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 involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary.): RDC No Hit M Not Required I. RDC Resifts No RDC alert (Please sec attached) ■ flit FIRCOSOFT No Hit 0 Na Required iiii H. FIRCOSOFT Resul4 No Fircosoft alert (Please sec attached) • BLS CI III. Negative Media There was no information found Yes Oil No El Not Required IV. Non-Negative Mcdi:i Not Required V. Other Language Media Not Required D&B Results? VI. D&B There was no information found • Yes No E Not Required Smarting Results? 0 Yes 0 No VII. Smartlinx There was no information found • Not Required Court Cases 0 be Review bILegal May Required 0) No Results Search not required VIII. Caul Cases There was no information found • Prepared by: Shanu Gujaria Research Analyst Instructions: I. 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 convenience:Martindale-Hubbellhttp://wn w.martindalc.comhp/Martindak/home.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 08/27/2018 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)