeting of stockholders which took place on September I I, 1957. At this meeting. of 590,963 outstanding shares of common stock of Unitronics, the holders of which were entitled to vote on such proposal, 482,093 shares, constituting 82% of such outstanding shares, were represented by proxy or in person at such meeting. The holders I *9 *3 I of 469,726 shares. representing 80% of the outstanding shares voted by proxy or in person in favor of such proposal. The holders of 12,367 shares, representing 2% of the outstanding shares, voted by proxy or in person against such proposal. 1•10341 The test to be applied to an application of this nature was succinctly stated by Peelcham. J.. in Gamble v. Queens County Water Co. (123 N. Y. 91.99): me47."To warrant the interposition of the court in favor of the minority stockholders in a corporation or joint-stock association, as against the contemplated action of the majority, where such action is within the corporate powers. a case must be made out which plainly shows that such action is so far opposed to the true interests of the corporation itself as to lead to the clear inference that no one thus acting could have 1**7721 been influenced by any honest desire to secure such interests, but that he must have acted with an intent to subsen•c some outside purpose. regardless of the consequences to the cotnpany and in a manner inconsistent with its interests." Plaintiff lo.941 has failed to meet this test by a wide margin. Motion denied. k" THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY *** Copyright 4') 2016 CourtLink Corporation UNITED STATES DISTRICT COURT DISTRICT OF MASSACHUSETTS (Boston) Wright v. Lander et al PLAINTIFF: Wright. Ernest For Internal use only For internal use only SONYGEL00061145 CONFIDENTIAL - PURSUANT TO FED R.cONE I DENTIAL DB-SDNY-0023970 EFTA_00171657 EFTA01297715 DEFENDANT: Lander. Stephen N: Kahn, Richard D; Hart. Patrick M; Dawiczyk, Jill P DOCKET CASE NUMBER: I :04cv 11118 FILING DATE: 5/25/2004 JURISDICTION: Federal Question JUDGE: Gonon, Nathaniel M NATURE OF SUIT: 470 RICO FILING TYPE: Civil CAUSE: Racketeering (RICO) Act18 USC 1961 JURY DEMAND: None STATUS: Cast Closed PLAINTIFF ATTORNEY(S): Wright, Ernest ICOR LD NTCI 43 COPELAND STREET #1 BOSTON. MA 02119 617-442-1312 PRO SE THE COURT UPDATED THIS RECORD ON: 09/07/2005 12:00:00 AM For Internal use only For internal use only SDNY_GM_00061146 CONFIDENTIAL - PURSUANT TO FED R.QPNE I DENTIAL DB-SDNY-0023971 EFTA_00171658 EFTA01297716