EFTA01417330.pdf

7/15/2019 KYC Print DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01977698 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Stewart Oldfield New PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: *** 2018 Periodic Review *** Client Referral How Was the Client(s) Introduced? How long has the RM personally known the client? Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? RM Prospect Intermediary/FIM Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this relationship.. Last Approved KYC # - Butterfly Trust 1804531; Neptune, LLC - 1790739. Yes (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 2 3 Account Name / Number Karyna Shuliak- Butterfly Trust - Neptune LLC - Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right EFTA01417330 for the accounts.): Opening Date (intended/actual) 12/13/2013 1/24/2014 10/18/2013 Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): No Existing PWM Relationship Booking Center: New York Status : 6. A proved https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4T... 1/42 EFTA01417331 7/15/2019 KYC Print One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Account Mana er: Karyna Shuliak- - DDA Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a checking account for Individuals. They use the funds for daily expenses. Indicate from where the assets are expected to arrive? DB Group: Same Booking 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 size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 2-6/month; $1 $2000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 24,282.99 24,282.99 Yes No Please list all parties related to the account. For each party: Check if a source of wealth description is required for the party. Check the appropriate box to describe 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 describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 EFTA01417332 Ka ryna Shuliak r Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Currency Currency USD USD Acct. Number (if available): Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/Settlor Founding Donor Other (please describe other roles and/or indicate relationship between parties) https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4T... 2/42 EFTA01417333 EFTA01417334 7/15/2019 KYC Print 2. Account Ownership Summary Account Name: Account Manager: Butterfly Trust Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a money market deposit account to pay all expenses/ disbursements related to the trust. Expenses are taxes, trust fee, etc Indicate from where the assets are expected to arrive? DB Group: Same Booking 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 size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0-2/month; $0 $1000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 704,736.63 704,736.63 Yes No Please list all parties related to the account. For each party: Check if a source of wealth description is required for the party. Check the appropriate box to describe 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 describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 EFTA01417335 3 4 5 6 Butterfly Trust Harry Beller Erika Kellerhals Jeffrey E. E stein 7 8 9 10 11 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4T— 3/42 Trustee:; Trustee:; Grantor of Butterfly Trust; Account Holder PIC Owner Settlor of Trust / Founder of Foundation EFTA01417336 Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Currency Currency USD USD Acct. Number (if available): 44130552 Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/Settlor Founding Donor Other (please describe other roles and/or indicate relationship between parties) EFTA01417337 7/15/2019 12 KYC Print 13 14 15 16 Darren K. Indyke Karyna Shuliak Richard D. Kahn https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4T... 4/42 EFTA01417338 7/15/2019 KYC Print 2. Account Ownership Summary Account Name: Account Manager: Neptune LLC - Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a checking account to pay for all expenses (i.e. electric, maintenance, cable, etc.) on Epstein's NYC home. Indicate from where the assets are expected to arrive? DB Group: Same Booking 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 size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 15-20/month; $10 - $10000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 207,814.91 207,814.91 Yes No Please list all parties related to the account. For each party: Check if a source of wealth description is required for the party. Check the appropriate box to describe 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 describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account Jeffrey 1 EFTA01417339 2 3 4 5 E. Epstein Harry Beller Darren K. Indyke Neptune, LLC Richard D. Kahn Manager of Neptune LLC; Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Currency Currency USD USD Acct. Number (if available): Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/Settlor Founding EFTA01417340 Donor Other (please describe other roles and/or indicate relationship between parties) Sole Member of Neptune LLC; https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4Tm 5/42 EFTA01417341 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em lo er: N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: N/A Yes No If applicable, indicate which bank officers have met the person: EFTA01417342 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Homemaker. Solely relies on income from her wife who is a Interior Designer. United States Other Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities important business partners. Estimated Annual Income($): Estimated Net Worth($): <$1 MM Other Known Financial Institutions: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): <$1 MM 20,000.00 Country: Country: EFTA01417343 Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4Tm 6/42 EFTA01417344 7/15/2019 KYC Print Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4Tm 7/42 EFTA01417345 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Karyna Shuliak - United States Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: EFTA01417346 Bank Officer Name(s) Stewart Oldfield Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: 6/23/2017 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Interior Design United States Other Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): 150,000.00 <$1 MM Other Known Financial Institutions: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): <$1 MM 2,000.00 Country: Est. Assets Under Mgt: EFTA01417347 Country: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4Tm 8/42 EFTA01417348 7/15/2019 KYC Print Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4Tm 9/42 EFTA01417349 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Jeffrey E. Epstein - Virgin Islands, U.S. Little Saint James Saint Thomas 00802 Virgin Islands, U.S. Self Empolyed Southern Trust Company Inc 6100 Red Hook Quarter B3 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) Connection with Prince Andrew and Bill Clinton To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: iiiiiiiiiiitle/Rank: United States Yes No President Yes EFTA01417350 No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Stewart Oldfield Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: 6/28/2017 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Private investments United States High Risk Financial Institutions Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born is an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Stearns where he worked in the special products division, advising high-net-worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion in net worth. In 1987, EFTA01417351 Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a well-known client. Wexner acquired 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, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Peltz, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=l&linkToken=VmpFPSxNakF4.. 10/42 EFTA01417352 7/15/2019 KYC Print Zuckerman were equal partners in the venture. Roshan, as its editor-in - chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client's assets. Estimated Annual Income($): Estimated Net Worth($): 10,000,000.00 $500 MM + Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM - 100 MM 2,300,000.00 Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): N/A Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 11/42 EFTA01417353 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of emplo er: Harry Beller - United States Accountant HBRK Associates, Inc Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Accountant Yes No If applicable, indicate which bank officers have met the person: EFTA01417354 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 12/42 EFTA01417355 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 13/42 EFTA01417356 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Erika Kellerhals - Vir in Islands. U.S. Attorney Kellerhals Ferguson Kroblin PLLC Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Attorney Yes No EFTA01417357 If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 14/42 EFTA01417358 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 15/42 EFTA01417359 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em lo er: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: EFTA01417360 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 16/42 EFTA01417361 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 17/42 EFTA01417362 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em lo er: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: EFTA01417363 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 18/42 EFTA01417364 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 19/42 EFTA01417365 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em lo er: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: EFTA01417366 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 20/42 EFTA01417367 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 21/42 EFTA01417368 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em lo er: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: EFTA01417369 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 22/42 EFTA01417370 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 23/42 EFTA01417371 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em lo er: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: EFTA01417372 If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 24/42 EFTA01417373 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 25/42 EFTA01417374 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em lo er: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: EFTA01417375 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /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 long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 26/42 EFTA01417376 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001NOBxm&ic=lainkToken=VmpFPSxNakF4... 27/42 EFTA01417377 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe ) N/A Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: EFTA01417378 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Bus