EFTA01356728.pdf

KYC flint Page 19 of 21 E. To the best of your knowledge, has the client ever been convicted of a criminal ❑ Yes 2 No offense? To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yee 0 yes 1 No provide details below and contact Quality Mgt (LatAin/Int7) or the Regulatory Control Group and notify Compliance immediately) Does the client or related party have any financial or other association / interactions G. within countries or regimes sanctioned by the Office of Foreign Assets Control 0 Yes M No (OFAC)? Does the client or related party have any financial or other association/ interactions H. within high risk countries? 0 Yes EZ No I. Corporate Documentation Attached (Legal Entities Only) ®Yes ❑ No 0 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) D Yes 0 No Z Not Applicable K If LexiWNexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-Englith Documentation: NA L. Special Risk Factors Does the account have Nexus to Special Ask Countries? 0 Yes EZ No I- 1 Is the account structure unusually complex? J Yes l..._ No Is there any indication the client set up a non operating , ... company expressly for the purpose of transferring shares to 0 Yes Y... No third parties? Is there any indication this could be a prohibited business relationship? Di Yes g No Are the bearer shares identified subject to acceptable controls? INI Yes 0 No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid IN30000000D9Di&... 12/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042738 CONFIDENTIAL SDNY GM_00188922 EFTA01356728