EFTA01296384.pdf

NAME SEARCHED: Plan D, LLC 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: Res Um er Comments (as necessar> 1 Cgl No Hit O Not Ittxpred I. RDC Results No RDC Alert(please see attached) RU0 O Ilia PCR ED No Nit • Not Required II. PCR Results No PCR Alert(pl ease see attached) ID Flit No Information Found III. Negative Media ins O Yes 0 No No Information Found Not Required IV. Non-Negative Media No Information Found V. Other Language Media Result found(please see attached) Results? 0 Yes • VI. D&B Din O Not Required Result found(please see attached) Smartlinx Results? ..75 Yes O No • Not Required VII. Smattlinx O Review by Legal May No Information Found Court Cases he Required 0 No Results VIII. Court Cases O Search not required Prepared by: Slut> a parashar Date: 06/15/2017 Research Anal> st Instructions: I. Review and confirm that all results are 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 convenience:Nlartindale-Hubbelihttp://www.manindale.comhpAlanindaleAmme.xml 3. As needed. provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. 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 S0NY_GM_000590n CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0021895 EF1'A_00169630 EFTA01296384  Page 2 OFAC RESULTS RDC: Country.VIRGIN ISLANDS, 111602636 No Match Found KYC 1790685 Plan D, LLC U.S. PCR: C20170637908740 Plan D, LLC 12890471 NCA customised Auto-Closed No-flit 15/06/2017 BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Record: 1 OF 3 RECORD(S) Comprehensive Business Report Report Created:6-15-2017 11:52 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2017 LexisNexis, All rights reserved. Search Terms - company(Plan D, LLC) radius(15) Executives - Current (0) Incorporation/SOS (1) Operations/Sites (1) Sales (0) Licenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0) MVRs • Current (0) MVRs • Prior (0) Watercraft - Current (0) Watercraft - Prior (0) Aircraft • Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments & Liens Filings (0) 0CC Filings (1) Executives Prior (1) Registered Agents (0) Name Variations (2) Possible Employees (0) Person Associates (0) Business Associates (2) TINs (0) Possible Connected Parent Company (0) Industry Information (1) Business (0) View All Sources (4) Business Summary Name Address Phone PLAN D LLC 2629 Sudderth Dr For internal use only SDNY_GM_00059072 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0021896 EF1'A_00169631 EFTA01296385  Page 2 Ruidoso. NM 883454302 Lincoln County LexID Established TIN 0001-1416-9672 2006 (11 Years in Business) At a Glance Real Property 0 UCC Debtor 1 Personal Property 0 Bankruptcy 0 Secured Assets 0 Judgments/Liens 0 Executives 0 Foreclosure/Notice of Default 0 Name Variations - 2 name variations found NO. NAME 1. PLAN D LLC 2. PLAN 0, LLC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 1 other) NO. NAME FILING TYPE STATUS FILING FILING NO. STATE DATE 1. PLAN D LLC N/A 10/20/2006 2793446 Additional Details Business Status: N/A Filing Type: SOS Filing Expiration: 11/20/2008 For Profit Unknown Origin: Other Business Filing O eratm Locations - Showing 1 locations NO. ADDRESS METRO AREA PHONE 1. 2629 Sudderth Dr LINCOLN COUNTY Ruidoso. NM 88345-6302 Lincoln County Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information SIC NAIC 7299 Miscellaneous Personal Services. 541990 All Other Professional, Scientific, Nec and Technical Services 812990 All Other Personal Services Industry Description: SERVICES Business Description: Licenses - 0 licenses found URLs - 0 URLs found For internal use only SDNY_GM_00059073 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021897 EFTA 00169632 EFTA01296386  Page 3 Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) UCC Filin • s 1 debtor, 0 creditor NO. ROLE STATUS ORIG. ORIG. FILE JURISDICTI FILE TYPE FILING NUMBER ON DATE 1. Debtor Active 05/23/2013 201300089356 NM Initial Filing Filing Office Information SECRETARY OF STATE/OPERATIONS BUREAU/UCC DIVISION 325 Don Gaspar St Ste 300 Santa Fe, NM 87501 Filing 1 Filing Number 20130008935B Filing Date 05/23/2013 Filing Type: INITIAL FILING Expiration: 05/23/2018 Debtor 1 DREAM CATCHER CAFE 2629 Sudderth Dr Ruidoso, NM 88345-6302 Secured Party Info 1 MERCHANT CAPITAL SOURCE LLC 2120 Main St Ste 220 Huntington Beach, CA 92648-7454 Collateral RECEIVABLE OF CONTRACT Real Property (0 current, 0 prior) Personal Property (0 current, 0 prior) Associates Executives. Prior -1 Drior executive(sl found NO. NAME TITLE 1 Crawford, Lynn PRESIDENT (11/28/2006 - 09/02/2010) Registered Agents - 0 registered agent(s) found Possible Employees - 0 current, 0 prior employees found For internal use only SDNY_GM_00059074 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021898 EFTA_00 I 6%33 EFTA01296387  Page 4 Person Associates - 0 other person associates found Possible Connected Business - 0 businesses found Business Associates - 2 business associates found NO. NAME ADDRESS ROLE 1. DREAM CATCHER CAFE 2629 Sudderth Dr UCC Ruidoso, NM 88345.6302 Lincoln County 2. MERCHANT CAPITAL SOURCE LLC 2120 Main St Ste 220 UCC Huntington Beach, CA 92648-7454 Orange County Sources All Sources 4 Source Documents UCC 1 Source Documents Other Directories 2 Source Documents Experian 1 Source Documents Key: AHigh Risk Indicator. These symbols may prompt you to investigate further. I Moderate Risk Indicator. These symbols may prompt you to investigate further. l a General Information Indicator. These symbols inform you that additional information is provided. Ms The most recent telephone listing as reported by Electronic Directory Assistance. 0 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. 0 Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline service. e l FAX Indicator. These symbols indicate a FAX number. eig) Government Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and commercially available data SOWCOB used on reports have 01101S. Data is sometimes entered poorly. processed incorrectly and is generally not tree from dated. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies. it should be kidependently verified. For Secretary of Slate documents. the foloviing data is for information purposes only end is not an officiel record. Centred copies may be obtained from that individual states Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GUM Permissible Use is: Legal Compliance Copyright O 2017 LexieBerra a division of Reed Elsevier Inc. Al Rights Reserved. 2 OF 3 RECORD(S) Comprehensive Business Report Report Created:6-15-2017 11:52 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright *2017 LexisNexis, All rights reserved. Search Terms - company(Plan D, LLC) 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) For internal use only SDNY_GM_00059075 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021899 EFTA_00I 69634 EFTA01296388  Page 5 MVRs - Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0) Aircraft - Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments 8 Liens Filings (0) UCC Filings (0) Exectaives - 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 (1) View NI Sources (1) Business Summa Name Address Phone PLAN D LLC 401 E Booth Rd / (No recent public filings on file) Searcy, AR 72143-8693 White County LexID Established TIN 0001-1427-9737 2013 (4 Years in Business) 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 PLAN D LLC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 0 other) O eratin Locations - Showing 1 locations NO. ADDRESS METRO AREA PHONE 1. 401 E Booth Rd WHITE COUNTY Searcy. AR 72143-8693 White 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) UCC Filings (0 debtor, 0 creditor) For internal use only SDNY_GM_00059076 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021900 EFTA_OOI 6%35 EFTA01296389  Page 6 Real Property (0 current, 0 prior) Personal Property (0 current, 0 prior) 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 -1 businesses found NO. NAME ADDRESS 1. PLAN D LLC 401 W Center Ave Searcy. AR 72143-5229 Business Associates - 0 business associates found Sources All Sources 1 Source Documents Experian 1 Source Documents Key: AFligh Risk Indicator. These symbols may prompt you to investigate further. / Moderate Risk Indicator. These symbols may prompt you to investigate further. t General Information Indicator. These symbols inform you that additional information is provided. AO 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. ® 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 government 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 not free from deed This system should not be relied upon as definervely accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of State documents, the foaming data is lot information purposes only and is not an dfcial record. Certified coons may be obtained from that ndaidual states Department of State. Your DPPA Permissible Use Is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance CopyrigM 0 2017 LexisNexis. a division of Reed Elsevier Inc. Al Rights Reserved. 3 OF 3 RECORD(S) For internal use only SDNY_GM_00059077 CONFIDENTIAL -PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021901 EFTA_00I6%36 EFTA01296390  Page 7 Comprehensive Business Report Report Created:6-15-2017 11:52 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright @ 2017 LexisNexis. All nghts reserved. Search Terms - company(Plan D, LLC) radius(15) Executives - Current (0) InccrporationfSOS (2) Operations/Sites (1) Sales (0) Ucenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0) MVRs - Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0) Aircraft - Current (0) Aircraft - Prior (0) Bankruptcy Filings (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 (1) View All Sources (2) Business Summary Name Address Phone PLAN D LLC 1 Commerce Plz Ste 100899 1 (No recent public filings on file) Albany. NY 12260-1000 LexID Established TIN 0001-1430.8281 2010 (7 Years in Business) 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 1 PLAN D LLC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 2 other) NO. NAME FILING TYPE STATUS FILING FILING NO. STATE DATE 1. PLAN O LLC LIMITED LIABILITY N/A 08/19/2010 10081900028 CORPORATION 0 Additional Details Business Type: LIMITED LIABILITY CORPORATION Business Status: N/A Filing Type: SOS Filing Expiration: 08/31/2011 For Profit: Unknown Origin: Other Business Filing 2. PLAN D LLC LIMITED LIABILITY N/A 02/24/2010 10022400053 CORPORATION 6 Additional Details Business Type: LIMITED LIABILITY CORPORATION For internal use only SDNY_GM_00059078 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0021902 EFTA_00I 69637 EFTA01296391  Page 8 Business Status: N/A Filing Type: SOS Filing Expiration: 03/31/2011 For Profit. Unknown Origin: Other Business Filing OperatingLocations - Showing 1 location(s) NO. ADDRESS METRO AREA PHONE 1. 1 Commerce Plz Ste 100899 ALBANY COUNTY Albany, NY 12260-1000 Albany 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) UCC Filings (0 debtor, 0 creditor) Real Property (0 current, 0 prior) Personal Property (0 current, 0 prior) 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 -1 businesses found NO. NAME ADDRESS 1. PLAN D 22 Emma St Bethpage, NY 11714-4430 Nassau County Business Associates - 0 business associates found Sources For internal use only SDNY_GM_00059079 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021903 EFTA_00 I 69638 EFTA01296392  Page 9 All Sources 2 Source Documents Other Directories 2 Source Documents Key: AHigh Risk Indicator. These symbols may prompt you to investigate further. / Moderate Risk Indicator. These symbols may prompt you to investigate further. General Information Indicator. These symbols inform you that additional information is provided. oil 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. 6 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. ‘9? Government Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and commercially available data sources used on reports have errors. Gala is sometimes entered poorly, processed incorrectly and is generally not free from defect This system should not be relied upon as definitrvely accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of Stale documents, the follorring data is for inforrnalion purposes only and is not an official record. Certified moles may be obtained from shat lidiviclual state's 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. AI Rights Reserved. D&B: Copyright 2017 Dun & Bradstreet, Inc. dun & bradstreet Federal Employer Identification Numbers May 1, 2015 Plan D, LLC 27827 BOGEN RD NEW BRAUNFELS, TX 78132 UNITED STATES COMPANY IDENTIFIERS " * * ****** FEIN: 20-4967232 SOURCE REFERENCE NAME: TEXAS BUSINESS REGISTRATIONS For internal use only SDNY_GM_00059080 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021904 EFTA_00I69639 EFTA01296393  Page 10 LOAD-DATE: March 24, 2017 LEGAL RESULTS: Court Cases: No Information Found For internal use only SDNY_GM_00059081 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021905 EFTA_00I 69640 EFTA01296394