EFTA01358808.pdf

KYC Print Page 19 of 21 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B F2 Relationship Name GOLDENTREE RELATIONSHIP Booking Center El..1NY 1: O Offshore Moderate R High NY/Offshore Risk Risk (Compliance Signature) O DB Employee I..J DB Managed PIC O DB is Trustee/Co-Trustee LiBearer Shares 4. Attachments I A. Type of Photo ID Provided W./ Drivers License R Passport 11 National/State ID O Other Checklist of names (individuals and/or entities) that were submitted for database r-2 B. searches is attached Yes O No C. Please indicate the results of the database searches performed RDC searches complete R yes O No negative results found O Yes R No PCR checks complete yes O No negative results found 11Yes W No OFAC checks complete Wi yes O No negative results found O Yes R No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) yes O No negative results LJ Yes WI No Denial Orders checks complete d yes • No negative results found C3 Yes W No Martindale-Hubbell searched (Lawyers/Law Arms only) O yes W No negative results found rives O No D. Please summarize any negative results from the database searches indicated above: E To the best of your knowledge, has the client ever been convicted of a criminal offense? O Yes il l No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, Oyes V] No provide details below and contact Quality Mgt (LatAm/Int7Jor me Regulatory Carol Croup and no* Compliance immerhately) Does the client or related party have any financial or other association / G. interactions within countries or regimes sanctioned by the Office of Foreign Assets O Yes R No Control (OFAC)? Does the client or related party have any financial or other association/ H. E .i Yes No interactions within high risk counties? I. Cainxate Documentation Attached (Legal Entities Only) R Yes O No O Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No C•e Not Applicable K. If leds/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: https://dbforcepb.my.salesforce.com/servlet/sennet.Integration?lid=01N30000000D9Di... 5/18/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046751 CONFIDENTIAL SDNY_GM_00192935 EFTA01358808