EFTA00168966.pdf

KYC Print Page I of 30 DB PWM GLOBAL KYC/NCA: PART A KYC Case A : 01977695 One sheet must be established per relationsh I - list all accounts Included In the relationshi 1. Relationship Details Relations* Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: New York Relationship Manager Stewart OlcMeld O New PWM Relaticaship I21 Exisbng PWM Relationship Relatbanship to PWM: If existing, please indicate since when the relationship exists, provide reason for new mere and attach cid prdile: n• 2018 Periodic Review - Overdue HR KYC •*" last Approved KYC V - Epstein, Jeffrey E. & Southern Trust Company, Inc. - 1790655; Zorro Management, LLC - 1790820. Haw Was the Clent(s) ga Olent Referral O RMFYOSpea O Intennediary/FIM • Other Same (CB, etc) Introduced? How long has the RPI personally known the client? Please provide details (e.g. ame of referral source, how many years RM personally ha known dent, etc.): Jeffrey Epstein reached out to Stew Okifield on 3/7/17 to have a new acct opened under this relationship.. Does Deutsche Bank pay a retrocession or similar O YES I 2 No compensation to a third party for the Introduction of this 'Saban*? (If Yom, *sate): List all existing and new account involved in this relationship Legal Entity Account(s) Account Name / ranter Opening Date (intended/actual) • Jeffrey Epstein---- 3/8/2016 • Jeffrey Epstein --- DBS1 W23/2013 3 O Jeffrey Epstein - - Custody. 4/10/2019 4 e Southern Trust Canpany Inc --- DBSI 8/26/2013 5 g Southern Trust Canpany Inc - - MMBA 8/27/2013 6 2 Iwo Management LLC - - DDA 12/20/2016 7 2 Iwo Management LLC (House Account) - - DOA 3/13/2017 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or Information right for the awourits.): Darren K. ke Preferred method of contact (indicate phone no., fax no., e-mail address, etc): Status : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000346 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=0 I N30000000D9Di&e... U§1928243°9 EFFA_00019219 EFTA00168966 Kl"C Print Page 2 of 30 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Jeffrey Epstein --- DDA Aar_ Number (levanTabk): Account Manager: Stewart Oldfeld What is the purpose of the account (e.g. porthole management, advisory account, custody soviets, long-term investment, payment/expense account)? The purpose of this account is Jeffrey Epstehts personal daily use. Indicate from where the assets are expected to arrive? 0 06 Group: Same Booking Center (indicate account number): basting 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 S the expected size and frequency of regular Inflows and outflows for the account (indicate estimated minter and volute per month)?: 30-55/month; $10 - $1.SMM What S the expected volume of assets and currency for the account approx. 90 days after opening? 13,906,31229 I Currency I USD What S the expected volume of assets and currency for the account approx. one year after opening? 13,906,31229 I Currency I USD Doesival the client have Assets Under Management (AuM) within 08 under Eur. 3M? arm 0 No Please list all parties related to the account For each party: • Check if a source of wealth description IS requeed for the party. • Check the appropriate box to desabe the relatienship of the party to this accoint (> I can be selected). • inane of the check boxes apply, describe the party's relation to the account in the *Other colonn. • Aiways desate the relationship between the parties in he last coke n. • Please drill down to the ilonote/urderlying Benekel Ormer(s). ,egal‘lescription ilitiarof Source of Wealth required Parties 'elated to this account Account:51C Holder OwnaTrust Salo of / Founder of Foundation Jttimate Senefidattx Owner Sonatas Full POA LillIteC POA Financial ImermediaryStereholder (FIM) Signdicant (>-25%) Yon-PIC entity (indicate ownership %) -eget Representative Grantor/Settiorf-oundincpther Dona (please describe other roles and/or indicate relationship between parties) i O El Jeffrey E. Easton e O O • M O O • O O 2 O O Beller O O O • 2 O O O O • O O Darren K. Indyke O O O • 2 O O O O • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000347 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814310 EFIA_000 19220 EFTA00168967 KYC Print Page 3 of 30 2. Account Ownership Summary Account Name: Jeffrey Epstein - - Di3Si Acct. Number ("oval:Wei Account Manager: Stewart Cildfield Vinat e the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense accost)? The purpose of this accost is to hold marketable secumes and cash. Indicate from where the assets are expected to arrive? g 06 Group: Same Booking Center (indicate account number): basting O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbnation - (Indicate name & location): O Physical Deposits (specify cad', securities, cheques, ...): V/hat is the expected size and frequency of regular inflows and outflows (or the accost (Indicate estimated number and volume per month)?: 0-3/month; SO - S500 V/hat is the expected volume of assets and currency for the account approx. 90 days after opening? 1669,126.0 I Ctrrency I USD What IS the expected volume of assets and currency for the account approx. one year after opening? 1669,12630 I CinencY I USD Doeshyd the client have ASSeAssesUnder Management (AuM) within DEI under Eur. 3M? ❑O VINO No Please list all parties related to the account For each party. • Ole& if a source of wealth description IS requeed for the party. • Cneck the appropriate box to describe the relationship of the party to this account (> 1 can be selects). • (none of the check boxes apply, describe the patty's relation to the amount in the 'Other column. • Always describe the relationship between the parties in he last alum. • Please drill down to the armate/urdedying Beneficial Owner(s). r egal 'Description zribtrof Source of Wealth required ?abed related to the account AccountoIC Holder DwnerTrust Settlor of / Founder of Foundation Jitimate iSignaton Beneficialor Owner Full POA Lunteo POA Financial InterrnedieySharetoider (HMI Significant (>=25%) to-PIC entity (indicate ownership %) _egal Zepresentative Grantor/Setdorf-oundineDther Donor (please describe other roles and/or indicate relationship between Parties) I n gl Jeffrey E. Epsten O O • • ID ID O O O 2 O Ei Ham' Beller O O O O Ei O O • O D O O " K' lndyke O O O • 2 O O O O DI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-000034B https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... /I/192824311 EFIA_000 19221 EFTA00168968 KYC Print Page 4 of 30 2. Account Ownership Summary Account Name: Jeffrey Epstein - - Gusto:). Act Number (I amiable) Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfceo management, advisory account, custody services, long-term investment, payment/esense access)? the purpose of this account is to hold FX cash deposits. Indicate from where the assets are expected to arrive? g 08 Group: Same Booking Center (ndicate account number): Exstng O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbtution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What S the expected size and frequency of regular inflows and outflows for the accost (indicate estimated number and vol me per month)?: 5-10/month; $0 - $250K What S the expected volume of assets and currency for the account approx. 90 days after opening? 1112,690.70 I Currency I USD What S the expected volume of assets and currency for the account approx. one year after' Sento)? 112,690.70 I Currency I USD Does/a the dent have Assets Under Management (AuM) within DB under Eur. 3M? Oyes@ No Please list all parties related to the account. For each party: • Check if a source of wealth description s requeed for the party. • Check the appropriate box to describe the relationship of the party to this accost (> I can be selects). • (none of the check boxes apply, describe the patty's relation to the amount in the 'Other' coltrnn. • Always desate the relationship between the parties in he last cane. • Please drill down to the ilornate/unierlying Beneficial Owner(s). egal‘lescription : tn( Source of Y/ealth required Pates related to tits account AccountoIC Holder DwrierTrust Settlor of / Founder of Foundation Jitimate iSignaton Benefidalor Owner Full POA Intec POA Financial InterrnediaryShareticider (ELM) Significant (>=25%) Yon-PIC entity (indicate ownership %) _eget Zepresentative Grantor/Setdorf-oundingOther Donor (please describe other roles andor indicate relationship between Parties) I n gl E rin E. O O • • ID ID O O O 2 O Ei Ham' Beller O O O O Ei O O • O D O O " K' Indyke O O O • 2 O O O O DI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000349 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... uM92844312 EFIA_000 19222 EFTA00168969 KYC Print Page 5 of 30 2. Account Ownership Summary Account Name: Southern Trust Company Inc - - D6S1 Acct Number (ffavallablejt Account Manager: Stewart adfidd vmat is the purpose of the account (e.g portfoho management, advisory account, custody services, long-term investment, payment/mese accotnO? The purpose of this accotra is to hob marketable secunbes and cash. Indicate from %Mere the assets are expected to arrwe? g f36 Group: Same Booking Center (indicate account number): Ousting O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbtution - (Indicate name & location): O Phyncal Deposits (specify cash, securities, cheques, ...): What S the expected size and frequency of regular inflows and outflows for the accotmt (Indicate estimated number and volume per month)?: 2 10/month; $2K - S 2141 What is the expected volume of assets and currency for the account approx. 90 days after opening? 12,550,527.46 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 12,550,527.46 I Currency I USD Does/a the client have ASSEtS Under Management (AuM) %%Wen DB under Eur. 3M? 1O Yes Ohio Please list all parties related to the account For each party: • ()leek if a source of wealth descriptor, s requeed for the party. • Cneck the appropriate box to describe the relationship of the party to this account (> I can be selects). • footle of the check boxes apply, describe the patty's relation to the account in the 'Other column. • Nways desabe the relationship between the parties in the last cobmn. • Please drill down to the arnateturderinng Beneficial Ormer(s). : egal)escription zribbrof Source of Y/ealth required ,account Panes related to this AccouninC Holder OwnerTrust Setdor of / Founder of Foundation Ultimate Beneficiabr Owner Signatorw_imiteckirencial Full VOA 'OA IntermedarySharenolderRepresentatrre (FIM) Significant (>=25%) Non-PIC entity (indrate ownership %) egal Grantor/Settler Pouncing Donor O Other (please Sescribe other roles ant/or ndicate relationship oat...yen parties) I 12 cd Southern TC ompnst any, Inc I r," x" n m 11 El O O O O 2 • • Jeffrey E. Epstein n " LI s m 2 El El 100 TA • D Director; 3 O O Jean Anne Brennan Anetracht r—r " si O O 2 O O O O O 4 0 0 IM 7A rren K. O 0 0 0 2 0 0 la 0 L Director, 5 O O Richard Kahn r—r " K D. O O O O O O 121 O Li Director; 6 O O Paul& Barrett O O O C O El O O O O trading Authorization Limited to Purchases & Sales of Securities; CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000350 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192824313 EFIA_000 19223 EFTA00168970 KYC Print Page 6 of 30 2. Account Ownership Summary Account Name: Southern Trust Company Inc . • MMBA Acs. Hunter (KavaAriW)t Account Manager: Stewart Oldfield Wliat e the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/manse acorns)? The purpose of this acconnt is to hold holds and earn high yielding interest Indicate from where the assets are expected to arrive? 2 (36 Group: Same Booking Center (indicate account number): Eiosting O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbnation - (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)?: 3-8/month; $500 - S 5144 What is the expected volume of assets and currency for the account approx. 90 days after opening? 12,468,673.24 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 12,468,673.24 I Currency I USD DoeshvA the dent have Assets Under Management (AuM) within DB under Eur. 314? O Vs 2 No Please list all parties related to the account For each party: • Oeck If a source of wealth descripton Is requeed for the party. • Cneck the appropriate box to describe the relationship of the party to this accost (> I can be selects). • (none of the check boxes apply, describe the party's relation to the amount in the 'Other column. • Always describe the relationship between the parties in he last °Sumo. • Please drill down to the Somate/urderlying Beneficial Ormer(s). r egal 'Description zriberof Source of Wealth required Parties 'elated to this account Account:5K Holder OwnerTrust Settlor of / Founder of Foundation Jitimate iSignaton Beneficialor Ovine* Full POA Luntec POA Financial InterrnediarySharetoader (ELM) Significant (>=25%) Yon-PIC entity (indicate ownership 1).1,) _egal Zepresentative GrantortSetdorf-oundincpther Donor (please describe other roles and/or indicate relationship between parties) I g Southern Trust Company, Inc 5 O • O O O • O O O 2 O 0 Jeffrey E. Epstein O K O O 12 12 OD we 2 O El Predict; O O Je BreannnanAnne WietracM 0 0 El O e O O O O O 4 0 0 Ind Mae". yke O O O O O O O El O O Director; 5 O O Richard D. Jahn • I:l • O O O • 2 O El Director; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000351 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814314 EFIA_000 19224 EFTA00168971 KYC Print Page 7 of 30 2. Account Ownership Summary ACCOunt Name: Zero Management LLC - - DDA Acct. Nutter (If available) ACCOunt Manager: Stewart 011ield What 6 the purpose of the account (e.g. portfolio management, advisory account, custody services, king-term investment, payment/expense accent)? the purpose of this accent is to manage the da:y expenses of the company Indicate from where the assets are expected to arrive? g 08 Group: Same Booking Center (indicate account number): Eiosting O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbtution - (Indicate name & location): O Physical Deposits (specify caPi, securities, cheques, ...): What is the expected size and frequency of regular Inflows and outflows for the accost (indicate estimated number and volume per month)?: 10-15/month; ;50 - $200K What IS the expected volume of assets and currency for the account approx. 90 days after opening? 1254,944.25 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1254,944.25 (Currency I USD Does/a the client have Assets Under Management (AuM) within DB under Eur. 3M? arcs 2 No Please list all parties related to the account. FOr each party: • Ole& if a source of wealth description IS required for the party. • Cneck the appropriate box to describe the relationship of the party to this accost (> I can be selects). • (none of the check boxes apply, describe the party's relation to the asount In the 'Other' column. • Always describe the relationship between the parties In the last calumet • Please drill down to the Ldumate/underinng Beneficial Owner(s). r egal n0ty,f Description Source of Wealth required Pasties related to this accent Account Molder PlC Owner Senior of Trust / Founder of Foundation .litirrete Benekelor Denier Signatory Full POA _sect ?OA Financial IntermediandharehoklerRepresentative (FIM) Significant >=25%) on-PIC entry (indicate ownership %) _egal Grantor/SettlefoindingOter Donor (please describe other ran and/or rchcate eLationship !atWeen oarties) I 121 0 Zorro Management, LLC O O O O O O O O . . 2 • 0 'ewe? E. EpStein ID D o 0 0 O O 100 O O O Sole Mmber; 3 O O Darren K. lndyke O O O • in O O N O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000352 https://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?lid=0 I N30000000D9Di&e... /I/192814315 EFIA_000 19225 EFTA00168972 KYC Print Page 8 of 30 2. Account Ownership Summary ACCOLlet Name: Zorro Management LLC (House Account) - - DOA Acct. Number (Java/lab/O 1111111111. Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody soviets, longterm investment, payment/expense accotnt)? The purpose of this accotra is to manage the monthly expenses of the company Indicate from where the assets are expected to arrive? g 06 Group: Same Booking Center (radiate account number): Exosang O DB Group: Other Booking Center (Indicate DB location and account details): O Other Insbnation - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows (or the account (Indicate estimated number and volume per month)?: 5-1S/month; $100 - $1K What is the expected volume of assets and currency for the account approx. SO days after opening? 112,766.17 I Currency I USD What is the expected volume of assets and currency for the account approx. one year 1 12,766.17 after opening? I Currency I USD Does/a the client have Assets Under Management (AuM) within 08 under Eur. 3M? ayes ®N0 Please list all parties related to the account. For each party: • Check if a source of wealth description s requeed for the party. • Cock the appropriate box to describe the relationship of the party to this accost (> I can be selects). • (none of the check boxes apply, describe the party's relation to the account in the 'Other column. • Always desote the relationship between the parties in the last coSwr. • Please drill down to the Lernate/urclerinng Beneficial Owner(s). Legal n0ty,f Description Source of Wealth required Parties related to this accotrat Ac ount Holder PlC Owner Sector of Trust / Founder of Foundation Jibrate Benefiaalor Dreier Signatory Full POA _twat ?OA Financial IntermediandharehoklerRepresentative (FIM) Significant (>=25%) Non-PIC entry (indicate ownership %) _egal Grantor/Settiortowidinggther Donor (please describe other roles and/or State elationship oetween cantles) I I21 0 Zorro Management, LLC O O O O O O O O 0 0 2 • 2 Jeffrey E. Epstein O D O 0 0 O O i.00 O O O Sole Meber; 3 O O Darren K. inane O O O N !A • • • O O 4 O Ei D O O O O O O O O O 5 O O Gord on , Brxe M. O • O O 0 O O • O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000353 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814316 EFIA_000 19226 EFTA00168973 KYC Print Page 9 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details (fcc all dames) Individuals Name: Harry Belle Date of Birth: Country of Residence: United States Country of Citizenship: United States Address of primary residence: Has dent resided outside of his/her country of nationality for 5 years or more? O Yes @ No Profession/Occupatkm: Accountant Tax ID / SSN: Current Employer: HBRKAsscciata., Inc Pesition/Title/Rank: Accountant Address of employer: 575 Lexington Avenue, 4th Floor Matey NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity n the financial ndustry? a an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) N/A O Yes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(1 Fan* er Fnenthdip, tote) WA O Family O Friendship El NW* To the best of your knowledge, Is the litivklual parry to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Of Yes,descnbe) N/A Yes tr. No If applitabk, Imitate which bankafters have met the person: Indicate where and viten the client meeting(s) took dace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Bustess: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this ineWidel are not filled in, because they are the same as for the fdlovAng person: 38. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the Indielekers Business: Primary Cann, of source of wealth/source of Finds? Primary Industry of source of Wealth/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Invesbnent O Inheritance/Gifts • Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For bugs, how did settler accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long In business, how many employees, level of prelitabdity? Indicate type of business, countries of major activtles, important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): Estimated Net Worth(5): Amount of assets planned to invest with PWM(S): Other KAMM, Rnancel Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. &SECS Under Mgt: Please indicate the family situation of the indyklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000354 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824317 EFIA_000 19227 EFTA00168974 KYC Print Page 10 of 30 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-000035S https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814318 EFIA_000 19228 EFTA00168975 KYC Print Page 11 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details (fu all parties) Individuars Name: Dairen K. Indyke - Date of Birth: County of Residence: United States Country of Citizenship: United States Address of primary residence: Has sent resided outside of he/her country of nationality for 5 years or more? O Yes2 No Profeseon/Occupation: Accountant Tax ID / SSN: Current Employer: Southern Fmancial LLC Position/Title/Rank: Accountant Address of employer: 6100 Red Hook Quarter B3 St Thomas Virgin Wands, U.S. 00802 Does the person week as senior executive of a DB-recognized regulated entity ii, the (Kendal ndustry? a an entity Isted on a DB-recognised exchange? (Not applicable fa operating entities O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *sake) N/A Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(tie Fan* nr Menthe*, tote) WA O Family O Friendship El Nat 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, suppler of goods a services)? services)?El (re Yes,descnte) N/A w Yes ../ No If applicable, Indicate which bankafters have met the person: Indicate where and when the client meeting(s) took pace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Bussness: Other Location (specify): Date: Stewart Oldneld 21 12/12/2016 • • O O O O O O O Wealth Details for this ineWMal are not filled in, because they are the same as for the fdloverng person: 38. Wealth Details (Orly for parties requiring source of wealth description as indicated in Section 2) Nature of the Inilviekers Business: Primary Country of source of wealth/source of Finds? Primary Industry of source of Wealth/Soiree of Funds? Summarize Source of Wealth: O Business Owner OSalangarnings O Invesbnent O Inheritance/Gifts • Other: Further Desaibe Saute of Wealth /Detail the history of wealth for each of the sources: (e.g. For bugs, how did settler accumulate wealth? For inheritance, how did farndy accumulate wealth?For bunness owners, how keg in business, how many employees, level of prelitabdity? Indicate type of business, countres of major activales, important business partners.) Estimated Annual Income($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Rnancel Institutions: Institution: Country: Est. Asses Linder Mgt: Institution: Country: Est. Asses Linder Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the irolvklual (marital status, other family menters, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000356 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... U§192824319 EFIA_000 19229 EFTA00168976 KYC Print Page 12 of 30 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000357 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814320 EFIA_000 19230 EFTA00168977 KYC Print Page 13 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnershlD Summa 3A. Individual Details (fcc all parties) Individual's Name: Jeffrey E. Epstein - Date of Birth: 1/20/053 Country of Residence: Virgin Istands, U.S. Country of Citizenship: United States Address of primary residence: Little Sant James Saint Thomas 00802 Yvan Is/ands, U.S. Has dent resided outside of lusTher country of nationality for 5 years or more? O yes El No Professien/Ciaupatkm: Self Empolyed Tax ID / SSN: Lament Employer: Southern Mist Company Inc Posation/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 SL Thomas Virgin Islands, US. 00802 Does the person wok as senior executive of a DB-recognized regulated entity n the (Wendel ndustry? ix an entity acted on a DB-recognised exchange? (Not applicable fox operating entities O Yes IgNo Is the individual a Politically Exposed Person (PEP)?(/ Yes, rfescrkie) Connection with mince Andrew and BM Clinton 2 yes O No To the best of your knowledge, is the individual related to an employee of the 06 group?(tie EOM* or Fnivddip, &scree) WA O Family O Friendship g None To the best of your knowledge, is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? (0 Yes,descnbe) N/A w El yes ../ No If applicable, Indicate Midi bankanent have met the person: Indicate where and when the client meeting(s) took dace: Bank Officer Name(s) Bank Office: Oient Private Domiale: Cent Place of Bueness: Other Location (spedfy): Date: Stewart Oldneld 2 6/28/2017 • • O O O li O O O Wealth Details for this IneWidual are not filled in, because they are the same as for the fdlowing person: 38. Wealth Details (Only for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the Indykluars Business: Private investment Primary Country of source of wealth/soiree of Funds? United States Primary industry of source of Wealth/Soiree of Funds? High Risk Financial Institutions Summarize Source of Wealth: 2 Business Owner OSalarygarnings g Invesbnat • bTheritance/Gifts O Other: Further Describe Sane of V/ealth /Detail the history of wealth for each of the sources (e.g. For fists, how did settler accumulate wealth? For inheritance, how dd family accumulate wealth?For business owlets, how tale in business how marry employees, level of workaday? Indicate type of business, countries of major activates, Important business partners.) Jeffrey Edward Epstein (tom is an American %lancer and regstered sex offender In the United States. He worked at Bear Stearns early in Ns career and then formed his own Arm, I. Epstein & Co. He lives in the US Virgin Islands Epstein taught caktrus 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 Steams. In 1976, Epstein stated work as an options trader at Beat Stearns where he waked in the special products division, advising high-net-worth dents on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Steams. In 1982, Epstein funded his own financial management DM, J. Epstein & Co., managing the assets of chews with more than $1 billion In net worth. In 1987, haste Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stares, became a well.knomi client Wexner acqured Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, n the wealthiest part of Manhattan. In 1996, Epstein changed the name of Ns firm to the Financial Trust Company and, for tax advantages, based e on the island of St Thanes in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New Yak magazine. Other bidders were advertisng executive Donny Deutsch, Investor Nelson Pelt, mede mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weristein. They were Strut* outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 mean. In 2009, Epstein and Zuckerman mmmated up to $25 million to finance Radar a celebrity and pop odium magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as et5 editor-in-chief, reamed a snail ownership stake. Presently, I*. Epstein founded Southern Trust Company Inc, a private consulting company that nvest the assets of tier clients and get their revenue from the CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 8(a) DB-SDNY-0000358 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 1,492824321 EFIA_00019231 EFTA00168978 KYC Print Page 14 of 30 return of these investments. Southern Trust invests in deferent portfolios catered to their dents and makes their revenue based on the returns and the fees associated %di managing their client's assets. Estimated Annual bxome($): 10,000,000.00 Estimated amount of inveslatle assers($): $50 MM - 100 MM Estimated Net liVorth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known Finanoal Institutions: Instituten: Country: Est. Assets LMder Mgt: Institution: Country: Est. Assets LMder Mgt: Instituten: Country: Est. Assets LMder Mgt: Please riclicate the family situates) of the indvidial (marital status, other fame/ members, etc.): NA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000359 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824322 EFIA_000 19232 EFTA00168979 KYC Print Page 15 of 30 One sheet must be established tor EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details Oa all panes) Individual's Name: Date of Birth: Country of Residence: UNted States Country of Citizenship: United States Address of primary residence: Has dent resided outside of his/her country of nationality for 5 years or more? O Yes la No Profession/Ocatraten: Manager Tax ID / SSN: Current Employer: Ziorno Management LLC Postion/Title/Rank: Manager 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 (Kendal ndustry? a an entity Isted on a DB-recognised exchange? (Not applicable fa operating entities O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *sate) N/A Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(1 Fan* er Fnenthdip, tote) WA O Family O Friendship El None To the best of your knowledge, is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? ../ Of Yes,descnbe) N/A O Yes w No If applitabk, Indicate Midi bankafters have met the person: Indicate where and viten the client meebng(s) took dace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Stemless: Other Location (spedfy): Date: O • • O O O O O O O Wealth Details for this ineWMal are not filled in, because they are the same as for the fdlovAng person: 3B. Wealth Details (Orly for parties requiring sorra of wealth desoiption as indicated in Section 2) Nature of the Indviduars Business: Primary Country of source of wealth/source of Finds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Saute of Wealth /Detail the history of wealth for each of the sources: (e.g. For bugs, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of prelitatdity? Indicate type of business, countries of major activeles, Important business partners.) Estimated Annual Income($): Estimated amount of investatte assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Asses Linder Mgt: Institution: Country: Est. Asses Linder Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation d the indyklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000360 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814323 EFIA_00019233 EFTA00168980 KYC Print Page 16 of 30 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000361 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814324 EFTA_000 19234 EFTA00168981 KYC Print Page 17 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details (fcc all parties) Individual's Name: Date of Birth: Country of Residence: United States Country of Citizenship: tinted States Address of primary residence: Has dent resided outside of his/her country of nationality for 5 years or more? O Yes la No Profession/Dean:eta,: Manager Tax ID / SSN: Current Employer: Ziorno Management LLC Position/Title/Rank: Manager 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 (Kendal ndustry? a an entity Isted on a DB-recognised exchange? (Not applicable fa operating entities O Yes RI NO Is the individual a Politically Exposed Person (PEP)?(/ Yes, tote) N/A Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(1 Fan* er Fnenthdip, tote) WA O Family O Friendship El None To the best of your knowledge, Is the Individual party to a non-banNng relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? ../ Of Yes,descnbe) N/A O Yes w No If applitabk, Indicate Midi bankafters have met the person: Indicate where and then the client meeting(s) took dace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of &mess: Other Location (spedfy): Date: O • • O O O O O O O Wealth Details for this ineWMal are not filled in, because they are the same as for the (droving person: 3B. Wealth Details (Orly for parties requiring sorra of wealth desoiption as indicated in Section 2) Nature of the Indviduars Business: Primary Country of source of wealth/source of Finds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For bugs, how did settler accumulate wealth? For inheritance, how rid fan* accumulate wealth?For business owners, how long in business, how many employees, level of prelitatdity? Indicate type of business, countries of major activeles, Important business partners.) Estimated Annual Income($): Estimated amount of investable assers($): Estimated Net Worth(S): Amount of assets planned to Invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Indicate the family situation d the irolvklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000362 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814325 EFIA_000 19235 EFTA00168982 KYC Print Page 18 of 30 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000363 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814326 EFIA_000 19236 EFTA00168983 KYC Print Page 19 of 30 One sheet must be established tor EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (Ice all parties) IndMduars Name: lean Mne Brennan Webracht . Date of Birth: County of Residence: Virgin Istands, U.S. Country of Citizenship: Virgin Islands, U.S. Address of primary residence: Has dent resided outside of hisffier country of nationality for 5 years or more? O yes g No Professen/Oaupatien: Finance Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank: Finance Address of employer: 6100 Red Hook Quarter, B3 St, Thomas Virgin Islands, U.S. 00802 Does the person week as senior executive of a DB-recogntzed regulated entity in the financial ndustry? a an entity Isted on a DB-recognised exchange? (Not applicable fa operating entries O Yes 10 No Is the indivklual a Politically Exposed Person (PEP)?i7 Yes, tote) N/A Oyes 2 No To the best of your knowledge, is the indiw:lual related to an employee of the DB group?(1 Fame er Ffienthdip, tote) WA O Family O Friendship El None To the best of your knowledge, Is the In:WI:fuel party to a non-baneng relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods a services)? Of Yes,descnbe) N/A Yes ../ No If applitabk, Indicate which bankcaws have met the person: Indicate where and wthen the client meebng(s) took dace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Bustess: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this inelvidal are not filled in, because they are the same as for the fdlovang person: 3B. Wealth Details (Orly for parties requiring soiree of weakh description as indicated in Section 2) Nature of the Inebeickers Business: Primary Country of source of wealth/source of Finds? Primary Industry of source of Wealth/SoLne of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For truss, how did settler accumuLte wealth? For inheritance, how did fan* accumulate wealth?For business owners, how keg in business, how many employees, level of prelitallity? Indicate type of business, countres of major activnes, important business partners.) Estimated Annual Income($): Estimated amount of investable assers($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the irearklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000360 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814327 EFIA_000 19237 EFTA00168984 KYC Print Page 20 of 30 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000365 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814328 EFIA_00019238 EFTA00168985 KYC Print Page 21 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (fcc all panics) Individual's Name: Richard D. Kahn - Date of Birth: County of Residence: United States Country of Citizenship: United States Address of primary residence: Has dent resided outside of he/her country of nationality for 5 years or more? O yes El No Prefessonf Occupation: Accountant Tax ID / SSN: Current Employer: HBRKAsscoata., Inc Position/Title/Rank: Accountant Address of employer: 575 Lexington Ave, 9th Fl New Yak NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndusur or an entity kited on a DB-recognised exchange? (Not aprecable fa operating entitles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?i7 Yes, *noel N/A Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(tie FamarYerMenthdip, tote) WA O Family O Friendship El NW* 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 a services)? Of Yes,descnbe) N/A Yes tr. NO If applitabk, Imitate which bankafters have met the person: Indicate where and when the client meebng(s) took pace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Busaress: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this inelvidal are not filled in, because they are the same as for the (aloe/mg person: 3B. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the Indviduars Business: Primary Cann, of source of wealth/source of Finds? Primary Industry of source of Wealth/Soiree of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Saute of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how rid fan* accumulate wealth?For business owners, how keg in business, how many employees, level of prelitabdity? Indicate type of business, countres of major activtles, Important business partners.) Estimated Annual Income($): Estimated amount of Investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other KAMM, linancel Insautions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation d the inthvklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000366 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824329 EFIA_000 19239 EFTA00168986 KYC Print Page 22 of 30 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 8(e) DB-SONY-0000387 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/JP/281433° EFIA_000 19240 EFTA00168987 KYC Print Page 23 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersille Summa 3A. Individual Details (fcc all panes) Individual's Name: Paul S. Barrett - Date of Birth: County of Residence: United States Country of Citizenship: United States Address of primary residence: Has dent resided outside of haffier country of nationality for 5 years or more? O Yes @ No Profession/Oaupatien: lrwestment Adviser' Tax ID / SSN: Current Employer: I.P. Morgan Searibis LLC Position/Tide/Rant Irniesonent Advisor Address of employer: 277 Park Ave New York NY United States 10172 Does the person week as senior executive of a DB-recognized regulated entity in the grander ndustry? or an entity Isted on a DB-recognised exchange? (Not aprecable fa operating entries O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) N/A Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(r Fan* er Fnenthdip, tote) WA O Family O Friendship El none To the best of your knowledge, Is the irrlivklual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)?O Of Yes,descnbe) N/A Yes ../ No If apple able Imitate Midi bankafters have met the person: Indicate where and viten the client meeting(s) took pace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Busaness: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this inelvidal are not filled in, because they are the same as for the (droning person: 38. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the IncIvickies Business: Primary Country of source of wealth/source of Finds? Primary Indusby of source of Wealth/Soiree of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For truss, how did settler accumulate wealth? For inheritance, how did farndy accumulate wealth?For business owners, how long in business, how many employees, level of prelitabdity? Indicate type of business, countries of major activOes, important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): atimated Net Worth(5): Amount of assets planned to invest with PWM(S): Other Known linancel Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the inthvklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000368 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... U§19282433I EFIA_000 19241 EFTA00168988 KY(' Print Page 24 of 30 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: Southern Trust Company, Inc.. of Type Entity: LI FoundatonfAssocration • Trust g Company O Estate Pirpose of EntIty: I Pnvalm Investment • O Partnership Philanthropc/Chantable OCommerdal Type of Entity Other (speofy): of Purpose Other (spe Entity ofy): Counby of inxrporationiregisoation: Virgin Wands, U.S. Date of incorporation / registration: 11/18/2011 Volcker Status: Identified al Customer Profile Wicker Flag: No Address (city, street, post code): 6100 Red Hook Quarter B3 St Thomas 00802 Virgin Islands, US. U.S TIN/EIN: Provide a description of the enteys organizational structure, Its ownership suutture and m Top Management. For begs/foundations, Include Information about revocatrity,setUor aid benefrd rles,etc.: Jeffrey Epstein is the sole shareholder of this company. The signors on this account are Jeffrey Epstein, Jean Anne Brennan, Darren lrdyke & Paul Barrett. Please indicate how ownership of the legal entity is reflected: Consent of Board of Directors O Special attention: Bearer Sham - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (mot the same pessons). Jeffrey Epstein is the sale shareholder of this company. The senors on this account are Jeffrey Epsten, Jean Anne Brennan, Darren Indyke & Paul Barrett. To the best of your knowledge, 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)?: NIA Yes O No El Describe Nature of Entity's Primary Business and Investment Activities tiatuie of me b.,siness. Consulting Services relying on Financial and Homeocal algorithms. Southern Trust Is a private consulting company that invests the assets of their clients and gets thee revenue from the tarn of these investments. Southern Trust invests in different portfolios catered to their dents and makes their revenue based on the returns and the fees associated with managing their diet asses Countries where busness is transacted: Won Islands, U.S. Number of employees: 3 3D. Wealth Profile (Only for panes requiring source of wealth cresctption as tnclicatecl tn Section 2) Primary Country of source of wealth/spate of Funds? United States Primary industry of source of Wealth/Soiree of Finds? High Risk Financial buntline's Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsfliadlities): Consult and invest client funds and gain revenue based on fees and teens Estimated gross recems p.a.($): 2,000,000.00 Estimated net profit pa. (5): 1,500,000.00 Estimated investable asses ($): $2 Mal -5 MI Potential Amount to be invested with PM ($): 300,000.00 Other KAMM, I:Marcel Institutions: Institution: Country: Est. Assets Under Mgt: Instrktion: Country: Est. Assets Under Mgt: Instauton: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For at Legal Entities) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) I DB-SONY-0000369 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192824332 EFIA_000 19242 EFTA00168989 KYC Print Page 25 of 30 Legal Entity Name: ZOITO Management. LLC - of Type Enbty: O Foundation/Association O Trust El Company O Estate O Parbwrship Purpose of Entity: El Pnvate Investment O Philanthrope/Charitable OCommerdal Type of Entity Other (spedty): LiC Purpose of Entity Other (specify): Country of incorporation/regisoation: Virgin Wands, U.S. Date of femoral:Ion / registration: 12/14/2016 Volcker Status: Identified on Customer ProNe Mocks Flag: No Address (city street, past code): 6100 Red Hook Quarter, B3 St. Thomas 00802 Vain Islands, U.S. U.S. TIN/EIN: Premde a description of the enteys organizational structure, es ownership strutture and es Top Management. For trusts/foundations, indude intonate's) about reemabety,settior and benefld rim,etc.: Jeffrey Epstein Is the sole member and owner of this entity. Signors on this account v1 be: Jeffrey Epstein Darren Indyke Sigma on the house acct ate: Jeffrey Epstein amen Ind Please indicate how ownership of the legal entity is reflected: Operating Agreement O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (cmt the same persons): Jeffrey Epstein Is the sole member and owner of this entity. Senors on this account will be: Jeffrey Epstein Darren Indyke Senors on the house acct are: Jeffrey Epstein Darren Ind To the best of your knowledge, is the entity party to a non.baning relationship with Deutsche Bank (e.g. menial legal counsel, client rderial source, suppler of goods or services)?: N/A 'fa . No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: with A real estate holeang company. It is a company toned to run and operate al acovioes associated a property that Jeffrey Epstein ovan in the US Virgin islands. Counoles where business Is transacted: Wein Islands, U.S. Number of employees: 1+ 3D. Wealth Profile (Only for parties requiring source of wealth desorption as indicated in Section 2) Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Finds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asset,ffiahlioes): Iris company Is funded by Jeffrey Epstein's personal yeah) Estrnated gross receipts p.a.($): 1,750,000.00 Estimated net profit pa. (5): 1,000,000.00 Estimated investable assets (5): SI W - 2 KM Potential Amount to be invested with PV/M (5): 300,000.00 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000370 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=0IN30000000D9Di&e... /I/192814333 EFIA_000 19243 EFTA00168990 KYC Print Page 26 of 30 Other KAMM, Anarcial Institutions: 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) Da-soNr-0000371 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192814334 EFIA_000 19244 EFTA00168991 KYC Print Page 27 of 30 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Camas: Booking Center NY/ Offate O Moderate® Risk High Risk (CompOa Signature) D oe Employee O De Managed PIC D oe is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. 0 Drivers License 2 Pass. • O NabonaffState ID • Other : Darren & Typed Photo ID Provided Richard- ; Jean Anne - 487647 B. Checklist of names (indroduals and/or entities) that were submitted for database searches Is attached @yes O No C. Please Indicate the results of the database searches performed ROC searches complete ri Yes O No negabve resins found 2Yes • No PO checks complete 191 Yes O No negabve restlis found ®Yes O No OFAC checks complete n Yes O No negabve resins found Oyes 2 No BIS searches complete (IexISMOCIS, Factiva, Reuters, Dow Jones, D&B) 2 yes O No negabve results found ®Yes O No Denial Orders cheats complete 2 Yes • No negative restlis found Dyes No Martindale-Hubbell searched (Lawyers/Law Firms only) Oyes 2 No negative restlis found Oyes O No D. Please summarize any negative results from the database searches nellcated above: Jeffrey Edward Epstein: - Negative media relates to the sex offence In the past %Nth are already clewed. (KYC A - 01790655) - Court cases relates to Jeffrey's sex offence in the paw wench is already cleared, another (Gerber Et Al V. The Financial Trust Company Et Al) is a recent ongoing aril lawSult pertaining to fraud which has been dismissed (attached document), but part of normal business 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 is Immaterial In nahreneither defendant nor plaintiff. He's Just named as a respondent and the case Is immaterial In nature. - Criminal Filings relates to sex offence Weil Is already cleared in the past - ROC alert found - Sex offeas in the past which has been cleared - Clearance attached. Zorro Management LLC: - No negative media - No court cases Southern Trust Company Inc - No negative media - No COLA cases Financial Infomatia Inc - No negative media - No court cases - No negative media -No court Ca - Negative media Is for from Burlington and in one of the negative media her age mismatches. from our KYC Is from New Mexico - Court cases are fa from Louisiana, INols Pemsylvania, Albany. In some cases s a Plaintiff from California and Washington. These are false passives and not a match with the in this KYC - RDC alert found - False positive as the he Is on from Kentucky and our RP is from New Maim Clearance attached Darren Indyke: - Negative news in Google relates to Jeffrey Epstein% Fmndabon and are not material In nature. - Court case mentioned In Google search relates to Jeffrey Epstein's sex offence in the past whiz', has been deared already. Owen Is just an attorney for Jeffrey in the case. - Froosoft alert has been deared by AML Cr:mance. Clearance attached. Harry Bar: - No negative media - Harry Beier Is the plainbff in the tort case, also It has been disposed. Jean Arne Brennan WiebracM: - No negative media - No COLA CasiM CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0) DB-SDNY-0000372 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=0IN30000000D9Di&e... UM92814335 EFIA_000 19245 EFTA00168992 KYC Print Page 28 of 30 Rldiard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Arca and was cleared in the previous KYCs. Attached clearances - RCC alert found - Mates to violation of NYSE Are Equities Rule - Oearance attached Paul S Barrett - No negative media - No court cases - RDC alert found - False positives, does not pertain to our client Clearance attached. E. To the best of yin knowledge, has the sent ever been °Meted of a criminal offense? El yes O No F. To the best of you knowledge, has the customer ever been involved n any past litigation against Deutsche Bank AG or any of Its subsidiaries or is the customer threatening Itigaton aganst Deutsche o yes Ri No Bank AG or any of is stbsidiarles? (If Yes, provide details' boisrir and contact @say Mgt (LatAm/Int?) or the Regulatory Confine Group and notify Compllance immedately) G' Does the client a related party have any financial or other association / nteractions within sales Thres a No or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. financial Does the client or related party have any or other association/ interactions within high risk • Yesm No countries? I. Corporate Documentation Attached (Legal Entitles Only) 0 Yes O No O NM Applicable 3. Unosclosed Principal Form Complete (Intermediaries Only) O Yes O No Ed NM Applicable K. If Le:OS/Necks Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Doarnentacon: L Special Risk Fact= Does the acoouM have Nexus to Special Risk Countries? O Yes 0 No Is the amount structure unusually complex? ayes ?A No Is there any indication the client set up a non opetatng company expressly O Yes 2 No for the purpose of transferring shares to tad parties? Is there any indication this could be a prohibited business relationship? O Yes 74 No Are the bearer shares Identified subject to acceptable controls? O Yes 0 No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000373 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192824336 EFIA_000 19246 EFTA00168993 KYC Print Page 29 of 30 M. Case Comments Created By Date Comments mayur Rance W26/118 1:20 AM No material changes confrmation 'emar attached n the case. Kshitq Golan 10/17/118 12:02 MI This KYC serves as a high Sc update for the below listed dents (together "accounthddere) - 1. Jeffrey Epstein 2. Southern Trust Company Inc 3. Zorro Management LLC Below are the reasons why we are comfortable 'nth approving tors KYC: • Information and supporting documents required by our NIL Policy were provided and reviewed; and as a result, we have an undetstandng of the structure of the acooudholders, their purpose, the pupose of the accounts and expected transaction activity. • there are a few risk factors associated with the accountholders - SOW: The 1180 (Jeffrey Epstein) Is the founder of Southern Trust Company Inc, which manages diewes assets. SOW verification was drained. Negative Media & PEP: There Is some negative media against Mr Epstein and he s also maintains a close relationship with 8411 Clinton and Prince Andrew. Please see risk calculator for more Information. Appropriate approval was obtained. • Our review 8d not identify any red flags and this there was no need to escalate this case further. • we performed due diligence searches on as pates and did not And the names searched to be on any sanctions lists or ICJ) Database. Kshitil GolaN 1W17/118 12:05 AM Zorro Maregement LLC is using the address of Southern Trust Company Inc (for which I have the address verification for) and given that both Zone and Southern Trust is owned by the same individual, Jeffrey Epstein, s sterns plausible that they share the same address due to common ownership for both of those entities. In pdditicti, we have drained proof of existence for Zorro Management LLC, which proves that the entity s curled!), lin existence. ONSHORE APPROVALS Client Facing Professional (CFP): Stewart Oldneld (Signature) Stewart adfleld 9)26/2018 Office Director/Business Head: Steven Maths (Signature) Steven Mathis 9/27/2018 Regional Office Director (Signature) MIL Business Risic (Signalise) AML Compliance: KsNtq Golan' (Signalise) Irshitn Golan! 10/17/2018 LATAM /INTERNATIONAL APPROVALS Chet% Facing Professional (CFP): (Sgnature) Account Manager: (Signature) Global Market Team Head (GIITH)/Sub. Market Team Head (SMTH): (Signature) NIL Business Risk: (Signature) API'. Compliance: (Signature) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000374 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192814337 EFIA_000 19247 EFTA00168994 KYC Print Page 30 of 30 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) (1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. it is the responsibility of CFP's to demonstrate that they know their client both at the inception 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 part 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 Office's, Brokers, Client Managers, etc. Deutsche Bank Americas New York rA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0) DB-SONY-0000375 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=0IN30000000D9Di&e... UM92814338 EFIA_000 19248 EFTA00168995