EFTA01297385.pdf

Gratitude America Ltd
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):
RDC 0 No Hit 0 Not Required No RDC Alert(please see attached)
I . RDC Results
0 Hit
0 No !fit • Not Required
PCR II. PCR Results No PCR Alert(please see attached)
0 Hit
No Information Found
Ea. Ncgaii% c Meslig
BIS 0 Yes =r No
No Information Found
IV. Non-Neg.i1 i ve Media
q Not Required
No Information Found
V. Other Language Media
Result found(please see attached)
Results'? Cs Yes • No
D&B VI. D&B
0 Not Required
Result found(please see attached)
Smartlinx Results? C.4 Yes 0 No
• Not Required VII. Smartlinx
M Review by Legal May No Information Found
Court Cases be Required 0 No Results VIII. Court Cases
ID Starch not required
Prepared by: Shreya pamshar Date: 07/26/2017 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 conveniencedHartindale-Hubbellhttp://www.martindale.com/xp/hlartindale/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_00060454
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0023278
EFTA_00 170992
EFTA01297385

Page 2
OFAC RESULTS
RDC:
11605829 No Match Found GCIS 00000499760 Am' Country:UNITED STATES
Gratitude America Ltd
PCR:
C20170738397738 Gratitude America Ltd 13002816 NCA customised Auto-
Closed No-Hit 26/07/2017
BIS RESULTS:
Negative Media:
No Information Found
Non-Negative Media:
No Information Found
Other Language Media:
No Information Found
Public Record:
1 OF 2 RECORD(S)
Comprehensive Business Report
Report Created:7-26-2017 9 27 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright O 2017 LexisNexis.
All rights reserved.
Search Terms - company(Gratitude America Ltd) radius(15)
Executives - Current (0) Incorporation/SOS (0) Operations/Sites (0) Sales (0)
Licenses (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) BaNuuptcy Filings (0) Judgments & Liens Filings (0)
UCC Filings (0) Executives - Prior (0) Registered Agents (0) Name Variations (1)
Possible Employees (1) Person Associates (0) Business Associates (0) TIN s (1)
Possible Connected Parent Company (0) Industry Information (1)
Business (1)
View All Sotscem (3)
Business Summary
Name Address Phone
GRATITUDE AMERICA LTD 9100 Havensight Port Of Sale
St Thomas. VI 00802
St. Thomas County
LexID Established TIN
For internal use only
SDNY_GM_00060455
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QQN(F DB-SDNY-0023279
EF1'A_00 170993
EFTA01297386

Page 2
0023-0086-2402 2012 66-0789697
(5 Years in Business)
At a Glance
Real Property 0 UCC Debtor 0
Personal Property 0 Bankruptcy 0
Secured Assets 0 Judgments/Liens 0
ExecutNes 0 Foreclosure/Notice of Default 0
Name Variations -1 name variations found
NO. NAME
1 GRATITUDE AMERICA LTD
TINs -1 TINs found
NO. TIN NAME
1 66-0789697 GRATITUDE AMERICA LTD
Business Profile
Executives: Current - 0 executive(s) found
Incorporation/SOS (0 active, 0 other)
OperatingLocations - Showing 0 location(s)
Sales - 0 record(s) found
Parent Company - 0 record(s) found
Industry Information
SIC NAIC
I No SIC information available I No NAIC information available
Industry Description: CHARITABLE ORGANIZATION:PRIVATE GRANTMAKING FOUNDATIONS
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)
Personal Property (0 current, 0 prior)
Associates
Executives: Prior - 0 prior executive(s) found
For internal use only
SDNY_GM_00060456
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0023280
EFTA_00 170994
EFTA01297387

Page 3
Registered Agents - 0 registered agent(s) found
Possible Employees - 0 current, 1 prior employees found
NO. NAME ADDRESS STATUS DATE(S)
1 Kellerhals. Erika 9100 Havensight Port Of Sale Prior
Ste 15
St Thomas. VI 00802
Person Associates - 0 other person associates found
Possible Connected Business -1 businesses found
NO. NAME ADDRESS
1 GRATITUDE AMERICA LTD 9053 Estate Thomas Suite 101
St Thomas, VI 00802
St. Thomas County
Business Associates - 0 business associates found
Sources
All Sources 3 Source Documents
Government Agency 2 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.
4° 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.
FAX Indicator. These symbols indicate a FAX number.
4
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
:sconce*ly 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 Slate dccunwints, the lobo/Mg data is for information purposes only and is not an official
record. Certified copies may be obtained from that individual states Department of Stale.
Your DPPA Permissible Use is: Debt Recovery/Fraud
Your GLBA Permissible Use Is: Legal Compliance
Copyright C 2017 LexisNexis a division of Rood Elsevier Inc. Al Rights Reserved.
2 OF 2 RECORD(S)
Comprehensive Business Report
Report Created:7-26-2017 9:27 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2017 LexisNexis,
All rights reserved.
For internal use only
SDNY_GM_00060457
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023281
EFTA_00 l 70995
EFTA01297388

Page 4
Search Terms company(Grabtude America Ltd) radius(15)
Executives • Current (0) IncorporationISOS (0) Operations/Sites (0) Sales (0)
Licenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0)
MVRs - Current (0) MVRs - Prior (0) Watercraft - Caren (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 Venetians (1)
Possible Employees (1) Person Associates (0) Business Associates (0) TI Ns (1)
Possible Connected Parent Company (0) Industry Information (1)
Business (1)
View All Sources (1)
Business Summa
Name Address Phone
GRATITUDE AMERICA LTD 9053 Estate Thomas Suite 101
St Thomas, VI 00802
St. Thomas County
LexID Established TIN
1187-1786-2657 2012 66.0789697
(5 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. GRATITUDE AMERICA LTD
TINs - 1 TINS found
NO. TIN NAME
1. 66.0789697 GRATITUDE AMERICA LTD
Business Profile
Executives: Current - 0 executive(s) found
Incorporation/SOS (0 active, 0 other)
OperatingLocations - Showing 0 location(s)
Sales - 0 record(s) found
Parent Company - 0 record(s) found
Industry Information
SIC NAIC
I No SIC information available I No NAIC information available
Industry Description: CHARITABLE ORGANIZATION:PRIVATE GRANTMAKING FOUNDATIONS
Business Description:
Licenses - 0 licenses found
URLs - 0 URLs found
Bankruptcy (0 active, 0 closed)
For internal use only
SDNY_GM_00060458
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0023282
EFTA_00 I 70996
EFTA01297389

Page 5
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, 1 prior employees found
NO. NAME ADDRESS STATUS DATE(S)
1. Kellerhals, Enka 9053 Estate Thomas Suite 101 Prior
St Thomas. VI 00802
Person Associates - 0 other person associates found
Possible Connected Business -1 businesses found
NO. NAME ADDRESS
1. GRATITUDE AMERICA LTD 9100 Havensight Port Of Sale
St Thomas. VI 00802
St. Thomas County
Business Associates - 0 business associates found
Sources
All Sources 1 Source Documents
Govemment Agency 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.
It General Information Indicator. These symbols inform you that additional information is provided.
10° 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.
Jet
Business Phone Indicator. These symbols indicate a business phone number.
e
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.
For internal use only
SDNY_GM_00060459
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0023283
EFTA_00 I 70997
EFTA01297390

Page 6
Important: The PUNIC Records and commercially available data sources used on reports have onOtS. Data is sometimes entered poorly. processed
incorrectly and is generally not Iron from defect This system should not be relied upon as definitively accurate. Before retying on any data this system
supplies.4 should be independently verified. For Secretary of Slate documents, the (dewing data is for information purposes only and is not an official
record. Certified copet: may be obtained from that sniff idual states Department of Slate.
Your 0PPA Permissible Use is: Debt Recovery/Fraud
Your GLBA Permissible Use is: Legal Compliance
Copyright O 2017 LexisNexis• a division of Rood Elsevier Inc Al Rights Resolved.
D& B:
Copyright 2017 Dun & B adstreet, Inc.
dun &la bradstreet
Federal Employer Identification Numbers
December 13, 2015
GRATITUDE AMERICA LTD
9100 HAVENSIGHT PORT OF SALE
ST THOMAS, VI 00802
UNITED STATES
COMPANY IDENTIFIERS
FEIN: 66-0789697
SOURCE REFERENCE NAME: DEPARTMENT OF TREASURY - TAX EXEMPT
LOAD-DATE: July 1, 2017
LEGAL RESULTS:
Court Cases:
No Information Found
For internal use only
SONY_GM_00060460
.NEIDENTIAL
R.QP
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0023284
EFTA_00 I 70998
EFTA01297391