EFTA01295581.pdf

KYC Print Page 1 of 29 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01344537 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: I New York Relationship Manager: Paul Morris F New PWM Relationship " Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Update of KYC #01133113. Trustees have changed How Was the Client(s) r Client Referral 17 RM Prospect rInterrnediary/FIM r Other Source (C18, etc.) Introduced? How long has the RM personally known Please provide details (e.g. name of referral source, how many years RM personally has known client, the dient? etc.): Jeffrey Epstein/Butterfly Trust are current clients of the Bank. Does Deutsche Bank pay a F Yes F No retrocession or similar compensation to a third party for the Introduction (If yes, descnbe). of this relationship? list all existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 F Butterfly Trust - Checking 10/9/2013 2 F Butterfly Trust -- Money Market 10/9/2013 Who Is the primary ontact person for the RM? (Note: Preferred method of This person needs to have Harry Beller contact(Indicate phone 212 564 5900 signatory rights and/or no., fax no., e-mail Information right for the address, etc.): accounts.): SDNY_GM_0005673B Imps://dbforeepb.my.salesforeecr asgviettpAts130000000D9Di&ei n ... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R PorP. ate) I DB-SONY-0019562 EFTA_00167308 EFTA01295581  KYC Print Page 2 of 29 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Butterfly Trust -- Checking Acct Number (ifavailable): Account Manager: Paul Morris 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 hold funds for the trust. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): P . Other Institution (Indicate name & location): JPMorgan. New York, NY F 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)?: Roughly 5-10 inflows and outflows per month ranging from 51,000 to $20,000 What is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 5,000,000.00 Currency USD the account approx. one year after opening? 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. • Abway describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Description AccountPIC Settler of slItimate Signatory imitecFnancial Significant Entityof Source Holder OwnerTrust / Beneficrabr Full 'OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>=25%) required •:ouriliation Non-P1C Other (please entity describe other roles (indicate and/or indicate Parties related to ownership relationship between pis account 0/a) iarties) 1 F F Jeffrey Epstein F F F F F F F Grantor; 2 F F Butterfly Trust F F F F F F F 3 F F Harry Beller F F F F F F F Trustee:; 4 F F Enka Kellerhals r F F r F F F Trustee:; 5 F F F F F F F F F Beneficiary; E r r F F F F F F F Beneficiary; 7 F F F F F F F F F Beneficiary; 8 F F F F F F F r r Beneficiary; 9 F F Ghislaine Maxwell F F F F r F F Beneficiary; SDNY_GM_00056739 littps://dbforeepb.my.salesforeeceeNOREettpe130000000D9Di&ei CONFIDENTIAL - PURSUANT TO FED. R. IleeP. DB-SDNY-0019563 EFTA_00I 67309 EFTA01295582  KYC Print Page 3 of 29 k rilr Ir V V V V I IBeneficiary; SDNY GM_00056740 Intps://dbforcepb.my.salesforceceeNbasPlaEratpfts130000000D9Di&ei... 979/2015 CONFIDENTIAL - PURSUANT TO FED. R. %IfPAM ' Da-SDNY-0019564 EFTA_001673 I EFTA01295583  KYC Print Page 4 of 29 2. Account Ownership Summary Account Name: Butterfly Trust -- Money Market Acct. Number Of avallab.eet. Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account. To hold cash for the trust to earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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)?: Roughly 1-2 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 1,000,000.00 Currency USD the account approx. one year after opening? 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 appropnate 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 mother column. • Ahvay describe the relationship between the parties in the last column. • Please drill down to the ultimate/under ying Beneficial Owner(s). Legal Description AccountPIC Settior of Jftimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficial:or Full °OA Intermediary5hareholder of Weakh Founder of Owner POA (FIM) 0.-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate Parties related to ownership relationship between this account %) 'attics) 1 F F Jeffrey Epstein F F F F F F F Grantor; 2 F r Butterfly Trust F F F F F F F 3 F F Harry Beller F F F F F F F -rrustee:; 4 F F Enka Kellerhals F F F F F F F Trustee:; 5 F F F F F F F r F Beneficiary; 6 F F F F F F F F F Beneficiary; 7 F F F F F F F F F Beneficiary; 8 F F F F F F F F F Beneficiary; 9 F F Gaisiaine Maxwell F F F F F F F Beneficiary; 10 F F F F F F F r F Beneficiary; SDNY_GM_00056741 Imps://dbforeepb.my.salesforce.ceeNbasgvieENTIK0L130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. ReP. ' DB-SONY-0019565 EFTA_00I 673 I EFTA01295584  KYC Print Page 5 of 29 SDNY_GM_00056742 https://dbforcepb.my salesforce.~ N30000000D9Di&ei... 9/9/2015 CONFIDENTIAL — PURSUANT TO FED. R.VRITerttl eEtfil9Nt DB-SDNY-0019566 EF1'A_00167312 EFTA01295585  KYC Print Page 6 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands residence: Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Positionifide/Ftank: President Address of employer: 6100 Red Hook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if Yes desaibe) Yes F No To the best of your knowledge, is the individual related to an employee of the D43 F Family F Friendship F None group?(If Family a- Fnendship, descnbe) To the best of your knowledge, is the individual party to a non-banking relationship ri yes .— with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' P0 No goods or services)?(if Ves,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Businez: Other Location (specify): Date: Paul Moms r r F 9/13/2013 F r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments 17 Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ?rugs, 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.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner n 1980. In 1982, Epstein founded his own financial management firm, .). Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM ($): Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): 5,000,000.00 Other Known Financial Institutions: SDNY_GM_00056743 Imps://dbforeepb.my.salesforeerIORIESNoTIKOLI30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. %VP. BM I DB-SDNY-0019567 EFTA_00I 67313 EFTA01295586  KYC Print Page 7 of 29 Institution: ]PM Country: USA Est. Assets Under Mgt: 120,000,000.00 Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00056744 FED. RtAlbasgviDENTIACt130000000D9Di&ei... 9/9/2015 Imps://dbforeepb.my.salesforee CONFIDENTIAL - PURSUANT TO . beP.13(b) ' DB-SD -0019568 EFTA_00167314 EFTA01295587  KYC Print Page 8 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Ghislaine Maxwell - Date of Birth: Country of Residence: Country of Citizenship: co Address of primary residence: Profession/Occupation: Tax, ID / SSN:Rank: Current Employer: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) ryes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(dFamtly a- From/ship, describe) 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 rYes ' it" t- No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: pomiale: of Business: r r r r r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts Summarize Source of Wealth: F Other: Further Describe Source of Wealth /Detail the history of vealth 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 amount of investable assets(s): (S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00056745 Imps://dbforeepb.my.salesforee.crisPIETIK0LN30000000D9Di&ei... 9/9/2015 CONFIDENTIAL — PURSUANT TO FED. R. IWP. te) ' DB-SDNY-0019569 EFTA_00167315 EFTA01295588  K VC Print Page 9 of 29 ' Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00056746 littps://dbforcepb.my.salesforeectAkisPICeopp R 14 /01\130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. ItoePAN DB-SDNY-0019570 EFTA_00167316 EFTA01295589  KYC Print Page 10 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: co Address of primary residence: Profession/Occupation: Tax, ID / SSN:Ftank: Current Employer: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Family a- Fneniship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r- yes t- with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' i t.' No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: of Business: r r r r r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, 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 amount of investable assets(S): ($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I Country: I I Est. Assets Under Mgt: SDNY_GM_00056747 Intps://dbforcepb.my.salesforeecrIORDIENTIKOL130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. neeP. DB-SONY-0019571 EFTA_00167317 EFTA01295590  KYC Print Page 11 of 29 ' Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00056748 littps://dbforcepb.my.salesforce.ctAkisPlaBlpp 14 / 1\130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. R IleePAN ' DB-SDNY-0019572 EFTA_00I 67318 EFTA01295591  KYC Print Page 12 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: o Address of a residence: Profession/Occupation: Tax, ID / SSN:Ftank: Current Employer: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe) F Yes F No To the best of your knovAedge, is the individual related to an employee of the DB F Family F Friendship F None group?(If Family or Frenarship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r- yes I- with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' V" No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: of Business: r r r r r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: r- Business Owner F Salary/Eamings F Investment F Inheritance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, how did senior 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 amount of investable assets(S): (S): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00056749 littps://dbforeepb.my.salesforeerkisPIDENTIAL30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. ReP. kb) ' DB-SDNY-0019573 EFTA_00167319 EFTA01295592  KYC Print Page 13 of 29 ' Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00056750 Imps://dbforeepb.iny.salesforee FED. RtAkisPIEettopp 14 /01N30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO . ReP.IM ' DB-SDNY-0019574 EFTA 00167320 EFTA01295593  KYC Print Page 14 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: - Date of Birth: Country of Residence: Country of Citizenship: co Address of primary residence: Profession/Occupation: Tax ID / SSN:Ftank: Current Employer: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if Yes describe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Family a- Fnendstvp, describe) To the best of your knowledge, is the individual party to a non-banking relationship r- yes with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' rNo goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: of Business: r r r r r r r r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: r Business Owner F Salary/Earnings F Investment F innentance/Girts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, 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 (S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00056751 Imps://dbforeepb.my.salesforee e eNbasgvicetpAti30000000D9Di&ei ... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. %els. tb) ' DB-SDNY-0019575 EFTA_00167321 EFTA01295594  KYC Print Page 15 of 29 ' Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00056752 Intps://dbforcepb.my.salesforeeceeNbasPIDENTIK0L130000000D9Di&ei... R 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. ItoeP. ' DB-SD -0019576 EFTA _00167322 EFTA01295595  KYC Print Page 16 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: - Date of Birth: Country of Residence: Country of Citizenship: co Address of Ornary residence: Profession/Occupation: Tax ID / SSN:Rank: Current Employer: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(rf Family a- From/ship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r- yes r— with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' Ito No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date: r r r r r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did senior 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 amount of investable assets(s): (S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00056753 Imps://dbforeepb.my.salesforee.cee-MORIESNoTIKOL130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. ileeP.W ' DB-SONY-0019577 EFTA_00167323 EFTA01295596  KYC Print Page 17 of 29 ' Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00056754 littps://dbforeepb.my.salesforeeceeNORDENTIAL30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. IWP.B(b) ' DB-SDNY-0019578 EFTA 00167324 EFTA01295597  KYC Print Page 18 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ow