EFTA Document EFTA01368141

USA CDD US Primary Business Function Please select the US Primary Business Function Private investment vehicle Qualified Institutional Buyer Is the client a Qualified Institutional Buyer ? No UBO Requirements Is the pension fund ERISAm_alified ?If it is ERISA qualified then there are no UBOmuirements No Is the entity a foreign bank or a level III FFI ? No USA Patriot Act Requirements Is the client a non-US bank ? Has the Disclosure Document be sent to client Date Sent Addressee No Yes 20141126 Physical CIP Mail sent Has the Disclosure Document be sent to client "This is onjxSpplicable to foreign banks No RDC Has RDC saeening been done ? RDC Check Status Do_you want to perform RDC for additional parties Related Party RDC RDC Check Status Alerted, Non-AFC Legal Name Relationship to CP Jeffrey Edward Epstein Ultimate Beneficial Owner Yes Not Alerted Yes RDCAlertlist • if true, page Is not Alert RDCEventCategorlesRDCCheckStatustri EventCategoryRDCLegalNameSubCategoryinvolved PorttolloFlagFIrmNo RDCSubEventCategories In database operations AST.CON,PRJ,FRD, IMRIPROBS,ORG, Made& Non-AFC SEX.TAXTFT Jeffrey Edward Epstein true Page 14 M CC,APL,CHG,CVT.IND, LE,PRBAJT.SET,TRL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059802 CONFIDENTIAL SDNY_GM_00205986 EFTA01368141