Legal Entity Financial Institutions

Navy Federal"

Certification Regarding Beneficial Owners of Legal Entity Customers

I. General Instructions

What Is this fonn?

I Business M·lUD1M•ffil1 Access No.

To help the government fight financial crime, federal regulation requires certain financial Institutions to obtain, verify, and record Information about the beneficial owners of legal entity customers. Legal entitles can be abused to disguise Involvement In terrorist financing, money laundering, tax evasion, corruption, fraud, and other financial crimes. Requiring the disclosure of key Individuals who own or control a legal entity O,e., the beneficial owners) helps law enforcement Investigate and prosecute these crimes.

Who has to complete this fonn?

This form must be completed by the person opening a new account on behalf of a legal entity with any of the following U.S. financial Institutions: (l) a bank or credit union; OQ a broker or dealer In securities; OIQ a mutual fund; Ov) a Mures commission merchant; or (v) an Introducing broker In commodities. For the purposes of this form, a legal entity Includes a corporation, limited llablllty company, or other entity that Is created by a filing of a public document wtth a Secretary of State or similar office, a general partnership, and any similar business entity formed In the United States or a foreign country. Legal entity does not Include sole proprietorships, unincorporated associations, or natural persons opening accounts on their own behalf. What lnfonnation do I have to provide?

This form requires you to provide the name, address, date of birth, and Social Security Number (or passport number or other similar Information, In the case of Non-U.S. Persons) for the following Individuals o.e., the beneflclal owners):

(l) Each Individual, If any, who owns, directly or Indirectly, 25 percent or more of the equity Interests of the legal entity customer (e.g., each natural person that owns 25 percent or more of the shares of a corporation); a OQ An Individual with significant responsiblllty for managing the legal entity customer (e.g., Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Managing Member, General Partner, President, Vice President or Treasurer). The number of Individuals that satisfy this definition of "beneficial owner" may vary. Under section O), depending on tha factual circumstances, up to four individuals (but as few as zero) may need to be Identified. Regardless of the number of Individuals ldenttfled under section (l), you must provide the Identifying Information of one Individual under section OQ. It Is possible that In some circumstances, the same Individual might be Identified under both sections (e.g., the President of Acme, Inc. who also holds a 30% equity Interest). Thus, a completed form will contain the Identifying Information of at least one Individual (under section OQJ, and up to five Individuals O.e., one Individual under section OQ and four 25 percent equity holders under section (l)). The financial lnstttutton may also ask to see a copy of a driver's license or other Identifying document for each beneficial owner listed on this form. II. Certification of Beneficial Owner(s)

Persons opening an account on behalf of a legal entity must provide the following information:

-B. A. -Name, ~ame Z and ype, Trtle of Natural ress P hevtx.of n Opening I En · nteau for Account Which the Account Is D Bei w O f¥J - i-, 3 -ro...µ O

• g orm on or n u, any,, rec or n rec y, roug any con a, arrangement, understanding, owns 25 percent or more of tha equity Interests of the legal entity listed above. (If no Individual meets this definition, please write "Not Applicable. j e r CtA"l.leu<

Date of Birth (MMQ y~

For Non-U.S. Persons: Social Security Number, Passport Number, and Country of Issuance, or other similar identification number." Address Address (Line Residen,. 2 . . or Bu~iness ~t Address) o\ \ 3 0'2.. -'»c..oos -\ln(\ t)~

Address Line 3

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"In lieu of a passport number, Non-U.S. Persons may also provide a Social Security Number, an alien identification card number, or number and COllltry of isswulce of any other govemlnent-lssued document 9\/idencing nationality or residence and bearing a photograph or sinil..- safeguard. 2~~~lO Country \ H-\1 : \\ 5.

Name

Addres~t

Address Line 2

For U.S. P

Address Line 3

For Non-U. . ersons: ial Security Number, Passport Number, and Country of Issuance, or other similar identification number.• Ci SP1 Country

"In lieu of a~~. Non-U.S: Persons may also provide a Social Security Number, an alien identificailon card number, or number and 00U1lry of issuance of any other OO\IWM19nt-iSSUed document evidencing nationality or residence and bearing a photograph or sinilar safeguard. 5'

0 2018 Navy Federal NFCU 98 (4·18) Page 1 of 2

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Name

Data of Birth (MMIDDIYY) I Address (ResidMtia/ or Business Street Addl'8SS) For U.S. Persons: Social Security Number I Address Line 2 Address Line 3

Issuance, For Non-U.or S. other Persons: similar Social identification Security Number, number.• Passport Number, and Country of J City State ZIP/Postal Code Country I

"In lieu of a passport oomber, Non-U.S. Persons may also provide a Social Secuity Nl.fflber, an alien identification card number, or JU'Tlber and l COU'l1ry of IS8U8nC8 of any other oovemment-issued doament evidencing nstionality or reaidenoe and bearing a photograph or sinilar safeguard. Name

Data of Birth (MMIDDIYY) I Address (Residential or Business Street Address) Address Line 2

For U.S. Persons: Social Security Number I

Issuance, For Non-U.or S. other Persons: similar Social identification Security Number, number.• Passport Number, and Country of I Address City Line 3 State ZIP/Postal Code Country I

"In lieu of a passport number, Non-U.S. Peisons may also provide a Social Secuity Nl.fflber, an aien identification card number, or number and I COU'l1ry of ISSUllnCe of any other QOVffllment-issued doament evidencing netionality or raaidence and~ a photograph or sinier safeguard. D. IEr The an following Partner, executive President, information officer Vice or for senior President, QDi Individual manager Treasurer)(with e.g., significant ; Chief or Executive responsibility Officer, Chief for managing Financial the Officer, legal Chief entity Operating listed above, Officer, such Managing as: Member, General

~y other Individual who regularly performs similar functions.

(If appropriate, an individual listed under section (C) above may also be listed In this section (0).) Driver's License or Govern t ID No. Stata ID No.

ID No.I lofu 800 O'\I -uStata

For U.S. Persons: Social Security . '5Ct Number \,. '2 et7·<.o For Non-U.S. Persons: Social Security Number, Passport Number, and Country of Issuance, or other similar identification number.• ·

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Address Line 2

Address Line 3

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ZIP/Postal Code

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. State

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"In lieu of a passport number, Non-U.S. Peraons may also provide a Social Secuity Nl.fflber, an alien identification B LD\card number, 0 or number and C~ll~t\COU'l1ry i of issuance '\ of any other oowmment-issued doament evidencing~ or residence and bearing a photogaphor smw safeguard.

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I,_{_~•· -r _.(.name -c t~h-of natural !person opening _account) t,-ru _ A ~ · hereby certify, to the best of my knowledge, that the information provided above is~ and COIT8Ct. I / 7 2 2<)

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