EFTA00168930.pdf

KYC Print Page 1 of 16 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01946825 One sheet must be established per relationship - list all accounts Included In the relationshi I. Relationship Details RelatkinsNp Name: SOUTHERN FINANCIAL RELATIONSHIP Booldng Center. New Yak Reratkinsnp Manager. Stewart COMM O New PWal Relationstsp 2 Existing PWM Relationship Relationship to PWM: If edging, please Indicate since when the relationship exists, ptride reason for new profile and attach ad profile: 2018 Perkelic Review 2 Dent Referral 0 RM Prospect 0 Interrnedialy/mm 0 other Source (GB, etc.) Hon Was the Chent(s) introduced? How long has the RM personally known the client? Please provide details (eg. ame of referral source, ham many years RM personally has known dent, etc.): Jeffrey Epstein met win Slew °weld on 3/7117 to open new acct for other entity. PM has known tits client for 4 years. Previously approved KYCNO1704382 Does Deutsche Bank pay a retrocession or NrNlar 0 Yes I 2 No compensation to a third party for the introduction of this relationship? (If Yes, desenbel. List al existing and new accounts involved In the relationship Legal Entity Accounts) Account Name! Number Opening Date ontendecvactum) 1 2 Rytanee, LW - Deposit 1/20/2017 Who Is the primary contact person or the RM? (Note: Ibis person needs to have signatory rights and/or information right for the accounts.): Darren Indylce 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-SONY-0000310 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... UM92814273 EFIA_00019183 EFTA00168930 KY(' Print Page 2 of 16 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Prytanee, LLC - Deposit Acct. Number (Nava/40W Account Manager: stewed °Meld What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? the purpose of this account is to managing the montNy expenses of the company. Deposit account related to art purchases. Indicate from where the assets are expected to arrive? 2 DB Group: Sane Booking Center (indicate account number): O DB Group: Other Booting Center (Indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposes (spedfy cash, securities, cheques, ...): What Is the expected size and frequency of regular infbws and outflows for the account (Indicate estimated number and volume per month)?: 0-5 infloins/outflows between 100k to 50Cic on a monthly basis What Is the expected volute of assets and currency for the account approx. 90 days alter opening? 15197,882.14 I °ataxy I usd What Is the expected voluteof assets and currency for the accosts approx. one year after opening? 15197,882.14 I °malty I usd Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes 10 No Please list all parties related to the account. For each patty: • Check if a source of wealth description is required for the party. • Check the appropriate box to desolte the relations,* of the party to this amount (> 1 can be selected). • f none of the check boxes apply, describe the partys elation to the accout in the 'Other" co urn. • /Ways describe the relation hip between the parties In the last column. • Please dud down to the Libmatejundedying Beneficial Owner(s). Legal Enbtyof Description Source of Wealth required Parties seated to the account AccounlplC Nelda DivnerTrust Staid of / Founder of Foundator UMmate Bernefidalkor Owner 9gnatory._imiteci Full POA ?OA Financial IntermediayStrareholderRepreservative (FIN) Significant (>=25%) Non-PIC entity (Indicate ownership %) -ego! Grantor/Settot Founding Donor Other (please Jesaibe other des and/or Indicate relationship between parties) 1 O P1 u Prytanee, a O O O • O O O D O 2P10 Southern Trust Company, Inc. i—i I—, m ill O O O O 50 • D • 3 O O The Pierre Trust O O O O O O D 50 O O O 4 O g Jeff rey Epsten r "" j 0 2 E 0 O O O sole shareholder of Southern Trust Company, Inc.;9 ynee, LI.C;Sde Pr UB taO at Southern Trust [mealy, Inc. which owns 50% of account hotly; 5 O O Darren Inclyke K • O • O E. O O El O O fisrytanee, LW; 6 D 0 Caroline scow cams Lang . . , • 5 El E O O O O Grantor/Trustee of The Pierre Trust;Sde 3rantor/UBO of The Pierre Trust whith owns 50% of the aount VIeler;SPPrytanee, _LC;Settior to The 'terre TRIM; Trustee:For The 'terre TRIM; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000311 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814274 EFIA_00019184 EFTA00168931 KYC Print Page 3 of 16 r a enne K Nene n einant °° ° ° r f L ytanee, LC;Managing enter of nee: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000312 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814275 EFIA_00019185 EFTA00168932 KYC Print Page 4 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershin Summ 3A. Individual Details (fx all pates) IndWduall Name: Jeffrey EI)57.tr r • Date of Birth: 1/20/1953 Country of Residence Virgin Wands, U.S. Country of Citizenship: United States Address of primary residence. Little Saint Janes Sant Thomas VI 00802 United States Has client resided outside of his/her country of nabonality for 5 years or more? O yes 2 No Profession/Occupation: Sew Empolyed Tax ID / 55th: Current Empbyer. Southern Financial LLC Positionfittle/Rank: President Address of employer: 6100 Red Hook Quarter 83 St Thomas VI United Slam 00802 Does the person work as senior executive of a DB-recognized regulated entty In the Mandel rdustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating entitles O Yes O No is the indNidual a Politically Exposed Person (PEP)?(A Ves. describe) Mr Epstein rreintains a close relationship vath EA Clinton and Prince Andrew, Duke of York (United Kingdom). 2 yes O No To the best of your knowledge, is the indiNdual related wan employee of the DB group?"Fomrlv or Frendsh4e, descnte) O Family El Friendship 2 None To the best of your knov.lectge, is the indiNdual party to a non-bariking rdabonship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(IT Yes,descrite 1 r-i r__, Yes 0No If applicable, imitate whith bank officers have met the person: Indicate where and when the dlent meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Dernicle: Dent Place of Business: Other Location (specify): Date: O O O o o o O O • O Wealth Details for this Inca/dual we not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties reqdring smote of wealth desaiption as indicated In Section 2) Nature of the Increlduars Business: Private investments Primary Country of source of %earth/source of Funds? United States Primary Industry of source of WeartlySoLoce of Funds? High Risk Financial Institutions Summarize Source of Wealth: @Business Omer O Salary/Earnings g Investment O Inheritance/Gifts O cthec Fluthef Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For Inheritance, how did tinily accanulate wealth?For business owners, how long In butane's., how many employees, level of profitability? Indicate type of business, countries of inapt activities, important business partners.) Epstein began his financial career In 1976 as an options trader at Bear Stearns and became a partner In 1980. In 1982, Epstein founded his own financial management Arm, J. Epstein & Co., managing the assets of clients with mote than a bi n in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his dents were anonymous except for the very wealthy businessman Lesfe Verner. His math has come from hs days at Bear Stearns and his financial management Arms. Personal account balance - $4rnillon. Fnandal Trust Company later merged Into Southern Financial U.C. Refer last approved KYC cases 01898372 for full SOW verification of Jeffrey Epstein. Estimated Annual hicome(p): 10)330,003.00 Estimated amount of investable assels(S): $50 MM - 100 MM Estimated Net WortIKS): $500 MM + Amount of assets planned to Invest with MHO): Other Known Financial histItubons: Institution: 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(a) DB-SONY-0000313 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814276 EFIA_00019186 EFTA00168933 KYC Print Page 5 of 16 I I I I i Please indicate the family situation of the Individual (mantel stabs, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000310 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814277 EFIA_00019187 EFTA00168934 KYC Print Page 6 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershb Summ 3A. Individual Details (Fs all pates) IneWduall Name: Darren Ircti, i, - Date of Birth: Country of Residence: United Stated Comity of Citizenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 yearS or more? O yes 2 No Profession/Occupation: Lawyer Tax ID / AN: Current Empterfer. Southern Financial LLC Positionflltfe/Rank: Lawyer Address of employer: 575 Lexington Ave, 4th Fl Livingston NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entty in the finanal nclustry? or an entity listed on a DB-recognised exchange? (Not applicable (or operating entitles OYrdONo IS the individual a Politically Exposed Person (PEP)?(d Fes describe) Oyes 0 No To the best of your knowledge, Is the IndiNdual related wan employee of the DB group?0f &meg, or Friendst(o, darner) O Family O Friendship @None To the best of your knowledge, Is the IndiNdual party to a non-bariking rdabonship with Deutsche Bank (e.g., external legal counsel, client referral son, supplier of goods or services)?(r Yes/describe) i--i i__, Yes 0 No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Cade Private Domicle: Dent Place of Other Business: Last on (specify): Date: sterrart ordfleld 2 O O 12123/2016 O O O O D • O Wealth Details for this Inca/dual we not filled in, because they are the same as for the folovdng person: 38. Wealth Details (Only for parties rem:ring son of wealth description as indicated In Section 2) Nature of the InclivIduall Business: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of Wealth/caste of Funds? Summarize Source of Wealth: O Business 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 Mists, how did settle( accumulate wealth? For Inheritance, how did fanny accumulate weelthtFOr business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of inapt activities, important business partners.) Btlmated Annual Income($): Estimated amount of Investable assets(s): Btlmated Net Worth($): Amount of assets plains to invest wilh PW14($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Ngt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Ngt: Please Indicate the family situation of the hdividual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000315 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814278 EFIA_00019188 EFTA00168935 KYC Print Page 7 of 16 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000316 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814279 EFIA_00019189 EFTA00168936 KYC Print Page 8 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account OwnershlD Summ 3A. Individual Details (Fs all parts) Irdilduars Name: Gamine Sophie Comae Lang ' Date of Birth: Country of Residence France Country of Citaenship: France Address of primary residence: Has client resided outside of hislher country of nationality for 5 years or more? O yes 2 No Profession/Occupation: Contemporary Art Tax ID / SSN: Current Employer: Sothebys Position/Title/Rank: Chairman Address of employer: 2, Rue Francois-Diday Geneva SMUCIIMA 1204 Does the person work as senior executive cf a DB-recognized regulated entty in the Mandel naustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities OYal2l No Hthe individual a Politically Exposed Person (PEP)?(d Ve4. describe) Oyes 0 No To the best of your kroaledge, Is the IndiNdual related wan employee of the DB group?(f famriv or Friendstko, darner) O Family O Friendship 2 None To the best of your knovitedge, Is the indiNdual party to a non-baring rdabonship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(1 Yes/describe) r -r u Yes 0 No if applicable, Indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicle: Dent Place of Business: Other Location (specify): Date: O O O O O O O D • O Wealth Details for this Inca/dual we not tilled in, because they are the same as for the (plowing person: 3B. Wealth Details (Only for parties regLiring son of wealth description as indicated in Section 2) Nature of the Individuals Business: Carob* Lang recognised for her indeed, knowledge of art market& expertise in Impresionist, Nlodem & Contemporary art P6(63ly Country of once of wealth/source of Funds? Switzerland Primary Industry of source of Wealth/Sowce of Funds? Payment Processors / multilevel marketing companies Summarize Source of Wealth: O Business Owner 2 Salary/Earnings g Investment O Inheritance/Gifts O Cher: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did fanny accumulate wealth?For business owners, how long In business, how many employees, level of profitability? Indicate type of business, countries of map actwites, important business partners.) The source of wealth for Caroline Lang clerks from her employment as Olarman of Sothebys 5w:island. Caroline Lang is internationally recognized for her in-depth knowledge of the art market and her longstanding expertise in Impozssiorist, Modem and Contemporary art. Appointed Chairman of the Swiss Depstrnent of Impicssiorist Modem & Contemporary M in 2012, cis consummate polyglot has advised some of the most important collectors in Switzerland and worldwide. In November 2011, she played a dedslve role in the New York sale of AbstracUon-figurarion, an exceptional private collection of abstract works by Gerhard Richter and Max Ernst which realized a world auction record for a work by Richter at the time. Caroline Lang has also conducts major marathon auctions in Switzerland, the UK and Germany, Including the historic week-long sales of works of art from Monrepos Castle in Luckvigsbrag in 2000 and the Royal House of Hanover in 2005. Ms Lang also saves as an sceattlue for Warner Brothers Inc,.Her annual Income 6 approx. 450k. Bamated Annual Income(p): 450,000.03 Estimated amount of kwesrable assets($): $1 MM - 2 MM EMmated Net WortI(S): $1 Mal - 2 MM Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Instilition: Country: Est. Assets Under Mgt: Instilition: Country: Est. Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000317 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814280 EFIA_00019190 EFTA00168937 KYC Print Page 9 of 16 Institution: Country: Est. Assets Under Mgt: Please indicate the family stuabon of the Individual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Da-soNr-ocomia https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U7/t92014281 EFIA_00019191 EFTA00168938 KYC Print Page 10 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershb Summ 3A. Individual Details (Fs all pates) Irdilduars Name: Etienne Pierre Jean Binant - Date of Birth: Country of Residence France Gouty of Cibzenship: France Address of primary residence: Has client resided outside of hislher country of nationality for 5 years or more? O yes 2 No Profession/Occupation: Finance Tax ID / SSN: Current Employer. Prytanee LLC Positionaltle/Rank: Manager Address of employer: 6100 Red Hook quarter B3 St Thomas VI United States 00802 Does the person wale as senior executive of a DB-recognized regulated entty in the Nianoal nclustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles OYmONo Ls the individual a PoliticaiN Exposed Person (PEP)?(d Ve4. describe) Oyes 0 No To the best of your krofeledge, Is the IndiNdual related wan employee of the DB group?0f famdv or Friendslt(o, darner) O Family O Friendship @None To the best of your knovitedge, Is the indiNdual party to a non-banking rdationship wth Deutsche Bank (e.g., external legal counsel, client referral son, supplier of goods or services)?(1 Yes/describe) i--i i_i Yes 0No If applicable, imitate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private DornIcle: Dent Place of Other Business: Location (specify): Date: O O O O O O O ID • O Wealth Details for this Inca/dual we not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties rem:ring smote of wealth description as indicated In Section 2) Nature of the Individuals Business: Primary Country of smote of wealth/source of Funds? Primary Industry of source of Wealth/Smote of Funds? Summarize Source or Wealth: O Business Omer O Salary/Earnings O Investment O Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sputa:5: (e.g. For trusts, how did settle( accumulate wealth? For Inheritance, how did fanny accunulate weath?For business owners, how long In business, how many employees, level of prontablitty? Indicate type of business, countries of inapt activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets(s): Btlmated Net Worth($): PIVOUrbt of assets planned to invest with PWI4($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Indicate the family situation of the mdMdual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000319 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814282 EFFA_00019192 EFTA00168939 KYC Print Page 11 of 16 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entitles) Legs Entity Name: Rvtanee, I.LC - Type of Entity: O FoLndation/Assooation Ell Trust O PartnersNp % Company O Estate Purpose of Entity: 2 Private Investment O Philarobropic/Charitable OConvnercial Type of Entity Other (specify): ill Purpose (way of Entity Oilier ): Country of incorcoraton/regicoation: Wgin Wands, U.S. Date of ineorporabon / registration: 7/22/2016 Status: Identified on Customer Profile Volcker flag: No Volcker Address (city, street, post code): 6100 Red Hods Quarter 83 St Thomas VI 00802 United States U.S. TIN/EIN: Provide a description of the entity's organtrational stitilure, its ormership structure and its Top Management. For trusts/foundations, include information about revocabity,settkr and benercia les,etc.: This entity is owned 5050 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor. Etlenre Sinant Is the manager of the company. Jeffrey nd Caroline share the same affinity for art and decided to become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork. The signatories on this account Ml be: Jeffrey Epstein Darren Indyke Caroline Lang Etienne Want Please indicate how ownership of the legal entity is reflected: LLC Agreement 0 Speoal attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate benefidal owner tie not the some persons,A IFS entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in vaich Caroline Lang is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the OftwOrk. To the best or your knowledge, is the entity party to a non-baking relationship with Deursche Bank (e.g. extsnai legal aruisel din referral souroe, supplier of goods or services)?: Yes O No 2 Describe Nana* of Entity's Primary Business and Investment Activities Nature of the business: Engaging in the acquisition, onnersho and management of artwork for investment purposes. Artwork and cash to purchase the artwork are the only assets. Countries where business is transacted: Virgin Islands, U.S. Number of employees: 3+ 3D. Wealth Profile (0Ny for parties requiring source of wealth description as inctcated in Section 2) Primly Country of source d wealth/source of Funds? UNted States Primly industry of son of Wealth/Soiree of Funds? High Risk Financial Institutions Provide Evidence of Corporate MSS (e.g. balance sheet or equIvalent summary of assets/Utilities): The source of wealth for this entity primarily comes from Jeffreyfipstein and Caroline Lane. Please revert to their individual sources of wealth for more details Estimated gross receipts .($): 1,000,000.00 Estimated net wont a (0: 1,000,000.00 Estimated investable assets ($): $1 MM - 2 MM Potential Amount to be invested with PAS1 (5): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under SIgt: Institution: Country: Est. Assets Under SIgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0) DB-SONY-0000320 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814283 EFFA_00019193 EFTA00168940 KYC Print Page 12 of 16 One sheet must be established for EACH LEGAL ENTITY In Section a. Account Summary 3C. Legal Entity Details (For alt Legal Entities) Legal Entity Name: SoUthern Trust Company, Inc. - Type of Entity: O Foundation/Pssodation O Trust 2 Company O Estate O Partnersep Purpose of Entity: 2 Private Investment O PhilanthroPlc/Caritable • Commercial Type of Entity Other (specify): Purposed Entry Other (specify): Country of incorporation /registration: Virgin Wands, U.S. Dated incorparaban / registration: 11/18/2011 Volcker Status: Identified en Custaner Profile Volcker Volcker Nag: Address (city, street,, post code): 6100 Red Hock Quarter B3 St Thomas VI 00802 United States U.S. TIN/EIN: Provide a desolption of the entity's organizational structure, es ownership structure and Its Top Management Far trusts/foundations, include Information about mvocatdty,settiot and benefida ',mete.: Jeffrey Epstein is the sae shareholder at Southern Trust Please indicate how ownership of the legal entity is reflected: Consent of Board of directors imitating merger between Financial Trust Company Inc and Southern Fnandal LLC O Seeder attention: Bearer Shares - Indicate where shares are custocled: Describe the chain from the direct (inner of the entity to the ultimate benefidal ovine (Al not the same peysonsA Jeffrey Epstein is the sae shareholder of Southern Trust To the best of your knowledge, Is the entity party to a non-tanking relationship with Deutsche Bankl (e.g. external legal camel, din referral source, supplier of goods or services)?: Yes O No WI Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consult and invest dent funds and gain revenue based on fees and returns Countries where business is transacted: Virgin Islands, U.S. Number of employees: 4 3D. Wealth Profile (Only for parties receding source of wealth description as Indicated in Section 2) PtifrelY County of source d weathisource of Funds? PtifrelY Industry of son of Weals /Source of Finds? Provide Evidence of Corporate Assets (e.g. balance sheet or eoulvalent summary of assets/liabilitles): Estimated gross rectos p.a.(6): Estimated net profit pa. (S): Estimated investable assets (5): Potential Amount to be Invested with PWN (5): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Insatubon: Country: Est. Assets Under Mgt One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: The Piene Trust - type of Entity: K Fouidation/Pssodaticri F2 Trust 0 Company 0 Estate O PartnersNp CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) Purpose of EntRy: E l0 Private Investment 0 ilanthropic/Chaltable O Commercial DS-SDNY-0000321 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824284 EFIA_00019194 EFTA00168941 KYC Print Page 13 of 16 Type of Entity Other (specify): Purpose of Enily Other (specify): Country of incorporaton/regisfaahon: Vgqin Islands. U.S. Date of Incorporation / rep:dation: 11/21/2016 Volcker Status: Idenblied Ai previous KYC Volcker Flag: No Address (city, street, post code): U.S. TIN/EIN: Provide a desalption of the entity's organizational structure, its ownership structure and Its Top Management. For trusts/foLndations, Include Information about revocatity,settla and benefida les,etc.: Grantoritrustee/benendaty: Caroline Lang residing at Caroline Lan is beneficiary diem her Iferime. U her death, her children become the benehdaties: rel both residing at Please indicate how ownership of the legal entity is reflected: trust agreement - Indicate Mee shares are cu toiled: • Special attention: Bearer Shares Describe the chain from the direct owner of the enlIty to the ultimate benefidal owner (lime the same persons) Grantor/trustee/benefkiary: Caroline Lang resYling at Caroline La is benerici dull her lifenme. n her death, her children become the beneficiaries nd tot residing at To the best of your knowledge, is the entity party to a non-banking relationship with Deursche Bank (e.g. external legal tuner, client referral source, supplier of goods or services)?: yes O NO Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: investment in artwork of up & coming artists. Engaging In the acorns:Sion, ownership and management of artwork For Investment purposes. Artwork and cash to purchase the artwork are the only assets. Countries where business is transacted: Virgin Islands, U.S. Norther of employees: I 3D. Wealth Profile (Only for parties requiring source of wealth desaiption as Indicated In Section 2) PrtiTely Country of source of wealth/solace of Funds? Primary Industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assersiliadlities): Estimated gross receipts p.a.($): Estimated net profit p.a. (Sy Estimated Investable asset (§): Potential Amount to be Invented with PAM (5): Other Known Financial InstiturJenn: Institution: 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-0000322 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814285 EFIA_00019195 EFTA00168942 K Ye Print Page 14 of 16 DB PWM GLOBAL KYC/NCA: US/La tAlll/Int'l PART B zetaticostop Name SOUTHERN FINANCIAL RELATIONSHIP Zisk Raring Comments: 3cciong Center 2 NY 0 NY/Offshore 0 Offsfere 0 Moderate Risk CA ea High Risk (Compaance signakte) 0 DB Employee 0 DB Flanged PIC ODD Is Trustee/co-Trustee 0 Bearer Shares 4. Attachments A. Type ce Moto ID Provided 0 Drivers License ®Passport 0 National/State ID • Other : GCB/55086a B. theckIst of names (Individuals and/or entities) that were submitted for database searches is attached 2 yes 0 No C. Please indicate the results of the database searthcs performed RDC searches complete r.r1 Yes 0 No negative results Iowa Oyes 0 No PCR checks complete 2 Yes 0 No negative results found ®Yes ONO OFAC checks complete af es 0 No negative results lewd Dyes ®No BIS searches complete (teds/Neds, Facriva, Reuters, Dow Jones, D&B) 2 Yes 0 No negative faults rowel 0 Yes 0 No Denial Orders checks complete ®Yes 0 No negative faults rowel 0 Yes 2 No martindaie.Hubbee searched (Lawyerspaw Firms oNy) Ores 2 No negative results foLnd 0 Yes 0 No D. Please summarize any negative results from the database seatcties incacated above: Negative BIS on Southern Trust Company lnc Is non negative. 2 criminal flings against Jeffrey E. Epstein, resisted in 6 month jail sentence. Attached to this case, iambus NIL approvals received In the past. Cost cases against Richard Kahn are non negative since he is a counsel representing parties. Last court case discounted on the basis that it was flied In Massachusetts in 2004 and case has since teen dosed since 2005. Panama hit for Etienne &ant, attached to the case E. To the best of your knowledge, has the dent ever been connoted of a criminal offense? Ores 0 No E To the best of your knowledge, has the customer ever been invoNed in any past Itigation against Deutsche Bank AG or any of Its subsiciaries a Is the customer threatervng Higation against Deutsche ri Yes 2 No Bank AG or any .1 its subsidaries? (If Yes, provide defaa belowam/ covgart Qt.ony Mgt. (taritmilarl) '—' Or the Regulatory Coto Grow and now Contoliance imtnerNarrely) G. Does the client or related party have any financial a other association / interacticns Malin castle. or I—I regimes sanctioned by the Office of Foregn Assets Control (OFAC)? LJ YeS /21 No H. Wei the client or related party have any financial of other assodaticni Interactions within hip Mk countries? 0 Yes 2 No I Corporate Oxumentation Attached (Legal Entities onio ®Yes 0 No 0 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No 2 Not Applicable K. If Lees/Nos Search Remits, Corporate Documents or Other Supporting Documentation Is not In English, please provide an Engish summary of the nature/contents of the non-English Documentation: L Special Risk Factors Does the accoLit have Nexus to Special Risk Countries? • Y. e No Is the account structure unusually complex? 0 Yes 2 No Is there any indication the dent set up a non operating company expressly for r -t the purpose of transferring shares to that parties? LI Yes 2 No Is there any indication this could be a prohibited buooess relationship? OYES 2 No Are the bearer shares identified subject to acceptable controls? 0 Yes 2 No CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000323 https://dbforcepb.my.salesforce.com/servletiserviet.Integration?lid=01N30000000D9Di&e... UM92814286 EFIA_00019196 EFTA00168943 KYC Print Page 15 of 16 M. Case Comment; Created By Date Comments V.1a, A Savant 5/30/118 8:22 API No material changes to account as per emal confirmation from Stewart adfleld dtd 5/30/2018. KALI) Golani 9/10/118 2:90 PM Thls KYC serves as a high risk update for Rytanee, LLC (herein referred to as "acccunthalelers). Below we the reasons why we we coniortable with approving this KYC: • Information and supporting documents required by cur AML Pdlcy 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 activity. • There are a few risk factors associated with the accointhdder — SOW: One of the DSOs (Jeffrey Epstein) is founder of Southern Trust Company Inc, which manages client's assets. SCAV verification was obtained. Negative Plea & PEP: There is some negative media against Mr Epsten and he Is also maintains a close relationship with EA Olson and Prince Andrew. Please see risk calculator for more Information. Appropriate approval Was obtained. • Our review did net identify any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on all parties and did not Md the names searched to be on any sanctions Id's. ONSHORE APPROVALS Client Facing Professional (CFP): Stewart Oldfeld (Signature) Stewart Oldfield 6/7/2018 Office Director/Business Head: ANdrew F Gallivan (Signature) ANdiew F Gallivan 6/7/2018 Regional Office Drector: (Synattre) AML Busness Risk: (Signature) AML Compta rice. Kshb) GOWN (Sgnature) l(Shlt9 Golan! 9;10/2018 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP). (Signature) Account Manager: (Signature) Gabel Market Team Head (GMTH)/Sub- Market Team Head (9•1111): (Signature) AML Business Risk: (Senature) AML Compliance: (Sgnature) 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!(!) (CFP's) should establish and maintain business relationships only with persons who sate* 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. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e(e) DB-SDNY-0000324 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824287 EFIA_00019197 EFTA00168944 KYC Print Page 16 of 16 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 POW Americas Procedures and the PRIM 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(e) DB-SONY-0000325 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 1%92814288 EFIA_00019198 EFTA00168945