EFTA00166975.pdf

KYC Print Page 1 of 24 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01344537 One sheet must be established per relationshl - list all accounts included in the relatlonshl 1. Relationship details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Moats O Nov PWM RelatisneW IO Existing WM Relattnship Relationship to InVM: If testis.), please indicate since when the relationship edits, provide reason for new profile and attach old profit: Update of KYC *01133113. Trustees have hanged How Was the Client(s) O Client Referral 5 RM Prospect O Intermediary/RN O Other Source (CIB, etc.) Introduced) How long has the RM personally known the chant) Please provide details (e.g. amt of referral source, how many years RM personally has known dent, etc.): Jeffrey Epstein/Butterfly Trust are current clients or the Bank. Dees Deutsche Bark pay a retrocession or senitar ['Yes IR No compensation to a third party for the introduction of this relationship? at yes, desenbel. List all existing and new accounts invoked in this relationship Legal Entity Account(s) Account Name / Number Opening Date (Intended/actual) 1 RI Butterfly Trust -- Checking 10/9/2013 2 /ZI Butterfly Trust -- Money Market 10/9/2013 Who is the primary contact person for the RFD (Note: This person needs to have signatory rights and/or Worn-Atka right for the accounts.): Harry Beller Preferred method of contact (Indicate phone no., fax no., e-mail address, etc.7 Status : 6. Approved https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002749 EFTA_000 16223 EFTA00166975 KYC Print Page 2 of 24 One sheet mud be established for each account to be opened 2. Account Ow n e rsh I p Summary Account Name: Butterfly Trust -- Checking Am. Number (if avatlable) Account Manager: Paul Moire What Is the purpose of the account (e.g. portfolio management. advisory account, custody servkes, longterm Investment payment/a:tense 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 (tidiest° DB location and account details): El Other Institution (Indkate name &W.W.I): 'Horgan. New York, NY O Physical Deposits (spotty cash, securities. cheques. ...) What Is the expected size and frequency of regular inflows and outflows for the accent (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 cwrency for the account approx. 90 days after opening? I Currency IBS() What is the expected volume of assets and currency for the account approx. one year after opening> 5,030,000.00 ' Curia" I USD Doeslwill the cant have Assets Under Management (AuM) within DB under Fir. 314? O We a No Please list all parties related to the account For each party: • Check i a sesta of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (s I can be selected). • If none of the chair boxes apply, describe the palls r &lion to the account in the 'COW Senn. • Always describe the relationship between th parties in the last column. • Pkase drill down to the ultimate/underlying Beneficial Cwneds). ..egal Entity-1f btuription Sava 1 Weatth required Parties 'elated to .Ns account AccountPtC Molder OwnetTrust Settler of / Pounder of Foundation Ferrate Beneficelar owner Signatory Full ?OA tOA noel IntemediaryShareholdenepresentative (F1M) Significant (>=25%) Non-P1C entity (indicate ownership VD) ,.ego GrantorfSettlor`ounthoi5lher bnor phase describe ather roles ond/or nthcate relationship between *M6) 1 O El Jeffrey EPsteln • O F21 D O DO r] O ri Grantot 2 @ Ed Butterfly Trust 0 O O O O OO • O O 3 O D Fury sec O D O D 5 O • • O O Trustee: 1 O :1 Erika / * Seth "1 moo O 21 O • O O O Trustee:: 3 O O • O • O • O • • O 11 Elenefickary; 6 O • O • O O O O O O O Li Beneficiary; 7 O O O O O O O O O O O O eanendagy; 8 O O I O O O O O O O • O O Beneficiary; 9 O O e* Gleb el O m O O O O • O O O Benefklary; 10 • O • • O O O OO • • 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-SONY-0002750 EFTA_000 16224 EFTA00166976 KYC Print Page 3 of 24 2. Account Ownership Summary Account Name: Butterfly Trust — Money Market Acct. Number (cf amiable): Account Manager: Pall Monis What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Investment, paynient/expenc account)) Money Market account. To hold cash for the trust to earn interest Indicate from where the assets are expected to aware? O 013 Group: Same Booking Center (Indicate account number): • DB Gaup: Other Booking Center (ndkate DB location and account details): 21 Other Institution (Indicate name & location): "Megan. New Work. NY • Physical Deposits (specNy cash, securities, cheques, ...y What is the expected sire and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)' Roughly I .) inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? I I C uncncy USD What Is the expected volume of awls and currency for the account epprox. one year after 11,000,000.00 'Currency opening? I USD Does/will the client have MSS Under Management (AuM) within DB under EU/. 3M? O yes ca No Please Net all patties related to the account For each party: • Check t a source of wealth description Is required for the party. • Check the appropriate box to describe the relationship of the party to this MC0110 (> I can be selected). • If none of the check boxes a ply, describe the party's relation to the account in the 'COW column. • Always describe the relationship between di parties in the last column. • Please drill down to the utimaterunderlying Beneficial Owner(s). .egal Entitysf Description Source of Wealth required Parties related to this account AccounttlC Nader Omseatust Settler of / Founder of Foundation Jtirnate Benerkial Owner SIgnatonsAntedFinanclal or Full DOA POA InlermediawShareholdergepresentative (FIM) Significant ( > -.25%) Non-P1C entity (Indicate ownership Si) :gal GrantoriSettlafoundIng Donor Other ,please devote other roles and/or ndkate relationship between whiny 1 • L2 Jeffrey O O to O O O O O O • Grantor, Epstein 2 2 2 Butterfly Tnnt E I O O O O O O O O O 3 O O Beier O O O o e o o o o O T,....; 4 o o Erika (thy ' O OO O O O O O O O Trustee:: 5 • O O • O O O O C1 O O O Benefklary; 6 • O O O O O O O O O O O Beneficiary; • • O O • • O • • O NI Beneficiary; 8 O O O O O K • O • • O O Beneficiary; 9 • O GhisiSm xwell O O O O • O O O O O Beneficiary; 10 • O O O O • • O • O O • Beneficiary; https://dbforcepb. my. sal esforce.com/serdet/sen4 et. Integration?lid = 01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002751 EFTA_000 16225 EFTA00166977 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/OccupabOn: 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 IN 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 Ell 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($): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): 5,000,000.00 Other Known Financial Insntutions: instaution: IPM Country: USA Est. Assets Under Mgt: 120,000,000.00 inanutica: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002752 EFTA_00016226 EFTA00166978 KYC Print Page 5 of 24 'Institution: H si"' Please indicate the family situation of the ndhfclual (mortal status, other family members, etc.): I Cs1 AsuYs Under 14$' 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-0002753 EFTA_000 16227 EFTA00166979 KYC Print Page 6 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all parties) IndwIduars Name ChBLaw Maxwell - Date of Birth: Country of Reik/ence: Country of Citizenship: Address of primary residence: c/o HBRK Associates 575 Lexington Avenue, 9th Fl New York NY 10022 USA Has client resided outside of hs/her country of nationality for 5 years or mare? No O yes Profession/Occupation: Tax ID / 55N: Current Employer: Posbonfritle/Ranic Address of employer: Does the person work as senior executive of a DB-recog Wed 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 individual a Poitically 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 wkh Deutsche Bank (e.g., external legal counsel, dent referral source, wppleer of goods or service-9>On. (st Yekdesenbe) OW II applicable, indkate which bank off' net the person: Indicate where and %ten the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cleat Prrvate Domicile: Client Place of Business: Other Location (specify): 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: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Indbiducts Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wm h /Detail the history of weakh for each of the sources: (e.g. For trusts, how did settbr accumulate wealth? For inheritance, 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 Incorne($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutims: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under MS: Please indicate the family situation of the individual (martial 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) DB-SDNY-0002754 EFTA_00016228 EFTA00166980 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-0002755 EFTA_000 16229 EFTA00166981 KYC Print Page 8 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all patties) Individual's Name: Date of Birth: Country of Rnkfence: Country of Citizenship: Address of primary resIderxe: c/o HBRK Associates 75 Lexington Avenue, 9th El New York NY 10022 USA Has teen resided outside of he/her country of nationality for 5 years or mare? No • yes Profession/Occupation: Tax ID / 55N: Current Employer: Ponionfiltle/Ranic Address of employer: Does the person work as seen executive of a DB-recog sized regulated entity in the financial ndustry? or an entity listed on a DE-recognised exchange> (Not appicable for operating entities O Yes g No Is the individual a Politically 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 Fumy Of Mends/bp, desenbe) O Friendship RI None ti Family To the best of your knowledge, Is the individual party to a now banking relatonship wKh Deutsche Bank (e.g., external legal counsel, (tent referral source, wordier of goods or service-9>On. (st Yesdesotbe) OW II applicable, indicate which bank off' met the person: Indicate where and when the dent meeting(5) took place: Bank Officer Name(s) Bank Office: Cheat Prrvate Donticile: Diem Place of Business: Other Location (specify): Date: O O • O O • O O O • Wealth Details for this indenter are not filled in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties reining source of wealth description as indicated In Section 2) Nature el the Individuals Business: Primary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Further 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 wealth?For business owners, how bog in business, how many employees, level of meltability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inccose(l): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PaVM($): Other Known Financial Institutins: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mat: Please indicate the (array situation of the individual (mama) status, tithe ferny 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-0002756 EFTA_00016230 EFTA00166982 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-0002757 EFTA_00016231 EFTA00166983 KYC Print Page 10 of 24 One sheet mud be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all panes) Inderiduats Name: Date of Birth: Country of Residence: Country of Citizenship: Address of primary residexe: 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: Postionfryle/Ranic Address of employer: Does the person work as seas executive of a DElrecog Maxi regulated eery in the financial ndustryY> or an entity listed an a DB-recognised exchange> (Not appicable for operating entities O Yes g No Is the Ind Sidual a Poltically Exposed Person (PEP)'C 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 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, client referral source, apples of goods or service-9>On. (st Yekdescree) OW II applicable, indkate which bank off' met the person: Indicate where and Wien the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cheat Prrvate Domicile: (bent Place of Business: Other Location (specify): Date: O O • O O • O O O • Wealth Deltais for this indivklual 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 Indbiduats 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 weakh for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did lenity accumulate wealth?For business owners, how bog In business, how many employees, level of actitability? Indicate type of business, countries of maker activities, important business partners.) Estimated Annual Inccene($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other known Financial Institutles: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Het: Please indicate the (array situation of the indeklual (mama 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) DS-SDNY-0002758 EFTA_00016232 EFTA00166984 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-0002759 EFTA_000 16233 EFTA00166985 KYC Print Page 12 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 Reildance: Country of Citizenship: Address of primary resIderxe: c/o HBRK Associates 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: Posibriffitle/Ranic Address of employer: Does the person work as sent., executive of a DElvecog aired regulated entity in the financial ndusUy? or an entity listed on a DB-recognised exchange> (Not appicable for operating entitles O Yes g No Is the Ind bidual 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)(t FIT* Of Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, Is the IndMensal party to a now banking reiatonship with Deutsche Bank (e.g., external legal counsel, client referral pewee, wppber of goods or services)? (at YeAckscrebe) O Yes ON° if applicable, indkate which bank off' net the person: Indicate where and Wien the clent meeting(s) took place: Bank Officer Name(s) Bank CHke: (bent Prrvate Domicile: Client Place of Business: Other Location (specify): Date: O O • O 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) DB-SDNY-0002760 EFTA_00016234 EFTA00166986 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-0002761 EFTA_000 16235 EFTA00166987 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 earns) Individual's Name: Date of Birth: Country of Rnkfence: 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 he/her country of nationality for 5 years or mare No O yes Profession/Occupation: Tax ID / 55N: Current Employer: Ponionfiltle/Rant Address of employer: Does the person work as senor executive of a DB-recog razed 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 Victual 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 ti Family To the best of your knowledge, is the Ind Mensal party to a now banking relationship wKh Deutsche Bank (e.g., external legal counsel, dent referral source, wpplser of goods or services)? (et Yeddescrebe) O Ye. OW II applicable, indicate which bank off' met the person: Indicate where and nen the dent meeting(s) took place: Bank Offker Name(s) Bank Office: Client Prrvate Donticile: Client Place of Business: Other Location (specify): Date: O O • O 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 Indbiducts Business: Primary Country of source of wealtrysoorce 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 accumubte 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 Incorne($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Insteuthans: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mat: Please indicate the tank, situation of the indlnival (mann status, oche sandy 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-0002762 EFTA_00016236 EFTA00166988 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-0002763 EFTA_000 16237 EFTA00166989 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) IndMduzies Name: Date of Birth: Country of Retldence: 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: PosWoryTitleirtanic Address of employer: Does the person work as sent., executive of a DB-recog 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, it the individual related to an employee of the 00 groupW FIT* Of Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, Is the IndMr:fuel party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, (tent referral swam, wppiter of goods or services)? (et Yescbstrebe) O Yes ON° if applicable, indkate which bank off' met the person: Indicate where and Wien the clent meeting(s) took place: Bank Offker Name(s) Bank CHke: (bent Prrvate Domicile: Client 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 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 family situation of the indebual (market 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-0002764 EFTA_00016238 EFTA00166990 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-0002765 EFTA_000 16239 EFTA00166991 KYC Print Page 18 of 24 One sheet must be established for [Apt INDIVIDUAL PARTY In Section 2. Account Ownership Sum 3A. Individual Details (for all parties) Indrvidues Name: Harry Beller - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of plenary residence: Has cleat resided her/her country for S years or mare outside of No of nationality O yes Profession/Occupation: Accountant Tax ID / 55N: Current Employer: HSU( Associates Inc PosebMTPk/Rant Address of errpbyer: 575 Lexington Avenue, 4th Floor Horsey NY USA 10022 Does the person work as senior executive of a DElrecog rued regulated entity in the financial ndustry? or an entity listed on a 06-recognised ex hangez (Not appicable for operating entitles O Yes g No Is the Ind Nidual a Politically Exposed Person (PEP)'fil Yes, descnbe) NO • Yes 2 To the best of your knowledge, is the Individual related to an employee of the DB grovel(f FIT* Of Mends/bp, desenbe) O Friendship RI None • 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 referral soiree, wppler of goods or services)' (st fesdescrebe) O Yes ON° II applicable, indicate which bank off' net the person: Indicate where and when the dent eneeUng(s) took place: Bank Officer Name(s) Bank Mice: Client Prrvate Domicile: Client Place of Business: Other Location (specify): Date: O 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: 38. Wealth Details (Only for parties requiring settee of wealth description as 'Skated in Section 2) Nature of the lndividualls Business: Primary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Paver 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 freelance, how did brolly accumulate witalth?for business owners, how king In business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Incone(l): Estimated amount of investable assets($): Estimated Net Worth($): Mount of assets planned to Invest with PWM($): Other known Financial Institutkins: Instances: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt: Institutian: Country: Est. Assets Under Mgt: Please Indicate the (array situation of the individual (metal 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-0002766 EFTA_00016240 EFTA00166992 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-0002767 EFTA_00016241 EFTA00166993 KYC Print Page 20 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all panes) Incirvidues Name: Enka Kellerhats Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has dent resided outside of hes/her country of nationality for 5 years or more? No El yes Profession/Occupation: Attorney Tax ID / SSN: Current Empbyer Kellerhah Ferguson Krobin PUG Poston/Mk/Rant Address of errpbyer 9100 Port of Sale Mall, Ste 15 St. Thomas USVI 00802 Does the person work as senior executive of a DElrecog Wed regulated entity in the financial ndustry? or an entity listed an exchange? (Not applicable for operating entitles O Yes g No Is the individual a Politically Exposed Person (PEP)'(I1 Yes, descnbe) No • Yes la To the best of your knowledge, Si the individual related to an employee of the DB group(A fill* 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, wools of goods or services)? (et Yesdescrebe) O Yes OW II applicable, indicate which bank off' net the person: Indicate where and ashen the cleat meeting(s) took place: Bank Officer Name(s) Bank Office: Cheat Prrvate Domicile: Client Place of Business: Other Location (specify): Date: D O • ID O • O O O • wealth Octets for this indivalual are not filled in, because they are the same as for the Mowing person: 30. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment D Inheritance/Gifts O Other: Esther Describe Source of Was h /Detail the history of wealth for each of the sources (e.g. For trusts, how did settler accumulate wealth? For itheritence, how did family accumulate wealth?For business owners, how king 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($): Mount of assets planned to Invest with PWM($): Other known Financial Institutkins: Institution Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: InstItutlan: Country: Est. Assets Under Mat: Please Indicate the (array situation of the indlvaival (martial status, othe Varney 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-0002768 EFTA_00016242 EFTA00166994 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 relk0ed: 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-0002769 EFTA_000 16243 EFTA00166995 KYC Print Page 22 of 24 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART I Relationship Name EPSTEIN, JEFTREY RELATIONSHIP Risk Rating Comments: Pooling Center M NY 0K in NY/Offshore 0 Moderate tisk Orffn Dill Offshore . sr4 High Risk (Compliance Signature) 0 DB Employee DOB Managed PIC El DB is Trustee/Co-Trustee 0 Bearer Shares A Attadtmenta A. Type of Photo ID Provided 74 Driven Lkense 2 Passport • NatianaVState ID • Other I Check:Int of names (Individuals and/or entitles) that were submitted for database searches s attached oyes 0 tee C. Please Indicate the results el the database searches performed ROC searches complete l'. Yes 0 No negative resits found Oyes ON, KR checks complete 2 Yes Olio negative results fond &Yes 0 No OFAC checks complete 10 Y e s O No negative remits found al Yes RI NO BIS searches complete flexis/Nexis, Factiva, Reuters, Dow Jones, M ®Yes Olio negative results fotrid JYes 0 ra Denial Orders checks complete 2 Yes ONO negative results found Dyes 21 to Martindale-Hubbell searched (Lawyers/Law Firms ally) Oyes RI No negative remits found Oyes 0 No D. Please summarize any negative Negative Media: M negative Grantor and not a company. NO COWL CaSeS JEFFREY EPSTEIN: Pre/busty approved KYC All negative media pertain Court Cases have been closed HARRY BELLER No negative media No court cases ERIKA KELLERHMS: No negative media No court cases GlISUJNE MAXWELL: No KR or ROC alerts IIIIIIIII m No KR or ROC alerts results from the database searches indicated above: BUTTERFLY TRUST: media pertains to a company called the Bunerfly Trust In Europe. Ibis Is not our client. Our client is an actual trust created by a a:01082293 A 01121/18 to court cams wMh have been previously approved in the above mentioned KYCs. c m arance NM Attached MIL Clearance No or E. To the best of your knowledge, has the client ever been convicted of a rnmewl offense' & Yes D No F. Oyes Deb To the bat of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any or its subsidiaries or s the customer [Neatening litigation against Deutsche Bank AG or any or Its subsidiaries? Q/ Yes, ptovide deiwk below and contact Quaity Mgt https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002770 EFTA_00016244 EFTA00166996 KYC Print Page 23 of 24 (LatAmilitV or the Reguototy Centro/Grow anc e notify Compliance immediately) G Does the dent or related party have any financial or other association/interactions within cot tries o yes E6 No or regimis sanctioned by the Offke of Foreign Assets Control (CfAC)? a Does the dent or related party have any financial or other association/ Interactions within high risk o yes 2 too countries? I. Corporate Documentation Attached (legal Entities Only) 0 yes O No O Not Applicable J. tindiscbsed Principal Form Complete (Intermediaries Only) O Yes O No 0 Not Applicable K. If texis/Nexis Search Results, Corporate Documents or Other Supporting Documentation Is not In English, please provide an English summary of the nature/contents of the non-Engish Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries' • Yes El No Is the account structure unusually complex? • Yes EN° Is there any indication the client set up a non operating rtiffiPanY expressly O yes 0 No for the purpose of transferring shares to third padres? Is there any indication this could be a prohibited business relatiorehip? Dyes 21 No Are the bearer shares identified subject to acceptable controls? O yes RIND 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-0002771 EFTA_00016245 EFTA00166997 KYC Print Page 24 of 24 M. Case Comments records to display. ONSHORE APPROVALS Client Facing Professional (CFP): P.i.il ttdr,,, ,Signattire) ?awl MOMS 2/10/2015 ante Director/Business Head: Lecher: -et ,Signature) crnberty Hart 2/10/2015 Regional Office Director Signature) AML Business Rusk: (*mourn) AML Compliance: Yoonsun Chung Gwen He (Signature) Yoonsun Chung Gwen Mill 211112015 2111/2015 LATAM /INTERNATIONAL APPROVALS Client Facing Professional (CF9): (Signature) Account Manager: (Signature) Global Market Team Mead (GMTilyStia- Market Team Head (SMITH): (signature) AML Business Rails: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT.• Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionalsi(l) (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 ?)IM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP 's) include: Relationship Alanagers. Wealth Advisors. Product Officers. Brokers, Client Managers. etc. Deutsche Bank Americas New York Intps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002772 EFTA_000 16246 EFTA00166998