EFTA01255806.pdf

NAME SEARCHED: Neptune, LLC PWM 81S-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): 0 No lilt ❑O Not RoliumAl I Rix Rcsidis RIX: Hit \o RD(' ;do i (Plaice sec attached) No I lit 0 Na Required l'CR II. PCR Results No PCR alert (Please see attached) 0 Hit ID Yes No III. Negative Media Result Found(please see attached) BIS 0 Not Required IV. Non-Negative Media There was no information found V. Other Language Media Not Required Results? - Yes • No D&B VI. D&B, Result Found(please see attached) 0 Not Required Smartlinx Results? 0 4 Yes 0 No Result Found(please see attached) 0 Not Required VII. Smartlinx rC Review by Legal May Result Found(please see attached) Court Cases be Required 0 No Results VIII. Court Cases 0 Search not inquired Prepared by: Prachi Pawa Da e:10/11/2013 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the a eb link below for your convenience:Martindale-Hubbellhttp://www artind a le.coni/sp/ NIart indale/home.tml 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 KV('. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only SONY_GM_00064708 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0027533 EFTA00I752I I EFTA01255806  OFAC RESULTS RDC: 11527459 Not Alerted 6893312 Neptune, LLC Country:United States PCR: C20131019175368 Neptune, LLC 6893312 NCA customised Closed - No Hit 11/10/2013 ISIS RESULTS Negative Media: RETURN Copyright 2013 Dun & Bradstreet, Inc. Executive Affiliations NEPTUNE LLC 4001 KENNETT PIKE WILMINGTON, DE 19807-2315 USA LENGTH: 23 words DUNS NUMBER: 13-502-5992 EXECUTIVE: MR ROBERT REPETTO, MANAGING MEMBER - EXECUTIVE LANGUAGE: ENGLISH LOAD-DATE: August 26, 2013 For internal use only SDNY_GM_00064709 CONFIDENTIAL - PURSUANT TO FED. R.cON(F IDENTIAL DB-SDNY-0027534 EFTA 00175212 EFTA01255807  Page 2 Dun's Market Identifiers Plus, 07/14/13, Neptune LLC Copyright 2013 Dun & Bradstreet, Inc. July 14, 2013 Dun's Decision Makers View the DMI Record Neptune LLC 4001 Kennett Pike Wilmington, DE 19807-2315 United States BUSINESS ADDRESS: 4001 Kennett Pike, Wilmington, DE 19807-2315, United States MSA: Wilmington-Newark, De-MD - 9160 COUNTY: New Castle COMPANY IDENTIFIERS DUNS NUMBER: 13-502-5992 EXECUTIVES Managing Member: Robert Repetto, Mng MBR DESCRIPTION INDUSTRY TYPE: Finance, Insurance, And Real Estate; Holding Company For internal use only SDNY_GM_00064710 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SDNY-0027535 EFTA 00175213 EFTA01255808  Page 3 Worldbase, 02/09/2005, NEPTUNE. LLC Copyright 2013 Dun & Bradstreet, Inc Worldbase February 9, 2005 NEPTUNE, LLC GREEN BAY. WI 543045303 USA COUNTY: BROWN REGION: NORTH AMERICA COMPANY IDENTIFIERS DUNS: 18-465-9261 COMPANY INFORMATION * " * * * * " * COMPANY TYPE: Private DESCRIPTION UNDETERMINED MARKET AND INDUSTRY SIC CODES: 9999 - Nonclassified establishment LOAD-DATE: September 5, 2013 Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: For internal use only SDNY_GM_00064711 CONFIDENTIAL - PURSUANT TO FED. R.ctit;)N(F IDENTIAL DS-SDNY-0027536 EFTA 00175214 EFTA01255809  Page 2 1 OF 10 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS NEPTUNE LLC APOLLO BEACH. FL 33572- 3029 Name Variations/DBAs # Name Variations 1 NEPTUNE. LLC Phone Summary -1 records found # Telephone Number 1. Addresses - 2 records found # Address Dates County MSA 1. 8/2004 - HILLSBOROUGH Tampa-St. APOLLO BEACH, FL 33572 Petersburg- Clearwater. FL - 11/4/2009 8280 2. 1/12/2011 - HILLSBOROUGH Tampa-St. RUSKIN, FL 33570 Petersburg- Clearwater, FL - 7/24/2013 8280 Profile Information -4 records found 1: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 12/1/2003 State Of Incorporation: FL Charter Number: L03000050201 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 2: NEPTUNE, LLC Company Name: NEPTUNE. LLC Date Of Incorporation: 12/1/2003 State Of Incorporation: FL Charter Number: L03000050201 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 3: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 12/1/2003 State Of Incorporation: FL Charter Number: L03000050201 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY For internal use only SDNY_GM_00064712 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027537 EFTA_00 175215 EFTA01255810  Page 3 4: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 12/1/2003 State Of Incorporation: FL Charter Number: L03000050201 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY Executives - 8 records found # Name Titles 1. BYER. KIM MANAGER 2. CALLISON, D MANAGER 3. CALLISON, WESLEY D MEMBER MANAGER. MANAGER 4. DYER. KIMBERLY MANAGER 5. HALVA, LOREN MEMBER MANAGER 6. MOORE. AIXA MEMBER MANAGER. MANAGER 7. PEAREY, ELWIN MEMBER MANAGER, MANAGER 8. WALTON, HOWARD OWNER Registered Agents - 2 records found # Name Address 1 BEHM VICTORIA P SAFETY HARBOR, FL 34695- 2 PLIS ALAINE M RUSKIN. FL 33570-2768 Industry Information - 2 records found Industry Numbers SIC Codes: 5812 EATING PLACES 5900 MISCELLANEOUS RETAIL STORES Company ID Numbers - 2 records found Company ID Numbers FEINs: Sec. of State Charter No(s): FL, L03000050201 Real Property - 7 records found 1: Assessment Record for HILLSBOROUGH County, FL Owner Information Name: NEPTUNE LLC Address: APOLLO BEACH. FL 33572-3029 County/FIPS: HILLSBOROUGH Property Information Address: 1007 NEPTUNE DR Data Source: Legal Information Assessors Parcel U123218=000001093800 Number: Recording Date: 12121/2005 Book/Page: 15981/1724 Assessment Information Assessed Value: $110529 For internal use only SDNY_GM_00064713 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027538 EFTA_00l 752 16 EFTA01255811  Page 4 Market Land Value: $39960 Market Improvement $70569 Value: Total Market Value: $110529 2: Assessment Record for HILLSBOROUGH County, FL Owner Information Name: NEPTUNE LLC Address: APOLLO BEACH. FL 33572-3029 County/FIPS: HILLSBOROUGH Property Information Data Source: B Legal Information Assessors Parcel U123218ZZZ000001093700 Number: Recording Date: 12/21/2005 Book/Page: 15981/1724 Assessment Information Assessed Value: $105750 Market Land Value: $105750 Total Market Value: $105750 3: Assessment Record for HILLSBOROUGH County, FL Owner Information Name: NEPTUNE LLC Address: APOLLO BEACH. FL 33572-3029 County/FIPS: HILLSBOROUGH Property Information Address: 1007 NEPTUNE DR Data Source: B Legal Information Assessor's Parcel u123218ZZZ000001093800 Number: Recording Date: 12/21/2005 Book/Page: 15981/1724 Assessment Information Assessed Value: $110529 Market Land Value: $39960 Market Improvement $70569 Value: Total Market Value: $110529 4: Assessment Record for HILLSBOROUGH County, FL Owner Information Name: NEPTUNE LLC Address: APOLLO BEACH. FL 33572-3029 County/FIPS: HILLSBOROUGH Property Information For internal use only SDNY_GM_00064714 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027539 EFTA 00175217 EFTA01255812  Page 5 Data Source: B Legal Information Assessor's Parcel u123218ZZZ000001093700 Number: Recording Date: 08/31/2004 Book/Page: 14247/252 Sale Information Sale Price: $180000 Assessment Information Assessed Value: $105750 Market Land Value: $105750 Total Market Value: $105750 5: Assessment Record for HILLSBOROUGH County, FL Owner Information Name: NEPTUNE LLC Address: APOLLO BEACH. FL 33572-3029 County/FIPS: HILLSBOROUGH Property Information Address: 1007 NEPTUNE DR Data Source: B Legal Information Assessors Parcel u123218222000001093800 Number: Recording Date: 08/31/2004 Book/Page: 14247/252 Sale Information Sale Price: $180000 Assessment Information Assessed Value: $112337 Market Land Value: $39960 Market Improvement $72377 Value: Total Market Value: $112337 6: Deed Record for HILLSBOROUGH County Buyer Information Name: NEPTUNE LLC Address: APOLLO BEACH, FL 33572-3029 County/FIPS: HILLSBOROUGH Seller Information Name: FARRINGTON. MICHAEL Name: FARRINGTON. MIKE Address: APOLLO BEACH, FL 33572-2112 County/FIPS: HILLSBOROUGH Property Information Data Source: B For internal use only SDNY_GM_00064715 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027540 EFTA_00175218 EFTA01255813  Page 6 Legal Information Contract Date: 12/21/2005 Recording Date: 01/11/2006 Document Number: 2006017246 Document Type: CORRECTION DEED Book/Page: 15981/1724 Mortgage Information Title Company: BEST EVER TITLE SERVICES LLC 7: Deed Record for HILLSBOROUGH County Buyer Information Name: NEPTUNE LLC Address: APOLLO BEACH. FL 33572-3029 County/FIPS: HILLSBOROUGH Seller Information Name: FARRINGTON. MICHAEL Name: FARRINGTON. MIKE Address: APOLLO BEACH, FL 33572-2112 County/FIPS: HILLSBOROUGH Property Information Data Source: B Lender Information Name: MICHAEL FARRINGTON Legal Information Contract Date: 08/31/2004 Recording Date: 09/24/2004 Document Number: 2004372262 Document Type: WARRANTY DEED Book/Page: 14247/252 Sale Information Sale Price: $180000 Mortgage Information Loan Amount: $145000 Loan Type: SELLER TAKE-BACK Title Company: BEST EVER TITLE SERVICES LLC Business Associates - 8 records found # Name Address 1. AIXA MOORE, P A APOLLO BEACH FL 33572-3029 2. AY LLC 111111.133572-3029 3. GARCIA'S LAWN CARE INC 4. MOORE ROBERT E alinia 33572-3029 APOLLO BEACH FL 33572-3029 5. NEPTUNE LLC APOLLO B 1.133572-3029 6. OUTSTANDING LAWN CARE INC APOLLO Blia33572-3029 7. OUTSTANDING RENTALS OF TAMPA BAY LLC For internal use only SDNY_GM_00064716 CONFIDENTIAL - PURSUANT TO FED. R.QC;IN(F IDENTIAL DB-SDNY-0027541 EFTA 00175219 EFTA01255814  Page 7 # Name Address APOLLO BEACH FL 33572-3029 8. REMKE HOMES. INC. APOLLO BEACH, FL 33572-3029 Person Associates - 8 records found # Name Address 1. BYER, KIM APOLLO BEACH, FL 33572-3029 2. CALLISON, D im PIRIT ral/..I l -7045 3. CALLISON, WESLEY 0 JACKSONVILLE FL 32259 4. DYER, KIMBERLY APOLLO BEACH, FL 33572-3029 5. HALVA. LOREN SPIRIT LAKE IA 51360-7045 6. MOORE, AIXA APOLLO BEACH, FL 33572-3029 7. PEAREY, ELWIN RR 1 AMBRIDGE IA 50046 8. WALTON. HOWARD APOLLO BEACH, FL 33572-3029 Sources - 32 records found All Sources 32 Source Document(s) Business Contacts 19 Source Document(s) Business Finder 4 Source Document(s) Corporate Filings 1 Source Document(s) Experian Business Reports 1 Source Document(s) Property 7 Source Document(s) 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 defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright 2013 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. 2 OF 10 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS NEPTUNE, LLC None Listed SEATTLE, WA 98121-1209 Name Variations/DBAs # Name Variations 1. NEPTUNE, LLC For internal use only SDNY_GM_00064717 CONFIDENTIAL - PURSUANT TO FED. R.QC;IN(F IDENTIAL DB-SDNY-0027542 EFTA_00175220 EFTA01255815  Page 8 Addresses -1 records found # Address Dates County MSA 1. 2/28/1997 - KING Seattle-Bellevue- SEATTLE. WA 98121 Everett. WA - 7600 4/2009 Profile Information - 4 records found 1: NEPTUNE SEA LLC Company Name: NEPTUNE SEA LLC Date Of Incorporation: 4/20/1998 State Of Incorporation: WA Charter Number: 601870403 Duration: DATE OF EXPIRATION Status Of Incorporation: INACTIVE Corporation Structure: LIMITED LIABILITY COMPANY 2: NEPTUNE SEA LLC Company Name: NEPTUNE SEA LLC Date Of Incorporation: 4/20/1998 State Of Incorporation: WA Charter Number: 601870403 Duration: PERPETUAL Status Of Incorporation: INACTIVE OR DISSOLVED Corporation Structure: LIMITED LIABILITY COMPANY 3: NEPTUNE SEA LLC Company Name: NEPTUNE SEA LLC Date Of Incorporation: 4/20/1998 State Of Incorporation: WA Charter Number: 601870403 Duration: PERPETUAL Status Of Incorporation: INACTIVE OR DISSOLVED Corporation Structure: LIMITED LIABILTIY COMPANY 4: NEPTUNE SEA LLC Company Name: NEPTUNE SEA LLC Date Of Incorporation: 4/20/1998 State Of Incorporation: WA Charter Number: 601870403 Duration: PERPETUAL Status Of Incorporation: INACTIVE OR DISSOLVED Corporation Structure: LIMITED LIABILTIY COMPANY Executives - 1 records found # Name Titles 1 TIPPETS, JAMES L OWNER Registered Agents -1 records found # Name Address 1 BARRY E WOLF SEATTLE. WA 98121-1209 Company ID Numbers - 1 records found Company ID Numbers Sec. of State Charter No(s): WA, 601870403 Business Associates - 34 records found # Name Address For internal use only SDNY_GM_00064718 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027543 EFTA_00I 75221 EFTA01255816  Page 9 # Name Address 1. ARENSBERG FAMILY LLC SEATTLE WA 98121-1209 2. ARMOURTRIM LLC SEATTLE WA 98121-1209 3. BARGE, LLC SEATTLE. WA 98121-1209 4. CHARTER AMERICAN INSURANCE COMPANY SEATTLE. WA 98121-1209 5. DIETARY CONSULTING SERVICE LLC SEATTLE WA 98121-1209 6. DNB FACILITIES DEVELOPMENT LLC SEATTLE. WA 98121-1209 7. FIRST SUNMAR LIMITED PARTNERSHIP SEATTLE. WA 98121-1209 8. FUELSATSEA INC SEATTLE. WA 98121-1209 9. FUELS-AT-SEA, INC. SEATTLE. WA 98121-1209 10. HANS W MAURITZEN SEATTLE. WA 98121-1209 11. HARSCH INVESTMENT PROPERTIES MANAGEMENT LLC SEATTLE WA 98121-1209 12. HELP CO USA SEATTLE. WA 98121-1209 13. HIP CAPITOL TERRACE LLC SEATTLE WA 98121-1209 14. IDEAL INSPECTION SERVICES LLC SEATTLE WA 98171-1209 15 MAURITZEN HANS W SEATTLE. WA 98121-1209 16. MCNAUL FAMILY LLC SEATTLE. WA 98121.1209 17. MERIMAT INVESTMENTS LIMITED PARTNERSHIP SEATTLE. WA 98121-1209 18. NON-QUALIFIED FOREIGN INTO QUALIFIED • NAME NOT ON DATA BASE SEATTLE, WA 98121-1209 19. PACIFIC ADVENTURES YACHT CHARTERS LLC SEATTLE. WA 98121-1209 20. PROTECTORRHT LLC SEATTLE. WA 98121-1209 21. S & G TOBIN FAMILY LLC SEATTLE. WA 98121-1209 22. SEAQUEST VESSEL MANAGEMENT INVESTORS LLC SEATTLE WA 98121-1209 23. STAR VESSEL. LLC SEATTLE. WA 98121-1209 24. SUNMAR CONTAINER LINES, INC SEATTLE. WA 1-1209 25. SUNMAR HOLDIGS, INC. SEATTLE. WA 98121-1209 26. SUNMAR INVESTMENT, INC.. SEATTLE. WA 98121-1209 27. SUNMAR INVESTMENTS. INC SEATTLE WA 98121-1209 28. SUNMAR MARITIME INC SEATTLE. WA 98121-1209 29 SUNMAR NAVIGATION. INC. SEATTLE. WA 98121-1209 30. SUNMAR SKY LIMITED PARTNERSHIP SEATTLE, WA 98121-1209 For internal use only SDNY_GM_00064719 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027544 EFTA 00175222 EFTA01255817  Page I0 # Name Address 31. SUNMAR TERMINALS, INC - 09 32. THE RESIDENCES LLC - 09 33 THE SUSAN P FRASER FOUNDATION SEATTLE WA 121-1209 34. TINDOLF PROPERTIES LLC SEATTLE, WA 98121-1209 Person Associates -1 records found # Name Address 1. TIPPETS, JAMES L SEATTLE, WA 98121-1209 Sources - 6 records found All Sources 6 Source Document(s) Business Contacts 1 Source Document(s) Business Finder 3 Source Document(s) Corporate Filings 1 Source Document(s) Experian Business Reports 1 Source Document(s) 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 defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your OPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. 3 OF 10 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS NEPTUNE, LLC None Listed UNIT NO NORTH BRANFORD. CT 06471 Name Variations/DBAs # Name Variations 1. NEPTUNE, LLC Addresses - 3 records found # Address Dates County MSA 1. 10/5/2003 - NEW HAVEN New Haven- NORTH BRANFORD. CT 06471 Menden, CT - 5480 9/17/2007 2. N BRANFORD, CT 06471 9/18/2001 - NEW HAVEN New Haven- Meriden, CT - 5480 For internal use only SDNY_GM_00064720 CONFIDENTIAL - PURSUANT TO FED. R.cON(F IDENTIAL DB-SDNY-0027545 EFTA_00175223 EFTA01255818  Page I I # Address Dates County MSA 12/21/2001 3. NO 9/12/2007 - NEW HAVEN New Haven- NORTH BRANFORD, CT 06471 Meriden, CT - 5480 6/17/2013 Profile Information - 7 records found 1: NEPTUNE, LLC Company Name: NEPTUNE. LLC Date Of Incorporation: 9/19/1995 State Of Incorporation: CT Charter Number: 0522323 Duration: DATE OF EXPIRATION Status Of Incorporation: ACTIVE Corporation Structure: DOMESTIC LIMITED LIABILITY COMPANY 2: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 9/19/1995 State Of Incorporation: CT Charter Number: 0522323 Duration: DATE OF EXPIRATION Status Of Incorporation: ACTIVE Corporation Structure: DOMESTIC LIMITED LIABILITY COMPANY 3: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 9/19/1995 State Of Incorporation: CT Charter Number: 0522323 Duration: DATE OF EXPIRATION Status Of Incorporation: ACTIVE Corporation Structure: DOMESTIC LIMITED LIABILITY COMPANY 4: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 9/19/1995 State Of Incorporation: CT Charter Number: 0522323 Duration: DATE OF EXPIRATION Status Of Incorporation: ACTIVE Corporation Structure: DOMESTIC LIMITED LIABILITY COMPANY 5: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 9/19/1995 State Of Incorporation: CT Charter Number: 0522323 Duration: DATE OF EXPIRATION Status Of Incorporation: ACTIVE Corporation Structure: DOMESTIC LIMITED LIABILITY COMPANY 6: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 9/19/1995 State Of Incorporation: CT Charter Number: 0522323 Duration: DATE OF EXPIRATION Status Of Incorporation: ACTIVE For internal use only SDNY_GM_00064721 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027546 EFTA_00I 75224 EFTA01255819  Page 12 6: NEPTUNE, LLC Corporation Structure: DOMESTIC LIMITED LIABILITY COMPANY 7: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 9/19/1995 State Of Incorporation: CT Charter Number: 0522323 Duration: DATE OF EXPIRATION Status Of Incorporation: ACTIVE Corporation Structure: DOMESTIC LIMITED LIABILITY COMPANY Registered Agents -1 records found # Name Address 1 JAMES KATZ WIGGIN & DANA • HARTFORD, CT 06103 Company ID Numbers - 1 records found Company ID Numbers Sec. of State Charter No(s): CT. 0522323 Business Associates -1 records found # Name Address 1. NEPTUNE, LLC NORTH BRANFORD, CT 06471-1846 Person Associates - 2 records found # Name Address 1. ENNIS STEVENS. MARCIA NORTH BRANFORD. CT 06471-1853 2. STEVENS, MARCIA ENNIS NORTH BRANFORD, CT 06471-1853 Sources - 10 records found All Sources 10 Source Document(s) Business Contacts 6 Source Document(s) Business Finder 3 Source Document(s) Corporate Filings 1 Source Document(s) 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 defect This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents. the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copynght. 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. 4 OF 10 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary For internal use only SDNY_GM_00064722 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027547 EFTA_00 175225 EFTA01255820  Page 13 Name Address Phone County/FIPS NEPTUNE, LLC None Listed NASHVILLE, TN 37205-4800 Name Variations/DBAs # Name Variations 1. NEPTUNE, LLC Addresses -1 records found # Address Dates County MSA 1 10/20/2000 - DAVIDSON Nashville, TN - NASHVILLE. TN 37205 5360 10/20/2000 Profile Information - 4 records found 1: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 1/24/1997 State Of Incorporation: TN Charter Number: 000324699 Duration: PERPETUAL Status Of Incorporation: INACTIVE - DISSOLVED (ADMINISTRATIVE) Corporation Structure: LIMITED LIABILITY COMPANY 2: NEPTUNE, LLC Company Name: NEPTUNE, LLC Date Of Incorporation: 1/24/1997 State Of Incorporation: TN Charter Number: 000324699 Duration: PERPETUAL Status Of Incorporation: INACTIVE - DISSOLVED (ADMINISTRATIVE) Corporation Structure: LIMITED LIABILITY COMPANY 3: NEPTUNE, LLC Company Name: NEPTUNE, LLC Charter Number: 000324699 Durat