EFTA01296172.pdf

HBRK Associates, Inc
NAME SEARCHED:
PWM BIS-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):
ZI N,. i ht Li Noi italair....i
Rix' I. RIX. Results No RUC' alert (Please sec attached)
U lid
No Iht O Not Required
PCR II. PCR Result; No PCR alert (Please see attached)
O Hit
O Yes El No III. Negative Media There was no information found
BIS O Not Required IV. Non-Negative Media There was no information found
V. Other Language Media Not Required
D&H Rnesulift 0 Yes • No VI. DatB Result Found (Please see attached)
LJ Not Required
Smartlinx Result/7 r.:.4 Yes O No Result Found (Please see attached)
MI Not Required VII. Smartlinx
• Review by Legal May There was no information found
Court Cases be Required No Results VIII. Court Cases
O Search not required
Prcparcd by: Prachi Pawa Da c: 06/16/2017
Research Analyst
Instructions:
I. Review and confirm that all results are returned for your client.
2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link
below for your convenience:Martindalc-Hubbellhttp://www.martindalexonthp/Martindale/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.
For internal use only
S0NY_GM_00058149
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0020973
EFTA_00 168709
EFTA01296172

OFAC RESULTS
RDC:
11602747 No Match Found NYC 1791049 Country:UNITED STATES
KIRK Associates, Inc
PCR:
C20170637921892 HBRK Associates, Inc 12893127 NCA customised Auto-Closed No-Hit
16/06/2017
BIS RESULTS
Negative Media:
There was no information found
Non-Negative Media:
There was no information found
Other Language Media:
Not Required
Public Records:
1 OF 1 RECORD(S)
Comprehensive Business Report
For internal use only
SDNY_GM_00058150
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CONFIDENTIAL - PURSUANT TO FED R.CON(F DB-SDNY-0020974
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Page 2
Report Created:6-16-2017 7:36 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright SD 2017 LexisNexis,
All rights reserved.
Search Terms - company(HBRK Associates, Inc) radius(30) last-name(Simoes Birmann) first-name(Bemardo)
Executives - Current (0) Incorporation/SOS (0) Operations/Sites (1) Sales (0)
Licenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0)
MVRs - Current (0) MVRs - Prior (0) Watercraft - arrant (0) Watercraft - Prior (0)
Aircraft • Current (0) Aircraft - Prior (0) Bankruptcy Flings (0) Judgments & Liens Filings (0)
UCC Filings (0) Executives - Prior (0) Registered Agents (0) Name Variations (1)
Possible Employees (0) Person Associates (0) Business Associates (0) TINs (0)
Possible Connected Parent Company (0) Industry Information (0)
Business (2)
View All Sources (3)
Business Summary
Name Address Phone
HBRK ASSOCIATES INC 130 E 75th St
New York. NY 10021-3241
/ (No recent public filings on file)
New York County
LexID Established TIN
0000.6537.3878 2014
(3 Years in Business)
At a Glance
Real Property 0 UCC Debtor 0
Personal Property 0 Bankruptcy 0
Secured Assets 0 Judgments/Liens 0
Executives 0 Foreclosure/Notice of Default 0
Name Variations -1 name variations found
NO. NAME
HBRK ASSOCIATES INC
TINs - 0 TINs found
Business Profile
Executives: Current - 0 executive(s) found
Incorporation/SOS (0 active, 0 other)
eratingLocations - Showing 1 location(s)
NO. ADDRESS METRO AREA PHONE
1 130 E 75th St New York. NY
New York. NY 10021-3241
New York County
Sales - 0 record(s) found
Parent Company - 0 record(s) found
Industry Information - no information found
Licenses - 0 licenses found
URLs - 0 URLs found
Bankruptcy (0 active, 0 closed)
For internal use only
SDNY_GM_00058151
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SDNY-0020975
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Judgments/Liens (0 filings)
UCC Filings (0 debtor, 0 creditor)
Real Property (0 current, 0 prior)
Personal Property (0 current, 0 prior)
Associates
Executives: Prior - 0 prior executive(s) found
Registered Agents - 0 registered agent(s) found
Possible Employees - 0 current, 0 prior employees found
Person Associates - 0 other person associates found
Possible Connected Business - 2 businesses found
NO. NAME ADDRESS
1. HBRK ASSOCIATES INC 575 Lexington Ave
New York. NY 10022-6102
New York County
2. HBRK ASSOCIATES INC. 1365 York Ave Apt 28A
New York. NY 10021-4040
Business Associates - 0 business associates found
Sources
All Sources 3 Source Documents
Telco 2 Source Documents
Experian 1 Source Documents
D& B:
Copyright 2016 Dun & B adstreet, Inc
dun &a bradstreet
Worldbase
For internal use only
SDNY_GM_00058152
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CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0020976
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Worldbase, 12/14/2013, HBRK ASSOCIATES INC.
December 14, 2013
HBRK ASSOCIATES INC.
1365 YORK AVE
NEW YORK, NY 100214035
USA
COUNTY: NEW YORK
REGION: NORTH AMERICA
COMPANY IDENTIFIERS
DUNS: 01-011-3230
COMPANY INFORMATION
FOUNDED: 2010
COMPANY TYPE: Private
EXECUTIVES
CEO:
RICHARD KAHN, PRINCIPAL
DESCRIPTION
UNDETERMINED
MARKET AND INDUSTRY
SIC CODES:
9999 - Nonclassified establishment
LOAD-DATE: June 26, 2016
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
SONY_GM_00058153
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.ctaNtE DB-SONY-0020977
EFTA_00168713
EFTA01296176

For internal use only
SDNY_GM_00058154
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0020978
EFTA_00I 68714
EFTA01296177