EFTA00167011.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A VA KYC Case K : 013/6733 Status : 6. Approved One sheet must be established per relationsh - list all accotmts included in the relationshi 1. Relationship Details Relationship Name: SOUT1-ERN FINANCIAL RELATICtISHIP Booking Center: New York Relationship Manager: Paul Mark II New PWM Relabonship O besting PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provkk reason for new prole and attach old profile: How Was the Chalks) 12) Client Referral • RN Prospect O Intermediary/F1M • Paler Source (at etc.) Introduced' How long has the RM personally known the dent' Please provide details (e.g. name of referral source, ow many years RM personally has known client etc.): Jeffrey Epstein (President of Gratitude America) Is a current client of the bank Does Deutsche Bank pay a retrocession a srnilar O Yes I traf No compensation to a third party for the ntroduction of this relationship' (/rra, describe). List a existing and new accounts involved In this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 e Gratitude America, Ltd 2/18/2015 2 2 &at:Aside America, Ltd 2/18/2015 Who Is the primary contact person a the RFP (Note: This person needs to have signatory rights and/or information right for the accounts.): Darren Indyke Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): https://dbforeepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002785 EFTA_000 16259 EFTA00167011 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Gratitude America, Ltd Acct. Number (Aaradalde) Account Manage: Paul Morris What is the purpose of the moms* (e.g. portfolio management advisory account, custody services, longterm investment, payment/expense account)' Money market account to hold funds and earn Interest Indicate from where the assets are expected to arrive' 2 D8 Group: Same Booking Center (indicate account number): DB O D8 Group: Other Booking Center (Indicate 08 location and account deWs): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, •..): What is the expected site and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)': Roughly 1.3 Inflows and outflows per month ranging from $10,000 to $100,000 What is the expected volume of assets and currency for the account approx. 90 days after opening' 1100000 I Currency I US° What is the expected volume of assets and currency for the account approx. one year after opening? I 11:"® I Cunene,/ 1 USO Does/will the client have Asset Under Management (Anal) within 08 under Eur. 3M" Ere: 9 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 (> lean be selected). • If none of the check boxes apply, describe the partys relation to the account In the 'Other' column. • Always describe the relationship between the parties in the last olumn. • Please drM down to the ultimate/un erlying Beneficial Owner(s). teal Entity ription of Source of Wealth required Parties related to this Account Accoun Holder C Javier of Trust / counder of).,011et :oundation -Minute Beneficialor Signatory Full POA anted 'OA Financial Intermedlary•Shareholderotepresentatne (FIN) Sgruficant (> -25%) Non-PIC entity (indicate wonership 'i.) -egal Srantor/SetborfoundingCcher Donor (please describe other roles and/or ndkate relabanhip M ee) n I O O Darren there O O O • 2 O O L LJ 2 O IR) itiney Epstein n L—i O O • ..% O O O O Li 3 O 6%) Granbide Amerka O O O O • O O O • El 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-0002786 EFTA_000 16260 EFTA00167012 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Gratitude America, Ltd Acct. Number (if amiable): Account Manager: Paul MOrriS What is the purpose of the account (e.g. poet/olio management. admix,/ account, custody services, longterm investment, payrnenVexperrse account)' Checking account to deal with the day-to-day running of the («rodeo«. Indicate from where the assets ate expected to arrive' 2 DB Group: Same Booking Center (indicate account number): DB O DE Group: Other Booking Center (indicate DB location and account detacs): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected site and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)': Roughly 10-20 Mows and outflows per month ranging from 910,000 to 5100,000 What is the expected volume of assets and currency for the account apprco. 90 days after opening? I 1W" I Currency 1 1750 What is the expected volume of assets and currency for the account approx. one year aft I er opening? ICC"Ci I Currency I USO Does/will the client have Assets Under Management (AuM) within Dft under Eur. 3M? O Yes ONO Please list all parties related to the account. For each party: • Check lf a source of wealth description Is required for the party. • Check the awes:nate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the ch ck boxes apply, describe the party's elation to the account in the -Other column. • Always describe the relationship between the parties I the last olumn. • Please drill down to the uRimate/underlying Beneficial Ovmer(s). _coal Entry Description of Source of Wealth equired Parses related to this account AccountialC Holder Diner Settler of Trust j sounder of Foundation Jeknate &neck Saar Owner Signatory Full PO4 mutedfinancial ?OA Interned larySharelwider (FIll) Spnificant (r-25%) Non-PIC entity (indicate ownership 'in) .egal Representative ScantoriSetticriounding Donor Wier (please describe other roles andfOr ndicate relabonshp between oartes) 1 O O Danen indyke O O O O El O O O O O 2 • 2) n " meY Epstei O • O O a O O O O O 3 2 5 Gratitude America 5 • • • O O O O O III 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-0002787 EFTA_0001626 I EFTA00167013 KYC Print Page 4 of 12 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - Date of Birth. 1/20/1953 Country of Residence: USVI Country d Cttenshlp: USA Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands Has client resided outside of Ns/her country of nationality far S years cc more El yes ®No ProfessionfOccupabon: Self Empolyed Tax ID / SSN: Current Employer: Southern Rnancial LLC Position/Tide/Rank: President Address of employer: 6100 Red Hook Quarter B3 St Thomas USW 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial iv:lusty' or an entity ISttd on DB-recognised exchange' (Not applicable for operating entities r--, L...I Yes Z No Is the individual a Polibcally Exposed Person (PEP)'(d Yes, cksente) O Yes No E4g To the best of your knovAedge, FM* Friendshs detaibt) Is the individual related to an employee of the D8 group'(f 0 Family Chien:Is/lip 2 None or To the best of your knowtedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or services)'(/ Yes,decarbe) • Yes Ei No If applicable, indicate which bank officers have met the person: Indicate where and when the client meebng(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris O 0 2/4/2015 • O o O ID El • 0 Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private nts Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: g Business owner 0 salary/Earnings E2) Investment 0 Inheritance/Gifts 0 Other: Further Describe Source of WeaRh /Detail the history of swath or each of the sources: (e.g. For trusts, how did settlor accumulate wealth' For inheritance, how did family accumulate wealth'For business owners, how long in buskins, how many employees, level of profitability' Indicate type of business, countries of mayor activkies, enportant business partners.) Epstein begs his financial career in 1976 as an options trader *Bear Steams and became a partneri n 1980. In 1982, Epstein founded his awn finance] management firm.). Epstein 8 Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his film to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. its wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM - 100 MM Estimated Net Worth($): $100 MM • SOO MM ArnouM of assets planned to invest with PVIPI($): Other Known Financial Institutions: Institution: I DB I Country: USA Est Assets Under Mgt: 1330,000,000.00 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) DS-SDNY-0002788 EFTA_00016262 EFTA00167014 KYC Print Page 5 of 12 Institution: Counby: Est Asset Under Mgt: Institution: Counby. Please indicate the famly situation of the individual (marital status, other family members, etc.): Eu Asset Under Mgt: J 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-0002789 EFTA_000 16263 EFTA00167015 KYC Print Page 6 of 12 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indniduars Name: Darren Indyke - Date of Birth. Country of Residence: USA Country of Ctzenship: USA Address of primary residence: Has client resided outside of Ns/her country of nationality far S years or more El yes ®No Profession/Occupabon: Lawyer Tax ID / SSN: Current Employer Southern Financial LLC Position/Title/Rank: Address of employer: 575 Leangton Avenue, 4th Fl Uvingston NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial ridustry, or an entity listed on DB-recognised exchange' (Not applicable for operating entitles r-7 LJ Yes Z No Is the individual a Politically Exposed Person (PEP)'(d Yes, ckscnte) O Yes E4g No To the best of your knovAedge, FM* Friendshs describe) is the individual related to an employee of the DB group'(d 0 Family Ornery:Wile 2 Nine or To the best of your know4edge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or senrkes)'(af Yes,thrscnbe) No • Yes 0 If applicable, indicate itch bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private pornicile: Client Place of Business: Other Location (seedy): Date: O O • O El • ID El a 0 Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Indheduars Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: 0 Business Owner 0 Salary/Earnings 0 Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settlor accumulate wealth' For inheritance, how did family accumulate wealth'For business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of miler &chitties, important business partners.) Estimated Annual Income($): Estimated amount cf investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWril($): Other Known Enamel Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution: Country: Est Assets Under Mgt: 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-0002790 EFTA_00016264 EFTA00167016 KYC Print Page 7 of 12 Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet mint be established for EACH LEGAL ENTITY In Section 2. Account Somme 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Gratitude America - Type of Entity: 121Foundatkin/Asscciation El O Partnership Purpose of Enbfr O Private Investment Trust • Company O Estate PhlamthropkXhantable 0 pornmercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporabon/registratIon: USVI Date of / registrabcc 4/25/2012 incorporation Vokker Status: Vokker Flag: Address (city, street post code): 6100 Red Hook Quarter, B3 St. Thomas 00802 USVI US. TIN/EIN: Provide a description of the entity's organlzatknal structure, its ownership structure and Its Top Management for trusts/foundations, Include Information about revocabdity,settior and bendier ries.etc.: 501(c)3 foundation. Jeffrey Epstein Is president, Darren Indyke is treasurer and Erika Kellerhais S Secretary Please indicate how ownership of the legal entity is reflected: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Erika Kellerhain Is Secretary Shares - Indicate inhere shares are custodied: • Special attention: Bearer Describe the chain from the direct owner d the entity to the ultimate beneficial owner (if not the same pawns,. 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Enka Kellerhak Is Secretary To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goads or services)? .—. Yes LJ No 0 Describe Habra of Entity's Primary Business and Imestment Activities Nature of the business: The foundation has not yet started distrbuting funds and Is tel determining whet er<C,e.1.. Off, they will support. They hope to support a broad range of efforts including, but not lim.ted to. education, science, research, etc. Countries where business is transacted: USA, USVI Number at employees: 3 I 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated In Section 2) Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Sand of Funds/ Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary d assets/kabeties): The foundation Is to be funded by Jeffrey Epstein Estimated gross receipts p.a.(5): Estimated net wont pa. ($): Estimated investabk assets ($): $2 Met - 5 MM Potential Amount to be invested with PWM ($): 200,000.00 Other Known Francial Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: 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-0002791 EFTA_000 16265 EFTA00167017 KYC Print Page 8 of 12 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-0002792 EFTA_000 16266 EFTA00167018 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rang Comment: Booking Center C Offshore O Moderate Risk `Nna Chung a • ../i NY is a High Risk NY/Offshore [ Offshore (Compliance Signature) O DB Employee El De Managed PIC OM is Trustee/Co-Trustee O Bearer Shares 4. Attadirrienls A. Type of Photo ID provided 2 Drivers License 0 Passport O National/State ID O Other for Checklist of names (indelduals and/or effigies) that were submitted database searches Is B. 1:4. Yes • No attached C. Please imitate the results of the database searches performed ROC searches complete 2 yes 0 No negative results found Dyes 2 No PCR checks complete 21 yes O No negative results found lares ED No OFAC checks complete 5 Yes • No negative results found Oyes END BIS searches complete (Let/Nods, Factva, Reuters, Dow Jones, D&B) ?Med] No negative results found O Yes 0 No Denial Caters checks complete Eyes O No negative results found Oyes Ed No MartindaleHubbel searched (Lamas/Law Firms only) 0 yes 2 No negative results found • Yes 0 No Please summarize any negative result from the database searches indicated above: GRATITUDE AMERICA: No negative media No court cases DARREN INDYKE: D. Negative media mentIons his name as an owner of a building. The negative media is not about him indMdually but about the others mentioned. No court cases JEFFREY EPSTEIN: Previously approved KYC S:01082293 & 01121718 MI negative media pertains to court cases which have been previously approved in the above mentioned Mts. Court Cases have been closed E. To the best of your knowledge, has the dent ever been convicted of a criminal offense? 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 or is the customer threatening litigation against F. No AG Its Yes, deals Mgt. ❑li yes Deutsche Bank or any of subsidiaries? (If provide below end Certfla Quigley (LetAm/Intl) or the Regulatory Coed Group and ncacy Compaance imesedefey) financial Does the client or related party have any or other association / Interactions within G. • Yes El No by the Moe Foreign Assets Control ■ or countries regimes sanctioned of (OFAC)! Does the client or related party have any financial or other assodation/ Interactions within high Mk O yes RI No H. counties? I. Corporate Documentation Attached (Legal Et Only) I21 yes • No • Net Applicable I Undisclosed Principal Form Complete (Intermediaries Only) • yes • No n Not Applicable K. U lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, Pleat provide an English summary of the nature/contents of the napingkh Documentation: L specie' link Factors Does the account have Nexus to Special Risk Countries? Oyes E No Is the account structure unusually complex O yes No https://dbforcepb. my. salesforce.com/servlet/servI et.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-4402793 EFTA_00016267 EFTA00167019 KYC Print Page 10 of 12 Is there arty Indicant/1 the client set up a non operating company expressly for the purpose of transferring shares to third parties' UYeS NO Is there any Indkatien this could be a prohibited business relationship' Ova No Are the bearer shares Identified subject to acceptable controls? Oyes ¢ No 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-0002794 EFTA_000 16268 EFTA00167020 KYC Print Page 11 of 12 1 4o records to clop*. M. Cs Comments ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morns (Signature) Paul Morris 2/24/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 2126/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AP% Compliance G. Hill oribio M. Crawford Yconsun Chung (Signature) G. Hill cublo M. Crawford Yoonsun Chung 2,27,2015 2/27/2015 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Gan /Sub-Market Team Head SFITH): (Signature) MIL Business Risk: (Signature) Ni. Cansilince (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 Professionals!(i) (CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards ofsuitability, 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 know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy 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! have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, (Went Managers, etc. Deutsche Bank Americas New York 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-0002795 EFTA_000 16269 EFTA00167021 KYC Print Page 12 of 12 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002796 EFTA_000 16270 EFTA00167022