EFTA01387746.pdf

Richard, Please see below for more details on our FACTA request. Thank you, Liam FATCA US tax regulations, including the Foreign Account Tax Compliance Act (FATCA), require Deutsche Bank AG and its affiliates ('Deutsche Bank') to review and update the US tax information held on file for its existing clients. What this means for you We have reviewed the account information held on file and due to one of the reasons listed below, you are required to furnish us with a US tax form: • US tax form provided has expired • US tax form has failed validation • Missing or incorrect documentation Please review the list of your accounts below and return the appropriate tax form(s) to us within 14 days via email to: [email protected]. In your response please be sure to include the legal entity name and DB reference number(s). DB Reference Number Legal Entity Name DB Entity 1007406812 Southern Financial, LLC DB AG (London) Once we have reviewed your form(s) we will contact you if any additional information is required. If you provide a single US tax form we will apply it to all the accounts referenced in this letter unless you specify otherwise. If you are not able to provide us with a US tax form, please inform us of the reason by replying to the email address above or by contacting your Deutsche Bank Relationship Manager. Failure to provide a form may cause your account(s) to be subject to US tax withholding and/or reporting. US Forms: US persons should provide a US tax form W-9. If you are not a US person you should provide one of the forms listed below. You can download the applicable forms and instructions from the IRS website at www.irstgov. US Tax Form Description Certificate of Status of Beneficial Owner for United W-SBEN States Tax Withholding and Reporting (Individuals) Certificate of Status of Beneficial Owner for United W-8BEN-E States Tax Withholding and Reporting (Entities) Certificate of Foreign Person's Claim That Income W-8EC1 s Effectively Connected With the Conduct of a Trade or Business in the United States Certificate of Foreign Intermediary, Foreign Flow- W-8IMY Through Entity, or Certain US Branches for United States Tax Withholding and Reporting CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0090867 CONFIDENTIAL SDNY GM_00237051 EFTA01387746