EFTA00168996.pdf

KYC Print Page 1 of 41 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case N : 01977698 One sheet must be established per relationship - list all accounts Included In the relationsh I 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center-. New Yak Relationship Manager: Stewart Oldfleld O New PWM Relationship RI Existing MAI Relationship Relationship to PWM: If existing, please ndicate since when the relationship oats, provide reason for new profile and attach old profile: •*" 2018 Periodic Review *** El Clent Referral O RM Prospect O Intermediary/FIM • Other Source (C1B, etc.) How Was the Clent(s) Introduced? How keg has the RN personaly known the client? Please provide details (e.g. name of referral source, how many years RN personaly ha known dent, etc.): Jeffrey Epstein reached out to Stew Oldfieki on 3/7/17 to have a new acct opened order this relationship.. Last Approved KYC 0 - M. - 1790729: Butterfly Trust - 1804531; Neptune, LLC - 1790739. Does Deutsche Bank pay a retrocession or similar O Yes 15. No compensation to a third party far the introduction of this relationship? (If Yes, desatte, Lst all existing and new accounts involved In this relaaonship Legal Entity Account(s) Account Name / Number Opening Date (mended/actual) 1 • 12/13/2013 2 2 Butterfly Trust - 44130552 - MME14.44130552 1/24/2014 3 2 Neptune LLC . 42953429 . DDA.42953424 10/18/2013 Who Is he primary contact person or the M? (Note: This person needs to have sigretory tights and/or information right for the accounts.): M Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): Status : I. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. l(e) DB-SONY-0000376 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... U§1928i14339 EFTA_000 19249 EFTA00168996 Kl"C Print Page 2 of 4l One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: = Act Number (if avaitatie). Account Manager: Stewart O4fieid What is the purpose of the account (e.g portfolio management, advisory account, custody services, long-term invisbnent, payment/expense account)? This b a checking account for Individuals. They use the funds for daily expenses. Indicate 2 ■ • K from where the assets are effected to aMve? DB Group: Same Booking Center (indicate account number): Existing DB Group: Other Booking Center (indicate OB location aid account details): Other Institution — (Indicate name & location): Physical DepoSts (specify cash, securities, cheques, ...): What is the expected Sze and frequency of regular Inflows and outflows for the accoun (indicate estimated number and volume per month)?: -6/mcoth; SI - S2000 What is the expected volume of asses and currency for the account approx. 90 days after opening? 24282.99 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 24282.99 I Currency I USD Does/will the client have Assets Under Management (AuM) within CB wider Err. 3M? K Yes 2 No Please list all parties related to the account. For each party: • Check if a source of wean description is required for the party. • Check the appropriate box to descrte the relauonship of the patty to this account (> I can be selected). • f none of the check boxes apply, descnbe the party's relation to the account in the Tither" column. • Always desate the relationship between the parties in the last column. • pease drill down to the ultimate/tMerlying Beneficial Owner(s). Legal Entrtyof Discripoon Source of Wealth ranted Parties *elated to this aCCOunt AcoountPlC Holder Ownerimst Settlor of / Founder of FoundaWn Jlbmate Beneficolor Owner Signator&mreo Full POA DOA Financial IntermedaryStiareholderttonsentative (FIN) Significant :”25%) Von-PIC entity (indicate Indicate ownership %) _egal Grantor/SettiorFoundi Donor tier please roles /or elationship n ) I K a a K K a a K K K K K 2 K a a m ■ K ! O ■ K K K K CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000377 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814340 EFIA_000 19250 EFTA00168997 KYC Print Page 3 of 41 2. Account Ownership Summary Account Name: Butterfly Trust - 94130552 - MMBA Acct. Number (i f evadable): 94130552 Account Manager. Stewart Oldfield What is the purpose of the aocount (e.g. portfolio management, advisory accoLrit, custody senAces, long-term investment, payment/expense account)? This IS a money market deposit account to pay all expenses! disbursements related to the trust. Expenses are taxes, Dust fee, etc Indicate from mere the assets are expected to anlve? 2 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0 2/month; SO - 51000 What is the expected vokime of assets and currency for the account approx. 90 days after opening? 1709,736.63 I CLrrency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1709,736.63 I Curren cy I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? °Yes 2 No Please 1St all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to descrte the relationship of the party to the account (> ton be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' column. • Always descrte the relationship between the parties in the last column. • Please drill down to the ultimateftriderlying Beneficial Otrner(s). Legal Entrlyof Desaiption Source of Wean. mused Parties related to this account AccountP1C Nolder CrimerTrust! Senior' of Founder of Foundation Jltimate 3enefioabr Saner Signatorydrnitedhnancial Full POA POA Intermedaythareholderfaeprisentatne (FIM) RgnIficant (>., 25%) Non-P1C entity (indicate ownership %) _egal Grantor/SettioSoundi 3onor her ,please aascnbe other roles andfor nd,cate relationship between names) 1 2 trust Butter* 2 2 2 O O O O O • • 2 O O Harry r OO K Belle O • 9 O O • • • TIIISI44:: O O Enka rh Kelleals I—I '—' O O • O O O • • O Trustee:: 4 o a Jeffrey E. Epsten O O 9 • O o o • • O Grantor of Butterfly Trust; S O O MO OO 5 O O O • • • 6 OO O DO M O O O • • • 7 O O O DO Z O O O • • O 8 O O O O O 2 O O O O O O 9 O O O O O 2 O O O O O O 10 O O O O O M O O O O O O 11 O O O O O 2 O O O O O O 12 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. to) DB-SDNY-0000378 https://dbforcepb.rny.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U.g928y4341 EFTA_00019251 EFTA00168998 KYC Print Page 4 of 41 O O O O O El O O O O O • 13 O O bar g O O O O O O • • • 14 O O O 121 O O O O O E J • SOO t an"' ig O OO O O • N MI • 16 El 2 O O O O O O O O O • CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000379 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814342 EFIA_000 19252 EFTA00168999 KYC Print Page 5 of 41 2. Account Ownership Summary Amount Name: Neptune LLC - 42953424 - DDA Acct. Number (if aradaWe). 42953429 Amount Manager. Stewart Oldfleld What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term 'moment, payment expense account)? This k a checking account to pay for all expenses (I.e. electric, maintenance, cable, etc.) on Epstein's NYC home. Indicate from where the assets are expected to aMve? 2 DB Group: Same Booking Center (Indicate account number): hiding • DB Group: Other Booking Center (indicate DB location arid account details): O Other Insotution — (Indicate name & location): O Physical Deposils (specify cash, securities, cheques, ...): What is the expected Sze and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: 15.20/month; $10 - $10000 What Is the expected volume of assets and currency fa the account approx. 90 days after opening? 1207,814.91 I CLerency I USD What Is the expected volume of assets and currency fix the account approx. one year after opening? 1207,814.91 I Currency USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? ario2No Please list all parties related to the account. For each party: • Check if a source of wealth descripbon Is required for the party. • Check the appropriate box to desate the relationship of the patty to the acme-it (> 1 can be selected). • If none of the check boxes apply, describe the patty's relation to the account In the 'Other column. • Always describe the relationship between the polies in the last column. • Please drill down to the ultimatefteidedyng Beneficial Owner(s). Legal intrtrof Docripoon Source of Wealth requeed Parties related to this BCCOLMIt AccounWIC Holder Onneffrust/ Settle( of Founder of Foundation Jlbmate Beneficialor Owner Signatory Ful POA Limited POA Financial IntermedioyShareholderltexesentative (Flm) Significant (>=25%) Nan-PIC awry (Indicate ownership %) egal Granta/Settlorfounding• Donor the (please 1escrte other roles and/or ndicate relationship Setween 'otos) 1 O ID Jeffrey E. Epsten O O O 2 2 O O O O . Sole Member of Neptune LLC: 2 O O Hat ry Beller O O O O 2 O O O O • 3 O O Darren K. Indyke 0 00 0 e o O 0 0 I 4 2 2 Neptune, LLC 2 O O O O O O O O • 5 O O Rkhard D. Kahn n I—I O O O O O O O O • Manager a Yeptune _LC; CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000380 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... /I/192824 343 EFIA_00019253 EFTA00169000 KYC Print Page I of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) indivedual's Name: Date of Bkth: Country of Residence: Umted States I Country of Ottoenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? O Yes ©No Profession/Ocorpatka: Tax ID / SSN: Current Employer: N/A Position/Tele/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DBrecogr4zed regulated entity In the flnandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in Dui " YES Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A O Yes O No To the best of your knowledge, Is the Individual related to an employee of the C43 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the kxlividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A Dyes O No If applicable, indicate wrath bar* officers have met the person: Ind.cate where and when the dent meebng(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domkoile: Client Place of Business: Other Location (specify): Date: O O • O O El O CI O Summa • Wealth Details for this indMdual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as Irk:laded In Section 2) Nature of the Indlyidual's Susness: Homemaker. Solely reties on Income from her Wit who is a Intenor Designer. Primary Country of source of wealth/source of Funds? United States Primary ndustry of source of Wealth/Source of Funds? Other Summarae Source of Wealth: O Business Owner 2Salary/Earnings O Investment • !Mei-Rance/Gifts 2 Other. Further Desate Source of Wealth /Detail the history of wealth for did family accumulate weath?For business ow how Ion Estimated Annual Income($): each of the sources: (e.g. For trusts, how did senior accumulate wealth? For Inheritance, how Estimated amount of investable assets($): <51 MM Estimated Net Worth(S): csl MM Amount of assets planned to invest with PWM($): 20,003.00 Other Known Finanoal Institutices: Institution: Catty: Est. Assets Under Mgt: Insixution: Catty: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-00003S1 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192814344 EFIA_000 19254 EFTA00169001 KYC Print Page 7 of 41 I Insbbition: I I Est. Assets Under Mgt: Please indicate the (amity situation of the inclvidual (mantal status, other family members, etc): Marred to Karyna Shute* CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000362 https://dbforcepb.my.salesforce.com/servlethervlet.Integration?lid=01N30000000D9Di&e... II/1928514345 EFIA_000 19255 EFTA00169002 KYC Print Page 8 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Date of Skth: Country of Residence: Country of Otaenship: Address of primary residence: Profession/Ocaipatka: Has client resided acme of his/her country of nationality for 5 years or more? Tax ID / SSN: O yes la No Current Employer: Position/Tite/Rank: Address of envioyer: Does the person work as senior executive of a DB-reccgNzed regulated entity In the financial ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles i—i yes 2 No " Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes O No To the best of your knowledge, Is the individual related to an employee of the DB group?(if Family once-Awash*, describe) N/A • Family • Friendship 2 None To the best of your knowledge, is the Individual party to a non-bankrig relationship with Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or servio)?(if res,clesmbe) N/A O Yes 2 No If applicable, indicate wrath bar* officers have met the person: Indcate where and viten the client meeong(s) took place: Bank Officer Name(s) Bank Offxr ' Clent Private Domizile: Client Place of Business: Other Location (specify): Date: Stewart Oictield O O 2 6/23/2017 O O • O O O • Wealth Details for this indindual are not flied in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as rioted In Section 2) Nature of the Indwidual's Business: Interior Design Primary Ccunby of source of wealth/source of Funds? United States Primary ndustry of source of Wealth/Source of Funds? Other Summate Source of Wealth: O Business Owner 2 Salary/Eamings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ousis, how did senor accumulate wealth? For inheritance, how did family accumulate weath)For business owners, how long In business, how many employees, level of prolitalxity? Indicate type of business, countries of major activities, important busness partners.) Karyna went to school for Interior design and now works as an Interior decorator for )SC Interiors LLC, a currently client of DB (kyc case 01305519). Her annual Income is approximately $15C* with salary, bolus, and commissions. Estimated Annual Income($): 150,000.00 Estimated amount of investable assels($): <51 MM Estimated Net Worth(5): 451 MM Amount of assets planned to invest with PNM($): 2,000.00 Other Known Financial Institutions: Insbtution: Country: Est Assets Under Mgt Insbtution: Country: Est. Assets Under Mgt: Insbtution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000363 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?1id=0 I N30000000D9Di&e... UM92814346 EFIA_000 19256 EFTA00169003 KYC Print Page 9 of 41 I I I I I Please Indicate the family situation of the individual (mental status, other family ,u.w t.n etc.): = CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000384 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192814347 EFIA_000 19257 EFTA00169004 KYC Print Page 10 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Mew:lugs Name: Jeffrey E. Epstein - 03000483289 Date of Bath: 1/20/1953 Country of Residence: Virgin Islands, US. Country of Citizenship: tinted States Address of primary residence: Uthe Saint James Saint Thomas 00802 Virgin Islands, US. Has client resided outside of his/her country of nationaltty for 5 years or more? O yes ©No Profession/Ocapatkn: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Positionifitle/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Wands, US. 00802 Does the person work as sensor executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles ri Yes 2 Pb " Is the indMdual a Politically Exposed Person (PEP)?(// Yes, *sate) Correction with Prince Andrew and Bill Clinton 2 yes O Pb To the best of your kncmledge, is the individual related to an empkryee of the 08 group?(d Family oneriendS4), describe) N/A O Family O None M I Friendship To the best of your knowledge, is the inclividel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet refetal source, supplier of goods or servidr)?Of l'es,desmbe) N/A O Yes O1 No If applicable, indicate Mich bank officers have met the person: Indcate where and then the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domcdle: Client Place of Business: Other Location (specify): Date: Stewart Oldfield O O 128/2017 • o o O O CI O O Wealth Details for this individual are not filled In, because they are the same as for the following person: 3B. Wealth Details (Orgy for parties remaring source of wealth description as indicated In Section 2) Nature of the Individual's Business: Pnvate investments Primary Ceundy of source of wealth/source of Funds? United States Primary ndustry of source of Wealth/Source of Funds? High Risk Financial Institutions Summarae Source of Wealth: 2 Business Owner O Salary/Eamings O Investment M INpritance/Gifts O Other: Further Desate Sauce of Wealth /Detail the history of wealth for did family accumulate wealth7For business owners, how long in major activities, important business partners.) Jeffrey Edward Epstein States. He worked at Bear Stearns early In Ns career and then formed and physics at the Dalton School in Manhattan from 1973 to 1975. In 1976, Epstein started work as an options trader at Bear Steams strategies. Proving successful in his financial career, ki 1980 Epstein In 1982, Epstein founded his cam financial management firm, J. Leslie Wexner, founder and chairman of Ohm-based The Linked Fitch the following year. In 1992 he converted a private school on weehiest part of Manhattan. In 1996, Epstein changed the name St. Thomas in the U.S. Virgin Islands. In 2003, Epsten bid to acquwe New York magazine. Other bidders Mauler Zuckerman, who had the New York Daily News, and film Wag Street investet, 555 each of the sources: (e.g. For trusts, how did senor axumulate wealth? For inheritance, how business, how many employer, level of creditability? Indicate type of business, countries of (born January 20, 1953) is an Amencan financier and registered sex offender in the United his oval firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus Among his students was a son of Alan C. Greenberg, charman of Bear Stearns. kMere he worked in the special products division, advising tagh-net-worth clients on tax became a partner at Bear Stearns. Epstein & Co., managing the asses of clients with more than 51 billion n net woo. In 1987, chain of women's clothing stores, became a well-known dkent. Wexner acquired Abercrombie & the Upper East Side into an enormous residence. Epstein later bought that property, in the of his firm to the Financial Trust Company and, for tax advantages, based it on the island of were advertrsing executive Denny Deutsch, Investor Nelson Peltz, media mogul and publisher producer Harvey Weinstein. They were ultimately putted by Bnce Wasserstein, a longtime finance Radar a celebrity and pop culture magazine founded by Mae: Rcshan. Epstein and -In-chief, retained a small ownership stake. vino pan mist. In 2004, Epstein and Zuckerman committed up to $25 million to Zuckerman were equal partners in the venture. Roshan, as its editor CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000385 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814348 EFIA_00019258 EFTA00169005 KYC Print Page II of 41 Presently, Mr. Epstein founded Southern Trust Company Inc, a private ca-isulting company that invests the assets of their diet and gets thew revenue from the return of these Investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees assodated with managing their diet assets. Estimated Annual kicome($): 10,000,000.00 Estimated amount of Investable assets($): $50 MN - WO MM Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known finandal Institutions: insbtution: Catty: Est. Assets Under Mgt Insbtution: Catty: Est. Assets Under Mgt: Institution: Catty: Est. Assets Under Mgt: Please indicate the family situation of the indvidual (marital status, other family members, etc): WA CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SDNY-0000386 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... /I/192824349 EFIA_000 19259 EFTA00169006 KYC Print Page 12 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all panes) indiveual's Name: Harry Beeer Date of Birth: Country of Residence: United States Country of Cetaenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? O Yes la No Profession/Ocapatka: Accountant Tax ID / SSN: Current Employer. HBRK Associates, Inc Posteri/Ttle/Rank: Accouvant Address of employer: 575 Lexington Avenue, 4th Roor Money NY United States 10022 Does the person work as senor executive of a DB-reccgritzed regulated entity in the Mandel ndusby? or an entity listed on a DB.reccgrilsed exchange? (Not applicalie for operating entitles in yes 2 Pb I--I Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A El Yes 2 No To the bestial your knowledge, is the Individual related wan employee of the DB group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dolt referral source, supplier of goods or servio)?(if res,demte) N/A Dyes 121 No If applicable, indicate which bank officers have met the person: Indcate where and viten the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domapile: Client Place Business: of Other Location (specify): Date: O O • O O O O CI O Summa for this individual are not filled in, because they we the same as for the following person: • Wealth Details 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Secdon 2) Nature of the Individual's Busness: Primary Country of source of wealth/source of Funds? Primary ndustry of source of Wealth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Glfts O Other: Further Descrece Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of profitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets premed to invest with FWM($): Other Known Financial Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: InstituUon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000387 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/19281435° EFIA_000 19260 EFTA00169007 KYC Print Page 13 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000398 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814351 EFIA_000 19261 EFTA00169008 KYC Print Page 14 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Erika Kellerhals - 00030499664 Date of Birth: 10/13/1974 Country of Residence: Virgin Islands, US. Country of Citizenship: tinted States Addressor primary residence: Has client resided outside of he/her country of nationality for 5 years or more? O yes ©No Professlon/Ocaipatlon: Attorney Tax ID/ SSN: 074-72-9603 Current Employer. Ketterhals Ferguson Kroblln RIX Posten/Title/Rank: Attorney Address of en layer: 9100 Port of Sale Mal, Ste 15 St. Thomas Virgin Islands, U.5.00802 Does the person work as senior executive of a DB-recognized regulated entity In the finandal ndustry? or an entity listed on a D8-recognised exchange? (Not applicable for operating entitles ri yes 2 No 1—, Is the individual a Politically Exposed Person (PEP)?(if Yes, Sete) N/A O Yes 2 No To the best of your knowledge, Is the individual related to an employee of the DB group?(if Family once-Awash*, describe) N/A 2 None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate wrath bank officers have met the person: Indcate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Clent Private Domiolle: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled In, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated In Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of prolitatiary? Indicate type of business, countries of major activities, important business partners.) Estimated Annual b-come($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets parsed to invest with FWM($): Other Known Finanaal Institutions: Irebtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000389 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192824352 EFIA_000 19262 EFTA00169009 KYC Print Page 15 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000390 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... II/192814353 EFIA_000 19263 EFTA00169010 KYC Print Page 16 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) indiwival's Name: Date of Bit: Country of Resdence: Country of Ottaenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? CI yes ©No Profession/Ocapatka: N/A Tax ID / SSN: Current Employer: N/A Postion/Tele/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the Mandel ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in pui " YES •-11.5 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A O Yes 2 No To the best of your knovdedge, Is the individual rested to an employee of the Cl3 group?(if Family or Friendship, describe) N/A O None • Family • Friendship To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate thud[ bank officers have met the person: Indcate where and sedan the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domiodle: Client Place of Business: Other ( Location specify): Date: O O • O O O O CI O Summa for this indindual are not filled in, because they we the same as for the following person: • Wealth Details 3B. Wealth Details (Only for parties repining source of wealth description as rioted In Section 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(5): Amount of assets plamed to invest with FWM($): Other Known Finanaal Institutions: Inshtution: Country: Est. Amets Under Mgt: institution: Country: Est. A-CW[5 Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000391 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814354 EFIA_00019264 EFTA00169011 KYC Print Page 17 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000392 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192814355 EFIA_000 19265 EFTA00169012 KYC Print Page 18 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) indiwival's Name: Date of Skth: Country of Residence: Country of Ottaership: Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? O Yes la No Profession/Ocorpatica: N/A Tax ID/ SSN: Current Employer: N/A Position/Tide/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " YES Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the bestial your knowledge, s the Individual rented to an employee of the Cl3 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate wrath bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Doma:die: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weakh/Source of Funds? Summate Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of proktatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets premed to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000393 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814356 EFIA_000 19266 EFTA00169013 KYC Print Page 19 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SDNY-0000394 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192824357 EFIA_000 19267 EFTA00169014 KYC Print Page 20 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Country of Residence: I Country of Otihenshlp: Address of primary residence. Has client resided acme of his/her country of nationality for S years or more? O Yes la No Profession/Ocarpatica: N/A Tax ID / SSN: Current Employer: N/A Position/Tide/Rank: N/A Address of employer: N/A Does the perste, work as senior executive of a DB-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in oni " Yes --, No Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the best of your knowledge, Is the Individual rented to an employee of the Cl3 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dient referral source, supplier of goods or servio)?(if res,demte) N/A Dyes 21 No If applicable, ndicate wrath bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domi:die: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa for this individual are not filled in because they we the same as for the following person: • Wealth Details 3B. Wealth Details (Only for parties requinng source of wealth description as rioted In Seddon 2) Nature of the Individual's Busness: Primary Country of source of weatth/source of Funds? Primary ndustry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual income($): Estimated amount of investable assed($): Estimated Net Worth(S): Amount of assets ',lamed to invest with FWM($): Other Known Finanaal Institutions: insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000395 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814358 EFIA_000 19268 EFTA00169015 KYC Print Page 21 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000396 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192824359 EFIA_000 19269 EFTA00169016 KYC Print Page 22 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Date of Bkth: Country of Residence: Country of Ottaership: Has client resided outside of his/her country of nationality for S years or more? O yes la No Address of primary residence: Profession/Ocorpatica: N/A Tax ID / SSN: Current Employer: N/A Position/Tide/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DDreagnized regulated entity in the kneader or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in ® ndustry? " YES No Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the best of your knowledge, s the Individual rented to an employee of the Cl3 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes 2 No If applicable, indicate which bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domaolle: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa for this individual are not filled in because they we the same as for the following person: • Wealth Details 3B. Wealth Details (Only for parties repining source of wealth description as indicated in Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weakh/Source of Funds? Summate Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For Inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amours of assets planned to invest with FWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. AmeLs Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000397 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814360 EFIA_000 19270 EFTA00169017 KYC Print Page 23 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SDNY-0000398 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814361 EFIA_000 19271 EFTA00169018 KYC Print Page 24 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Indiwival's Name: Date of Birth: Country of Residence: Country of Ottaenship: Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? O Yes la No Profession/Ocorpatica: N/A Tax ID/ SSN: Current Employer: N/A Position/Tele/Rank: N/A Address of employer: N/A Does the person work as senior executive of a DB-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " YES ,-, Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A O Yes 2 No To the bestial your knowledge, Is the Individual rented to an employee of the Cl3 group?(if Family once-Awash*, describe) N/A • Family • Friendship O None To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate wrath bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domaolle: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets premed to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000399 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824362 EFIA_000 19272 EFTA00169019 KYC Print Page 25 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000400 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192814363 EFIA_000 19273 EFTA00169020 KYC Print Page 26 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) indiwival's Name: Date of Skth: Country of Residence: Country of Ottaenship: Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? O Yes la No Profession/Ocorpatica: N/A Tax ID/ SSN: Current Employer: N/A Position/Tide/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " YES Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the bestial your knowledge, Is the Individual rented to an employee of the Cl3 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate wrath bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Doma:die: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa for this individual are not filled in because they we the same as for the following person: • Wealth Details 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weakh/Source of Funds? Summate Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of probtatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets premed to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000401 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814364 EFIA_000 19274 EFTA00169021 KYC Print Page 27 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000402 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814365 EFTA_000 19275 EFTA00169022 KYC Print Page 28 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Date of Skth: Country of Residence: Country of Ottpenship: Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? O Yes la No Profession/Ocorpatica: WA Tax ID/ SSN: Current Employer: WA Position/Tide/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in on" " YES Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the best."( your knowledge, Is the Individual rented to an employee of the Cl3 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dolt referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate wrath bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domi:dle: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for this individual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng sauce of wealth description as indicated in Seddon 2) Nature of the Individual's Busness: Primary Country of source of weakiVsarce of Funds? Primary ndustry of source of Weakh/Source of Funds? Summate Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of probtatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets ',lamed to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000403 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814366 EFIA_000 19276 EFTA00169023 KYC Print Page 29 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000404 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192814367 EFIA_000 19277 EFTA00169024 KYC Print Page 30 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) indiwival's Name: Darren K. Indyke - C0000486405 Date of Birth: Country of Residence: Un.ted Sates Country of Otbaenship: tinted States Address of primary residence: Has client resided outside of his/her country of nationality for S years or more? CI yes ©No Profession/Ocamatka: Accountant Tax ID / SSN: Current Employer: Southern Mantel LLC Pomba/Title/Rank: Accountant Address of employer: 6100 Red Hook Quarter B3 St Thomas Virgin Islands, US. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicalie for operating entitles in yes 2 Pb " Is the Individual a Politically Exposed Person (PEP)?(if Its, asserbe) N/A O Yes g No To the best of your knowledge, k the individual related to an employee of the DB group?(if Family once-Awash*, describe) N/A • Family • Friendship g None To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, due referral source, supplier of goods or seivicm)?Of res,desmbe) N/A Dyes I21 No If applicable, indicate Muth bank officers have met the person: Ind.cate where and when the client meeong(s) took place: Bank Officer Name(s) Bank Office: Client Private Dommile: Client Place of Business: Other Location (specify): Date: Stewart Oldfleld R O • 12/12/2016 O O K • Wealth Details for this individual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth /sane of Funds? Primary ndustry of source of Vieatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of prolitabity? Indicate type of business, countries of major activities, important busmess partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Finanzel Institutions: Insdtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: InstituUon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000405 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... LIMP/2824368 EFIA_000 19278 EFTA00169025 KYC Print Page 31 of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SDNY-0000406 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192824369 EFIA_000 19279 EFTA00169026 KYC Print Page 32 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Richard D. Kahn Date of Birth: Country of Residence: United States Country of Ottaenship: tinted States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O Yes ©No Profession/Ocorpatka: Accountant Tax ID / SSN: Current Employer. HBRK Associates, Inc Postiarrintle/Rank: AccoLritant Address of envioyer: 575 Lexington Ave, 4th Fl New York NY United States 10022 Does the person work as senior executive of a DB-recognzed regulated entity In the financial ndusby? or an entity listed on a DB-recognised exchange? (Nat applicable for operating entitles n yes 2 lb I--, Is the individual a Politically Exposed Person (PEP)?(if Yes Sate) N/A O Yes g Pb To the best of your knowledge, Is the Individual related to an employee of the I313 group?(if Family once-Awash*, describe) N/A g None • Family • Friendship To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A Dyes 2 No If applicable, indicate ankh bar* officers have met the person: Indcate where and viten the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domi:die: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa for this individual are not filled in, because they we the same as for the following person: • Wealth Details 3B. Wealth Details (Only for parties requinng source of wealth description as indicated In Section 2) Nature of the Individual's Busness: Primary Counby of source of weakh/sourte of Funds? Primary ndustry of source of Vieakh/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: Further Descrte Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long In business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual b-come($): Estimated amount of investable asset($): Estimated Net Worth(5): Amount of assets plamed to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: InstituUon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000407 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... /I/19281437° EFTA_000 19280 EFTA00169027 KYC Print Page of 41 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SDNY-0000408 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/19282437i EFIA_00019281 EFTA00169028 KYC Print Page 34 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: Date of Bit: Country of Resdence: Unsed States Country of Oteaenship: Russian Federation of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O Yes ©No Address Profession/Ocapatica: N/A Tax ID/ SSN: Current Employer: N/A Position/Tiie/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the finandal ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " YES •-11.5 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A O Yes 2 No To the best of your knovnedge, Is the individual rented to an employee of the Gl3 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21 No If applicable, indicate %%Koh bank officers have met the person: Indcate where and viten the client meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domiodle: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O Summa • Wealth Details for Curs indMdual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties repining source of wealth description as indicated in Section 2) Nature of the Indlviduars Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Glfts O Other: Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(5): Amours of assets planned to invest with FWM($): Other Known Finarcal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000409 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192824372 EFIA_00019282 EFTA00169029 KYC Print Page 35 of 41 [Pease indicate the family situation of the Indvidual (mental status, other family members, etc.): I I I One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (For at Legal Entities) Legal Entity Name: Butterfly Trust - 00000486426 Type Cl Entity: O Foundation/Association 0 Trust O Company O Estate O Partnership Purpose of Entity: WI Private Investment O Philanthropic/Chantable O Commercial Type of Entity Other (specify): of Entity Purpose Other (specify): Country of incorporation/registration: Virgin Islands, U.S. Date of incorporation / registration: 12/27/2006 volcker Status: Idenofied on Customer Profile Volcker Rag: No , street, Address (ocy post code): 6100 Red Hook Quarter 83 St, Thomas 00802 %Amin Islands, U . U.S. TIN/EIN: 26-6639711 Provide a description of the entitles revocability,setdor and beneficiaries,etc.: This is an rrevocable oust set are Ha Seller and Erika Kellerhals. Dairen I ke Richard Kahn 4455 Nutmeg Tree Lane *a Boynton Beach, A 33436 organizational structure, Its ownership structure and its Top Management. Pot trusts/foundations, include information about up by Jeffrey Epstein as the grantor. The the benefcarles for the bust are bang updated by the current trustees. The trustees The beneficiaries we: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000410 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192814373 EFIA_00019283 EFTA00169030 KYC Print Page 36 of 41 Attached are the original trust agreement and the addition/deletion of beneficiary instrumeM to support this change. According to the original trust agreement, die trustees have the right during the lifetime of the Grantor to delete or add beneficianes inder &tide 3 of the agreement. Please indicate how ownership of the legal entity Is reflected: Addition of Beneficianes attached O Special mentor,: Bearer Shares - Indicate where shares are custoded: Descrte the chain from the direct owner of the entity to the ultimate beneficial owner Of not the same persons): This 6 an irrevocable trust set up by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current bvstees. The trustees are Harry Beeler and Erika Ke4erha1s. The beneficiaries are: Darren Indvke ...ali • I ro the test of your knonted9e, s the entity party to a non banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: N/A Yes O No e Describe Nature or Entity's Primary Business and Investment Activities Nature of the business: Trust account Countries where Dustless is transacted: Virgin Wands, U.S. Number ce employees: N/A 3D. Wealth Profile (Only for pastes rectu[ring source of .‘ea_th descnpoon as indicated Ln Section 2) Primary Country of source of wealth/sauce of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (eg. balance sheet or equivalent summary of assets/liabilities): Trust account with Jeffrey Epstein as Grantor. Initial $103 gNen to the amount to fund. The funds for this trust account come from investments made by Jeffrey EPsten. His wealth profile is filled out. Estimated gross receipts p.a.(S): 4,500,000.00 Estimated net profit ea. ($): 4,500,000.00 Estimated investable assets ($): SS MM - 10 MM Potential Amount to be invested woh PWM (S): 703,003.00 Other Known Financial Institutions: Institution: Country: Est. Asset Under Mgt: Institution: Country: Est. Asset Under Mgt: Institution: Country: Est. Asset Under Mgt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (Foe all Legal Entities) Legal Entity Name: Neptune, LLC - 00000487264 Type of Entity: O Foundation/Association ❑O Tn.& 21Company ❑O Estate O Partnership Purpose of Entity: PrNate Investment O PhilandroPic/Chantable O Commercial Type of Entty Other (specify): Other Repose of Entty (specify): Country of Incorporation/registration: limed States Date of Incorporation / regisbation: 12/21/2011 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. l(e) DB-SDNY-0000411 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... /I/192824374 EFIA_000 19284 EFTA00169031 KYC Print Page 37 of 41 Volcker Stabs: !dandled on Customer Profile Vokker Flag: No Address (city, street, cost code): 100 Red Hook, Quarter 63 Ron Th as 00602 Virgin Islands, S. U.S. TIN/EIN: Provide a descriptkn of the entitys organizational structure, its ownership structure and its Top Management. For buns/foundations, include Information about rev.xability,sthdor and benefidarles,etc.: Singe member LLC. Jeffrey Epstein ts the sole member. The signors on this account we Jeffrey pstein, Hany Beller, Darren Indyke. Richard Kahn Is the manager. Please indicate how ownership of the legal entity is reflected: Operating Agreement O Speoal attention: Bearer Shares - Indicate where shares are custothed: Describe the chain from the direct owner of the entity to the ultimate benetiaal owner ('foot the some pawns): Single member LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Harry Beier, and Darren Indyke. Richard Kahn is the manager. To the best of your knowledge , is the entity party to a non.bankano relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: WA Yes CI No El Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This LW was formed to hold the funds necessary to cover the costs and taxes assooated with (Liming Jeffrey Epstein's NYC home Countries where busness is transacted: United Stites Number of employees: 3 3D. Wealth Profile (Orgy for parties rearing source of wealth description as indicated in Section 2) Primary Country of source et neattlysource of Funds? United States Primary industry of source of VYealtn/Source of Funds? High Risk Francis' InslibAlons Provide Evidence of Corporate Assets (e.g. balance sheet or equivaleM summary of asset/liabilities): This LLC is funded by contributions made by Jeffrey Epstein. Estimated gross receipts p.a.(S): 1,000,000.00 Estimated net profit pa. (S): 1,000,000.00 Estimated investable assets ($): 4$1 MM Potential Amount to be invested with PM (s): Other Known Flnanoal Institutions: Institution: Country: Esc Asse13 Under Mgt: Insatution: Country: Est. Assets Under Mgt: MsbbAlon: Country: Est. Asseith Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000412 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... / I/192814 375 EFIA_000 19285 EFTA00169032 KYC Print Page 38 of 41 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART I ReLationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Boolung Center 0 NY INDY/Offshore CI Moderatefl Risk ai Hgh Risk • Offshore (Compaance Signature) 0 DB Employee 0 DB Managed PIC Trustee/Co-Trustee O Bearer Shares • DB IS 4. Attachments A. Type of Photo ID Provided In & Richard Kahn GCIS * 486405 & Elyke DiWet License O Passport O NatIoSStatSiiiiiis_ in m* theakst of names (inctviduals and/or entities) that were submitted for database searches is attached O Yes O No C. Please indicate the results of the database searches performed RDC searches complete 2 Yes O No negative results found ®Yes O No PCR checks complete 2Yes O No negatwe results found ®Yes • No OFAC checks complete 21YeS O No negatwe results found OYes 0 No BIS searches complete (Leds/Neds, Facbva, Reuters, Dow Jaws, DM) 52 Yes O No negatwe results found ®Yes • No Denial Orders checks complete 2 Yes O No negatwe results found Dyes ®No Martindale-Hubbell searched (Lawyers/Law Finns only) 2 Yes • No negatwe results found OYes 0 No D. Please summarize any negative results from the database searches indicated above: Harry Beller: - No negative media - Harry Beller Is the plaintiff in the court case, also It has been disposed. •. - No negative media - No court cases Butterfly rant: - No negative media - No can cases = - No negative media - No court cases Jeffrey Edward Epstein: - Negative media relates to the sex offence in the past which are already cleared. (KYC 0 - 01790655) - Court cases relates to Jeffrey's sex offence In the past which is already cleared, another is a recent ongiarg ova lawsuit pertaining to fraud, but part of normal Dustless 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 Immatenal in nature. - Criminal Filings relates to sex offence MI chi is already cleared in the past - RDC alert found - Sex offences in the past which has been cleared - Clearance attached. •. - No negative media - No court cases Darren Indyke: - Negative news in Google relates to Jeffrey Eastern's Foundaton and are not material in nature. - Court case mentioned in Google search relates to Jeffrey Epstein's sec offence in the past which has been cleared already. Darren Is Just an attorney for Jeffrey In the case. - Fircosoft alert has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was disrmssed and he was not barred from NYSE Arca and was cleared in the prevous KYCs. Attached clearances - RDC alert found - realates to violation of NYSE Arca Equities Rule - Oearance attached M - No negabve media - No cart cases CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-000041 S https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814376 EFTA_000 19286 EFTA00169033 KYC Print Page 39 of 41 Enka Ketlerhals: No negative media No court cases No negative media - Court case is immaterial since she is not a defendant nor plaintiff. Her name is just mentioned as miscellaneous. Case is closed as well. Neptune LLC: - No negative media - No court cases No negative media No court cases No negative media No court cases No negative media No court cases No negative media No court cases - No negative media No court cases No negative media No court cases Southern Trust Company Inc • No negadve media • No cast cases E. To the brat of your knowledge, has the Rent ever been convicted of a criminal offense? RI Yes Ono To the bet of you knowledge, has the customer ever bee, involved in any past litigation aganst Deutsche Bank AG or any of Its subsidiaries or is the customer threatening litigation against O Yes RI No F' Deutsche Bank AG or any."( Hs subsidiaries? (If Yes, ptovkle cleats betwandcontact Quay Mgt. (Lattm/Intl)o or the Regulatory Control Croup and nobryConwhance immediett•ly) Does the dent or rated party have any flnancial or other associabon interactions within countries ri Yes No G. or rearms sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the dent or related party have any financial or other association! interacbons within high risk LJI—I Yes 2 No countries? I. Corporate Documentation Attached (Legal Entities Only) El Yes O No O Net Applicable 3. Undisclosed Prince:el Form Compiete (Intermediaries Orgy) O Yes O No 2 Not Applicable IC If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentations not Ill English, please provide an English arnmary of the nattrefccatents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? Oyes Mho Is the account structure unusual,/ complex? O Yes RI No Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? Is there any indication this could be a prorated business relationship? Oyes 2 No Oyes Mho Are the bearer shares Identified subject to acceptable controls? O Yes B No CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000414 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192824377 EFIA_000 19287 EFTA00169034 KYC Print Page 40 of 41 M. Case Comments Created By Date Comments Kshitij Gala^ 9/25/11 10 04 Am This KYC serves as a hi h risk u ate for the below listed clients (together "accountholders" - 1. 2. Butterfly Trust 3. Neptune LLC Below are the reasons why we are comfortable with approving tNs KYC: • Information and supporting documents required by our AML Porky were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected trartsacbon athay. • There are a few risk factors associated with the accountholders — SOW: The U30 (Jeffrey Epstein) is the . In additionf ets ega ve a : is some negative media against Mr Epstein and he is also maintains a close relationship with all Ointon and Prime Andrew. Please see risk calculator for rnore informabon. Appropriate approval was °blamed. • Our review did not identify any red flags and thus there was no need to escalate this case further. • We performed due diligence se_ardes on all parties and did not find the names searched to be on any sanctions lists. Mayur Rathod 9/3/118 3:17 API No material changes confirmation "emar attached in the case. ONSHORE APPROVALS Cent Facing Professional (CEP): Stewa-t 04fietcl (Signature) Stewart Oldfield 9/5/2018 Office Director/Business Head: Stevel MattuS (Signature) Steven Mattis 9/6/2018 Regional Office Director: (Signature) AML Business Risk (Signature) AML Compiance: Kstioj G3lam (Signature) Kstsbj Golanl 9/25/2018 LATAM/1NTERNATIONAL APPROVALS Cent Facing Professional (CFP): (Signature) Account Manager. (Signature) Global Market Team Head (GMTH )/Sub-Market Team Head fSaffil): (Signature) AML Business NA: (Signature) AML Compaance: (Signature) CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. ie) DB-SDNY-000041 5 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192824378 EFIA_00019288 EFTA00169035 KYC Print Page 41 of 41 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals! (I) (CFP's) should establish and maintain business relationships only with persons who saris)" 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 Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000416 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=0IN30000000D9Di&e... U§192824379 EFIA_000 19289 EFTA00169036