EFTA01299150.pdf

NAME SEARCHED: Harry Beller 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 RDC Results No RDC alert (Please sec attached) 0 0 Ifit PCR ta No Hit • Not Required II, PCR Results No KR alert (Please sec attached) M Hit la Yes • No III. NCRatiVC Media Result Found(pl ease see attached) MS Not Required IV. Non-Negative Media No Information found V. Other Language Media Not Required Results? • Yes 0 No Not Required D&B 0 Not Required VI. 1111 Result Found(please see attached) Smartlinx Retains? 0 Yes 0 No ID Not Required VU. Smartlinx , 4 Review biLegal May Result Found(please see attached) Court Cases be Required 0 No Results VIII. Court Cases El Search not required Prepared by: Date:10/02/2013 Research Analyst Instructions: 1. 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 hat e attached the eh link below for your convenience:Nlartindale-Hubbellhttp://www.martindale.com/spagartindale/home.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_00064857 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DE-SDNY-00271382 EFTA_00175358 EFTA01299150  OFAC RESULTS RDC: No Match Found Harry Beller Country:United States Date of Birth: PC:R: Harry Beller NCA customised Auto-Closed No-Hit 02/10/2013 BIS RESULTS Negative Media: Space Daily June 25, 2010 Friday Enzyme Trio For Biosynthesis Of Hydrocarbon Fuels BYLINE: Staff Writers LENGTH: 766 words DATELINE: Berkeley CA (SPX) Jun 25, 2010, 2010 If concerns for global climate change and ever-increasing costs weren't enough, the disastrous Gulf oil spill makes an even more compelling case for the development of transportation fuels that are renewable, can be produced in a sustainable fashion, and do not put the environment at risk. Liquid fuels derived from plant biomass have the potential to be used as direct replacements for gasoline, diesel and jet fuels if cost-effective means of commercial production can be found. Researchers with the U.S. Department of Energy (DOE)'s Joint BioEnergy Institute (JBEI) have identified a trio of bacterial enzymes that can catalyze key steps in the conversion of plant sugars into hydrocarbon compounds for the production of green transportation fuels. Harry Beller, an environmental microbiologist who directs the Biofuels Pathways department for JBEI's Fuels Synthesis Division, led a study in which a three-gene cluster from the bacterium Micrococcus luteus was introduced into the bacterium Escherichia coli. For internal use only SDNY_GM_00064858 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027683 EFTA_OOI 75359 EFTA01299151  Page 2 Enzyme Trio For Biosynthesis Of Hydrocarbon Fuels Space Daily June 25, 2010 Friday The enzymes produced by this trio of genes enabled the E. coli to synthesize from glucose long-chain alkene hydrocarbons. These long-chain alkenes can then be reduced in size - a process called "cracking" - to obtain shorter hydrocarbons that are compatible with today's engines and favored for the production of advanced lignocellulosic biofuels. "In order to engineer microorganisms to make biofuels efficiently, we need to know the applicable gene sequences and specific metabolic steps involved in the biosynthesis pathway," Beller says. 'We have now identified three genes encoding enzymes that are essential for the bacterial synthesis of alkenes. With this information we were able to convert an E. coli strain that normally cannot make long-chain alkenes into an alkene producer." Working with Beller on this study were Ee-Been Goh and Jay Keasling. The three were the co-authors of a paper that appeared earlier this year in the journal Applied and Environmental Microbiology, titled "Genes Involved in Long-Chain Alkene Biosynthesis in Micrococcus luteus." It has long been known that certain types of bacteria are able to synthesize aliphatic hydrocarbons, which makes them promising sources of the enzymes needed to convert lignocellulose into advanced biofuels. However, until recently, little was known about the bacterial biosynthesis of non-isoprenoid hydrocarbons beyond a hypothesis that fatty acids are precursors. JBEI researchers in the Fuels Synthesis Division, which is headed by co-author Keasling, are using the tools of synthetic biology, and mathematical models of metabolism and gene regulation to engineer new microbes that can quickly and efficiently produce advanced biofuel molecules. E.coli is one of the model organisms being used in this effort because it is a well-studied microbe that is exceptionally amenable to genetic manipulation. "We chose to work with M. luteus because a close bacterial relative was well-documented to synthesize alkenes and because a draft genome sequence of M. luteus was available," Beller says. "The first thing we did was to confirm that M. luteus also produces alkenes." Beller and his colleagues worked from a hypothesis that known enzymes capable of catalyzing both decarboxylation and condensation should be good models for the kind of enzymes that might catalyze alkene synthesis from fatty acids. Using condensing enzymes as models, the scientists identified several candidate genes in M. luteus, including Mlut_13230. When expressed in E. coli together with the two adjacent genes - Mlut_13240 and 13250 - this trio of enzymes catalyzed the synthesis of alkenes from glucose. Observations were made both in vivo and in vitro. 'This group of enzymes can be used to make aliphatic hydrocarbons in an appropriate microbial host but the resulting alkenes are too long to be used directly as liquid fuels," Beller says. "However, these long-chain alkenes can be cracked - a technique routinely used in oil refineries - to create hydrocarbons of an appropriate length for diesel fuel." The next step Beller says is to learn more about how these three enzymes work, particularly Mlut_13230 (also called OleA), which catalyzes the key step in the alkene biosynthesis pathway - the condensation of fatty acids. For internal use only SDNY_GM_00064859 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027684 EFTA_00I 75360 EFTA01299152  Page 3 Enzyme Trio For Biosynthesis Of Hydrocarbon Fuels Space Daily June 25, 2010 Friday 'We're also studying other pathways that can produce aliphatic hydrocarbons of an appropriate length for diesel fuels without the need for cracking," Beller says. "Nature has devised a number of biocatalysts to produce hydrocarbons, and our goal is to learn more about them for the production of green transportation fuels." LOAD-DATE: June 25, 2010 LANGUAGE: ENGLISH PUBLICATION-TYPE: Web Publication Copyright 2010 Space Daily, Distributed by United Press International Non-Negative Media: No Information Found Other Language Media: Not Required Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc All Rights Reserved. Full Name Address County Phone BELLER, HARRY I ROCKLAND ROCKLAND COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB Gender at Le Subject Summary Name Variations 1: BELIER, HARRY I 2: BELLER. HARRY 3: BELLER. HARRY I SSNs Summary No. SSN State Iss. Date Isis. Warnings Most frequent SSN attributed to subject: For internal use only SDNY_GM_00064860 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SDNY-0027685 EFTA_00175361 EFTA01299153  Page 2 New York 1972-1974 DOBs Reported DOBs: Possible E-Mail Addresses Address Summary - 4 records found No. Address 1 ROCKLAND COUNTY 2: KINGS COUNTY 3. KINGS COUNTY 4: KINGS COUNTY Ad ress Details Address Other Associates STERN SR. ROBERT M Dates Phone Census Data tor Geographical Region Median Head of Household Age: 41 Median Income: $4Z 198 Median Home Value: $415.686 For internal use only SDNY_GM_00064861 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027686 EFTA_00175362 EFTA01299154  Page 3 Median Education 14 years 1. ciusehold Members mi Other Associates None Listed Dates Phone Census Dab for Geographical Region Median Head of Household Age: 43 Median Income: $43:768 Median Home Value: $597.222 Median Education 14 years Household Members Other Associates STERN SR. ROBERT M Dates Phone Census Data for Geographical Region Median Head of Household Age: 31 Median Income: $57:262 Median Home Value: $534.091 Median Education. 13 years Household Members None Listed Other Associates None Listed Voter Registrations -1 records found 1: New York Voter Registration Name: Residential Address: Home Phone: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 8/15/1996 Last Vote Date: Party Affiliation: Active Status: ACTIVE Real Property - 3 records found 1: Assessment Record for ROCKLAND County, NY Owner Information For internal use only SDNY_GM_00064862 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027687 EFTA_00I 75363 EFTA01299155  Page 4 Name: Address: County/FIPS: Pro ert Information Address: County/FIPS: Data Source: B Legal Information Assessor's Parcel 392689 56.05-3-46 Number: Assessment Information Assessed Value: $86400 Total Market Value: $24400 2: Assessment Record for ROCKLAND County, NY Owner Information Name: Address: County/FIPS: Pro erty Information Address: County/FIPS: ROCKLAND Data Source: Legal Information Assessor's Parcel 392689 56.5-3-46 Number: Assessment Information Assessed Value: $86400 Total Market Value: $24400 3: Deed Record for ROCKLAND County Buyer Information Name: Name: Address: County/FIPS: Seller Information Name: Address: County/FIPS: om Pro Information Address: County/FIPS: ROCKLAND Data Source: B Lender Information Name: ASTORIA FSLA Legal Information For internal use only SDNY_GM_00064863 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027688 EFTA 00175364 EFTA01299156  Page 5 Contract Date: 09/18/1995 Recording Date: 09/21/1995 Document Number: 950921225682 Document Type: DEED Book/Page: 752/1993 Sale Information Sale Price: 5290000 Mortgage Information Loan Amount: $150000 Title Company: CHICAGO TITLE Motor Vehicle Registrations - 17 records found 1: NY MVR Registrant Information Registrant: R. HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 12/17/2010 Registration Date: 12/17/2010 Registration Expiration Date: 12/16/2012 Ion VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Honda Model: Accord Series: ACCORD EX Body Style: Sedan 4 Door Weight: 3296 Plate Information License Plate Type: License Plate Number: Sib Plate State: NY 2: NY MVR Ion VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Honda Model: Accord Series: ACCORD EX Body Style: Sedan 4 Door Weight: 3296 Owner Information Name: R. HARRY I DOB: Address: ROCKLAND COUNTY Lienholder Information Name: AMERICAN HONDA FINANCE CORP. Address: 201 LITTLE FALLS DR WILMINGTON. DE 19808-1674 NEW CASTLE COUNTY For internal use only SDNY_GM_00064864 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027689 EFTA_00I75365 EFTA01299157  Page 6 Title Information Title Transfer Date: 1/7/2011 Title Issue Date: 1/7/2011 3: NY MVR Registrant Information Registrant: R, HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 1/6/2006 Registration Date: 12/4/2009 Registration Expiration Date: 1/5/2012 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2000 Make: Honda Model: Odyssey Series: ODYSSEY EX Body Style: Sport Van Weight: 4170 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: If= Plate State: NY 4: NY MVR tion VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2000 Make: Honda Model: Odyssey Series: ODYSSEY EX Body Style: Sport Van Weight: 4170 Owner Information Name: R, HARRY I DOB: Address: ROCKLAND COUNTY Title Information Title Transfer Date: 2/3/2006 Title Issue Date: 2/3/2006 5: NY MVR Registrant Information Registrant: R, HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 12/12/2007 Registration Date: 11/18/2009 Registration Expiration Date: 12/11/2011 For internal use only SDNY_GM_00064865 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027690 EFTA_00I75366 EFTA01299158  Page 7 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2004 Make: Nissan Model: Altima Series: ALTIMA/S/SL Body Style: Sedan 4 Door Color: Green Weight: 2980 Plate Information License Plate Type: Previous Plate Number: Ilila Previous Plate State: License Plate Number: Plate State: NY 6: NY MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2004 Make: Nissan Model: Altima Series: ALTIMA/S/SL Body Style: Sedan 4 Door Color: Green Weight: 2980 Owner Information Name: SE I FR, HARRY I DOB: Address: ROCKLAND COUNTY Title Information Title Transfer Date: 2/20/2008 Title Issue Date: 2/20/2008 7: NY MVR Registrant Information Registrant: BELLER. HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 10/5/2007 Registration Date: 9/3/2009 Registration Expiration Date: 10/4/2011 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Honda Model: Accord Series: ACCORD VALUE PACKAGE Body Style: Sedan 4 Door Weight: 3100 Plate Information License Plate Type: Previous Plate Number: NY Previous Plate State: NY For internal use only SDNY_GM_00064866 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027691 EFTA_G0I 75367 EFTA01299159  Page 8 License Plate Number: • Plate State: NY 8: NY MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Honda Model: Accord Series: ACCORD VALUE PACKAGE Body Style: Sedan 4 Door Weight: 3100 Owner Information Name: R. HARRY I DOB: Address: ROCKLAND COUNTY Title Information Title Transfer Date: 11/2/2007 Title Issue Date: 11/2/2007 9: NY MVR Registrant Information Registrant: R. HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 12/27/2004 Registration Date: 11/8/2006 Registration Expiration Date: 12/26/2008 fi jem imiInformation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2001 Make: Toyota Model: Camry Series: CAMRY CE/LE/XLE Body Style: Sedan 4 Door Plate Information License Plate Type: Priv Previous Plate Number: Previous Plate State: License Plate Number: NY Plate State: NY 10: NY MVR metbn VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2001 Make: Toyota Model: Camry Series: CAMRY CE/LE/XLE Body Style: Sedan 4 Door Owner Information Name: R. HARRY I DOB: Address: For internal use only SDNY_GM_00064867 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027692 EFTA_00175368 EFTA01299160  Page 9 ROCKLAND COUNTY Title Information Title Transfer Date: 1/31/2005 Title Issue Date: 1/31/2005 11: NY MVR Registrant Information Registrant: R, HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 10/28/2004 Registration Date: 10/28/2004 Registration Expiration Date: 12/16/2006 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1996 Make: Ford Model: Windstar Series: WINDSTAR WAGON Body Style: Extended Sport Van Weight: 3665 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: NY Plate State: NY 12: NY MVR hide Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1996 Make: Ford Model: Windstar Series: WINDSTAR WAGON Body Style: Extended Spoil Van Weight: 3665 Owner Information Name: R, HARRY I DOB: Address: ROCKLAND COUNTY Lienholder Information Name: VALLEY NATIONAL BANK Address: 1445 VALLEY RD WAYNE. NJ 07470-2088 PASSAIC COUNTY Title Information Title Transfer Date: 1/21/1999 Title Issue Date: 1/21/1999 13: NY MVR Registrant Information Registrant: Mr HARRY I DOB: For internal use only SDNY_GM_00064868 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027693 EFTA_00I75369 EFTA01299161  Page 10 Address: ROCKLAND COUNTY Registration Information Original Registration Date: 12/30/2002 Registration Date: 12/30/2002 Registration Expiration Date: 1/29/2005 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1993 Make: Toyota Model: Camry Series: CAMRY XLE Body Style: Sedan 4 Door Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: IT= Plate State: NY 14: NY MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1993 Make: Toyota Model: Camry Series: CAMRY XLE Body Style: Sedan 4 Door Owner Information Name: R, HARRY I DOB: Address: ROCKLAND COUNTY Title Information Title Transfer Date: 3/1/2001 Title Issue Date: 3/1/2001 15: NY MVR Registrant Information Registrant: R. HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 1/3/2000 Registration Date: 1/3/2000 Registration Expiration Date: 1/24/2002 mation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1987 Make: Nissan Model: Sentra Series: SENTRA Body Style: Station Wagon Plate Information License Plate Type: Private For internal use only SDNY_GM_00064869 CONFIDENTIAL - PURSUANT TO FED. R.QCIIINIE IDENTIAL DB-SDNY-0027694 EFTA_00175370 EFTA01299162  Page I I Previous Plate Number: Previous Plate State: NY License Plate Number: Plate State: NY 16: NY MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1987 Make: Nissan Model: Sentra Series: SENTRA Body Style: Station Wagon Owner Information Name: BELLER, HARRY I DOB: Address: ROCKLAND COUNTY Title Information Title Transfer Date: 1/2/1998 Title Issue Date: 1/2/1998 17: NY MVR Registrant Information Registrant: R. HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 3/31/1997 Registration Date: 3/31/1997 Registration Expiration Date: 5/6/1999 nation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1988 Make: Pontiac Model: 6000 Series: 6000 LE Body Style: Station Wagon Weight: 3550 Plate Information License Plate Type: 'ilia License Plate Number: Plate State: NY Potential Relatives - 10 records found 1st Degree 9. 2nd Degree 1 No. Full Name Address/Phone 1. SSN For internal use only SDNY_GM_00064870 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027695 EFTA_00I 75371 EFTA01299163  Page 12 No. Full Name Address/Phone 2. 3. 4. 5 6. 7. =om For internal use only SDNY_GM_0006487i CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027696 EFTA_00I 75372 EFTA01299164  Page 13 No. Full Name Address/Phone 8.A. 9. Person Associates - 5 records found No. Full Name Address SSN Phone DOB 1: 2: 3: For internal use only SDNY_GM_00064872 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027697 EFTA_00175373 EFTA01299165  Page 14 No. Full Name Address SSN Phone DOB 4: 5: Nei hbors - 10 records found Name Address Phone For internal use only SDNY_GM_00064873 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027698 EFTA_00175374 EFTA01299166  Page IS Employment - 1 records found 1: Company Name: CITIBANK Name: RY I SSN: Confidence: Medium Sources - 77 records found All Sources 77 Source Document(s) Deed Transfers 3 Source Document(s) Email addresses 2 Source Document(s) Historical Person Locator 4 Source Document(s) Motor Vehicle Registrations 28 Source Document(s) Person Locator 1 2 Source Document(s) Person Locator 2 9 Source Document(s) Person Locator 4 1 Source Document(s) Person Locator 5 7 Source Document(s) Person Locator 6 4 Source Document(s) Phone 3 Source Document(s) Tax Assessor Records 13 Source Document(s) Voter Registrations 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 For internal use only SDNY_GM_00064874 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027699 EFTA_00I 75375 EFTA01299167  Page 16 Your GLBA Permissible Use is: Legal Compliance Copyright® 2013 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. D&B: Not Required LEGAL RESULTS: Court Cases: *** THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY*" SUPREME COURT CIVIL SUITS FOR KINGS COUNTY, NEW YORK CASE-NAME: BELLER,ANNA & HARRY BELLER V. CITY WILLETS POINT CONTRACTING CORP., & FRAND MASCALI CONTRACTING CO., INC STATUS: DISPOSED ON 06/30/1987; SETTLED BEFORE TRIAL ACTION: OTHER TORTS NEGLIGENCE REQUEST FOR JUDICIAL INTERVENTION: 02/25/1986 NOTE OF ISSUE FILED: 02/21/1986 INDEX-NUMBER: 0155871983 JURY REQUESTED BY: PLAINTIFF JUDGE: PART 25 - JAMES W. HUTCHERSON PLAINTIFF ATTORNEY: ROSENBERG & HOROWITZ, S & H DEFENDANT ATTORNEY: PAIR A CROTTY CORP COUNSEL r For internal use only SDNY_GM_00064875 CONFIDENTIAL - PURSUANT TO FED. R.COINE IDENTIAL DB-SONY-0027700 EFTA_OOI 75376 EFTA01299168  Page 2 BELLER,ANNA v. CITY Mark H. FE