EFTA01436341.pdf

Subject: Fwd: Southern Financial - Client Confirmation [C] From: Richard Kahn <IM=M> Date: Wed, 28 Mar 2018 11:17:19 -0400 To: Stewart Oldfield Cc: Alpha Group Capital can you please call me to review attached with paulthanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell Begin forwarded message: From: Martin Zeman ‹ > Subject: Southern Financial - Client Confirmation [C] Date: March 19, 2018 at 5:14:55 PM EDT To: 'Richard Kahn' "'Paul Barrett )'" Cc: Liam Osullivan <M >, Davide-A Sferrazza , Xavier Avila Classification: Confidential Richard, We are making sure that Southern Financial can trade in credit derivatives and to have the entity properly on-boarded in that area, we need you to confirm that the attached information came from you. Would you please check the documents and confirm to this email that it indeed came from you? If some of this doesn't make sense, please call me. Thank you! W-9 Organization Chart EFTA01436341 o Per attachment "Southern Financial Operating Agreement" (pages 1, 16) § Southern Trust Company Inc. is the sole member of Southern Financial LLC § Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc. UBOs (Owners) that own greater than 10% o Jeffrey Epstein is the sole UBO (see "Organization Chart" above) The source of funds for the UBOs (owners) that are greater than 10% o Jeffery Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner in 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial LLC. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management firms. List of Legal representatives o Per attachment "Southern Financial Operating Agreement" (pages 16) § Jeffrey Epstein, Darren K. Indyke, Richard Kahn Annual report o See attachments "Southern Financial LLC Financials June 2017" and "Southern Trust Company Inc. Financials June 2017" for latest financial statements Source of Wealth: o The source of wealth is Jeffrey Epstein as the sole shareholder. Jeffery Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner in 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Mr. Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial LLC. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management firms. Client Contact: o Richard Kahn o 212-971-1306 0 Formation Document: o Attached LLC Documents include the Articles of Organization Thank you, Martin EFTA01436342 EFTA01436343