EFTA00168966.pdf

KYC Print Page I of 30 DB PWM GLOBAL KYC/NCA: PART A KYC Case A : 01977695 Status : 6. Approved One sheet must be established per relationshI - list all accounts Included In the relationshi 1. Relationship Details Relations* Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: New York Relationship Manager Stewart OlcMeld O New PWM Relaticaship I21 Exisbng PWM Relationship Relatbanship to PWM: If existing, please indicate since when the relationship exists, provide reason for new mere and attach cid prdile: n• 2018 Periodic Review - Overdue HR KYC •*" last Approved KYC V - Epstein, Jeffrey E. & Southern Trust Company, Inc. - 1790655; Zorro Management, LLC - 1790820. ga Olent Referral O RMFYOSpea O Intennediary/FIM • Other Same (CB, etc) Haw Was the Clent(s) Introduced? How long has the RPI personally known the Please provide details (e.g. ame of referral source, how many years RM personally ha known dent, etc.): Jeffrey Epstein client? reached out to Stew Okifield on 3/7/17 to have a new acct opened under this relationship.. Does Deutsche Bank pay a O YES I2 No retrocession or similar compensation to a third party for the Introduction of this (If Yom, *sate): 'Saban*? List all existing and new account involved in this relationship Legal Entity Account Name / ranter Opening Date (intended/actual) Account(s) • Jeffrey Epstein---- 3/8/2016 • Jeffrey Epstein --- DBS1 W23/2013 3 O Jeffrey Epstein - - Custody. 4/10/2019 4 e Southern Trust Canpany Inc --- DBSI 8/26/2013 5 g Southern Trust Canpany Inc - - MMBA 8/27/2013 6 2 Iwo Management LLC - - DDA 12/20/2016 7 2 Iwo Management LLC (House Account) - - DOA 3/13/2017 Who is the primary contact person for the RM? (Note: This K. Preferred method of contact Darren ke person needs to have signatory (indicate phone no., fax no., rights and/or Information right e-mail address, etc): for the awourits.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000346 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=0I N30000000D9Di&e... U§1928243°9 EFFA_00019219 EFTA00168966  Kl"C Print Page 2 of 30 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Jeffrey Epstein --- DDA Aar_ Number (levanTabk): Account Manager: Stewart Oldfeld What is the purpose of the account (e.g. porthole management, advisory account, custody soviets, long-term investment, payment/expense account)? The purpose of this account is Jeffrey Epstehts personal daily use. Indicate from where the assets are expected to arrive? 0 06 Group: Same Booking Center (indicate account number): basting O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What S the expected size and frequency of regular Inflows and outflows for the account (indicate estimated minter and volute per month)?: 30-55/month; $10 - $1.SMM What S the expected volume of assets and currency for the account approx. 90 days 13,906,31229 I Currency I USD after opening? What S the expected volume of assets and currency for the account approx. one year 13,906,31229 I Currency I USD after opening? Doesival the client have Assets Under Management (AuM) within 08 under Eur. 3M? arm 0 No Please list all parties related to the account For each party: • Check if a source of wealth description IS requeed for the party. • Check the appropriate box to desabe the relatienship of the party to this accoint (> I can be selected). • inane of the check boxes apply, describe the party's relation to the account in the *Other colonn. • Aiways desate the relationship between the parties in he last coke n. • Please drill down to the ilonote/urderlying Benekel Ormer(s). ,egal‘lescription Account:51C Salo of Jttimate Sonatas LillIteC Financial Signdicant -eget Grantor/Settiorf-oundincpther ilitiarof Source Holder OwnaTrust / Senefidattx Full POA ImermediaryStereholder Representative Dona (please of Wealth Founder of Owner POA (FIM) (>-25%) describe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate 'elated to ownership relationship this %) between account parties) i O El Jeffrey E. e O O • M O O • O O Easton 2 O O Beller O O O • 2 O O O O • Darren K. O O O O O Indyke • 2 O O O O • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000347 UM92814310 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_00019220 EFTA00168967  KYC Print Page 3 of 30 2. Account Ownership Summary Account Name: Jeffrey Epstein - - Di3Si Acct. Number ("oval:Wei Account Manager: Stewart Cildfield Vinat e the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense accost)? The purpose of this accost is to hold marketable secumes and cash. Indicate from where the assets are expected to arrive? g 06 Group: Same Booking Center (indicate account number): basting O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbnation - (Indicate name & location): O Physical Deposits (specify cad', securities, cheques, ...): V/hat is the expected size and frequency of regular inflows and outflows (or the accost (Indicate estimated number and volume per month)?: 0-3/month; SO - S500 V/hat is the expected volume of assets and currency for the account approx. 90 days 1669,126.0 I Ctrrency I USD after opening? What IS the expected volume of assets and currency for the account approx. one year 1669,12630 after opening? I CinencY I USD Doeshyd the client have ASSeAssesUnder Management (AuM) within DEI under Eur. 3M? ❑O VINO No Please list all parties related to the account For each party. • Ole& if a source of wealth description IS requeed for the party. • Cneck the appropriate box to describe the relationship of the party to this account (> 1can be selects). • (none of the check boxes apply, describe the patty's relation to the amount in the 'Other column. • Always describe the relationship between the parties in he last alum. • Please drill down to the armate/urdedying Beneficial Owner(s). r egal 'Description AccountoIC Settlor of Jitimate iSignaton Lunteo Financial Significant _egal Grantor/Setdorf-oundineDther zribtrof Source Holder DwnerTrust / Beneficialor Full POA InterrnedieySharetoider Zepresentative Donor (please of Wealth Founder of Owner POA (HMI (>=25%) describe required Foundation to-PIC other roles entity and/or ?abed (indicate indicate related to ownership relationship the %) between account Parties) Jeffrey E. O O • • I n gl Epsten ID ID O O O 2 Ei Ham' Beller O O O O Ei O O • O D O O O " lndyke K' O O O • 2 O O O O DI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-000034B https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0I N30000000D9Di&e... /I/192824311 EFIA_00019221 EFTA00168968  KYC Print Page 4 of 30 2. Account Ownership Summary Account Name: Jeffrey Epstein - - Gusto:). Act Number (I amiable) Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfceo management, advisory account, custody services, long-term investment, payment/esense access)? the purpose of this account is to hold FX cash deposits. Indicate from where the assets are expected to arrive? g 08 Group: Same Booking Center (ndicate account number): Exstng O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbtution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What S the expected size and frequency of regular inflows and outflows for the accost (indicate estimated number and vol me per month)?: 5-10/month; $0 - $250K What S the expected volume of assets and currency for the account approx. 90 days after 1112,690.70 I Currency opening? I USD What S the expected volume of assets and currency for the account approx. one year after' 112,690.70 I Currency Sento)? I USD Does/a the dent have Assets Under Management (AuM) within DB under Eur. 3M? Oyes@ No Please list all parties related to the account. For each party: • Check if a source of wealth description s requeed for the party. • Check the appropriate box to describe the relationship of the party to this accost (> I can be selects). • (none of the check boxes apply, describe the patty's relation to the amount in the 'Other' coltrnn. • Always desate the relationship between the parties in he last cane. • Please drill down to the ilornate/unierlying Beneficial Owner(s). egal‘lescription AccountoIC Settlor of Jitimate iSignaton Intec Financial Significant _eget Grantor/Setdorf-oundingOther : tn( Source Holder DwrierTrust / Benefidalor Full POA InterrnediaryShareticider Zepresentative Donor (please of Y/ealth Founder of Owner POA (ELM) (>=25%) describe required Foundation Yon-PIC other roles entity andor Pates (indicate indicate related to ownership relationship tits %) between account Parties) E. O O • • I n gl E rin ID ID O O O 2 Ei Ham' Beller O O O O Ei O O • O D O O O " Indyke K' O O O • 2 O O O O DI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000349 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... uM92844312 EFIA_00019222 EFTA00168969  KYC Print Page 5 of 30 2. Account Ownership Summary Account Name: Southern Trust Company Inc - - D6S1 Acct Number (ffavallablejt Account Manager: Stewart adfidd vmat is the purpose of the account (e.g portfoho management, advisory account, custody services, long-term investment, payment/mese accotnO? The purpose of this accotra is to hob marketable secunbes and cash. Indicate from %Mere the assets are expected to arrwe? g f36 Group: Same Booking Center (indicate account number): Ousting O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbtution - (Indicate name & location): O Phyncal Deposits (specify cash, securities, cheques, ...): What S the expected size and frequency of regular inflows and outflows for the accotmt (Indicate estimated number and volume per month)?: 2 10/month; $2K - S 2141 What is the expected volume of assets and currency for the account approx. 90 days 12,550,527.46 I Currency I USD after opening? What is the expected volume of assets and currency for the account approx. one year 12,550,527.46 I Currency I USD after opening? Does/a the client have ASSEtS Under Management (AuM) %%Wen DB under Eur. 3M? 1O Yes Ohio Please list all parties related to the account For each party: • ()leek if a source of wealth descriptor, s requeed for the party. • Cneck the appropriate box to describe the relationship of the party to this account (> I can be selects). • footle of the check boxes apply, describe the patty's relation to the account in the 'Other column. • Nways desabe the relationship between the parties in the last cobmn. • Please drill down to the arnateturderinng Beneficial Ormer(s). : egal)escription AccouninC Setdor of Ultimate Signatorw_imiteckirencial Significant egal Grantor/Settler Pouncing Other (please zribbrof Source Holder OwnerTrust / Beneficiabr Full 'OA IntermedarySharenolderRepresentatrre Donor Sescribe of Y/ealth Founder of Owner VOA (FIM) (>=25%) other roles required Foundation Non-PIC ant/or Panes entity ndicate related to (indrate relationship this ownership oat...yen ,account %) parties) Southern I 12 cd TC ompnst any, Ir," n m 11 El O O O O O x" Inc 2 • • Jeffrey E. n LI s m 2 El El 100 TA • D Director; Epstein " Jean 3 O O Anne si O 2 O O O O Brennan r—r " O O Anetracht 4 0 0 rren K. O 0 0 0 2 0 0 la 0 L Director, IM7A Richard Li Director; 5 O O D. Kahn "❑ r—r O O O O O O 121 O trading Authorization Paul& Limited to 6 O O Barrett O O O C O El O O O O Purchases & Sales of Securities; CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000350 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192824313 EFIA_00019223 EFTA00168970  KYC Print Page 6 of 30 2. Account Ownership Summary Account Name: Southern Trust Company Inc . • MMBA Acs. Hunter (KavaAriW)t Account Manager: Stewart Oldfield Wliat e the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/manse acorns)? The purpose of this acconnt is to hold holds and earn high yielding interest Indicate from where the assets are expected to arrive? 2 (36 Group: Same Booking Center (indicate account number): Eiosting O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbnation - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: 3-8/month; $500 - S 5144 What is the expected volume of assets and currency for the account approx. 90 days 12,468,673.24 I Currency I USD after opening? What is the expected volume of assets and currency for the account approx. one year 12,468,673.24 I Currency I USD after opening? DoeshvA the dent have Assets Under Management (AuM) within DB under Eur. 314? O Vs 2 No Please list all parties related to the account For each party: • Oeck If a source of wealth descripton Is requeed for the party. • Cneck the appropriate box to describe the relationship of the party to this accost (> I can be selects). • (none of the check boxes apply, describe the party's relation to the amount in the 'Other column. • Always describe the relationship between the parties in he last °Sumo. • Please drill down to the Somate/urderlying Beneficial Ormer(s). r egal 'Description Account:5K Settlor of Jitimate iSignaton Luntec Financial Significant _egal GrantortSetdorf-oundincpther zriberof Source Holder OwnerTrust / Beneficialor Full POA InterrnediarySharetoader Zepresentative Donor (please of Wealth Founder of Ovine* POA (ELM) (>=25%) describe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate 'elated to ownership relationship this 1).1,) between account parties) Southern Trust I g Company, 5 O • O O O • O O O Inc Jeffrey E. O O O 2 O 0 Epstein ❑ 12 12 OD we 2 O El Predict; Je O O BreannnanAnne 0 WietracM 0 El O e O O O O O 4 0 0 Mae". O O O O O O O El O O Director; Indyke Richard D. 5 O O • I:l • O O O • 2 O El Director; Jahn CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000351 UM92814314 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_00019224 EFTA00168971  KYC Print Page 7 of 30 2. Account Ownership Summary ACCOunt Name: Zero Management LLC - - DDA Acct. Nutter (If available) ACCOunt Manager: Stewart 011ield What 6 the purpose of the account (e.g. portfolio management, advisory account, custody services, king-term investment, payment/expense accent)? the purpose of this accent is to manage the da:y expenses of the company Indicate from where the assets are expected to arrive? g 08 Group: Same Booking Center (indicate account number): Eiosting O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbtution - (Indicate name & location): O Physical Deposits (specify caPi, securities, cheques, ...): What is the expected size and frequency of regular Inflows and outflows for the accost (indicate estimated number and volume per month)?: 10-15/month; ;50 - $200K What IS the expected volume of assets and currency for the account approx. 90 days after 1254,944.25 I Currency opening? I USD What is the expected volume of assets and currency for the account approx. one year after 1254,944.25 (Currency opening? I USD Does/a the client have Assets Under Management (AuM) within DB under Eur. 3M? arcs 2 No Please list all parties related to the account. FOr each party: • Ole& if a source of wealth description IS required for the party. • Cneck the appropriate box to describe the relationship of the party to this accost (> I can be selects). • (none of the check boxes apply, describe the party's relation to the asount In the 'Other' column. • Always describe the relationship between the parties In the last calumet • Please drill down to the Ldumate/underinng Beneficial Owner(s). r egal Description Account PlC Senior of .litirrete Signatory _sect Financial Significant _egal Grantor/SettlefoindingOter n0ty,f Source Molder Owner Trust / Benekelor Full ?OA IntermediandharehoklerRepresentative Donor (please of Wealth Founder of Denier POA (FIM) >=25%) describe required Foundation on-PIC other ran entry and/or (indicate rchcate Pasties ownership eLationship related to %) !atWeen this accent oarties) Zorro I 121 0 Management, O O O O O O O O . . LLC 2 • 0 'ewe? E. ID D o 0 0 O O 100 O O O Sole EpStein Mmber; Darren K. O O O 3 O O lndyke • n i O O N O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000352 https://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?lid=0I N30000000D9Di&e... /I/192814315 EFIA_00019225 EFTA00168972  KYC Print Page 8 of 30 2. Account Ownership Summary ACCOLlet Name: Zorro Management LLC (House Account) - - DOA Acct. Number (Java/lab/O 1111111111. Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody soviets, longterm investment, payment/expense accotnt)? The purpose of this accotra is to manage the monthly expenses of the company Indicate from where the assets are expected to arrive? g 06 Group: Same Booking Center (radiate account number): Exosang O DB Group: Other Booking Center (Indicate DB location and account details): O Other Insbnation - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows (or the account (Indicate estimated number and volume per month)?: 5-1S/month; $100 - $1K What is the expected volume of assets and currency for the account approx. SO days 112,766.17 I Currency I USD after opening? What is the expected volume of assets and currency for the account approx. one year 1 12,766.17 I Currency I USD after opening? Does/a the client have Assets Under Management (AuM) within 08 under Eur. 3M? ayes ®N0 Please list all parties related to the account. For each party: • Check if a source of wealth description s requeed for the party. • Cock the appropriate box to describe the relationship of the party to this accost (> I can be selects). • (none of the check boxes apply, describe the party's relation to the account in the 'Other column. • Always desote the relationship between the parties in the last coSwr. • Please drill down to the Lernate/urclerinng Beneficial Owner(s). Legal Description Ac ount PlC Sector of Jibrate Signatory _twat Financial Significant _egal Grantor/Settiortowidinggther n0ty,f Source Holder Owner Trust / Benefiaalor Full ?OA IntermediandharehoklerRepresentative Donor (please of Wealth Founder of Dreier POA (FIM) (>=25%) describe required Foundation Non-PIC other roles entry and/or (indicate State Parties ownership elationship related to %) oetween this accotrat cantles) Zorro I I21 0 Management, O O O O O O O O 0 0 LLC 2 • 2 Jeffrey E. O D O 0 0 O O i.00 O O O Sole Epstein Meber; 3 O O Darren K. O O O N !A • • • inane O O 4 Ei D O O O O O O O O O O 5 O O Gordon, O • O O 0 O O • O O Brxe M. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000353 UM92814316 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_00019226 EFTA00168973  KYC Print Page 9 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details (fcc all dames) Individuals Name: Harry Belle Date of Birth: Country of Residence: United States Country of Citizenship: United States Has dent resided outside of his/her country of nationality O Yes @ No Address of primary residence: for 5 years or more? Profession/Occupatkm: Accountant Tax ID / SSN: Current Employer: HBRKAsscciata., Inc Pesition/Title/Rank: Accountant Address of employer: 575 Lexington Avenue, 4th Floor Matey NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity n the financial ndustry? a an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) N/A O Yes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(1 O Family O Friendship El NW* Fan* er Fnenthdip, tote) WA To the best of your knowledge, Is the litivklual parry to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Yes tr. No Of Yes,descnbe) N/A Indicate where and viten the client meeting(s) took dace: If applitabk, Imitate which bankafters have met the person: Client Private Cent Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Bustess: O • • O O O O O O O Wealth Details for this ineWidel are not filled in, because they are the same as for the fdlovAng person: 38. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the Indielekers Business: Primary Cann, of source of wealth/source of Finds? Primary Industry of source of Wealth/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Invesbnent O Inheritance/Gifts • Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For bugs, how did settler accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long In business, how many employees, level of prelitabdity? Indicate type of business, countries of major activtles, important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): Estimated Net Worth(5): Amount of assets planned to invest with PWM(S): Other KAMM, Rnancel Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. &SECS Under Mgt: Please indicate the family situation of the indyklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000354 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824317 EFIA_00019227 EFTA00168974  KYC Print Page 10 of 30 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-000035S UM92814318 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019228 EFTA00168975  KYC Print Page 11 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details (fu all parties) Individuars Name: Dairen K. Indyke - Date of Birth: County of Residence: United States Country of Citizenship: