EFTA00169057.pdf

KYC Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01977703 One sheet must be established per relationship - list all accounts Included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RBATIONSHIP:00000483290 Booking Center. New York Relationship Manager: Stewart Oldfleld O New PWM Relationship 2 Existing MN Relationship Relationship to PWM: If existing, please vacate since when the relationship exsts, provide reason for new profile and attach old profile •" 2018 Periodic Review n* Last Approved KYC 9 - LSJE LLC - 1790820; Southern Fronde' LLC - 1790655 How Was the Chant(s) 21 pant Referral O RM Prospect O Intermediary/PIM O Other Source (Cs, etc.) Introduced? How king has the PM person* known tbe client? Please provide derails (e.g. name of referral sarce, how many years RM persona y ha known client, etc.): Jeffrey Epstein reached out to Stew Oldfleld on 3/7/17 to have a new acct opened under this relationship.. Does Deuisthe Bank pay a retrocession or similar O Yes 12 No compensation to a third party for the introduction of this relationship? af Yes, desatixot List all existing and new accounts involved in this relaflonship Legal Bitty Account(s) Account Name / Nankin Opening Date (rtended/actual) I ,4 et LSJE LLC - 42959295 - DOA-42959295 2/25/2015 5 Southern Anemia LLC - 77000957 - DDA-77000957 2/22/2017 3 RI Southern Anemia LLC - N4G023804 - DBSI.N4G023804 8/26/2 13 Who Is the primary contact person for the RN? (Note: This person needs to have signatory rights and/or information right for the accounts.): Darren K. Indyke rkeferred method of coMact (indicate phone no., fax no., e-mal address, etc): Status : 6. Approved CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(B) DB-SONY-0000437 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814400 EFFA_00019310 EFTA00169057 Kl"C Print Page 2 of 21 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: LSJE LLC - 92959295 - DOA Act. Number (ffavadatle). 42959295 Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory accent*, custody services, long-term investment, payment/expense account)? The pLrpose of the account is to manage the monthly expenses of the company. Indicate O • O from atere the assets are expected to aMve? DB Group: Same Bookng Center (indicate account number): Existing DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): Physical Deposits (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)?: 10-15/most; $100 - $ 35C1( What is the expected volume of assets and currency fa the account approx. 90 days after opening? 255,287.52 'Currency 1 ISSD What is the expected volume of assets arid currency for the account approx. one year after' opening? 255,287.52 ICmwmcy I tiSD Does/will the client have Assets Under Management (AuM) within DB under fur. 3M? ID yes RI 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 party to this account (> 1 can be selected). • f none of the check boxes apply, descnbe the party's relation to the account In the Tither" column. • Always descrte the relationship between the parties in the last column. • Pease drill down to the ultimate/ triderlying Beneficial Owner(s). Legal Entrtyof Discripton Source of Wealth reqtared Parties *elated to this account AcoountPIC Holder OwnefTrust Sent,' of / Fonder of Foundation Jitimate Beneficulor Owner Signator&mreo Full POA 0OA Financial IntermedaryShareholderittonsentative (FIN) Significant "”25%) Yon-PIC entity (indicate Indicate ownership %) _egal Grantor/SettlorFoundi Donor ther please roles for elationshic n ) 1 0 0 LSE, LLC El DO O O O O O O O 2 O O Jeffrey E. O • O 0 O O O 100 O O O Sole ber; 3 O O Darren K_ lndyke O Do O 0 O O O O • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-OO0O438 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824401 EFIA_00019311 EFTA00169058 KYC Print Page 3 of 21 2. Account Ownership Summary Account Name: Southern Finarnal LLC - 77000957 - DDA Acct. Number (if avaiteble): 77000957 Account Manager. Stewart Oldfleld What is the pLrpose of the account (e.g. portfolio management, advisory account, custody senAces, long-term investment, payment/expense account)? The pupae of this account is to manage the daily expenses of the company. Indicate from Mere the assets are expected 2 DB Group: Same Booking Center (Indicate to anlve? account number): Existing 08 location and account details): cheques, ...): • DB Group: Other Booking Center (indicate • Other Insotution — (Indicate name & location): O Physical Deposils (specify cash, securities, What is the expected size and frequency of regular Inflows and outflows for the account (indicate - $1000000 estimated number and volume per month)?: 0.3/month; 5500 What is the expected volume of asses and currency for the account approx. 90 days after opening? 11,535,257.07 I Currency I USD What is the expected volume of asses and currency for the account approx. one year after opening? 11,535,257.07 I Currency I USD Does/will the client have Assets Under Management (AuM) within Oft under Eur. 3M? El Yes El No Please list all parties related to the account. For each patty: • Check if a source of wealth desolation k required for the patty. • Check the appropriate box to desate the relationship of the party to this account (> I can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' column. • Always desate the relationship between the parties in the last column. • Please drill down to the ultimate/Lmdedwng Beneficial Owner(s). Legabosalption Entittof Source of Wealth -equted 1 21 21 AccountIFIC Settlor of Utornxe S:gnatowmited older OwnerTrust/ Beneficabr Full DOA Founder of Owner POA Foundation Parties related to this account Southern Financial g LLC Jeffrey E. Epstein lean Anne Brennan Wiebrachi Darren K. lndyke Financial Imertnedia (FIM) Significant Sharefalder (>=25%) NIon.PIC entity (indicate ownership %) Legal Representative GrantorlSettic.fourding5ther Donor please Jescobe other roles and/or ndicate elatonship between darbes O K 2 21 3 121 4 Pi K Southern rn.st Company, Inc. 11 11 Southern Tnst Company Inc is the sole member of Southern Financial LW & Jeffrey Epsten is the sole shareholder of Southern Trust Company ,Inc; CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000439 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92814402 EFFA_00019312 EFTA00169059 KYC Print Page 4 of 21 2. Account Ownership Summary Account Name: Southern Financial LLC - N4G023804 - DBSI Acct. Number Of ayslatt). N4G023804 Account Manager: Stewart Oldfeld What is the ptspose of the account (e.g. portfolio management, advisory account, custody senAces, long-term investment, payment/expense account)? The pLrpose of this account is to invest long term %nth the bank. Indicate from ntere the assets are erected to anlve? gl DB Corp: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location at account details): O Other Insotution - (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)?: 25.35/month; $0 - 5250K What is the expected volume of assets at currency for the account approx. 90 days after opening? 1 113,761,196.27 I Currency 1 USD What is the expected volume of assets and currency for the account approx. one year alter opening? 1 113,761,196.27 1 Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? El Yes 2 No Please Ilst all parties related to the account. For each party: • Check if a source of wealth description Is required for the patty. • Check the appropriate box to descrte the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other column. • Always desate the relationship between the pates in the last column. • Please drill down to the ultimate// derlying Beneficial Owner(s). Legal inlayed Description Source of Wealth reclined Parties related to this aCCOLMI AocounttIC Molder OwnerTrust/ Settlor of Founder of Foundation Utomxe Benehci Owner Signatcommited Full POA POA I inanoal ntermedlarySharelwlder Fim) Significant (>=25%) Nlon.PIC entity indicate ownership % Legal Representative Grantor/SettlocCounding Donor Other (please describe other roles and/or ndlcate relationship between . -rties 1 ca 21 Southern Finandal Liz gd o o o N o o • D O 2 O 0 mein O K O D n ? • o • D O 3 O O Jean Anne e Bre Wiebradm . — u O O 0 O O O • O 4 00 arren Inchke K. D r--i " K u O 0 R 0 • • O • Li/ Li, Southern mat El Company, Inc. 1- , Li j _ U U - Li O Soithern Trust Company Inc is the sole member of Southern Financial LLC & Jeffrey Epstem is the sole shareholder of Southern Trust Company Inc: 6 0 O Paul S. Barrett ri "I u u • • O O O • O Trading Authorize Limited to Purchases & Sales of Securities: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DS-SDNY-0000440 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192894403 EFFA_00019313 EFTA00169060 KYC Print Page 5 of 21 I° Iery lo lo lo I° Ig lo lo CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000441 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/1928144°4 EFIA_00019314 EFTA00169061 KYC Print Page 6 of 21 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 6/28/2017 • 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 regranng source of wealth description as indicated In Section 2) Nature of the Individual's Business: Pnvate investments Primary Country 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 . INpritance/Gifts O Other: Further Desate Source 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 Mortimer Zuckerman, who had the New York Daily News, and film Wag Street investor, 555 each of the sources: (e.g. For trusts, how did senor axumulate wealth? For inheritance, how business, how many employer, level of profitability? Indicate type of business, countries of (born January 20, 1953) is an Amencan financier and registered sex offender in the United his own 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 Ngh-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 worth. 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 $25 million to Zuckerman were equal partners in the venture. Roshan, as its editor CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000442 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824405 EFFA_00019315 EFTA00169062 KYC Print Page 7 of 21 Presently, Mr. Epstein founded Southern Trust Company Inc, a private ca-isulting company that invests the assets of their diet and gets thew revenue from the return of these Investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees assodated with managing their diet assets. Estimated Annual b-icome($): 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. CRIM. P. 6(e) DB-SDNY-0000443 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824406 EFFA_00019316 EFTA00169063 KYC Print Page 8 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren K. Indyke - Date of Birth: Country of Residence: United States Country of Otbaenship: 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/Ocamatka: Accountant Tax ID / SSN: Current Employer: Southern Financial 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 lies, asserhe) 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 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 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 meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Dommile: Client Place Business: of Other Location (specify): Date: Stewart Oicifield R O 12/12/2016 • o O O o o O • 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 Vieakh/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 wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important busmess partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amours of assets planned to invest with FWM($): Other Known Finanztal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institubon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000444 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824407 EFIA_00019317 EFTA00169064 KYC Print Page 9 of 21 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-0000445 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824408 EFFA_00019318 EFTA00169065 KYC Print Page 10 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all parties) Individual's Name: lean Anne Brennan Webracht - Date of Skth: Country of Residence: Virgin Islands, U.S. Country of Cat 'Kahle: Virgin Islands, U.S. of primary residence: Has client resided outside of hts/her country of nationality for S years or more? O Yes ©No Address Profession/Ocapatin: Penance Tax ID / SSN: Current Employer: Southern Rnancial LLC Posten/Title/Rank: Finance Address of employer: 6100 Red Hook Quarter, B3 9_ 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 VW, Sete) N/A O Yes g No To the bestial your knowledge, Is the Individual related w an employee of the DB 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 refeTal source, supplier of goods or seivicm)?Of res,demte) N/A Dyes 2 No If applicable, indicate whith bar* officers have met the person: Ind.cate where and viten the client 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 Section 2) Nature of the Individual's Busness: Primary Country of source of wealth/source of Funds? Primary industry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inheritance/Glfts 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 prolitatery? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets planned to invest with FWM($): 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. 6(e) DB-SDNY-0000446 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824409 EFFA_00019319 EFTA00169066 KYC Print Page 11 of 21 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-0000447 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...U§192824410 EFIA_000 19320 EFTA00169067 KYC Print Page 12 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl 3A. Individual Details (for all panes) indiveual's Name: Harry Bever • Date of Bird,: Country of Residence: United States Country of Ottaenship: United States Address of primary residence: Has client resided outside of hts/her country of nationality for S years or more? O Yes ©No Profession/Ocaeatka: Accountant Tax ID / SSN: Current Employer. HBRK Associates, Inc Posteri/Tele/Rank: Actors-Kant Address of employer: 575 Lexington Avenue, 4th Roor Halsey NY United States 10022 Does the person work as sensor executive of a DBrecognlzed regulated entity in the Mandel ndusby? or an entity listed on a DDreccgnised 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 O Yes 2 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 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 servio)?(if res,demte) N/A O Yes I21 No If applicable, indicate which bank officers have met the person: Ind.cate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domacile: 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 Section 2) Nature of the Individual's Business: 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 Inhentance/Glfts O Other: Further Devote 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 king 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 premed to invest with FWM($): Other Known Financial 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. 6(e) DB-SDNY-0000448 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824411 EFIA_000 19321 EFTA00169068 KYC Print Page 13 of 21 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-0000449 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824412 EFTA_000 19322 EFTA00169069 KYC Print Page 14 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Paul S. Barrett - Date of Ikth: Country of Residence: Unted States Country of Ottaenship: 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/Ocapatk:n: Investment Adviser Tax ID / SSN: Current Employer. J.P. Morgan Steatites LLC Postion/Title/Rank: Investment Advisor Address of employer: 277 Park Ave New York NY tinted States 10172 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 in Yes 2 lb I--I Is the individual a Politically Exposed Person (PEP)?(if Pas, Scree) N/A O Yes 2 Pb To the best of your knowledge, k the Individual reLated to an employee of the i343 group?(if Family once-Awash*, describe) N/A O None • Family • Friendship To the best of your knowledge, is the individual patty 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 with bank officers have met the person: Indcate where and sedan the client meeting(s) took place: Bank Officer Name(s) Bank Offxr Client Private ate Domipile: Client Business: Place of : Other ( Location (specify): Date: O O • O O O O CI O 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 Country of source of wealth source of Funds? Primary ndustry of source of Weakh/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 proktanity? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assen($): Estimated Net Worth(S): Amount of assets planned to invest with FWM($): 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. 6(e) DB-SONY-0000450 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814413 EFIA_000 19323 EFTA00169070 KYC Print Page 15 of 21 Pease Indicate the family situation of the Inovidual (mental status, other family members, etc.): 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: LSJE, LLC - 00000499733 Type of Entity: O Foundation/Associaban O Trust 2 Company O Elate O Partnership Purpose of Entity: WI PrNate Investment O Philanthropic/Chantable O Commercial Type of Entity Other (specify): Purpose of Enoty Other (specify): Country of incorporation/registration: Virgin Islands, U.S. Date of incorporation / registration: 10/27/2011 Volcker Status: Idenalled on Customer Profile Volcker Rag: No Address (city, street, post code): Red Hook quarter, B3 St. Virgin Islands, us. 6100 Thomas 00802 U.S. TIN/EIN: 66-077615 Provide a description of the entitles organizational structure, Its ownershp structure and its Top Management. For buds/foundations, include Information about revocability,settior and benefidarles,etc.: LSJE is a sale member LLC Jeffrey Epstein Is the sole owner and member. He owns 100% of the 100 shares Issued. The signal on this account are Jeffrey Epstein and Darren Ir.:S_____, Please indicate how ownership of the legal entity Is reflected: Operating Agreement O Special attention: Bearer Shares - Indicate where shares are custodod: Desate the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons) LSJE is a single member LLC Jeffrey Epstein is the sole owner and member. He owns 10D% of the 100 shares issued. The signors on this account we Jeffrey Epstein and Darren Indyke To the best of your knowledge, is the entity party to a non.bankirg relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: N/A Yes O No n Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: LSJE, LLC was established for purposes of maintaining payroll and mantenance related expenses of Jeffrey Epsten's prNate residence. No business purpose. Countries where business 6 transacted: Virgin Islands, US. Number of employees: 1 I 3D. Wealth Profile (Only for parties requiring source of wee' desapoon as indicated n Section 2) Primary County of source of weatttVsource of Funds? United States Primary ndustry 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): Funds from Jeffrey Epstein. LSJE, LW was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private ?esti:Pence. No business purpose. Estimated gross receipts p.a.(S): 1,000,000.00 Estimated net profit pa. ($): 1C0,000.00 Estimated Investable assets ($): $2 MM . 5 Mm Potential Amount to be Invested with PWM ($): 500,000.00 Other Known Financial Institution: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Indatution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000451 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814414 EFIA_000 19324 EFTA00169071 KYC Print Page 16 of 21 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00003983883 O Foundation/Association O Tn.& 21Company O Estate ® Private Investment O Type of Entity: O Part nership Purpose of Entity: Philanthropic/Chantable O Commercial Purpose of Entry Type of Entity Other (specify): Other (spedfy): Country of incorporation/regstration: Virgin Islands, U.S. Date of incorporation! registratIon: 11/18/2011 Idenaned on Customer Profile No Volcker Status: Vokker Hag: Address (oty street post , , code): 161100 Red Hook Quarter B3 St. Thomas 00802 Virgin Islands, U.S. TI : 66-0779861 Provide a description of the ent tys organizational structure, its ownership structure and its Top Management. For trusts/foundations, Include Information about revocablllty,setdor and benefidariesetc.: Jeffrey Epstein is the sole shareholder of this company. Please indicate how ownership of the legal entity is reflected: Consent of Board of Directors O Speoal attention: Bearer Shares - Indicate where shares are custodial: Desate the chain from the direct owner of the entity to the ultimate beneficial owner (If not the same peso's). Jeffrey Epstein is the sole shareholder of this company. To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes O No N/A Describe Nature of Entity's Primary Business and Investment Activities Consulting Se aces retying on Financial and Biomedical algorithms. Southern Trust is a prate consulting company that invest the assets of their clients and gets their revenue from the return Matte of the business: of these investment. Southern Trust invests in different north:63s catered to their denS and makes their revenue based on the reawns and the fees associated with managing their clients assets Countries where business S transacted: Virgin Islands, U.S. Number of employees: 3 3D. Wealth Profile (Only for parties remprire source of wealth descnptlon as indicated in Section 2) Primary Country of sourced wealth/source of Funds? United States Primary industry of source of Weakh/Source of Funds? High Risk Frendal Institutions Provide Evidence of Corporate Assets (eg. balance sheet or equivaleM summary of assersaabilities): Consult and invest dent funds and oain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. ($): 1,500,000.00 Estimated investable assets ($): $2 NM - 5 MM Potential Amount to be Rivaled with PWM ($): 300,000.00 Other Known Finamal Institutions: Institution: Cointry: Est Asset Under Mgt: Institution: Cointry: Est Asset Under Mgt: Institution: Cointry: Est Asset Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814415 EFIA_000 19325 I DB-SONY-0000452 EFTA00169072 KYC Print Page 17 of 21 Legal Entity Name: Southern Finanoal LLC - 00000483882 Type of Entity: O FoundationrAssodation O Trust gl Company O Estate glPrnate O Partnersh p Purpose of Entity: Investment O PhlianthroPic/Chantable O Commercial Type of Entity Other (specify): Repose of Entity Other (specify): Country of incorporation/registration: Virgin Islands, U.S. Date of incorporation / registration: 2/25/2013 Volcker Status: !denoted on Customer Profile Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter B3 St Thomas 00802 Virgin Wands, u 66.0799192 U.S. TI : Provcie a description of the ent Ns organizational structure, its ownership structure and its Top Management. For busts/foundations, include information about revocability,settior and benefidaries,etc.: Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc. Please indicate how ownership of the legal ergot), is reflected: Operating Agreement - Indicate where shares are custoded: . Special attention: Bearer Shares Desote the chain from the direct owner of the entity to the ultimate beneficial owner Of not the same persons): Southern Trust Company Inc Is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southem Trust Company Inc To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. edema' legal counsel, client referral source, supplier of goods or services)?: N/A Yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This business is funded by Jeffrey Epstein's wealth. Its company was formed to hold Mr. Epstein's personal wean and invest in different ventures. ibis company invents In real estate, equities, commodities, etc and gets it revenue from the gains it makes In these Investments. It is a company formed to invest the assets of Mr. Epstein. Countries where business is transacted: Virgin Islands, U.S. Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of math descriptor, as indicated in Section 2) Primary Canby of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (erg. balance sheet or equivalent summary of assets/liabilities): The initial fundng in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Meese revel to W. Epstein's source d wealth for more details. Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit ea. ($): 1,500,000.00 Estimated investable assets ($): c$1 MM Potential Amount to be Invested with PWM (5): 300,000.00 Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000453 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824416 EFTA_000 19326 EFTA00169073 KYC Print Page 18 of 21 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B ReLabors* Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Boolung Center M NY INV/Offshore O te Mcden Risk ca Hogh Risk a J Gwen Hill • Offshore (Compliance Skmattre) O DB Employee O DB Managed PIC Trustee/Co-Trustee O Bearer Shares • DB IS 4. Attachments A. EZDnvers License 2 Passport O Naoonal/State ID • Other : Darren Type of Photo ID Provided Indyke - GCIS 0 486405 & Jean Anne - GCIS a 487647 8' theckkst of names (inctviduals and/or entities) that were submitted for database searches is attached 2 Yes O No C. Please indicate the results of the database searches performed RDC searches complete ®Yes O No negatNe results found ®Yes O No R:R checks complete 2res O No negatNe results found ®Yes • No OFAC checks complete 2 Yes O No negative results found OYes 0 No BIS searches complete (Lads/Naos, Factiva, Reuters, Dow Jones, D&B) 52 Yes O No negative results found ®Yes • No Denial Orders checks complete 2 yes O No negative results found largn No Martindale-Hubbell searched (Lawyers/law Firms only) • Yes Y4 No negative results found O Yes O No D. Please summarize any negative results from the database searches indicated above: WE U.C: - No negaove media - No court cases LSJ Employees LLC: - No negative media - No court cases Southern Fronde' LLC: - No negative media - No court cases - RDC alert found - False positives, does not pertain to our client Clearance attached. Southern Trust Company Inc: - No negative media - No court cases Finanoal Infomatia Inc: - No negative media - No court cases Jeffrey Edward Epstein: - Negative media relates to the sex offence in the past which are already cleared. (KYC 9 - 01791)655) - 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 ongang Ova lawsuit pertaining to fraud which has been dismissed (attached document), but part of normal business operanons for this oboe. 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.nether defendant nor planoff. He's lust named as a respondent and the case is immaterial In nature. - Criminal Filings relates to sex offence wh.ch is already cleared in the past - RDC alert found - Sex offences in the past lynch has been cleared - Clearance attached. Darren Indyke: - Negative news ri Googie (Satin to Jeffrey Eastern's Foundation and are not material in nature. - Court case mentioned in Google search relates to Jeffrey Epsten's sex offence in the past which has been cleared already. Darren IS Just an attorney for Jeffrey In the case. - Fircoscft alert has been cleared by AML Compliance. Clearance attached. Jean Anne Brennan Wietiacht - No negaove media - No court cases Harry Beller: - No negative media - Harry Beller is the plated( in the cart case, also it has been disposed. CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SONY-0000450 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e...UM92814417 EFIA_000 19327 EFTA00169074 KYC Print Page 19 of 21 Paul 5 Barrett - No negabve media - No cast cases - ROC alert found - False poseves, does not pertain to our client Clearance attached. E. To the best of your knowledge, has the Rent ever been convicted of a criminal offense? 2 Yes • No F To the bet of your knowledge, has the customer ever been involved in any past litigation against Balk Deutsche AG or any of its subsidiaries or is the customer threatenne litigaton against 7 Yes. Mgt0 Yes 4 No Deutsche Bank AG or any of its subsidiaries? af provide deals below and contact Quality aatem/Inttlor the Regulatory Coned Group and not* Complonce immediately) G. Does the dent or rated party have any flnandal or other association / interactions wan countries r-i or regime sari:boned by the Office of Foreign Assets Control (OFAC)? U Yes RI No H. Does the dent or related party have any finandal or other association/ interactions within ugh r❑I--I i Yes 2 No countries? I. Corporate Documentation Attached (Legal Entities Only) 2 Yes O No O Not Applicable: ). Undisclosed Prinopal Form Complete (Intermediaries Only) • Yes O No 2 Not Applicable: IC If Leas/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not ri English, please provide an English sianmary of the natt.re/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Rsk Countries? • yes 2 No Is the account structure unusualy complex? • yes 2 No Is there any indication the client set up a non operating coapany apron* for the barsferdng third Yes 2 No purpose of shares to parties? Is there any indication this could be a prohibited business relationship? • yes 2 No Are the bearer shares identified subject to acceptable controls? • yes 2 No CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0000455 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824418 EFIA_000 19328 EFTA00169075 KYC Print Page 20 of 21 M. Case Comments Created By Date Comments Mayur Rattled 9/20/118 7:46 AM No material changes confirmation "mat' attached in the case. Gwen Hill 10/26/118 4:06 elm This KYC serves as a high risk review for LSJE LLC and Southern Finanoal LLC (herein referred to as "accountholders") - Below are the reasons why we are comfortable with approving this KYC: • Information and swooning documents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the account and expected trartsacbon activAy. • There are a few risk factors associated with the accountholders — -SOW: The UBO (Jeffrei Epstein) is the fonder of Southern Trust Company Inc, which manages dent's assets. SOW verification was obtained. -NegatNe Media & PEP. There is some negative media against Mr. Epstein and he Is also maintains a dose reLationsiw with all Ointon and Prime Andrew. Meese see risk calculator for more information. Appropriate approval was obtained. • Our review did not idenofy any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on all parties and did not find the names searched to be on any sanctions ists. ONSHORE APPROVALS Client Facing Professional (CFP): Stewart Oldfield :Signature) Stewart Oldheld 10/15/2018 Office Director/Business Head: Andrew F Gallivan (Signature) Andrew F Gallivan 10/15/2018 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Comp&ance: Richard Cottrell Gwen Hill (Signature) Richard Cottrell Gwen Hal 10/26/2018 10/26/2018 LATAM/INTERNATIONAL APPROVALS Clent Facing Professional (CFP): (Signature) Account Manager (Signature) Global Market Team Head GMTH)/Sub-Market Team Head SMTH): (Signature) AML Business RISE: (Signature) AML Compeance: (Signature) 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 Professionals1(1) (CFP s) should establish and maintain business relationships only with persons who saris)" our high standards of CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e(e) DB-SDNY-0000456 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/JP/2824419 EFIA_000 19329 EFTA00169076 KYC Print Page 21 of 21 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 rA CONFIDENTIAL - PURSUANT TO FED. R. CRI M. P. 6(0) DB-SDNY-0000457 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... U§192824420 EFIA_000 19330 EFTA00169077