EFTA01255653

NAME SEARCHED: Richard Kahn 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 0 Not Required RDC Alert(please see attached) RUC I . RDC Results Cr Ilit 0.14 No Hit 0 Not Required FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFT Alert(pIease see attached) D flit No Information Found III. Negative Media BIS DYcs al No Not Required IV. Non-Negative Media . 0 Not Required Not V. Other Language Media Required Not Required Results? E Yes M No D&B VI. D&B Er Not Required Information Found(please see attached) Smartlinx Rcsutts? Cli es • No 0 Not Required VII. Smartlias Review by Legal May Information Found(please see attached) Court Casts be Required MI No Results VIII. Cotut Cases 0 Search not required Prepared by: Mania choudIrtry Date: 8/17/20 IS 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 fur your cons enience:Nlartindale-Hubbellhttp://wsvw.martindale.comisp/Martindale/bome.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 confinnation that you have fully reviewed the research documents. For internal use only For internal use only SDNY_GM_00062451 CONFIDENTAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026276 EFTA_00173959 EFTA01255653 Page 2 OFAC RESULTS RDC: Date of 11638369 Alerted KYC 1977694 Country:UNITED STATES • Richard Kahn FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Kahn, 24860294 WR 248602942182 Individual No Alert No Alert No Alert No Alert Richard BIS RESULTS: Negative Media: No Information Found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2018 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date8/17/2018 Report processed by: DEUTSCHE BANK ASH For internal use only For internal use only SDNY_GM_00063452 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026277 EFTA_00173960 EFTA01255654 Page 2 Full Name Address County Phone KAHN. RICHARD 0 NEW YORK NEW YORK. NY 10021-3241 NEW YORK COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexIDism) 001296578256 (Age 45) Subject Summary Name Variations 1: D RICHARD. KAHN 2: KAHN, R 3: KAHN, RICHARD 4: KAHN, RICHARD D 5: KAHO. RICHARD 0 SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: New York 1972-1973 DOBs ,1972 Reported DOBs: 1972 Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary -11 records found No. Address 1: NEW YORK, NY 10021-3241 NEW YORK COUNTY 2: NEW YORK, NY 10021-4050 NEW YORK COUNTY 3: NEW YORK. NY 10021-4035 NEW YORK COUNTY 4: MANHATTAN, NY 10021-4035 NEW YORK COUNTY 5: NEW YORK, NY 10003-2452 NEW YORK COUNTY 6: gliM11 0514-2916 WESTCHESTER COUNTY For internal use only For internal use only SDNY_GM_00063453 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026278 EFTA_00173961 EFTA01255655 Page 3 No. Address 7: SYRACUSE, NY 13210-2441 ONONDAGA COUNTY 8: NEW YORK, NY 10021-4544 NEW YORK COUNTY 9: NEW CITY NY 10956-5544 ROCKLAND COUNTY 10 NEW CITY. NY 10956-3336 ROCKLAND COUNTY 11 BRONXVILLE. NY 10708-5101 WESTCHESTER COUNTY Address Details 1: EW YORK, NY 10021-3241 Address Dates Phone 2/2008 - 82018 NEW YORK, NY 10021-3241 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 46 Median Income: $176,471 Median Home Value: $1.000,000 Median Education: 17 years Household Members None Listed Other Associates None Listed 2: NEW YORK, NY 10021-4050 Address Dates Phone 12/2003 - 2/2009 NEW YORK, NY 10021-4050 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 39 Median Income: $81.397 Median Home Value: $429,167 Median Education: 16 years Household Members MINSKY. LISA GALE Other Associates None Listed 3: NEW YORK, NY 10021-4035 Address Dates Phone 5/2006 - 9/2008 NEW YORK, NY 10021-4035 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age 39 Median Income: $81,397 For internal use only For internal use only SDNY_GM_00063454 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0026279 EFTA 00173962 EFTA01255656 Page 4 Median Home Value: $429.167 Median Education: 16 years Household Members None Listed Other Associates None Listed 4:1111 AANHATTAN, NY 10021-4035 A r Dates Phone 111.1110.10021-4035 NEW YORK COUNTY 12/2002 - 6/2008 Household Members None Listed Other Associates None Listed NEW YORK, NY 10003-2452 Dates Phone 1/1997 - 1/2005 NEW YORK, NY 10003-2452 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 35 Median Income: $123.611 Median Home Value: $678.697 Median Education: 16 years Household Members None Listed Other Associates None Listed 6: •HAPPAQUA, NY 10514-2916 Dates Phone 8/1996 - 11/2002 CHAPPAGUA, NY 10514-2916 WESTCHESTER COUNTY Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $225.720 Median Home Value: $1,000.000 Median Education: 18 years Household Members KAHN. CAROL ROBIN Other Associates RUBIN. LUCILLE L 7: YRACUSE, NY 13210-2441 Address Dates Phone 5/1973 - 1/1997 SYRACUSE. NY 13210-2441 ONONDAGA COUNTY Census Data for Geographical Region Median Head of Household Age: 22 Median Income: $11,280 Median Home Value: $0 Median Education: 12 years Household Members None Listed Other Associates For internal use only For internal use only SDNY_GM_00063455 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026280 EFTA_00173963 EFTA01255657 Page 5 None Listed 8 NEW YORK, NY 10021-4544 Address Dates Phone 4/1995 - 4/1995 NEW YORK. NY 10021-4544 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 35 Median Income: $139.826 Median Home Value: $803.571 Median Education: 15 years Household Members None Listed Other Associates None Listed 9: NEW CITY, NY 10956-5544 Ad Dates Phone 10/1993 - 10/1993 NEW CITY. NY 10956-5544 ROCKLAND COUNTY Census Data for Geographical Region Median Head of Household Age. 42 Median Income: $148281 Median Home Value: $744.932 Median Education: 16 years Household Members KAHN. IRENE L Other Associates None Listed 10: EW CITY, NY 10956-3336 Address Dates Phone 5/1973 - 5/1973 NEW CITY. NY 10956-3336 ROCKLAND COUNTY Census Data for Geographical Region Median Head of Household Age. 39 Median Income: $80.556 Median Home Value: $448,387 Median Education: 15 years Household Members None Listed Other Associates None Listed 1 A1J BRONXVILLE, NY 10708-5101 ress Dates Phone BRONXVILLE, NY 10708-5101 WESTCHESTER COUNTY Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $208,387 Median Home Value: $965.909 Median Education: 15 years Household Members None Listed Other Associates For internal use only For internal use only SDNY_GM_00063456 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0026281 EFTA 00173964 EFTA01255658 Page 6 RUBIN. LUCILLE L Voter Registrations - 9 records found 1: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-3241 NEW YORK COUNTY SSN: Date of Birth: Gender: aP . Voter Information Registration Date: 1016/2003 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENT Active Status: ACTIVE 2: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021.3241 NEW YORK COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 3: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-4050 NEW YORK COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2004 Party Affiliation: REPUBLICAN Active Status: ACTIVE 4: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-3241 NEW YORK COUNTY Home Phone: SSN: For internal use only For internal use only SDNY_GM_00063457 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026282 EFTA_00I 73965 EFTA01255659 Page 7 Date of Birth: 12/1972 Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 5: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-3241 NEW YORK COUNTY Home Phone: SSN: Date of Birth: Gender: ale Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 6: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-3241 NEW YORK COUNTY Home Phone: SSN: Date of Birth: Gender: e Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 7: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-4040 NEW YORK COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 8: New York Voter Registration Registrant Information Name: KAHN. RICHARD For internal use only For internal use only SDNY_GM_00063458 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026283 EFTA_00I 73966 EFTA01255660 Page 8 Residential Address: NEW YORK, NY 10021-4040 NEW YORK COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: REPUBLICAN 9: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: CHAPPAOUA, NY 10514-2916 WESTCHESTER COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 9/6/1996 Party Affiliation: REPUBLICAN Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License License Information Name: KAHN. RICHARD SSN: Address: County: Gender: M 11.111 NEW YORK. NY 10003-2452 License Information License N mType: P License Number: Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 1 records found 1: Assessment Record for SUFFOLK County, NY Owner Information Name: RICHARD KAHN Address: NEW YORK, NY 10021-3241 County/FIPS: NEW YORK Information Address: Data Source: B Legal Information Assessor's Parcel 0900-080.00-02,00-009,014 Number: For internal use only For internal use only SDNY_GM_00063459 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026284 EFTA_00I 73967 EFTA01255661 Page 9 Recording Date: 10/27/2015 Book/Page: 12852/589 Sale Information Sale Price: $1518000 Assessment Information Assessed Value: $1243500 Motor Vehicle Registrations - 5 records found 1: NY MVR Registrant Information Registrant: KAHN, RICHARD 0 DOB: Address: 41 NEW YORK COUNTY Registration Information Original Registration Date: 3/17/2011 Registration Date: 3/17/2011 Registration Expiration Date: 3/16/2013 ion VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Chevrolet Model: K1500 Series: SUBURBAN LTZ Body Style: 4 Dr Wagon Sport Utility Weight: 5827 Plate Information License Plate Type: Private License Plate Number: FHH6920 Plate State: NY Source Information Data Source: GOVERNMENTAL 2: NY MVR ' ation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Chevrolet Model: K1500 Series: SUBURBAN LTZ Body Style: 4 Dr Wagon Sport Utility Weight: 5827 Owner Information Name: KAHN, RICHARD D DOB: Address: NEW YORK, NY 10021-3241 NEW YORK COUNTY Title Information Title Transfer Date: 4/7/2011 Title Issue Date: 4/7/2011 Source Information Data Source: GOVERNMENTAL 3: NY MVR Registrant Information For internal use only For internal use only SDNY_GM_00063460 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026285 EFTA_00I 73968 EFTA01255662 Page 10 Registrant: KAHN. RICHARD D DOB: Address: NEW YORK, NY 10021-3241 NEW YORK COUNTY Registration Information Original Registration Date: 5/22/2009 Registration Date: 5/22/2009 Registration Expiration Date: 7/8/2011 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 5701 Plate Information License Plate Type: Private Previous Plate Number: EAE1027 Previous Plate State: NY License Plate Number: EAE1027 Plate State: NY Source Information Data Source: GOVERNMENTAL 4: NY MVR mation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 5701 Owner Information Name: KAHN. RICHARD D NEW YORK COUNTY Title Information Title Transfer Date: 8/9/2007 Title Issue Date: 8/9/2007 Source Information Data Source: GOVERNMENTAL 5: NY MVR Registrant Information Registrant: KAHN, RICHARD D DOB: Address: NEW YORK, NY 10021-4050 NEW YORK COUNTY Registration Information Original Registration Date: 12/7/2003 Registration Date: 12/7/2003 Registration Expiration Date: 1/6/2006 For internal use only For internal use only SDNY_GM_00063461 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026286 EFTA_00I 73969 EFTA01255663 Page I I Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2002 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 4960 Plate Information License Plate Type: Private Previous Plate Number: BEV5149 Previous Plate State: NY License Plate Number: BEV5149 Plate State: NY Source Information Data Source: GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 1 records found 1: NY Judgments and Liens Filings Debtor Information Name: KAHN. RICHARD SSN: Address: NEW YORK. NY 10003-2452 NEW YORK COUNTY Creditor Information Name: SIBARELP Filing Information Jurisdiction: NY Amount: $1,783 Filing Date: 5/2/2000 Eviction Y Filing 1 Number: 20000072311 Type: CIVIL NEW FILING Agency: CIVIL COURT OF THE CITY OF NEW YORK Agency State: NY Agency County: NEW YORK UCC Liens -1 records found 1: NEW YORK CITY RECORD Debtor Information Debtor 1 Name: KAHN. RICHARD SSN: Address: NEW YORK. NY US 10021-3241 Debtor 2 Name: KAHN. LISA SSN: Address: NEW YORK. NY US 10021-3241 Secured Party Information Name: FIRST REPUBLIC BANK Address: 111 PINE ST For internal use only For internal use only SDNY_GM_00063462 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SDNY-0026287 EFTA_00I 73970 EFTA01255664 Page 12 SAN FRANCISCO. CA US 94111-5602 Filing Information Filing Jurisdiction: NEW YORK CITY, NEW YORK Original Filing Number: 2016000105048 Original Filing Type: INITIAL COOP UCC1 Original Filing Date: 3/25/2016 Number: 2016000105048 Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree 10 No. Full Name Address/Phone 1 MINSKY, LISA GALE • AKA KAHN, LISA G SSN: DOB: (Age: 43) 2. KAHN, GARY E A Deceased • AKA AHN. GARY E • AKA KAHAN. GARY SSN DOB (Age: 72) 3. KAHN, CAROL RUBIN • AKA BLITSTEIN, CAROL RUBIN • AKA RUBIN. CAROL JAYNE • AKA RUBIN, KAHN CAROL • AKA RUBIN, CAHN CAROL • AKA RUBIN-KAHN. CAROL • AKA KAHN, C R • AKA RUBIN CAHN, CAROL • AKA RUBIN KAHN. CAROL • AKA LITSTEIN, CAROL R • AKA RUBIN. BLITSTEIN CAROL • AKA RUBIN KAHN. C • AKA RUB, CAROL SSN For internal use only For internal use only SDNY_GM_00063463 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026288 EFTA_00173971 EFTA01255665 Page 13 No. Full Address/Phone DOB.. (Age: 61) 4. LIPUMA, ALISSA B • AKA KAHN, ALISSA B • AKA KAHNLIPUMA. ALISSA • AKA LIPUMA. A • AKA LI PUMA. ALISSA B • AKA LIPUMA. ALISSA P • AKA LI, ALISSA B • AKA LIPLUMA, ALISSA B • AKA PUMA. ALISSA B LI • AKA LIPUMA, ALLISSA • AKA KAHN, LIPUMA ALISSA SSN DOB (Age: 48) 5. KAHN. IRENE L SSN DOB (Age: 71) 6. KAHN. IRWIN A A Deceased S6N DO (Age 86) KAHN. GABRIELLE EVE DO (Age: 23) 8. KAHN, IRWIN GRANTEE For internal use only For internal use only SDNY_GM_00063464 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026289 EFTA_00173972 EFTA01255666 Page 14 No. Full Name SSN: DOB: (Age: 68) 9. KAHN, IRWIN M • AKA IRWIN, KAHN SSN: DOB: (Age: 68) 10. KAHN, FRANCINE L A Deceased • AKA CAHN, FRANCINE L • AKA KAHN, FRAN SSN. DOB: (Age: 83) Business Associates - 6 records found 1: ARC HOLDING INC. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2558550 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 9/29/2000 2: ARKAY CAPITAL CORP. Name: KAHN. RICHARD Status: ACTIVE State: NY Corporation Number: 2515783 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 5/31/2000 3: HBRK ASSOCIATES INC. Name: KAHN. RICHARD Status: ACTIVE State: NY Corporation Number: 3714818 Descriptive Status: ACTIVE For internal use only For internal use only SDNY_GM_00063465 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026290 EFTA_00173973 EFTA01255667 Page 15 Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 8/29/2008 4: K 8 F CAPITAL CORP. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2516183 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 6/1/2000 5: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2558561 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 9/29/2000 6: THE C.O.U.O. FOUNDATION, INC. Name: KAHN. RICHARD Address: 250 S AUSTRALIAN AVE STE 1404 WEST PALM BEACH. FL 33401-5016 Status: INACTIVE State: FL Corporation Number: F08000003048 Descriptive Status: INACTIVE Title: DIRECTOR, TREASURER Record Type: CURRENT Record Date: 10/18/2017 Filing Date: 9/23/2011 Person Associates - 4 records found No. Full Name Address SSN Phone DOB 1: RUBIN, LUCILLE L 2: RUBIN, ISAAC J RUBIN. I RUBIN, JUDGE I For internal use only For internal use only SDNY_GM_00063466 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026291 EFTA_00I 73974 EFTA01255668 Page 16 No. Full Name Address SSN Phone DOB 3: SCHEFFLER. ADAM CRAIG SCHEFFLER. A C SCHEFELER, ADAM C SCHLEFFLER. ADAM SCHEFFER. ADAM SHEFFLER, ADAM 4: RUBIN, LUCILLE Neighbors -1 records found 130 E 75TH ST APT 7-E NEW YORK, NY 10021.3241 Name Phone MOEDER. ALYSSA C Employment Locator - 27 records found 1: Company Name: ARKAY CAPITAL CORP. Name: KAHN. RICHARD SSN: Confidence: 2: Company Name: HBRK ASSOCIATES INC. Name: KAHN RICHARD SSN: Confidence: 3: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD SSN: Confidence: le ium 4: Company Name: ARC HOLDING INC. Name: KAHN. RICHARD ConfideSnSce N: 5: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD SSN: Confidence: For internal use only For internal use only SDNY_GM_00063467 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026292 EFTA_00 I 73975 EFTA01255669 Pace 17 6: Company Name: K & F CAPITAL CORP. Name: KAHN. RICHARD SSN: Confidence: Medium 7: Company Name: THE C U.C) FOUNDATION, INC. Name: KAHN, RICHARD Title: DIRECTOR TREASURER SSN: Confidence: Medium 8: Company Name: THE C.O.U.Q. FOUNDATION, INC. Name: KAHN. RICHARD Title: SSN: Confidence: iur 9: Company Name: HBRK ASSOCIATES INC. Name: KAHN. RICHARD Address: NEW YORK. NY 10021.4035 SSN: Phone: Confidence: 10: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Address: NEW YORK. NY 10021-4040 SSN: Confidence: 11: Company Name: ARC HOLDING INC. Name: KAHN, RICHARD Address: Ill.010956-3336 SSN: Confidence: Medium 12: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Address: EW YORK, NY 10021-4040 SSN: Confidence: 13: Company Name: K & F CAPITAL CORP. Name: KAHN, RICHARD Address: NEW CITY. NY 10956-3336 SSN: Confidence: Medium 14: Company Name: ARKAY CAPITAL CORP. For internal use only For internal use only SDNY_GM_00063468 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026293 EFTA_00173976 EFTA01255670 Page 18 Name: KAHN. RICHARD Address: ' SSN: Phone: Confidence: Medium 15: Company Name: ALASKA FREEDOM FISHN Name: KAHN. RICHARD Title: CONTACT Address: SSN: Confidence: High 16: Company Name: ALASKA FREEDOM FISHN Name: KAHN, RICHARD Title: CONTACT Address: SSN: Confidence: High 17: Company Name: HBRK ASSOCIATES INC Name: KAHN. RICHARD Title: CONTACT Address: SSN: Phone: Confidence: High 18: Company Name: HBRK ASSOCIATES INC Name: KAHN. RICHARD Title: CONTACT Address: SSN: Phone: Confidence: High 19: Company Name: BROOKLYN TOFU Name: KAHN. RICHARD Title: CONTACT Address: SSN: Confidence: High 20: Company Name: F&J RESTAURANT GROUP LLC Name: KAHN. RICHARD Title: CONTACT Address: SSN: Confidence: High For internal use only For internal use only SDNY_GM_00063469 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026294 EFTA_00I 73977 EFTA01255671 Page 19 21: Company Name: WEST COAST WATER SPECIALISTS INC Name: KAHN. RICHARD Title: CONTACT Address: SSN: Phone: Confidence: 11 22: Company Name: RDK ASSET MANAGEMENT INC Name: KAHN. RICHARD Title: CONTACT Address: SSN: Confidence: High 23: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Title: CHAIRMAN OR CHIEF EXECUTIVE OFFICER Address: SSN: Confidence: High 24: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Title: CHAIRMAN OR CHIEF EXECUTIVE OFFICER Address: SSN: Confidence: High 25: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Title: PRINCIPAL EXECUTIVE OFFICE CONTACT Address: SSN: Confidence: High 26: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Title: PRINCIPAL EXECUTIVE OFFICE CONTACT Address: SSN: Confidence: High 27: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Title: PROCESS ADDRESS CONTACT Address: SSN: For internal use only For internal use only SDNY_GM_00063470 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0026295 EFTA_00173978 EFTA01255672 Pace 20 Confidence: High Criminal Filings - 0 records found Cellular & Alternate Phones - 0 records found Possible Education - 2 records found 1: Student Information Name: KAHN. RICHARD SSN: DOB: LexID(sm): 001296578256 First Reported: 08/24/2016 Last Reported: 08/09/2018 High School Graduation Year: 1991 Phone: None Listed Address: 20 GATEFIELD DR GREENWICH, CT 06831-3350 Currently a Student? YES Attended High School: YES Years Since High School 27 Graduation: Attended College 1: YES College Type 1: Private College Description 1: Four Year College College Education Program Tier 1: 3 Attended College 2: YES College Type 2: Private College Description 2: Four Year College College Education Program Tier 2: 3 2: SYRACUSE UNIVERSITY Student Information Name: KAHN. RICHARD SSN: LexID(sm): 001296578256 Tuition Range: 15.001 and Up First Reported: 12/16/2007 Last Reported: 11/17/2008 Phone: None Listed Address: NEW YORK. NY 10021-4040 Class Rank: Senior Currently a Student? NO Attended High School: YES Years Since High School 27 Graduation: Attended College 1: YES College Type 1: Private College Description 1: Four Year College College Education Program Tier 1: 3 Attended College 2: YES College Type 2: Private College Description 2: Four Year College College Education Program Tier 2: 3 College Information College Name: SYRACUSE UNIVERSITY Original Name: SYRACUSE UNIVERSITY Level: FOUR YEAR COLLEGE Type: PRIVATE SCHOOL School Size: 5,001 - 15.000 Sources - 72 records found All Sources 72 Source Document(s) For internal use only For internal use only SDNY_GM_00063471 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0026296 EFTA_00173979 EFTA01255673 Page 21 Corporate Affiliations 6 Source Document(s) Deed Transfers 1 Source Document(s) Email addresses 4 Source Document(s) Historical Person Locator 28 Source Documents) Liens and Judgments 1 Source Document(s) Motor Vehicle Registrations 6 Source Document(s) Person Locator 2 6 Source Document(s) Person Locator 4 1 Source Document(s) Phone 6 Source Document(s) Professional Licenses 1 Source Document(s) Tax Assessor Records 2 Source Document(s) UCC Lien Filings 1 Source Document(s) Voter Registrations 9 Source Document(s) Key AHigh Risk Indicator. These symbols may prompt you to investigate further. I Moderate Risk Indicator. These symbols may prompt you to investigate further. (General Information Indicator. These symbols inform you that additional information is provided. VThe most recent telephone listing as reported by the EDA source. 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 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 following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2018 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. D&B: Not Required LEGAL RESULTS: Court Cases: Copyright 2018 Info4C, All Rights Reserved For internal use only For internal use only SDNY_GM_00063472 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026297 EFTA_00I 73980 EFTA01255674 Page 2 Watchlists and Blacklists August 9, 2018 info4c Watchlists and Blacklists August 9, 2018 Richard Kahn SOURCE: COUNTRY: United States of America LIST NAME: NYSE Arca Enforcement AUTHORITY: New York Stock Exchange PERSONAL INFORMATION COUNTRY: United States of America OTHER INFORMATION LIST INFORMATION: ENTITY TYPE: I DATE OF PUBLICATION: April 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: May 23, 2018 CASE: Name on the list of Arca Disciplinary Actions; Decision number: 12-ARCA-3 (Position: ETP Holder Limited Partner) COUNTRY: United States of America LOAD-DATE: August 10, 2018 RICHARD KAHN, Plaintiff, v. VISADOR HOLDING CORPORATION, Defendant. CIVIL ACTION FILE NO. 2:07-CV-73 UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF GEORGIA, GAINESVILLE DIVISION For internal use only For internal use only SDNY_GM_00063473 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0026298 EFTA_OOI 73981 EFTA01255675 Page 2 2008 U.S. Dist. LEXIS 129842, * 2008 U.S. Dist. LEXIS 129842 March 18, 2008, Decided March 18, 2008, Filed CORE TERMS: personal jurisdiction, distributor, dealer, employment agreement, choice of law, authorized dealers, non-resident, consumers, website, site, exercise of jurisdiction, minimum contacts, stream of commerce, nonresident, construe, long-arm, resident, customers, relocate, employment contract, sales manager, regional, sales representatives, prima facie case, assertion of jurisdiction, forum state, sufficient to support, provision contained, foreign jurisdiction, middle ground COUNSEL: rli For Richard Kahn, Plaintiff: Deirdre M. Stephens-Johnson, LEAD ATTORNEY, Crowther Law Firm, Atlanta, GA USA. For Visador Holding Corporation, a Foreign Corporation, Defendant: J. Douglas Stewart, Sr., LEAD ATTORNEY, Stewart Melvin & Frost, LLP, Gainesville, GA USA. JUDGES: WILLIAM C. O'KELLEY, Senior United States District Judge. OPINION BY: WILLIAM C. O'KELLEY OPINION ORDER The captioned case is before the court for consideration of defendant's motion to dismiss for lack of personal jurisdiction [4-11. I. Background This is a breach of contract claim arising out of an employment agreement between plaintiff and defendant. Defendant, a Delaware corporation with its principal place of business in Virginia, manufactures parts for chairs and architectural columns through its two subsidiaries, Coffman Stairs and Crown Columns. Defendant hired plaintiff as a regional sales manager for Coffman Stairs in 2005 to increase sales in the southeast. (Ex. A to Pl.'s Resp. 1). At all times during his employment, plaintiff resided in Georgia. On November 16, 2006, defendant terminated plaintiffs employment due to company downsizing. Plaintiff asserts that he is owed a substantial severance package under the employment agreement. After 2] defendant contested the validity of the agreement, plaintiff brought this breach of contract claim, which defendant moved to dismiss on September 7, 2007 for lack of personal jurisdiction [4-1). II. Motion to Dismiss For internal use only For internal use only SDNY_GM_00063474 CONFIDENTIAL - PURSUANT TO FED. R.QQA1(f IDENTIAL DB-SDNY-0026299 EFTA_OOI 73982 EFTA01255676 Page 3 2008 U.S. Dist. LEXIS 129842, * The plaintiff has the initial burden of establishing a prima facie case of personal jurisdiction over a nonresident defendant. Meier v. Sun Intern, Hotels, Ltd., 288 F.3d 1264, 1268.69 (11th Cir. 2002). "A prima fade case is established if the plaintiff presents enough evidence to withstand a motion for directed verdict." Id. at 1269 (quoting Madara v. Hall, 916 F.2d 1510, 1514 (11th Cir. 1990)). If the defendant challenges the facts alleged in the complaint and submits affidavits to the contrary, the burden traditionally shifts back to the plaintiff to produce evidence supporting jurisdiction. Meier, 288 F.3d at 1269; Posner v. Essex Ins. Co., Ltd., 178 F.3d 1209, 1215 (11th Cir. 1999). If the plaintiffs complaint and supporting evidence conflict with the defendant's affidavits, the court must construe all reasonable inferences in favor of the plaintiff. Meier, 288 F.3d at 1269; Madara, 916 F.2d at 1514. A federal court must have both statutory and constitutional authority to assert jurisdiction over a nonresident defendant. See McGee v. International Life Ins. Co., 355 U.S. 220. 223, 78 S. Ct. 199, 2 L. Ed. 2d 223 (1957). In analyzing whether personal jurisdiction exists, the court must first determine whether a defendant is subject to jurisdiction under Georgia's long-arm statute. If so, the court must then determine if an assertion [*3] of jurisdiction would be constitutional. See Madara, 916 F.2d at 1514. The Georgia Long-Arm Statute provides, in relevant part: A court of this state may exercise personal jurisdiction over any nonresident or his executor or administrator as to a cause of action arising from any of the acts, omissions, ownership, use, or possession enumerated in this Code section. in the same manner as if he were a resident of the state. if in person or through an agent, he: (1) Transacts any business withn this state: O.C.G.A. § 9-10-91 (2007). The long-arm statute confers personal jurisdiction to the full extent permitted by the Due Process Clause. Innovative Clinical & Consulting Servs., LLC v. First Nat'l Bank, 279 Ga. 672, 620 S.E.2d 352, 355 (Ga. 2005) (construing the first and second sections of the statute as reaching to the maximum extent permitted by procedural due process). The court, therefore, may bypass statutory analysis and proceed directly to an evaluation of whether exercising personal jurisdiction over defendant is consistent with the Due Process Clause. See Datacom Warranty Corp. v. The Phone Connection of Kansas, Inc., No.06-1835, 2006 U.S. Dist. LEXIS 76622, at *5 (N.D. Ga. Oct. 20, 2006) ("[I]t is permissible for courts to pass over an analysis of the long arm statute and exercise personal jurisdiction if the constitutional requirements are satisfied."). See also Peridyne Technology Solutions, LLC v. Matheson Fast Freight, Inc., 117 F. Supp. 2d 1366, 1369 (N.D. Ga. 2000). "The Due Process Clause protects an individual's liberty interest in not being subject to the binding judgments of a forum with which he has established N] no meaningful 'contacts, ties, or relations."' Burger King Corp. v. Rudzewicz, 471 U.S. 462, 471-72, 105 S. Ct. 2174, 85 L. Ed. 2d 528 (1985) (quoting International Shoe Co. v. Washington, 326 U.S. 310, 319, 66 S. Ct. 154, 90 L. Ed. 95 (1945)). Due process contemplates two types of personal jurisdiction: general jurisdiction and specific jurisdiction. Helicopteros Nacionales de Colombia, S.A. v. Hall, 466 U.S. 408, 414, 104 S. Ct. 1868, 80 L. Ed. 2d 404 (1984). For general jurisdiction, a non-resident defendant's contacts with the forum must be For internal use only For internal use only SDNY_GM_00063475 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026300 EFTA_00I 73983 EFTA01255677 Page 4 2008 U.S. Dist. LEXIS 129842, " substantial, showing continuous and systematic contacts between the defendant and the forum state. Meier, 288 F.3d at 1274 (11th Cir. 2002). Specific jurisdiction exists when defendant's contacts with the forum: (1) are related to the cause of action; (2) involve some act by which the defendant purposefully availed itself of the benefits of the forum; and (3) are such that the defendant should reasonably anticipate being sued in the forum state. Francosteel Corp. v. MN Charm, 19 F.3d 624, 627 (11th Cir. 2007). "The availability of specific jurisdiction depends on the relationship among the defendant, the forum, and the litigation." Borg-Warner Acceptance Corp. v. Lovett & Tharpe, Inc., 786 F.2d 1055, 1057 (11th Cir. 1986). Defendant contends it lacks sufficient minimum contacts to warrant personal jurisdiction in the state of Georgia. Defendant is not registered to do business in Georgia and does not maintain an office, telephone listing, mailing address, or business location in Georgia. (Def.'s Mot. Dismiss 2). Defendant sells its products only to authorized dealers and distributors, who then sell the products to consumers. ["5] (Id. at 3). Though it concedes some of those dealers and distributors are located in Georgia, defendant maintains that its sale to those agents merely places their products into the stream of commerce. (Id. at 14). Moreover, defendant argues that, even if valid, the employment contract with plaintiff is insufficient to establish specific jurisdiction. The court finds that defendant established minimum contacts with Georgia sufficient to support specific personal jurisdiction. This claim arises out of a breach of an employment contract allegedly entered into between the parties. The contract provides that plaintiff serve as defendant's regional sales manager, and plaintiff states that the purpose of his employment was to increase defendant's sales in Georgia and other southeastern states.' (Ex. A to Pl.'s Resp. 1). The contract, therefore, was to be performed, at least in part, within Georgia. At all times during his employment, plaintiff resided in Georgia. (Id.) As regional sales manager, plaintiff contacted defendant's customers, and defendant paid plaintiffs salary for the performance of his duties. (Ex. B to Def.'s Mot. Dismiss 3). Nonetheless, defendant now argues that it did not "voluntarily accept 6] the . . . [" employment contract." (Def.'s Mot. Dismiss 19). Given the almost two-year professional relationship between the parties, the court finds defendant's attempts to distance itself from the contract unpersuasive. 1 The court notes that the parties hotly contest the validity of the employment agreement. In evaluating defendant's motion to dismiss. however, the court must construe all inferences in favor of plaintiff. Meier, 286 F.3d at 1269, Madam, 916 F.2d at 1514. Defendant maintains it could not have anticipated plaintiffs Georgia residence because the employment agreement required him to relocate to Virginia. Under a section entitled "Compensation and Benefits," the employment agreement provides that defendant "shall reimburse [plaintiff] for the reasonable costs and expense . . . incurred . . in relocating to the location of [defendant's] headquarters." (Ex. A to Pl.'s Compl. 2). No other language in the contract, however, mandates that plaintiff move to Marion, Virginia, and plaintiff states defendant never asked him to relocate. (Ex. A to Pl.'s Resp. 2). The court finds that this ambiguous contractual provision does not mitigate defendant's contacts with Georgia. For internal use only For internal use only SDNY_GM_00063476 CONFIDENTIAL - PURSUANT TO FED. R.Q;;;)N(F IDENTIAL DB-SONY-0026301 EFTA_00173984 EFTA01255678 Page 5 2008 U.S. Dist. LEXIS 129842, * Defendant also argues that the choice of law provision contained in the employment agreement indicates that defendant did not purposely avail itself of Georgia jurisdiction. "While by no means dispositive, a choice of law provision in a contract between the litigants rn is a factor in deciding . . . whether the parties intended to invoke the benefits and protections of a particular state." Allegiant Physicians Servs. v. Sturdy Mem'l Hosp., 926 F. Supp. 1106, 1116 (N.D. Ga. 1996). In its arguments, defendant repeatedly emphasizes its ties to Virginia and even construes the employment agreement as requiring that plaintiff relocate to its headquarters in Marion, Virginia. The choice of law provision contained in the contract, however, provides that North Carolina law governs the terms of the contract. The court finds that the choice of law provision weighs against plaintiff but, especially considering this agreement, does not preclude a finding of specific jurisdiction. Although a contract with a non-resident alone is not always sufficient to support personal jurisdiction, Burger King, 471 U.S. at 478-79, the employment agreement, itself, is evidence that defendant participates in the Georgia marketplace. Defendant hired plaintiff to increase sales with, among others, the Georgia dealers and distributors with whom it conducts business. Defendant manufactures, markets, and sells its products to dealers and distributors. The authorized dealers and distributors then sell defendant's products to builders and other consumers without defendant's further knowledge or participation. raj (Ex. A to Def.'s Mot. Dismiss 3).' Defendant, therefore, characterizes these transactions as merely placing goods into the stream of commerce and insufficient to establish minimum contacts. The court disagrees. 2 Defendant admits that it occasionally learns the name of the builder purchasing its product from a dealer or distributor but states that such information is not usually available to it. (Id). Unlike where a non-resident defendant ships a product to an independent distributor who then controls its ultimate destination, defendant sells products to authorized Georgia distributors and dealers who maintain store locations throughout the state. See Gold Kist, Inc. v. Baskin-Robbins Ice Cream Co., 623 F.2d 375, 382 n. 5 (5th Cir. 1980) (stating that business is transacted when defendant's obligations or business operations have a realistic impact on Georgia commerce). Though defendant employs independent sales representatives, it exclusively negotiates the contracts and orders solicited by those agents and then ships the products directly to the dealer or distributor in Georgia. (Ex. A to Def.'s Mot. Dismiss 2). Cf. Bond v. Octagon Process, Inc.,745 F. Supp. 710, 712 (M.D. Ga. 1990) (finding no personal jurisdiction where defendant shipped products to various government depots, after which the government sent them where needed). Defendant derives two percent of its total gross sales from these Georgia transactions. Defendant also sends trainers and sales representatives to Georgia to train its dealers and distributors about 9] [' its products and their installation. (Ex. A to Pl.'s Resp. 2) Defendant's active solicitation, authorization, and facilitation of relationships with Georgia merchants constitute action purposefully directed toward Georgia, and defendant should have reasonably anticipated being haled into court here as a result of those contacts. For internal use only For internal use only SDNY_GM_00063477 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0026302 EFTA_OOI 73985 EFTA01255679 Page 6 2008 U.S. Dist. LEXIS 129842, * Additionally, defendant's website, while not sufficiently interactive to establish general personal jurisdiction, does suggest that defendant intended to transact business in specific state markets. As first enunciated in Zippo Mfg. Co. v. Zippo Dot Corn, [tjhe likelihood that personal jurisdiction can be constitutionally exercised is directly proportionate to the nature and quality of the commercial activity that an entity conducts over the Internet. This skiing scale is consistent with well developed personal jurisdiction principles. At one end of the spectrum are situations where a defendant clearly does business over the Internet. If the defendant enters into contracts with residents of a foreign jurisdiction that involve the knowing and repeated transmission of computer files over the Internet. personal jurisdiction is proper. At the opposite end are situations r10j where a defendant has simply posted information on an Internet Web site which is accessible to users of foreign jurisdictions. A passive Web site that does little more than make information available to those who are interested in it is not grounds for the exercise of personal jurisdiction. The middle ground is occupied by interactive Web sites where a user can exchange information with the host computer. In these cases the exercise of jurisdiction is determined by examining the level of interactivity and commercial nature of the exchange of information that occurs on the Web site. 952 F. Supp. 1119, 1124 (W.D. Penn. 1997). Defendant's website falls within the "middle ground" because although consumers cannot order its products over the website, they are able to browse defendant's product selection, "find out more" about the company through a request form, and locate nearby authorized dealers and distributors. See Barton Southern Co. v. Manhole Barrier Systems, 318 F. Supp. 2d 1174, 1177 (N.D. Ga. 2004). Through its "Dealer Locator Program," defendant promises dealers that it will "bring potential local Coffman customers to [their] door" by allowing consumers to enter their zip codes on the website and access a list of authorized dealers in the area. See Coffman Stairs - Dealer Programs, http://www.coffmanstairs.com/dealer/dealer2.htm. Rather than merely rig placing its products into the stream of commerce, defendant directs customers, including those residing in Georgia, to its authorized local dealers and distributors. Finally, the exercise of jurisdiction over defendant comports with traditional notions of fair play and substantial justice. In assessing the reasonableness of a forum's assertion of jurisdiction over a non-resident defendant, the court considers: (1) the burden on defendant in litigating the lawsuit. (2) the forum state's interest in adjudicating the dispute; (3) the plaintiff's interest in obtaining convenient and effective relief. (4) the interstate judicial system's interest in obtaining the most efficient resolution of controversies: and (5) the shared interest of the states in furthering fundamental social policies. World-Wide Volkswagen Corp. v. Woodson, 444 U.S. 286, 292, 100 S. Ct. 559, 62 L. Ed. 2d 490 (1980). Georgia is the most convenient forum for plaintiff, who resided in Georgia during his employment with defendant and remains a resident of this state. Georgia also has an interest in protecting against and adjudicating contract disputes that involve, at least partially, transactions with Georgia companies and that occur within the state. "[O]ften the interests of the plaintiff and the ri 2] forum in the exercise of jurisdiction will justify even the serious burdens placed on the alien defendant." Asahi Metal Industry Co. v. Superior Court of California, 480 U.S. 102, 114, 107 S. Ct. 1026, 94 L. Ed. 2d 92 (1987). Plaintiff has agreed to conduct depositions in Virginia or North Carolina to diminish the inconvenience to defendant. The court, therefore, finds that defendant will not be seriously burdened by defending this lawsuit in Georgia. Accordingly, defendant's motion to dismiss for lack of personal jurisdiction [4-1] is hereby DENIED. IT IS SO ORDERED, this 18th day of March, 2008. For internal use only For internal use only SDNY_GM_00063478 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0026303 EFTA_OOI 73986 EFTA01255680 Page 7 2008 U.S. Dist. LEXIS 129842, * /s/ William C. O'Kelley WILLIAM C. O'KELLEY Senior United States District Judge For internal use only For internal use only SDNY_GM_00063479 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0026304 EFTA_00I 73987 EFTA01255681 Page 1 For internal use only For internal use only SDNY_GM_00063480 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026305 EFTA_OOI 73988 EFTA01255682