EFTA01360428.pdf

Case: 01195100 — salesforce.com - Unlimited Edition Page 2 of 12 A. Type of Photo ID Provided A. U.S Drivers License: Passport If Other. Type of Photo ID Provided B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached B. Yes C. Please indicate the results of the database searches performed RDC searches Yes - Negative Results Found PCR checks Yes - Negative Results Found complete complete OFAC checks Yes - No Negative Results Found BIS searches Yes - No Negative Results Found complete complete Denial Orders checks Yes - No Negative Results Found Martindale-Hubbell Not Applicable complete searched D. Please summarize any negative results from the database searches indicated above D. DARREN INDYKE: Approved in KYC #01133377 HARRY BELLER: Approved in KYC #01133624 JEANNE BRENNAN: Jeanne was previously approved in KYC #01141315 JEFFREY EPSTEIN: RDC Alert #1 -- Cleared & APPROVED by Chip Packard. AML Compliance, and Pat Harris PCR Alert #112 — Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case — Not our client FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. All Negative Media is our client He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are dosed E. Has the client or related party ever been convicted of a criminal offense? E. Yes hups://dbforcepb .my.sal esforce.com/5006000000XGHtl/p?retURL=/5006000000XGHtIA... 8/28/2015 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0048759 CONFIDENTIAL SDNY_GM_00194943 EFTA01360428