EFTA00168815.pdf

KYC Print Page 1 of 18 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01790739 One sheet must be established per relationship - list all accounts included In the relationship 1. Relationship DetaNs Relabonship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Oldbdd O New ROI Relationship RI Existng PWM Relationship Relationship to PWM: If existing, please indicate shoe when the relatiorship exists, provide reason for new profile and attach old profile: "'This KYC is a periodic review for hip risk remediation*•• Original KYC1346733 El Olent Referral 0 RM Prospect 0 Intermedary/FIM • Other Source (CI8, etc.) How Was the Oient(s) Introduced? How long has the RM personally known the client? Please provide details (e.g. name of referral source, how many years RM personaly has known dent, etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under Zorro Management LLC and add tno new signors to this new acct ork Does Deutsche Bank pay a retrocession or similar O Yes 12 No compensation to a third party for the introduction of this relabonship? af Yes, asst e.. list all existing and new accounS involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (Intel-KW/actual) I A Gratitude America, Ltd-44133251 2/18/2015 2 2 Neptune, LLC - Deposit-42953424 10/18/2013 3 e NES, LLC- Deposit-42953758 11/8/2013 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accoLnis.): Darren ThcbrIce Preferred method of contact (indicate phone no., fax no., e.mail address, etc.): Status : 6. Approved CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0) DB-SDNY-0000195 U§19 2 8y1) 158 EFTA_00019068 EFTA00168815 KYC Print Page 2 of 18 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Grautude America, Ltd Acct. Number °lava/table)! 44133251 Account Manager: Paul Morris What is the purpose of the account (e.g. pcetfdio management, adveory account, custody services, long-term investment, payment/expense account)? Money market account to hold funds and earn interest Indicate from where the assets are expected to arrive? 2 08 Group: Sane Booking Center (indicate account number): 44133251 0 08 Group: Other Booking Center (indicate DB location and account details): 0 Other Insbtubon - (Indicate name B. location): 0 Physical Deposes (specify cash, secoAdes, cheques, ...): What is the expected size and frequency of regular Mows and oublows for the account (irder-ate esbmated number and volume per month)?: Roughly 1-3 inflows and outflows per month ranging from 510,003 to $100,000 What is the expected volume of assets and currency for the account approx. 90 days after opering? 1339,273.79 !Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1320655.00 iCurrency I DSD Does/wd the diet have Assets Under Management (AM) within DB under Eur. 3M? U yes 2 No Please list all parties related to the account. For each party: • Check If a source of wealth desaeotion is refired for the party. • Check the appropriate box to desate the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other' column. • Alway aesatte the relationship between the parses in the last column. • Please drill down to the ubnatetunderlying Beneficial Owner(s) _egalbescnOtion Inbtyof Source of Wealth required (account Parties related to this AccouneNC Holder 3wnerTrust Senior of / Founder of Foundation Jltimate Seneficialor 'ismer SgnatorNmiteeFiranoal Full POA , OA IntemiediaryShareholder (FINI) Significant (>=25%) Non-PIC entity (indicate ownershp %) Legal Representative 3rantor/Settlat oundingOther Donor (please descnbe other roles andbx ndicate relationship between parties) 1 0 0 Darren Indyke rn " K 0 0 0 2 0 0 0 Ll CI 2 0 2 1 Jeffrey E. Epstein n " Do & 2 0 0 0 • CI sole member of c; 3 2 12 Gratitude America lid 2 0 0 D O DO CI • CI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000196 44928241" EFIA_000 19069 EFTA00168816 KYC Print Page 3 of 18 2. Account Ownership Summary Account Name: Neptune, LLC - Deposit Acct. Number ( 1 available). 42953424 Account Manager: stewart oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account used for the daily needs of running )dfrey Epstein's home in NYC. Indicate from where the assets are expects to anise? 2 Of3 Group: Sane Booking Center (indicate account number): 42953424 O DB Group: Other Booking Center (inckcate DB locabon and account detals): O Other Insbtubon - (Indicate name & location): 0 Physical Deposits (specify cash, secunbes, cheques, ...): What is the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 5,1000 to 510,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? 1 147,865.38 I Currency I usd What is the expected volume of assets and currency for the account approx. one year after opening? 275000 I Currency I usd Does/vi the client have Assets Under Management (Ala) within DB under Eur. 3M? • Yes J No Please list all parties related to the account. For each party: • Check if a source of wealth description is !enured for the party. • Check the appropnate box to descrte the relationship of the party to this account (> I an be selects). • If none of the chedc boxes apply, &sate the party's relation to the account in the "Other' column. • Alway descrte the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s) _egaibescnotco nbtycif Source of Wealth required Parties related to this account Account Holder IC OwnerTrust Settlx of / Founder ofOwner Foundation Ultimate Benefldabar Signatory Full POA UmitedFinancial POA IMermede (AM) igntficant hareholdenepresentative > =25%) n.PIC indicate ership ) .egal Grantor/Settloroundingether 3onor • (please describe other roles and/or ndicate relationship between parties) sole member of Neptune Ile: 1 O 9 Jeffrey E. Epstein O O O r. El O O O • 2 Q 2 Neptune,. LLC !7 O O • • O O • • • 3 O O Darren Indylce ri 1.—I O O O O O O N • O 4 O O Harry Beller O O O O 2 O O O O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000197 UW328y3160 EFTA_000 19070 EFTA00168817 KYC Print Page 4 of 18 2. Account Ownership Summary Account Name: NES, LLC - Deposit Acct. Number (/laiegable). 42953758 Account Manager stewart of What is the purpose of the account (e.g. portfolio management, advisory aoxunt, custody services, long-term investment, payment/expense account)? Deposit accost to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes and earn interest Indicate tram where the assets we expected to arrive? 2 DB Group: Sane Booking Center (indicate account number): 42953758 0 DB Group: Other Booking Center (indicate DB location and account deLals): O Other lnsbtubon - (Indicate name & location): 0 Physical Deposits (specify cash, secunbes, cheques, ...): What is the expected me and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-3 inflows and outflows pa' month ranging from $1000 to $10000 What is the expected volume of assets and currency for the account approx. 90 days after opening? 1319,765.84 I Currency I usd What is the expected volume of assets and orrency for the account approx. one year after opening? 1 15000000 I Currency I usd Does/wi the client have Assets Under Management (Ala) within DB under Eur. 3M? ann 2No Please Ilst all parties related to the account For each party: • Check if a source of wealth desciption is reared fo the party. • Check the appropriate box to desote the relaticnship of the party • If none of the check boxes apply, descnbe the party relation to • Alway desote the relationship between the pates n the last • Please drill down to the ultimate/ underlying Beneficial Cvmer(s to this accont (> 1 can be selects). the account in the "Other' column. column. . _egaiDesoVtion Entity,' Source of Wealth *equired Parties related Sa this account AccounWIC Holder Onnearust Settler of I Founder of Foundation titillate Beneficial Owner Signatotwimitetinancial ar Full POA POA ntermediayShannolder ,FIM) Significant (>=25%) Non.PIC entity (indicate ownership %) Legal Representative Grantor/SettlorFoundindOther Donor (please describe other roles and/or ndicate velatiorship Oetween mites) 1 2 2 ES, LNLC 2 O O O O O O O O O 2 O 2 Jeffrey E. Epstein O O O 0 a O O O O O 3 O O Da men Ind& r-i ' O O O a O O O O O 4 O O Ha Boler ri I-I O . • a O O O • O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDN Y-0000198 U§192824161 EFIA_000 19071 EFTA00168818 KY(' Print Page 5 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnershlD Swum 3A. Individual Details (for all parbes) IncWiduars Name: Darren Indyke - Date of Birth: Country of Residence: USA Country of Obzenship: USA Address of primary nridence: Has client resided outride of his/her minty of nabxelity fix S years or more? o Yes O No Profinsim/Ocaipaten: Lawyer Tax ID/ SSN: Cirrent Employer: Southern Financial LLC Position/Title/Rank: Address of employer: S75 Lexington Avenue, 4th A Livingston NY United States 10022 Does the person work as senio executive of a DB-rexgnized regulated entity in the financial ndustry? or an entity listed on a DB-reozgnised exchange? (Not applicable for operating enbties ri "It 2 No Is the individual a Pohbcally Exposed Person (PEP)?(if Yes, tote) O Yin 5 No To the best of your knowledge, is the idvidual related to an employee of the DB group?(if Family or friendship, desist*. ) O Family 0 None • Friendship To the best of your knowledge, is the ixividual party to a non•banldng relationship with Deutsche Bank (e.g., external legal counsel, client referral same, suppler of goods a services)?(if Yesdesmbe) O Yes 1i No If applicable, indicate which bank officers have met the person: Indicate where and when the dient meetng(s) took place: Bank Officer Name(s) Bank Office: Cknt Private Domicile: Client Place of Business: Other Location (specify): Date: 0 0 • 0 O O O O O • Wealth Details for this richvidual are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Inclviduars Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O &islets Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other. Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how del settle,' accumuate wealth? For inheritance, how did family accumulate wea th?For business owners, how long in busker's, how many employees, lied of profitability? Indicate type of business, canines of major acbvitles, important business partners.) Esbmated Annual Mcome($): Estmated amount of investable assets($): Esbmated Net Worth($): Amount of assets planned to invest with PINTO): Other Known Financial Institutions: Inskubon: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Inskubon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000199 UM92824162 EFIA_000 19072 EFTA00168819 KYC Print Page 6 of 18 I I I I I I I Please locate the family situation of the Individual (mental SLOE, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000200 UW192814163 EFIA_000 19073 EFTA00168820 KY(' Print Page 7 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnashlD Swum 3A. Individual Details (for all parties) Indwiduars Name: Hany Beller - Date of Birth: Country of Residence: USA Country of Obzenship: USA Address of primary rinelence: Has client resided outride of his/her minty of nabxelity for S years or more? O yes O No Profinsen/Ocaipatien: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Address of employer: 575 Lexington Avenue, 4th Boor flonsey NY United States 10022 Does the person work as senlo executive of a OB-reozgnized regulated entity in the financial reustry? or an entity listed on DB-reozgnised exchange? (Not applicable for operating entitiesI—I ri Yes RI No Is the individual a Polibcally Exposed Person (PEP)?(,T Yes, tote) O Yin 5 No To the best of your knowledge, is the Wdvidual related to an employee of the DB group?(// Family or friendship, desist*. ) O Family 0 None • Friendship To the best of your knowledge, is the ixividual party to a non-banking relationship with Deutsche Bank (e.g., edernal legal counsel, client referral same, suppler of goods a senAces)?(if Yes,desmbe) O Yes 0 No If applicable, indicate which bank officers have met the person: Indicate where and when the dient meetng(s) took place: Bank Officer Name(s) Bank Office: Oent Private Domicile: Client Place of Business: Other Location (specify): Date: 0 0 • 0 O O O O O • Wealth Details for this ridrodual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated in Seem 2) Nature of the Inclviduars Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O &meets Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other. Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how de settler accumuate wealth? For inheritance, how did family accumulate we th?For business owners, how long in buskins, how many employees, lied of profitability? Indcate type of business, countnes of major acbvltles, important business partners.) Estimated Annual Inome($): Estmated amount of investatle assets($): Estimated Net Worth($): Amount of assets planned to invest with PINTO): Other Known Financial Institutions: Insbtubon: Country: Est. Assets Under Mgt: Insbtubon: Country: Est. Assets Under Mgt: Insbtubon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-OO0O2O1 "M92844164 EFTA_000 19074 EFTA00168821 KYC Print Page 8 of 18 I I I I I I I Please locate the family situation of the Individual (mental SLOE, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000202 U§I9 2824165 EFTA_000 19075 EFTA00168822 KY(' Print Page 9 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnershlD Swnm 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Otizenship: USA Address of primary naidence: Utte Saint James Saint Thomas 00802 United States Has client resided outside of his/her country of nationality fix 5 years or nxte? O yes O No Profinsam/Ocapatim: Self Errpolyei Tax ID / SSN: Curent Employer: Southern Finandal LLC PositkoffitleRank: President Address of employer: 6100 Red Hook Quarter B3 St. Thanes United States 00802 Does the person work as senio executive of a DB-recognized regulated entity in the financial ndustry? or an entry listed on a DB-recognised exchange? (Not applicable for operating entities n I—I Yes 2 No Is the indvidual a Politically Exposed Person (PEP)?(AY YeS, desalt e) close relationship with Bill Orton and Prince Andrew. 2 Yes • No To the best of your knowledge, is the nelvidual related Wan employee of the DB group?Of Family or Friendship, (legate) El Family 0 None • Friendship To the best of your knowledge, is the ixlividual party to a non-banking rdationship with Deutsche Bank (e.g., external legal counsel, client referral swore, suppler of goods a sernces)?(if resdesmbe) O Yes RI No If applicable, indicate which bank officers have met the person: Indicate where and ivhen the dient meeting(s) took place: Bank Officer Name(s) Bank Office: Cknt Private Domicile: Client Place of Business: Other Location (specify): Date: 0 0 • 0 O O O O O • Wealth Details for this ridrodual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for pates requiring source of wealth description as Indicated in Section 2) Nature of the Indviduars Business: Private investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: @Buenas Owner O Salary/Earnings 0 investment O Inheritance/Gifts O Other. Futter Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settle accumuate wealth? For inheritance, how did family accunulate wealth?For badness owners, how long in business, how many employees, levd of profitability? Indicate type of business, canes of major activities, irrcatant business partners.) Jeffrey Edward Epstein (ben January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career arc then formed his own firm, J. Epstein & Co. In 2008, Epstein was convicted of sdcitrig an underage gel for prostitution, for which he served 13 months in prison. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started week as an options trader at Bear Stearns where he worked in the special products dMsion, advising high-net-worth die-M on tax strategies. Proving successful in Ns finandal career, in 1980 Epstein became a partner at Bear Steams. In 1982, Epstein founded his own frendal management firm, J. Epstein & Co., managing the assets of clients with more than SI billion in net worth. In 1987, Liebe Weiner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a wdl.knoivn dent. Wexner acqked Abercrombie & Rtch the following year. In 1992 he converted a private school on the Upper East Side into an enamous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Finandal Trust Company and, for tax advantages, based ton the island of St. Thomas in the US. Veen Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising aecutive Donny Deutsch, investor Nelson Pet, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outb:d by Bruce Wasserstein, a longtime Wall Street investor, who paid S55 million. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000203 449 28%166 EFTA_000 19076 EFTA00168823 KYC Print Page 10 of 18 In 2004, Epstein and Zuckerman committed up to $25 aim to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these invesbnents Southern Trust invests in different portfolios catered to then dents and makes their revenue based cri the returns and the fees associated with managing der dent's assets. Estimated Annual bxane(S): 10,000,000.00 Estimated amount of investable assets($): $50 MM - 100 WI Estimated Net Worth($): $500 KM • Amount of assets planned to invest with PWM($): Other Known Financial Insbtubons: Institute,: CoLnay: Est. Assets Under Mgt: Institute,: Canby. Est. Assets Under Mgt: Institution: Canby. Est. Assets Under Mgt: Please indicate the family situation of the individual (mantel slams, other family membes, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Gratitude Awe ca Ltd - 0000:1499760 Type of Enbty: 2 Foundatica/Associabri O Trust O Company O Estate O Partnership purpose of SAY: O Private Investment PhilaMhroptc/Charitable 0 Commercial Type of Entity Other (specify): Pirpose of Enbty Other (speedy): Country of incorporabcniregistration: USV1 Date of incorporation / registrabon: 4/25/2012 Volcker Status: Estate or Charitable/Atlanta:tic Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter, B3 St. Thomas 00802 United States US. TIN/EIN: 660789697 Provide a description of the entity's organizational structure, its ownership structure and its Top Management For trusts/foundations, include informal:en about revocability,settlor and benefcenes,ete.: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Erica Keflerhals is Secretary. The signors on this account are Jeffrey Epstein and Darren Indyke Please ritlicate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the dein from the died owner of the enbty to the ulbmate beneficial owner (if not the same personsA 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is trustier and Erika Kellerhals is Secretary. The signors on this account are Jeffrey Epstein and Darren Indyke To the best of your knon4edge, is the entity party to a non.banking relationship with Deutsche Bank (e.g. external legs counsel, dent referral source, supplier of goods or services)?: r-i Yes LJ No mi Describe Nature of Entity's Primary Business and investment Activities Nature of the business: The foundation has not yet started distntubng birds and is still determining what endeavors they will supped. They hope to support a broad range of efforts induding, but not limited to, education, science, research, etc. Countries where Pea-Jess is transacted: USA, USV1 Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Pnmary Country of source of vrealth/scurce of Funds? Primary industry of source of Wealth/Scurce of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equvalent summary of assets/batates): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000204 4#9 28y4167 EFTA_000 19077 EFTA00168824 KYC Print Page 11 of 18 he foundation is funded by Jeffrey Epstein. Please revert to his source of wealth for more details. Estimated gross receipts (Is): 500,003.00 Estimated net profit ($): 500,000.00 Estimated investable assets (§): S2 MM - 5 MM Potential Amount to be invested with PWM (5): 100,000.00 Other Known Financial Institutions: Institution: DB Country: USA Est Assets Under Mgt: 100,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summ 3C. Legal Entity Details (For all Legal Entities --egal Entty Name: Gratitude America - I ype of Entity: Estate WI Foundatca/Associatco O Trust O Company O O Partnership , r uwse of Entity: Private Investment O 121 PhilaMhropic/Charitable O Commercial Type of Entity Other (specify): of ty Purpose Other (specif Enti y): Country of incorporattniregistrabon: US/1 Date of incorporation / registration: 4/25/2012 voider Status: Estate or Chatable/Philantopac Volcker Flag: No Address (city, street, post code): 6100 Red Hock Quarter, B3 St. Thomas 00802 US. TIN/EIN: 66.0789697 Provide a description of the entity's organizational structure, its ownership structure and its Top Management For trusts/foundations, indude information about revocability,setdor and benefcianes,etc.: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indylce is treasurer and Enka Kellerhals is Secretary. The signors co this account are Jeffrey Epstein and Darren Indyke Please ixIcate how ownership of the legal entity is reflected: 501(c)3 founder:tn. Jeffrey Epstein is president, Darren Indyke is treasurer and Erika Kek•rhals is Secretary Shares - Indicate where shares are custodied: • Special attention: Bearer Describe the chain from the direct owner of the entity to the dtinate beneficial owner Of not the same persons). 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke 6 treasurer and Erika Kellerhals is Secretary. The signors on this account are Jeffrey Epstein aid Darren Indyke To the tort of your knoMedge, is the entity party to a non.banking relationship with Deutsche Bank (e.g. external legal counsel, dent referral source, supplier of goods or services)?: yes D No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: The foundation supports a broad range of efforts including, but not limited to, education, science, research, etc. Counties where business us transaztoz: USA, USVI Number of employees: 3 .-- 3D. Wealth Profile (Ony for antes requiring source of »eatth descnption as indicated in Scotto 2) Pnmary Country of scarce of vrealth/scurce of Funds? Pnmary industry of source of Wealth/Scarce of Funds? Provide Evidence of Cap:rate Assets (e.g. balance sheet or equivalent summary of assets/letrites): The foundation is funded by Jeffrey Epstein. Please revert to his source of wealth for more details. Estimated gross receipts ($): 500,000.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(6) DB-SONY-0000205 U§192824168 EFIA_000 19078 EFTA00168825 KYC Print Page 12 of 18 Estimated net profit (5): 50000000 Estimated investable assets (5): 451 MM Potential Amour to be invested with PWM (5): 100,000.00 Other Known Financial Insbtutions: Institut:cm DB Country: USA Est Assets Under Mgt: 100,000.00 Instituden: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For as Legal Entities Legal Entity Name: Neptune, LLC - 00000,187264 Type of Entity: O Founclatonbassociatico O Trust RI Company O Estate El Partnership Purpose of SST: 2 Private Imestment 0 Philanthrodc/Charitable 0 Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporaben/registration: USA Date of incorporation I registration: 12/21/2011 Voldcer Status: Determinate., Required Volcker Flag: No Address (city, street, post code): 6100 Red Hock, Quarter B3 St, Thomas 00802 U.S. TIN/EIN: 454093384 Provide a description of the entity's organizational structure, its ownership structure and its Top Management For trusts/foundations, indude infennaten aboct revocability,sedor and benefcianes,etc.: Single member Lit 3effrey Epstein is the side member. The signors on this axcunt are Jeffrey Epstein, Harry Beller, and Darren Ind/Ice. Please ixIcate how ownership of the legal entity is reflected: Shares - Indicate where shares are custodied: • Special attention: Bearer Describe the drain from the drect owner of the entity to the ultimate beneficial owner (if not the same persorsA To the best of your knov.4edge, is the entity party to a non.banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: .--. yin U No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Ths LLC was formed to held the funds necessary to cover the costs and taxes associated with running Jeffrey Epstein's WC home Counties where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties requiring source cf kwatth oescnpton as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source d Wealth/Source of Funds? Provide Evidence of Cap:rate Assets (e.g. balance sheet or equivalent summary of assers/hablites): This LLC is funded my catributkns made by Jeffrey Epstein. Estimated gross receipts (5): 1,000,000.00 Estimated net profit U. (5): 1,000,000.00 Estimated investable assets (5): <SI MM Potential Amount to be invested with PWM (5): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(6) DB-SDNY-0000206 U§t92824169 EFIA_000 19079 EFTA00168826 KYC Print Page 13 of 18 I Other Known Financial Insbtubons: Institution: rib Country: usa S. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: One sheet must he established for EACH LEGAL ENTITY in Section 2. Amount Summant 3C. Legal Entity Details (For al Legal Emotes Legal Entity Name: NES, LLC - 0000348726S Type of Er : O Foundaten/Associaten O Trust I2I Company O Estate 0 Partnership „ °nose of ErttY: RI Private Investment O PhilaMhroac/Charitable O Commerdal Type of Enoty Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: USA Date of incorporation / registration: 8/13/1998 Volcker Status: Detemanaticri Required Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter, B3 St, Thomas 00802 United States US. TIN/EIN: 13.4146141 Provide a description of the en itys organizational structure, its ownership structure and its Top Management For trusts/foundations, indude infonnabcn about revocability,setbor and tenekenes,etc.: Single member LLC. Jeffrey Epstein is the sole member. The signors on this account we Jeffrey Epstein, Darren Indyke and Harry Beater Please ixIcate how ownership of the legal entity is reflected: O Special attentien: Bearer Shares - Indicate where shares are custodied: Describe the chain from the dreg owner of the entity to the Libmate benefidal owner (mew Vie same persons To the best of your knowledge, is the entity party to a non.tenking relationship with Deutsche Bank (e.g. external legs counsel, client referral source, supplier of goods or services)?: Yes 0 No 2 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: NES, LLC was formed to take care of the events associated wth running one of Jeffrey Epstein's homes Castries where buskins is transacted: USA, USVI Number of employees: 3D. Wealth Profile (Onty for parties requiring source of wealth description as indicated in Section 2) Primary Country of sane of wealth/source of Funds? Primary industry of source of Wealth/Spree of Funds? Provide Evidence of Cap:rate Assets (e.g. balance sheet or eprvalent summary of assers/liabrites): All funds come fran Jeffrey Epstein, who has been previously Estimated gross receipts U.($): 1,000,000.00 Estimated net profit S. (5): SOO,000.00 Estimated investable assets (5): <51 MM Potential AmoLnt to be invested with PWM (5): Other Known Financial Institutions: Instotubon: 108 I Country: I USA I Est. Assets Under Mgt: I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000207 UM 9 2814170 EFIA_000 19080 EFTA00168827 KYC Print Page 14 of 18 Instotutal: Country: S. Assets Under Mgt: Insttuton: Country: S. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0) DB-SONY-0000208 U§192824171 EFFA_00019081 EFTA00168828 KYC Print Page 15 of 18 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center 2 NY OOffshere NY/ D offshore CI RiskModerate ni ai t High Risk Yoonsun Chung (Compliance Signature) 0 DB Employee El DB Managed PIC 0 DB is Trustee/Co-Trustee CI Bearer Shares 4. Attachments A. Type of Photo ID Provided 2 Drivers License 2 Passport 0 Nabonal/State ID 0 Other EL Cheddist of names (individuals and/or entities) that were wankel for database searches is TA Yes 0 No attached C. Please indicate the mulls of the database searches performed RDC searches complete 2 Yes • No negative resits found OYis FA No PCR checks complete al Yes • No negative resits found atis 5 l'i, OFAC checks complete 2 Yes • No negative resits found OYis 210a BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow ores, 2 Yes 0 No negative resits found Ora 2 No Denial Orders checks complete 2 Yes 0 No negative resits found Orin 2 Na Martindale-Hubbell searched (Lawyers/Law Arms ally) 0 Yes 2 No negative resits found ans 0 No D. Please summarize any negative results from the database searches indicated above: GRATITUDE AMERICA: No negative media No court cases DARKEN INDYKE: Negative media mentions Ns name as an owner of a building. The negative media is not about him individually but about the others mentioned. No court cases JEFFREY EPSTEIN: Previously approved KYC it:01082293 & 01121718 An negative media pertains to cart cases which have been previously approved in the above mentioned KYCs. Court Cases have been dosed Neptune LLC: The court case in the research is a false positive aol does not refer to the entity that is part of this KYC The entry in the cart case refers to a NYC entty owned by Salvatore Judie, where as the entity n this KYC is a USVI entity solely owned by Mr. Epstein. Neptune LLC owned by Jeffrey Epstein donated to Gary Krig's campaign for $5,200 in 2006. Mr. Epstein is dready noted as a PEP E. To the best of yam knowledge, has the dent ever been convicted of a criminal offese? 74 Yes 0 No F' To the best of your knowledge, has the custemer ever been involved in any past litigation against Deutsche Bank AG or any of is subsidiaries or is the customer threatening kigabon against 0 yes 2 No Deutsche Bank AG or any of is subsidiaries? (II Yes, provide Malls telow and ceaWd Quay Mgt (LatAm/Int?) or the Regulatory Control Group and notify Compliance immediately) G' financial Does the client or related party have any or other association / interactions within • El No Office Foreign Control Yes counties a regimes sanctioned by the of Assets (OFAC)? H Does the client or related party have any financial or other association/ rtemctions within high risk Eyes 2 No counties? I. Cap:tate Docunentabon Attached (Legal Entities Only) RI Yes 0 No 0 Not Applicable J. Undisclosed Principal Fam Complete (Intermediaries Only) 0 Yes 0 No 2 Not Applicable K. If Lexis/Nexis Search Resells, Corporate Documents or Other Supporting Dcaimentation is not in English, please provide an English summary of the nature/contents of the non.English Documentation: L. Special Risk Factors CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(0) DB-SONY-0000209 U§192824172 EFTA_000 19082 EFTA00168829 KYC Print Page 16 of 18 Does the account have Nexus to Special Risk Countries? O Yes @ No Is the accant structure unusually complex? °Yin RI No Is there any eidication the client set up a non operating company expressly for the purpose of transferring shares to third parties? n LI Yes 2 No Is there any eidication this could be a prohibited business relationship? II Yon r No Are the bearer shares Identified subject to acceptable controls? O Yin No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000210 UW19 2 814173 EFIA_000 19083 EFTA00168830 KYC Print Page 17 of 18 M. Case Comments Created By Date Comments Dimitra Manley 8/16/117 3:06 PM This KYC serves as a high risk update for the below listed dients (together "accountholders, - 1. Gratitude America, Ltd 2. Neptune, LLC 3. NES, LLC Below are the reasons why we are co-datable with approving this KYC: • Informaton and supporting documents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the aomund and expected transaction activity. • There are a few risk factors associated with the accountholders - SOW: The UBOs (Jeffrey Epstein) is the founder of Southern Trust Company Inc, utich manages dents assets. SOW venficabon was obtained. Negative Media & PEP: There is some negative meda against Mr Epstein and he is also maintains a dose relzbonship with Bill Omton and Prince Andrew. Please see risk calcuLator for more informar. Appropriate approval was obtained. • Our review did not identify any red flags and thus there was no need to escalate this case further. • We performed due digence searches an all parties and did not find the names searched to be on any sancbons lists Cynthia Rodriguez 8/16/117 1:32 PM Client confirmed on a call that there were no changes to these accounts on 7/26/2017. Cynthia Rodriguez 7/13/117 10:05 AM Haze Trust and Butterfly trust have been removed from this remediabon kyc and added to kyc case 01804531 as beneficiary information is still pending. Cynthia Rodriguez 7/10/117 11:59 AM Source of Wealth for Jeffrey Epstein is attached. ONSHORE APPROVALS Client Fadng Professxnal (UP): stewart °Wield (Signature) stewed ddfield 7/5/2017 Office Director/Business Head: Andrew F Gallivan (Signature) Andrew F Gallivan 7/6/2017 Regional Office Director. (Signature) AML Business Risk: (Signature) AML Compliance: D. Manley coo Kshiti) Golani Yoorsun Chung (Signature) D. Manley obo Kshitu Gdani Yoonsun Chung 8/16/2017 8/16/2017 LATAM/INTEFtNATIONAL APPROVALS Client Fadng Professional (CFP): (Signature) Account Manager. (Signature) Global Market Team Head (GMTH)/Sub-Market Teem Head (Sf4TH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000211 UW328y3174 EFTA_00019084 EFTA00168831 KYC Print Page 18 of 18 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PiVM) 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 persons who satisfi, 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. 6(0) DB-SDNY-0000212 UM 9 2814175 EFTA_000 19085 EFTA00168832