EFTA01382028.pdf

K YC Print I. Corporate Documentation Attached (Legal Entities Only) III Yes 0 No 0 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No 0 Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? • Yes • No Is the account structure unusually complex? 0 yes 0 No Is there any indication the client set up a non operating company expressly for the purpose of trairafei ling shares to third parties? m Yes • No Is there any indication this could be a prohibited business relationship? 0 Yes 0 No Are the bearer shares identified subject to acceptable controls? 0 Yes 0 No https:Athforeeph.my.salestorce.comf...RveESqb3INeTRSTXpWYSxhWjAlcjIWZIcwaXNyem.1McjRweml.R.FIXWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0081249 CONFIDENTIAL SONY GM_00227433 EFTA01382028