EFTA01296384.pdf

Plan D, 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: Res Um er Comments (as necessar> 1
Cgl No Hit O Not Ittxpred No RDC Alert(please see attached)
RU0 O Ilia I. RDC Results
ED No Nit • Not Required
PCR II. PCR Results No PCR Alert(pl ease see attached)
ID Flit
No Information Found
III. Negative Media
ins O Yes 0 No
No Information Found
IV. Non-Negative Media
Not Required
No Information Found
V. Other Language Media
Result found(please see attached)
Results? 0 Yes •
Din VI. D&B
O Not Required
Result found(please see attached)
Smartlinx Results? ..75 Yes O No
• Not Required VII. Smattlinx
O Review by Legal May No Information Found
Court Cases he Required 0 No Results VIII. Court Cases
O Search not required
Prepared by: Slut> a parashar Date: 06/15/2017 Research Anal> st
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:Nlartindale-Hubbelihttp://www.manindale.comhpAlanindaleAmme.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_000590n
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0021895
EF1'A_00169630
EFTA01296384

Page 2
OFAC RESULTS
RDC:
Country.VIRGIN ISLANDS,
111602636 No Match Found KYC 1790685
Plan D, LLC U.S.
PCR:
C20170637908740 Plan D, LLC 12890471 NCA customised Auto-Closed No-flit 15/06/2017
BIS RESULTS:
Negative Media:
No Information Found
Non-Negative Media:
No Information Found
Other Language Media:
No Information Found
Public Record:
1 OF 3 RECORD(S)
Comprehensive Business Report
Report Created:6-15-2017 11:52 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2017 LexisNexis,
All rights reserved.
Search Terms - company(Plan D, LLC) radius(15)
Executives - Current (0) Incorporation/SOS (1) Operations/Sites (1) Sales (0)
Licenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0)
MVRs • Current (0) MVR s • Prior (0) Watercraft - Current (0) Watercraft - Prior (0)
Aircraft • Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments & Liens Filings (0)
0CC Filings (1) Executives Prior (1) Registered Agents (0) Name Variations (2)
Possible Employees (0) Person Associates (0) Business Associates (2) TINs (0)
Possible Connected Parent Company (0) Industry Information (1)
Business (0)
View All Sources (4)
Business Summa
ry
Name Address Phone
PLAN D LLC 2629 Sudderth Dr
For internal use only
SDNY_GM_00059072
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Ruidoso. NM 883454302
Lincoln County
LexID Established TIN
0001-1416-9672 2006
(11 Years in Business)
At a Glance
Real Property 0 UCC Debtor 1
Personal Property 0 Bankruptcy 0
Secured Assets 0 Judgments/Liens 0
Executives 0 Foreclosure/Notice of Default 0
Name Variations - 2 name variations found
NO. NAME
1. PLAN D LLC
2. PLAN 0, LLC
TINs - 0 TINs found
Business Profile
Executives: Current - 0 executive(s) found
Incorporation/SOS (0 active, 1 other)
NO. NAME FILING TYPE STATUS FILING FILING NO. STATE
DATE
1. PLAN D LLC N/A 10/20/2006 2793446
Additional Details
Business Status: N/A
Filing Type: SOS Filing
Expiration: 11/20/2008
For Profit Unknown
Origin: Other Business Filing
O eratm Locations - Showing 1 locations
NO. ADDRESS METRO AREA PHONE
1. 2629 Sudderth Dr LINCOLN COUNTY
Ruidoso. NM 88345-6302
Lincoln County
Sales - 0 record(s) found
Parent Company - 0 record(s) found
Industry Information
SIC NAIC
7299 Miscellaneous Personal Services. 541990 All Other Professional, Scientific,
Nec and Technical Services
812990 All Other Personal Services
Industry Description: SERVICES
Business Description:
Licenses - 0 licenses found
URLs - 0 URLs found
For internal use only
SDNY_GM_00059073
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Bankruptcy (0 active, 0 closed)
Judgments/Liens (0 filings)
UCC Filin • s 1 debtor, 0 creditor
NO. ROLE STATUS ORIG. ORIG. FILE JURISDICTI FILE TYPE
FILING NUMBER ON
DATE
1. Debtor Active 05/23/2013 201300089356 NM Initial Filing
Filing Office Information
SECRETARY OF STATE/OPERATIONS BUREAU/UCC DIVISION
325 Don Gaspar St Ste 300
Santa Fe, NM 87501
Filing 1
Filing Number 20130008935B
Filing Date 05/23/2013
Filing Type: INITIAL FILING
Expiration: 05/23/2018
Debtor 1
DREAM CATCHER CAFE
2629 Sudderth Dr
Ruidoso, NM 88345-6302
Secured Party Info 1
MERCHANT CAPITAL SOURCE LLC
2120 Main St Ste 220
Huntington Beach, CA 92648-7454
Collateral
RECEIVABLE OF CONTRACT
Real Property (0 current, 0 prior)
Personal Property (0 current, 0 prior)
Associates
Executives. Prior -1 Drior executive(sl found
NO. NAME TITLE
1 Crawford, Lynn PRESIDENT
(11/28/2006 - 09/02/2010)
Registered Agents - 0 registered agent(s) found
Possible Employees - 0 current, 0 prior employees found
For internal use only
SDNY_GM_00059074
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Person Associates - 0 other person associates found
Possible Connected Business - 0 businesses found
Business Associates - 2 business associates found
NO. NAME ADDRESS ROLE
1. DREAM CATCHER CAFE 2629 Sudderth Dr UCC
Ruidoso, NM 88345.6302
Lincoln County
2. MERCHANT CAPITAL SOURCE LLC 2120 Main St Ste 220 UCC
Huntington Beach, CA 92648-7454
Orange County
Sources
All Sources 4 Source Documents
UCC 1 Source Documents
Other Directories 2 Source Documents
Experian 1 Source Documents
Key:
AHigh Risk Indicator. These symbols may prompt you to investigate further.
I Moderate Risk Indicator. These symbols may prompt you to investigate further.
la General Information Indicator. These symbols inform you that additional information is provided.
Ms The most recent telephone listing as reported by Electronic Directory Assistance.
0 Wireless Phone Indicator. These symbols indicate a cell phone number.
Residential Phone Indicator. These symbols indicate a residential phone number.
Business Phone Indicator. These symbols indicate a business phone number.
0 Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline
service.
e l FAX Indicator. These symbols indicate a FAX number.
eig) Government Phone Indicator. These symbols indicate a government phone number.
Important: The Public Records and commercially available data SOW COB used on reports have 01101S. Data is sometimes entered poorly. processed
incorrectly and is generally not tree from dated. This system should not be relied upon as definitively accurate. Before relying on any data this system
supplies. it should be kidependently verified. For Secretary of Slate documents. the foloviing data is for information purposes only end is not an officiel
record. Centred copies may be obtained from that individual states Department of State.
Your DPPA Permissible Use is: Debt Recovery/Fraud
Your GUM Permissible Use is: Legal Compliance
Copyright O 2017 LexieBerra a division of Reed Elsevier Inc. Al Rights Reserved.
2 OF 3 RECORD(S)
Comprehensive Business Report
Report Created:6-15-2017 11:52 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright *2017 LexisNexis,
All rights reserved.
Search Terms - company(Plan D, LLC) radius(15)
Executives - Current (0) Incorporation/SOS (0) Operations/Sites (1) Sales (0)
Licenses (0) URLs (0) Real Property - Current (0) Real Property • Prior (0)
For internal use only
SDNY_GM_00059075
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0021899
EFTA_00 I 69634
EFTA01296388

Page 5
MVRs - Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0)
Aircraft - Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments 8 Liens Filings (0)
UCC Filings (0) Exectaives - 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 (1)
View NI Sources (1)
Business Summa
Name Address Phone
PLAN D LLC 401 E Booth Rd
Searcy, AR 72143-8693
/ (No recent public filings on file)
White County
LexID Established TIN
0001-1427-9737 2013
(4 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
PLAN D LLC
TINs - 0 TINs found
Business Profile
Executives: Current - 0 executive(s) found
Incorporation/SOS (0 active, 0 other)
O eratin Locations - Showing 1 locations
NO. ADDRESS METRO AREA PHONE
1. 401 E Booth Rd WHITE COUNTY
Searcy. AR 72143-8693
White 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)
For internal use only
SDNY_GM_00059076
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0021900
EFTA_OOI 6%35
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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 -1 businesses found
NO. NAME ADDRESS
1. PLAN D LLC 401 W Center Ave
Searcy. AR 72143-5229
Business Associates - 0 business associates found
Sources
All Sources 1 Source Documents
Experian 1 Source Documents
Key:
AFligh Risk Indicator. These symbols may prompt you to investigate further.
/ Moderate Risk Indicator. These symbols may prompt you to investigate further.
t General Information Indicator. These symbols inform you that additional information is provided.
AO 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.
Business Phone Indicator. These symbols indicate a business phone number.
®
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 commercially available data sources used on reports have errors. Data is sometimes entered poorly. processed
incorrectly and is generally not free from deed This system should not be relied upon as definervely accurate. Before relying on any data this system
supplies. it should be independently verified. For Secretary of State documents, the foaming data is lot information purposes only and is not an dfcial
record. Certified coons may be obtained from that ndaidual states Department of State.
Your DPPA Permissible Use Is: Debt Recovery/Fraud
Your GLBA Permissible Use is: Legal Compliance
CopyrigM 0 2017 LexisNexis. a division of Reed Elsevier Inc. Al Rights Reserved.
3 OF 3 RECORD(S)
For internal use only
SDNY_GM_00059077
IDENTIAL
CONFIDENTIAL-PURSUANT TO FED. R.CON(F DB-SONY-0021901
EFTA_00I6%36
EFTA01296390

Page 7
Comprehensive Business Report
Report Created:6-15-2017 11:52 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright @ 2017 LexisNexis.
All nghts reserved.
Search Terms - company(Plan D, LLC) radius(15)
Executives - Current (0) InccrporationfSOS (2) Operations/Sites (1) Sales (0)
Ucenses (0) URLs (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) 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 (1)
View All Sources (2)
Business Summary
Name Address Phone
PLAN D LLC 1 Commerce Plz Ste 100899
1 (No recent public filings on file) Albany. NY 12260-1000
LexID Established TIN
0001-1430.8281 2010
(7 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
1 PLAN D LLC
TINs - 0 TINs found
Business Profile
Executives: Current - 0 executive(s) found
Incorporation/SOS (0 active, 2 other)
NO. NAME FILING TYPE STATUS FILING FILING NO. STATE
DATE
1. PLAN O LLC LIMITED LIABILITY N/A 08/19/2010 10081900028
CORPORATION 0
Additional Details
Business Type: LIMITED LIABILITY CORPORATION
Business Status: N/A
Filing Type: SOS Filing
Expiration: 08/31/2011
For Profit: Unknown
Origin: Other Business Filing
2. PLAN D LLC LIMITED LIABILITY N/A 02/24/2010 10022400053
CORPORATION 6
Additional Details
Business Type: LIMITED LIABILITY CORPORATION
For internal use only
SDNY_GM_00059078
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Business Status: N/A
Filing Type: SOS Filing
Expiration: 03/31/2011
For Profit. Unknown
Origin: Other Business Filing
OperatingLocations - Showing 1 location(s)
NO. ADDRESS METRO AREA PHONE
1. 1 Commerce Plz Ste 100899 ALBANY COUNTY
Albany, NY 12260-1000
Albany 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 - 0 registered agent(s) found
Possible Employees - 0 current, 0 prior employees found
Person Associates - 0 other person associates found
Possible Connected Business -1 businesses found
NO. NAME ADDRESS
1. PLAN D 22 Emma St
Bethpage, NY 11714-4430
Nassau County
Business Associates - 0 business associates found
Sources
For internal use only
SDNY_GM_00059079
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CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0021903
EFTA_00 I 69638
EFTA01296392

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All Sources 2 Source Documents
Other Directories 2 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.
oil 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.
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.
0 FAX Indicator. These symbols indicate a FAX number.
‘9? Government Phone Indicator. These symbols indicate a government phone number.
Important: The Public Records and commercially available data sources used on reports have errors. Gala is sometimes entered poorly, processed
incorrectly and is generally not free from defect This system should not be relied upon as definitrvely accurate. Before relying on any data this system
supplies. it should be independently verified. For Secretary of Stale documents, the follorring data is for inforrnalion purposes only and is not an official
record. Certified moles may be obtained from shat lidiviclual state'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. AI Rights Reserved.
D&B:
Copyright 2017 Dun & Bradstreet, Inc.
dun & bradstreet
Federal Employer Identification Numbers
May 1, 2015
Plan D, LLC
27827 BOGEN RD
NEW BRAUNFELS, TX 78132
UNITED STATES
COMPANY IDENTIFIERS " * * ******
FEIN: 20-4967232
SOURCE REFERENCE NAME: TEXAS BUSINESS REGISTRATIONS
For internal use only
SDNY_GM_00059080
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LOAD-DATE: March 24, 2017
LEGAL RESULTS:
Court Cases:
No Information Found
For internal use only
SDNY_GM_00059081
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SONY-0021905
EFTA_00 I 69640
EFTA01296394