EFTA01417404.pdf

7/15/2019 KYC Print DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01133113 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Paul Morris New PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Client Referral How Was the Client(s) Introduced? How long has the RM personally known the client? Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? RM Prospect Intermediary/FIM Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and 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 Yes (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 2 Account Name / Number Butterfly Trust -- Checking Butterfly Trust -- Money Market Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): EFTA01417404 Opening Date (intended/actual) 10/9/2013 10/9/2013 Darren Indyke Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): No Existing PWM Relationship Booking Center: New York Status : 6. Approved 212 971 1314 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T1m 1/25 EFTA01417405 7/15/2019 KYC Print One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Account Manager: Butterfly Trust -- Checking Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a checking account to hold funds for the trust. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution (Indicate name & location): JPMorgan. New York, NY 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)?: Roughly 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 opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 4,000,000.00 5,000,000.00 Yes No Please list all parties related to the account. For each party: Check if a source of wealth description is required for the party. Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). If none of the check boxes apply, describe the party's relation to the account in the "Other" column. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 EFTA01417406 3 4 5 6 7 8 9 10 Jeffrey Epstein Butterfly Trust Richard Kahn Darren Indyke Ghislaine Maxwell Trustee:; Trustee:; Beneficiary; Beneficiary; Beneficiary; Beneficiary; Beneficiary; Beneficiary; Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited EFTA01417407 POA Financial Intermediary (FIM) Currency Currency USD USD Acct. Number (if available): Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/Settlor Founding Donor Other (please describe other roles and/or indicate relationship between parties) Grantor; https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T1... 2/25 EFTA01417408 7/15/2019 KYC Print 2. Account Ownership Summary Account Name: Account Manager: Butterfly Trust -- Money Market Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account. To hold cash for the trust to earn interest Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution (Indicate name & location): JPMorgan. New York, NY 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)?: Roughly 1-2 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 500,000.00 1,000,000.00 Yes No Please list all parties related to the account. For each party: Check if a source of wealth description is required for the party. Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). If none of the check boxes apply, describe the party's relation to the account in the "Other" column. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 3 EFTA01417409 4 5 6 7 8 9 10 Jeffrey Epstein Butterfly Trust Richard Kahn Darren Ind ke Ghislaine Maxwell Trustee:; Trustee:; Beneficiary; Beneficiary; Beneficiary; Beneficiary; Beneficiary; Beneficiary; Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA EFTA01417410 Financial Intermediary (FIM) Currency Currency USD USD Acct. Number (if available): Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/Settlor Founding Donor Other (please describe other roles and/or indicate relationship between parties) Grantor; https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T1... 3/25 EFTA01417411 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Jeffrey Epstein - 00000483289 USVI Litte Saint James Saint Thomas 00802 US Virgin Islands Self Empolyed Southern Financial LLC 6100 Red Hook Quarter B3 St. Thomas USVI 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: 1/20/1953 USA Yes No President Yes No If applicable, indicate which bank officers have met the person: EFTA01417412 Bank Officer Name(s) Paul Morris Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: 9/13/2013 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring 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 Wealth/Source of Funds? Summarize Source of Wealth: Private investments Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 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 financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982 Epstein founded his own financial management firm, 3. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management firms Estimated Annual Income($): Estimated Net Worth($): 10,000,000.00 $100 MM - 500 MM Other Known Financial Institutions: Institution: 3PM Institution: Deutsche Bank EFTA01417413 Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM - 100 MM 5,000,000.00 Country: Country: USA USA Est. Assets Under Mgt: Est. Assets Under Mgt: 120,000,000.00 70,000,000.00 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T1m 4/25 EFTA01417414 7/15/2019 KYC Print Institution: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T1m 5/25 EFTA01417415 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Darren Indyke - 00000486405 USA Attorney Southern Financial LLC 6100 Red Hook Quarter B3 Livingston USVI 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01417416 Paul Morris Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: 9/13/2013 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring 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 Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 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.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T1m 6/25 EFTA01417417 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T1m 7/25 EFTA01417418 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Richard Kahn - 00000486407 USA Accountant Southern Financial, LLC 6100 Red Hook, Quarter B3 St Thomas US Virgin Islands 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01417419 Paul Morris Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: 9/13/2013 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring 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 Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 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.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T1m 8/25 EFTA01417420 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T1m 9/25 EFTA01417421 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: c/o HBRK Associates Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Ghislaine Maxwell - Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Yes No Yes No Yes Family No Friendship None Yes No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: EFTA01417422 Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring 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 Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 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.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T... 10/25 EFTA01417423 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 11/25 EFTA01417424 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: c/o HBRK Associates Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Yes No Yes No Yes Family No Friendship None Yes No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: EFTA01417425 Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring 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 Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 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.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 12/25 EFTA01417426 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 13/25 EFTA01417427 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: c/o HBRK Associates Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Yes No Yes No Yes Family No Friendship None Yes No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: EFTA01417428 Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring 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 Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 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.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 14/25 EFTA01417429 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 15/25 EFTA01417430 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: c/o HBRK Associates Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Yes No Yes No Yes Family No Friendship None Yes No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: EFTA01417431 Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring 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 Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 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.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 16/25 EFTA01417432 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 17/25 EFTA01417433 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: c/o HBRK Associates Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Yes No Yes No Yes Family No Friendship None Yes No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: EFTA01417434 Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring 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 Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 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.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 18/25 EFTA01417435 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 19/25 EFTA01417436 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: c/o HBRK Associates Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Yes No Yes No Yes Family No Friendship None Yes No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: EFTA01417437 Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring 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 Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 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.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 20/25 EFTA01417438 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 21/25 EFTA01417439 7/15/2019 KYC Print One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): 6100 Red Hook Quarter B3 St, Thomas 00802 USVI USA Butterfly Trust - 00000486426 Foundation/Association Partnership Trust Company Estate Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: Volcker Flag: U.S. TIN/EIN: 26-6639711 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Grantor: Jeffrey Epstein Trustees: Darren K. Indyke, Richard Kahn Please indicate how ownership of the legal entity is reflected: Grantor: Jeffrey Epstein Trustees: Darren K. Indyke, Richard Kahn Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): Grantor: Jeffrey Epstein Trustees: Darren K. Indyke, Richard Kahn To the best of 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 or services)?: Yes Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: EFTA01417440 USA, USVI N/A 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Trust account with Jeffrey Epstein as Grantor. Initial $100 given to the account to fund. The funds for this trust account come from investments made by Jeffrey Epstein. His wealth profile is filled out. The trust is for the benefit of the 6 named individuals Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: JPMorgan Institution: Institution: No 12/27/2006 Private Investment Philanthropic/Charitable Commercial Trust account $5 MM - 10 MM 4,500,000.00 Country: Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: 4,500,000.00 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T... 22/25 EFTA01417441 7/15/2019 KYC Print DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name Risk Rating Comments: Booking Center EPSTEIN, JEFFREY RELATIONSHIP NY NY/Offshore Offshore Moderate Risk High Risk Andrew Kisz (Compliance Signature) DB Employee DB Managed PIC DB is Trustee/Co-Trustee 4. Attachments A. Type of Photo ID Provided Drivers License B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached C. Please indicate the results of the database searches performed RDC searches complete PCR checks complete OFAC checks complete BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) Denial Orders checks complete Martindale-Hubbell searched (Lawyers/Law Firms only) Passport Yes National/State ID No Other Bearer Shares Yes Yes Yes Yes Yes Yes No No No No No No negative results found Yes negative results found negative results found negative results found EFTA01417442 negative results found negative results found Yes Yes Yes Yes Yes No No No No No No Please summarize any negative results from the database searches indicated above: BUTTERFLY TRUST: Negative Media: All negative media pertains to a company called the Butterfly Trust in Europe. This is not our client. Our client is an actual trust created by a Grantor and not a company. The other negative media does not pertain to "Butterfly Trust". It is only cited because the words "butterfly" and "trust" are next to each other Court Cases: 1. This is study material for a law class. The Butterfly Trust mentioned in this is not our client JEFFREY EPSTEIN: Previously approved KYC #:01082293 & 01121718 DARREN INDYKE: No Negative Media No Court Cases KYC Approved: #1133377 D RICHARD KAHN: See attached clearance from AML Approved KYC: #01082293 and 1133377 GHISLAINE MAXWELL: No PCR or RDC alerts No PCR or RDC alerts • No PCR or RDC alerts Attached AML Clearance Attached AML Clearance • No PCR or RDC Alert E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F To the best of your knowledge, has the customer ever been involved in any EFTA01417443 past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Yes Yes No No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4Tm 23/25 EFTA01417444 7/15/2019 KYC Print Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. (LatAm/Int'l) or the Regulatory Control Group and notify Compliance immediately) G Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H Does the client or related party have any financial or other association/ interactions within high risk countries? I. Corporate Documentation Attached (Legal Entities Only) 3. Undisclosed Principal Form Complete (Intermediaries Only) Yes No Yes Yes Yes No No No Not Applicable Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? Is the account structure unusually complex? Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? Is there any indication this could be a prohibited business relationship? Are the bearer shares identified subject to acceptable controls? Yes Yes Yes Yes Yes No No No No No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T... 24/25 EFTA01417445 7/15/2019 KYC Print M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Office Director/Business Head: Regional Office Director: AML Business Risk: (Signature) Paul Morris Brian M. Biggar (Signature) Paul Morris (Signature) Brian M. Biggar (Signature) 10/2/2013 10/3/2013 AML Compliance: Jacqueline Lightbody Andrew Kisz (Signature) Jacqueline Lightbody Andrew Kisz LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Account Manager: Global Market Team Head (GMTH)/SubMarket Team Head (SMTH): AML Business Risk: (Signature) (Signature) (Signature) (Signature) 1/23/2014 1/23/2014 AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionalsl(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and EFTA01417446 belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5006000000TlEyC&ic=lainkToken=VmpFPSxNakF4T... 25/25 EFTA01417447