EFTA00169037.pdf

KYC Print Page I of 20 DB PWM GLOBAL KYCINCA: PART A KYC Case R : 01977699 One sheet must be established per relationship - list all accounts included In the relationshi 1. Relationship Details Relations* Name: SOUTHERN FINANCIAL RELATICNSHa Booking Center New York Relationship Manager Stewart Olcilieki O New PWM Relationship 2 Existing PWM Relationship Reran:instep to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: "' 2018 Periodic Review "s Last Approved KYC e - J. Epstein Virgin Islands Foundation Inc - 1790655: Hyperion Air LLC - 1790820. How Was the Clent(s) 2 Client Referral • PM Prospect O Interrnediary/FIM • Other Source (CB, EEC) Introduced? How long has the RM personalty 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 Cedfleid on 3/7/17 to have a new acct opened under this relationship. Does Deutsche Bank pay a retrocession or similar O YES 112 No compensation to a third party for the Introduction of this relationship? (If Ye *sate): LlSt all misting and new account Involved in this relationship Legal Entity Account(s) Account Name / Number Open eig Date (intended/actual) ,T4 3. Epstein Virgin Islands Foundation Inc - DBSI 9/30/2013 I% I ype.lon Air LLC - - DOA 10/18/2013 Who Is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or Information right for the accounts.): Darren K. innore Preferred method of contact (indicate phone no., fax no., e-mail address, etc): Stabs : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000417 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... uMI1/2844"° EFIA_000 19290 EFTA00169037 Kl"C Print Page 2 of 20 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: J. Epstein Virgin Islands Foundation Inc - • OBSI Acct. Number (revailbleA Account Manager: Stewart Oldfield What S the purpose of the account e.g. portfolo management, advisory account, custody services, longterm investment, payment/expense account)? The purpose of this accoint is to manage the foindatan's securities and bade investments. Indicate from where the assets are expected to arrive? @ 013 Group: Same Booking Center (indicate account number): Ebsang 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 (ndicate estimated number and volume per month)?: 0-5/month; 9100 - SSOK What is the expected volume of assets and currency for the account approx. 90 days after opening? I 300,003 'Currency ' USD what IS the expected volume of assets and currency for the account approx. one year after operung? 1300,000 I Currency I USD Doesiivd the client have Assets Under Management (AuM) within 06 under Eur. 3M? arts O No Please Ilst an parties related to the account For each party: • Check if a source of wealth description IS requeed for the patty. • Check the appropriate box to desabe the relationship of the party to this accoint (> I can be selected). • that of the check boxes apply, describe the party's relation to the account in the *Other colunn. • Always desabe the relationship between the parties in he last column. • Please drill down to the iltenatefunderlying Benefoal Owner(s). : egal atItyl Description Source I Wealth required Patties 'elated to this account AccountPIC Molder Ownetrust Settor of / Founder of Foundation Ultimate Benefloalor Owner Sigrotontimitec Full POA POA Financial IntermederwStoteholderliepnzsentabve (FM) Significant (>=25%) Non-PIC entity (indicate ownership %) egal Grantor/SettlafoindingOther Donor (please iesalbe other roles ant/or nthcate relatiorshlp oebmen tortes) I 2 El J. Epstein Wein Islands Foundation, Inc O 2 s • O O O O • O 2 O O " Indyken K. O O O • RI O O O O O O 0 Jeffrey E. Easton O O 0 5 El O 17 O O O Founder; Sole Primary rater, Me Deosion Maker; 4 O O Erika nals raller "1 in O O O li LI LJ 121 O O seaetary& treasurer; 5 O O Paul . Barrett O O O E. H Fl EH O O O Trading Authorization Unwed to Pirchnom & Sales of securities: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000418 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814381 EFIA_000 19291 EFTA00169038 KYC Print Page 3 of 20 2. Account Ownership Summary Account Name: Hyperion Air LLC - - DOA Ace_ Number Oravailekt Account Manager: Stewart Oldfield vmat es the purpose of the account (e.g. portfobo management, advisory account, custody services, long-term Investment, payment/expense accepts)? The purpose of the account s to manage the monthly expenses of the company. Indicate from where the assets are expected to arrive? g 08 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 Deposers (specify cash, securities, cheques, ...): What S the expected size and frequency of regular inflows and outflows for the accouu (indicate estimated number and volume per month)?: 04/moth; S100 - S 15CR What is the expected volume of assets and currency for the account approx. 90 days after opening? 1 147,203.75 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1147,203.75 I Currency I USD Does/iv& the client 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 is requeed for the party. • Check the appropriate box to describe the relationship of the party to this accost (> I can be selects). • f none of the check boxes apply, describe the patty's relation to the account in the 'Other' column. • Always desabe the relationship between the parties in he last cane. • Please drill down to the Ldorrete/underlying Beneficial Ormer(s). _egal‘lescription Inbtrof Source of Y/ealth required Pates related to this account AccounePIC Holder OwnerTrust Settlor of / Founder of Foundation -Renate iSignaton Beneficialor Owner Full POA Lunteo POA Financial InterrnedieyShareticider (ELM) Significant (>=25%) Yon-PIC entity (indicate ownership el ''r) _egal Representative Grantor/SettorfoundingOther Donor (please describe other roles and/or indicate relationship between parties) I gd PI HyPert011 Ps, LLC O O O O • O O O O O 2 0 0 jeffreYE' Epstein 0 0 0 2 2 O O O O O Sole Member: Primary Decision Maker; O O Darren K. Indyke O O O O El O O O O O 4 O O Harr/ Beller O O O O 121 O O O O O 5 O O Lawrence Paul Vlsoski Jr O O O O O O O I21 O O Manager; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000419 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... LIMP/2824382 EFIA_000 19292 EFTA00169039 KYC Print Page 4 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details Oa 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: for Little Sant James Saint Thomas 00802 Yvan Islands, U.S. Has dent resided outside of leTher country of nationality 5 years or more? O yes El No Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Posation/Title/Rank: President Adams of employer: 6100 Red Hook Quarter B3 SL Thomas Virgin Islands, US. 00802 Does the person vett 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 Prince Andrew and BM Clinton 2 yes O No To the bet of your knowledge, is the individual related to an employee of the CB 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 relatenship 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 bank afters have met the person: Indicate where and when the client meeting(s) took dace: Bank Officer Name(s) Bank Office: Oient Private pomiole: Cent Place of Busaness: 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 space 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 Investment • bTheritance/Gifts O Other: Further Describe Sane of Mean /Detail the history of wealth for each of the source: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how ling in business, how many employees, level of workaday? Indicate type of business, counoles of major activates, Important business partners.) Jeffrey Edward Epstein (born January 20, 1953) 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 Awn, J. 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 student was a son of Alan C Greenberg, chairman of Bear Stearns. In 1976, Epstein stated work as an options trader at Beat Stearns where he waked in the special products division, advising high-net-worth dent on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Sterns. In 1982, Epstein Minded 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 stems, 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 adverting executive Donny Deutsch, investor Nelson Pelt, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weristein. They were Strut* outbid by Mice Wasserstein, a longtime Wall Street investor, who paid $55 mom. In 2009, Epstein and Zuckerman mmmated up to $25 million to finance Radar a celebrity and pop odium magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as et5 editor-in-chief, reared a snail ownership stake. Presently, I*. Epstein founded Southern Trust Company Inc, a private consulting company that nvest the assets of tier clients and gets their revenue from the CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000420 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... II/192824383 EFIA_000 19293 EFTA00169040 KYC Print Page 5 of 20 return of these Investments. Southern Trust invests in deferent portfolios catered to their dents and makes their revenue based on the returns and the fees associated when managing thee dent's assets Estimated Annual bxome($): 10,000,000.00 Estimated amount of investable assers($): $50 MM - 100 MM Estimated Net liVorth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other KflOW11 Finanoal Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Instituten: Country: Est. Asses Under Mgt: Please Indicate the family situaten of the Melville' (marital status, othe farmly members, etc.): N/A CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Da-soNr-oo00421 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=0IN30000000D9Di&e... /I/192814384 EFIA_000 19294 EFTA00169041 KYC Print Page 6 of 20 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 2 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-0000422 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192824385 EFIA_000 19295 EFTA00169042 KYC Print Page 7 of 20 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000423 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814386 EFIA_000 19296 EFTA00169043 KYC Print Page 8 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (Ns all panes) Inclividuars Name: Enka Kelterhals - Date of Birth: County of Residence: Virgin Wands, U.S. Country of Citizenship: United States Address of primary residence: Has dent resided outside of hs/ber country of nationality for 5 years or more? O yes El No Professien/Occupaticn: Attorney Tax ID / SSN: Current Employer: Kellerhals Ferguson Krohn PLLC Poston/Title/Rank: Attorney Address of employer: 9100 Port of Sale MW, Ste IS St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a O8-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not agreeable fa operating entitles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?i'I Yes, *noel N/A Oyes 2 No To the best of your knowledge, is the Inds dual related to an employee of the DB group?(d Fan* er Menthdip, tote) WA O Family O Friendship El none To the best of your knowledge, Is the irdivklual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods a services)?O Of Yes,clescnbe) N/A Yes tr. No If appleabk, Indicate which bank afters have met the person: Indicate where and sedan the client meeting(s) took pace: Bank Officer Name(s) Bank Office: Cent Private Domicile: Cent Place of Bussness: Other Location (sredfy): Date: O • • O O O O O O O Wealth Details for this intWii)al are not filled in, because they are the same as for the (atoning person: 38. Wealth Details (Orly for parties requiring soiree of wealth description as indicated in Section 2) Nature of the Inilvidues Cosiness: Primary Canby of source of wealth/source of Fula? Primary indusoy of source of Wealth/Sotsce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Source of Wean /Detail the history of wealth for each of the sources: (e.g. For trusis, how did settler accumulate wealth? For inheritance, how did farmly accumulate wealth?For business owners, how lag in business, how many employees, level of prditabdity? Indicate type of business, countres of major activeles, important business partners.) Estimated Annual Income($): Estimated amount of investable assers($): an-natal Net Worth(S): 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 c( the irilyklual (marital status, other family menters, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000424 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192824387 EFIA_000 19297 EFTA00169044 KYC Print Page 9 of 20 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000425 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192814388 EFIA_000 19298 EFTA00169045 KYC Print Page 10 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details (Ice all parties) 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/Occupation: Accountant Tax ID / 55th: Current Employer: MIRK Asscoates Inc Position/Title/Rank: Accountant Address et employe: 575 Lexington Avenue, 4th Floor Mersey NY United States 10022 Does the person wok as senior executive of a DB-recognized regulated entry in the (Wendel ndustry? a an entity listed on a DB-recognised exchange? (Not appbcable for 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?(1 FamaPrerMenc&ip, tote) WA O Family O Friendship El None To the best of your knowledge, Is the individual party to a non-banking relatkinship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Of Yes,clescnbe) N/A Yes tr. NO If appitabk, Imitate Midi bankafters have met the person: Indicate where and nten the client meebng(s) took dace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Bussness: Other Location (spedfy): 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: 3B. Wealth Details (Orly for parties requiring sorra of wealth desaiption 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/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Sauce of Wealth /Detail the history of wealth for each of the sources: (e.g. For bugs, how did settler accumulate wealth? For inheritance, how Ad family accumulate wealth?For business owners, how long in business, how many employees, level of prelitabdity? Indicate type of business, countries of major activades, 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 mentors, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000426 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... /I/192824389 EFIA_000 19299 EFTA00169046 KYC Print Page 11 of 20 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000427 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/19282439° EFIA_000 19300 EFTA00169047 KYC Print Page 12 of 20 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 dont resided outside of his/her country of nationality for 5 years or more? O Yes @ No Professon/Oaupatien: Investment Adviser' Tax ID / SSN: Current Employer: I.P. Magan Searibis LLC Peestn/Tide/Rant Irniestment 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 rated 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)? Of Yes,descnbe) N/A Yes ../ No If appitabk, Imitate Midi bankafters have met the person: Indicate where and viten the client meebng(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 ineWidal 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 Inebelekies 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 trusts, 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 investatte 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 SWadon c( the irolvklual (marital status, other family menters, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000428 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814391 EFIA_000 19301 EFTA00169048 KYC Print Page 13 of 20 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000429 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192824392 EFIA_000 19302 EFTA00169049 KYC Print Page 14 of 20 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownershln Summa 3A. Individual Details (Ice all parties) Individual's Name: Lawrence Paul Visoslu Jr - 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 natenality for 5 years or more? O yes El No Profession/Occupation: Manager Tax ID / SSN: Current Employer: Hyperion Air LLC Pesation/Title/Rank: Manager 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-recognized regulated entity n the financial ndustry? or 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, 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 irdivklual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? ../ Of Yes,clescnbe) N/A O Yes w No If applitabk, Indicate which bankafters have met the person: Indicate where and viten the client meebng(s) took dace: Bank Officer Names) 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 (droving person: 3B. Wealth Details (Orly for parties requiring sorra of wealth desaiption as indicated in Section 2) Nature of the Indieldues Business: Primary Country of source of weals /source of Finds? Primary indusby of source of Wealth/SoLvce 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 nheritance, how rid fanuly accumulate wealth?For business owners, how long In business, how many employees, level of prelitabdity? Indicate type of business, countries of mayor activnes, important business partners.) Estimated Annual Income($): Estimated amount of investabe assets(S): atirnated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Insautions: Instituten: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the indyklual (marital status, other family menters, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000430 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/JP/2814393 EFIA_000 19303 EFTA00169050 K\'( Print Page 15 of 20 I One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Somme 3C. Legal Entity Details (For at Lega Entities) Legal Entity Name: J. EpstraM Virgin Islands Foundation, Inc - Type of Entity: RI Foundation/Association • Trust O Company O Estate Pirpose of Entity: O Private Investment PhilanthropcXhantable OConvnerdal O Partnership Type of Entity Other (specify): Purpose of Entity Other (speofy): Canby of inxxporaten/registration: Virgin Islands, U.S. Date of Incorporation / legiStlatbn: 7/14/2000 Volcker Status: Identified co Customer Profile Wicker Flag: No Address (city, street, post code): 6100 Red Hook Quarter B3 A, Thomas 00802 Virgin Islands, us U.S. TIN/EIN: Provide a description of the entitYs organizational structure, is ownersNp structure and is Top Management. For trusts/foundations, Include Information about revccabity,settior and benefld dis,etc.: This Is a 501 (c)3 foundation with Jeffrey Epstein serving as the Proneunt. Darien Indyke saves as Wi and Enka Kash& as Secretaryareasurer. The senors on this account are Jeffrey Epstein, Darren Indyke and Part Barrett Please indicate how ownership of the legal entity is reflected: Nlides of Incorporation 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 ((not the same personS This Is a 501 (c)3 foundation with Jeffrey Epstein serving as the President. Darien Indyke swam as VP and Erika Kellerhals as Seaetaryftreasurer. The signors on this account we Jeffrey Epstein, Darien Indyke and Paul Barrett To the best of your knowledge, is the entity party to a non-banking reLatkriship with Deutsche Bank (e.g. edema' legal counsel, dent referral source, supplier of goods or services)?: NIA Yes O No 111 Describe Nature of Entity's Primary Business and Investment Activities of the business: J. Epstein Virgin Islands Foundation Inc aka Enhanced Education as a private nonprofit foundation Nature nhich s organized excluswdy for defilade, educational and sdentific purposes. Countries where business is transacted: V.rgn Islands. U.S. Number of employees: 5 3D. Wealth Profile (Only for parties requiring source of wealth desolation as indicated in Section 2) Primary County of source of wealth/soiree of Funds? United States Primary industry of source of Wealth/Soirce of Finds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetniadhues): The iNtial donation came from Jeffrey Epstein's personal funds These funds have then been invested and reneged as the sane of income for the foundation. The profits the foundation gets from these investments are then renvested or donated to charitable endeavors Estimated gross receipts P.a.(5), 400,000.00 Estimated net profit pa. (5): 250,000.00 Estimated investable asset ($): <51 MM Potential Amount to be invested ...nth PV/M (5): 300,000.00 Other Known Hnanoal Institutions: Institution: County: Bt. Asset Under Mgt: Institution: Country: Est. Asset Under Mgt: Institution: Ccultiy: Est. Asset Under Mgt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For at Legg Entities) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) I DB-SONY-0000431 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814394 EFIA_000 19304 EFTA00169051 KYC Print Page 16 of 20 Legal Entity Name: Hyperion Air, LLC - of Type Entity: ate O Foundation/AssociatIon O ma 2 Company O Estate O Partnership latrpose of Entity: a Private Investment O PhilanthropcXhantable pCommerdal Type of Entity Other (spedfy): Purpose of Entity Other (speofy): Carty of irixeparabon/registration: Virgin Islands, U.S. Date of incorporation / registration: 10/19/2012 Volcker Status: Identified on Customer Profile vcrecker Flag: No Addrez (dty, street, past code): 6100 S. Red Hook, Quarter 63 St, Thomas 00802 Wein Wards, U. U.S. TIN/EIN: Provide a description of the ersotys organizational structtre, es ownership structure and es Top Management. For trusts/foundations, include information about revocatity,setdor and benefklarit,etc.: Sngle member U.C. Jeffrey Epstein Is sole member/owner. The signors on this account are Jeffrey Epstein Harry Beller and Darren Indyke Please indicate how ownership of the legal entity is reflected: Operating Agreement - Indicate where shares are custodied: • Special attention: Bearer Shares Describe the chain from the direct owner of the entity to the ultimate beneficial owner (dna the same pesos's) Single member LLC. Jeffrey Epstein Is sole member/owner. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyte To the best of your knowledge, is the entity party to a non.bankng relationship with Deutsthe Bank (e.g. extemal legal counsel, client referral source, supplier of goods or services)?: N/A 'ft O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This is a company formed to hold finds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to eventualy take over payment for Hyperon Air Inc. Hyperke Air Inc will be dosed within a yea Countries where business is transacted: Vegan Islands, U.S. Number of employees: I 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Comely of source of wealth/sotrce of Funds? United States Primary industry of source of Wealth/Sotrce of Finds? High Risk Finandal Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): This Is a company formed to hold holds for the taxes and payments of one of Jeffrey Epstein's airplanes This LLC was famed to eventually take over payments for Hyperion Air Inc. Hyperion At Inc we be dosed within a year. Initial capital contribution of $1,000 from Jeffrey Epstein. Ail funds for this company come from Jeffrey Epstein's source of wealth. Estimated gross receipts p.a.(5): 1,000,000.00 Estmated net profit p.a. (5): 500,000.00 Estmated investable asset (S): <$1 MM Potential Amount to be invested with MUM (S): 150,000.00 Other Know, Rnanoal Institutions: Institution: Country: Est. Assets Under Mgt: Instituton: Canby: Est. AsseM Under Mgt: Institution: Canby: ES!. AssetS Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000432 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814395 EFIA_000 19305 EFTA00169052 KYC Print Page 17 of 20 DB PWM GLOBAL KYC/NCA: US/LatArn/Inel PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Raang Comments: GCIS dr - Overal RIP( - HIGH, Entity Risk - MEDIUM, Industry Risk - HIGH Country Risk . MEDIUM, Product Risk - MEDIUM. GCIS 0 - °retail Risk - HIGH, Entity Risk . MEDIUM, Industry Risk . HIGH, Country Risk - MEDIUM, Product Risk - 'UGH. Booking Center a NY NY/Offshore O Offshore O Moderate Risk a High Risk (Caliphate &refute) O 08 Managed PIC Trustee/Co-Trustee O Bearer Shares • C6 Employee • C43 s 4. Attachment A. Type of Photo ID Provided @Drivers License @ Passport O National/State ID O Other : Darren Indyke - Gas X B. Checklist of names (irdrviduah and/or entrees) that were submitted for database searches is attached 2 Yes O No C. Please Indicate the results of the database searches performed ROC searches complete 'FA yes O No negative results found 2 Yes O No PCR. checks complete 74 yes O No negative results found J Yes • No OFAC checks complete • .4 Yes O No negative results found O Yes 2 No BIS searches complete (Lees/Nous, Factiva, Reuters, Dow Jones, D&B) ! yes El No negative results found 2 Yes • No Denial Orders checks complete Si Yes O No negative resifts found Dies 0 No Martindale-Hubbell searched (LanyersfLaw Firms only) 2 Yes O No negative results found Oyes Ri No a Please summarize any negative results from the database searches ndicated above: J. Epstein Virgin Isbnds Foundation Inc - No adverse information in Google results for J. Epstein Virgin Islands Foundation Inc. News relates to tax return and nothing negative. Negative news relates to Jeffrey Epstein's sec offence which are cleared already. Attached clearances n this case. - No court cases Hyperion Air LLC: - No adverse irdonilatica In Google media results. Hyperion Alr LLC's name is Just mentioned n the Aircraft Newly Registered list on antonaks.co.uk website - No negative media - No court cases Jeffrey Edward Epstein: - Adverse results In Google relates to Jeffrey's Sex offence n the past which are cleared already. Attached clearances In the case - Negative media relates to the sex offence in the past which are akeady cleared. (KYC 0 - 01790655) - Court cases relates to Jeffrey's sex offence in the past which is already cleared, another (Gerber Et Al V. The Financial Trust Company Et Al) is a recent ongoing civil lawsuit 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 nature - Criminal Filings relates to sex offence %hid, is already cleared in the past - ROC alert found - Sex offences in the past which has been cleared - Clearance attached Darren Indyke: - Negative news n Google does not pertain to Darren. It relates to Jeffrey Epstein's Foundation and Jeffrey Epstein's sex offence In the past whith are already cleared. - Court case mentioned in Google search relates to Jeffrey Epstein's sex offence In the past whtch has been cleared already. Darren is Just an attorney for Jeffrey n the case. - Fircosoft alert has been cleared by AML an:lance. Clearance attached. Harry Beier: - No adverse irdonilatico In Google media results for our RP Harry Beller. Hits are False positives - on a soentist and an UN Orthopedic doctor - No negative media - Harry Beier is the plaintiff n the tout case, also it has been disposed. Erika Kelerhah: - No negative media - No court cases Southern Trust Company Inc - No negative media - No court cases The Einandal Trust Company: - Negative news in research is false positive and immaterial in native. The ho Is on IRA Financial Trug Company and not our SOW entity The Financial Trust Company. - Court case pertains to First Fnanoal Trust Company and not cur SOW entity The Enamel Trust Company CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000433 https://dbforcepb.rny.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM28?4396 EFTA_000 19306 EFTA00169053 KYC Print Page 18 of 20 Paul S Barrett - No negative media - No adverse results in Google search. Those are false Nis. There's a match ri one news, but he's just rawboned as an Investment advsor - No court cases - RDC alert found - False pall:him, does not pariah to our dent Age and location mismatch. Clearance attached. Enhanced Education: - Hits on Googie are on the term 'Enhanced Education" and not an ow entity's former name - Negative media hits are on the term 'Enhanced Educate? and not on our enays former name - Court cases have term 'Enhanced Education' included, the hi is not on ow entity's former name Lawrence Pal Visoskl Jr: - No negative media - No court Gams E. To the best of yow knowledge, has the dent ever been convicted of a criminal offense? 2 Yes O No F' To the best of yow knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of Its subsidiaries or is the customer threatening litigabon against Deutsche ri Bank AG or any of its stbadiarles? Of Yes porta details below and contact Quaky/4qt. LJ Yes 2 No (talAWInft)Or the Regulatory Canino/Group the note& Cootollance en/ moats') G. Does the client or related party have any Mandel or other association / remotions within wales • by the Office Foreign Assets Control Yes 2 No or regimes sanctioned of (OFAC)? H Does the client a related party have any financial or other association/ interactions within high risk r❑L...I i Yes PI No countries? I. Corporate Documentation Attached (Legal Entities Only) El Yes O No O Not Applicable J. Undsdosed Principal Form Complete (Intermediaries Only) O Yes O No 2 Not Applicable K. If LexisMals Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/coMent of the non-English Doarnentabon: L Special Risk Factors Does the account have Nexus to Special Risk Countries? Dyes 74 No Is the amount structure unusually complex? ares 2 No Is there any indication the client set up a non pronto° company expressly O yes 7, No for the purpose of transferring shares to third pates? Is there any indication this add be a prohibited business relatonship? arils 2 No Are the bearer states identified subject to acceptable controls? O Yes I2IND CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000434 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814397 EFIA_000 19307 EFTA00169054 KYC Print Page 19 of 20 M. Case Comments Created By Date Comments Maw' Ratha.1 9/241/18 3:16 NH No material changes cont./maroon 'email' attached n the case. .:aria 61 gain ursine 116 PM This KYC serves as Periodic Review for the following edging clients: (1)1. Epstein Virgin Islands Foundaben Inc. (2) Hyperion Air LLC Risk factors Include: • Source of Wealth (SOW) Industry: Financial Management • PEP/RCA: Jeffrey Epstein, UBO & SOW, is considered an RCA based on Ns dose relationship with Bill Clinton and Prince Andrew. • Media: Negative media related to Jeffrey Epstein has been previously reviewed and escalated for reputatienal risk ce cenms. Prier approval to proceed with the relationship may be found under KYC 01082293, including a steulaban to review further if new media Is Identified. Accordingly, approval from the Divisional Control Officer Is attached to this KYC In regards to a recently Ned (and dismissed) court case. (Please see deararces for more details) We are comfortable signing-off an this KYC for the following reasons: • Information and supporting doarnents required by cur NIL Policy were provided and reviewed. Asa resat, we have a reasonable understanding of the purpose of the account and expected transaction adIvity. • The source of wealth was stridently detailed arch appears plausible. • We performed due diligence searches an al parties and did net And the names searched to be on any sanctions lers. Maytag' Rathcd 11/13/118 8:20 MI Banker last spoke to Richard Kahn, CFO of Epstein's family office on 1st Nov 2018 confirming no material changes to des KYC. ONSHORE APPROVALS Client Facing Professional (CFP): Stewart Oldneld (Signature) Stumert Oklfleld 10/15/2018 Office Director/Business Head: Andrew F Gallivan (Signature) Andrew F Gallvan 10/15/2018 Regional Office greeter: (Signature) AIL Business Risk: (Signature) MIL Compliance: Thane miiiigan (Swann) Jeana Milligan 11/14/2018 li LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Sgnature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub. Market Team Head (St4T11): (Signature) NIL Business Risk: (Signature) AML Compliance: (SIgnature) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000435 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192824398 EFIA_000 19308 EFTA00169055 KYC Print Page 20 of 20 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 (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Office's, Brokers, Client Managers, etc. Deutsche Bank Americas New York CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000436 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824399 EFIA_000 19309 EFTA00169056