EFTA01296359.pdf

NAME SEARCHED: Hyperion Air, Inc PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): No Hit MI Not Required RDC I ADC Results No RDC alert (Please sec attached) • llit No Hit • Not Requinx1 PCR II. PCR Resul4 No PCR alert (Please sec attached) El • Hit O Vt.; No III. Negative Media There was no information found EMS • Not Required IV. Non-Neptive Media There was no information found V. Other Language Media There was no information found Results? M Yes : No There was no information found D&B O Not Acquired Wilt& Result found(Please see attached) &manilas Remits? 0 Yes O No O Not Required VU. Smartlinx O Review biLegal May There was no information found Court Cases be Required 0 No Results VIII. Court Cases O Search not required Prepared by: Keshav Mahajan Date:06/15/2017 Research Analyst Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenienceiblartindale-Ilubbellhttp://st ww.martindale.com/sp/Martindak/home.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. S. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only SONY_GM_00059026 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0021850 EFTA_00169585 EFTA01296359  OFAC RESULTS RDC: - 1, 11602606 No Match Found KYC 1790685 Country: UNITED STATES Hyperion Air, Inc Country:VIRGIN ISLANDS, 111602620 No Match Found KYC 1790685 Hyperion Air, Inc U.S. PCR: C20170637907762 Hyperion Air, Inc 12890472 NCA customised Auto-Closed No-Hit 15/06/2017 C20170637907946 Hyperion Air, Inc 12890472 NCA customised Auto-Closed No-Hit 15/06/2017 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: 1 OF 2 RECORD(S) Comprehensive Business Report For internal use only SONYGivi_00059027 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0021851 EFTA_00169586 EFTA01296360  Page 2 Report Created:6-15-2017 9:56 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright O2017 LexisNexis, All rights reserved. Search Terms - company(Hyperion Air. Inc) tin(13-3621632) radius(15) Executives - Current (0) Incorporation/SOS (0) Operations/Sites (1) Sales (0) Licenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0) MVRs - Current (0) MVRs - Prior (0) Watercraft - Ctrrent (0) Watercraft - Prior (0) Aircraft • Current (0) Aircraft - Prior (3) Bankruptcy Flings (0) Judgments & Liens Filings (0) UCC Filings (0) Executives - Prior (0) Registered Agents (0) Name Variations (1) Possible Employees (0) Person Associates (0) Business Associates (0) TINs (0) Possible Connected Parent Company (0) Industry Information (0) Business (0) View All Sources (4) Business Summary Name Address Phone HYPERION AIR INC ./ (No recent public filings on file) LexID Established TIN 0148-4847-9666 At a Glance Real Property 0 UCC Debtor 0 Personal Property 0 Bankruptcy 0 Secured Assets 0 Judgments/Liens 0 Executives 0 Foreclosure/Notice of Default 0 Name Variations -1 name variations found NO. NAME HYPERION AIR INC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 0 other) OperatingLocations - Showing 1 location(s) NO. ADDRESS METRO AREA PHONE 1 Wilmington-Newark. DE-MD Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information - no information found Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) For internal use only SDNY_GM_00059028 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021852 EFTA_00I 69587 EFTA01296361  Page 3 UCC Filings (0 debtor, 0 creditor) Real Property (0 current, 0 prior) Personal Property current, 3 prior NO. TYPE STATUS YEAR/MAKE MODEL VIN 1 Aircraft Prior 2001 BELL 430 49078 Registrant Info as = Aircraft Info Tail Number 331JE Registration Date: 03/26/2012 Type: ROTORCRAFT Number of Engines: 2 2. !Aircraft 'Prior 12001 BELL 1430 149078 Registrant Info YP I I I Aircraft Info Tail Number 901RL Registration Date: 03/26/2012 Type: ROTORCRAFT Number of Engines: 2 3. Aircraft Prior 1974 G1159B 151 GULFSTREAM AEROSPACE Registrant Info Aircraft Info Tail Number: 909JE Registration Date: 03/15/1994 Type: FIXED WING MULTI ENGINE Number of Engines: 2 For internal use only SDNY_GM_00059029 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021853 EFTA_00I 69588 EFTA01296362  Page 4 Associates Executives: Prior - 0 prior executive(s) found Registered Agents - 0 registered agent(s) found Possible Employees - 0 current, 0 prior employees found Person Associates - 0 other person associates found Possible Connected Business - 0 businesses found Business Associates - 0 business associates found Sources All Sources 4 Source Documents Personal Property 3 Source Documents Telco 1 Source Documents Key: AiHigh Risk Indicator. These symbols may prompt you to investigate further. Moderate Risk Indicator. These symbols may prompt you to investigate further. I. r b General Information Indicator. These symbols inform you that additional information is provided. III The most recent telephone listing as reported by Electronic Directory Assistance. Wireless Phone Indicator. These symbols indicate a cell phone number. 8 Residential Phone Indicator. These symbols indicate a residential phone number. 8 Business Phone Indicator. These symbols indicate a business phone number. Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline service. FAX Indicator. These symbols indicate a FAX number. Government Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and commercially available data sources used on reports have ermrs. Data Is sometimes entered poorly, processed inconeclly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, l should be Independently veers's'. For Secretary of State documents. the following data is for information purposes only and is not an official record. Caddied copies may be obtained horn that iidividual states Department of State. Your OPPA Permissible use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright O 2017 LexisNexis, a division of Reed Elsevier Inc. AI Rights Reserved. 2 OF 2 RECORD(S) Comprehensive Business Report Report Created:6-15-2017 9.56 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2017 LexisNexis, All rights reserved. For internal use only SDNY_GM_00059030 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021854 EFTA_00I 69589 EFTA01296363  Page 5 Search Terms - company(Hyperion Air. Inc) tin(13-3621632) radius(15) Executives • Current (0) IncorporationIS0S (0) Operations/Sites (1) Sales (0) Licenses (0) URLs (0) Real Property - Curers (0) Real Property - Prior (0) MVRs - Current (0) MVRs - Prior (0) Watercraft - Curers (0) Watercraft - Prior (0) Aircraft - Current (1) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments & Liens Filings (0) UCC Filings (0) ExeciAives - Prior (0) Registered Agents (0) Name Variations (1) Possible Employees (0) Person Associates (0) Business Associates (0) TINs (0) Possible Connected Parent Company (0) Industry Information (0) Business (0) View AJI Sautes (1) Business Summa Name Address Phone HYPERION AIR LLC St Thomas County LexID Established TIN 0223-8046-2065 At a Glance Real Property 0 UCC Debtor 0 Personal Property 1 Bankruptcy 0 Secured Assets 0 Judgments/Liens 0 Executives 0 Foreclosure/Notice of Default 0 Name Variations -1 name variations found NO. NAME 1. HYPERION AIR LLC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 0 other) 0 eratin Locations - Showing 1 location s NO. ADDRESS METRO AREA PHONE 1 ST. THOMAS COUNTY St. Thomas County Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information - no information found Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) For internal use only SDNY_GM_00059031 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021855 EFTA_00169590 EFTA01296364  Page 6 UCC Filings (0 debtor, 0 creditor) Real Property (0 current, 0 prior) Personal Prope (1 current, 0 prior NO. TYPE rrSTATUS YEAR/MAKE MODEL VIN 1. Aircraft Current 2001 BELL 430 49078 Registrant Info HYPERION AIR LLC Aircraft Info Tail Number 331JE Registration Date: 09/06,2013 Type: ROTORCRAFT Number of Engines: 2 Associates Executives: Prior - 0 prior executive(s) found Registered Agents - 0 registered agent(s) found Possible Employees - 0 current, 0 prior employees found Person Associates - 0 other person associates found Possible Connected Business - 0 businesses found Business Associates - 0 business associates found Sources All Sources 1 Source Documents Personal Property 1 Source Documents Key: A High Risk Indicator. These symbols may prompt you to investigate further. Moderate Risk Indicator. These symbols may prompt you to investigate further. r- General Information Indicator. These symbols inform you that additional information is provided. 4, The most recent telephone listing as reported by Electronic Directory Assistance. Wireless Phone Indicator. These symbols indicate a cell phone number. Residential Phone Indicator. These symbols indicate a residential phone number. ® Business Phone Indicator. These symbols indicate a business phone number. For internal use only SDNY_GM_00059032 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021856 EFTA_0016959 I EFTA01296365  Page 7 Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline service. 0 FAX Indicator. These symbols indicate a FAX number. © Government Phone Indicator. These symbols indicate a govemment phone number. Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly. processed incorrectly and is generally nol free from doled. This system should nol be relied upon as definitively accurate. Before relying on any dela this system supplies. at should be independently verified. For Secretary of Slate documents, the lasing data is for information purposes only and is not an official record. Canfield copies may be obtained horn that iidividual states Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright O 2017 LexisNexis, a division of Reed Elsevier Inc. Al Rights Reserved. D&B: There was no information found. LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00059033 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021857 EFTA_00169592 EFTA01296366