EFTA00166833.pdf

KYC Print Page 1 of 16 DB PWM GLOBAL KYC/NCA: PART A KYC Case x : 0114130E One sheet must be established per relationshi list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booldng Center: New York Relationship Manager: Paul Morris 2 New PWM Relationship K Existing PWM Relationship Relatkinshei to PWM: If existing, please indkate nce when the relabonshi exists provide reason for new rothe and attach old profile: ONLY adding signers to account. Al signers have already been app oved i previous KYCs. Please rush as this iS a tingle update. Harry Beller was approved I KYC 01133624 K ClieM Referral IS RM Prospect K Intermediary/FIM K Other Source (Cm, etc) 'low Was the Client(s) Introduced' How long has the RM personally known the tient' please provide details (e.g. ame of referral source, how many years RM personally ha known dent, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of Paufs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them Mule Paul was at ./PMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Don Deutsche Bank pay a retrocession or similar K Yes I K No compensation to a third party for the introduction of this relationship' (If yet, dest-nbey. list all existing and new accounts Involved n this relationship Legal Entity Account(s) Account Name / Number Opening Date (Mended/actual) 1 @ Southern Financial, LW W19/2013 2 El Southern Financial, LLC 8/19/2013 3 e Southern Trust Company, Inc. 8/19/2013 4 e Southern Trust Company, Inc. 8/19/2013 5 RI Jeffrey Epstein 9/11/2013 6 e Jeffrey Epstein 9/11/2013 Who is he primary contact person or the RN' (Note: This person ends to have Signatory netts and/or inform ion for the accounts.): Jeffrey Epstein Preferred method of contact (indicate phone no., fax no., e-mail address, etc.) Status : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002607 EFTA_00016081 EFTA00166833 KYC Print Page 2 of 16 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, at Air I. hunter at avaArbte). kcounl 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. To hold funds for the company. Indicate O El w LA O (ran where the assets are expected to arrive? 08 Group: Same Booking Center (Indicate account muter): 013 Group: Other Booldng Center (Indicate DB location and account details): Other Insfitutbn (Indicate name & location): )PMorgan, NYC Physical Deposits (specify cash, securltks, cheques....): What es the expected sire and frequency or regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month rangkkg from $1000 to $10,000. What es the expected volume of assets and currency for the account approx. 90 days after opening? I ICurrency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 150,000 'Currency I USD Does/wi the client have Assets Under Management (AuM) within C6 under Eur. 3M? • Yes El No Please list all parties related to the account. For each party: • Check if a source of wealth description it. required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the check boxes apply, describe the party's relation to the account in the "Other column. • Nways &nate the rdationship between the parties in the last colAnn. • Please dril down to the ultimate/underlying Beneficial Owner(s). _egalbescription Entity,' Soiree al Wealth -Acquired Parties -elated to ins recount AccountplC Molder OwnefTrust Settler of / Founder of Foundation Jitimate Bencficialor Owner Signatoryskrniedrinancial FAA POA POA InterinediaryShareholdeditepresentative (FIN) Significant :>•2529) Non-PIC entity indicate ownership %) _egal Granto/Sernorfounding Donor O Other "lease describe other roles and/or ndicate relationship between ?ernes) Sole shareholder of Southern Trust l O 0 jeffreY E te ps in • O ILI O O O O O O 2 El El Southern arZlindll PI El IT O O O O O O n 3 2 0 Southern fnist Co want. Inc n❑"I O O D O DD ico O O Southern Trust is the sole member of Southern Financial and Jethey Epstein is the sole shareholder of Southern Trust 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-0002608 EFTA_000 16082 EFTA00166834 KYC Print Page 3 of 16 2. Account Ownership Summary Name: Southern Financial, (LC T Account Acct. Number (d available): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio managemen advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold funds for the company. Indicate from where the assets are expected to arrive' O C43 Group: Same Booking Center (indicate account camber): • CS Group: Other Booking Center (indicate DB location and account details): @ Other Institutbn (Indicate name & location): 3PM:ftgan, NYC O Physical Deposits (specify cash, secwities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account Ondeate estimated number and volume per monthly: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days alter opening? I I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 100,00D 'Currency I USD Does/wil the client have Assets Under Management (Ault) within 06 under Eur. 311? M Yes a No Please list all parties related to the account For each party: • Check If a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' taunts. • Always describe t e relationship between the parties in the lad oakum • Please drill down to the ultimate/underlying Beneficial Owner(s). ..egal)eunplion lEntttraf Smote al Wealth -equired i sCCOUnt ]antics related to Ns Account Holder PlC OwnerTrust Settler of / Founder of Foundation Jltimate Beneficialor Owner SIgnatorlanliedniancial Rd POA PO* IntemvedlatyShareholde(iepresentatne (F1M) Significant >=25%) $ion-PIC entity ,Mdkate ownership Ots) _egal ?Sranter/Settbribunding Ponce Other please describe other roles and/or ndicate relationship Moroi sorties) 1 • a jefireY EPste ln O O O O a O O O O O Sole sharouther eholde n r of S Trust; 2 a Southern Financial La S O O • O O O O O O 3 Ea 0 Southern Dust Inc. Inc. ig — N O O O O O 1 CO O O Southern Trust Is the sole member of Southern and a rey Jeffrey Epstein ls the sole shareholder of Southern Trust; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 0B-SDNY-0002609 EFTA_000 16083 EFTA00166835 KYC Print Page 4 of 16 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number 6 f available. T Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, Parned/aPense account)'+ Checking account. To hold funds for company Indicate from where the assets are expected to arrive' O 06 Group: Same Booking Center (indicate account ember): • CS Group: Other Booking Center (indicate DB location and account details): @ Other Inslitutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, acuities, cheques, ...): What is the expected size and frequency of regular Inflows and outflows for the account (indicate est mated number and volume pe month)'. Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening" I 1 Currency I USD What is the expected volume of assets and currency for the account approx. one year after 1100,000 I opening' Currency I USD Does/wil the client have Assets Under Management (AM) wtthln 06 under Eur. 311? OYes A No Please list all parties related to the account For each party: • Check If a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's faction to the account in the 'Other' opium. • Always describe t e relaticoship between the parties in the lad cokann. • Please drill down to the ultimate/underlying Beneficial 0vabe(s). ..egalOescription lEntttyaf Source al Wealth required „account lanes elated to Jib Account Holder PlC Ownertrust Settler of / Founder of Foundation amide Beneficialor Omer Signatornimilatinarkial RI POA POA IntemediaryShareholderttepresentative (F1M) Sigrilkant >=25%) llon-PIC entity ,Mdicate wnershlp %) _egad 'Granter/Settiorkounding )onor Other please describe other roles and/or ndirate rciatonship frutv.voi James) 1 O El Jeffrey )' stem 1--J in O O • A O O O O El Sole shareholder of Southern Trust; 2 g Ei Southern Rant rampon, ta ,nc. DI ls-' u u • O • O O O U CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 0B-SDNY-0002610 EFTA_000 16084 EFTA00166836 KYC Print Page 5 of 16 2. Account Ownership Summary krount Name: Southern Trust Company, Inc. Acct. Number &lava:We Account Manages: Paul Woe What is the purpose of the account (e.g. portfolio !canoe ment, advisory account, custody services, long-term investment, parnentierPense account)' Money Market account. To hold funds for the company. Indicate from where the assets are expected to arrive' O C43 Group: Same Booking Center (indicate account camber): • 013 Group: Other Booking Center (indicate DB location and account details): @ Other Instkulbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, soctribes. cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account (indicate est mated number and volume pe month)'. Roughly 2 inflows & outflows per month ranging from $1,000 to $10,000 Metall* expected volume of assets and currency for the account approx. 90 days after opening" I I Currency I uSD What is the expected volume of assets and currency for the account approx. one year after 1150,000 I opening' Currency I USD Does/wil the client have Assets Under Management (AM) within D6 under Eur. NV [Yes A No Please list all parties related to the account For each party: • Check If a source of wealth descripUon is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be 'elected). • If none of the check boxes apply, describe the party's reaction to the account in the 'Other' alum. • Always describe t e Italia-whip between the parties in the lad colon. • Please drill down to the ultimate/underlying Beneficial Owner(s). .egal)escription lEntttrof Source of Wealth -equIred 4§CCOUnt ladles elated to MIS Account Holder PlC Ownertrust Settler of / Founder of Foundation Jkimate Beneficialor Owner Signatorysimkedrinancial RA pcm PO* IntermediaryShareholderlepresentative (RIM) SigMicant ,>=25Cs) Non-PIC entity ,Indkate 3wnership %) egal ‘SranterThettbrkounding Jonor Other please describe other roles and/or ndkate relat.onship frutv.vol Janie.) i O 0 2effrey :won in t—i O O • • O O O O O Sole shareholder of Southern Trust: 2 g Ei Southern Rant tornpany, mc. DI •:-.1 O Li • O • O O O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 0B-SDNY-0002611 EFTA_000 16085 EFTA00166837 KYC Print Page 6 of 16 2. Accoest Ownership Samar/ Account Name: Jeffrey Epstein Acct. Number ft avadabe Account Manager: Paul Morris What is the purpose of the account (e.g. honk*o management, advisory account, custody services, long-term imestrnot, payment/expense account)? CriedOng account fee Jeffrey Epstein's personal daily use. Indicate O from where the amen me expects to arrive? DO Group: Same Booking Center (indicate account mate): 08 Group: Other Booking Getter (indicate DB location and account details): Other InsttutIon (Indicate name & location): MMorgan Chase. New York, NY Physical Deposits (specify cash, seethes, cheques, ...): • @ O What is the expected site and frequency of regular inflows and outflows for the account (indicate estimated inflows and outflows per month ranging from $1C0-$10,000. number and volume per month)': Roughly 15 What is the expected volume of assets and currency for the account approx. 90 days ter opening? I I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? I 100,000 I Currency 1 USD DoesiWil the client have Assets Under Management (AuM) within DB under Fur. 3M? RIM • yes 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 (> I can be selected). • If none of the check boxes apply, describe the party's rekitbn to the accost in the 'Other corms. • Always describe the relationship between the parties in the law admin. • Please drill down to the ultimate/underlying Beneficial Owner(s). .rigalJescription Fntttyaf Source if Wealth *touted ?arts-. tired to hr. account AccoirOlC Holder 3wneffrust Settler of / Founder of Foundation Jltimate Benefloallor Owner Signatorwimitedlimancial Fut POA ?OA Intermedkvy5harehold (rim) 61gralunt >=2S9b) Von-PIG entity indicate winership egal epresentative Grantor/Settlor. bunding Donor Other please describe riper roles Ind/or ndkate relationship bewsen mites) 1 CI El jeffreY EPSt ein 2 K O O O O OO O Li O 2 "arrY Beller O O O O O O • • • ri • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002612 EFTA_000 16086 EFTA00166838 KYC Print Page 7 of 16 2. Account Oweenildp Swatostry Account Name: Jeffrey EpsteM Acct. Humber (1 available) Account Manager: Paul Morns What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, parnent/exPerise atcnun()> Money Market account to hold Jeffrey Epsteln's personal funds. Indicate O from where the assets 013 Group: Same Booldng Center CS Group: Other Booldng Center Other Inslitutbn (Indicate Physical Deposits (specify cash, are expected (indicate (indicate to arrive? account master): DB location and account details): location): JPMorgan Chase. New York, NY cheques, ...): • @ O name & secretes, What is the expected sire and frequency of regular inflows and outflows for the account Ondkate estimated inflows and outflows per month ranging from $1,000 to $20,000 number and volume per monthly: Roughly 1-2 What is the expected volume of assets and currency for the account approx. 90 days after opening? i I Currency 1 USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 200,000 ICurtency 1 USD Does/wil the client have Assets Under Management (Autl) within DB under Eur. 311? R No • Yes 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 (> I can be selected). • If none of the check boxes apply, describe the party's faction to the account in the 'Other' column. • Mays describe t e relations rip between the parties in the lad coltsnn. • Please drill down to the ultimate/underlying Beneficial Ovene(s). ...egal'Oescription lEntttyaf Source al Wealth -equIred lames elated to .his account AccorrAPIC (folder Owneffrust `Senior of / Founder of Foundation JItlinate Beneficlalor Owner SignatorwindelFinancial Full POA ?OA IntermedlaryShareholderRepresentathre (FIN) figarkant (>=25%) 'ton-PIC entity indicate ownership Pa) Legal GraMor/Settlorfound g Donor Other please describe other roles and/or ndkate elationshlp between mules) I O O Mn-Y miler O O O O 0 OO O O O 2 0 Epst JeffreY ein a El O O O • go • .1 • • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 0B-SDNY-0002613 EFTA_000 16087 EFTA00166839 KYC Print Page 8 of 16 One sheet must be established for MN INDIVIDUAL PARTY In Section 2. Account Ownership Summa 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 printery residence: Late Saint James Saint Moines 00802 US Virgin Islands Has client resided outside of hks/her country of nationality for 5 years or more? O yes Ea No Profession/Occupation: Sell Empalyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank President Address of employer: Does the person work as senior executive of a DB-recognized regulated entity In the financial ndustry, or an entity kited on a DB-recognised exchange' (Not applicable for operating entitles — • Yes RI No Is the indbidual a Politically Exposed Person (PEPr(f Yes, clescibe) M yes 5 No To the best of your knowledge, is the individual related to an employee of the DB group'(! Family or Friendship, descnbe 1 O Family O Friendship CO None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)'(/ Yesi cksente) O Yes El No If applicable, Indicate which bank officers have met the person: Indicate where and when the diem meeting(s) took place: Bank Officer Narrie(s) Bank Office: (Pent Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris 413/2013 • • O O il O O • • Wealth Details for this Individual are not filed in, because they are the same as for the following person: 3D. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private Investments Primary Country of source of wench/source of Funds? Primary industry of source of Wealth/Source of hods? Summarize Source of Wealth: RI Business Owner O Salary/Eamings 0 Investment • Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance, how did fan* accumulate wealth1Fce business enviers, how long in business, how many employees, level of profitability' Indicate type of busbess, countries of major acUvales, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partneri n 1960. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of dents with more than a Son in net worth. In 1996, Epstein changed the name of his firm to the Financial Trust Company and based k on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial MC. MI of his clients were anonymous went for the very wealthy businessman Leslie Wexner. Hs wealth has come from hIs days at Bear Stearns and his financial management firms Estimated Annual Income($): 10,030,030.03 Estimated amount of investable assets($): $50 MM - 100 MM frannated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($): 10,000.00 Other Known financial Instauti Is: Institution: IPMoigan ICountry: I USA Est. Assets Under Mgt: 120,000,000.00 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002614 EFTA_00016088 EFTA00166840 KYC Print Page 9 of 16 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the fan* Stuatlon of the individual (marital Mb* other fancy merrhetes edc.k Single 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-0002615 EFTA_000 16089 EFTA00166841 KYC Print Page 10 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individuals Name Hairy Defier • Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of histher country of nationality for 5 years or more? O Yes 11 No Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HeaK Associates, Inc Postuonfithentank: Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY USA 10022 Does the person work as senior executive of a DB.recognized regulated enUty In the financial Mushy? or an entity Sued on a DB-nsognised exchange? (Not applicable for operating entities me yes ® No Is the Individual a Polkically Exposed Person (PEP)7(y Ye* ckso-ibe) Ores No To the best of your knowledge, Is the indMdual related to an employee of the De group?(/ Family or FnerdsoNA dcsmbe 1 O Fanny O Friendship 2 None To the best of your knowledge, Is the individual party to a non-banking rekitionship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services), Or Yes,ckscate) O Yes in NI which bank If applicable, indicate officers have met the person: Indicate where and when the <Inn meeting(s) took place Bank Officer Names) Bank Office: Gent Private Bernie*: (bent Place of Business: Other Location (specify); Date: Paul Morris Fra O O 10:21'2017 O O O O O O • Wealth Details for this Individual are not fled en, 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 IndMduaEs Business: Primaty Country of source of wealth/source of rends? Primary Industry of source of Wealth/Source of Finds? Summarize Source of Wealth: O Business Owner N Salary/Eamings • Investment N Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of weakh for each of the sources: (e.g. For trusts, how did senior acct.-nun e wealth? For Inheritance, how did fanny accumulate wearth?For business owners, how long in business, how many ermloyees, level of prothability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income(S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets ()lamed to invest with PWM($): Other Known Financial Institutions: institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Insthution: Country: Est. Assets Under Mgt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002616 EFTA_00016090 EFTA00166842 KYC Print Page 11 of 16 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: Southern Financial LLC - 00000483882 Type of Entity: TrustR El Company Estate of Entity: RI O Private Investment O Foundation/Association • K Purpose Ph ilanthropic/Chartable Ill El Partnership Commercial Type of Entity Other (spotty). Purpose of Entity Other (specify): Country of incorporananftegistration: US Virgin Islands Date of incorporation / registration: 2/2512013 Wicker Status: Vokker Rag: Address (city, street, post code): 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. 11N/FIN: 66-0799192 Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts: oundations, include information about revocabety,settlor and beneflcbries,etc.: Southern Trust Company Inc is the sole menter of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner hi not the same persons): To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, dent referral source, suppler of goods or services)?: Yes O No g21 Describe Nature of Entity's Primary Business and Investment Activities Nature of the butanes: This business is funded by Jeffrey EPSteirfs wealth. This company was formed to hold Mr. per so psonal wealth and Invest in different ventures. This company invests In real estate, equities, commodities, etc and gets es revenue from the gain it makes in these investments. It is a company formed to invest the assets of Mr. Epstein Countries where business is transacted: US Virgin Islands Number of employees: 3 I 30. Wealth Profile (Only for parties requiring source of wealth desorption as indicated in Section 2) Primary Country of source of weath/source of Funds? Primary industry of source of Wealth/Source of Funds, Provide Evidence of Corporate Assets (e.g. baMnce sheet or equivalent summary of assets/labllitles): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole manaoln3 member (Jeffrey Epstein). Estimated gross receipts IM(S): 2,000,000.00 Estimated net profit . (f): 1,500,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWM (S): 300,000.00 Other Known Financial Institutions: Institution: YMorgan Country: USA Est. Assets Under Mgt: 1,030,000.00 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002617 EFTA_00016091 EFTA00166843 KYC Print Page 12 of 16 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00000483883 Type of Entity: O FoundatIon/Asscciarion O O Partnersh K g Purpose of EnUty: WI Private Investment O Phitanthropic/Charitable O Commercial Trust a Company • Estate Type of Entity Other (specify): Purpose Entriy Other fth of eCify): Country of incorporation/registration: US Wrgin Islands Date of incorporation / registration: 11/18/2011 Volcker Status: Volker Rag: Address (city, street, post code): 6100 Red Hook Quarter 83 9 Thomas 00802 US Virgin Islands U.S. TIN/FIN: 66-0779861 Provide a description of the entkys organizational structure, its ow/nimble structure and Rs Top Management. For trusts/foundations, Mclude information about revotatRY,settlor and beneficiaries,etc.: Please indicate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Indicate where shares are custodled: Describe the chain from the that owner of the entity to the ultimate beneficial owner (Ira the same petsons): To the best of your knowledge, is the envy party to a non-banldng relationship with Deutsche Hank (e.g. external legal counsel, Hunt referral source, suppler of goods or spires)" Yes • No Describe Nature of Entity's Primary Business and Investment Activities Nature of the tuskless: Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their cants and gets their revenue from the return of these armaments. Southern Trust invests in different portfolios catered to their clients and makes thek revenue based on the returns and the fees associated wall managing their clients assets Countries where business Is transacted: US Virgin Islands Nuccer of employees: 4 1D. Wealth Nome (Only for parties requiring source of wealth description as indicated in Section 1) Primary Country of source of wealth/source of Funds? Pnmary Industry of source of Wealth/Source of Et.mdss Provide Evidence of Corporate Assets (e.g. batance sheet or equivalent summary of assets/iabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts ($): 2,000,000.00 tstirnated net pica a (Sic 1,500,000.00 Palmated investable assets ($): $2 MM • 5 Mra Potential Amount to be invested with MUM ($): 300,00000 Other Known Financial Insatutlons: Institution: listioroan Country: USA EM. Assets Under Mgt: 2,000,000.00 Institution: Country: Est. Assets Under Mat: Institution: Country: EM. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 0B-SDNY-0002618 EFTA_000 16092 EFTA00166844 KYC Print Page 13 of 16 DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comment: Booking Center M NY • moderate lance Franklin • Offshore re -4 High Risk NY/ • Cefshere tisk (Compliance Signature) O 08 Employee I O C43 Managed PIC I El DEr is Trustee/Co-Trustee I O Bearer Shares 4. Attedirrienb A. Type of Photo ID Provided 4 Drivers Ucense MI Passport • National/State (0 • Other B. Checklist of names (individuab and/or entities) that were submitted for database searches is 74 No yes • attached C. Please indkate the result of the database searches performed ROC searches complete ®Yes O No negative result found ®Yes O No OCR checks complete RI Yes O No negative results found @Yes O No OFAC checks complete ..4 Yes • No negative newts found • Yes 0 No BIS searches complete (Leds/Neds, Factiva, Reuters, Dow Jones, M ) @Yrs O No negative result found O Yes El No Denial Orders checks complete ?E yes O No negative results found M Yes 0 No Martindale-Ilubbell searched (Lewitt/Lev Mom only) • Yes e No negative results found • Yes O No D. Please summarize any negative results from the database searches indkated above: HARRY BELLER: Approved in KYC 201131624 JEFFREY EPSTEIN: ROC Alert 21 -- Cleared & APPROVED by Chip Packard, Alt Compliance, and Pat Harris PCR Alert it I/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our client. FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been cloned FINANCIAL TRUST & OD ROC/PCR alert Is associated wth Southern Avondale the company a merged Mo. This alert has been cleared by Compliance and Is attached Court Cases are closed E. To the best of your knovAedger, has the client ever been comkted of a criminal offense, @Yes O No F. To the best of your knowledge, has the customer ever been Involved In any past litgatbn aperitif Deutsche AG litigation Bank or any of its subsidiaries or is the customer threatening against Deutsche Bank AG or any of Its subsidiaries, (If Yes, provide *04 below and <mead ChahlY b%* • Yes No aptArnfintlfor the Regidstoty Coed [Poop and notify Compliance irnmeoisteN G. Does the client or retied party have any financial or other aSSOckellon / InterattkOS weds countries a Nkoz No or regimes sanctioned by the Office of Foreign Assets Central (OFACP N. Oyes J No Does the client or related party have any financial or other association/ interactions within high risk CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SONY-N/02619 EFTA_00016093 EFTA00166845 KYC Print Page 14 of 16 coumrins? I. Corporate Documentation Attached (Legal Entitles Only) RI Yes • No • Not Applkable I Undisclosed Principal Form Complete (Intennedisnes Only) O yes • No I Not Appkable K. U LexisiNexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the nomEnglish Documentation: L, Special Risk Factors Does the account have Nexus to Special Risk Countries' • Yes Ea No Is the account structure unusually complex? NI Yes 7/ No Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third wanks? i—ri `Os E l i N o LJ Is there any indication this could be a prohibited business relationship, Dyes @No Are the bearer shares identified subject to acceptable controls' • Yet LA No Imps CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SIDNY-0002620 EFTA_000 16094 EFTA00166846 KYC Print Page 15 of 16 M. Case Comments Created By Date I Comments Jacqueline lightbody 10/25/113 1:01 PM this was onlyan update to add a signer. No change in the risk score so no need fa a new risk calculator. Please KYC 1121718. ONSHORE APPROVALS Client Facing Professional (CFP): Paul MoeNs Signature) ?aul Mortis 10/22/2013 Office Director; Business Head: Brian M. Biggar (Signature) 3rian M. Biggar 10/23/2013 Regional Office Director: ,Signalure) Mt Business Risk: (Signature) All Compliance Jacqueline Ugittiody Dance Frankkn (Signature) lacquetne liglebody lance Franklin 1072511013 10128:2013 LATAM/1NTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH (*nature) Mt Business Risk: (Signature) Aft Compliance: PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals)(!) (CFP's) should establish and maintain business relationships only with pencils 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 ofCFP's to demonstrate that they brow their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and 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 PIYM 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. 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-0002621 EFTA_000 16095 EFTA00166847 KYC Print Page 16 of 16 Deutsche Bank Americas New York FA CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002622 EFTA_000 16096 EFTA00166848