EFTA00166775.pdf

KYC Print Page 1 of 24 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01133113 Status : 6. ANIONS One sheet must be established per relationship - list all accounts included In the relatlonshl 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Pad Mortis O New PWM Relationship El Existing PWM Relationship Relationship to PWM: If 'AWN, please ndicate since when the relationship exists, provide reason fix new profile and attach old profile: O Client Referral 12 RM Prospect O Intermediary/PIM • Other Source (CIO, etc.) How Was the Client(s) Introduced> Now long has the Please provide details (e.g. acne of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein is a RM personally known the current client of the Bank. i ants to open a new account. Introduction details of Paul and tether Jeffrey Epstein was a tient of client≥ Paul's at JP Morgan. Paul a d Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bar* pay a O Yes I0 No retrocession or sinter compensation to a third party for the introduction of this al Yes, describe). relationship, List all existing and new accounts involved n this relationship Legal Entity Account Name / Number Openkig Date (intended/actual) Account(s) I 0 Butterfly Trust — Checking 10/9(2013 2 0 Butted?), Trust — Money Market 10/9O013 Who is he primary contact person or the Ithil (Note: This Preferred method of contact Darren Indyke person needs to have signatory (indicate phone no., tax no., rights and/or infomation right crowd address, etc.): for the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002549 EFTA_00016023 EFTA00166775  KYC Print Page 2 of 24 One sheet mud be established for each account to be opened 2. Account Ownership Summary Account flame: Butterfly Trust -- Checking Am. Number (ifavatlable) Account Manager: Paul MOMS What is the purpose of the account (e.g. portfolio management, advisory account, custody servkes, longterm Investment. payment/ecpense account)? 11* Is a checking account to hold funds for the trust. Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center indicate DB location and account details): 0 Other Institution (Indkate name & location): 'Horgan. New York, NY 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)': RougNy 5-10 Inflows and outflows per month ranging from $1,000 to $20,000 What Is the expected volume of assets and currency for the account approx. 90 days after 4,000000.00 I Currency I W opening? What is the expected volume of assets and currency for the account edam. one year after 5,030,000.00 USG opening> I Curia" I Does,Will the client have Assets Under Management (AuM) within DB under Fur. TM> ❑O1* a No Please list all parties related to the account For each party: • Check if e source of wealth description is required for the party. • Check the appropriate box to describe the relationsNp of the party to this account (> 1can be selected). • ff none of the check boxes a ply, describe the pears r lotion to the account in the 'COW Strut • Always describe the relationship between th parties in the last column. • Pkase drill down to the ultimate/underlying Beneficial Cwne(s). ..egal btuription AccountOIC Settler of -Minnie Signatory nclal Significant ,.ego GrantorfSettlor`oundinOlher EntitrafSosave Holder Ownerintst / Beneficalar Full tOA ntermediaryShareholdertepresentauve bnor phase 1 Weatth Pounder of owner ?OA (F1M) (>=25%) describe required Foundation Non-P1C >cher roles entity and/or Parties (indicate nthcate 'elated to ownership relationship his Vo) between account *Nes) i O B Jeffrey EPstein /m oo O O O O ri o ri Grantor; Butterfly 0 O O 2 El Ei Trust O O O O • O O Richard :I DE] 3 O • O 5 O • • O O Trustee:: Kahn DelTell O O O 1 O D O 21 O • O O O Trustee:: BelYS 9 O O O O • O • O • • O 11 Beneficiary; 6 O • • • O O O O O O O Li Beneficiary; 7 O O O O O O O O O O O O &misty; 8 O O O O O O O O O • O O Beneficiary; GhIslalne O N o O 9 O O O O O • O O Benefklary; 10 • O • • O O O O O • • 0 Beneficiary; Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid - 0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002550 EFTA_000 16024 EFTA00166776  KYC Print Page 3 of 24 2. Account Ownership Summary Account Nan*: Butterfly Trust — Money Market Acct. Hunter (I seollede): Accent Manager: Pall Monis What Is the purpose el the account (e.g. portfolio management. adviseey account, custody sewkes, longterm investment, payment/ wiper rurouni), Mo they Market account. To hold cash for the trust to eam Interest Indicate from where the assets are expected to (sane' • DB Group: Same Basking Center (Indkate account number): • OB Group: Other Booking Center (indicate DB location and account details): RI Other Institution (Indicate name & locabon): )Morgan. New York, NY O Physical Deposes (specify cash, securities, cheques, ...k What is the expected sire and frequency of regular Inflows and outfknvs for the account (indicate estimated number and volume per nexith)'- Roughly I.2 eoliths, and outflows per month ranging from 11,000 to SI0,000 What is the expected volume of assets and paretic). fcc the account approx. 90 days after 1500,00000 'Currency I USD opening' What is the expected volume of assets and ctrrency for the account approx. one year after 11,000,000.00 'Currency I 1151) opening' DoesMill the client have Assets Under Management (AuM) within DB under Etx. 3M' O Yes 2 No Please Nit all parties related to the account far each party: • Check I a source of wealth Omer:Sion is required for the party. • Check the appropriate box to describe the r lationship of the party to this account ( > I can be selected). • If none of the check bones a ply, describe the partys relation to the emu tin the Nailer' column. • Always describe t e relationshp between th parties in the last column. • please drill down to the ultimate/underlying Beneficial Creermy(s). .sgal Description Accountant Settler of Annum Sig twtory Unite:If-mantel Significant _eget GrantorfSettlorrounding Other Entitirff Sane Nader OnnerTrust / Beneficial,. Full POA IntermediaryShareholdernepresentative Donor please 0 Wealth hounder of Owner POA (F-1M) >-25%) describe required Foundation Non.PK other roles entity and/or Parties (Indicate indicate related to ownership relationship tins %) tetween ?mount parties) Jeffrey • O I O 21 4rstein • O O O El O • Grantor; 2 2 2 Butte.* 2 Trust ❑ DO O O OO O O O Althorn: • O Trustee:: 3 O O Cahn O ei O O O O O 4 O O Dan" O • O O GI • O • O O Trustee:: -tea ice S O O • • O O O OO O O O lienellciary; 6 O O • • O • O O O O O O Beneficiary; 7 0 0 • 0 • O • O • • O ID Beneficiary; 8 O O • ID • O • O • • O • Bffiellclaey; 9 • • Beneficiary; O J.Ghinbill • O O • O • O • O O ICI • D • O • li ni O • O O • Beneficiary; Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid - 0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002551 EFTA_000 16025 EFTA00166777  KYC Print Page 4 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indradues Name: Jeffrey Epstein - 00000403289 Date of Birth: 1/20/1953 Country of Raibence: USVI Country of Citizenship: USA Has dent resided outside of Litte Saint James Saint Thomas 00802 US Virgin Islands Ms/her country of nationality O yes No Address of prknary resIderxe: for 5 years or mare? Professlon/OccupatiOn: Self Frivoled Tax ID / SSN: Current Empbyer Southern Financial LW Posbonffilk/Rant President Address of enbbyer: 6100 Red tiook Quarter B3 St. Thomas USV1 00802 Does the person work as senior executive of a DB-recog Wed regulated entity in the financial ndustry? or an entity listed en a DESrecognised exchange> (Not appicable for operating entitles O Yes Ii] No Is the individual a Pokkally Exposed Person (PEP)'O1 Yes, descnbe) • Yes la No To the best of your knowledge, is the individual related to an employee of the 06 group)(A • Family O Friendship RI None FIT* Of Mends/bp, desenbe) To the best of your knowledge, Is the Ind Mdual party to a nom banking relationship with Deutsche Bank (e.g., external legal counsel, cent referral source, supplier of goods or serviceQ> O Yes OW (de YeAdestrae) Indicate where and Wen the cleat meeting(s) took place: II applicable, indkate which bank off' net the person: (lent Private Client Place of Bank Officer Name(s) Bank Cake: Other Location (specify): Date: Domicile: Business: Paul Morris O O tri 9/13/2013 O • O O O O • Wealth Details for this indMlual are not filled In, because they are the same as for the following person: 30. Wealth Details (Only for parties requiring source of wealth description as 'Skated in Section 2) Nature of the Indira:Juan Business: Private investments Primary Country of source of wealtiVsource of Funds? Primary industry of source of WealtIVSource of Funds' Summarize Source of Wealth: 0 Business Owner OSalarygarnings 0 Investment E Inheritance/Gifts O Other: Esther Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth> For itheritance, how did family accumulate wealth?For business owners, how bug in business, how many employees, level of profitabety? Indtate type of business, countries of major activities, important business partners.) Epstein began hi financial career in 1976 as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded Ns own financial management film J. Epstein & Co., managing the assets of clients with more than a billion n net worth. In 1996, Epstein changed the name of Ms Min to The Financial Trust Company and baser:Its the island d St. Thomas in the US Vingin Islands. M d Ish clients wee anonymoin except for the very wealthy businessman Leslie Wexner. His wealth has come from hi days at Bear Steams and hi financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of irwelabie assets(s): 950 141 - 100 Nil Estirrated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): 5,000,000.00 Other Known Financial Insntutions: instaution: IPM Country: USA Est. Assets Under Mgt: 120,000,000.00 inanutica: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002552 EFTA_00016026 EFTA00166778  KYC Print Page 5 of 24 'Institution: H si"' I Cs1 AsuYs Under 14$' Please indicate the family situation of the ndhfclual (mortal status, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002553 EFTA_00016027 EFTA00166779  KYC Print Page 6 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhb Somme 3A. Individual Details (for all pates) Indesluars Name: Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: LISA Has dent resided outside of ms/her country of nationality • yes 51 No Address of primary residence: for S years or more? Profession/Occupation: Attorney Tax ID / SSN: 098-544596 Current Empbyer Southern Financial LW PosaionSitk/Ranic Address of errpbyer: 6100 Red Hook Quarter B3 Livingston USY1 00802 Does the person work as senior executive efaDB-recognized regulated entity in the financial ndusby? or an entity listed on a DE-recognised exchange> (Not appicable for operating entitles O Yes g No Is the Ind Sidual a Poltkally Exposed Person (PEP)?(I1 Yes, descnbe) • Yes la No To the best of your knowledge, is the individual related to an employee of the DB groupryi/ ill Family O Friendship RI None fill* Of Mends/bp, desenbe) To the best of your knowledge, Is the individual party to a now banking relatonship with Deutsche Bank (e.g., external legal counsel, dent referral source, maples of goods or services)? O Ye. OW (at Yetzleserebe) Indicate where and sten the dent eneernig(s) took place: II applicable, indkate which bank off' net the person: Client Private (bent Place of Bank Officer Name(s) Bank CHke: Other Location (specify): Date: Domicile: Business: Paul Morris O O ri 9113/2013 O • O O O O • Wealth Details for this indivklual are not filled in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring souse of wealth description as 'Skated in Section 2) Nature al the lndividucts Business: Primary Country of source of wealth/souse of Funds? Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner OSalary/Earnings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Woe h /Detail the history of wealth for each of the sources (e.g. For trusts, how did seals accumulate wealth? For itheitance, how did family accumulate wealth?for business owners, how bag In business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets(d): Estimated Net Worth(3): Mount of assets planned to Invest with PWM(8): Other known Financial Institutkins: Instants Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under llgt: Institutkin: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (nasal status, othe Vanity members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002554 EFTA_00016028 EFTA00166780  KYC Print Page 7 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002555 EFTA_00016029 EFTA00166781  KYC Print Page 8 of 24 One sheet must be established for PAO' INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for an parties) ban:bars Name: Richard Kahn Date of Birth: Country of Residence: USA Country of Citizenship: USA Has tient resided outside of Ws/her country of nationality • yes No Address of primary residence for S years or mare Profession/Occupation: Accountant Tax ID / 55N: Current Empbyer: Southern Financial, LLC Pos/Jonylitk/Rant Address of errpbyer: 6100 Red Hook, Quarter B3 St Thomas US Virgin Islands 00602 Does the person work as senior executive of a Dbrecog sized regulated entAy in the financial ndusUy? or an entity listed on a De-recognised exchange? (Not appicable for operating entbes O Yes g No Is the Ind Nidual a Politically Exposed Person (PEP)'(I1 Yes, descnbe) • Yes la No To the best of your knowledge, is the Individual related to an employee of the DB groupW ti Family O Friendship RI None FIT* Of Mends/bp, desenbe) To the best of your knowledge, Is the Ind Mdual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, dent refer scree, supplier of goods or service-9>O Yes O W (st Yeaksobe) Indicate where and when the dent meeting(s) took place: II applicable, indicate which bank off' net the person: (tent Private Client Place of Bank Officer Name(s) Bank CHke: Other Location (specify): Date: Domicile: Business: Paul Morris O O tri 9/13/2013 O • O O O O • Wealth Details for this individual are not filled in, because they are the same as for the Mowing person: 30. Wealth Details (Only for parties requiring soiree of wealth description as indicated in Section 2) Nature of the Indlviduat's Business: Primary Country of source of wealbVsource of Funds? Primary industry of source of WealtIVSource of Funds' Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wee h /Detail the history of wealth for each of the sources (e.g. For trusts, how did settler accumulate wealth? For hberitance, how did brolly accumubte mealth?for business owners, how tang in business, how many employees, level of actitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inceme($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to Invest with PSVM($): Other known Financial Instltutkins: Institutien: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the farrihy situation of the individual (marts' status, cite tarty members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002556 EFTA_00016030 EFTA00166782  KYC Print Page 9 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002557 EFTA_0001603 I EFTA00166783  KYC Print Page 10 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all panes) IndMduats Name Ghistalne Maxwell - Date of Birth: Country of Residence: Country of Citizenship: Has dent resided outside of c/o HBRK Associates he/her country of nationality • yes No Address of prknary resIderxe: 575 Lexington Avenue, 9th Fl New York NY 10022 USA for 5 years or mare? Profession/Occupation: Tax ID / 55N: Current Employer: PoseoryTtle/Ranic Address of employer: Does the person work as senior executive of a DElrecog WC regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange> (Not appicable for operating entitles O Yes g No Is the Ind Mdual a Poltically Exposed Person (PEP)'(it Yes, descnbe) • Yes la No To the best of your knowledge, Is the Individual related to an employee of the DB group(A ti Family O Friendship RI None Fuca Of Mends/bp, desenbe) To the best of your knowledge, Is the Individual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, woofer of goods or services)? O Yes OW (te Yeddescree) Indicate where and Wien the tient meeting(5) took place: II applicable, indkate which bank off' met the person: Client Prrvate (bent Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O • O • O O O O • Wealth Details for this indlelual are not filled in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature el the Ineviduat's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of WealtIVSource of Funds? Summarize Source of Wealth: O Business Ovate OSalary/Eamings O Investment E In O Other: tether Describe Source of Wm h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did setter accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how Wm in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inceme(g): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutkins: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Het Please Indicate the farrity situation of the Mee:lust (mortal status, othe farnty members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002558 EFTA_00016032 EFTA00166784  KYC Print Page 11 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002559 EFTA_00016033 EFTA00166785  KYC Print Page 12 of 24 One sheet must be established for CAOI INDIVIDUAL PARTY In Section 2. Account Ownership Sum 3A. Individual Details (for all parties) Indrelduat Name: Date of Birth: Country of Reddens: Country of Citizenship: Has tient resided outside of c/o HBRK Associates hs/her country of nationality El yes No Address of primary resIderxe: 75 Lexington Avenue, 9th Fl New York NY 10022 USA for 5 years or mare? Profession/Occupation: Tax ID / 55N: Current Employer: Postonfiltlerflanic Address of employer: Does the person work as senior executive of a DNrecog tett regulated entity In the financial ndustry? or an entity listed on a DB-recognised exchange> (Not separable for operating entities O Yes g No Is the Ind Mdual a Poltically Exposed Person (PEP)' (it Yes, descnbe) • Yes 2 No To the best of your knowledge, is the individual related to an employee of the DB groupW • Family O Friendship RI None FIT* Of Mends/bp, desenbe) To the best of your knowledge, is the individual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, client referral worse, weaker of goods or services)? O Ye. O N° (st Yeedesote) Indicate where and ten the dent meeting(s) took place: II applicable, indkate which bank off' met the person: (lent Prrvate Cott Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: Ell O • ID • O O O O • Wealth Octets for this indlvklual are not filled In, because they are the same as for the Mowing person: 3B. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature ci the lndividuars Business: Primary Country of source of wealth/souse of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalsry/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wee h /Detail the history of wealth for each of the sources (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate isalth?For business owners, how bog in business, how many employees, level of prctitablIty? Indicate type of business, countries of major artistes, important business partners.) Estimated Annual Inccom(l): Estimated amount of investable assets($): Estimated Net Worth($): Mount of assets planned to Invest with PSVM($): Other Known Financial Institutions: Intents Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under ley: Please indicate the body situation of the MONS:tat (marts' status, tithe Vanity members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002560 EFTA_00016034 EFTA00166786  KYC Print Page 13 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002561