EFTA00168622.pdf

KYC Print Page 1 of 41 DB PWM GLOBAL KYC/NCA: PART A KYC Case N : 01977698 One sheet must be established per relationship - list all accounts Included in the relationsh I 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center-. New York Relationship Manager: Stewart Oldfleld O Nov PWM Relationship 12 Existing MN Relationship Relationship to PWM: If existing, please vacate since when the relationship tests, provide reason for net/ profile and attach old profile: •*" 2018 Periodic Review *** El Client Referral O RM Prospect O Intermediary/FIM • Other Source (CIB, etc.) How Was the Clent(s) Introduced? How keg has the RN personaly known the client? Please provide details (e.g. name of referral source, how many years RN persona/I ha known client, etc.): Jeffrey Epstein reached out to Stew Oldfieki on 3/7/17 to have a new acct opened under this relationship.. Last Approved KYC a - M. Butterfly Trust - 1804531: Neptune, LLC - 1790739. Does Deuische Bank pay a retrocession or similar • Yes 15. No compensation to a third party far the .woductlon of this relationship? (if Ys, desatte) Lst all existing and new accounts involved in this reLabonship Legal Entity Account(s) Account Name / Number Opening Crate (intended/actual) 1 • 12/13/2013 2 2 Butterfly Trust - 44130552 - NMB.4.44130552 1/24/2014 3 2 Neptune LW - 42953429 - DDA.42953424 10/18/2013 Who is he primary contact person or the RM? (Note: This person needs to have sgratory nghts and/or information right for the accounts.): Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): Status : U. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000001 https://dbforcepb.my.salesforce.com/serviet/servlet.Integration?lid=0 I N30000000D9Di&e... 4492828965 EFTA_000 18875 EFTA00168622 Kl"C Print Page 2 of 41 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: & Acct Number (if avaitatie). Account Manager: Stewart Wield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term immanent, payment/expense account)? This b a checking account for Individuals. They use the funds for daily expenses. Indicate 2 ■ • K from where the assets are expected to aMve? DB Group: Same Booking Center (indicate account number): Existing DB Group: Other Booking Center (indicate 08 location at account details): Other Institution - (Indicate name & location): Physical Deposits (specify cash, securities, cheques, ...): What is the expected Sze and frequency of regular Inflows and outflows for the accoun (indicate estimated number and volume per month)?: 2.1frrionth; SI - S2000 What is the expected volume of asses and currency for the account approx. 90 days after opening? 24282.99 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 24,28199 I Currency I USD Does/will the client have Assets Under Management (AuM) within CB wider St. 3M? arm@ NO Please list all parties related to the account. For each party: • Check if a source of wean descripuon is required for the party. • Check the appropriate box to descrte the relauonship of the patty to this account (> I can be selected). • f none of the check boxes apply, descnbe the party's relation to the account In the Tither" column. • Always desate the relationship between the parties in the last column. • Pease drill down to the ultimate/ taterlying Beneficial Owner(s). Legal Entrtyof Description Source of Wealth ranted Mes elated to is count AccouniPiC Holder Ovinelmst Settlor of / Founder of Foundation Jitimate Beneficsior Nine Signator&mreo Full POA 'OA Financial Intermedars (FIN) reticent hareholderibicesentative >. 25%) -PIC tiny indicate ership ) _egal Grantor/SettlorFoundingbther Dance :please iincrke 3ther roles and/or ndicate relationship Oetween ,arbes) I K a a K K a a K K K K K 2 K a .0 ■ K !ri is ■ K K K K CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. is). DB-SONY-0000002 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192828966 EFTA_000 18876 EFTA00168623 KYC Print Page 3 of 41 2. Account Ownership Summary Account Name: Butterfly Trust - 94130552 - MMBA Acct. Number (i f evadable): Account Manager. Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory accoLrit, custody senAces, long-term investment, payment/expense account)? This IS a money market deposit account to pay all expenses! disbursements related to the trust. Expenses are taxes, Dust fee, etc Indicate from 'tore the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0 2/month; SO - 51000 What is the expected vokime of assets and currency for the account approx. 90 days after opening? 1709,736.63 I CLrrency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1709,736.63 I Curren cy I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? °Yes El No Please 1St 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 descrte the relationship of the party to the account (> ton be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' column. • Always descrte the relationship between the parties in the last column. • Please drill down to the ultimateftriderlying Beneficial Otrner(s). Legal Entityof Desaiption Source of Wean. mused Parties related to this account AccountP1C Holder CrimerTrust! Senior' of Founder of Foundation Jltimate Benefioabr Saner Signatorydrnitedhnancial Full POA POA Intermedaythareholderfaeprisentatne (FIM) Rgnificant (>., 25%) Non-P1C entity (indicate ownership %) _egal Grantor/SettioSoundl 3onor her ,please aascnbe other roles andfor nd,cate relatiorshop between names) i 2 trust Butter* 2 2 2 O O O O O • • 2 O O Harry Belle r O O O • 9 O O • • • TIIISI44:: O O Enka K rh elleals I—I 1-1 O O • O O O • • O Trustee:: 4 O 9 Jeffrey E. Epgen O O 9 • a o o • • O Grantor of Butterfly Trust; S O O MO OO 5 O O O • • • 6 O O O O El M CI O O • • • 7 O O O O O M O O O • • O 0 O O O O O 2 O O O O O O 9 O O O O O 2 O O O O O O 10 O O O O O M O O O O O O 11 O O O O O 2 O O O O O O 12 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000003 https://dbforcepb.rny.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 4#928?8967 EFTA_000 1 8877 EFTA00168624 KYC Print Page 4 of 41 O O O O O El O O O O O • 13 O O bar g O O O O O O • • • 14 O O O 121 O O O O O • J • SOO t an"' ig O OO O O • N MI • 16 El 2 O O O O O O O O O • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000004 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92828968 EFTA_00018878 EFTA00168625 KYC Print Page 5 of 41 2. Account Ownership Summary Amount Name: Neptune LLC - 42953424 - DDA Acct. Number (if aradaWe). 42953429 Amount Manager. Stewart Oldfleld What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term 'moment, payment expense account)? This k a checking account to pay for all expenses (I.e. electric, maintenance, cable, etc.) on Epstein's NYC home. Indicate from where the assets are expected to aMve? 2 DB Group: Same Booking Center (Indicate account number): hiding • DB Group: Other Booking Center (indicate DB location arid account details): O Other Insotution — (Indicate name & location): O Physical Deposils (specify cash, securities, cheques, ...): What is the expected Sze and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: 15.20/month; $10 - $10000 What Is the expected volume of assets and currency fa the account approx. 90 days after opening? 1207,814.91 I CLerency I USD What Is the expected volume of assets and currency fix the account approx. one year after opening? 1207,814.91 I Currency USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? ario2No Please list all parties related to the account. For each party: • Check if a source of wealth descripbon Is required for the party. • Check the appropriate box to desate the relationship of the patty to the acme-it (> 1 can be selected). • If none of the check boxes apply, describe the patty's relation to the account In the 'Other column. • Always describe the relationship between the polies in the last column. • Please drill down to the ultimatefteidedyng Beneficial Owner(s). Legal intrtrof Docripoon Source of Wealth requeed Parties related to this BCCOLMIt AccounUPIC Holder Onneffrust/ Settle( of Founder of Foundation Jlbmate Beneficialor Owner Signatory Ful POA Limited POA Financial IntermedioyShareholderltexesentative (Flm) Significant (>=25%) Nan-PIC awry (Indicate ownership %) egal Granta/Settlorfounding• Donor the (please 1escrte other roles and/or ndicate relationship Setween 'otos) 1 O ID Jeffrey E. Epsten O O O 2 2 O O O O . Sole Member of Neptune LLC: 2 O O Hat ry Beller O O O O 2 O O O O • 3 O O Darren K. Indyke 0 00 0 e o O 0 0 I 4 2 2 Neptune, LLC 2 O O O O O O O O • 5 O O Rkhard D. Kahn n I—I O O O O O O O O • Manager Yeptune _LC; CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000005 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828969 EFTA_000 18879 EFTA00168626 KYC Print Page I of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) indivedual's Name: IM Date of Bkth: Country of Residence: Country of Ottpenship: Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? O Yes la No Profession/Ocorpatka: Tax ID / SSN: Current Employer: N/A Position/Tide/Rank: N/A Address of employer: N/A Does the perste, work as serer executive of a DDreagnized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in al " YES Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes O Na To the best of your knowledge, Is the Individual related to an employee of the i343 group?(if Family once-iced:At describe) N/A O None • Family • Friendship To the best of your knowledge, is the kxlividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or seivicm)?tif res,elemte) N/A Dyes O No If applicable, indicate wrath bar* officers have met the person: Indcate where and when the client meetng(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domkoile: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this indMdual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as indlated In Seddon 2) Nature of the Individual's Busrness: Homemaker. Solely relies on income from her Wit who is a monor Designer. Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? Other Summarae Source of Wealth: O Business Owner 2 Salary/Earnings O Investment • IMeritance/Gifts 2 Other. Further Desate Source of Wealth did family accumulate Weath 'For ma r activities, important busness Estimated Annual kicome($): /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate business ow how .k n in n partners.) rim I tab::, ? Indicate Estimated amount of investable asset($): wealth? For inheritance, how of business can <St MIA Estimated Net WoRh(S): <SI MM Amount of assets planned to invest with PWM($): 20,00100 Other Known Financial Institutions: Insbtution: Catty: Est. Assets Under Mgt: monition: Catty: Est. Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000006 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM9282897° EFTA_000 18880 EFTA00168627 KYC Print Page 7 of 41 I Insbbition: I I Est. Assets Under Mgt: Please indicate the (amity situation of the inclvidual (mantal status, other family members, etc): Marred to Karyna Shute* CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000007 https://dbforeepb.my.salesforce.com/servlethervlet.Integration?lid=0IN30000000D9Di&e... UM9282897I EFTA_00018881 EFTA00168628 KYC Print Page 8 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indowdual's Name: Date of Skth: Country of Residence: United Rates Country of Otaenship: Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? O Yes ©No Profession/Ocapatka: Tax ID / SSN: Current Employer: Poston/Tide/Rank: Address of envioyer: Does the person work as senor executive of a DB-recognized regulated entity in the finance' ndustry? or an entity listed on a DEI.recoanised exchange? (Not applicable for operating entitles i—i yes g Pb " Is the individual a Politically Exposed Person (PEP)?(if Yes, *scree) N/A O yes g No To the best of your knowledge, Is the individual related to an employee of the DB group?(if Family once-Awash*, describe) N/A g None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or servia)?(if res,clesmbe) N/A Dyes 121 Pb If applicable, indicate ntch bar* officers have met the person: Ind.cate where and when the client meetng(s) took place: Bank Officer Name(s) Bank Offkr ' Cent Private Domcie: Client Place of Business: Other Location (specify): Date: Stewart Oldrield O O RI 123/2017 O O • • Wealth Details for dus indindual are not filled in because they we the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as rioted In Seddon 2) Nature of the Individual's Business: Interior Desgn Primary County of source of wealth/source of Funds? United States Primary ndustry of source of Wealth/Source of Funds? Other Summarae Source of Wealth: O Business Owner OSalary/Earnings O Investment • Inheritance/Gifts • Other: Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For mists, how did sector accumulate Estimated Annual Income($): 150,000.00 Estimated amount of Investable assets($): wealth? For Inheritance, how <51 MM Estimated Net Worth(S): <SI MM Amount of assets planned to invest with PWM($): 2,000.00 Other Known Finance' Institutions: Insbtution: County: Est Assets Under Mgt Insmution: Canby: Est. Assets Under Mgt: Instiwtlon: Canby: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000008 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92829972 EFTA_00018882 EFTA00168629 KYC Print Page 9 of 41 I I I I I I Please Indicate the family situation of the individual (mental status, other family ,u.w t a etc.): flamed to —= CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000009 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828973 EFTA_00018883 EFTA00168630 KYC Print Page 10 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Mew:lugs Name: Jeffrey E. Epstein - 03000483289 Date of Bath: 1/20/1953 Country of Residence: Virgin Islands, US. Country of Citizenship: tinted States Address of primary residence: Uthe Saint James Saint Thomas 00802 Virgin Islands, US. Has client resided outside of his/her country of nationaltty for 5 years or more? O yes ©No Profession/Ocapatkn: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Positionifitle/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Wands, US. 00802 Does the person work as sensor executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles ri Yes 2 Pb " Is the indMdual a Politically Exposed Person (PEP)?(// Yes, *sate) Correction with Prince Andrew and Bill Clinton 2 yes O Pb To the best of your kncmledge, is the individual related to an empkryee of the 08 group?(d Family oneriendS4), describe) N/A O Family O None M I Friendship To the best of your knowledge, is the inclividel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet refetal source, supplier of goods or servidr)?Of l'es,desmbe) N/A O Yes O1 No If applicable, indicate Mich bank officers have met the person: Indcate where and then the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domcdle: Client Place of Business: Other Location (specify): Date: Stewart Oldfield O O 128/2017 • o o O O CI O O Wealth Details for this individual are not filled In, because they are the same as for the following person: 3B. Wealth Details (Orgy for parties remaring source of wealth description as indicated In Section 2) Nature of the Individual's Business: Pnvate investments Primary Ceundy of source of wealth/source of Funds? United States Primary ndustry of source of Wealth/Source of Funds? High Risk Financial Institutions Summarae Source of Wealth: 2 Business Owner O Salary/Eamings O Investment M INpritance/Gifts O Other: Further Desate Sauce of Wealth /Detail the history of wealth for did family accumulate wealth7For business owners, how long in major activities, important business partners.) Jeffrey Edward Epstein States. He worked at Bear Stearns early In Ns career and then formed and physics at the Dalton School in Manhattan from 1973 to 1975. In 1976, Epstein started work as an options trader at Bear Steams strategies. Proving successful in his financial career, ki 1980 Epstein In 1982, Epstein founded his cam financial management firm, J. Leslie Wexner, founder and chairman of Ohm-based The Linked Fitch the following year. In 1992 he converted a private school on weehiest part of Manhattan. In 1996, Epstein changed the name St. Thomas in the U.S. Virgin Islands. In 2003, Epsten bid to acquwe New York magazine. Other bidders Mauler Zuckerman, who had the New York Daily News, and film Wag Street investet, 555 each of the sources: (e.g. For trusts, how did senor axumulate wealth? For inheritance, how business, how many employer, level of creditability? Indicate type of business, countries of (born January 20, 1953) is an Amencan financier and registered sex offender in the United his oval firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus Among his students was a son of Alan C. Greenberg, charman of Bear Stearns. kMere he worked in the special products division, advising tagh-net-worth clients on tax became a partner at Bear Stearns. Epstein & Co., managing the asses of clients with more than 51 billion n net woo. In 1987, chain of women's clothing stores, became a well-known dkent. Wexner acquired Abercrombie & the Upper East Side into an enormous residence. Epstein later bought that property, in the of his firm to the Financial Trust Company and, for tax advantages, based it on the island of were advertrsing executive Denny Deutsch, Investor Nelson Peltz, media mogul and publisher producer Harvey Weinstein. They were ultimately putted by Bnce Wasserstein, a longtime finance Radar a celebrity and pop culture magazine founded by Mae: Rcshan. Epstein and -In-chief, retained a small ownership stake. vino pan mist. In 2004, Epstein and Zuckerman committed up to $25 million to Zuckerman were equal partners in the venture. Roshan, as its editor CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000010 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92828974 EFTA_000 18884 EFTA00168631 KYC Print Page II of 41 Presently, Mr. Epstein founded Southern Trust Company Inc, a private ca-isulting company that invests the assets of their diet and gets thew revenue from the return of these Investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees assodated with managing their diet assets. Estimated Annual kicome($): 10,000,000.00 Estimated amount of Investable assets($): $50 MN - WO MM Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known finandal Institutions: insbtution: Catty: Est. Assets Under Mgt Insbtution: Catty: Est. Assets Under Mgt: Institution: Catty: Est. Assets Under Mgt: Please indicate the family situation of the indvidual (marital status, other family members, etc): WA CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-000001 1 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92829975 EFTA_000 18885 EFTA00168632 KYC Print Page 12 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all panes) Individual's Name: Harry Bever • Date of Bird,: Country of Residence: United States Country of Ottaenship: United States Address of primary residence: Has client resided outside of his//her country of nationality for S years or more? CI yes ©No Profession/Ocaeatka: Accountant Tax ID / SSN: Current Employer. HBRK Associates, Inc Posteri/Tele/Rank: newt:Rant Address of employer: 575 Lexington Avenue, 4th Roor Halsey NY United States 10022 Does the person work as senior executive of a DBrecognlzed regulated entity in the Mandel ndusby? or an entity listed on a DDreccgnised exchange? (Not applicalie for operating entitles in yes 2 Pb I--I Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A O Yes 2 No To the best of your knowledge, Is the individual related to an employee of the DB group?(if Family once-Awash*, describe) N/A g None • Family • Friendship To the best of your knowledge, is the kxlividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or servio)?(if res,demte) N/A O Yes I21 No If applicable, indicate which bank officers have met the person: Ind.cate where and viten the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Vieatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inhentance/Glfts O Other: Further Descrte Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how did family accumulate weath?For business owners, how brig in business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(5): Amount of assets premed to invest with FWM($): Other Known Financial Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000012 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828976 EFTA_000 18886 EFTA00168633 KYC Print Page 13 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-0000013 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828977 EFTA_000 18887 EFTA00168634 KYC Print Page 14 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Erika Kellerhals - Date of Birth: Country of Residence: Virgin Islands, U.S. Country of Citizenship: United States Addressor primary residence: Has client resided outside of he/her country of nationality for 5 years or more? O yes ©No Professlon/Ocaipatlon: Attorney Tax ID/ SSN: Current Employer. Ketterhals Ferguson Kroblin PLLC Postion/Title/Rank: Attorney Address of employer: 9100 Port of Sale Mal, Ste 15 St. Thomas Virgin Islands, U.5.00802 Does the person work as senior executive of a DDrecognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles ri yes 2 lb 1-4 Is the individual a Politically Exposed Person (PEP)?(if Yes, cescree) N/A O Yes 2 Pb To the best of your knowledge, Is the Individual related to an employee of the DB group?(if Family once-Awash*, describe) N/A O None • Family • 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 refeTal source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate wrath bank officers have met the person: Indcate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Clent Private Domiolle: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for tivs individual are not filled In, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Section 2) Nature of the Individual's Busness: Primary Counby of source of wealth/sane of Funds? Primary ndustry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual b-come($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets premed to invest with PWM($): Other Known Financial Institutions: Irebtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000014 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828978 EFTA_00018888 EFTA00168635 KYC Print Page 15 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000015 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92828979 EFTA_000 18889 EFTA00168636 KYC Print Page 16 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Date of Bit: Country of Resdence: Country of Ottaenship: Address of primary residence: Has client resided outside of his/her country of nationality O Yes ©No for 5 years or more? Profession/Ocamatica: N/A Tax ID/ SSN: Current Employer: N/A Position/Ttle/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the finandal ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " YES •-11.5 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A O Yes 2 No To the best."( your knovnedge, Is the individual rented to an employee of the Gl3 group?(if Family once-Awash*, describe) N/A • Family • Friendship O None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate thud[bank officers have met the person: Indcate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Dommile: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this indMdual are not flied in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Indlviduars Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inhentance/Glfts O Other: Further Desate Source of We th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important bus mess partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(5): Amount of assets ',lamed to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000016 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192828980 EFTA_000 18890 EFTA00168637 KYC Print Page 17 of 41 Please Indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000017 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828981 EFTA_000 18891 EFTA00168638 KYC Print Page 18 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) indiwival's Name: Date of Skth: Country of Residence: Country of Ottaership: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O Yes la No Profession/Ocapatica: N/A Tax ID/ SSN: Current Employer: N/A PositianfTklefRank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " YES Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the bestial your knowledge, Is the Individual rested to an employee of the I313 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate wrath bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Offxr ' Cent Private Doma:die: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weakh/Source of Funds? Summate Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance how did family accumulate weath?For business owners, how long in business, how many employees, level of proktatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(5): Amount of assets ',lamed to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000018 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92829982 EFTA_000 18892 EFTA00168639 KYC Print Page 19 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SONY-0000019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92829983 EFTA_000 18893 EFTA00168640 KYC Print Page 20 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Date of Beth: Country of Residence: ■ Country of Ottaenship: Address of primary residence: Has client resided acme of his/her country of nationality for S years or more? O Yes la No Profession/Ocarpatica: N/A Tax ID / SSN: Current Employer: N/A Position/Tide/Rank: N/A Address of employer: N/A Does the perste, work as senior executive of a DB-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " Yes --, No Is the individual a Politically Exposed Person (PEP)?(if Yes, scree) N/A O Yes 2 No To the best of your knowledge, Is the Individual rented to an employee of the Cl3 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dient referral source, supplier of goods or seivicm)?Of res,demte) N/A Dyes 21 No If applicable, indicate wrath bank officers have met the person: Indcate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domiolle: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as rioted In Seddon 2) Nature of the Individual's Busness: Primary Country of source of weakh/sairce of Funds? Primary ndustry of source of Weakh/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of proktatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assed($): Estimated Net Worth(S): Amount of assets ',lamed to invest with FWM($): Other Known Finanaal Institutions: Insdtution: country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000020 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828984 EFTA_000 18894 EFTA00168641 KYC Print Page 21 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SONY-0000021 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92829985 EFTA_000 18895 EFTA00168642 KYC Print Page 22 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Date of Skth: Country of Residence: Country of Ottaership: Address of primary residence: Has client resided outside of hisf her country of nationality for 5 years or more? O yes la No Profession/Ocapatica: N/A Tax ID/ SSN: Current Employer: N/A PositianfTslefRank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the finandal or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in ® ndustry? " YES No Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the bestial your knowledge, Is the Individual rested to an employee of the I313 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banlong relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate with bank officers have met the person: Indcate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Offxr ' Cent Private Domaolle: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Seddon 2) Nature of the Individual's Busness: Primary Country of source of weakly sane of Funds? Primary ndustry of source of Weatth/Source of Funds? Summate Source of Wealth: O Business Owner O SalaryfEamings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how did family accumulate weath?For business owners, how brig in business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(5): Amours of assets planned to invest with FWM($): Other Known Finanaal Institutions: Insdtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000022 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192828986 EFTA_000 18896 EFTA00168643 KYC Print Page 23 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-0000023 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828987 EFTA_000 18897 EFTA00168644 KYC Print Page 24 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) indiwival's Name: Date of Skth: Country of Residence: Country of Ottaenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O Yes ©No Profession/Ocamatica: N/A Tax ID/ SSN: Current Employer: N/A PostionfTkle/Rank: N/A Address of employer: N/A • Does the person work as senior executive of a DEI-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in al " YES ,-, Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the best."( your knowledge, Is the Individual rented to an employee of the I313 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21No If applicable, indicate wrath bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Offxr ' Cent Private Dommile: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weakh/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of probtatety? Indicate type of business, countries of major activities, important busmess partners.) Estimated Annual Income($): Estimated amount of mvestable asset($): Estimated Net Worth(5): Amount of assets ',lamed to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000024 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92829988 EFTA_000 18898 EFTA00168645 KYC Print Page 25 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-0000025 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828989 EFTA_000 18899 EFTA00168646 KYC Print Page 26 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Indiwival's Name: Date of Skth: Country of Residence: Country of Ottaenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O yes ©No Profession/Ocamatica: N/A Tax ID/ SSN: Current Employer: N/A Positian/Ttle/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DEI-recognized regulated entity In the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " YES Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the bestial your knew/ledge, Is the individual rented to an employee of the I313 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate wrath bank officers have met the person: Indcate where and aten the dent meeting(s) took place: Bank Officer Name(s) Bank Offxr ' Cent Private Dommile: Client Business: Place of Other ( Location specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weakh/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance how did family accumulate weath?For business owners, how long in business, how many employees, level of proktatety? Indicate type of business, countries of major activities, important busmess partners.) Estimated Annual Income($): Estimated amount of mvestable asset($): Estimated Net Worth(5): Amount of assets premed to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000026 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM9282899° EFTA_000 18900 EFTA00168647 KYC Print Page 27 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-0000027 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM9289991 EFTA_00018901 EFTA00168648 KYC Print Page 28 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) indivedual's Name: Date of Birth: Country of Residence: United States Country of Ottaenship: tined States Address of primary residence: Has client resided acme of his/her country of nationality for S years or more? O Yes la No Profession/Ocamatica: N/A Tax ID / SSN: Current Employer: N/A Position/Tele/Rank: N/A Address of employer: N/A Does the person work as senior executive of a DEI-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in oni " Yes --, No Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the best of your knowledge, Is the Individual rented to an employee of the Cl3 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, due referral source, supplier of goods or servid)?(if res,demte) N/A Dyes 21 No If applicable, ndicate wrath bank officers have met the person: Ind.cate where and viten the client meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Dommile: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in because they we the same as for the following person: 3B. Wealth Details (Only for parties repining source of wealth description as indicated In Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important busmess partners.) Estimated Annual Income($): Estimated amount of mvestable asset($): Estimated Net Worth(S): Amount of assets planned to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000028 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828992 EFTA_00018902 EFTA00168649 KYC Print Page 29 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-0000029 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828993 EFTA_00018903 EFTA00168650 KYC Print Page 30 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren K. Indyke - Date of Birth: Country of Residence: United States Country of Otbaenship: tinted States Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? O Yes No Profession/Ocamatka: Accountant Tax ID / SSN: Current Employer: Southern Financial LLC Pomba/Title/Rank: Accountant Address of employer: 6100 Red Hook Quarter B3 St Thomas Virgin Islands, US. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicalie for operating entitles in yes 2 No " Is the individual a Politically Exposed Person (PEP)?(if lies, asserhe) N/A O Yes 2 No To the best of your knowledge, Is the Individual rented to an employee of the DB group?(if Family once-Awash*, describe) N/A 2 None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, debt referral source, supplier."( goods or seivicm)?Of res,desmbe) N/A O Yes 2 No If applicable, indicate mtich bank offices have met the person: Ind.cate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Dommile: Client Place of Business: Other ( Location specify): Date: Stewart Dieted 2 CI 12/12/2016 • o O O o o O • Wealth Details for this individual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Seddon 2) Nature of the Individual's Business: Primary Country of source of wealth/sauce of Funds? Primary ndustry of source of Vieakh/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history c4 wealth for each of the sources: (e.g. For trusts, how did settle accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of prolitadity? Indicate type of business, countries of major activities, important busmess partners.) Estimated Annual Income($): Estimated amount of mvestable asset($): Estimated Net Worth(S): Amours of assets planned to invest with FWM($): Other Known Finanztal Institutions: Insdtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000030 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828994 EFTA_000 18904 EFTA00168651 KYC Print Page 31 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-0000031 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92828995 EFTA_000 18905 EFTA00168652 KYC Print Page 32 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) individual's Name: Richard D. Kahn Date of Ikth: Country of Residence: United States Country of Ottaenship: tinted States Address of primary residence: Has client resided outside of Itiher country of nationality for 5 years or more? O Yes la No Profession/Ocorpatka: Accountant Tax ID / SSN: Current Employer. HBRK Associates, Inc Pomba/Tide/Rank: Accountant Address of employer: 575 Lexington Ave, 4th Fl New York NY United States 10022 Does the person work as senior executive of a DB.recogNzed regulated entity in the finandal ndusby? or an entity listed on a DB.recognised exchange? (Nat applicable for operating entitles n yes 2 lb I--, Is the individual a Politically Exposed Person (PEP)?(if Hes Sate) N/A O Yes 2 Pb To the best of your knordedge, Is the individual related to an employee of the I313 group?(if Family once-Awash*, describe) N/A 12 None • Family • 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 seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate which bar* officers have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domicie: Client Place of Business: Other ( Location specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Seddon 2) Nature of the Individual's Busness: Primary Counby of source of wealth /sane of Funds? Primary ndustry of source of Vieakh/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: Further Des irte Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how king in business, how many employees, level of proktatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual b-come($): Estimated amount of investable asset($): Estimated Net Worth(5): Amount of assets premed to invest with FWM($): Other Known Financial Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000032 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92829996 EFTA_000 18906 EFTA00168653 KYC Print Page of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-0000033 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828997 EFTA_00018907 EFTA00168654 KYC Print Page 34 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Date of Bit: Country of Resdence: Country of Ottaenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O Yes ©No Profession/Ocapatica: N/A Tax ID/ SSN: Current Employer: N/A Postion/Ttle/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the finandal ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " YES •-11.5 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A O Yes 2 No To the best."( your knovnedge, Is the individual rented to an employee of the Gl3 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate %%Koh bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domiodle: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for Curs indMdual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Indlviduars Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Glfts O Other: Further Desate Source of We tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(5): Amount of assets ',lamed to invest with FWM($): Other Known Arran:al Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000034 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92829998 EFTA_00018908 EFTA00168655 KYC Print Page 35 of 41 [Pease indicate the family situation of the Inevidual (mental status, other family members, etc.): I One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (For at Legal Entities) Legal Entity Name: Butterfly Trust - 00000486926 Type Cl Entity: O Foundation/Association 0 Trust O Company O Estate O Partnership Purpose of Entity: WI Private Investment O Philanthroplc/Chantable O Commercial Type of Entity Other (specify): of Entity Depose Other (specify): Country of incorporation/registration: Virgin Islands, U.S. Date of incorporation / registration: 12/27/2006 Status: Idenafled on Customer Profile Volcker Rag: No volcker Address (oty, street, post code): 6100 Red Hook Quarter 83 St, Thomas 00802 %Amin Islands, U.S. U.S. TINfEIN: Provide a description of the entitles revocability,setbor and benefidaries,etc.: This is an rrevocable mist set are HaMeller and Erika *glebes. Darren Indyke ISO organizational structure, Its ownership structure and its Top Management. For trusts/foundations, include information about up by Jeffrey Epsten as the grantor. The the bend-cedes for the bust are bang updated by the current trustees. The trustees The beneficiaries we: M 10F CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000035 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828999 EFTA_000 18909 EFTA00168656 KYC Print Page 36 of 41 Attached are the original trust agreement and the addition/deletion of beneficiary instrumeM to support this change. According to the original trust agreement, the trustees have the right during the lifetime of the Grantor to delete or add beneficianes trider &tide 3 of the agreement. Please indicate how ownership of the legal entity Is reflected: Addition of Beneficianes attached O Special mentor,: Bearer Shares - Indicate where shares are aistoded: Describe the chain from the direct owner of the entity to the ultimate beneficial owner Of not the same persons): This 6 an trevocable trust set up by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current bvstees. The trustees are Harry Beller and Erika Kelerhals. The beneficiaries are: Darre nRichard Kahn I I I To the test of your knowledge, s the entity party to a non.banking relationship with Deutsche Bank (e.g. external legal counsel, <bent referral source, supplier of goods or services)?: N/A Yes O No e Describe Nature of Entity's Primary Business and Investment Activitim Nature of the business: Trust account Countries where Dustless is transacted: Virgin Wands, U.S. Number ce employees: N/A 3D. Wealth Profile (Only for pastes reposing source of .‘eath descnoton as indicated A Section 2) Primary Country of source of health/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (eg. balance sheet or equivalent summary of assets/liabilities): Trust account with Jeffrey Epstein as Grantor. Initial $103 gNen to the amount to fund. The funds for this trust account come from investments made by Jeffrey EPsten. His wealth profile is filled out. Estimated gross receipts p.a.(S): 4,500,000.00 Estimated net profit ea. ($): 4,500,000.00 Estimated investable assets ($): SS MM - 10 MM Potential Amount to be invested woh PWM (S): 703,003.00 Other Known Financial Institutions: Institution: Country: Est. Asset Under Mgt: Institution: Country: Est. Asset Under Mgt: Insawlion: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (Foe all Legal Entities) Legal Entity Name: Neptune, LLC - 00000487264 Type of Entity: O Foundation/Association O Tn.& 21Company O Estate n O Partnership rurP°se cif Entity: 0 PrNate Investment O Philanthropic/Chartable O Commercial Type of Entity Other (spedfy): Pur Other pose of Entity (specify): Country of Incorporation/registration: United States Date of Incorporation / regisbation: 12/21/2011 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P.1.). DB-SONY-0000036 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92824°°° EFTA_00018910 EFTA00168657 KYC Print Page 37 of 41 Volcker Stabs: !dandled on Customer Profile Vokker Flag: No Address (city, street, cost code): 100 Red Hook, Quarter 63 Ron Th as 00602 Virgin Islands, S. U.S. TIN/EIN: Provide a descriptkn of the entitys organizational structure, its ownership structure and its Top Management. For buns/foundations, include Information about rev.xability,sthdor and benefidarles,etc.: Singe member LLC. Jeffrey Epstein ts the sole member. The signors on this account we Jeffrey pstein, Hany Beller, Darren Indyke. Richard Kahn Is the manager. Please indicate how ownership of the legal entity is reflected: Operating Agreement O Speoal attention: Bearer Shares - Indicate where shares are custothed: Describe the chain from the direct owner of the entity to the ultimate benetiaal owner ('foot the some pawns): Single member LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Harry Beier, and Darren Indyke. Richard Kahn is the manager. To the best of your knowledge , is the entity party to a non.bankano relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: WA Yes CI No El Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This LW was formed to hold the funds necessary to cover the costs and taxes assooated with (Liming Jeffrey Epstein's NYC home Countries where busness is transacted: United Stites Number of employees: 3 3D. Wealth Profile (Orgy for parties rearing source of wealth description as indicated in Section 2) Primary Country of source et neattlysource of Funds? United States Primary industry of source of VYealtn/Source of Funds? High Risk Francis' InslibAlons Provide Evidence of Corporate Assets (e.g. balance sheet or equivaleM summary of asset/liabilities): This LLC is funded by contributions made by Jeffrey Epstein. Estimated gross receipts p.a.(S): 1,000,000.00 Estimated net profit pa. (S): 1,000,000.00 Estimated investable assets ($): 4$1 MM Potential Amount to be invested with PM (s): Other Known Flnanoal Institutions: Institution: Country: Esc Asse13 Under Mgt: Insatution: Country: Est. Assets Under Mgt: MsbbAlon: Country: Est. Asseith Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SONY-0000037 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824 °°I EFIA_00018911 EFTA00168658 KYC Print Page 38 of 41 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART, Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Boolung Center 0 NY LO Offshore CI Mcdente Risk ra ai Hgh Risk • Offshore (Compiance Signature) 0 DB Employee 0 DB Managed PIC Trustee/Co-Trustee 0 Bearer Shares • DB is 4. Attachments A. E Z Divers License 2 Passport 0 National/State ID MI Other - Darren Type of Photo ID ProIded Intlyke & Richard Kahn GCIS * 486405 & • m* theckltst of names (inctviduals and/or entities) that were submitted fa database seances6 hes attached 2 Yes 0 No C. Please indicate the results of the database searches performed RDC searches complete 2 Yes 0 No negative results found ®Yes 0 No PCR checks complete 2 Yes 0 No negative results found ®Yes • No OFAC checks complete 2 Yes 0 No negatwe results found Oyes 0 No BIS searches complete (Lexis/Nexis, Facbva, Reuters, Dow Jones, •) rd yes 0 No negatwe results found Ores • No Denial Orders checks complete 2 Yes 0 No negatwe results found Ores ONo Martindale-Hubbell searched (Lawyers/Law Firms only) 2 Yes • No negatwe results found 0 Yes 2 No D. Please summarize any negative results from the database searches indicated above: Harry Belle: - No negative media - Harry Beller Is the plaintiff in the court case, also It has been disposed. •. - No negative media - No court cases Butterfly Trust - No negairre media - No court cases = - No negative media - No court cases Jeffrey Edward Epstein: - Negative media relates to the sex offence In the past which are already cleared. (KYCO - 01790655) - Court cases relates to Jeffrey's sex offence In the past which is already cleared, another is a recent ongoing ow lawsuit pertaining to fraud, but part of normal busaness operations for this client. And In one of the case he's neither defendant nor plaintiff. He's just named as a respondent and the case s Immatenal in nature. - Criminal Filings relates to sex offence which is already cleared n the past - RDC alert found - Sex offences in the past which has been cleared - Clearance attached. Mary • - No negative media - No court cases Darren Indyke: - Negative news El Google relates to Jeffrey Epsteln's Foundation and are not material in nature. - Court case mentioned Irk Google search relates to Jeffrey Epsten's sex offence in the past which has been cleared already. Darren IS Just an attorney for Jeffrey in the case. - Fircosoft alert has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Atte] and was cleared in the previous KYCs. Attached clearances - RDC alert found - realates to violation of NYSE Arca Equities Rule - Oearance attached M - No negative media - No cart cases CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000038 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=01N30000000D9Di&e... UM92824°°2 EFFA_00018912 EFTA00168659 KYC Print Page 39 of 41 Enka Ketlerhals: No negative media No court cases No negative media - Court case is immaterial since she is not a defendant nor plaintiff. Her name is just mentioned as miscellaneous. Case is closed as well. Neptune LLC: - No negative media - No court cases No negative media No court cases No negative media No court cases No negative media No court cases Mi - No negative media - No can cases - No negative media - No can cases ]SC Interiors LLC: - No negative media - No court cases Southern Trust Company Inc: - No negate media - No court cases E. To the best of your knowledge, has the dent ever been convicted of a criminal offense? RI Yes Ono To the bet of yon knowledge, has the customer ever beer involved ri any past litigation against Deutsche Bank AG or any c4 its subsidiaries or is the customer threatenng litigation against O Yes RI No F' Deutsche Bank AG or any."( its subsidiaries? (If Yes, pruvh cleats below and contact Quay Mgt. (Lattm/Intl)o r the Regulatory Control Croup and nobryConwhance immediett•ly) Does the dent or rated party have any financial or other association interactions within countries ri Yes 21 No G. or retarna sanctioned by the Office of Foreign Assets Control (OFAC)? Does the dent or related party have any financial ix other association! interacbons within high risk I—I H. Yes 2 No countries? I. Corporate Documentation Attached (Legal Entities Only) El Yes O No O Net Applicable 3. Undisclosed Principal Form Compiete (Intermediaries Orgy) O Yes O No 2 Not Applicable IC If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation S not Ill English, please provide an English anmary of the nattrefantents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? Oyes Mho Is the account structure unusual,/ complex? O Yes 21 No Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? Is there any indication this could be a notated business relationship? Oyes El No Oyes Mho Are the bearer shares Identified subject to acceptable controls? O Yes O No CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SONY-0000039 https://dbforcepb.my.salesforce.com/servlet/servlet. Integration?' id=01N30000000D9D &e... U§192824003 EFIA_00018913 EFTA00168660 KYC Print Page 40 of 41 M. Case Comments Created By Date Comments Kshitij Golae 9/25/11 10 04 AM This KYC serves a te for the below listed clients (together "accountholders" — 1. & 2. Butterfly Trust 3. Neptune LLC Below are the reasons why we are comfortable with approving tNs KYC: • Information and supporting documents required by our AML Porky were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction acbay. • There are a few risk factors associated with the accountholders— SOW: The U80 (Jeffrey Epstein) is the . SOW verification was obtained. In addition, Negative Media & PEP: There is some negative media against Me Epstein and he is also maintains a close relationship with all Ointon and Prime Andrew. Meese see risk calculator for more informabon. Appropriate approval was °blamed. • Our review did not identify any red flags and thus there was no need to escalate ttn case further. • We performed due diligence seardies on all parties and did not find the names searched to be on any sanctions lists. Mayur Rathod 9/3/118 3:17 MI No material changes confirmation "email" attached in the case. ONSHORE APPROVALS Cent Facing Professional (CEP): Stewam adfiekl (Signature) Stewart Oldfield 9/5/2018 Office Director/Business Head: Stever MattuS (Signature) Steven Mattis 942018 Regional Office Director: (Signature) AML Business Risk (Signature) AML Compliance: Kshmj Golam (Signature) Kstsbj Gerard 9/25/2018 LATAM/1NTERNATIONAL APPROVALS Cent Facing Professional (CFP): (Signature) Account Manager. (Signature) Global Market Team Head (GMTH)/Sub-Markel Team Head f511TH): (Signature) AML Business Risk (Signature) AML Comp&ance: (Signature) CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-0000040 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824°°4 EFIA_00018914 EFTA00168661 KYC Print Page 41 of 41 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 sari* 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 of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. i confirm that I have no suspicions relating to the money laundering or unethical activities on the pan of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. I(e). DB-SDNY-0000041 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=0IN30000000D9Di&e... U§192824°°5 EFFA_00018915 EFTA00168662