ONLY* " PARTY: Afriyie, John Afriyie, Lawrencia INCIDENT INFORMATION JURISDICTION: Securities and Exchange Commission SOURCE: SEC Admin. Doc(s) & Press Release dated 04/14/16 DATE: 4/13/2016 Afriyie, John New York City, NY Action: Complaint For internal use only For internal use only CONFIDENTIAL - PU

heren Whelehan, Colin INCIDENT INFORMATION CASE NUMBER: 1:16-cv-07398 JURISDICTION: Securities and Exchange Commission SOURCE: SEC Admin. Doc(s) & Press Release dated 09/22/16 DATE: 9/22/2016 Whelehan, Colin For internal use only For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-

PURPOSES ONLY* * PARTY: Rashid, Mohammed Ali INCIDENT INFORMATION JURISDICTION: U.S. Securities and Exchange Commission SOURCE: SEC Admin. Doc(s) & Press Release dated 10/25/17 DATE: 10/25/2017 AGENCY: U.S. Securities and Exchange Commission Rashid, Mohammed Ali Former Senior Partner FIRM: Apollo Manageme