EFTA Document EFTA01371649

Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York NY 10022 tel l fa ce On Apr 17, 2018, at 10:31 AM, Martin Zeman wrote: Classification: Confidential Richard, I am following up on my email from last week. We are extending Southern Financial LLC to be able to trade credit derivatives as well as equity derivatives. Would you please kindly fill out the attached form and return? Also, would you please respond by confirming the date of birth for Darren and yourself as well as the nature of business for Southern Financial LLC: Date of Birth for the Legal Re_ 0 Darren K. Indyke o Richard Kahn Clarification of the Nature of Business o Private investment vehicle; allocates capital across various asset classes and trading strategies. Thanks Martin From: Martin Zeman Sent: Wednesday, To: 'Richard Kahn Cc: 'Paul Barrett >; Xavier Avila < >; Stewart Oldfield Su, ect: CRS + UK FATCA form (C] ril 11, 201812:14 PM Classification: Confidential Richard, ; Liam Osullivan >; Davide-A Sferrazza We are working on extending Southern Financial to trade Equity and also Credit Derivatives. Our Verification team noticed that we are missing this one form (attached) to complete the file. The reason CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065126 CONFIDENTIAL SDNY GM_00211310 EFTA01371649