EFTA00166975.pdf

KYC Print Page 1 of 24 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01344537 Status : 6. Approved One sheet must be established per relationshl - list all accounts included in the relatlonshl 1. Relationship details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Moats O Nov PWM RelatisneW IO Existing WM Relattnship Relationship to InVM: If testis.), please indicate since when the relationship edits, provide reason for new profile and attach old profit: Update of KYC *01133113. Trustees have hanged How Was the Client(s) O Client Referral 5 RM Prospect O Intermediary/RN O Other Source (CIB, etc.) Introduced) How long has the RM personally known the Please provide details (e.g. amt of referral source, how many years RM personally has known dent, etc.): Jeffrey chant) Epstein/Butterfly Trust are current clients or the Bank. Dees Deutsche Bark pay a retrocession or senitar ['Yes IR No compensation to a third party for the introduction of this at yes, desenbel. relationship? List all existing and new accounts invoked in this relationship Legal Entity Account Name / Number Opening Date (Intended/actual) Account(s) 1 RI Butterfly Trust -- Checking 10/9/2013 2 /ZI Butterfly Trust -- Money Market 10/9/2013 Who is the primary contact person for the RFD (Note: This Preferred method of contact Harry Beller person needs to have signatory (Indicate phone no., fax no., rights and/or Worn-Atka right e-mail address, etc.7 for the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002749 16223 EFTA_000 EFTA00166975  KYC Print Page 2 of 24 One sheet mud be established for each account to be opened 2. Account Owne rshI p Summary Account Name: Butterfly Trust -- Checking Am. Number (ifavatlable) Account Manager: Paul Moire What Is the purpose of the account (e.g. portfolio management. advisory account, custody servkes, longterm Investment payment/a:tense account)? 11* Is a checking account to hold funds for the trust. Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (tidiest° DB location and account details): El Other Institution (Indkate name &W.W.I): 'Horgan. New York, NY O Physical Deposits (spotty cash, securities. cheques. ...) What Is the expected size and frequency of regular inflows and outflows for the accent (indicate estimated number and volume per month)': RougNy 5-10 Inflows and outflows per month ranging from $1,000 to $20,000 What Is the expected volume of assets and cwrency for the account approx. 90 days after opening? I Currency IBS() What is the expected volume of assets and currency for the account approx. one year after 5,030,000.00 USD opening> ' Curia" I Doeslwill the cant have Assets Under Management (AuM) within DB under Fir. 314? O We a No Please list all parties related to the account For each party: • Check i a sesta of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (s I can be selected). • If none of the chair boxes apply, describe the palls r &lion to the account in the 'COW Senn. • Always describe the relationship between th parties in the last column. • Pkase drill down to the ultimate/underlying Beneficial Cwneds). ..egal btuription AccountPtC Settler of Ferrate Signatory noel Significant ,.ego GrantorfSettlor`ounthoi5lher Entity-1f Sava Molder OwnetTrust / Beneficelar Full tOA IntemediaryShareholdenepresentative bnor phase 1 Weatth Pounder of owner ?OA (F1M) (>=25%) describe required Foundation Non-P1C ather roles entity ond/or Parties (indicate nthcate 'elated to ownership relationship .Ns VD) between account *M6) 1 O El Jeffrey EPsteln • O F21 D O DO r] O ri Grantot Butterfly 0 O O 2 @ Ed Trust O O OO • O O O D Fury O D O D 3 sec 5 O • • O O Trustee: Erika moo O 1 O :1 / Seth* "1 21 O • O O O Trustee:: 3 O O • O • O • O • • O 11 Elenefickary; 6 O • O • O O O O O O O Li Beneficiary; 7 O O O O O O O O O O O O eanendagy; I 8 O O O O O O O O O • O O Beneficiary; 9 O O Glebel e* O m O O O O • O O O Benefklary; 10 • O • • O O O OO • • O Beneficiary; Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002750 EFTA_00016224 EFTA00166976  KYC Print Page 3 of 24 2. Account Ownership Summary Account Name: Butterfly Trust — Money Market Acct. Number (cf amiable): Account Manager: Pall Monis What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Investment, paynient/expenc account)) Money Market account. To hold cash for the trust to earn interest Indicate from where the assets are expected to aware? O 013 Group: Same Booking Center (Indicate account number): • DB Gaup: Other Booking Center (ndkate DB location and account details): 21 Other Institution (Indicate name & location): "Megan. New Work. NY • Physical Deposits (specNy cash, securities, cheques, ...y What is the expected sire and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)' Roughly I .) inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after USD opening? I I Cuncncy What Is the expected volume of awls and currency for the account epprox. one year after 11,000,000.00 'Currency I USD opening? Does/will the client have MSS Under Management (AuM) within DB under EU/. 3M? O yes ca No Please Net all patties related to the account For each party: • Check t a source of wealth description Is required for the party. • Check the appropriate box to describe the relationship of the party to this MC0110 (> I can be selected). • If none of the check boxes a ply, describe the party's relation to the account in the 'COW column. • Always describe the relationship between di parties in the last column. • Please drill down to the utimaterunderlying Beneficial Owner(s). .egal Description AccounttlC Settler of Jtirnate SIgnatonsAntedFinanclal Significant :gal GrantoriSettlafoundIng Other Entitysf Source Nader Omseatust / Benerkial or Full POA InlermediawShareholdergepresentative Donor ,please of Wealth Founder of Owner DOA (FIM) ( > -.25%) devote required Foundation Non-P1C other roles entity and/or Parties (Indicate ndkate related to ownership relationship this Si) between account whiny Jeffrey O O to 1 • L2 Epstein O O O O O O • Grantor, Butterfly E I O O 2 2 2 O O O O O O O Tnnt 3 O O Beier O O O o e o o o o O T,....; 4 o o Erika ( thy ' O OO O O O O O O O Trustee:: 5 • O O • O O O O C1 O O O Benefklary; 6 • O O O O O O O O O O O Beneficiary; • • O O • • O • • O NI Beneficiary; 8 O O O O O ❑ • O • • O O Beneficiary; 9 • O GhisiSm O O O O • O O O O O Beneficiary; xwell 10 • O O O O • • O • O O • Beneficiary; https://dbforcepb. my. sal esforce.com/serdet/sen4 et. Integration?lid = 01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002751 EFTA_000 16225 EFTA00166977  KYC Print Page 4 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indradues Name: Jeffrey Epstein - 00000403289 Date of Birth: 1/20/1953 Country of Raibence: USVI Country of Citizenship: USA Has dent resided outside of Litte Saint James Saint Thomas 00802 US Virgin Islands Ms/her country of nationality O yes No Address of prknary resIderxe: for 5 years or mare? Professlon/OccupabOn: Self Frivoled Tax ID / SSN: Current Empbyer Southern Financial LW Posbonffilk/Rant President Address of enbbyer: 6100 Red tiook Quarter B3 St. Thomas USV1 00802 Does the person work as senior executive of a DB-recog Wed regulated entity in the financial ndustry? or an entity listed en a DESrecognised exchange> (Not appicable for operating entitles O Yes Ii] No Is the individual a Pokkally Exposed Person (PEP)'O1 Yes, descnbe) • Yes la No To the best of your knowledge, is the individual related to an employee of the 06 group)(A IN Family O Friendship RI None FIT* Of Mends/bp, desenbe) To the best of your knowledge, Is the Ind Mdual party to a nom banking relationship with Deutsche Bank (e.g., external legal counsel, cent referral source, supplier of goods or serviceQ> O Yes OW (de YeAdestrae) Indicate where and Wen the cleat meeting(s) took place: II applicable, indkate which bank off' net the person: (lent Private Client Place of Bank Officer Name(s) Bank Cake: Other Location (specify): Date: Domicile: Business: Paul Morris Ell O tri 9/13/2013 O • O O O O • Wealth Details for this indMlual are not filled In, because they are the same as for the following person: 30. Wealth Details (Only for parties requiring source of wealth description as 'Skated in Section 2) Nature of the Indira:Juan Business: Private investments Primary Country of source of wealtiVsource of Funds? Primary industry of source of WealtIVSource of Funds' Summarize Source of Wealth: 0 Business Owner OSalarygarnings 0 Investment E Inheritance/Gifts O Other: Esther Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth> For itheritance, how did family accumulate wealth?For business owners, how bug in business, how many employees, level of profitabety? Indtate type of business, countries of major activities, important business partners.) Epstein began hi financial career in 1976 as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded Ns own financial management film J. Epstein & Co., managing the assets of clients with more than a billion n net worth. In 1996, Epstein changed the name of Ms Min to The Financial Trust Company and baser:Its the island d St. Thomas in the US Vingin Islands. M d Ish clients wee anonymoin except for the very wealthy businessman Leslie Wexner. His wealth has come from hi days at Bear Steams and hi financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of irwelabie assets(s): 950 141 - 100 Nil Estirrated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): 5,000,000.00 Other Known Financial Insntutions: instaution: IPM Country: USA Est. Assets Under Mgt: 120,000,000.00 inanutica: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002752 EFTA_00016226 EFTA00166978  KYC Print Page 5 of 24 'Institution: H si"' I Cs1 AsuYs Under 14$' Please indicate the family situation of the ndhfclual (mortal status, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002753 EFTA_00016227 EFTA00166979  KYC Print Page 6 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all parties) IndwIduars Name ChBLaw Maxwell - Date of Birth: Country of Reik/ence: Country of Citizenship: Has client resided outside of c/o HBRK Associates hs/her country of nationality O yes No Address of primary residence: 575 Lexington Avenue, 9th Fl New York NY 10022 USA for 5 years or mare? Profession/Occupation: Tax ID / 55N: Current Employer: Posbonfritle/Ranic Address of employer: Does the person work as senior executive of a DB-recog Wed regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange> (Not appicable for operating entitles O Yes g No Is the individual a Poitically Exposed Person (PEP)'(I1 Yes, descnbe) • Yes la No To the best of your knowledge, is the individual related to an employee of the DB group)(A • Family O Friendship RI None Fumy Of Mends/bp, desenbe) To the best of your knowledge, is the individual party to a now banking relationship wkh Deutsche Bank (e.g., external legal counsel, dent referral source, wppleer of goods or service-9>On. OW (st Yekdesenbe) Indicate where and %ten the dent meeting(s) took place: II applicable, indkate which bank off' net the person: Cleat Prrvate Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O • O • O O O O • Wealth Details for this indivklual are not filled in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Indbiducts Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wm h /Detail the history of weakh for each of the sources: (e.g. For trusts, how did settbr accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how bag in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Incorne($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutims: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under MS: Please indicate the family situation of the individual (martial status, oche Vanity members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002754 EFTA_00016228 EFTA00166980  KYC Print Page 7 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002755 EFTA_00016229 EFTA00166981  KYC Print Page 8 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all patties) Individual's Name: Date of Birth: Country of Rnkfence: Country of Citizenship: Has teen resided outside of c/o HBRK Associates he/her country of nationality • yes No Address of primary resIderxe: 75 Lexington Avenue, 9th El New York NY 10022 USA for 5 years or mare? Profession/Occupation: Tax ID / 55N: Current Employer: Ponionfiltle/Ranic Address of employer: Does the person work as seen executive of a DB-recog sized regulated entity in the financial ndustry? or an entity listed on a DE-recognised exchange> (Not appicable for operating entities O Yes g No Is the individual a Politically Exposed Person (PEP)'(it Yes, descnbe) • Yes la No To the best of your knowledge, is the individual related to an employee of the DB group>(A ti Family O Friendship RI None Fumy Of Mends/bp, desenbe) To the best of your knowledge, Is the individual party to a now banking relatonship wKh Deutsche Bank (e.g., external legal counsel, (tent referral source, wordier of goods or service-9>On. OW (st Yesdesotbe) Indicate where and when the dent meeting(5) took place: II applicable, indicate which bank off' met the person: Cheat Prrvate Diem Place of Date: Bank Officer Name(s) Bank Office: Other Location (specify): Donticile: Business: O O • O • O O O O • Wealth Details for this indenter are not filled in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties reining source of wealth description as indicated In Section 2) Nature el the Individuals Business: Primary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Further Describe Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settbr accumulate wealth For inheritance, how did family accumulate wealth?For business owners, how bog in business, how many employees, level of meltability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inccose(l): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PaVM($): Other Known Financial Institutins: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mat: Please indicate the (array situation of the individual (mama) status, tithe ferny members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002756 EFTA_00016230 EFTA00166982  KYC Print Page 9 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002757 EFTA_00016231 EFTA00166983  KYC Print Page 10 of 24 One sheet mud be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all panes) Inderiduats Name: Date of Birth: Country of Residence: Country of Citizenship: Has dent resided outside of c/o HBRK Associates he/her country of nationality • yes No Address of primary residexe: 575 Lexington Avenue, 9th Fl New York NY 10022 USA for 5 years or mare? Profession/Occupation: Tax ID / 55N: Current Employer: Postionfryle/Ranic Address of employer: Does the person work as seas executive of a DElrecogMaxi regulated eery in the financial O Yes g No ndustryY> or an entity listed an a DB-recognised exchange> (Not appicable for operating entities Is the Ind Sidual a Poltically Exposed Person (PEP)'C Yes, descnbe) • Yes la No To the best of your knowledge, is the Individual related to an employee of the DB group(A ti Family O Friendship RI None Fumy Of Mends/bp, desenbe) To the best of your knowledge, is the individual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, apples of goods or service-9>On. OW (st Yekdescree) Indicate where and Wien the dent meeting(s) took place: II applicable, indkate which bank off' met the person: Cheat Prrvate (bent Place of Date: Bank Officer Name(s) Bank Office: Other Location (specify): Domicile: Business: O O • O • O O O O • Wealth Deltais for this indivklual are not filled in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Indbiduats Business: Primary Country of source of wealtrysource of Funds? Primary industry of source of WealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wee h /Detail the history of weakh for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did lenity accumulate wealth?For business owners, how bog In business, how many employees, level of actitability? Indicate type of business, countries of maker activities, important business partners.) Estimated Annual Inccene($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other known Financial Institutles: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Het: Please indicate the (array situation of the indeklual (mama status, othe Vanity members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0002758 EFTA_00016232 EFTA00166984  KYC Print Page 11 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002759 EFTA_00016233 EFTA00166985  KYC Print Page 12 of 24 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Sum 3A. Individual Details (for all parties) IndMduats Name: Date of Birth: Country of Reildance: Country of Citizenship: Has teen resided outside of c/o HBRK Associates hs/her country of nationality El yes No Address of primary resIderxe: 75 Lexington Avenue, 9th Fl New York NY 10022 USA for 5 years or mare? Profession/Occupation: Tax ID / 55N: Current Employer: Posibriffitle/Ranic Address of employer: Does the person work as sent., executive of a DElvecog aired regulated entity in the financial ndusUy? or an entity listed on a DB-recognised exchange> (Not appicable for operating entitles O Yes g No Is the Ind bidual a Pokkally Exposed Person (PEP)'(it Yes, descnbe) • Yes 2 No To the best of your knowledge, is the individual related to an employee of the DB group)(t • Family O Friendship RI None FIT* Of Mends/bp, desenbe) To the best of your knowledge, Is the IndMensal party to a now banking reiatonship with Deutsche Bank (e.g., external legal counsel, client referral pewee, wppber of goods or services)? O Yes ON° (at YeAckscrebe) Indicate where and Wien the clent meeting(s) took place: if applicable, indkate which bank off' net the person: (bent Prrvate Client Place of Bank Officer Name(s) Bank CHke: Other Location (specify): Date: Domicile: Business: O O • O • O O O O • Wealth Details for this incliblual are not filled In, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Indbidurts Business: Primary Country of source of wealtIVsource of Funds? Primary industry of source of WealtIVSource of Funds' Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how bog in business, how many employees, level of preitabacy? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to Invest with PtVM(I): Other known Financial Instituthons: Institutice: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Pet: Please indicate the (array situation of the indivklual (market status, tithe Vanity members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002760 EFTA_00016234 EFTA00166986  KYC Print Page 13 of 24 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002761 EFTA_00016235 EFTA00166987  KYC Print Page 14 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all earns) Individual's Name: Date of Birth: