EFTA00167059.pdf

KYC Print Page 1 of 16 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case p : 01704382 Status : 6. Apprond One sheet must be established per relationship list all accounts included in the relationshi -. . 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP: BoDkog (enter New York Relationship Manager. Stewart OldAeld O New PWM Relationship RI Existing RAM Relationship Relationship to MYR If existing, please indicate since when gene rniatonshio exnb, provide reason for new profile and attach old profile: EZ Client Referral O RN Prospect 0 Intennediary/EIM 0 Other Source (CIB, etc.) How Was the Chengs) Introduced' How long has the RM personally known the client? please provide details (e.g. ame of referral source, how many years RN personaly has known client, etc.): /envy Epstein (President of Gratitude /unerka) is a current client of the bank. He and Darren lodyke reached out to Stew Oktheld on 12/23/2016 to open a checking account for its newest entity, Prytanee LLC Does Deutsche Bank pay a retrocession a similar O Yes 19 No compensation to a third party for the introduction of this relationship' Mt Yes, *sate" List all existing and new accounts involved n this relationship Legal Entity Account(%) Account Name / Number Opening Date (intended/actual) 1 9 Prytanee, LIG - Depose 1/6/2017 who is he primary contact PerSSII or the RIS' (Pk" : This person eeds to have signatory rights and/or Information right for the ccounts.): Darren Indyke Referred method of contact (indicate phone no., fax no., e-rildi address, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di8ce... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002833 EFTA_000 16307 EFTA00167059 KYC Print Page 2 of 16 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: itylanee, /LC • Deposit ACct. Number (1 avalablel. Account Manager: stewart °Weld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expeme account)' the purpose of this account is to managing the monthly expenses ol the company Indicate from where the assets are expected to arrive O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate C43 bcation and account detain): 0 Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What Is the expected size and frequency of regular Slows and outflow for the account (Indicate estimated number and volume per month)': OS inflows/outflows between 100k to 500k on a monthly basis What Is the expetted volume of assets and currency for the account approx. 90 days after opening? I 1000000 I CurtenCY I usd What is the expected volume of assets and currency for the account approx. one year after opening> 11000000 I Currency load Doesiwin the client have MSS Under Management (AuM) within DB under Eur. 3M> OYes 0 No nesse list alt parties related to the wont. For each patty: • Check d a source of wealth description is remind for the party. • heck the appropriate box t describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes pply, desert* the party's relation to the account In the -Other column. • Amy describe the relationship between the parties in the List column. • Please dril down o the ultirnate/undWifing Beneficial Ovmer(s). .egal Entkycf Description Source of Weakh required Parties related to this ccount Sccount>1C Holder ISerrior >timeliest of : r01111(5.,' of - 0 ,J14.1Zi01/ ithmare Semen: cal h'il,l'r 3ignatory_knledFlnanclal M Ful 'DA POA Intennedlarraharelsolder (EDI) .%) Signifkant (>.25%) Pion-PIE MANY Indicate ownetship .egal lepresentative atantorjbettksiscundnq Donor Myr (pirase mess ink other des and; or indicate iSitionship setween pants) 1 0 0 Prytanee, tic D 2 O U O 0 0 O 0 0 2 0 O „t rustPant Southern r. n 1--1 0 • 0 0 0 O so O O O 3 la 2 the ! erre Trust O O • O • O O 50 O O O 4 O 0 /effrey K Epstein O O O 0 0 O O O O O sole shareholder of Southern Trust Company, Inc.;000 of Southern Trust ompany, Inc. Which owns 50% of account holder, s O O Darr en Indyke O • • O O O O al O O 6 O 0 Carcine S°Phe Camille V ng O • O 0 0 O O O O O Grantor/Trustee of The Pierre Trust;Grantor/U al The Fleur Trull nhkh owns 50% of the account molder; 7 O O Etknne Rene lean Blunt E I O 2 0 D O O O hops://dbforcepb.my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0002834 EFTA_000 16308 EFTA00167060 KYC Print Page 3 of 16 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-0002835 EFTA_00016309 EFTA00167061 KYC Print Page 4 of 16 One sheet meet be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Samna 3A. Individual Details (for all pubes) Individual's Name: Jeffrey Epstein - Date of Birth: V20/1953 Country of Residence: USVI Country of Cittenship: USA Address of primary residence: Ler Saint James Saint Thomas 00807 MS cheat resided outside of his/her country of nationally for 5 years or may? O yet Fa NG Profession/Occupation: Sell Ernpolyed Tax ID / SSN: Current Employer: Southern Financial LLD Position/Me/Rank: President Address of employer 6100 Red Hook Quarter 83 St. Thomas United States 00802 Does the person work as senior executive of a DO-recognized regulated entity in the financial industry? or an entity Isted on a OB-recognised exchange' (Not applicable for operating entities Dyes 2 No Is the indwdual a Pokkally Exposed Person (PEP)?(/Yes, Yes, describe) ❑°Yes ON° To the best of your knowledge, is the individual related to an employee of the DB group?(r FarneV or Friends/no, describe) Li Family O Friendship Relent To the best of your knowledge, is the individual party to a non-banking relalloinhip with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or wrvices))(rf res,desettbe) o yes o w If applicable, indicate which bank officers have met the person: Indicate where and when the dent meetIng(s) took place: Bank Officer fames) Bank Office: Client Private Donnie: (lent Place of Business: Other Location (specify): Date: O O O O O O O O O O Wealth Details for this individual are not filled in, because they are the same as for the fon:ming person: 3B. Wealth Detain (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 weakh/source of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: R Business Owner O Salary/Earnings g Investment O Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth lot ach of the sources: (e.g. For trusts, how did senior accumulate wealth? For mho: Rance, how did family accumulate wealth?For business owners, how long In business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Epstein began his !Mantle career in 1976 as an options trader at Bear Stearns and became a partner n 1980. In [987, Epstein founded his own finance management firm, 1. Epstein & Co., managing the assets of clients with more than a bigkin in net worth. In 1996, Epstein changed the name of his lam to The [ma cal Trust Company and based it on the island of St. Thomas in the US Virgin Islands. AN of his clients were anonymous except for the very weathy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): 550 MM , 100 MM [signaled Net Worth($): 5500 Mal + Amount of assets planned to Invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: InsUtution: Country: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: https://dbforcepb.my.salesforee.cornhervlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002836 EFTA_00016310 EFTA00167062 KYC Print Page 5 of 16 I Please indicate the ramify situation of the Individual (marital status, other family members, etc.): I 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-0002837 EFTA_00016311 EFTA00167063 KYC Print Page 6 of 16 One 'beet meet be establisbeci for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Samna 3A. Individual Details(fct all pubes) Indreiduars Name: Darren IndyIt* - Date of El-th: Country of Residence: USA Country crICIttenstdp: USA Address of primary residence: Has client resided outside el hisflier country of nationally for 5 years or man, 0 yes fa No Profession/Occupation: lawyer Tax ID / SSIF: Current Employer: Southern Financial tLC Position/Me/Rank: Address of employer: 575 Lexington Ave, 0th Fl Livingston NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entry in the Financial ndusny7 or an entity listed on a DiSrecocintsed exchange? (Not applicable for operating entities D ees 2 No Is the indiedual a Politically Exposed Person (PEP)?(/ Yes, describe) 0 Yes OM To the best of your knowledge, is the indoildual related to an employee of the DB 'VOW(/' Pan* or Friends/I* describe) El Family (OHM. • Friendship 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 wrvices)(tf Yes/describe) o yes E640 It applicable, indicate which bank officers have met the person: Indicate where and when the tient meetIngfs) took plate: Bank Officer Plaine(%) Bank Office: Client Private Domicile: (lent Plied Business: Other Location (specify): Date: stewart oldfield El 0 0 12/23/2016 0 0 0 0 0 • 0Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Detail (Only for parties requiting 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 Weakh/Source of Funds' Summarize Source of Wealth: 0 Business Owner 0 SalarylEamings 0 Investment 0 Inheritance/Gifts 0 Other: Further Descriae Source of Wealth /Detail the history of wealth la ach of the sources: (e.g. For trusts, how did settlor accumulate weakh, For inheritance, how did family accumulate meakh7for business owners, how long in business, how many employees, level of profitability') Indicate type of business, countries of motor activities, important business partners.) Estimated Annual Income(S): Estimated amount of investable assetH$): Estimated net Worth(S): Amount of assets planned to Invest with PWM(S): Other Known Financial Institutions: Institution: Country: Esl. Assets Under Mgt: Institution: Country: Eq. Assets Under Mgt: Institution. Country. Eq. Assets Under Mgt: Please indcate he fa nib, situation of the individual (marital status, other family members, etc.). https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002838 EFTA_00016312 EFTA00167064 KYC Print Page 7 of 16 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-0002839 EFTA_00016313 EFTA00167065 KYC Print Page 8 of 16 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summary lk Individual Details (for all parties) Ind/Musts Name: Calcine Sophie Comae Lang . Date of Bath: Country of Residence: France Country of Citizenship: France Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? No • Yes PrattIon/Occupation: Contemporary Art Tax ID / SSN: Current Employer: Sotheby% Position/Title/Rant Chairman Address of employer United States Does the person work as senior executive of a DO-recognized regulated entity in the Mandril dusts? or an entity ksted on a Off recognised exchange? (Nor applicable for operating entities • Yet R No Is the indralual a Pokically Exposed Pena (PEP)?(Y Yes, describe) Ei Yes No 121 To the best of your knowledge, is the aidividual related W an employee of the 08 groutP(dParneV or Thenciship, describe) O Family O Friendship 2 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, wppier of goods a services),(d Yes,desalbe) O yes o we If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(%) took place: Bank Officer Name Bank Office: Client ent Place of (bent . Business: Other location (speedy): Date: O Ei O 0 0 O O O II O1Yealth Oda& for this Individual are not filed in because they are the same as for the following person: 38. Wealth Details (Onty for parties requiring source of wealth description as radiated in Section 2) Nature of the Individual's Business: Attorney Primary Country of source of wealth/source of Fonds? Primary industry of source of Weath/Souree of Funds? Summarize Source of Wealth: Diuskiess Owner 2 Salary/Earnings 2 Investment O Inheritance/Gas O Other Further Describe Source of Wealth /Detail the history of wealth fa each of the sources: (eq. For trusts, how did settler 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 major activities, important business partners.) The source of wealth for Caroline Lang derives from her employment as Chairman of Sothebys Switzerland. Caroline Lang is internationally recognized for her in-depth knowledge of the art market and her longstanding expertise in Impressionist, Modern and Contemporary art. Appointed Chairman of the Swiss Department of Impressicoist, Modem & Contemporary Art in 2012, this consummate polyglot has advised some of the most important collectors in Switzerland and worldwide. In November 2011, she played a decisive role In the New York sale of AbstractIon.Figurathon, an exceptional private collection of abstract works by Gerhard Richter and Max Emst which realized a world auction record for a work by Richter at the tine. Caroline Lang has also conducted inapt marathon auctions in Switzedand, the UK and Germany, including the historic week-long coin el works of art from Monrepos Castle in Ludrrigsburg In 2000 and the Royal House of Hanover in 2005. Ms Lang also serves as an executive for Warner Brothers Dickler annual income is appra. 950k. Estimated Annual Income($): 450,000.00 Estimated amount of Investable assets(El $1 MM - 2 MM Estimated Net Worth($): $1 MM - 2 MM Amount of assets planned to invest with PWM(g): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: I 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) DB-SDNY-0002840 EFTA_00016314 EFTA00167066 KYC Print Page 9 of 16 Institution: Country: Est. Assets Under Mgt: Please indicate he IansM situation of the indrviclual (marital status, other I and members, 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-0002841 EFTA_00016315 EFTA00167067 KYC Print Page 10 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summon 3k Individual Details (fm all parties) Individual's Plaine: Etienne Pierre lean Binant • ()ate of Birth: Country of Reskience: France Country of Citizenship: France Address of primary residence: Has client resided outside of his/her country of natIonalty for 5 years or mo' • Yes 21 No Profession/Occupation: Finance Tax ID / SSN: Current Emilio/iv: Prytanee LLC Position/tele/Rank: Manager Address of employer 6100 Red Hook Quarter B3 St IlioniasUSVI United States Does the person work as senior xecutrve of a 06-recognized regulated entity in the financial dustry> or an entity ksted on a 06 recognised exchang' (Not applicable for operating entities Dyes @No Is the indwklual a Politically Exposed Person (PEP]?(/ Yes, describe) ages ®No To the best of your knowledge, is the individual related to an employee of the DB 'VOW(/' Pan* or Friendslia describe) El Family (Orient U FrIendshiP 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 our servicesflf Yes/describe) o yes o w If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer flame(%) Bank Office: Client Private Donate: (Bent Plated Business: Other Location (specify): Date: 0 0 0 0 0 0 0 0 0 0Wealth Details for this individual are not flied in, because they are the same as for the frikming person: 3B. Wealth Detail (Only for parties requiting source of swath description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary Industry or source of Weakh/Sourte of Funds" Summarize Source of Wealth: 0 Business Owner 0 SalarylEamings 0 Investment 0 Inheritance/Gifts CI Other: Further Descrize Source of Wealth /Detail the history of wealth No ach of the sources: (eq. For trusts, how did settlor accumulate weakh, For inheritance, how did family accumulate rnealitlitFor business owners, how long in business, how many employees, level of prolltability? Indicate type of business, countries of motor activities, important business partners.) Estimated Annual Imome(S): Estimated amount or investable asseti($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Assets tinder Mgt: Institution: Country: Eq. Assets Under Mgt: Institution. Country. Fid. Assets Under Mgt: Please indicate he lankly situation of the indhodual (marital status, other family members, etc.). https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002842 EFTA_00016316 EFTA00167068 KYC Print Page 11 of 16 One 3C. Legal Entity Details (for all Legal Entities) Legal Entity Name. PryUnee, LLC - Type of Entity: OFoundation/Assocution l..., I O Partnership rust 5 company O Estate Fbrpose of Entity: WIPrivate Investment O Philanthropic/Charitable • Commercial Type of Entity Other (specify): ITC Purpose of Entity Other (SPetifY): COMM of Incorporation/registration: USW Date of incorperatkin / registration: 7/22/2016 Vdcker Status: Determination Required Volcker Hag: No Address (city, street, post code): 6100 Red Hook Quarter B3 St Thomas 00602 United States U.S. TH(/EIN: Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocablllty,settlor and beneficiartes,etc.: This entity is owned 50/50 by Southern Trust Caimans, Inc owned by Jeffrey Epstein and The Pierre Trust in whk h Caroline Lang is the grantor. Etienne absent is the manager al the company. Jeffrey and Caroline share the same affinity for art and decided to become partners iwestiw in artwork from up and coming artists together. They both Invest equally in the purchases of the artwork. The signatories on this account will be: Jeffrey Epstein Darien Indyke Carolne Lang Etienne Binant Please Indicate how ownership of the legal entity Is reflected: MC Agreement O Special attention: Bearer Shares - Indicate where shares are custodied: Descrte the chain from the direct owner of the entity to the ultimate beneficial owner Of not Me same persons,. This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Rene Trust In which Carolne Lang Is the grantor. Etienne Milani Is the manager of the company. Jeffrey and Carolne share the same affinity lot art and decided to become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork. The signatories on this account will be: Jeffrey Epstein Darren Indite Caroline Lang Etienne Binant To the hest of your knowledge, is the entity party toe non-banking midland* with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)): Yes O No Describe Nature of Entity's Primary easiness and Investment Activities Nature ol the business: investment in artwork of up and coming artists Countries where business is transacted: t6VI;Clobal Number of employees: 3+ eet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated in Section 2) Primary Country of source of iveafth/source of Funds' Primary industry of source of VlealtIVSource of Funds, Provide Evidence of Corporate Assets (e.g. balance Meet a eq ivalent summary of assets/babdibes): I he source of wealth for this entity prima* comes from Jeffrey Epstein and Caroline Lang. Please revert to their individual sources of wealth for more details. Eurnated gross receipts p.a.($): 1,000,00000 Estimated net profit pa. ($): 1,000,000.00 Estimated Investable assets (ST $1 Nil . 2 MM Potential Amount to be invested with WM ($): Other Known Financial Insututions: 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-0002843 EFTA_00016317 EFTA00167069 KYC Print Page 12 of 16 institution: County: Est. Assets Under Mgt: Instilldorm 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 3C. Legal Entity Details (For all Legal Entities) legal Entity Plaine: Southern Trust Company, Inc. - Type d (MO: I:: foundation/Association tion 0 Trust RI Company 0 Estate El Partnership purposed Entity: ®Private Investment O Banthrock/Cheritable OCeemnerclal Type of Entity Other (specify): Pu (sPecify of Entity Other rpose ): Country of incorporabooffregistratIon: US Virgin islands Dated incorporation / registration: 11/18/2011 Vokker Status: Detenninatico Required Vokker Flag: Ito Address (city, street, pmt code): 6100 Red Hook Quarter 83 St Thomas, USV100807 United States U.S. TINT IN: Provide a description of the entity'S organizational structure, its ownership structure and its Top Management. for tnith/lOu ndations, include informalico about revocabllity,settlor and benefklarles,etc.: Jeffrey Epstein Is the sole shareholder of Southern Trust Flease indicate how ownership of the legal entity is reflected: O Special attendon: Bearer Shares • Indicate where shares are custodied. Describe the chain from the direct °sorer of the entity to the ultimate beneficial owner Minot the same persons). Jeffrey Epstein es the sole shareholder of Southern Trust To the best d your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods a serservices)': yesL..J .— No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consult and invest dent funds and gain revenue based on lees and returns Countries where business Is transacted: US Virgin Islands Number of employees: 4 3D. Wealth Profile (Only Ica parties requiring source of wealth description as indicated in Section 2) Primary Country of source of weakh/source of Funds? Primary Industry of source of Weakh/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet a eq ivalent summary of assetsrliabities): Consulting Services relying on Financial and Ellornedkal algorithms. Southern Trust is a private consulting company that invests the assets of their clients and gets thew revenue from the return of these investments. Southern Trust invests in different pordolbs catered to their clients and makes they revenue based on the returns and he lees associated with managing their clients assets Estimated gross receipts p.a.(1): 2,000,010.00 Estimated net profit p.a. (5): 1500,030.00 Estimated investable assets (5): 52 MM - 5 MM Potential Amount to be Invested with PWM (5): Other Known Financial institutions: Institution: db Country: usa Est. Assets Under Mgt: Institution: Country: Est. Mitts Under Mgt: Institution: Country: 1st. Assets Under Mgt: One street mast be established for EACH LEGAL ENTITY in Section 2 Account Summary 3C. Legal Entity Details (for all legal Entities) https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002844 EFTA_00016318 EFTA00167070 KYC Print Page 13 of 16 Legal Entry Name: Be Pierre Trust - Tyne of Entity: OFoundaboo/Associabon 0 Trust O Company O Estate O Partnership Purpose or Entity: Purpose rd Entity Other (sPecitr): EOprivate Investment O philanthropic/Charitable O COMMff(Pal Type of Entity Other (specify): Country of Incorporation/regIstration: USVI Date of incorporation / registration: 11/21/2016 Volcker Status: Determination Required Vdcker Hag: No Address (city, street, post code): U.S. TINAIN Provide a description of the entitys organizational structure, as ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficianes,etc.: Grantor•trustreMenefkrary: Car line fang residing at her death, her children become the benHkaries rod both residing it Please indicate haw ownership of the legal entity is reflected: trust agreement O Special attention: Bearer Shares • Indicate where shares are custodled: ..........11 er et entity to the ultimate beneficial owner Of not We same pecsonsf. Grantor/trustee/beneficiary: Caroline Lang resider/ at Cn her death, her children become the benelklarie bath residing at To the best of your knowledge, Is the entity party to a nom banking relationship with Deutsche Sank (e.g. external legal counsel, client referral source, supplier of goods or sertkes)': .---. yes U No121 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: OW Countries where business is transacted: VSVI,6lobal Number of employees - 0 3D. Wealth Profile (Only for parties regunig source of wealth description as indicated in Sectkm 2) Primary Country of source of weaRNsource of Funds.> Primary industry of source of Weath/Source of Funds, Provide Evidence of Corporate Assets (e.g. balance sheet or eq Nalent summary of assets/liabitties): The source of weal, for this trust deities from Caroline Lang. Please revert to her source of wealth for more detads. Estimated gross receipts pea): 1,000,000.00 Estimated net profs p.a. (5) 1,003,000.00 Estimated Investable assets (5): 31 NM - 2 MM Potential Amount to be invested with PWM (5): Other Known Financial Institutions: Institution: Country: Bt. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/serdet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002845 EFTA_00016319 EFTA00167071 KYC Print Page 14 of 16 DB PWM GLOBAL KYC/NCA: US/LatAnairl PART B rA Relationship Name SOUINERN FINANCIAL RELATIONSHIP Risk Ratirig Comments: Booking Center 0 KY ID NY/Offshore 00ffshore IROiskModerate O CJ S High Risk Yoonsun Chung (Compliance Signature) O D8 Employee ODD Managed PlC O 08 s Trustee/Co-Trustee ID Bearer Shares 4. Attaehmemb A Type of Photo ID Provided O Drivers License .4 Passport • National/Slate ID 00ther 8. Checklist of names (indniduals and/or entitles) that were submkted for database searches is attached Oyes El No C. Please indicate the results of the database searches performed ROC searches complete @Yes 0 flo negatrre results found OYes @No PCR checks complete ayes ONO negative results found Ora Eno OFAC chece. complete @ you Ono negative results found Ores Eno INS searches complete (teitis/Nexis, Factna, Reuters. Dow Jones, DAB) @Yes O No negative results found O 'fa El no Denial Orders checks complete ayes O No negative results found Ores @No Martindale Hubbell searched (LawyerifLaw Firms onN) Oyes Eno negative results found 0 Yes Ono D. Please from database summarize any negative results the searches indicated above: E. To the best of your knowledge, has the client ever been convicted of a criminal offense' O Yes Eno F To the best el your knowledge, has the customer ever been invoked in any past litigation agaest Deutsche Bank AG or any of es subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries> (If Yes, pews* obtails actor and contact Quaky Mgt. (tatinVIAt7) ElYeS 2IN° or me Regulus 10y COMM/ GI0140 and not& COMPCJI7CC nnedatek) Does the client or related party have any financial or ether association / interactions within countries or by Office Foreign Assets Control • Yes @No regimes sanctioned the of (OPAL), H Does the client arelated party have any financial or other association/ interactions Ishii high risk countries' Ores Eno I. Corporate Documentation Attached (Legal Entries Only) ®Yes 0 No 0 Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) Oyes Os J Not Applicable K. If Lexk/Nexis Search Resuks, Corporate Documents or Other Supporting Documentation is not In English, please provide an Engksh summary of the nature/contents of the non.English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries' O Yes 2 No Is the account structure unusually complex? 0 yes 0 No for Is there any indication the client set up a non operating company expressly • Yes ® No the purpose of transferring shares to third parties' Is there any indkation this could be a prattled business relationship? 0 Yes 1 2 No Are the bearer shares identified subject to acceptable controls' • Yes E No https://dbforcepb.my.salesforce.com/serviet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002846 EFTA_000 16320 EFTA00167072 KYC Print Page 15 of 16 M. Case Comments Created By Date Comments Cynthia Rodriguez L 10/117 1:12 PM Southern Trust Company nan existing client DB. Thew entity documents can be found n approved case 01007793. Cynthia Rodriguez 1/10/117 1:01 PM The Rene Trust was incorporated in USVI but the graMoutrinteelbene is a foreign national. Therefore there is no tax ID. Cynthia Rodriguez 1718/117 4:59 PM Per 08 Internal Pierre Trust ID because has foreign lax team, the would not require a tax this trust a grantor owner. See attached email from Rich lams'. Cynthia Rodriguez 1/10/117 12:01 AM Recent research for Darren Indite and Jeffrey Epstein can be round in use 01651789. Cynthia Rodriguez 1/10/117 1:03 RI Resolutbn for signing authority has been attached. Cynthia Rodriguez 1/10/117 3:55 PM See attached response Iron Darren Indyke regarding the 71N on the trust. ONSHORE APPROVALS Cient Facing Prolessignal (CFP): tern sohrab Signature) era sohrab Lcli/701/ Office Director/BusMess Head: Armen Brash ,Signature) Armen brash 1/6/2017 Regional Off ke Director: ;Signature) AML Business Risk: (Signature) AMI Compliance linen Mill Yoorisan churn) (Signature) Gatri Hill Yoonsun Chung 1/191/011 1/19/2017 LATAM/INTERNATIONAL APPROVALS ( bent I a( mg IYolessegnal (CI P): (sr:nature) Account Manager: (Srp.ituri.) Global Market Tearn Head (GM11:1)/Sub- Market Team Head (SPITH): rsinnatuto AML Business Risk: (c.rAtilt.) AML Compliance. (sugmtum) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PIII0 worldwide is committed to professionally serve the interests of its clients. To do so. Client Facing Professionals1(1) (CFP's) should establish and maintain business relationships only with pylons who satisfy our high standards of suitability. background and character. Due diligence obtained on the client must be appropriately documented by the CFP. U is the responsibility ofCFP's to demonstinte 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 of my knowledge and belief the above information is Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D B-SD NY-0002847 EFTA_000 16321 EFTA00167073 KYC Print Page 16 of 16 correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the pan of the therm(s) and that I have followed all the procedures relating to account opening as described in the PIM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers. Client Managers. etc. Deutsche Bank Americas New York rA https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002846 EFTA_000 16322 EFTA00167074