K YC Print
I. Corporate Documentation Attached (Legal Entities Only) III Yes 0 No 0 Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No 0 Not Applicable
K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the
nature/contents of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? • Yes • No
Is the account structure unusually complex? 0 yes 0 No
Is there any indication the client set up a non operating company expressly
for the purpose of trairafei ling shares to third parties? m Yes • No
Is there any indication this could be a prohibited business relationship? 0 Yes 0 No
Are the bearer shares identified subject to acceptable controls? 0 Yes 0 No
https:Athforeeph.my.salestorce.comf...RveESqb3INeTRSTXpWYSxhWjAlcjIWZIcwaXNyem.1McjRweml.R.FIXWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM)
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0081249
CONFIDENTIAL SONY GM_00227433
EFTA01382028