EFTA00167059.pdf

KYC Print Page 1 of 16 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case p : 01704382 Status : 6. Apprond One sheet must be established per relationship list all accounts included in the relationshi -. . 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP: BoDkog (enter New York Relationship Manager. Stewart OldAeld O New PWM Relationship RI Existing RAM Relationship Relationship to MYR If existing, please indicate since when gene rniatonshio exnb, provide reason for new profile and attach old profile: EZ Client Referral O RN Prospect 0 Intennediary/EIM 0 Other Source (CIB, etc.) How Was the Chengs) Introduced' How long has the please provide details (e.g. ame of referral source, how many years RN personaly has known client, etc.): /envy Epstein RM personally known the client? (President of Gratitude /unerka) is a current client of the bank. He and Darren lodyke reached out to Stew Oktheld on 12/23/2016 to open a checking account for its newest entity, Prytanee LLC Does Deutsche Bank pay a O Yes 19 No retrocession a similar compensation to a third party for the introduction of this Mt Yes, *sate" relationship' List all existing and new accounts involved n this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(%) 1 9 Prytanee, LIG - Depose 1/6/2017 who is he primary contact PerSSII or the RIS' (Pk" : This Referred method of contact Darren Indyke person eeds to have signatory (indicate phone no., fax no., rights and/or Information right e-rildi address, etc.): for the ccounts.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di8ce... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002833 EFTA_00016307 EFTA00167059  KYC Print Page 2 of 16 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: itylanee, /LC • Deposit ACct. Number (1avalablel. Account Manager: stewart °Weld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expeme account)' the purpose of this account is to managing the monthly expenses ol the company 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 C43bcation and account detain): 0 Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What Is the expected size and frequency of regular Slows and outflow for the account (Indicate estimated number and volume per month)': OS inflows/outflows between 100k to 500k on a monthly basis What Is the expetted volume of assets and currency for the account approx. 90 days after opening? I 1000000 I CurtenCY I usd What is the expected volume of assets and currency for the account approx. one year after opening> 11000000 ICurrency load Doesiwin the client have MSS Under Management (AuM) within DB under Eur. 3M> OYes 0 No nesse list alt parties related to the wont. For each patty: • Check d a source of wealth description is remind for the party. • heck the appropriate box t describe the relationship of the party to this account (> 1can be selected). • f none of the check boxes pply, desert* the party's relation to the account In the -Other column. • Amy describe the relationship between the parties in the List column. • Please dril down o the ultirnate/undWifing Beneficial Ovmer(s). .egal Description Sccount>1C ISerrior of ithmare 3ignatory_knledFlnanclal Signifkant .egal atantorjbettksiscundnq Entkycf Source Holder >timeliest : Semen: cal M Ful POA Intennedlarraharelsolder lepresentative Donor of Weakh of r01111(5.,' 'DA h'il,l'r (EDI) (>.25%) Myr (pirase required - 0 ,J14.1Zi01/ Pion-PIE mess ink other Parties MANY des and; or related to Indicate indicate this ownetship iSitionship ccount .%) setween pants) Prytanee, 2 O U 1 0 0 tic D O 0 0 O 0 0 Southern 2 0 O n 0 • 0 0 0 O so O O rustPant 1--1 O „t r. the 3 la 2 ! erre O O • O • O O 50 O O O Trust sole shareholder of Southern Trust Company, 4 O 0 /effrey 0 0 O O O O O Inc.;000 of Epstein ❑ O O O Southern Trust ompany, Inc. Which owns 50% of account holder, s O O Darren • • al Indyke O O O O O O O Grantor/Trustee Carcine of The Pierre Trust;Grantor/U 6 O 0 S°Phe Camille O • O 0 0 O O O O O al The Fleur Trull Vng nhkh owns 50% of the account molder; Etknne Rene E I O 2 0 D O O O 7 O O lean Blunt hops://dbforcepb.my. sal esforce.com/serdet/servl et.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0002834 EFTA_00016308 EFTA00167060  KYC Print Page 3 of 16 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-0002835 EFTA_00016309 EFTA00167061  KYC Print Page 4 of 16 One sheet meet be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Samna 3A. Individual Details (for all pubes) Individual's Name: Jeffrey Epstein - Date of Birth: V20/1953 Country of Residence: USVI Country of Cittenship: USA MS cheat resided outside of Ler Saint James Saint Thomas 00807 his/her country of nationally for O yet Fa NG Address of primary residence: 5 years or may? Profession/Occupation: Sell Ernpolyed Tax ID / SSN: Current Employer: Southern Financial LLD Position/Me/Rank: President Address of employer 6100 Red Hook Quarter 83 St. Thomas United States 00802 Does the person work as senior executive of a DO-recognized regulated entity in the financial industry? or an entity Isted on a OB-recognised exchange' (Not applicable for operating entities Dyes 2 No Is the indwdual a Pokkally Exposed Person (PEP)?(/Yes, Yes, describe) ❑°Yes ON° To the best of your knowledge, is the individual related to an employee of the DB group?(r FarneV Li Family O Friendship Relent or Friends/no, describe) To the best of your knowledge, is the individual party to a non-banking relalloinhip with Deutsche o yes o w Bank (e.g., external legal counsel, client referral source, supplier of goods or wrvices))(rf res,desettbe) If applicable, indicate which bank officers have met the person: Indicate where and when the dent meetIng(s) took place: Client Private (lent Place of Bank Officer fames) Bank Office: Donnie: Other Location (specify): Date: Business: O O O O O O O O O O Wealth Details for this individual are not filled in, because they are the same as for the fon:ming person: 3B. Wealth Detain (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Primary Country of source of weakh/source of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: R Business Owner O Salary/Earnings g Investment O Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth lot ach of the sources: (e.g. For trusts, how did senior accumulate wealth? For mho:Rance, how did family accumulate wealth?For business owners, how long In business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Epstein began his !Mantle career in 1976 as an options trader at Bear Stearns and became a partner n 1980. In [987, Epstein founded his own finance management firm, 1. Epstein & Co., managing the assets of clients with more than a bigkin in net worth. In 1996, Epstein changed the name of his lam to The [ma cal Trust Company and based it on the island of St. Thomas in the US Virgin Islands. AN of his clients were anonymous except for the very weathy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): 550 MM , 100 MM [signaled Net Worth($): 5500 Mal + Amount of assets planned to Invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: InsUtution: Country: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: https://dbforcepb.my.salesforee.cornhervlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002836 EFTA_00016310 EFTA00167062  KYC Print Page 5 of 16 I Please indicate the ramify situation of the Individual (marital status, other family members, etc.): I 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-0002837 EFTA_00016311 EFTA00167063  KYC Print Page 6 of 16 One 'beet meet be establisbeci for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Samna 3A. Individual Details(fct all pubes) Indreiduars Name: Darren IndyIt* - Date of El-th: Country of Residence: USA Country crICIttenstdp: USA Has client resided outside el Address of primary residence: hisflier country of nationally for 0 yes fa No 5 years or man, Profession/Occupation: lawyer Tax ID / SSIF: Current Employer: Southern Financial tLC Position/Me/Rank: Address of employer: 575 Lexington Ave, 0th Fl Livingston NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entry in the Financial ndusny7 or an entity listed on a DiSrecocintsed exchange? (Not applicable for operating entities D ees 2 No Is the indiedual a Politically Exposed Person (PEP)?(/ Yes, describe) 0 Yes OM To the best of your knowledge, is the indoildual related to an employee of the DB 'VOW(/'Pan* or Friends/I* describe) El Family • Friendship (OHM. To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche o yes E640 Bank (e.g., external legal counsel, client referral source, supplier of goods or wrvices)(tf Yes/describe) It applicable, indicate which bank officers have met the person: Indicate where and when the tient meetIngfs) took plate: Bank Officer Plaine(%) Bank Office: Client Private (lent Plied Domicile: Other Location (specify): Date: Business: stewart oldfield El 0 0 12/23/2016 0 0 0 0 • 0 0Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Detail (Only for parties requiting source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary Industry of source of Weakh/Source of Funds' Summarize Source of Wealth: 0 Business Owner 0 SalarylEamings 0 Investment 0 Inheritance/Gifts 0 Other: Further Descriae Source of Wealth /Detail the history of wealth la ach of the sources: (e.g. For trusts, how did settlor accumulate weakh, For inheritance, how did family accumulate meakh7for business owners, how long in business, how many employees, level of profitability') Indicate type of business, countries of motor activities, important business partners.) Estimated Annual Income(S): Estimated amount of investable assetH$): Estimated net Worth(S): Amount of assets planned to Invest with PWM(S): Other Known Financial Institutions: Institution: Country: Esl. Assets Under Mgt: Institution: Country: Eq. Assets Under Mgt: Institution. Country. Eq. Assets Under Mgt: Please indcate he fa nib, situation of the individual (marital status, other family members, etc.). https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002838 EFTA_00016312 EFTA00167064  KYC Print Page 7 of 16 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-0002839 EFTA_00016313 EFTA00167065  KYC Print Page 8 of 16 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summary lk Individual Details (for all parties) Ind/Musts Name: Calcine Sophie Comae Lang . Date of Bath: Country of Residence: France Country of Citizenship: France Has client resided outside of his/her country of nationality for • Yes No Address of primary residence: 5 years or more? PrattIon/Occupation: Contemporary Art Tax ID / SSN: Current Employer: Sotheby% Position/Title/Rant Chairman Address of employer United States Does the person work as senior executive of a DO-recognized regulated entity in the Mandril dusts? or an entity ksted on a Off recognised exchange? (Nor applicable for operating entities • Yet R No Is the indralual a Pokically Exposed Pena (PEP)?(Y Yes, describe) Ei Yes 121 No To the best of your knowledge, is the aidividual related W an employee of the 08 groutP(dParneV O Family O Friendship 2 None or Thenciship, describe) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche O yes o we Bank (e.g., external legal counsel, client referral source, wppier of goods a services), (d Yes,desalbe) If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(%) took place: Client (bent Place of Bank Officer Name Bank Office: Other location (speedy): Date: . Business: O Ei O 0 0 O O II O O1Yealth Oda& for this Individual are not filed in because they are the same as for the following person: 38. Wealth Details (Onty for parties requiring source of wealth description as radiated in Section 2) Nature of the Individual's Business: Attorney Primary Country of source of wealth/source of Fonds? Primary industry of source of Weath/Souree of Funds? Summarize Source of Wealth: Diuskiess Owner 2 Salary/Earnings 2 Investment O Inheritance/Gas O Other Further Describe Source of Wealth /Detail the history of wealth fa each of the sources: (eq. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) The source of wealth for Caroline Lang derives from her employment as Chairman of Sothebys Switzerland. Caroline Lang is internationally recognized for her in-depth knowledge of the art market and her longstanding expertise in Impressionist, Modern and Contemporary art. Appointed Chairman of the Swiss Department of Impressicoist, Modem & Contemporary Art in 2012, this consummate polyglot has advised some of the most important collectors in Switzerland and worldwide. In November 2011, she played a decisive role In the New York sale of AbstractIon.Figurathon, an exceptional private collection of abstract works by Gerhard Richter and Max Emst which realized a world auction record for a work by Richter at the tine. Caroline Lang has also conducted inapt marathon auctions in Switzedand, the UK and Germany, including the historic week-long coin el works of art from Monrepos Castle in Ludrrigsburg In 2000 and the Royal House of Hanover in 2005. Ms Lang also serves as an executive for Warner Brothers Dickler annual income is appra. 950k. Estimated Annual Income($): 450,000.00 Estimated amount of Investable assets(El $1MM - 2 MM Estimated Net Worth($): $1 MM - 2 MM Amount of assets planned to invest with PWM(g): Other Known Financial Institutions: Institution: I Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002840 EFTA_00016314 EFTA00167066  KYC Print Page 9 of 16 Institution: Country: Est. Assets Under Mgt: Please indicate he IansM situation of the indrviclual (marital status, other I and 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-0002841 EFTA_00016315 EFTA00167067  KYC Print Page 10 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summon 3k Individual Details (fm all parties) Individual's Plaine: Etienne Pierre lean Binant • ()ate of Birth: Country of Reskience: France Country of Citizenship: France Has client resided outside of Address of primary residence: his/her country of natIonalty for • Yes 21No 5 years or mo' Profession/Occupation: Finance Tax ID / SSN: Current Emilio/iv: Prytanee LLC Position/tele/Rank: Manager Address of employer 6100 Red Hook Quarter B3 St IlioniasUSVI United States Does the person work as senior xecutrve of a 06-recognized regulated entity in the financial dustry> or an entity ksted on a 06 recognised exchang' (Not applicable for operating entities Dyes @No Is the indwklual a Politically Exposed Person (PEP]?(/ Yes, describe) ages ®No To the best of your knowledge, is the individual related to an employee of the DB 'VOW(/'Pan* ElFamily U FrIendshiP (Orient or Friendslia describe) To the best of your knowledge, is the individual party to a non:banking relationship with Deutsche o yes o w Bank (e.g., external legal counsel, client referral source, supplier of goods our servicesflf Yes/describe) Indicate where and when the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client Private (Bent Plated Bank Officer flame(%) Bank Office: Donate: Other Location (specify): Date: Business: 0 0 0 0 0 0 0 0 0 0Wealth Details for this individual are not flied in, because they are the same as for the frikming person: 3B. Wealth Detail (Only for parties requiting source of swath description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary Industry or source of Weakh/Sourte of Funds" Summarize Source of Wealth: 0 Business Owner 0 SalarylEamings 0 Investment 0 Inheritance/Gifts CI Other: Further Descrize Source of Wealth /Detail the history of wealth No ach of the sources: (eq. For trusts, how did settlor accumulate weakh, For inheritance, how did family accumulate rnealitlitFor business owners, how long in business, how many employees, level of prolltability? Indicate type of business, countries of motor activities, important business partners.) Estimated Annual Imome(S): Estimated amount or investable asseti($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Assets tinder Mgt: Institution: Country: Eq. Assets Under Mgt: Institution. Country. Fid. Assets Under Mgt: Please indicate he lankly situation of the indhodual (marital status, other family members, etc.). https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002842 EFTA_00016316 EFTA00167068  KYC Print Page 11 of 16 One eet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (for all Legal Entities) Legal Entity Name. PryUnee, LLC - Type of Entity: OFoundation/Assocution l..., I rust 5 company O Estate Fbrpose of Entity: WIPrivate Investment O O Partnership Philanthropic/Charitable • Commercial ITC Purpose of Entity Other Type of Entity Other (specify): (SPetifY): COMM of USW Date of incorperatkin / 7/22/2016 Incorporation/registration: registration: Determination Required No Vdcker Status: Volcker Hag: Address (city, street, post 6100 Red Hook Quarter B3 St Thomas 00602 United States U.S. TH(/EIN: code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocablllty,settlor and beneficiartes,etc.: This entity is owned 50/50 by Southern Trust Caimans, Inc owned by Jeffrey Epstein and The Pierre Trust in whk h Caroline Lang is the grantor. Etienne absent is the manager al the company. Jeffrey and Caroline share the same affinity for art and decided to become partners iwestiw in artwork from up and coming artists together. They both Invest equally in the purchases of the artwork. The signatories on this account will be: Jeffrey Epstein Darien Indyke Carolne Lang Etienne Binant Please Indicate how ownership of the legal entity Is reflected: MC Agreement O Special attention: Bearer Shares - Indicate where shares are custodied: Descrte the chain from the direct owner of the entity to the ultimate beneficial owner Of not Me same persons,. This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Rene Trust In which Carolne Lang Is the grantor. Etienne Milani Is the manager of the company. Jeffrey and Carolne share the same affinity lot art and decided to become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork. The signatories on this account will be: Jeffrey Epstein Darren Indite Caroline Lang Etienne Binant To the hest of your knowledge, is the entity party toe non-banking midland* with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)): Yes O No Describe Nature of Entity's Primary easiness and Investment Activities Nature ol the business: investment in artwork of up and coming artists Countries where business is transacted: t6VI;Clobal Number of employees: 3+ 3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated in Section 2) Primary Country of source of iveafth/source of Funds' Primary industry of source of VlealtIVSource of Funds, Provide Evidence of Corporate Assets (e.g. balance Meet a eq ivalent summary of assets/babdibes): I he source of wealth for this entity prima* comes from Jeffrey Epstein and Caroline Lang. Please revert to their individual sources of wealth for more details. Eurnated gross receipts p.a.($): 1,000,00000 Estimated net profit pa. ($): 1,000,000.00 Estimated Investable assets (ST $1 Nil . 2 MM Potential Amount to be invested with WM ($): Other Known Financial Insututions: 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-0002843 EFTA_00016317 EFTA00167069  KYC Print Page 12 of 16 institution: County: Est. Assets Under Mgt: Instilldorm Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2 Account Summary 3C. Legal Entity Details (For all Legal Entities) legal Entity Plaine: Southern Trust Company, Inc. - Type d (MO: I:: foundation/Association 0 Trust RI Company 0 Estate purposed Entity: ®Private Investment O El Partnership Banthrock/Cheritable OCeemnerclal Purpose of Entity Other Type of Entity Other (specify): (sPecify ): Country of US Virgin islands Dated incorporation / 11/18/2011 incorporabooffregistratIon: registration: Detenninatico Required Ito Vokker Status: Vokker Flag: Address (city, street, pmt 6100 Red Hook Quarter 83 St Thomas, USV100807 United States U.S. TINT IN: code): Provide a description of the entity'S organizational structure, its ownership structure and its Top Management. for tnith/lOundations, include informalico about revocabllity,settlor and benefklarles,etc.: Jeffrey Epstein Is the sole shareholder of Southern Trust Flease indicate how ownership of the legal entity is reflected: O Special attendon: Bearer Shares • Indicate where shares are custodied. Describe the chain from the direct °sorer of the entity to the ultimate beneficial owner Minot the same persons). Jeffrey Epstein es the sole shareholder of Southern Trust To the best d your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods a serservices)': yesL..J .— No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consult and invest dent funds and gain revenue based on lees and returns Countries where business Is transacted: US Virgin Islands Number of employees: 4 3D. Wealth Profile (Only Ica parties requiring source of wealth description as indicated in Section 2) Primary Country of source of weakh/source of Funds? Primary Industry of source of Weakh/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet a eq ivalent summary of assetsrliabities): Consulting Services relying on Financial and Ellornedkal algorithms. Southern Trust is a private consulting company that invests the assets of their clients and gets thew revenue from the return of these investments. Southern Trust invests in different pordolbs catered to their clients and makes they revenue based on the returns and he lees associated with managing their clients assets Estimated gross receipts p.a.(1): 2,000,010.00 Estimated net profit p.a. (5): 1500,030.00 Estimated investable assets (5): 52 MM - 5 MM Potential Amount to be Invested with PWM (5): Other Known Financial institutions: Institution: db Country: usa Est. As