EFTA01297577.pdf

KYC Print Page I of 17 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01704382 Status : 6. Approved One sheet must be established relationshi - list all accounts included in the relationshi 1. Relationship Details I SOUTHERN FINANCIAL Relationship Name: Booking Center: New York RELATIONSHIP:000004832SO Relationship Manager: Stewart OldfieId E l New PWM Relationship R Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Li Client Referral O RM Prospect O Intermediary/FIM Li Other Source (Cm, etc.) How Was the Client(s) Introduced? How long Please provide details e.g. name of referra source, how many years RM personally has known client, has the RM personally etc.): Jeffrey Epsten President of Gratitude America) is a current client of the bank. He and Darren known the client? Indyke reached out to Stew Oldfield on 12/23/2016 to open a checking account for Its newest entity, Prytanee LLC Does Deutsche Bank pay Ell Yes I W No a retrocession or similar compensation to a third party for the introduction (If yes, desenbo of this relationship? List all existing and new accounts involved in this relationship 1 Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 R Prytanee, LLC - Deposit 1/6/2017 Who is the primary contact person for the Preferred method of RM? (Note: This person Darren Indyke contact(indicate phone needs to have signatory no., fax no., e-mail rights and/or information address, etc.): right for the accounts.): SDNY_GM_00060918 https://dbforcepb.my.salesforce o rtietriS epclifirtfAtl N30000000D9Di... 5/23/2018 CONFIDENTIAL — PURSUANT TO FED. 0B-SDNY-0023743 EFTA_0017I430 EFTA01297577  KYC Print Page 2 of 17 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Prytanee, LLC - Deposit Acct. Number (ifavailable): Account Manager: stewart oldfleld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? the purpose of this account is to managing the monthly expenses of the company Indicate from where the assets are expected to arrive? SA DB Group: Same Booking Center (indicate account number): 35269691 [1 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): 0 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)?: 0-5 inflows/outflows between 100k to 500k on a monthly basis What is the expected volume of assets and currency for the account approx. SO 1000000 I Currency I usd days after opening? What is the expected volume of assets and currency for the account approx. 1000000 I Currency I usd one year after opening? 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 patty 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). ..egal Description AccountPIC Settlor of Jltimate Signatory _imitedr-inancial Significant Iintitytif Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Wealth Founder of Owner DOA (FIM) (>=25%) Other (please required Foundation Non-PIC describe other entity roles and/or Parties (indicate ndicate related to ownership relationship this account %) between patties) LL PrC ytanee, r [--, 1 EA & Ri. 0 0 0 0 Southern Trust 2 R. M Company, E El ----' El ❑ 0 0 0 50 Inc. Nee Pierre L i i. i- 3 2 L!. IS 0 0 0 so st sole shareholder of Southern Trust Company, Jeffrey ❑ ❑ nc.;UBO of 4 0 R 0 0 0 2 2 0 0 Epstein Southern Trust Company, Inc. which owns 50% of account holder; Ddykarren 0 0 0 5 0 0 In e • 2 0 Grantor/Trustee of The Pierre Caroline TruSt;Grantor/UBO Sophie 6 Camille 0 0 0 2 2 0 O of The Pierre Trust D & which owns 50% Lang of the account holder; https://dbforcepb.my.salesforce CONFIDENTIAL — PURSUANT TO FED. tioatifi r rAt N30000000D9Di SDNY_GM_00060919 5/23/2018 DB-SDNY-0023744 EFTA_00171431 EFTA01297578  KYC Print Page 3 of 17 P7erdemTean Binant PP lo IR ID I I I SONY_GM_00060920 https://dbforcepb.my.salesforce o loopEept irmt N30000000D9Di... 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0023745 EFTA_00171432 EFTA01297579  KYC Print Page 4 of 17 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Obzenship: USA Address of primary utte Saint James Saint Thomas 00802 residence: Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LIG Position/Tide/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas United States 00802 Is the individual a Politically Exposed Person (PEP)?(// Yes desente) Oyes R No To the best of your knowledge, is the individual related to an employee of the O Family O Friendship R None DB group?(ifFamily or Fnendship, 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 O Yes R NO source, supplier of goods or services)?(if Ye4desenbe) If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client diem Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: c---, n ii "J O O O L.J r--, Li 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: Private investments Summarize Source of Wealth: Eli Business Owner 1.1Salary/Eamings II Investment O Inheritance/Gifts L_) Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior 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 Steams 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 10,000,000.00 Estimated amount of investable assets(g): S50 MM - 100 MM (S): Estimated Net Worth($): 5500 MM + Amount of assets planned to invest with PWM($): Other Known Financial Institutions: SDNY_GM_00060921 EttwAti https://dbforcepb.my.salesforce CONFIDENTIAL — PURSUANT TO FED. W) N30000000D9Di 5/23/2018 OB-SDNY-0023746 EFTA_00171433 EFTA01297580  KYC Print Page 5 of 17 Institution: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GPil_00060922 Imps://dbforceph my.salesforcerhatatp CONFIDENTIAL - PURSUANT TO FED. RklI -C CA!Pr!e(e, taDENTIN_oi N30000000D9Di 5/23/2018 DB-SDNY-0023747 EFTA2)0171434 EFTA01297581  KYC Print Page 6 of 17 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren Indyke • 00000486405 Date of Birth: Country of Residence: USA Country of Obzenship: USA Address of primary residence: Profession/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tide/Rank: Address of employer: 575 Lexington Ave, 4th A Livingston NY United States 10022 Is the individual a Poltically Exposed Person (PEP)?(if Yes. describe) O yes R No To the best of your knowledge, is the individual related to an employee Of the O Family O Friendship RI None DB group?(ifFamily or Fnendship, descnbe) To the best of your knowledge, is the individual party to a non•banldng relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes R NO source, supplier of goods or services)?(i/ Yes elescnbe) If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: stewart oldfield ilj O n 12/23/2016 -I O _1 ED O _I i .... r .; 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: Summarize Source of Wealth: Li Business Owner O Salary/Eamings O Investment 1.1Inheritance/Gifts L...r 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 amount of investable assets(s): (5): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00060923 https://dbforcepb.my. esforce o rrittrnEeptirrAt N30000000D9Di... 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0023748 EFTA_00171435 EFTA01297582  KYC Print Page 7 of 17 I 1Est. Assets Under Mgt: Institution: I )Country: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00060924 https://dbforcepb.my.salesforce WIEepilfirfAt N30000000D9Di... 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. =Pei 1-•° DB-SDNY-0023749 EFTA_00171436 EFTA01297583  KYC Print Page 8 of 17 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Caroline Sophie Camille Lang • Date of Birth: Country of Residence: France Country of Citizenship: France Address of primary residence: Profession/Occupation: Contemporary Art Tax ID / SSN: Current Employer: Sothebys Position/Tide/Rank: Chairman Address of employer: United States Is the individual a Politically Exposed Person (PEP)?(if Ye$ describe) 1: Yes R No To the hest of your knowledge, is the individual related to an employee of the 0 Family 0 Friendship R None DB group?(ifFamily or Fnendskp, desaibe) 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 0 Yes R No source, supplier of goods or services)?(i/ Ye4c/escribe) If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client mace Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: 7 n ri "3 0 _I 0 LI ....1 'Wealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Attorney Summarize Source of Wealth: El Business Owner M Salary/Earnings 66Investment 0 Inheritance/Gifts Li Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior 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 Sotheby's Switzerland. Caroline Lang is internationally recognized for her In-depth knowledge of the art market and her longstanding expertise in Impressionist, Modem and Contemporary art. Appointed Chairman of the Swiss Department of Impressionist, Modern & 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-Figuration, an exceptional private collection of abstract works by Gerhard Richter and Max Ernst which realized a world auction record for a work by Richter at the time. Caroline Lang has also conducted major marathon auctions in Switzerland, the UK and Germany, including the historic week-long sales of works of art from Monrepos Castle in Ludwigsburg in 2000 and the Royal House of Hanover in 2005. Ms Lang also serves as an executive for Warner Brothers Inc,.Her annual income is approx. 450k. Estimated Annual Inco 950,000.00 Estimated amount of investable assets(s): $1 MM - 2 MM (5): Estimated Net Worth($): $1 MM - 2 MM Amount of assets planned to invest with PWM(5): SDNY_GM_00060925 https://dbforeepb.my.salesforce eptirrAti N30000000D9Di 5/23/2018 CONFIDENTIAL — PURSUANT TO FED. DB-SONY-0023750 EFTA_00171437 EFTA01297584  KYC Print Page 9 of 17 I I I Other Known Financial Institubons: Institution: Country: Bt. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SONY_GM_00060926 littps://dbforcepb.my.salesforcear 1N30000000D9Di... 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. . TIDENtiffAt DB-SDNY-0023751 EFI'A_00171438 EFTA01297585  KYC Print Page 10 of 17 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Etienne Pierre Jean Binant • Date of Birth: Country of Residence: France Country of abzenship: France Address of primary residence: Profession/Occupation: Finance Tax ID / SSN: Current Employer: Prytanee LLC Position/Tide/Rank: Manager Address of employer: 6100 Red Hook Quarter B3 St ThomasUSVI United States Is the individual a Politically Exposed Person (PEP)?(if Yes. describe) Thies Ii NO TO the best of your knowledge, is the individual related to an employee Of the 0 Family 0 Friendship R None DB group?(ifFamily or Fnendship, desctibe ) 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 0 Yes R NO source, supplier of goods or services)?(if Ye4descnbe) If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: Donde: of Business: -1 n ri _.) 0 _3 _1 0 Li .. i 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: Summarize Source of Wealth: Li Business Owner 0 Salary/Eamings U Investment LIInheritance/Gifts E 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 amount of investable assets(s): (S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00060927 https://dbforcepb.my.salesforce CONFIDENTIAL — PURSUANT TO FED. MD ECNITITAtl N30000000D9Di 5/23/2018 0B-SDNY-0023752 EFTA_00171439 EFTA01297586  KYC Print Page 11 of 17 Country: jr sbtution: I I Est. Assets Under Mgt: I Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Prytanee, LLC - 00000550868 :.--, Private Investment n L.1Foundabon/Assoctation - Trust J Company Type of Entity: ,...., Purpose of Entity: Philanthropic/Charitable 111 0 Estate LJ Partnership Commercial Type of Entity Other LLC Purpose of Entity (specify): Other (specify): Date of Country of USVI 7/22/2016 Incorporation / incorporation/registration: registration: Determinabon Required No %tacker Status: Volcker Flag: 6100 Red Hook Quarter 83 St Thomas 00802 Address (city, street, post U.S. 11N/EIN: United States code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settJor and beneficiaries,etc.: This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinrty for 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 Indyke Caroline Lang Etienne Binant Please indicate how ownership of the legal entity is reflected: LLC Agreement fEll Special attention: Bearer Shares - Indicate where shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (ifnot the same persons). This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for 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 Indyke Caroline Lang Etienne Binant 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 yes Lill No 1;11 source, supplier of goods or services)?: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: investment in artwork of up and coming artists Countries where business is transacted: USVI;Global Number of employees: 3+ 3D. Wealth Profile (Only for parties equinng source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/habilkies): SDNY_GM_00060928 https://dbforcepb.my.salesforce N30000000D9Di 5/23/2018 CONFIDENTIAL — PURSUANT TO FED. 0B-SDNY-0023753 EFTA_0O17144O EFTA01297587  KYC Print Page 12 of 17 The source of wealth for this entity primarily comes from Jeffrey Epstein and Caroline Lang. Please revert to their individual sources of wealth for more details. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. (s): 1,000,000.00 Estimated investable assets ($): 51 MM - 2 MM Potential Amount to be invested with PWM (5): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Accoun Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00000483883 0 Foundation/Association E Trust Se Company EilPrivate Investment U Type of Entity: Purpose of Entity: Philanthropic/Chartable U 0 Estate [l] Partnership Commercial Type of Entity Other Purpose of Entity (specify): Other (specify): Date of Country of US Virgin Islands 11/18/2011 incorporation/registration: incorporation / registration: Woke, Status: Determination Required Volcker Flag: No ..„. 6100 Red Hook Quarter B3 St Thomas, USVI 00802 Address (city, street, In" U.S. TIN/EIN: 66-0779861 United States code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revorabihty,settior and beneficlaries,etc.: Jeffrey Epstein is the sole shareholder of Southern Trust Please indicate how ownership of the legal entity is reflected: El Special attention: Bearer Shares - Indicate where shares are custothed: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifnot the same persons). Jeffrey Epstein is the sole shareholder of Southern Trust 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 yes 0 NO CZ source, supplier of goods or services)?: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consult and invest client funds and gain revenue based on fees and returns Countries where business is transacted: US Virgin Islands Number of employees: 4 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): SDNY_GM_00060929 https://dbforcepb.my.salesforce EtkilfirliAt N30000000D9Di 5/23/2018 CONFIDENTIAL — PURSUANT TO FED. 0B-SDNY-00237S4 EFTA_0017 1441 EFTA01297588  KYC Print Page 13 of 17 Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit pa. ($): 1,500,000.00 Estimated investable assets (g): $2 MM - 5 MM Potential Amount to be invested with PWM (g): Other Known Financial Institutions: Institution: db Country: usa Est. Assets Under Mgt: Institution: 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 Ent ies) Legal Entity Name: The Pierre Trust - 0 Foundation/Association ZC Trust 0 Company PI Private Investment D Type of Entity: PuiP°se of Entity: Philanthroplc/Charitable 0 0 Estate ❑Partnership Commercial Type of Entity Other Purpose of Entity (specify): Other (specify): Date of Country of USVI 11/21/2016 incorporation / incorporation/registration: registration: Determination Required No Volcker Status: Volcker Flag: Address (city, street, post 3 rue du View Colombier, Paris 75006 France U.S. TIN/EIN: code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabikty,settior and beneficiaries,etc.: Grantor/trustee/beneficiary: Caroline Lang residing at 3 Rue Du Vieux Colombier 75006 Paris 06 France. Caroline Lang is beneficiary during her lifetime. Upon her death, her childr