NAME SEARCHED: Neptune, LLC PWM 81S-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts invoMng PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC * No Hit O Not Required Hit I. RDC Results No RDC alert (Please co: attached) ■ PCR No Hit O Not Required Hit II. PCR Results No PCR alert (Please sec attached) O BIS IS Yes O No Ill. Negative Media Result found(Plcase sec attached) IV. !Von-Negative Media Result found(Plcase sec attached) M Not Required V. Other Language Media There was no information found D&B Results? VI. D&H Result found(Platsc see attached) Yes • No • Not Required Smartlinx Results? 0 Yes O No VII. Smartlinx Result found(Please see attached) NI Not Required Court Cast% Review by Legal May VIII. Court Cases Result found(Plcasc sec attached) be Required O No Results O Search not requiral Prepared by: Shanu Gujaria Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenicnce:Martindale-Ilubbellhttp://www.martindale.comisp/Martindakihome.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. Date:06/16/2017 CONFIDENTIAL — PURSU