EFTA01296274.pdf

Zorro Management, LLC
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):
0 No Hit • Not Required
RDC I. RDC Results No RDC alert (Please sec attached)
■ Ilit
PCR ... No lift • Not Reignited II. PCR Results No PCR alert (Please sec attached)
M Hit
El Yes 0 No III. Negative Media There was no information found
13I5 E Not Required IV. Non-Negative Media There was no information found
v. Other Language Media There was no information found
Results? 0 `As No vi. D There was no information found
D&B
• Not Required
Result found(please see attached)
&limn= Results? El Yes 0 No
El Not Required VII. Smartlinx
El Review by Legal May There was no information found
g
Court Cases be Requited No Results VIII. Court Cases
M Search not required
Prepared by: Reena Chandwani Date:06/15/2017
Research Analyst
Instructions:
I. Review and confirm that all results arc 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:Manindalc-Hubbellhttp://www.martindak.comhip/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
SONY_GM_00058492
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0021316
EFTA_00169052
EFTA01296274

OFAC RESULTS
RDC:
a
Not Alerted kyc Country:UNITED STATES
Zorro Management, LLC
PCR:
Zorro Management, LLC NCA customised Auto-
Closed No-Hit 15/06/2017
BIS RESULTS
Negative Media:
There was no information found
Non-Negative Media:
There was no information found
Other Language Media:
There was no information found
Public Records:
1 OF 2 RECORD(S)
Comprehensive Business Report
Report Created:6.15.2017 4:47 PM EST I FOR INFORMATIONAL PURPOSES ONLY I Copynght 2017 LexisNexis,
All rights reserved.
Search Terms - company(Zorro Management, LLC) radius(15)
Executives • Current (2) Incorporation/SOS (1) Operations/Sites (2) Sales (0)
Licenses (0) URLs (0) Real Property • Current (0) Real Properly • Prior (0)
MVRs • Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0)
Aircraft Current (0) Aircraft • Prior (0) Bankruptcy Filings (0) Judgments .4 Liens Filings (0)
UCC Filings (0) Executives • Prior (0) Registered Agents (1) Name Variations (1)
Possible Employees (1) Person Associates (0) Business Associates (0) TINs (0)
For internal use only
SDNY_GM_00058493
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQA1(f DB-SDNY-0021317
EFTA_00 169053
EFTA01296275

Page 2
Possible Connected Parent Company (0) Industry Information (0)
Business (0)
View All Sources (2)
Business Summary
Name Address Phone
ZORRO MANAGEMENT. LLC 616 Texas St
Fort Worth, TX 76102-4612
Tarrant County
LexID Established TIN
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 2 Foreclosure/Notice of Default 0
Name Variations -1 name variations found
NO. NAME
ZORRO MANAGEMENT, LLC
TINs - 0 TINs found
Business Profile
Executives. Current - 2 executive(s) found
NO. NAME TITLE
1. Hudson, Betty C - MEMBER (10/02/2015)
- MANAGER (06/24/2014 - 10/12/2014)
Associated with Other Companies
2. Hudson, William A II - MEMBER (10/022015)
it Associated with Other Companies - MANAGER (06/24/2014 - 10/12/2014)
aDeceased
Incorporation/SOS (1 active, 0 other)
NO. NAME FILING TYPE STATUS FILING FILING NO. STATE
DATE
1. ZORRO ACTIVE 06/25/2014 0802015250 TX
MANAGEMENT, LLC
Additional Details
Business Status: ACTIVE
Filing Type: CREATION
For Profit: Unknown
Origin: State of TX
Filing History (most recent two years)
Filing Date Description
05/10/2017 PUBLIC INFORMATION REPORT (PIR)
12/31/2016 PUBLIC INFORMATION REPORT (PIR)
12/31/2015 PUBLIC INFORMATION REPORT (PIR)
10/01/2015 PUBLIC INFORMATION REPORT (PIR)
For internal use only
SDNY_GM_00058494
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SDNY-0021318
EFTA_00 I 69054
EFTA01296276

Page 3
OperatingLocations - Showing 2 location(s)
NO. ADDRESS METRO AREA PHONE
1. 616 Texas St Fort Worth-Arlington,
Fort Worth, TX 76102-4612 TX
Tarrant County
2. 18 Valley Ridge Rd Fort Worth-Arlington,
Fort Worth, TX 76107-3111 TX
Tarrant 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)
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 -1 registered agent(s) found
NO. NAME ADDRESS STATE DATE(S)
1. Hudson. William A II 616 Texas St Texas 06/24/2014 -
Fort Worth, TX 76102.4612 05/11/2017
Possible Employees - 0 current, 1 prior employees found
NO. NAME ADDRESS STATUS DATE(S)
1. Nobles. Donna 616 Texas St Prior
MANAGER Fort Worth. TX 76102.4612 06/24/2014 -
10/122014
Person Associates - 0 other person associates found
Possible Connected Business - 0 businesses found
Business Associates - 0 business associates found
Sources
All Sources 2 Source Documents
For internal use only
SDNY_GM_00058495
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0021319
EFTA_00 169055
EFTA01296277

Page 4
Corporate Filings 1 Source Documents
Other Directories 1 Source Documents
Key:
AHigh Risk Indicator. These symbols may prompt you to investigate further.
1►/ Moderate Risk Indicator. These symbols may prompt you to investigate further.
General Information Indicator. These symbols inform you that additional information is provided.
e° The most recent telephone listing as reported by Electronic Directory Assistance.
Wireless Phone Indicator. These symbols indicate a cell phone number.
8
Residential Phone Indicator. These symbols indicate a residential phone number.
(6) Business Phone Indicator. These symbols indicate a business phone number.
6
Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline
service.
FAX Indicator. These symbols indicate a FAX number.
S©+ Government Phone Indicator. These symbols indicate a government phone number.
Important: The Public Records and cornrow/ally available data sources used on reports have errors. Data is sometimes entered poorly, processed
incorrectly and Is generally not free from defect. This system should not be relied upon as defininvely accurale. Before relying on any data this system
supplies. d should be independently verified. For Secretary of Slate documents, the loboviing data is for information purposes only and is not an official
record. Codified copies may be obtained from that individual stale's Department of State.
Your DPPA Permissible Use is: Debt Recovery/Fraud
Your GLBA Permissible Use is: Legal Compliance
Copyright O 2017 LexisNexis. a division of Reed Elsevier Inc. All Rights Reserved.
2 OF 2 RECORD(S)
Comprehensive Business Report
Report Created:6-15-2017 4:47 PM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2017 LexisNexis,
All rights reserved.
Search Terms - company(Zorro Management, LLC) radius(15)
Executives - Current (0) Incorporation/SOS (1) Operations/Sites (1) Sales (0)
Licenses (0) LIRLs (0) Real Property - Current (0) Real Property - Prior (0)
MVRs - Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0)
Aircraft - Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments & Liens Filings (0)
UCC Filings (0) ExeciAives - Prior (0) Registered Agents (0) Name Variations (t)
Possible Employees (0) Person Associates (0) Business Associates (0) TINs (0)
Possible Connected Parent Company (0) Industry Information (1)
Business (0)
View All Sources (1)
Business Summar
Name Address Phone
ZORRO MANAGEMENT LLC 1679 S Dupont Hwy Ste 100
Dover, DE 19901-5164
LexID Established TIN
2016
(1 Years in Business)
At a Glance
Real Property 0 UCC Debtor 0
For internal use only
SDNY_GM_00058496
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0021320
EFTA_00169056
EFTA01296278

Page 5
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
1. ZORRO MANAGEMENT LLC
TINs - 0 TINs found
Business Profile
Executives: Current - 0 executive(s) found
Inco ration/SOS 1 active, 0 other
NO. NAME FILING TYPE STATUS FILING FILING NO. STATE
DATE
ZORRO MANAGEMENT LIMITED LIABILITY ACTIVE 11/25/2015 5888766
LLC CORPORATION
Additional Details
Business Type. LIMITED LIABILITY CORPORATION
Business Status: ACTIVE
Filing Type: SOS Filing
For Profit: Unknown
Origin: Other Business Filing
OperatingLocations - Showing 1 location(s)
NO. ADDRESS METRO AREA PHONE
1. 1679 S Dupont Hwy Ste 100 KENT COUNTY
Dover, DE 19901.5164
Kent County
Sales - 0 record(s) found
Parent Company - 0 record(s) found
Industry Information
SIC NAIC
0762 I Farm Management Services I No NAIC information available
Industry Description:
Business Description:
Licenses - 0 licenses found
URLs - 0 URLs found
Bankruptcy (0 active, 0 closed)
Judgments/Liens (0 filings)
UCC Filings (0 debtor, 0 creditor)
Real Property (0 current, 0 prior)
For internal use only
SDNY_GM_00058497
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0021321
EFTA_00I 69057
EFTA01296279

Page 6
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 - 0 businesses found
Business Associates - 0 business associates found
Sources
All Sources 1 Source Documents
Other Directories 1 Source Documents
Key:
AHigh Risk Indicator. These symbols may prompt you to investigate further.
/ Moderate Risk Indicator. These symbols may prompt you to investigate further.
General Information Indicator. These symbols inform you that additional information is provided.
t# The most recent telephone listing as reported by Electronic Directory Assistance.
® Wireless Phone Indicator. These symbols indicate a cell phone number.
• Residential Phone Indicator. These symbols indicate a residential phone number.
O Business Phone Indicator. These symbols indicate a business phone number.
O Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline
service.
0 FAX Indicator. These symbols indicate a FAX number.
• Government Phone Indicator. These symbols indicate a government phone number.
Important: The Public Records and commie/Sy available data sources used on reports have errors. Data is sometimes emoted poorly, processed
incorrectly and is generally not free from defect This system should not be relied upon as definitively accurate. Before relying on any data this system
supplies, it should be independently verified. For Secretary of State documents, the follovAng data is for information purposes only and is not an official
record. Certified copies may be obtained from that individual stale's Depadment of Slate.
Your DPPA Permissible Use is: Debt Recovery/Fraud
Your GLBA Permissible Use is: Legal Compliance
Copyright O 2017 LeesMaxis, a division of Reed Elsevier Inc. NI Rights Reserved.
D& B:
There was no information found
LEGAL RESULTS:
For internal use only
SDNY_GM_00058498
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0021322
EFTA_00 169058
EFTA01296280

Page 2
Court Cases:
There was no information found
For internal use only
SDNY_GM_00058499
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0021323
EFTA_OOI 69059
EFTA01296281