EFTA01295009.pdf

KYC Print Page 1 of 29 DB PWM GLOBAL KYC/NCA: PART A I!: KYC Case # : 01133113 Status 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELAllONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Morris F New PWM Relationship (7 Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: r Client Referral 17 RM Prospect F Intermediary/FIM r Other Source (06, etc.) How Was the Oient(s) Introduced? How long has Please provide details (e.g. name of referral source, how many years RM personalty has known client, the RM personally known etc.): Jeffrey Epstein Is a current client of the Bank. Wants to open a new account. Introduction details of Paul the client? and Jeffrey: Jeffrey Epstein was a dent of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at 'Morgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a F Yes F No retrocession or similar compensation to a third party for the introduction ale yes, descfibe) of this relationship? List all existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 r Butterfly Trust — Checking 10/9/2013 2 r Butterfly Trust -- Money Market 10/9/2013 Who is the primary contact person for the RM? (Note: Preferred method of This person needs to have Darren Indyke contact(indicate phone signatory rights and/or no., fax no., e-mail information right for the address, etc.): accounts.): SDNY GM 00053703 https://na4.salesforce.com/seryle nriffiEWr0pAt0D9Di&eid=500600... 1- /26/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016527 EFTA_00164278 EFTA01295009  KYC Print Page 2 of 29 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Butterfly Trust -- Checking Acct Number (ifavailable): Account Manager: 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? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): P. Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 51,000 to $20,000 What is the expected volume of assets and currency for 4,000,000.00 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 5,000,000.00 Currency USD the account approx. 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 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. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legabescription AccountFIC Setter of slItimate Signatory-imitecFnancial Significant Entityof Source Holder OwnerTrust / Beneficial°, Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>=25%) required foundation Non-P1C Other (please entity describe other roles (indicate and/or indicate Parties related to ownership relationship between pis account %) 3arties) 1 F F Jeffrey Epstein r r F F F r r Grantor; 2 F r Butterfly Trust F F F F F F F 3 F F Richard Kahn F F F F F F F Trustee:; 4 F F Darren Indyke r F F r F F F Trustee:; 5 r r r r r F r F F Beneficiary; E r r r r r r r r r Beneficiary; 7 F F F F F F F F F Beneficiary; 8 r r r r r r- r r r Beneficiary; 9 F F Ghislaine Maxwell F F r r r r F Beneficiary; SDNY_GM_00053704 ha Pl ififfEW FVAIE D9Di&eid=500600... 1/26/2014 CONFIDENTIAL- s://na4.salesforce.com/serylet PURSUANT TO FED. R. Ab) 1 '' DS-SONY-0016528 EFTA_00164279 EFTA01295010  KYC Print Page 3 of 29 kir Ir IF IF IF IF Ir V V I Ivry; SDNY_GM_00053705 Imps://na4.salesforce.conn/servle AtrEjrtrpACED9Di&eid=500600... 1/26/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0016529 EFTA_OOI 64280 EFTA01295011  KYC Print Page 4 of 29 2. Account Ownership Summary Account Name: Butterfly Trust -- Money Market Acct. Number (ifavailable). Account Manager: 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? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 500,000.00 Currency USD the account approx. 90 days after opening' What Is the expected volume of assets and currency for 1,000,000.00 Currency USD the account approx. 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 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 tither column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/under ying Beneficial Owner(s). Legal Description AccountPIC Settior of _Itimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full 00A IntermediaryShareholder of Weakh Founder of Owner POA (FIM) 0.-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate Parties related to ownership relationship between this account %) cartes) 1 F F Jeffrey Epstein F F F F F F F Grantor; 2 F F Butterfly Trust F F F F F F 3 F F Richard Kahn F F F F F F F Trustee:; 4 F F Darren Indyke F F F F F F F Trustee:; s F F F F F F F r F Beneficiary; 6 F F F F F F F F F Beneficiary; 7 F F F F F F F F F Beneficiary; 8 F F F F F F F F F Beneficiary; 9 F F Gtislaine Maxwell F F F F F F F Beneficiary; 10 F F F F F F F F F Beneficiary; SDNY_GM_00053706 liciEwropAto,Di&eid=500600 . DB-SDNY-00 hups://na4.salesforce.com/serylet CONFIDENTIAL — PURSUANT TO FED. R. Att 1/26/2014 16530 EFTA_00164281 EFTA01295012  KYC Print Page 5 of 29 SDNY_GM_00053707 0D9Di&eid=500600 . 1/26/2014 hops://na4.salesforce.com/servle CONFIDENTIAL — PURSUANT TO FED. R. t leEtflkt DB-SONY-0016531 EFTA_OOI 64282 EFTA01295013  KYC Print Page 6 of 29 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 Citizenship: USA Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands residence: Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Financial LLC Position/ride/Rank: President Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Family a- Fnendship, descnbe) 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 r Yes F No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date: Paul Morris r r F 9/13/2013 F r r r r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of vealth 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, ). 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 is days at Bear Stearns and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets(S): S50 MM - 100 MM (S): Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): 5,000,000.00 Other Known Financial Institutions: SONY_GM_00053708 Im PfirifEWRACL0D9Di&eid=500600... 1/26/2014 CONFIDENTIAL s://na4.salesforce.com/serylet - PURSUANT TO FED. R. It 1 `-' DB-SDNY-0016532 EFTA_00164283 EFTA01295014  KYC Print Page 7 of 29 Institution: ]PM Country: USA Est. Assets Under Mgt: 120,000,000.00 Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053709 htt s://na4.salesforce.com/servet PliFIEWroptktoD9Di&eid=500600... 1/26/2014 CONFIDENTIAL -PURSUANT TO FED.(R. At b) I l ' -' DB-SONY-0016533 EFTA_00I 64284 EFTA01295015  KYC Print Page 8 of 29 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 Citizenship: USA Address of primary residence: Profession/Occupation: Attorney Tax ID / SSN: Current Employer: Southern Financial LLC Positionifide/Rank: Address of employer: 6100 Red Kook Quarter B3 Livingston USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, describe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Family a- Fneniship, descnbe) 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 r Yes F No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: of Business: Paul Moms r r F 9/13/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: F Cther: Further Describe Source of Wealth /Detail the history of vealth 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($): Other Known Financial Institutions: Institution: I Country: I Est. Assets Under Mgt: SDNY_GM_00053710 hus://na4 PrifEteepAt0D9Di&eid=500600... 1/26/2014 CONFIDENpTIAL - PURSUANT .salesforce.com/servle TO FED. R. Atb) i1i `-' DB-SDNY-0016534 EFTA_00164285 EFTA01295016  KYC Print Page 9 of 29 ' 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.): SDNY GM/ 00053711 hups://na4.salesforce.com/servle ritifiEWRACE D9Di&eid=500600... D-1 /262014 CONFIDENTIAL - PURSUANT TO FED. R. B-SONY-0016535 EFTA 00164286 EFTA01295017  K YC Print Page I 0 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Richard Kahn - 00000486407 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: Southern Financial, LLC Position/Tide/Rank: Address of employer: 6100 Red Kook, Quarter B3 St Thomas US Virgin Islands 00802 Is the individual a Politically Exposed Person (PEP)?(if yes clescnbe) F Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Family a- Freniship, desathe) 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 r Yes 17 No goods or services)?(if Yes,desalbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date: Paul Moms r r F 9/13/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts Summarize Source of Wealth: 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): (S): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY GM 00053712 hups://na4.salesforce.com/servle CONFIDENTIAL - PURSUANT TO FED. R. BEtepActompi&eid=500600... DB-SONY-00 I-/2672014 16536 EFTA_00164287 EFTA01295018  KYC Print Page I I of 29 ' 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.): SDNY_GM_00053713 htt s://na4.salesforce.com/servle pliffiEmptAtoD,Di&eid=500600... 1/26/2014 CONFIDENTIAL -PURSUANT TO FED. R. Ate) DB-SDNY-0016537 EFTA_00164288 EFTA01295019  KYC Print Page 12 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Ghislaine Maxwell - Date of Birth: Country of Residence: Country of Citizenship: c/o KIRK Associates Address of primary residence: 575 Lexington Avenue, 4th R New York NY 10022 USA Profession/Occupation: Tax ID / SSN: Current Employer: Positionifide/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(,f Family or Fnendstvp, descnbe) 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 rYes ' Ito No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date: r r r r r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts Summarize Source of Wealth: F Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, 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.) Estimated Annual Income Estimated amount of investable assets(S): (5): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: I 1Country: I I Est. Assets Under Mgt: SDNY GM00053714 https://na4.salesforce.com/seMet ritriEtepAt0D9Di&eid=500600... 1- /2672014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016538 EFTA 00164289 EFTA01295020  KYC Print Page 13 of 29 ' 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.): SDNY_GM_00053715 https://na4.salesforce.com/serylet CONFIDENTIAL — PURSUANT TO FED. R. iirjEwripActoD,Di&eid=500600 . DB-SDNY-00 1/26/2014 16539 Att EFTA_00164290 EFTA01295021  KYC Print Page 14 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: c/o HEIRK Associates Address of primary 575 Lexington Avenue, 4th R New York NY 10022 USA residence: Profession/Occupation: Tax ID / SSN: Current Employer: Position/Tide/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if Yes, desaibe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Family a- Fnendship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r.. with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' Yes r No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Oient Private Client Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: of Business: r r r r r r F F F F Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, 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): ($): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I 1Country: I I Est. Assets Under Mgt: lutp a4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. PI PIDENTIAt 0D9Di&eid=500600... 1/26/2014 SDNY_GM_00053716 DB-SDNY-0016540 EFTA 00164291 EFTA01295022  KYC Print Page 15 of 29 ' 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.): SDNY_GM_00053717 htt s://na4 0D9Di&eid=500600... 1/26/2014 CONFIDENpTIAL - PURSUANT .salesforce.com/servle TO FED. R. Fi t) Fl iBEIVIAt DB-SONY-0016541 EFTA_00164292 EFTA01295023  KYC Print Page 16 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: c/o KIRK Associates Addr ss of primary 575 Lexington Avenue, 4th R New York NY 10022 USA resideenc : Profession/Occupation: Tax ID / SSN: Current Employer: Positionifide/Ftank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r Yes F No To the best of your knowledge, is the individual related to an employee of the DB r Family F Friendship F None group?(,f Family a- Fnendship, descnbe) To the best of your knowledge, is the individual party to a non-banking relationship r- yes '— with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of 1 iv No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date: r r r r r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts Summarize Source of Wealth: r - Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For ?rugs, 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.) Estimated Annual Income Estimated amount of investable assets(S): (5): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: