EFTA01269637.pdf

II First Bank Document Checklist for Business Accounts File Together we are one bnportant note: Please refer to the Account Opening Procedures for pecific information on the various types of documents required at account opening. Account Title: Freedom Air Petroleum, Lie Account Number Date Opened' i1f 1 4—I 5. , - NIA Reel 0 ,44'..;,.."--- S' : • -• , Signature Cads Customer Due Diligence for Business — Entities (eff. 611112010) Customer Due Diligence for Additional signers or Authorized Signatures on Business Entities Accounts (elf. 611112010) Observations at Place of Business OFAC/PLC (print evidence of verification) (611112010 for new octant clients without an active deposit account al the time of account opening) Document Checld st (or Business Accounts File —NNNS-2464-0711R ._. ECR Checklist Individual Account for Personal Purposes NNNS-2544 (E0.6/1112010) ECR Individual Axount for Commercial Purposes NNNS-2540 (efl. 06/ I 1.2010) ECR Checklist for Unincorporated Association or Organizations Account (league, Club, Class, Fund raising. religious. civic. c) NNNS-2538 (eft 611112010) ECR Checklist for Corporate Accounts (For-prat or not-for-profit) NNS-1281 (eft. 611112010) ECR ChecPJst for Special Partnership Account (for profit and not-for-profit) NNNS- 2539 (eft 6/1112010) Covered Person Certification NNNS-1333 (off. 611112010) Appropriate W-8 Form c‘ W-9 Form (if non-U.S. entity) (eft 611112010) Disclosures that must be given to client: Rates and Fees Schedule Account Agreement FDIC Insuring Your Deposit Brochure (USVI only) Notice of Negative Information Disclosure Check ig if Is completed Other Documents or Remarks WA if not a . • Icable Cerium of Mom:oration or Cerbfcate of Oualficabon (la U.S. based corporation) Businesaarade License (current) Centr-ate of Good Sniffling Articies or Incorporation (stamped by the Once cr the Lieutenant Governor d USVI and tie Registrar of Companies in the BVI) Certificate of Trade Name Corporate Resolution (with tamale Seal) Corporate Resolution and Corporate Authorization and Indemnity Agreement for Telephone/TelezNacsimileNVritten Instructions. (This document is only required if client requests fund transfers by phone, fax or messenger) Partnership Leger and Scanty Agreement ElusinessArade License (amen° Partnership Agreement (if a exists) Dedicated Trade Name Of applcatre) Certficate of titled Partnersht (if applicable) Resolute?) Metre Partnership contains Corporation as a Partner (if appltable) Partnership Contains Limited Liatility Company as a Partner (if appicabk) Partnership Contains Trust as a Partner (if applicable) Partnership Contain Joint Venture as a Partner Of applicable) Security Procedure Agreement rat TenphonefFax %seen% it Payment Orders a Request for IMomatioial Crafts Of requested) CONFIDENTIAL rnmpinrNiTilli-- SONY_GM_00013827 FirstBankPR000990 EFTA_00124470 EFTA01269637  Certificate of Trade Name (if applicable) Corporate Resolution a Unircerporated Association Resokifion Certficate of Incorporation or CertiAcate of Authority kr Foreign end Foreign NonRiofil Corporation (II Incorporated) Arfdes or Incorporation Of incorporated) Certficate of Good Stiarding (if BVI caporaaonfor more than twelve months) (if incorporated) Corporate Restitution and Corporate Authorization and Indemnity Agreement fa Telephoneffelexifacsimile/Written Instructions (This document is only required if thent requests fund bangers by phone, fax or messenger) - if incorporated Security Procedure Agreement for Telephone/Fax Issuance of Payment Orders a Request for International Crafts if uested - i uni .. .gated Limited Labile/ Company Letter and Secudy Agreement Business/Trade License (current) Operating Agreement Articles of Organization or Certificate of Formation (non-bank form - if the PU.0 n a 'Weil PLLC Certificate of Existence Security Procedure Agreement for Teiaphonefax Issuance of Payment Orders or Request for International Drafts (if requested) - if unincorporated Limited Lebtitn Connery Contains Corporate MenterifiAtnager (f applicable) Ignited Liability Company Contains Lanced Liabity Company as a Member/Manager Of amicable) Limited Liabfity Company Contains Limited Liability Partnership as a lAemberAAanager (if accerable) Limited Ucerlity Company Contains Partnership as a Member/Manager (if appicable) limbed Liability Company Ccntains Trust as a Alember/Manager (if applioable) UMW Liable/ Company Unincorporated Assooation as a litertterffilanager (if appecable) Limited l"lity Compary Cattails Joint Venture as a MernberAtanager (4 applicaole) ... rat: -Ittr 2 r , _ Corporate Resolution Certificate of Incorporation or Certificate of Qualification (II a U.S. based corporation) Articles of Incorporation (stamped by the Office of the Lieutenant Governor) Businessffrage License (current) Corporate Resolution and Corporate Authorization arid Indemnity Agreement for TelephoneffelexcacsimileMiten InsUuctions. (This document is only required if client requests fund transfers by phone, fax or messenger) iazi,!.:41,1 iii i-,•:, 1 ,i- a United liability Company Letter A Scorn Agreement Business/Trade License (current) v (.4-J..ckit t vc\- Certicale of Trade Nacre (if applicable) i 1\ (rm, Lk.) Operating Agreement Anicts of Organization or Certificate d Fonnallon (noribank forrnmquied If the LC newer( LLC) v Celibate of Existence Security Procedure Agreement for Telephone/Fax Issuance of Payment Orders or Request for International Drafts (if requested) Limited lbbillty Company Contains Corporate MembenlAanager (4 appicable) Limited Intik Company Contains Limited Liability Company as a IhernberManager (if applicable) Limited Lieber), Company Contains Limited liabitty Partnership as a Member/Malaga (if C\ applicable) Limited LiebAty Company Contains Partnership as a Member/manager (4 appicabe) Limited Whitey Company Contains Trust as a Member/Malaga of applicable) ,,... 0 Limited Liability Co perry Contains Unincorporated Association as a Member/Manager (if / applcable) / Limited Liability Company Contains ,obit Venture as a Meinber/Manager (if applicable) / ... Limited Liability Partnership Letter and Security Agreement Certncate or Limited Partnership Minted Partnership) — Not required when openIN accounts for law fens or sceurity brokerage houses Cadent. of Existence Business/Trade Lame (current) Operating Agreement Statement of Oualiftcem or Statement of Foreign Ovatficalicin Certificate of Trade Name (W applicable) fi SONY _COill_0UU13628 Security Procedure . . Agreement . rTetechonerFax tss o CONFIDENTIAL FirstBan EFTA_0012447 I EFTA01269638  business emMes. Calinti ' TA -1JSVI on Cl_TA Account Nobs° of Financial Institution VILAF Account Woke N Finagle/al Insltutien Business License (currant) Certficale of Trade Name (if applicable) Refer to the Accotast Opening Procedures la additional doarnents reqtired for deferent types of business entities. - .•.t.71 A legal doamen(s) M which k states the mime of the pest° acting as.:. Mar executor or adds and Estill:ashes hMber authorities litre PAC is an Uns.incited Assodaten. then a letter signed by the president of the association stating the association purpose and an Unincorporated Association Resolution is required. if the PAC is a Nor lotProfit Comoraton, a Certificate of Incorporaticn fora Non-Stock Corporator .s required_ A certification from the IffOn Islands Board of Blocked Check RIHie *Wined or Remarks Additional Documents (supporting documents) WAIInot applicable _ Inane Verification Professional association directory Itersetina boachunas. business Web stle aid other market made Site Photos. Utilities invoices (water. enceidty, apnoea) Sample of entity stationery (presentation card, letter heal over, envelopes...) Other Other. Other. Other Other Other: Other SDNY_GM_00013829 CONFIDENTIAL CONFIDENTIAL FirstBankPR000992 EFfA_00124472 EFTA01269639  - 1 First Bank Checklist for Special Partnership Account (For ofit) Together we are one Branch Number Account Number Initials am! Review Date Document Action Comments I" Yica l a Reviewer • isaw. Dale Ais Basic documents for ALL types of accounts Customer Due Diligence Commercial/Entities Complete for business entity. I Account file NNNS-1307 Customer Due Diligence Authorized Signatures I Account file One per each signer NNNS-1306 Account Referral Sheet NNNS-I272 I Account file Only when the client is not present 1\\VIT i\V ii Observation at Place of Business (OPB) I Account file r NNNS-246O Partnership Bylaws or Ankles of Incorporation E Account tile Copy Yt Partnership, LLC. LLP Security Agreement NNNS-2 198-04 IOR.or NNN$-2199.0802 I Account file NNNS-2200-0802 or NNNS-22Q1.0604[( ID Verification Results Summary (ID CHECK & One per entity and one per OFAC) or evidence of the verification used in I Account tile each signer. if applicable contingency. One per entity and one per CIIEXSYSTEM Repon Result I Account file each signer, if applicable Photocopy of original CV , Business License L Account file document Applies to candidates for government elective Territorial Election Commission Certification C Account file positions. Photocopy of (\ V I original document. Cardholder: one Digitalize for checking . qv. Signature cards M alphabetical and one accounts numerical <K) ( / 4 •. • Deposit Account Agreement NNNS-2092-0508R USVI P Provide to client NNNS-2377-I 104 BVI Additional documents for CHECKING ACCOUNTS Rates and Fees Schedule Disclosure NNNS-2091-1006R USVI I Provide to client NNNS-2132-1206 BVI f; ;Same Certificate of Deposit Agreement One for file and one NI NNNS-0958 for client (\k0 Only if there was a special Evidence of Negotiated Interest Rate, if applicable I Account file quote. atO Legend: P = Purchasing M = Mosaic I = Intranet E External (s) Spanish e) English NNNS-2539-0611I1 SDNY_GM_00013030 CONFIDENTIAL CONFIDENTIAL FirstBankPR000993 EFTA 00024473 EFTA01269640  First Bank Customer Due Diligence for Business - Entities -.Uwe A twtint Pliwrawar Existing Account Number Business or Entity name: Employer Idontifcatlortor Social Security Number Freedom Air Petroleum, LLC IAA Name (lf applicable): Social Security Number (If applicable): Physical Address: Mailing Address: Middle Bay General Aviation Hanger 6100 Red Hook Qtr B3 Cyril E King Airport St Thomas Vi 00802 St Thomas, VI 00802 - • _ Business Phone: Fax: Email: 2. Business/Entity Description Typo of Business: Gasoline Storage NAICS: 424720 Annual Sales: N/A Date Established: 12/12/2011 Number of Employees: 1 Number of Offices: 1 0 DBA 0 Corporation 0 Nonprofit Corporation 0 Partnership 0 Government Agency 0 Unincorporated Association or Entity 0 Limited Liability Company Type of Entity 0 Other. 3. Type Of Product 0 Certificate of Deposit Checking 0 Saying 0 Loan OO•Wri specify 4 Account Purpose ❑ Payrou M Operational 0 Trust 0 Public Funds 0 ATM Machine ❑ Escrow 0 Transfer Funds O corresponsal ❑ investment 0 Other 5. Expected Transactions Monthly Transactions Transact:Ions 1-10 0 11 - 20 0 21 or more. Total Amount 0 $1 - S5,000 0 $5,001 - 525,000 9 $25.001 o more Credits 0 Cash 0 Psyrol 0 Accounaransfers ❑ ACH 0 Checks 0 POS Transaction Type 0 Electronic Transfers Other: Wire Transfer Transactions 9 1 -10 ❑ 11 - 20 O 21 or ineCe. Total Amount 0 - 55,000 0 55,001 - 525,000 9 $25,001 o more Debits 0 Cash 0 Payroll 0 Account Transfers 0 ACH N Checks 0 POS Transaction Type 0 Electronic Transfers 9 Other. Wire Transfer 0 International Transactions —Wire Transfers rl.rf • 0 Incoming Transfers E Outgoing Transfers - 0 Daily 0 Weekly 0 Monthly. 0 Daily D Weekly • Monthly. Transactions • 1 -10 NI it - 20 • 21 - 50 • 51 or more. Transactions 0 1 -10 0 11 - 20 • 21 - 50 • 51 or more. Total Amount 0 S1-526,000 0 525.001-$500.000 0 3500,0010 more. Total Amount 0 St -326.000 • $250e1 • $500,e0e 0$500,0e1 emote Countries Countries . Initial Deposit and Origin of Funds Initial Deposit _ _ _ Origin of Funds:nAtil ill U n enn If the initial deposit is greate than $500,000; indicate the source of wealth: 7. Client Classificati. n • Me answer is yes to et least one of the foilowng, the Oen( wit be conoderted t ih nsk and further ashen is needed as estabtsh in the Due Dacron, Cholas:- Guidance For Individuals or Tates Considered as High Risk • iron answer lo a E, orF is yes then authenztekon from The Complexe Decartment- ESA Divisen u reqokaO Yes Nc A. Is the NAICS selected high risk? O C B. Does the business have a private ATM machine on site? O a C. Is the business a nonprofit organization? O a D. Is the business a political committee or organization? ❑ a E. Is the business related to an officer of a foreign government? Indicate the type of relationship: ❑ a orm===cNoiereveroit F. is engaged in activates re 'to to et a tin 1 cr.= _ iasiaisma 0 CONFIDENTIAL • • •• FirstBankPR000994 EFTA_00I 24474 EFTA01269641  Business Verification Results Page 1 of 1 Business Verification Results for Freedom Air Petroleum, LLC RESULTS SUMMARY OFAC CHECK: PASSED IDV RESPONSE: NO MATCHING RECORDS FOUND FOR ENTITY Override Comments: On 02/10/12 at 09:09:18 Madelin Colon Added: Cleared - Other (type in reason)SS-4 form dated 12/19/2011 was received from client in addition to the Articles of Incorporation and the Operating Agreement. INPUT DATA 7 I EIN: i Name: ee•om Air Petroleum, LLC Address: Middle Bay General Aviation Hanger Cyril E King Airport St Thomas VI 00802 Phone: Account number: Account Status: OPENED print This - Close IMPORTANT INFORMATION FOR CONSUMER REPORT & IDENTITY VERIFICATION SERVICES This consumer/business data is being furnished in connection with a transaction initiated by the consumer, and / or in accordance with the written instructions of the consumer, to whom the information relates as provided for under the federal Fair Credit Reporting Act (FCRA) or the Gramm Leach Bliley Act (GLBA); or is being used in connection with account review as provided for under the FCRA. The data contained in this report may be viewed or printed for no other purpose. Information returned in Consumer Report services may not be viewed or printed in connection with making a pre-approved firm offer of credit (prescreen). https://production.penleyinc.cottnriffrntarrAt=print&oidotitum)Sbelidul y, P.,/ CONFIDENTIAL FirstBankPR000995 EFTA 00124475 EFTA01269642  QualiFile (NAC) Page 1 of 1 IMPORTANT INFORMATION FOR CONSUMER REPORT & IDENTITY VERIFICATION SERVICES This consumer/business data is being furnished in connection with a transaction initiated by the consumer, and / or in accordance with the written instructions of the consumer, to whom the information relates as provided for under the federal Fair Credit Reporting Act (FCRA) or the Gramm Leach Bliley Act (GLBA); or is being used in connection with account review as provided for under the FCRA. The data contained in this report may be viewed or printed for no other purpose. Information returned in Consumer Report services may not be viewed or printed in connection with making a pre-approved firm offer of credit (prescreen). Business Information Response Business Information (As Entered) Freedom Air Petroleum LLC Fod Tax ID: Middle Bay General Aviation Hanger St Thomas. VI 00802 Non FCRA Identification Information Federal Tax Id & Business Name Match : No C hexSystemse History No Closures Found No Purchased Debt Found No Previous Inquiries Found Inquiry ID 528495928 Reference Detail Transaction Tracking ID: 1328886619276.243 UXAP302P_Z1. Print This Page - Close https://production.penleyinc.coCtiVrilliEnstaisArt.derepordiracmBabilikal 2 (y CONFIDENTIAL FirstBankPR000996 EFTA (()124476 EFTA01269643  rem (an.Docombor 20th W-9 Request for Taxpayer Give Form to the requester. Do not Int Dopeviert end es* frown ore Identification Number and Certification send to the IRS. Reim Sink. Name foe storm a your Income to. 'Mum) Freedom Air Petroleum LLC Norms nemeideregards • reaty raw. If efferent earn Emma See Specific Instructions on page 2. Chock appropriate box for Iteeml tax dassikeatem CI inernicksalisclopropnttor 0 C Coreombon In SCorromhon I: Pannusw :I trust/swats Print or type 0 exert mos o Limited Meaty company. Eater me tax dessiksoon CA.' C cc:rearm:rm. b -f, capons' es, P.pamesh/el .' -- ----- 0 otow boo ham/long . Disregarded entity Address (number. seen, end apt or MR. ns4 Regarna rem end MMUS OpOunel) 6100 Red Hook Quarter 83 Coy, state, and ZP code St. Thomas, USVI 00802 List account nunter(s)nere Coronae Part I Taxpayer Identification Number (TIN) Enter your TIN in Uk, appropriate box. The TIN provided must match the name given on the "Name brie Sods escurItymember to avoid bookie withholdm3 For inch/Idols, mist your social soot:Mynumber (SSN). However, for a resident akm, sole proprietor. or disregarded entity, see the Prat I Incr./alone on page 3. For other entitles, it Is your employer klen:Itk.ation -umber (Elh9. If you do not have a number, see Now to got a TIN on page 3. Note. If the account Is in more tnan one name, see the chart on page 4 for gudelines or, whose gesPleYer klenttleaton number number to enter. Law Certification Under penalties of eerier'''. l certify that: 1. The number shown on Ids form Is my correct taxpayer Identification Ranter (cetera wring bra number to be issued to me). and 2. I am not abject to backup welt:ring bemuse: (a)1am exempt from backup wilhaddifig. or (b) I have not been notified by the Walla' Revenue Santee (IRS) that I am subject to backup withholding Namur': of a I astute to report all interest Cr desiderata, v(0) the IRS has notified me that I am no tenger subject to backup withheacilrog, and 3. I ein a U.S. citizen or other U S. person (defined below). Certification instruct ions. You must cross out kern 2 above if you rave been notified by tile IRS that you are currently subject to backup withholding Iacono you have failed to report all interest and dividends on your tax return For real estate trarnactkas, hem 2 does not appty. For mortgage interest pall acquisition or abandonment of secured property, cancellation of debt, ccnblbutlona to an individual retirement arrangement ORA). and generally, payments other than Interest rd dracencis, you are rot required to sign the certification but you must provide your correct TN. See the rstructions on page 4. Sign Signature ol Here U.S. persons Coto a Z/0/1 General Instructions Note. If a requester roe you a form Other than Form W-9 to request your TIN, you must use the requester's loan If it Is substantially similar Section referenceS are to to Internal Revenue Code Wan OthOCWIse to this Form W4). noted. OefIntlion of a U.S. person. For federal tax purposes, you are Purpose of Form Coreldered a U.S. persona you are: A person who Is required to file an information return with the IRS mist • Pa inclvidual who Is a U.S. citizen or U.S. resident alien, obtain your correct taxpayer Identification number (TIN) to report, for • A partnership, corporation, company, or aSSOCIallon created or example, income paid to you, real estate transactions, mortgage Interest organized in the United States or under the laws of No United States. you paid, acquisition or abandonment or secured property, cenCel eten • An estate (other than a foreign estate), or of debt, or oontjtutlons you made to an IRA. • A domestic trust (as defined in Regulations section 3013701-7). Use Form W-9 only If you are a U.S. parson @tektite a resident alien), to provide your correct TIN to the person requesting it (the Special rules for partnerships. Partnerships that conduct a trade or requester) and, when appficablo, to: business in the (kited Slates are generally nxitrired to pays sathholding tax on any foreign owners' share of 111C-0010 from such business. 1. Certify that the TIN you are giving Is correct ler you are walling for a Further, In certain cases whore a Form W-9 has not been received. a number to be issued). partnership Is required to dreamo that a partner is a foreign person, 2. Certify that you are not subject to backup withholding. or and pay the withholding tax. Therefore. 1 you arc a U.S person that is a 3. Clan exemption from backup wrihnokiing If you are a U.S. exempt partner in a pannerstip conducting a trade or business in the United payee. If appkable, you ore also cenilying that as a U.S. person, your Stales, provider Form W-9 to tic partnership to establish your U.S. allocable shwa of any partnersdo income from a U.S. trade or business status and avoid witNolding on your share of partnership income. t not subject to the sr/Annotate tax on foreign partners' share of chootively connected Income. Cm. No. 10231% Form W-9 (Rev. 12.2011) SDNY_GM_00013834 CONFIDENTIAL CONFIDENTIAL FirstBankPR000997 EFTA_0012477 EFTA01269644  Customer Due Diligence For Additional 1 First Bank Signers on Individual Accounts or Authorized Signatures on Business Entities Accounts Existing Account Number Account Number which Is attached to the Signer 1. Authorized Signer Information Name: Jeffrey Initial: Last Name: epstein Date of Birth: 1/20/195.3_ Place of Birth: NY Social Security: MOM Citizenship: USC Home Phone: Other: Physical Address: Mailing Address: Utile St James Island 6100 Red Hook Qtr B-3 St Thomas, VI 00802 St Thomas, VI 00802 Place of Employment Financial Trust Company, Inc Employment Address: Occupation: Financial Consultant 6109 Red I-look Qtr B-3 Work Phone: St Thomas, VI 00802 Email: Relation Account Me: Owner ID Type Number Country 1st DA. 0000000029913 Vi 2nd PP 207320604 US 10/10/2012 2. Income Recurrent Source: 23 Own Business 0 Private 0 Government 0 Other. specify. Annual Income: 0 $0.01 - $50,001 $50,001 - $150,000 0 5150.001- 5250.000 0 Over $250,000 • tf the Gnaw is yes for 4 and C el the folknobg questions. the dent will be considered high risk and further action is needed as eslabish in Inc Due Noenee Checidist.Guidance For individuals or Enttes Considefee as KphRut • If the answer to C is yes, then euthodzatior from the Conpriance Department8SA Division is rewired. Yos No A. Indicate whether the client is a nonresident alien: (NAICS #100000) El El B. Indicate whether the client is a resident alien: (NAICS #200000) 0 0 C. Indicate whether the client is related to an officer of a foreign government end document the type of relationship: 0 (NAICS #400000) 4. Verification System- For use only as Contingency Plan if CHEXS YS TEM was called Name of the Representative who attended your call: Response to Social Security: Year: State: Other: Response on Industry Behavior: Response on ID: 5. Account Opening Authorization El Approved Denied kk.702 1°) - Name air No. Comments, if applicable: Pitt4S-1303-1111 S0NY_GM_00013835 CONFIDENTIAL CONFIDENTIAL FirstBankPR000998 EFTA_00124478 EFTA01269645  Customer Due Diligence For Additional I First Bank Signers on Individual Accounts or Authorized Signatures on Business Entities Accounts Existing Account Number Account Number which le attached to the Signer 1. Authorized Signer Information Namo: Jeanne Initial: Last Name: bromism Date of Birth: Place of Birth: NY Social Security: Citizenship: USC Home Phone: Other Physical Address: Malang Address: 6501 Red Hook Ste 201 St Thomas, VI 00802 Place of Employment: Financial Trust Company. Inc Employment Address: Occupation: CPA 6100 Red Hook Ott B-3 Work Phone: St Thomas, VI 00602 Email: Relation Account Title: Manager ID Type Number Country 1st PP US Voters VI Recurrent Source: ❑ Own Business El Mate ❑ Government ❑ Other. spedfy: Annual Income: $0.01 - $50.001 ❑ $50,001 - $150,000 ❑ $150,001- $250,000 ■ Over $250,000 3. Client Classification • If the mavens yes for A andC of the Wow° gunstock the dent int/be con:daredhigh risk and further action is needed as establish in the Duo Oegence Cheokkr-Guidence For Inclaiduals or Entities Considered as H.gh Risk • tithe anseet to Ch yes, then authorization from the Conalltere DoparltnoniSSA DMslon is requited. Yes No A. Indicate whether the client is a nonresident alien: (NAICS #100000) O 0 B. Indicate whether the client a a resident alien: (NAICS #200000) O 0 C. Indicate whether the client is related to an officer of a foreign government and document the type of relationship: O 0 (NAICS 0400000) 4. Verification System- For use only as Contingency Plan if CHEXSYSTEM was called Name of the Representative who attended your call: Response to Social Security: Year: State: Other: Response on Industry Behavior: Response on ID: 5. Account Opening Authorization HMS-13084111 SONY_GM_000 13836 CONFIDENTIAL CONFIDENTIAL FirstBankPR000999 EFTA_00124479