7/15/2019 KYC Punt Bank AG or any of its subsidiaries' (If Yes, provide details below and contact Quality Mgt. (LatAntffntO orrne ReguktotyControl Group and notify Cornpliance immediately) G. Does die dent or related party have any financial or other association / interactions within countries or D yes rye me regimes sanctioned by the Office of Foreign Assets Control (OFAC)1 Does the dent or related party have any financial or other association/ interactions within high risk H. Yes iii No countries? I. Corporate Documentation Attached (Legal Entities Only) 4, Yes .. No . Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) Yes No IF. Not Applicable K. If Leias/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in Englsh, 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? ye. 4' No Is the account structure unusually complex' Yes le. No Is there any endKation the client set up a non operating company expressly for the purpose of transferral° shares to third parties? Yes ..1.) No Is there any indication this could be a prohibited business relationship? Yes riti No Are the bearer shares Identified subject to acceptable controls? https://dblorcepb.my.salesforce.comiservletiserviet Integ ration7lid=0 I N30000000D9D4e4.5006000000TlEyC&Ic=18AnkTokencVmpFPSxNakF47... 24/25 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066744 CONFIDENTIAL SDNY GM_00212928 EFTA01372847