EFTA01372829.pdf

7/ 5/2019 KYC Print - No court cases Erika Kellerhals: - No negative media - No court cases - No negative media - Court case is immaterial since she is not a defendant nor plaintiff. Her name is just mentioned as miscellaneous. Case is closed as well. Neptune LLC: - No negative media - No court cases - No negative media • No court cases - No negabve media • No court cases - No negative media - No court cases - No negative media - No court cases Karyna Shtdlak: - No negative media - No court cases )SC Interiors LLC: - No negative media - No court cases Southern Trust Company Inc: - No negative media - No court cases E. To the best of your knowledge, has the client ever been convicted of a criminal offense? Yes No To the best of your knowledge, has the customer ever been involved in any past litigation against F. Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Vex, provide debit below and OnaCt yes 11No &YAtit (latAntantl) or the ReguU&vy (bawl Group andnotify Caw:axe IfirnecliateIy) G. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)' Yes 'Jo H Does the client or related party have any financial or other association/ interactions within high risk . Yes No countries? T. Corporate Documentation Attached (Legal Entities Only) r Yes i..J No Li Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) . Yes Li No St 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? i.. ; Yes fft.? No Is the account structure unusually complex? yes No Is there any indication the client set up a non operating company expressly i yes *. for the purpose of transferring shares to third parties? Is there any Indication this could be a prohibited business relationship? Yes .1,1 No Are the bearer shares identified subject to acceptable controls? Yes No httpa://dbforcephmy.sa lesforce.comiserytebservlet.Integration?fid=01N 30000000D9Dirteid=5000e00001NOBxm&icrlfilinkToken=VmpF P SxNak Fa 40/42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066718 CONFIDENTIAL SDNY_GM_00212902 EFTA01372829