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EFTA01295897

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LTS: Court Cases: Copyright 2016 Info4c, All Rights Reserved info4c Watchlists and Blacklists October 7, 2016 Richard Kahn SOURCE: AUTHORITY: New York Stock Exchange LIST NAME: NYSE Arca Enforcement COUNTRY: United States of America DATE OF PUBLICATION: April 20, 2012 DATE OF INFORMATION: September 8, 2016

0127 EFTA_00 I 6787 I EFTA01295968 Page 68 D&B: Not Required LEGAL RESULTS: Court Cases: Copyright 2016 Info4c, All Rights Reserved info4c Watchlists and Blacklists October 7, 2016 Richard Kahn SOURCE: AUTHORITY: New York Stock Exchange LIST NAME: NYSE Arca Enforcement COUNTRY: United States

EFTA01297892

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4c 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

ly For internal use only SDNY_GM_00061625 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024450 EFTA 00172137 EFTA01297913 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

EFTA01371353

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fo4c Watchlists and Blacklists June 9, 2017 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 ADDITIONAL INFORMATION: Decision number: 12-ARCA-3 OTHER INFORMATION LIST

Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP LEGAL RESULTS: Court Cases: Copyright 2017 Info4C, All Rights Reserved info4c Watchlists and Blacklists June 9, 2017 Richard Kahn SOURCE: COUNTRY: United States of America LIST NAME: NYSE Arca Enforcement AUTHORITY: New York Stock E