KYC Print Page | of 10 DB PWM GLOBAL KYC/NCA: PART A [7] KYC Case # : 01790724 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details C0 New PWM Relationship Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ***This KYC is a periodic review for high risk remediation*** Original KYC1161376 How Was the Client(s) Introduced? How long has the | Please provide details (e.g. name of refe b rs RM personally has known client, etc.); Stewart Oldfield RM personally known the and Cynthia Rodriguez contacted material changes client? Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this (If Yes, describe). relationship? List all existing and new accounts involved in this relationship Legal Entity | Account Name / Number Opening Date (intended/actual) hunts) ‘Who is the primary contact mele for the Wht Snel Preferred method of contact (indicate phone no., fax no., signatory rights and/or information right for the email address, etc.): accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... 7/30/2019 CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002885 EFTA_00016359 EFTA00167111

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KYC Print Page 2 of 10 One sheet must be established for each account to be o a — Acct. Number (if available} | ‘What is the purpose of the account (e.g. portfolio mani account, custody services, long-term investment, payment/expense account)? Checking account for the daily use or => = a” Indicate from where the assets are expected to arrive? [1 De Group: Same Booking Center (indicate account number): SD Cj DB Group: Other Booking Center (indicate DB location and account details): (7) other institution - (Indicate name & location): im] Physical Deposits (specify cash, securities, cheques, ...): ‘What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0-4 inflows and outflows per month ranging from $100 to $1500 ‘What Is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Check if a source of wealth description is required for the party. Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected), If none of the check boxes apply, describe the party's relation to the account in the “Other” column. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Ce pe Ae Pe bb Pe PT https://dbforcepb.my.salesforce.com/servlet/servlet. Integration? lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002886 EFTA_00016360 EFTA00167112

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KYC Print Page 3 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa: 3A. Individual Details (for all parties) Has client resided outside of his/her country of nationality |[]yes Mino for 5 years or more? Does the person work as senior executive of a DB-recognized regulated entity in the financial | _ . _ Industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating Cl yes Wino ntities Is the individual a Politically Exposed Person (PEP)?(iF Yes, describe) Lives wd To the best of your knowledge, ts the individual related to an employee of the DB group?/if Cj Family C Friendship Vj None Family or Friendship, describe ) To the best of your knowledge, ts the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes, describe ) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Chent Private | Client Piace of . a (= = ee (=e = Cl wealth Details for this individual are not filled in, because they are the same as for the following person 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Summarize Source of Wealth (Cl Business Owner []satary/Eamings [_] Investment [_]inheritance/Gitts [_lother Bank Officer Name(s) Further Describe Source of Wealth /Detail the history of weaRh for each of the sources: (¢.9. For trusts, how did settior accumulate wealth? For inheritance, how did family accumulate wealth?For business ovmers, how long in business, how ma: ployees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Emad ual comes: | ate anc ot vee me Other Known Financial Institutions: Institution PPrtergan [country [usa Je# Assets Under Mat: ] 2,000.00 https://dbforcepb.my .salesforce.com/servlet/servlet.Integration?lid=01 N30000000D9Di&e... 7/30/2019 CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002887 EFTA_00016361 EFTA00167113

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KYC Print Page 4 of 10 Please indicate the family situation of the individual (marital status, other family members, etc.): Married to Karyna Shuliak https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01 N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002888 EFTA_00016362 EFTA00167114

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KYC Print Page 5 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa: 3A, Individual Details (for all parties) — Has client resided outside of his/her country of nationality for 5 years or more? Address of employer: po Does the person work as senior executive of a DB-recognized regulated entity in the financial | _ . industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating Clyves Mino noties Is the individual a Politically Exposed Person (PEP)? (i Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?/if JFriendship [None Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e¢.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes, describe ) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person Bank Officer Name(s) Jeank omice: [Cenk pve | chent Place o Other Location (specify): 5 pmnomrsianesmmnestos? [| fomrnanrcionaawansonectnae | (J Business Over M satary/Eamnings (J investment C] Inheritance/Gifts 0 Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (¢.9. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many ees, level of profitability? Indicate of business, rtners.) Her annual income ts approximately $150k with salary, bonus, and commissions CC Institution JP Morgan Chase Country USA Est. Assets Under Mgt: 2,000.00 https://dbforcepb.my.salesforce.com/servlet/servlet. Integration? lid=0 1 N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002889 EFTA_00016363 EFTA00167115

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KYC Print Page 6 of 10 Please indicate the family situation of the individual (marital status, other family members, etc.): Married to [EE EE https://dbforcepb.my.salesforce.com/servlet/servlet. Integration? lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002890 EFTA_00016364 EFTA00167116

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KYC Print Page 7 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B [7] M privers License ] Passport L] NationalState 10 LJ other Checklist of names (individuals and/or entities) that were submitted for database searches is Oo a "attached Yes SONo C. Please indicate the results of the database searches performed RDC searches complete Mies Clno negative results found PCR checks complete Yes No negative results found OCves Mino OFAC checks complete ves ino _ negative results found Oves Mino BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, 088) MWiyes lwo negative results found Oves Mino Denial Orders checks complete Mives C]no negative results found Lives Mino Martindale-Hubbell searched (Lawyers/Law Firms only) Cves Mino negative results found Oves Co Please summarize any negative results from the database searches indicated above: : No Negative Media Court case r | for a personal injury and is a false positive as the AEE EJ in the KYC resides ind has no cul >. No Negative Media No Court Cases E. To the best of your knowledge, has the client ever been convicted of a criminal offense? To the best of your knowledge, has the customer ever been involved in any past IiRigation against Deutsche Bank AG or any of its subsidiaries or is the custorner threatening litigation against o u Deutsche Bank AG or any of its subsidiaries? (IF Yes, provide details below and contact Quality Yes No Mot. (LatAm/Int) or the Regulatory Contra! Group and notify Compliance immediately) F. Does the client or related party have any financial or other association / interactions within oO Yes No G. countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Does the client or related party have any financial or other association/ interactions within high o uw * risk Countries? Yes No 1. Corporate Documentation Attached (Legal Entities Only) Mives Co (] Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) Clves Coo M] 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: L Special Risk Factors Does the account have Nexus to Special Risk Countries? Oves Mino Is the account structure unusually complex? UO Yes Mino H https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002891 EFTA_00016365 EFTA00167117

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KYC Print Page 8 of 10 Is there any indication the client set up a non operating company wy, expressly for the purpose of trans! g shares to third parties? Oves Mino Is there any indication this could be a prohibited business relationship? Clyes Mino Are the bearer shares identified subject to acceptable controls? Clyes Vino https://dbforcepb.my.salesforce.com/servlet/servlet. Integration? lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002892 EFTA_00016366 EFTA00167118

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KYC Print Page 9 of 10 The account holders have been clients of DB since 2013. Below are the reasons why we were comfortable th approving this high risk KYC remediation - Information and supporting documents required by our AML Policy were provided and reviewed; and as a we have an understanding of the structure of the accountholders, their purpose, the purpose of the counts and expected transaction activity, The account holders’ (EEE BE ana fo] source of wealth and source of funds were 7/27/1417 5:06 PM ciently detailed and appears plausible Our review did not identify any red flags and thus there was no need to escalate this case further. We performed due diligence searches on all parties and did not find the names searched to be on any inctions lists. ONSHORE APPROVALS Client Facing Professional (CFP): stewart oldfield (Signature) 7/20/2017 pti oldfield Office Director/Business Head Andrew F Gallivan -— 7/25/2017 AML Business Risk: (Signature) AML Compliance: (Signature) Kshitij Golani Kshitij Golani 7/27/2017 Yoonsun Chung Yoonsun Chung 7/27/2017 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Global Market Team Head (GMTH)/Sub-Market Team Head SMTH) AML Business Risk: AML Compliance: PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals (1) (CFP's) should establish and maintain business relationships only with persons who satisfv our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the https://dbforcepb.my .salesforce.com/servlet/servlet.Integration?lid=01 N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002893 EFTA_00016367 EFTA00167119

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KYC Print Page 10 of 10 inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, ete. https://dbforcepb.my ..salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002894 EFTA_00016368 EFTA00167120