EFTA Document EFTA01380186

Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 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 Reps o Darren K. Indyke 02/19/1955 o Richard Kahn 03/09/1974 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, April 11, 2018 12:14 PM To: 'Richard Kahn' >; Xavier Avila tewart Oldfield Subject: CRS + UK FATCA form [C] Classification: Confidential Richard, ; Liam Osullivan Davide-A Sferrazza We are working on extending Southern Financial to trade Equity and alsb 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-0078422 CONFIDENTIAL SONY GM_00224808 EFTA01380186