EFTA Document EFTA01298648

NAME SEARCHED: Plan D, L LC 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 lin 0 Not Required I. RDC Results No RDC Alert (Please See Attached) • tilt FIRCOSOFT 0 No Hit 0 Not Required K i tit II. FIRCOSOFT Results No FIRCOSOFT Alert (Please See Attached) Ills III. Negative Media No Information Found o Yes No Not Required IV. Non-Neptive Media No Information Found V. Other Latigualce Nledia No Information Found D&B Rauh& 0 Yes 0 No VL D&B Information Found (Please See Attached) E Not Required SMARTLINX Results? 0 Yes rig No 0 Not Required VII. Smart lim No Information Found COURT CASES 0 Review by Legal May be VIII. Court Cases No Information Found Required CC No Results 0 Search not required Prepared by: Priyanka Sharma Date: 10/01/2018 Research Analyst Instructions: 1. 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:Martindale-Hubbellhttp://www.martindale.comhp/Martindaleihome.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. S. 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 For internal use only CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL S0NY_GM_00063566 DB-SDNY-0026391 EFTA_00174074 EFTA01298648 Page 2 OFAC RESULTS RDC: Inquiry Id Response Type Tracking Id Name Address Date of Bath/Age 11641150 No Match Found KYC 01977694 .41. Plan D, LLC VIRGIN ISLANDS, U.S. FIRCOSOFT: 30052200 [NR _300522002182 Company Plan D, LLC No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: No Infommtion Found Non-Negative Media: No Information Found Other Language Media: No Information Found D&B: Copyright 2018 Dun & Bradstreet. Inc Worldbasc March 7, 2018 PLAN D LLC I 6100 RED HOOK QTRS (registered address) ST THOMAS. VI 008021348 USA COUNTY: SAINT THOMAS For internal use only For internal use only SDNY_GM_00063567 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0026392 EFTA_00174075 EFTA01298649 Page 2 REGION: NORTH AMERICA COMMUNICATIONS TELEPHONE: 2129711314 COUNTRY CODE: 0001 CABLE TELEX: I NMNNANP COMPANY IDENTIFIERS DUNS: 08-111-5986 COMPANY INFORMATION FOUNDED: 2018 LEGAL STATUS: Proprietorship EMPLOYEES HERE: 2 - Estimate EMPLOYEES TOTAL: 2 - Estimate COMPANY TYPE: Private ***** * * * * *DESCRIPTION EQPT RNTL LSING N MARKET AND INDUSTRY SIC CODES: 7359 - Equipment rental/leasing 853.460 (US Dollars) Public Record: 1 OF 1 RECORD(S) SmartLinx Comprehensive Business Report Report Created:10-01-2018 1:13 PM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright €) 2018 LexisNexis. All rights reserved. Search Terms - company(Plan D, LLC) radius(15) Executives - Current (0) IncorporatiorbSOS (1) Operations Sites (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) Judgmerts 8 Liens Filings (0) UCC Filings (1) Executives - Prior (1) Registered Agents (0) Name Variations (2) Possible Employees (0) Person Associates (0) Business Associates (2) TI Ns (0) Possible Connected Parent Company (0) Industry Information (1) Business (0) View All Sources (4) Business Summa Name Address Phone PLAN D LLC 2629 Sudderth Dr Ruidoso, NM 88345-6302 Lincoln County LexID Established TIN 0001-1416-9672 2013 (5 Years in Business) For Internal use only For internal use only SDNY_GM_00083588 CONFIDENTIAL - PURSUANT TO FED R.CONE I DENTIAL DB-SDNY-0026393 EFTA_00174076 EFTA01298650 Page 3 At a Glance Real Property 0 UCC Debtor 1 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. PLAN D LLC 2. PLAN 0. LLC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incor •oration/SOS 0 active, 1 other NO. NAME PLAN D LLC FILING TYPE STATUS N/A FILING DATE 10/20/2006 FILING NO. 2793446 STATE Additional Details Business Status: N/A Filing Type: SOS Filing Expiration: 11/20/2008 For Profit: Unknown Origin: Other Business Filing OperatingLocations - Showing 1 location(s) NO. ADDRESS METRO AREA PHONE 1. 2629 Sudderth Dr Ruidoso. NM 88345-6302 Lincoln County LINCOLN COUNTY Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information SIC NAIC 7299 Miscellaneous Personal Services, Nec 541990 All Other Professional, Scientific, and Technical Services 812990 All Other Personal Services Industry Description: SERVICES Business Description: Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) For internal use only For internal use only SDNY_GM_00063569 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0026394 EFTA_00 I 74077 EFTA01298651 Page 4 UCC Filings (1 debtor, 0 creditor) NO. ROLE STATUS ORIG. FILING DATE ORIG. FILE NUMBER JURISDICTI ON FILE TYPE 1. Debtor Active 05/23/2013 201300089358 NM Amendment Filing Office Information SECRETARY OF STATE/OPERATIONS BUREAU/UCC DIVISION 325 Don Gaspar St Ste 300 Santa Fe, NM 87501 Filing 2 Filing Number. 20179730469G Filing Date: 10/25/2017 Filing Type: AMENDMENT Expiration: 05/23/2018 Debtor 1 DREAM CATCHER CAFE 2629 Sudderth Dr Ruidoso, NM 88345-6302 Secured Party Info 1 MERCHANT CAPITAL SOURCE LLC 2120 Main St Ste 220 Huntington Beach, CA 92648-7454 Filing 1 Filing Number: 201300089358 Filing Date: 05/232013 Filing Type: INITIAL FILING Expiration: 05/23/2018 Debtor 1 DREAM CATCHER CAFE 2629 Sudderth Dr Ruidoso, NM 88345-6302 Secured Party Info 1 MERCHANT CAPITAL SOURCE LLC 2120 Main St Ste 220 Huntington Beach, CA 92648-7454 Collateral RECEIVABLE OF CONTRACT Real Property (0 current, 0 prior) Personal Property (0 current, 0 prior) Associates For internal use only For internal use only SDNY_GM_00063570 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026395 EFTA_00 I 74078 EFTA01298652 Page 5 Executives: Prior -1 prior executive(s) found NO. NAME TITLE 1. Crawford, Lynn / Moderate Risk *Associated with Other Companies PRESIDENT 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 - 0 businesses found Business Associates - 2 business associates found NO. NAME ADDRESS ROLE 1. DREAM CATCHER CAFE 2629 Sudderth Dr Ruidoso, NM 88345-6302 Lincoln County UCC 2. MERCHANT CAPITAL SOURCE LLC 2120 Main St Ste 220 Huntington Beach, CA 92648-7454 Orange County UCC Sources All Sources 4 Source Documents UCC 1 Source Documents Other Directories 2 Source Documents Experian 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. t General Information Indicator. These symbols inform you that additional information is provided. V The most recent telephone listing as reported by Electronic Directory Assistance. 0 Wireless Phone Indicator. These symbols indicate a cell phone number. (ED 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. Q FAX Indicator. These symbols indicate a FAX number. 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 incorrectly and is generally not freeborn defect This system should not be robed upon as definitively accurate. Before relying on any data this system supplies. a should be Independently verified. For Secretary of Stale documents. the following data is for information purposes only and is not an official record. Certified cocas may be obtained from that rodeidual Rates Department of Slate. Your DPPA Permissible Use is: Debt Recovery/Fraud Your OLBA Permissible use is: Legal Compliance For internal use only For internal use only SDNY_GM_00063571 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026396 EFTA_001 74079 EFTA01298653 Page 6 Copyright 0 2018 LexisNexis. a division of Reed Elsevier Inc. AI Rights Reserved. LEGAL RESULTS: Court Cases: No Information Found For internal use only For internal use only SONYGM_00063572 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0026397 EF1'A_00174080 EFTA01298654