EFTA01460177.pdf

Section B HOWtO COMPlefe Appendix 1 Appendix l• Controlling persons The person completing the form should complete this Appendix for each person who is a "Controlling Person" of the Entity, but only if the Entity has a tax residence outside the United States. Who are Controlling Persons? The term "Controlling Persons' means the natural persons who exercise control over the Entity. This will vary between jurisdictions and different types of entity but for the purposes of completing the Self-Certification it is based on the Anti- Money Laundering (AML) and Know Your Client (KYC) requirements applicable to Deutsche Bank Wealth Management Americas. You will previously have provided AML and KYC information for the Accounts when they were opened and when the records of Deutsche Bank Wealth Management Americas were updated. If you wish to receive further guidance on this, please contact your Relationship Manager. By way of example, in the case of a trust, such term means the settlor, the trustees, the protector (if any), the beneficiaries or class of beneficiaries, and any other natural person exercising ultimate effective control over the trust. For a corporate vehicle, such term means the directors or officers of the entity as well as the natural person(s) who directly or indirectly holds 25% or more of the capital, shares or controls 25% or greater of the voting rights. For other types of legal entity, please consider the way in which it is operated and who exercises decision making powers in respect of it. The Controlling Persons will include natural person(s) who exercises control over 25% or greater of the property of an entity and any natural person(s) who otherwise directly or indirectly exercises a controlling influence on the management of assets or property or the distribution of income. WM167720023743.041516 Page 2 d5 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0121221 CONFIDENTIAL SDNY_GM_00267405 EFTA01460177