EFTA Document EFTA01356711

KYC Print Page 41 of 43 3. Undisclosed Principal Form Complete (Intermediaries Only) fl Yes El No R 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 Counties? K yes .4 No Is the account structure unusually complex? Ores r4 No Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? K Yes g No Is there any indication this could be a prohibited business relationship? ■ Yes 14 No Are the bearer shares identified subject to acceptable controls? K Yes 74No lit tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid IN30000000D9Di&eid=5000e0000 IN... 7/10/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042709 CONFIDENTIAL SDNY GM_00168893 EFTA01356711