Certification Regarding Ultimate Beneficial
Owners of Legal Entity Customers
General Instructions
What is this form?
To help the government fight financial crime, federal regulation requires certain financial institutions to obtain, verify, and record
information about the ultimate beneficial owners of legal entity customers. Legal entities can be abused to disguise involvement interrorist financing, money laundering, tax evasion, corruption, fraud, and other financial crimes. Requiring the disclosure of key
individuals who ultimately own or control a legal entity (i.e., the ultimate beneficial owners) helps law enforcement investigate andprosecute these crimes.
Who has to complete this form?
This information must be provided by the person opening a new account or updating business information on behalf of alegal entity with any of the following U.S. financial institutions: (i) a bank or credit union; (ii) a broker or dealer in securities;(iii) a mutual fund; (iv) a futures commission merchant; or (v) an introducing broker in commodities.
For the purposes of this form, a legal entity includes a corporation, limited liability company, or other entity that is created byfiling of a public document with a Secretary of State or similar office, a general partnership, and any other similar business
entity formed in the United States or a foreign country. A legal entity does not include sole proprietorships, unincorporated
associations, or natural persons opening accounts on their own behalf. For a full list of exemptions refer to Appendix A.
What information do I have to provide?
This form requires you to provide the name, address, date of birth and social security number (or passport number orother similar information, in the case of foreign persons1) for the following individuals (i.e., the ultimate beneficialowners):(i) 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);(ii) An individual with significant responsibility for managing the legal entity customer (e.g., a 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 "ultimate beneficial owner" may vary. Under section (i), depending on thefactual circumstances, up to four individuals (but as few as zero) may need to be identified. Regardless of the number of individuals
identified under section (i), you must provide the identifying information of one individual under section (ii). It is possible that insome circumstances the same individual might be identified under both sections (e.g., the President of Acme, Inc. who also holds a30% equity interest). Thus, a completed form will contain the identifying information of at least one individual (under section (ii)),and up to five individuals (i.e., one individual under section (ii) and four 25 percent equity holders under section (i)).
Please provide a copy of a driver’s license or other identifying document for each ultimate beneficial owner listed on thisform.
Certification of Ultimate Beneficial Owner(s)Name of Person opening account or updating information below
Name of Legal Entity for which the account is being opened/maintained
Tax Identification Number of Legal Entity

1In lieu of a passport, foreign persons may also provide a U.S. government-issued Alien ID or other foreign government-issued documents
evidencing nationality or residence and bearing a photograph or similar safeguard.

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A. Ultimate Beneficial Ownership Information:
Please provide the following information for each individual, if any, who, directly or indirectly, through any contract, arrangement,understanding, relationship or otherwise, owns 25 percent or more of the equity interests of the legal entity listed above. 2 If noindividual meets this definition, please check “No Individual owns 25% or more of the Legal Entity Customer” below and skip tosection B.
 No Individual owns 25% or more of the Legal Entity Customer
Ultimate Beneficial Owner #1: _______ % ownership Individual is an FHB Customer (provide the name and last 4 digits of their SSN below).
Individual Name (First, Middle Initial, Last)
Social Security Number (if FHB Customer, provide last 4 digits)
If the individual is not an FHB customer, please also provide the following:

Date of Birth (mm/dd/yyyy)

ID Type1

Street Address

ID St/Ctry/Prov of Issuance

ID NumberCityIssue Date (mm/dd/yyyy)

Exp Date (mm/dd/yyyy)

ZIP / Postal CodeStateCountry

Ultimate Beneficial Owner #2: _______ % ownership Individual is an FHB Customer (provide the name and last 4 digits of their SSN below).
Individual Name (First, Middle Initial, Last)
Social Security Number (if FHB Customer, provide last 4 digits)
If the individual is not an FHB customer, please also provide the following:

Date of Birth (mm/dd/yyyy)

ID Type1

Street Address

ID St/Ctry/Prov of Issuance

ID NumberCityIssue Date (mm/dd/yyyy)

Exp Date (mm/dd/yyyy)

ZIP / Postal CodeStateCountry

Ultimate Beneficial Owner #3: _______ % ownership Individual is an FHB Customer (provide the name and last 4 digits of their SSN below).
Individual Name (First, Middle Initial, Last)
Social Security Number (if FHB Customer, provide last 4 digits)
If the individual is not an FHB customer, please also provide the following:

Date of Birth (mm/dd/yyyy)

ID Type1

Street Address

ID St/Ctry/Prov of Issuance

ID NumberCity

Issue Date (mm/dd/yyyy)

Exp Date (mm/dd/yyyy)

ZIP / Postal CodeStateCountry1

In lieu of a passport, foreign persons may also provide a U.S. government-issued Alien ID or other foreign government-issued documents
evidencing nationality or residence and bearing a photograph or similar safeguard.

2

Beneficial ownership information at a lower percentage may be requested should the account meet certain criteria after onboarding.

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Ultimate Beneficial Owner #4: _______ % ownership Individual is an FHB Customer (provide the name and last 4 digits of their SSN below).
Individual Name (First, Middle Initial, Last)
Social Security Number (if FHB Customer, provide last 4 digits)
If the individual is not an FHB customer, please also provide the following:

Date of Birth (mm/dd/yyyy)

ID Type1

Street Address

ID St/Ctry/Prov of Issuance

ID NumberCityIssue Date (mm/dd/yyyy)

Exp Date (mm/dd/yyyy)

ZIP / Postal CodeStateCountry

B. Individual with Control:
Please provide the following information for one individual with significant responsibility for managing the legal entity (Individualwith Control) listed above, such as:• An executive officer or senior manager (e.g., Chief Executive Officer, Chief Financial Officer, Chief Operating Officer,
Managing Member, General Partner, President, Vice President, Treasurer); or• Any other individual who regularly performs similar functions.
If appropriate, an individual listed under Section A above may also be listed in this Section B (check box below).

Title of Individual with Control: _______________________________
 Individual with Control is the same as Ultimate Beneficial Owner #_____. Skip to Section C.
 Individual with control is an FHB Customer (provide the name and last 4 digits of their SSN below).
Individual Name (First, Middle Initial, Last)

Social Security Number (if FHB Customer, provide last 4 digits)

If the individual is not an FHB customer, please also provide the following:

Date of Birth (mm/dd/yyyy)

ID Type1Street Address

ID St/Ctry/Prov of Issuance

ID NumberCity

Issue Date (mm/dd/yyyy)

Exp Date (mm/dd/yyyy)

ZIP / Postal CodeStateCountryC. Certified/Agreed To:
I,(name of natural person opening account or updating businessinformation), hereby certify, to the best of my knowledge, that the information provided above is complete and correct and thedocumentation provided with this form is true and correct. I further agree that the legal entity customer will notify First Hawaiian
Bank promptly if there are any changes to this information.

SignatureDateFor Internal Use Only
Were all IDs verified?

 Yes
 No

Employee Name andInitial

Verified UBOs areexistingcustomers?
Branch/BusinessUnit Yes N/AIf non-deposit account for newcustomer, was Bridgerperformed?

 Yes

 N/A NoFor deposit accounts,
supervisor initial and date1

In lieu of a passport, foreign persons may also provide a U.S. government-issued Alien ID or other foreign government-issued documents
evidencing nationality or residence and bearing a photograph or similar safeguard.

Page 3 of 4(REV 8/13/18) CERT-UBO

Appendix A – List of Exempt Entities
Financial Institution Type Entities:
1.
2.
3.

Financial institutions regulated by a Federal functional regulator or a bank regulated by a State bank regulator
A bank holding company, as defined in section 2 of the Bank Holding Company Act of 1956 (12 USC 1841) or savings andloan holding company, as defined in section 10(n) of the Home Owners’ Loan Act (12 USC 1467a(n))
A foreign financial institution established in a jurisdiction where the regulator of such institution maintains beneficial
ownership information regarding such institution

Governmental or Political Type Entities:
4.
5.
6.

A department or agency of the United States, of any State, or of any political subdivision of a StateAny entity established under the laws of the United States, or any State, or of any political subdivision of any State, or under
an interstate compact
A non-U.S. governmental department, agency or political subdivision that engages only in governmental rather thancommercial activities

Investment Related Type Entities:
7.

Issuers of securities registered under section 12 of the Securities Exchange Act of 1934 (SEA) or that is required to filereports under 15(d) of that Act
8. An investment company, as defined in section 3 of the Investment Company Act of 1940, registered with the U.S. Securities
and Exchange Commission (SEC)
9. An SEC-registered investment adviser, as defined in section 202(a)(11) of the Investment Advisers Act of 1940
10. An exchange or clearing agency, as defined in section 3 of the SEA, registered under section 6 or 17A of that Act
11. Any other entity registered with the SEC under the SEA
12. A registered entity, commodity pool operator, commodity trading advisor, retail foreign exchange dealer, swap dealer, ormajor swap participant, defined in section 1a of the Commodity Exchange Act, registered with the Commodity Futures
Trading Commission
13. A pooled investment vehicle operated or advised by a financial institution excluded from the definition of legal entity
customer under the final CDD rule
Other:
14. Any entity (other than a bank) whose common stock or analogous equity interests are listed on the New York, American, orNASDAQ stock exchange
15. Any entity organized under the laws of the United States or of any State at least 51% of whose common stock or analogousequity interests are held by a listed entity
16. Trusts except for statutory trusts. Statutory trusts are required to complete this certification. Statutory trusts are trusts
registered with a Secretary of State’s office or its equivalent (like a business).
17. A public accounting firm registered under section 102 of the Sarbanes-Oxley Act
18. An insurance company regulated by a State
19. A sole proprietorship
20. Unincorporated associations
21. A financial market utility designated by the Financial Stability Oversight Council under Title VIII of the Dodd-Frank WallStreet Reform and Customer Protection Act of 201022. Any legal entity only to the extent that it opens a private banking account subject to 31 CFR 1010.620

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