EFTA01282345.pdf

C) Private Wealth Management Deutsche Bank r r Checklist for U.S. Individual/Joint Client Custody Account This form must be completed in full and presented to Account Opening Group with all accompanying documentation prior to any account being opened. 0 6 go 5-19 rercety er'sre-/A/ Account Number AcCourenle g/2 c-4 ler Patit Mcf l?'S CuMody Ott' Seater Wealth Ad/we Xl K477 CFR ( Account Assistant CD Sweep Choke (check one IMMO CD Custody Sweep Delman Money Market Deposal Account • SAIDA Custody 2 Persona, taa:91019001 (33) Money Market Deposit Account • MMDA Custody 2 Non.Personal [999101918) (34) 0 Taxable Funds advised by DeAM, Inc. Deutsche Cash Management Fund Institutional (541) (BICXX) (29) Cash Reserve Prime Soles investment (211) (ABRXX) (21) (ID Cash Reserve Prime Series Institutional (311) (ABRXX) (26) XDWS Government Cash Institubonal Shares (250) (DIMIXX) (43) Z DWS Government Cash Managed (254) (DCMXX) (18) DWS Money Market Series Managed Shafts (2023) (MCAXX) (t 7) 11 ICT Treasury Ponta° institutional Shares (43) (ICTXX) (30) Taxable Fund Managed by DeIM C DWS Morey Market Series Institutional Shares (2403) (ICAXX) (36) rn Tax-exempt Funds managed by DeAM, Inc. Deutsche NY Tax Free Fund - Investment (844) (BNYXX) (20) Deutsche Tax Free Fund • Investment (339) (STXXX) (31) Z DWS Tax.Exempl Cash Institutional Shares (148) ($CIXX) (16) DWS Tax•Exempt Cash Managed (248) (TXMXX) (19) J 1 Offshore Fund managed by DeAM, Inc. (For Offshore Clients Only) Managed Dollar Insuutonai Fund (5$I) (DEUMADI) (32) Funds not advised by DeAM, Inc. Or DeIM Cardorna Dairy Tax Free Income Fund, Inc (850) (CFOXX) (25) • ('Managed by Roth a Tang) r Treasury Trust Dcdar Class (63) Shares (845) (23) ("Manged by Blacktock Ptowdent Inebtutional Funds) POrecio Set Up Prncpal crlas Prinopal 8 InCOMO Rewired for all accounts Privacy Notice given to client by: Fax Mail In Person Required Documentation Attached/ Customer 0 where the doc. Is scanned Individual - Worldwide Custody Agreement /or Addendum W81W9 a l/ Sweep Selection Form (If not submitted. use sweep default) •:17 Evidence of Approved KYC 9 DB Forces for approved KYC: 0/ C, ..) I :. ) Pre DB Force KYC's give GCIS# where the KYC can be located: DB Custody OS °t/i y/9 /'t Account Opening Officer Dab Diseireloriandes, Nirnitaininat 9bLLE000- INO- ANGS OS Authonzation a reavadktit mis C011 airy Moms. Josh Rosen (AOG otesztimas SOX Verification Completed: m 46 > o 88 ^4 a to oo Last Update: to/28/to to --J EFTA01282345 C) z m 0 Deutsche Asset z & Wealth Management r r C C z Worldwide Custody Account Agreement z Deutsche Bank Trust Company Americas m rn ACCOUNT NUMBER(S): C) 23 Bank Use Only -0 New York. New York a Dated: . 20 14 I. THE ACCOUNT IS FOR A: (choose one) 0 I Individual Joint Tenants with Rights of Survivorship Joint Tenants in Common Z T A. Please indicate if any account owner is (or the account is for the benefit of): (choose one) t l A labor organization/union or Tall-Hartley plan An officer, agent, representative or employee of a labor organization/union A Federal, State or local agency, board, commission or authority (including public hospitals, school districts and universities) or other public entity (if so, please indicate which country, state or municipality: m An official or employee in the legislative or executive branch of a Federal, State or local government Z J (if so, please indicate which country, state or municipality: None of the above 1 B. Please indicate if the account: (choose one) Is a retirement account covered under the laws of ERISA Is not a retirement account covered under the laws of ERISA II. OPENING YOUR ACCOUNT By signing this Agreement, you authorize Deutsche Bank Trust Company Americas ("DBTCA" or the "Bank") to open and maintain one or more Custody Accounts (each an Account and collectively the "Account") for you. Your Account will have one or more securities accounts and one or more cash accounts and the Account Title will be: Jeffrey Epstein 6ba£000- INO- ANGS WM134649 1 015629.122413 EFTA01282346  CONFIDENT AL - PURSUANT TO FED. R 111. LEGAL RESIDENCE: Jeffrey Epstein Name Name United States Virgin Islands Country of citizenship Country of citizenship 6100 Red Hook Quarter, B3 Legal residence Legal residence St. Thomas, USVI 00802 You will notify us immediately if your citizenship or legal residence changes. IV. DECLARATION OF TAX STATUS C) This Agreement is designed for use by both U.S. Persons and Non-U.S. Persons. Please check the box next to the 7z) paragraph below that applies to you. You certify that you will notify the Bank in writing immediately if the representation certified to below ceases to be true and correct. TU a (choose one) ,r U.S. Persons. By checking this box, you hi penalties of perjury that you are a U.S. person. Your U.S. Taxpayer Identification Number You further agree to provide the Bank a validly completed Internal Revenue Service Form W-9. Non-U.S. Persons (Individual). By checking this box, you hereby certify under penalties of perjury that you are Z T neither a citizen nor a resident of the United States (and you have not made an election to be treated as a resident because of your marriage to a citizen or resident), you have not been and intend not to be present in the United States for 183 days or more during any calendar year in which this Agreement is in effect, and the income you will earn hereunder is not effectively connected to a United States trade or business. You further agree to provide the Bank a validly completed Internal Revenue Service form W-8BEN, W.8ECI, W8EXP or W-BIMY or C any equivalent successor form as may be appropriate to your United States taxable status at account opening. rn V. TAX REPORTING FOR U.S. CLIENTS HOLDING NON-U.S. DOLLAR SECURITIES Z U.S. tax laws are quite complex and constantly evolving, especially in the area of international investments held by U.S. taxpayers. The monthly transaction statements and the annual consolidated form 1099 furnished to you are designed to J 1 reflect the status of your investments, but do not provide all the necessary details to complete your U.S. tax returns. The supplementary information needed, namely historical foreign exchange rates, is available on the Bank's system and can always be provided to you or your tax professional at no charge. An annual International Tax Letter for foreign securities, which provides a detailed summary with supporting schedules of all r capital and foreign exchange gains/losses recognized, is available to you upon request. Additional charges for this service would be noted on the fee agreement provided to you. Any charges will be deducted from your Worldwide Custody Account unless otherwise instructed by you. FOR HOLDERS OF FOREIGN SECURITIES ONLY—Please check the appropriate box below. (choose one) I do not wish to receive the annual International Tax Letter. I would like to receive the annual International Tax Letter for foreign securities. (Additional charges will apply. Please see your fee agreement.) ., Note 1: For U.S. clients holding any foreign securities Note 2: My charges will be prorated and based on the fee schedule signed with AWM Custody. DBTCA. List Additional recipients of tax summary letter and year end tax forms: 0SLL1000 IVO ANUS Name Name O 03 Address Address O mz 6 a8 8 2 WM134649 015879 122413 8 u, A 1,4 00 to EFTA01282347 C) z m 0 z r r VI. REMITTANCE INSTRUCTIONS (choose one if desired or leave blank) C 0 Transfer on the of each month to DBTCA Checking Account No. C (choose one) 0 Balances of both Income and Principal -n Balances of Income only OR Remit on the of each month (choose one) Balances of both Income and Principal Balances of Income only 0 To: Bank Name: O Account Name: Z ABA 0 or ACH Account it 11 VII. ACCESS TO DB INSIGHT (the "Service") 0 (choose one) DB Insight Standard includes access to financial and account information, research and product information. Paper Z statements and communications for all Custody Accounts will be mailed to the client. DB Insight with Online Statements includes access to financial and account information, research and product H information. Paper statements for all accounts and communications regarding your Custody Accounts will NOT be mailed to the Client until the Bank receives a written direction from the Client to issue paper statements. (Please note that communications regarding Proxies and Corporate Actions will be mailed as instructed in section XI below.) > By checking one of the two boxes above you confirm that you have received, read and agree to comply with the r Terms and Conditions for DB Insight attached as Annex B, as they may be amended from time to time. Before you allow a third party to access your Account via the Service, you agree to execute another authorization in a form the Bank specifies. You agree that this paragraph will apply to all your use of the Service, not just use related to services under this Agreement. This paragraph will survive termination of this Agreement and continue for as long as you have any account relationship with the Bank or the Bank revokes your ability to use the Service. if you checked one of the two boxes above, please provide the following for each account owner requesting access: E-mail Address: Secret Code: E-mail Address: Secret Code: E-mail Address: Secret Code: E-mail Address: Secret Code: For additional security when calling the Bank's helpdesk, each authorized person must supply a secret codo to be used when the authorized person calls the helpdesk. LSLLID0CINO- ANGS You do not wish to use the DB InSight service. PLEASE COMPLETE ANNEX C TO GIVE DB INSIGHT ACCESS TO THIRD PARTIES OTHER THAN THE ACCOUNT OWNER(s). WM134649 3 015629 122413 EFTA01282348 C) z m rn VIII. IDENTIFIED ADVISOR r— I For purposes of this agreement the term "Advisor" shall be defined as any agent or intermediary identified by you below. Please Name Advisor: Cn Address of Advisor C z Telephone Number of Advisor: 0 FAX Number: -n E-mail Address: 0 Choose one: C) You direct the Bank to act on instructions of such Advisor to ONLY 73 Please check all that apply: 1. purchase or sell Property as defined in the "Our Services- section for your account(s) and/or 2. move money between account(s) within DBTCA, including deposit accounts, held in your name and with the same tax ID: 3. follow Instructions on Schedule A to Worldwide Custody Account Agreement OR 0 By checkina and sinning next to the box below you grant FULL AUTHORITY to the Advisor named above. The Bank will follow ALL instructions regarding your Custody Accounts) and the Property and assets in the Custody Account(s) Z submitted by your Advisor without limitations. Signature: 11 Note: The Bank will not accept more than ono Advisor per Custody Account. In the event that you have multiple Advisors then a separate Custody Account must be opened for each Advisor. This Custody Agreement will apply to each Custody Account. For relationships with multiple Advisors, please list the Advisor and any limitations of their authority in the form of an attachment to this Agreement. You have appointed your Advisor with power and authority to take actions or to give instructions to the Bank on your Z behalf as indicated above. You agree that the Bank will be fully protected when the Bank follows instructions from your Advisor and/or designated representatives under their employ (complete Annex A or your Advisor should provide a signatory list on the Advisor's letterhead if applicable) and you do not expect the Bank to question them. You authorize the Bank to enter into arrangements to allow your Advisor to send the Bank instructions electronically, including through an "institutional delivery system." You authorize the Bank to act on such instructions and agree to hold the Bank harmless for any action the Bank takes or omits in reliance on them, even if the instructions are erroneous or unauthorized. You have sole responsibility for your arrangement with your Advisor. You will notify the Bank promptly, in writing, if you end your arrangement with your Advisor or appoint a new Advisor. The Bank shall be afforded a reasonable opportunity to act on any updates to the Advisor. IX. YOUR ADVISOR'S FEES: (choose one) You authorize us to pay the invoices submitted to the Bank by your Advisor for its services out of the Property. You will review these charges for accuracy and raise any questions you have about the fees with your Advisor. The Bank will continue to pay your Advisor's fees until you give the Bank written notice to stop. OR You do not authorize the Bank to charge your Account(s) for your Advisor's fees. zz -< I 6) WM134649 tn 4 015629 122413 ru EFTA01282349  C) z m 0 rn z X. STATEMENTS r- I The Bank will provide you, your Advisor and any person you designate below, with a written statement of all transactions -0 for your Account(s) each month (the "Account Statement"). If you have objections to an Account Statement, you will provide them to the Bank in writing within thirty (30) days after the date of the Account Statement. If you do not do so, it CA will be agreed that you have no objections to the Account Statement. On your Account Statements, the Bank may, but is not required to. provide prices or values for securities or other Property in your Account(s). You acknowledge that prices or z values for the Property may be unavailable or, if available, unreliable. When the Bank includes values for the Property on your Account Statements, the Bank will obtain them from one or more publicly available sources but the Bank will not guarantee their accuracy or reliability. You acknowledge that the prices or values the Bank shows on your Account O Statements may not reflect the current market price or fair value of the Property. You agree that the Bank has no obligation -n to solicit bids or offers, indications of prices or values or appraisals for the Property and that the Bank is not responsible for O the accuracy of any price or value information the Bank provides you. C) List additional recipients of statement: 73 Name Name TD. Address Address C I) 0 Z Xl. PROXIES AND CORPORATE ACTIONS 11 Proxies (choose one) The mailing address of Account(s) will be the default address unless otherwise indicated below Forward all proxies to mailing address for Account(s) OR Forward all proxies to Advisor Corporate Actions (choose one) The mailing address of Account(s) will be the default address unless otherwise indicated below Forward all Corporate Actions to fax number, E-mail or mailing address for Account(s) OR Forward all Corporate Actions to Advisor D zz vi -< I to O § 629.122/ 8 C4 5 015629.122413 8 Cn Z :4 4 co P EFTA01282350  0 z m 0 JOINT ACCOUNT If this is a Joint Account with Rights of Survivorship, you understand that (1) you will share ownership of the Property while you are alive, (2) either of you, acting alone. may withdraw some or all of the Property from the Account, 3) either of you may give us instructions which we will follow without obtaining the consent of or notifying the other owner, and 4) we may -0 terminate the Account upon the request of just one Account owner. If this is a Joint Account held as Tenants in Common and if ono party wants to withdraw more than one-half the value in the Account, we may require the consent of the other Account holder. We may be required to release Property to satisfy a judgment against or the debt of any one owner of the Account. OUR SERVICES As Custodian, the Bank will keep and protect, in the same manner as the Bank keeps and protects its own similar property, O -n the securities, cash or other financial assets you deposit in your Account(s) and any dividends, interest or other distributions rn received on those assets or from their sale or other disposition (collectively, the "Property"). Upon instructions from you or your Advisor, the Bank will buy or sell, for your Account and at your sole risk, securities Or other financial instruments and any foreign currency needed to complete these transactions. The Bank may charge transaction costs, including commissions, to your Account unless you or your Advisor gives the Bank different instructions. The Bank may 73 effect orders to buy or sell securities, other financial instruments or foreign currency for your Account in any commercially reasonable manner the Bank deems appropriate. The Bank may select, in the Bank's sole discretion, the brokers, dealers, counterparties or other intermediaries the Bank uses, including itself or its affiliates. When the Bank buys or sells foreign currency for your Account, the Bank or an affiliate may act as principal or countorparty on the other side of the transaction from you. You agree that the Bank or its affiliates are entitled to charge you the fees or other compensation the Bank customarily receives when the Bank engages in similar transactions with third parties. The Bank may receive remuneration from outside parties. Upon your written request the Bank will provide you with information regarding the source and amount 0 of any remuneration. O The Bank may decline to execute or settle a purchase order if the Bank is not satisfied, in the Bank's sole judgment, that you will have sufficient available funds or credit in your Account and in the required currency to pay for the transaction when payment is due. You agree to indemnify and hold the Bank harmless for any losses, costs or expenses the Bank incurs if you Z fail to furnish immediately available funds when required to pay for your transactions and expenses. If you ask the Bank to list assets on your Account statements that you hold at another location, the Bank will not be 1 1 responsible for Ii) protecting those assets as custodian, or (ii) confirming that the assets exist or determining their fair market value. The Bank may indicate on your Account statements that these assets are held elsewhere and that the Bank cannot verify their existence or value. The Bank's affiliates include the Bank's parent company. Deutsche Bank AG ("Deutsche Bank"), Deutsche Bank Securities Inc. (DBSI), Deutsche Bank Trust Company N.A. (DBICNA), Deutsche Bank National Trust Company IDEINTC) and other subsidiaries of Deutsche Bank. Most of the Bank's affiliates aro: i) not banks, ii) separately incorporated, and (iii) solely Z responsible for their own obligations. The Bank does not guarantee their obligations nor does any other bank. SCOPE OF OUR RESPONSIBILITIES The Bank's sole responsibility, unless the Bank expressly agrees otherwise, is to receive, keep and protect the Property as custodian, to maintain financial assets (within the meaning of the New York Uniform Commercial Code (NY UCC)) in the Account as security entitlements in your favor, and to provide the execution services, as described in this Agreement. You will make your own investment decisions for the Account, based on information you obtain on your own or the advice of your Advisor or other professional advisors and experts you select. The Bank is not responsible for advising you about securities or other investments and you will not rely on any advice or information you receive from the Bank in making your investment decisions. The Bank also is not responsible for determining the suitability of any investment for you or the merits of any investment you make for the Account, regardless of any information the Bank has about you or the investment or its issuer. In addition, the Bank does not provide legal, tax or accounting advice. CASH MANAGEMENT AUTHORIZATION Unless you give the Bank other instructions, the Bank will place your Account's U.S. dollar cash balances In a Money Market Deposit Account with OBTCA or one of its affiliates. Although the Bank will not be obligated to do so, if you have cash balances in other currencies, the Bank will seek to place those cash balances in an interest bearing account, if permitted by applicable law, in the countries where the balances are held. The Bank will deduct from any interest earned on non-U.S. dollar cash balances commercially reasonable foes to cover the Bank's administrative, placement and posting expenses. Upon request, the Bank will provide specific information about these fees. Please see "Annex D" for FDIC Disclosure regarding accounts subject to an automated sweep arrangement. COLLECTIONS You authorize the Bank to collect all interest, dividends, proceeds of sales and other monies due and collectible with respect to VSLL£000- NO- ANOS O the Property and direct the Bank to credit the collections to your Account or to remit them to you as instructed. Where adequate 93 financial information is not readily available about securities in your Account or with respect to securities as to which a default CA has occurred, the Bank will be responsible for safekeeping only and not for keeping track of dividends or coupon payments, 0 redemptions, exchanges, rights offerings or other similar matters affecting the securities. Securities in this category generally include, but are not limited to. those acquired in private placement transactions, securities of foreign private issuers not registered under the Securities Exchange Act of 1934 and securities not traded on a U.S. national securities exchange. In )• Wh1134649 8 6 015629.122413 5 4140 w ce ce EFTA01282351 CONFIDENTIAL - PURSUANT TO FED. R CRIM In addition, the Bank will not collect or deliver to you any rights, securities or scrip, or any document, or assist you in exercising any rights or taking other actions, if the Bank decides, in its sole discretion, that to do so would be (a) unreasonably burdensome or costly, or (b) contrary to applicable laws or rules. REINVESTMENT INSTRUCTIONS Unless otherwise specified herein or in separate written instructions, all interest, dividends. or other earnings and proceeds received by the Bank in connection with the Property will be credited to one of your cash accounts as instructed in the Cash Management Authorization Form or placed in your Money Market Deposit Account with DBTCA or one of its affiliates. SUBCUSTODIANS You authorize the Bank to keep the Property or any part of it in one or more of the Bank's branches or in custody accounts the Bank establishes with one or more subcustodians. The Bank may use as subcustodians other financial intermediaries, including the Bank's affiliates, branches of other U.S. banks, foreign banks, trust companies, brokers, dealers, securities depositories or clearing agencies. You authorize the Bank to deduct from your Account the charges of any subcustodian or subdepository relating to your Property or the Bank may bill you directly for subcustodian or subdepository fees. CORPORATE ACTIONS The Bank is not required to exercise rights or make elections with respect to exchange or conversion of securities ("Corporate Actions") in the Account. The Bank will submit all Corporate Actions that the Bank receives for your Account to -(3 you or your Advisor as previously selected by you herein. The Bank will not provide any investment advice regarding these notifications; nor will the Bank independently make an election for any Corporate Action for your Account. It is the sole responsibility of you or your Advisor to issue specific instructions in a timely manner regarding all Corporate Actions the 0 Bank sends for your Account. 0 PROXIES The Bank is not required to vote proxies, exercise rights or make elections with respect to the Property. When the Bank receives proxies or related mailings with respect to the Property, the Bank's sole responsibility will be to send it to you by regular first class mail at the address indicated below or your Advisor as previously selected by you herein, at your sole risk J2 and expense. Communications received by a subcustodian will not be considered received by the Bank until actually delivered to the Bank. TELEPHONE, E-MAIL OR FAX INSTRUCTIONS m From time to time you may give the Bank instructions with respect to the transfer of all or part of the Property or for the sale or purchase of securities in the Account by telephone, facsimile or e-mail (collectively referred to herein as "Verbal Z J Instructions"). It is understood that the risk of Verbal Instructions being given by person or persons purported to be you is your own. You agree to indemnify and hold harmless DBTCA for any claims, losses, expenses, costs and attorneys' fees (and their reasonable expenses) resulting from DBTCA's acting upon misunderstood and/or unauthorized Verbal Instructions. You 1 understand that over certain dollar levels, DBTCA may, but shall not be required to, seek verification of your Verbal Instructions by calling you to confirm such Verbal Instructions. In case of doubt. DBTCA may in its sole discretion refuse to execute your Verbal Instructions or any part thereof, without incurring any liability. The Bank is under no obligation to execute your telephone, facsimile or e-mail instructions to transfer all or part of the Property, or funds or securities to any account(s) r other than the Accounts referenced herein without your original written instructions. TRANSACTIONS IN YOUR ACCOUNT You agree, represent and warrant that all transactions in your Account will comply with all laws, regulations and other legal and regulatory requirements that are applicable to you, and that you will not use the Account to engage, directly or indirectly, in any transactions or activities that are improper or unlawful. Without limiting the foregoing, you agree that you will not engage in any sales of securities unless registered (or subject to an exemption from registration) under the Securities Act of 1933, insider trading. market timing, free-riding and withholding, or manipulative or deceptive transactions, acts. practices or courses of conduct, in your Account. If the Bank, in its sole judgment, determines that the Account is being used for any purposes or activities that may be inconsistent with the agreements, representations and warranties made by you in this paragraph, the Bank may, without any liability to you, take one or more of the following actions: (i) decline to execute one or more transactions instructed by you, (ii) temporarily freeze all transactions or funds in your Account, (iii) close your Account, or (iv) refer the transactions or activities in question to relevant regulatory or law enforcement authorities. You agree to indemnify and hold the Bank harmless for any losses, costs or expenses the Bank incurs (i) if you breach any of the agreements, representations and warranties made by you in this paragraph, or (ii) for any actions that the Bank takes hereunder other than losses, costs or expenses resulting from the Bank's gross negligence or willful misconduct. INSTRUCTIONS FROM BROKER-DEALERS 5921.£000-14M-ANCIS You also direct the Bank to act for your Account on instructions or confirmations from broker-dealers engaged by you or your Advisor. In some cases, you will identify the broker-dealer to the Bank in advance or give the Bank evidence that you engaged the broker or dealer. Where you do not do so, the Bank's receipt (by electronic or other means) of confirmation of a purchase or sale that requires the Bank to pay funds, deliver securities or take other action for your Account will be deemed an 'instruction" to the Bank from you if the confirmation properly identifies your Account number, and the Bank will be authorized to make payment from or take delivery for your Account without consulting or receiving VVM 134649 7 015629.122413 EFTA01282352  C) z m 0 further instructions from you. The Bank will have no obligation to review any transaction made or Property received on the instructions of such broker-dealers or broker-dealers engaged by your Advisor. The person giving the Bank the instructions shall have sole responsibility for ensuring that it does not violate applicable laws, rules or orders that apply to you or your Account. The Bank may from time to time consult with legal counsel and will be fully protected in acting upon the advice of counsel. -0 REGISTRATION The Bank may hold your Property in certificate or book entry form,