EFTA01345315.pdf

KYC Print Page 17 of 19 (OFAC)? H. Does the client or related party have any financial or other association/ interactions kii No within high risk countries? ❑ Yes I. Corporate Documentation Attached (Legal Entities Only) R Yes ❑ No ❑ Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) ❑ Yes ❑ No RI 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 a Nexus to High risk Countries? ❑Yes 74 No Is the account structure unusually complex? ■ yes ON* Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to 0 yes JO No third parties? Is there any indication this could be a prohibited business ■ relationship? Yes 74 NO Are the bearer shares identified subject to acceptable controls? ❑Yes 0 No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid IN30000000D9Di&e... 7/30/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0031584 CONFIDENTIAL SONY GM_00177768 EFTA01345315