EFTA Document EFTA01435813

Subject: FW: SFLLC - FAfTA Tax Dnnimentatinn [C] From: Liam Osullivan Date: Wed, 18 Apr 2018 14:13:55 -0400 To: Stewart Oldfield <E > Cc: Davide-A Sferrazza Martin Zeman Classification: Confidential From: Richard Kahn [mailto: Sent: Friday, November 17 2017 4:14 P To: Liam Osullivan Subject: Re: SFLLC - FACTA Tax Documentation [C] hopefully early next week thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New tel fax cel I On Nov 17, 2017, at 4:13 PM, Liam Osullivan a wrote: Classification: Confidential EFTA01435813 Hello Richard, I just wanted to follow up on the FACTA Tax Documentation. Do you have a time frame in which you expect to be able to provide the documents? Thank you, Liam From: Liam Osullivan Sent: Wednesday, November 08, 2017 12:21 PM To: 'Richard Kahn' Cc: 'Paul Barrett >; Martin Zeman Sferrazza < ; Vahe Ste anian ; os ua os an < Subject: FW: SFLLC - FACTA Tax Documentation [C] Classification: Confidential Richard, Please see below for more details on our FACTA request. ; Davide-A EFTA01435814 Thank you, Liam FATCA US tax regulations, including the Foreign Account Tax Compliance Act (FATCA), require Deutsche Bank AG and its affiliates ('Deutsche Bank') to review and update the US tax information held on file for its existing clients. What this means for you We have reviewed the account information held on file and due to one of the reasons listed below, you are required to furnish us with a US tax form: US tax form provided has expired US tax form has failed validation Missing or incorrect documentation Please review the list of your accounts below and return the appropriate tax form(s) to us within 14 days via email to: Outreach-FATCA@db.com. In your response please be sure to include the legal entity name and DB reference number(s). DB Reference Number Legal Entity Name DB Entity 1007406812 Southern Financial, LLC DB AG (London) EFTA01435815 Once we have reviewed your form(s) we will contact you if any additional information is required. If you provide a single US tax form we will apply it to all the accounts referenced in this letter unless you specify otherwise. If you are not able to provide us with a US tax form, please inform us of the reason by replying to the email address above or by contacting your Deutsche Bank Relationship Manager. Failure to provide a form may cause your account(s) to be subject to US tax withholding and/or reporting. US Forms: US persons should provide a US tax form W-9. If you are not a US person you should provide one of the forms listed below. You can download the applicable forms and instructions from the IRS website at www.irs.gov. US Tax Form Description W-8BEN Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals) W-8BEN-E Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) W-8ECI Certificate of Foreign Person's Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States W-8IMY EFTA01435816 Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain US Branches for United States Tax Withholding and Reporting W-8EXP Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding and Reporting Please consult your tax advisor regarding the appropriate form(s) to provide and how to complete them. If you have any non-tax questions, please consult with your Deutsche Bank Relationship Manager. If you have accounts with multiple Deutsche Bank entities, you may receive additional requests for information. For tracking purposes please ensure you quote the DB ID in the title of your emailed reply. Thank you for your cooperation. Yours faithfully, FATCA Outreach Team Client Data Services I COO Global Markets Operations Deutsche Bank Birmingham Five Brindle lace B1 2JB Birmingham, United Kingdom Email From: Liam Osullivan Sent: Monday, November 06, 2017 10:26 AM To: 'Richard Kahn' Cc: 'Paul Barrett Martin Zeman Sferrazza ; ; Vil liar Joshua Shoshan in aheStear ) Subject: SFLLC - FACTA Tax Documentation [C] ; Davide-A EFTA01435817 Classification: Confidential Rich, We are required to obtain the attached FACTA tax documentations for the Southern Financial LLC account. Thank you, Liam <image001.gif> Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154-0004 New York, NY, USA Tel. Email This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication EFTA01435818 in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01435819