EFTA01384738.pdf

HUBUS133 Alpha Group Capital SECTION D - Entities, continued - Trusts and Non-Charitable Foundations Please complete the relevant section of the entity type and provide the following documents: Legal Name Registered Address of the Trust Nature and purpose of the entity Tax Identification Number Copy of the Trust deed or equivalent (Consider legal form of the entity; e.g., if it is foundation, please provide incorporation documents.) Tax Form (W-B/W-9) Names and address of all trustees. See appendix V. Names addresses and date of birth of settler' See appendix V. Name, address, tax ID, date of birth on a signed and dated letter-head for two Trustee(s) or one trustee and one authorized signatory. See appendix V. OR ID documents and tax ID for two Trustee(s) or one trustee and one authorized signatory. (Valid photo identification and third party residentiaVstreet address confirmation as per individual requirements, if not individual complete relevant entity section).2 Names, addresses and date of birth of all beneficial owners who own 25% or more of trust. See appendix V. Where beneficial owner is a corporate entity, ultimate beneficial ownership needs to be determined and/or identified up to the ultimate beneficial owner each holding a direct/indirect stake of 25% or more of the actual Customer. In establishing the ultimate beneficial owner documentary evidence detailing the ownership structure is required e.g. organization chart signed by an authorized signatory, company's share register, letter from the company's legal, extract from relevant company register, other company documentation, etc. (E-mail confirmation is not acceptable for the above point, we will need the confirmation in writing, on headed paper and signed by an authorized signatory) Copy of authorized signatory list / Certificate of Incumbency / Power or Attorney or equivalent document (must contain specimen signatures) For entities deemed to be in a High Risk jurisdiction, all of the above information is required. The following is also required: For two Trustees. or one trustee and one authorized signatory: Current copy of a photographic identity document issued by the government or a State-owned entity (e.g., passport, driver's license), as well as proof of address (two current copies of utility bills or equivalent (e.g. bank statement, etc.) For Settlers: Current copy of a photographic identity document issued by the government or a State-owned entity (e.g., passport, drivers license), as well as proof of address (two current copies of utility bills or equivalent (e.g. bank statement, etc.) Current copy of a photographic identity document for all vested and fixed beneficiaries who owns 25% or more of the Trust (e.g. passport, drivers license), as well as proof of address (two current copies of utility bills or equivalent (e.g. bank statement, etc.) Copy of the Trust Deed yes 1. Regarding Settler(s): For Settlers who ate deceased. or othemise hcapacitaled a copy of a death certificate. pone( of attorney. or other equivalent document vat be required 2. Regarding Trustees: The identification requitements writ depend on the type of entitles the Trustees are. If the Trustee Is a company. follow the requirements outlined for corporations at, 3. Regarding Beneficial Owner Definitions: a. Vested Beneficial Owner-. the InctiNduatts)ancYor enttty(les) that would cutrenby benefit from the return of this Investment b. Fixed Beneficial Owner - the inctibidualls) ander entilybes) that am listed within the bust agreement by name as vested or future beneficiaries of the mist. This does not include Gasses of beneficiaries where the individual underlying parties ate not names: Le. Issue. children, etc. 15 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0085218 CONFIDENTIAL SDNY_GM_00231402 EFTA01384738