EFTA01389131.pdf

KYC Mint Page 20 of 22 Court Cases are closed Erika Kellerhals: Civil Action court case of James P Carroll v Dawn Prosser (a divorce case) which lists Erika Kellerhals as general counsel as the is an attorney. Mother case with Supermarket Source Inc lists Enka as the defendent's counsel. These cases are standard in Erika's line of work, and they are not directed at her personally. To the best of your knowledge, has the client ever been convicted of a criminal E 0 Yes 0 No offense? 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 subsdiaries? (If Yes isr ❑Yes ..4 No provide details below and contact Qualify Mgt. (Labem/Int7) or the Regulatory Control Group and notify Comphance immediately) Does the client or related party have any financial or other association I interactions G within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? nYes RI No Does the client or related party have any financial or other association/ interactions r—, N. within high risk countries? LJ Yes 0 No I. Corporate Documentation Attached (Legal Entities Only) ®Yes 0 No 0 Not Applicable J. Undisdosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No 2 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: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid IN30000000D9Di&e... 1/11/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0093462 CONFIDENTIAL SDNY GM_00239646 EFTA01389131