EFTA00167049.pdf

KYC Print Page 1 of 10 DO PWM GLOBAL KYC/NCA: PART A KYC Case # : 01696913 One sheet must be established per relations/0 - list all accounts included In the relatlonshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart PAS O New PWM Relationship ICI Eidsting PWM Relationship Relationship to PWM: If unsling. Please indicate once when the relationship exists, provide reason for new profile and attach old profit El Client Referral • RM Prospect O Intermediary/PIM • Other Source (CIB, etc.) How Was the alent(s) Intrduced, How king has the RM personally known the client≥ Please provide details (e.g. ante of referral source, how many years RM personally ha known dent, etc.): Jeffrey Epstein (Presided of Gratitude Arneika) is a current client of the bank. He and Dairen Indyke reached out to Stew OWNS on 12/12/2016 to open a checking account for its newest entity, Zeno Management L1C Does Deutsche Bank pay a retrocession or singer oyes 0 Ho compensation to a third party for the introdixtbn of this relationshOT (//Yes, *sw*P List ale existing and new accounts involved ki this relationship Legal Entity Account(s) Account Name/ Plumber Opening Date (intended/actual) 1 0 Zorro Management, tt.0 - Deposit 12/27/2016 Who Is the prknary contact person or the RIPP (Note: This person needs to have signatory rights and/or Wormatbn right for the accounts.): Darren bodyke Preferred method of contact (Indicate phone no., fax no.. email address, etc.): Status : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SDNY-0002823 EFTA_000 16297 EFTA00167049 KYC Print Page 2 of 10 One sheet mud be established for each account to be opened 2. Account Ownership Summary Account Name: Zone Management, LK. . De d 'Acct. Number (f avaibtie) Account Manager: stewert oldfldd What is the purpose of the account (e.g. portfolio mai ..c, it, advisory account, custody services, long-term Investment. paymentiedense account), the purpose of this aunt is to manage the day expenses of the company Indicate from where the assets are expected to arrive? RI DB Group: Same Booking Center (indicate account number): 35269691 O DB Group: Other Booking Center (delicate DB location and account details): O Other InstittMon - (Indicate name & location): O Physical Deposits (specify cash. securities. cheques...) What is the expected sine and frequency of regular Inflows and outfknvs for the accotmt (indicate estimated number and volume per month)?: 0.10 Inflows/outfbvis between 50k and took on a monthly bad What is the expected volume of assets and currency foe the account approx. 90 days alter opening? 1 1000000 'Currency I ucd What n the expected volume of assets and currency for the account approx. one year after opening? 11000000 'Currency I tad Doedvill the client have Assets Under Management (AuM) within DO under Eur kff . Yes RINo Please list all parties related to the aecOunt. 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 parties role ion to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimatelunderlyIng Beneficial Omer( s). _egal Entity-of Description Source f Wealth required 7arties related to las account accountPIC Colder Owner Settle( of Trust / founder of foundation Jltimate 3eneficsalor Owner Signatay_imIted full PO* ?OA financial Interediary5hareholderRepresentatwe (F161) Slenifkant >=25%) ion-PIC entity indicate ownership iii) _egal Grantor/Sett minding Donor he please Sewed other roles and/or indkate relationship between Saida) 1 El 2 Zorro Management, pt [0 O O • O O O O • O 2 O a Jeffrey =ate O O O O a O O O • O 3 O O Darren fixtyke O O O O 0 O O O O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002824 EFTA_000 16298 EFTA00167050 KYC Print Page 3 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all pastes) Individuars Name: Jeffrey Epstein - 00000033289 Date of Birth: 1/20/1953 Country of Risk/ence: USVI Country of Citizenship: USA Address of primary resident: UM Saint James Saint Thomas 00602 Has dent resided outside of his/her country of nationality for 5 years or more? No • yes Profession/Occupation: Self Eribolyed Tax ID / SSN: Current Empbyer Southern FInancial tit Posaionfiltk/Ranic President Address of employer: 6100 Red Hook Quarter B3 St. Thomas United States 00802 Does the person work as senior executive of a DB-recog Mad regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange> (Not appicable for operating entities O Yes 0 No Is the individual a Politically Exposed Person (PEP)' (if Yes, descnbe) No • Yes la To the best of your knowledge, is the individual related to an employee of the 06 group)(A FIT* Of Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, Is the Ind Wail party to a nom banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral scarce, supplier of goods or service-9>On. (de Yeiciscrbe) OW II applicable, indkate which bank off' met the person: Indicate where and Wien the cleat meeting(s) took place: Bank Officer Name(s) Bank Office: Cleat Prrvate Donscile: (bent Place of Business: Other Location (*sty): Date: O O o ID O • O O O • Wealth Details for this individual are not filled In, because they are the same as for the following person: 313. wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the lndivkluds Business: Private investments Primary Country of source of wealthrsource of Funds? Primary Industry of source of WeallIVSource of Funds' Summarize Source of Wealth: RI Business Omer OSalaiy/Earnings 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 ideritance, how did fanny accumubte witalth?For business owners, how bog in business, how many employees, level of profitabity? Indicate type of business, countries of major activities, important business partners.) Epstein began hi financial career in 1976 as an options trader at Bear Steants and became a partneri n 1960. In 1962, Epstein founded Ns am financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of Ms Bern to The Financial Trust Company and based a on the island d St. Thomas in the US Virgin Islands. Al d his dents wee anonymous 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 Investable assets(s): $50 It( - 100 Mel Estimated Net Worth(i): 5500 MN 1 Amount of assets planned to invest with PWM(S): Other Known Financial Insetutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 De-SDNY-0002825 EFTA_00016299 EFTA00167051 KYC Print Page 4 of 10 'Institution: H si"' Please indicate the family situation of the ndhfclual (mortal status, other family members, etc.): I Cs1 AsuYs Under 14$' 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-0002826 EFTA_000 16300 EFTA00167052 KYC Print Page 5 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all Parties) Ind.'s:lusts Name: Darren Indyke - Date of Both: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has (lent resided outside of ms/her country of nationality for S years or mare? • yes ?I No Profession/Occupation: Lawyer Tax 10 / SSN: Current Empbyer Southern Financial LTC Poston/Title/Rant Address of empbyek 575 Lexington Ave, 4th Fl Livingston NY United States 10022 Does the person work as senior executive of a DB-strop aired regulated entfy in the financial nduslry? or an entity listed on a 08-recognised exchange> (Not appicable for operating entitles O Yes g No Is the individual a ',Obesity Exposed Person (PEP)' (it Yes, descnbe) No • Yes la To the best of your knowledge, is the Individual related to an employee of the 00 group(A FIT* Of Mends/bp, desenbe) O Friendship RI None • Family To the best of your knowledge, Is the Individual party to a nod banking relatonship with Deutsche Bank (e.g., external legal counsel, (ient referral source, weaser of goods or services)? (a Smatscrebe) O Ye. O N° II applicable, indkate which bank off' mct the person: Indicate where and when the cleat took place: Bank Officer Name(s) Bank Office: Client Prrvate Domicile: (bent Place of Business: Other Location (specify): Date: Stewart °afield ga O 12/12/2016 0 O • • O O O • wealth Wails for this nava:bat are not filled in, because they are the same as for the Mowing person: 3ii. Wealth Details (Only for parties requiring source of wealth description as 'Skated in Section 2) Nature of the IndNidualls Business: Primary Country of source of wreath/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Irdwitame/Gifts O Other: Father Describe Source of Wee h /Detail the history of weakh for each of the sources: (e.g. For trusts, how did settbr accumulate wealth? For inheritance, how did fanny 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 Incerwe($): Estimated amount of investable assets(T): Estimated Net Worth($): Amount of assets planned to Invest with PWM($): Other gown Financial Inalluthms: Instances: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mkt Please indicate the family situation of the individual (misread status, tithe fan* members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002827 EFTA_00016301 EFTA00167053 KYC Print Page 6 of 10 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Zoiro Management, LLC - 00003550331 Type of Entity: O Foundatkin/Associatbe O met 2 1 Company O Estate O Partnership Purpose of Entity. Purpose of Entity Other (specify): 121Private Investment II philanthrope/Charitable OCommercial Type of Entty Other (specify): LLC Country of incorporation/registration: USA Date of incorporation / registration: 12/14/2016 Volcker Status: Detemibation Required Vok ker flag: No Address (city, street, post code): 6100 Red Hook Quarter, 83 St. Thomas; USVI 00802 United U.S. St ates U.S. TIWEIN: 090443348 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trustkffoundations. Include informatice about revccabllity,settlor and baseliciaries,etc : Jeffrey Epstein Is the sole manager and owner of this entity. Signors on this account will be' Jeffrey Epstein Darren Indyke 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 (trot the same persons). Jeffrey Epstein 6 the sole manager and owner of this entity. Signors on this account will be: Jeffrey Epstein Darren Indyke To the best of yor knowledge, k the entity party to a noneanidno relationship with DeUtSChe (lank (e.g. external legal counsel, client referral son, suppler of goods a servicasp: Yes O No 2 Describe Nature of entity's Primary Business end Invertment Activities Hattie d the business: a real estate holding company. It is a company formed to niland operate all activities associated with a property that Jeffrey Epstein owns in the US Virgin Wands. Countries where business is transacted: USA Number of errebyees: 1+ 3D. Wealth Profile (Only for parties requiring some el wealth delatpUon as Indkated In Section 2) Prnary Country of source of wealth/source of Funds' Piiniary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. babnce sheet or equivalent summery of assets/lkihntier): this company is funded by Jeffrey Epstein's personal wealth Estimated gross receipts m(S): 1,000,000.00 Estimated net profit s(4): 1,000,003.00 Estimated investable assets ($): S I MM - 2 !SI Potential Amount to be invested with PWN (5): Other Known Financial Institution: Institution: Country Est. Assets Under Mgt: Immunize: Country. Ell. Assets Under Mgt: https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002828 EFTA_00016302 EFTA00167054 KYC Print Page 7 of 10 rasa: I Est. Assets Under Mgt: 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-0002829 EFTA_000 16303 EFTA00167055 KYC Print Page 8 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B VA Relationship Nacre SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center 0 • NY/Offshore 0 Moderate tusk mi ro High Risk yhhinisi owing (9 NY Offshore (Compliance Signature) 0 DB Employee 0 De Managed PIC O1)B is Tiustee'Co-Trustee 0 Bearer Shares 4. Attachments A. Type of Photo ID Provided 74 Drives Lkense 2 Passport • NationaVState ID • Other B. Checklist of names (indnaluals and/or eaties) that were submitted for database searches S attached Oyes 0 He C. Please Indicate the resit of the database searches performed ROC searches complete 14 Yes 0 No negative resifts fond Oyes a No PCR checks complete 2 yes • No negative results fond • yes 2 No OFAC checks complete El yes • No negative resifts found Dyes Ri No BIS searches complete (Lexis/Nexis, Falba, Reuters, Dow tones, a 2 yes Olio negative resets found • yes 2 No Denial Orders checks complete 2 yes 0 No negathre resets frond Oyes 2 NO Martinthilc-Hubbell searched (Lawyers/Law Firms only) 0 Yes El NO negathte remits found Oyes 0 No D. Please swwmarize any negative results from the database searches indicated above: E. To the best of your knowledge, has the client ever been convicted of a criminal offense? Eyes 2 No E To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customs threatening kigation against Deutsche riLI Yes El No Bank AG or any of Ks subsidiaries? (If Yes, provide detain below and concert Quality Alpe (Latent/far)) or bteRepuhrtory averol Grotto and my* Comte:Ince immediately) G Does the dent or related party have any financial or other association / interactions withal countries r-1 or regimes sanctioned by the Office of Foreign Assets Control (Cf AC)? LJ Yes 2 No H. Does the dent or related party have any financial or other association/ interactions within high risk r❑L Ji yes 2 No countries? I. Corporate Documentation Martel (Legal Entities Only) 2 yes 0 No • Not Applicable 1. Undisclosed Principal Form Complete (Intermediaries Only) Ores El Ho 2 Not Applicable K. If Lexls/Nexis Search Resuks, Corporate Documents or Other Supporting Documentation is not In English, please provide an English summary of the naturecentents of the non.f mash Documentation: L. Special Risk Factors Does the account have Nexus to Specal Risk Countries' Oyes Elmo Is the account structure unusually complex? Dyes ®No Is there any indication the client set up a non operating company expressly ri for the purpose of transferring shares to third parties' LJ Yes 2 No Is there any indication this could be a prohibited business relationship? Oyes 21ree Are the bearer shares identified subject to acceptable contras? Oyes 21No CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SDNY-0002830 EFTA_000 16304 EFTA00167056 KYC Print Page 9 of 10 M. Case Comments Created By Date Comments Cynthia Rodriguez 12/15/116 2:42 PM Recent research for Damen Indyte and )effrey Epstein can be found in case 016517(19. ONSHORE APPROVALS Ghent Facing PrelesOonal (CFP): tent sohrab Sgnature) .errl sohrab 12/15/2016 Cate Director/Business (lead: Armen Brash ,Signature) Armen &ash 12/15/2016 Regional Office Director Signature) AML Business Rale (Signature) AK Compliance' Ditimra Manley Yoonwn Chung (*nature) Centre Manley Yoonwn Chung 12/20/2016 IMO/2016 LATAM/IMTERNAllONAL APPROVALS Client Facing Professkinal (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GOITH)/Sub- Market Team Heed (91111)c (Signature) Mt Business Risk (Signature) Alt Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests opts clients. To do so. Client Facing Professionals1(1) (CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. 1 confirm that 1 have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that 1 have followed all the procedures relating to account opening as described in the Americas Procedures and the PIM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client 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) B-SD NY-0002831 EFTA_000 16305 EFTA00167057 KYC Print Page 10 of 10 I CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SDNY-0002832 EFTA_000 16306 EFTA00167058