EFTA00166775.pdf

KYC Print Page 1 of 24 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01133113 One sheet must be established per relationship - list all accounts included In the relatlonshl 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Pad Mortis O New PWM Relationship El Existing PWM Relationship Relationship to PWM: If 'AWN, please ndicate since when the relationship exists, provide reason fix new profile and attach old profile: O Client Referral 12 RM Prospect O Intermediary/PIM • Other Source (CIO, etc.) How Was the Client(s) Introduced> Now long has the RM personally known the client≥ Please provide details (e.g. acne of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein is a current client of the Bank. i ants to open a new account. Introduction details of Paul and tether Jeffrey Epstein was a tient of Paul's at JP Morgan. Paul a d Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bar* pay a retrocession or sinter O Yes I 0 No compensation to a third party for the introduction of this relationship, al Yes, describe). List all existing and new accounts involved n this relationship Legal Entity Account(s) Account Name / Number Openkig Date (intended/actual) I 0 Butterfly Trust — Checking 10/9(2013 2 0 Butted?), Trust — Money Market 10/9O013 Who is he primary contact person or the Ithil (Note: This person needs to have signatory rights and/or infomation right for the accounts.): Darren Indyke Preferred method of contact (indicate phone no., tax no., crowd address, etc.): Status : 6. ANIONS https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002549 EFTA_00016023 EFTA00166775 KYC Print Page 2 of 24 One sheet mud be established for each account to be opened 2. Account Ownership Summary Account flame: Butterfly Trust -- Checking Am. Number (if avatlable) Account Manager: Paul MOMS What is the purpose of the account (e.g. portfolio management, advisory account, custody servkes, longterm Investment. payment/ecpense account)? 11* Is a checking account to hold funds for the trust. Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center indicate DB location and account details): 0 Other Institution (Indkate name & location): 'Horgan. New York, NY O Physical Deposits (specify cash, securities, cheques. ...) What Is the expected size and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)': RougNy 5-10 Inflows and outflows per month ranging from $1,000 to $20,000 What Is the expected volume of assets and currency for the account approx. 90 days after opening? 4,000000.00 I Currency I W What is the expected volume of assets and currency for the account edam. one year after opening> 5,030,000.00 I Curia" I USG Does,Will the client have Assets Under Management (AuM) within DB under Fur. TM> ❑O1* a No Please list all parties related to the account For each party: • Check if e source of wealth description is required for the party. • Check the appropriate box to describe the relationsNp of the party to this account (> 1 can be selected). • ff none of the check boxes a ply, describe the pears r lotion to the account in the 'COW Strut • Always describe the relationship between th parties in the last column. • Pkase drill down to the ultimate/underlying Beneficial Cwne(s). ..egal EntitrafSosave btuription 1 Weatth required Parties 'elated to his account AccountOIC Holder Ownerintst Settler of / Pounder of Foundation -Minnie Beneficalar owner Signatory Full ?OA tOA nclal ntermediaryShareholdertepresentauve (F1M) Significant (>=25%) Non-P1C entity (indicate ownership Vo) ,.ego GrantorfSettlor`oundinOlher bnor phase describe >cher roles and/or nthcate relationship between *Nes) i O B Jeffrey /m oo EPstein O O O O ri o ri Grantor; 2 El Ei Butterfly Trust 0 O O O O O O • O O 3 O • Richard :I DE] Kahn O 5 O • • O O Trustee:: 1 O D DelTell Bel YS O O O O 21 O • O O O Trustee:: 9 O O O O • O • O • • O 11 Beneficiary; 6 O • • • O O O O O O O Li Beneficiary; 7 O O O O O O O O O O O O &misty; 8 O O O O O O O O O • O O Beneficiary; 9 O O GhIslalne O N o O O O • O O O Benefklary; 10 • O • • O O O O O • • 0 Beneficiary; Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid - 0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002550 EFTA_000 16024 EFTA00166776 KYC Print Page 3 of 24 2. Account Ownership Summary Account Nan*: Butterfly Trust — Money Market Acct. Hunter (I seollede): Accent Manager: Pall Monis What Is the purpose el the account (e.g. portfolio management. adviseey account, custody sewkes, longterm investment, payment/ wiper rurouni), Mo they Market account. To hold cash for the trust to eam Interest Indicate from where the assets are expected to (sane' • DB Group: Same Basking Center (Indkate account number): • OB Group: Other Booking Center (indicate DB location and account details): RI Other Institution (Indicate name & locabon): )Morgan. New York, NY O Physical Deposes (specify cash, securities, cheques, ...k What is the expected sire and frequency of regular Inflows and outfknvs for the account (indicate estimated number and volume per nexith)'- Roughly I.2 eoliths, and outflows per month ranging from 11,000 to SI0,000 What is the expected volume of assets and paretic). fcc the account approx. 90 days after 1500,00000 opening' 'Currency I USD What is the expected volume of assets and ctrrency for the account approx. one year after 11,000,000.00 'Currency opening' I 1151) DoesMill the client have Assets Under Management (AuM) within DB under Etx. 3M' O Yes 2 No Please Nit all parties related to the account far each party: • Check I a source of wealth Omer:Sion is required for the party. • Check the appropriate box to describe the r lationship of the party to this account ( > I can be selected). • If none of the check bones a ply, describe the partys relation to the emu tin the Nailer' column. • Always describe t e relationshp between th parties in the last column. • please drill down to the ultimate/underlying Beneficial Creermy(s). .sgal Entitirff Description Sane 0 Wealth required Parties related to tins ?mount Accountant Nader OnnerTrust Settler of / hounder of Foundation Annum Beneficial,. Owner Sig twtory Full POA Unite:If-mantel POA IntermediaryShareholdernepresentative (F-1M) Significant >-25%) Non.PK entity (Indicate ownership %) _eget GrantorfSettlorrounding Donor Other please describe other roles and/or indicate relationship tetween parties) I O 21 Jeffrey 4rstein • O • O O O El O • Grantor; 2 2 2 Butte.* Trust 2 DO K O O OO O O O 3 O O Althorn: Cahn • O O ei O O O O O Trustee:: 4 O O Dan" ice -tea O • O O GI • O • O O Trustee:: S O O • • O O O OO O O O lienellciary; 6 O O • • O • O O O O O O Beneficiary; 7 0 0 • 0 • O • O • • O ID Beneficiary; 8 O O • ID • O • O • • O • Bffiellclaey; 9 • O Ghinbill J. • O O • O • O • O O • Beneficiary; ICI • D • O • li ni O • O O • Beneficiary; Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid - 0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002551 EFTA_000 16025 EFTA00166777 KYC Print Page 4 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indradues Name: Jeffrey Epstein - 00000403289 Date of Birth: 1/20/1953 Country of Raibence: USVI Country of Citizenship: USA Address of prknary resIderxe: Litte Saint James Saint Thomas 00802 US Virgin Islands Has dent resided outside of Ms/her country of nationality for 5 years or mare? No O yes Professlon/OccupatiOn: Self Frivoled Tax ID / SSN: Current Empbyer Southern Financial LW Posbonffilk/Rant President Address of enbbyer: 6100 Red tiook Quarter B3 St. Thomas USV1 00802 Does the person work as senior executive of a DB-recog Wed regulated entity in the financial ndustry? or an entity listed en a DESrecognised exchange> (Not appicable for operating entitles O Yes Ii] No Is the individual a Pokkally Exposed Person (PEP)'O1 Yes, descnbe) No • Yes la To the best of your knowledge, is the individual related to an employee of the 06 group)(A FIT* Of Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, Is the Ind Mdual party to a nom banking relationship with Deutsche Bank (e.g., external legal counsel, cent referral source, supplier of goods or serviceQ> (de YeAdestrae) O Yes OW II applicable, indkate which bank off' net the person: Indicate where and Wen the cleat meeting(s) took place: Bank Officer Name(s) Bank Cake: (lent Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris O O 9/13/2013 tri O O • O O O • Wealth Details for this indMlual are not filled In, because they are the same as for the following person: 30. Wealth Details (Only for parties requiring source of wealth description as 'Skated in Section 2) Nature of the Indira:Juan Business: Private investments Primary Country of source of wealtiVsource of Funds? Primary industry of source of WealtIVSource of Funds' Summarize Source of Wealth: 0 Business Owner OSalarygarnings 0 Investment E Inheritance/Gifts O Other: Esther Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth> For itheritance, how did family accumulate wealth?For business owners, how bug in business, how many employees, level of profitabety? Indtate type of business, countries of major activities, important business partners.) Epstein began hi financial career in 1976 as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded Ns own financial management film J. Epstein & Co., managing the assets of clients with more than a billion n net worth. In 1996, Epstein changed the name of Ms Min to The Financial Trust Company and baser:Its the island d St. Thomas in the US Vingin Islands. M d Ish clients wee anonymoin except for the very wealthy businessman Leslie Wexner. His wealth has come from hi days at Bear Steams and hi financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of irwelabie assets(s): 950 141 - 100 Nil Estirrated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): 5,000,000.00 Other Known Financial Insntutions: instaution: IPM Country: USA Est. Assets Under Mgt: 120,000,000.00 inanutica: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002552 EFTA_00016026 EFTA00166778 KYC Print Page 5 of 24 'Institution: H si"' Please indicate the family situation of the ndhfclual (mortal status, other family members, etc.): I Cs1 AsuYs Under 14$' Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002553 EFTA_000 16027 EFTA00166779 KYC Print Page 6 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhb Somme 3A. Individual Details (for all pates) Indesluars Name: Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: LISA Address of primary residence: Has dent resided outside of ms/her country of nationality for S years or more? • yes 51 No Profession/Occupation: Attorney Tax ID / SSN: 098-544596 Current Empbyer Southern Financial LW PosaionSitk/Ranic Address of errpbyer: 6100 Red Hook Quarter B3 Livingston USY1 00802 Does the person work as senior executive efaDB-recognized regulated entity in the financial ndusby? or an entity listed on a DE-recognised exchange> (Not appicable for operating entitles O Yes g No Is the Ind Sidual a Poltkally Exposed Person (PEP)?(I1 Yes, descnbe) No • Yes la To the best of your knowledge, is the individual related to an employee of the DB groupryi/ fill* Of Mends/bp, desenbe) O Friendship RI None ill Family To the best of your knowledge, Is the individual party to a now banking relatonship with Deutsche Bank (e.g., external legal counsel, dent referral source, maples of goods or services)? (at Yetzleserebe) O Ye. OW II applicable, indkate which bank off' net the person: Indicate where and sten the dent eneernig(s) took place: Bank Officer Name(s) Bank CHke: Client Private Domicile: (bent Place of Business: Other Location (specify): Date: Paul Morris O O 9113/2013 ri O O • O O O • Wealth Details for this indivklual are not filled in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring souse of wealth description as 'Skated in Section 2) Nature al the lndividucts Business: Primary Country of source of wealth/souse of Funds? Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner OSalary/Earnings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Woe h /Detail the history of wealth for each of the sources (e.g. For trusts, how did seals accumulate wealth? For itheitance, how did family accumulate wealth?for business owners, how bag In business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets(d): Estimated Net Worth(3): Mount of assets planned to Invest with PWM(8): Other known Financial Institutkins: Instants Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under llgt: Institutkin: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (nasal status, othe Vanity members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002554 EFTA_00016028 EFTA00166780 KYC Print Page 7 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002555 EFTA_000 16029 EFTA00166781 KYC Print Page 8 of 24 One sheet must be established for PAO' INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for an parties) ban:bars Name: Richard Kahn Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence Has tient resided outside of Ws/her country of nationality for S years or mare No • yes Profession/Occupation: Accountant Tax ID / 55N: Current Empbyer: Southern Financial, LLC Pos/Jonylitk/Rant Address of errpbyer: 6100 Red Hook, Quarter B3 St Thomas US Virgin Islands 00602 Does the person work as senior executive of a Dbrecog sized regulated entAy in the financial ndusUy? or an entity listed on a De-recognised exchange? (Not appicable for operating entbes O Yes g No Is the Ind Nidual a Politically Exposed Person (PEP)'(I1 Yes, descnbe) No • Yes la To the best of your knowledge, is the Individual related to an employee of the DB groupW FIT* Of Mends/bp, desenbe) O Friendship RI None ti Family To the best of your knowledge, Is the Ind Mdual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, dent refer scree, supplier of goods or service-9 (st Yeaksobe) Yes >O O W II applicable, indicate which bank off' net the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank CHke: (tent Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris O O 9/13/2013 tri O O • O O O • Wealth Details for this individual are not filled in, because they are the same as for the Mowing person: 30. Wealth Details (Only for parties requiring soiree of wealth description as indicated in Section 2) Nature of the Indlviduat's Business: Primary Country of source of wealbVsource of Funds? Primary industry of source of WealtIVSource of Funds' Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wee h /Detail the history of wealth for each of the sources (e.g. For trusts, how did settler accumulate wealth? For hberitance, how did brolly accumubte mealth?for business owners, how tang in business, how many employees, level of actitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inceme($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to Invest with PSVM($): Other known Financial Instltutkins: Institutien: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the farrihy situation of the individual (marts' status, cite tarty members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002556 EFTA_00016030 EFTA00166782 KYC Print Page 9 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002557 EFTA_0001603 I EFTA00166783 KYC Print Page 10 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all panes) IndMduats Name Ghistalne Maxwell - Date of Birth: Country of Residence: Country of Citizenship: Address of prknary resIderxe: c/o HBRK Associates 575 Lexington Avenue, 9th Fl New York NY 10022 USA Has dent resided outside of he/her country of nationality for 5 years or mare? No • yes Profession/Occupation: Tax ID / 55N: Current Employer: PoseoryTtle/Ranic Address of employer: Does the person work as senior executive of a DElrecog WC regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange> (Not appicable for operating entitles O Yes g No Is the Ind Mdual a Poltically Exposed Person (PEP)' (it Yes, descnbe) No • Yes la To the best of your knowledge, Is the Individual related to an employee of the DB group(A Fuca Of Mends/bp, desenbe) O Friendship RI None ti Family To the best of your knowledge, Is the Individual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, woofer of goods or services)? (te Yeddescree) O Yes OW II applicable, indkate which bank off' met the person: Indicate where and Wien the tient meeting(5) took place: Bank Officer Name(s) Bank Office: Client Prrvate Domicile: (bent Place of Business: Other Location (specify): Date: O O • O O • O O O • Wealth Details for this indlelual are not filled in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature el the Ineviduat's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of WealtIVSource of Funds? Summarize Source of Wealth: O Business Ovate OSalary/Eamings O Investment E In O Other: tether Describe Source of Wm h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did setter accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how Wm in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inceme(g): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutkins: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Het Please Indicate the farrity situation of the Mee:lust (mortal status, othe farnty members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002558 EFTA_00016032 EFTA00166784 KYC Print Page 11 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002559 EFTA_000 16033 EFTA00166785 KYC Print Page 12 of 24 One sheet must be established for CAOI INDIVIDUAL PARTY In Section 2. Account Ownership Sum 3A. Individual Details (for all parties) Indrelduat Name: Date of Birth: Country of Reddens: Country of Citizenship: Address of primary resIderxe: c/o HBRK Associates 75 Lexington Avenue, 9th Fl New York NY 10022 USA Has tient resided outside of hs/her country of nationality for 5 years or mare? No El yes Profession/Occupation: Tax ID / 55N: Current Employer: Postonfiltlerflanic Address of employer: Does the person work as senior executive of a DNrecog tett regulated entity In the financial ndustry? or an entity listed on a DB-recognised exchange> (Not separable for operating entities O Yes g No Is the Ind Mdual a Poltically Exposed Person (PEP)' (it Yes, descnbe) No • Yes 2 To the best of your knowledge, is the individual related to an employee of the DB groupW FIT* Of Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, is the individual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, client referral worse, weaker of goods or services)? (st Yeedesote) O Ye. O N° II applicable, indkate which bank off' met the person: Indicate where and ten the dent meeting(s) took place: Bank Officer Name(s) Bank Office: (lent Prrvate Domicile: Cott Place of Business: Other Location (specify): Date: Ell O • ID O • O O O • Wealth Octets for this indlvklual are not filled In, because they are the same as for the Mowing person: 3B. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature ci the lndividuars Business: Primary Country of source of wealth/souse of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalsry/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wee h /Detail the history of wealth for each of the sources (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate isalth?For business owners, how bog in business, how many employees, level of prctitablIty? Indicate type of business, countries of major artistes, important business partners.) Estimated Annual Inccom(l): Estimated amount of investable assets($): Estimated Net Worth($): Mount of assets planned to Invest with PSVM($): Other Known Financial Institutions: Intents Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under ley: Please indicate the body situation of the MONS:tat (marts' status, tithe Vanity members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002560 EFTA_00016034 EFTA00166786 KYC Print Page 13 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002561 EFTA_000 16035 EFTA00166787 KYC Print Page 14 of 24 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Sum 3A. Individual Details (for all panes) Indreiduafs Name: Date of Birth: Country of Residence: Country of Citizenship: Address of prknary residence: c/o HBRK Associates 75 Lexington Avenue, 9th Fl New York NY 10022 USA Has tient resided outside of he/her country of nationality for 5 years or mare No O yes Profession/Occupation: Tax ID / 55N: Current Employer: Postionfiltle/Rant Address of employer: Does the person work as senor executive of a DB-recog Wed regulated entity in the financial ndustry? or an entity listed an a DB-recognised exchange> (Not appicable for operating entities O Yes g No Is the Individual a Poltically Exposed Person (PEP)'(I1 Yes, descnbe) No • Yes la To the best of your knowledge, is the individual related to an employee of the DB group(A Fumy Of Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, Is the individual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral soiree, wppiser of goods or services)? (se Yetdescrebe) O Ye. OW II applicable, indicate which bank off' met the person: Indicate where and ellen the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Client Prrvate Donticile: Client Place of Business: Other Location (specty): Date: O O • ID O • O O O • Wealth Details for this indlvklual are not filled in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Indhidurts Business: Primary Country of source of wealtrysource of Funds? Primary industry of source of WealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settbr accumulate wealth? For inheritance, how did family accumulate mealth?For business owners, how bog in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Incone($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PtVM($): Other Known Financial Instituthans: Instances: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under EVE Please indicate the family situation of the individual (mar a' status, oche Vanity members, etc.): 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) D6-SDNY-0002562 EFTA_00016036 EFTA00166788 KYC Print Page 15 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002563 EFTA_000 16037 EFTA00166789 KYC Print Page 16 of 24 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Sum 3A. Individual Details (for all parties) IndMduzifs Name: Date of Birth: Country of Reildence: Country of Citizenship: Address of primary resIderxe: c/o HBRK Associates 575 Lexington Avenue, 9th Fl New York NY 10022 USA Has teen resided outside of hs/her country of nationality for 5 years or mare? No El yes Profession/Occupation: Tax ID / 55N: Current Employer: PosMoriffitle/Ranic Address of employer: Does the person work as sent., executive of a DEtrecog aired regulated entity in the financial ndusUy? or an entity listed on a DB-recognised exchange> (Not appicable for operating entities O Yes g No Is the IndPadua' a Pokkally Exposed Person (PEP)' (it Yes, descnbe) No • Yes 2 To the best of your knowledge, is the individual related to an employee of the 00 group(A FIT* Of Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, Is the IndMensal party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, wppiser of goods or services)? (at Yetchscrebe) O Yes ON° if applicable, indkate which bank off' met the person: Indicate where and Wien the client meeting(s) took place: Bank Offker NameN) Bank CHke: Cleat Prrvate Domicile: (bent Place of Business: Other Location (specify): Date: O O • ID O • O O O • wealth Details for this incliblual are not filled In, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Indbidurts Business: Primary Country of source of wealtIVsource of Funds? Primary industry of source of WealtIVSource of Funds' Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how bog in business, how many employees, level of preitabacy? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to Invest with PtVM(I): Other known Financial Instituthons: Institutice: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Pet: Please indicate the (array situation of the indivklual (market status, tithe Vanity members, etc.): 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) D6-SDNY-0002564 EFTA_00016038 EFTA00166790 KYC Print Page 17 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002565 EFTA_000 16039 EFTA00166791 KYC Print Page 18 of 24 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Sum 3A. Individual Details (for all parties) IndMduats Name: Date of Birth: Country of Retldence: Country of Citizenship: c/o HBRK Associates Address of primary resIderxe: 75 Lexington Avenue, 9th Fl New York NY 10022 USA Has teen resided outside of hs/her country of nationality for 5 years or mare? No El yes Profession/Occupation: Tax ID / 55N: Current Employer: Poseonfiltieftanic Address of employer: Does the person work as sent., executive of a DEtrecog sized regulated entily in the financial ndusUy? or an entity listed on a DB-recognised exchange> (Not appicable for operating entities O Yes g No Is the Ind Sidual a Pokkally Exposed Person (PEP)' (it Yes, descnbe) No • Yes 2 To the best of your knowledge, is the individual related to an employee of the DB group>(A FIT* Of Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, Is the Ind ledual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, (tent referral sauce, woofer of goods or services)? (et Yetdescree) O Yes ON° if applicable, indicate which bank off' net the person: Indicate where and Wien the clent meeting(s) took place: Bank Officer Name(s) Bank Deice: Cleat Prrvate Domicile: (bent Place of Business: Other Location (specify): Date: O O • ID O • O O O • wealth Details for this incliblual are not filled In, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Indbidurts Business: Primary Country of source of wealtIVsource of Funds? Primary industry of source of WealtIVSource of Funds' Summarire Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how bog in business, how many employees, level of preitabacy? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inccare($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to Invest with PtVM(I): Other known Financial Instituthons: Instituting,: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Pet: Please indicate the (array situation of the indebual (missal status, othe Vanity members, etc.): 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) D6-SDNY-0002566 EFTA 00016040 EFTA00166792 KYC Print Page 19 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002567 EFTA_00016041 EFTA00166793 KYC Print Page 20 of 24 One sheet mad be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Surma 3A. Individual Details (for all parties) Indmiduats Name: Date of Birth: Country of Residence: Country of Citizenship: Address of prknary residence: c/o HBRK Associates 575 Lexington Avenue, 9th Fl New York NY 10022 USA Has tient resided outside of hs/her country of nationality for 5 years or mare? No O yes Profession/Occupation: Tax ID / 55N: Current Employer: Posbonrckle/Ranic Address of employer: Does the person work as senior executive of a Dbrecog Maxi regulated entity in the financial ndustry? or an entity listed on a 08-recognised exchange> (Not appicable for operating entlies O Yes g No Is the individual a Conically Exposed Person (PEP)' (it Yes, descnbe) No • Yes la To the best of your knowledge, is the individual related to an employee of the DB group)(A Amu or Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, is the individual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, wppleer of goods or services)? (at Yetzescrebe) O Ye. OW II applicable, indicate which bank off' net the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cleat Prrvate Donticile: Client Place of Business: Other Location (specty): Date: O O • O O • O O O • Wealth Details for this indivklual are not filled in, because they are the same as for the Mowing person: 30. Wealth Details (Only for parties rewiring source of wealth description as 'Skated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary Industry of source of WealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Earnings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Woe h /Detail the history of weakh for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family acwmubte wealth?For business owners, how bog 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($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institutes: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mot: Please indicate the family situation of the individual (mortal status, othe Vanity members, etc.): 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-0002568 EFTA 00016042 EFTA00166794 KYC Print Page 21 of 24 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Butterfly Trust - 00000486426 Type of Entity: O Founialkm/Arsociation 2 Tguit O Partnership • Compary O Estate Purpose of Entity: 0 Private Invesbnent O Philanthropic/Charitable OCommercial Type of Entey Other (specify): EnUty Purpose of Other (specify): Country of incorparationfregishat kin: USA Date of incorporation / registration: 12/27/2006 Volcker Status: Vokker flag: Address (city, street, post code): 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIWEIN: 264639711 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include infomotion about revccabllity,setUor and benelkiaries,etc.: Grantor: Jeffrey EpsteM 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 O Special attention: Bearer Shares - Indkate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (7 not me Tnntees: Darren K. Indyke Rkhard Kahn Jeffrey Epstein same parsons): Grantor: To the best of your knowedge, is the entity party to a non•banking relationship with Deutsche Bank (e.g. effemal legal counsel, client referral source, suppler of goods or sereices)?: Yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Trust account Countries where business h transacted: USA, USVI Number of erripkiyeee N/A I 3D. Wealth Profile (Only for parties requiring v)tece of wealth description as indicated In Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Weakh/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of atuAsillabilitiet). I rust account Nth Jeffrey Epstein as Grantor. Initial 5100 give to the account to fund. The funds for this trust account <owe from investments made by Jeffrey I ',stein. Itis wealth profit is flied out. The trust is for the benefit of the 6 named ind Nal tiff.. Estimated gross receipts p.a.($): Estimated net pet p.a. ($): Estimated investable assets (S): 35144 - ILO her Potential Amount to be invested with PWM ($k 4,500,000.00 Other Known Financial Institutions: Institution: PMorgan Country: USA Est. Assets Under Mgt: 4,500,000.00 institution: Casty: Est. Assets Under Mgt: Institution: tardy: Est. Assets Under Mgt: 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-0002569 EFTA_000 16043 EFTA00166795 KYC Print Page 22 of 24 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART' Int Relationship Name EPSIEDI, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center 2 NY D fiY/Offshore O Moderate Risk Andrew Kra • Offshore sr- ..il High Risk (Com$ance Signature) ID D8 Employee Doe Managed PIC El 08 is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 74 Drivers License 2 Passport • NationaVState ID • Other I Cheddist of names (individuals and/or entities) that were submkted for database searches h attached Rif yes O No C. Please indicate the results of the database searches performed ROC searches complete 12 yes Ora negative renal; fotnd RI Yes plea PCR checks complete S i Yes O No negative results towel :71 Yes • No OFAC checks complete tv4 Yes Olio negative results Rand • Yes J No BIS searches complete (Lects/Necis, Festiva, Reuters, Dow Jones, M s 1 2 y e s O No negative results found 0 Yes Ora Denial Orders checks complete 2 yes Ono negative results (and O Yes 2 No Martindale-Hubbell searched (Lawyers/Law Finns only) Dyes 0 No negative rata: band Dyes O No Please memorize any negative results from the database searches indicated above: BUTTERFLY TRUST: Negative Media: Pa negative media pertains to a company called the Butterfly Trust In Europe. Ibis Is not our client. Our client h an actual trust created by a Grantor and not a company. The other negative mall does not porton to 13utterny Trust'. It is only cited because the words 'butterfly' and 'trust are next to each other Court Cases: I. Thin Is study material to a law class. The Butterfly Trust mentioned n this is not our diem JEFFREY EPSTEDI: Previously approved KYC 9:01082293 901121718 DARREN !NOTRE: No Negative Media No Court Cases KYC Approved: /1133377 RIOUVID KAHN: See attached clearance from MIL 0. Approved KYC: #01082293 and 1133377 GNISUJNE MAXWELL: No PCR m RDC alerts Illit alerts No PCR or RDC alerts IIIIIIIIIrance ISM Attached AML Clearance IIIIIIIIIIIIIII E. To the best al your knowledge, has the tient eye been emitted el a criminal offense? 0 yes O No F. • yes ®No To the best of your knowledge, has the customer ever been Involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or Is the customer threatening Itgation against Deutsche Bank AG or any of its subsidiaries? a, Yee provide debits beow end contact Quality Nye https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0002570 EFTA 00016044 EFTA00166796 KYC Print Page 23 of 24 (Lob4m/fne) or the Rep...Wary Centro/Grop ere nobly Compliance immediatel) Does the (bent or related party have any financial or other association / interactions within countries rs CI. LJ Yes E No or reginvw sanctioned by the Offke of Foreign Assets Control (OFAC)? Does the client or related party have any financial or other assocwtionr interactions within high risk en II. LJ Yes 2 No countries" I. Corporate Documentation Attached (legal Entities Only) ®Yes 0 No O tbt Applicable 1 Undisclosed Principal Form Complete (Intermediaries Only) Oyes 0 No 2 Not Applicable K. If Lexellexn Search Results. Corporate DOCISIVIIIS or Other Supporting Documentation Is not in English, please provide an English summary of the natureltaiterth of the nontogGth Doc unwnlat on: I. Special Risk Factors Does the account have Nexus to Specks' Risk Countries' 0 Yes (2 No Is the account structure unusually complex? Dyes J NO Is there any indicabcci the client set up a non operating corrparry expressly en for the purpose of transferring shares to third parties? LJ Yes 0 No Is there any indkatieci this could be a prohibited business relationship? D yes ®No Are the bearer shares Wattled subject to acceptable cortrols, El Yes OW 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-0002571 EFTA_000 16045 EFTA00166797 KYC Print Page 24 of 24 M. Case Comments records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Moms (Signature) Paul Morris 10(2/2013 aka Director/Basins Head: Brian M. Biggar 'Signature) Brian M. Biggar 1W3/2013 Regional Office Director 'Signature) AML Business Risk: (Signature) AK ConyIon< l' Jacqueline lightbody Andrew Kisz (Signature) Jacqueline Lightbody Andrew Krsz 1/23/2011 1/23/2014 LATAM /INTERNATIONAL APPROVALS Cbent Facing Professional (CEP): (Signature) Account Manager: (Signature) Global Market Team Heed (GMITG:Subi Market Team Head (STITH). (Signature) AML Business Fisk: (Signature) AML. Complbixe: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT.• Deutsche Bank Private Wealth Alanagement (PiMAO worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(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 ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and 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 ?WM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors. Product Officers. Brokers, Client Managers. etc. Deutsche Bank Amerkas New York https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di8ce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNV-0002572 EFTA_000 16046 EFTA00166798