EFTA01282195.pdf

KYC l'rint Page 1 of 30 DB PWM GLOBAL KYC/NCA: PART A KYC Case N : 01977695 Status : 6. Approved One sheet must be established per relationshi • list all accounts Included In the relatlonshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Cooking (enter. New York Relationship Manager: Stewart Oldfidd • New MK Relationship O Existing PWM Relationship Relationship to PWM: If online, please indicate since when the relationship exists, provide reason for new profde and attadi old profile: •** 2018 Penodk Review - Overdue HR KYC "" last Approved KYC X - Epstein, Jeffrey E. & Southern Trust Company, Inc. - kero Management, LLC - 7.1 Client Referral O RM Prospect O Intermediary/Pim O Other Source (GB, etc.) Mow Was the Client(s) Introduced? How long has the RN personally known the Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein client? readied out to Stew 0ldfleld on 3/7/17 to have a new acct opened order this relationship.. Does Deutsche Bank pay a O Yes revocession or ender 10 No compensation to a third party for the introduction of this (If yes, descreei. relationship? Let an existing and new accounts involved in the relationship Legal Entity Account Name / Number Opening Date (Intendediactuat) Accounts) 1 O Jeffrey Epstein - 3/8/2016 2 • Jeffrey Epstein - 9/23/2013 3 • Jeffrey Epstein - 4/10/2014 Southern Trust Company Inc - 8/26/2013 Ei 5 9 Southern Trust Company Inc. 8/27/2013 6 9 Zorro Management LLC - 12/20/2016 i 9 Zorro Management LLC (House Account) - 3/13/2017 Who is the pray contact person for the RM? (Note: This Indyke Preferred method of contact Darren K. (indicate phone no., 971-1314 person needs to have signatory fax no., lights and/cr mfcemation right e-mat address, etc.): for the accounts.): SDNY_GM_00037522 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000346 EFTA_00148134 EFTA01282195  KYC Print Page 2 of 30 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Jeffrey Epstein - • DIM Acct. Number (twat/O Account Manager: Stewart OkMeld What is the purpose of the account (e.g. portfolio management, advisory account, custody servion, kettemi Investment, payment/expense account)? The purpose of this account is Jeffrey Epstein's personal daily use. Indicate from where the assets we expected to arnve? 0 DB Group: Same Booking Center (Indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): O Other Institutbon — (Indicate name & location): O Physical Depots (specify cash, secunoes, cheques...,: What is the expected sae and frequency of regular Inflows and outflows for the account (vacate estimated number and volum per month)?: 30-55/month; $10 • S1.5MM what Is the expected volume of assets and currency for the accomt approx. 90 days 13,406,31224 'Currency I USD after opening? What is the expected vokune of asset and currency for the account approx. one year 13,406,31224 I Currency I USD after opening? toes/will the dent have Assets Under Management (AuM) within De under Eur. 3M? • Yes No Please list all parties related to the account. Fcr each paity. • Check if a source of Wealth descnpaon is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other column. • Atways describe the relationsIvp between the parties in the last column. • Please dna down to the ultim te/underlying Belled& Onner(s). _egal 7esalption Account71C Senior of Ultimate IS:gnatay „Mutat-mann& Significant .egal 'Granta/SettiorroundnoiCither Entity of Source Holder awnearbst / fenelidake Ful OA IntennediaryShareholdernepresentabve Donor (rinse of VVealth Fore-der of Owner POA (FIM) (>=25%) describe equired Foundation Von-PIC other roles enbty and/or Partin (indicate ndicate related to 3‘Nnerslap relationship this lb) between account Parties) I • 5 Jeffrey E. a O O O 2 O O O LI O Epstein Harry 2 El • Belle/ O O • • 2 O O O O El 3 El • Darn"- Indyke O O O O El O O O O O SONY_GM_00037523 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000347 EFTA_00148135 EFTA01282196  KYC Print Page 3 of 30 2. Account Ownership Summary Account Name: Jeffrey Epstein • - DeSI Acct. Number (IPtavailable) Amount Manager: Stewart ()WAS What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long.terrn irwrstment, payment/expense account)? The purpose of this account is to hold marketabb securities and cash. Indicate from where the assets are expected to arnve? 0 DB Group: Same Booking Center (incloate account number): basting O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): O Physcal Deposats (specify cash, secant es, cheques....): What IS the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 0 3/month; $0 - $500 What is the expected volume of assets and currency for the account approx. 90 days 1669,126.30 I USD after opening? I Currency What IS the expected volume of assets and currency for the account approx. one year 1669,126.30 I USD after opening? I Cu"ncY Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes 0 No Please list all parties related to the account For each party: • Chedc if a source of wealth description is required for the party. • Chedc the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f 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 ckil down to the ultim tefunderlying Beneficial Owner(s). _egal Desalption hccountPIC Settler of Jltimate Signatory Unite? anclal Significant _egal Grantor/SettiorfoundngOther Entity of Source Holder Ormagrust / Senefidake Full POA ntennediaryShateholderVepresentatra Donor (please of Wealth Founder or/rifler POA FIM) (>=25%) describe equlred Foundation Yon.PIC other roles entity and/or Parties (indicate ndicate related to 3mership relationship this %) between ccount Parties) 1 O O Jeffrey E. • O • • 2 O O O O • Ern Hairy 2 El • Beller • • • • O O • O O • Darren IC O O ndyke • O • • 2 O O O O • SDNY_GM_00037524 CONFIDENTIAL - PURSUANT TO FED. R. t I ON ht tps://db forcepb.my.sa lesforce.com/servlet/servlet.lntegration?lid=01N 30000000O9 Di & e... 7/11/2019 DSONY-0000348 DB-SONY-0000348 EFTA_00148136 EFTA01282197  KYC Print Page 4 of 30 2. Account Ownership Summary Account Name: Jeffrey Epsten - - Custody Acct. Number Ofmailade) Account Manager: Stewart CMOS What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to hold Fat cash deposes. Indicate from where the assets we expected to amve? 121 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (Indicate DB location and account details): • Other Institielon — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques....): What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volum per morith)?: S.10/month; SO - S2SOK What Is the expected vokime of assets and currency for the account approx. 90 days after 1112,690.70 I Currency opening? I USD What Is the expected vokime of assets and currency for the account approx. one year after' 112,690.70 I Currency opening? I USD Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O YesO 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 accoint (> I can be selected). • f none of the check boxes apply, describe the party's relation to the account In the 'ether column. • Alway describe the relationship between the parties in the last column. • Please CM down to the Latin, tefunderlying Beneficial 0 alerts). _egal )esc ptlon AccountPIC Senior of JIUmate &rat mite anclal Significant _egal GrantodSettiorfouncincpther Entity Y Source Holder OvmerTrust / Seneflciake Ful ntetTnedlaryShareholderitepresentatra Donor (please af Wealth Fot derofNJimer POA FM) (>=25%) describe -equired Foundation other roles entity and/or Parties 'ndicate ndicate related to ownershp relationship his lb) between Moult parties) 1 O 2 EjeffreYE pstein O O O O 2 O O O O O 3ellHarry 2 ME Seller O O O O 21 O O O O O Darren IC 3 El O ndyke • O CI O El O O ❑ O O SDNY_GM_00037525 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000349 EFTA_00148137 EFTA01282198  KYC Print Page 5 of 30 2. Account Ownership Summary Account Name: Southern Trust Company Inc - - 0651 Acct. Number Of avarabfei Account Manager: Stewart Oldfeld What a the purpose of the account (e.g portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account as to hold marketable securities and cash. Indicate from where the assets are expected to amve? 0 DB Group: Same Booking Center (incicate account number): Existing 0 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution — (Indcate name & location): 0 Ftyscal Deposts (specify cash, securities, cheques.....: What a the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 2 10/month: $2K - $ 2MM What is the expected volume of assets and currency for the account approx. 90 days 12,550,527.% I Currency after cpenrig? I USD What a the expected volume of assets and currency for the account approx. one year 12,550,527.% I Currency after opening? I USD Does/will the deM have Assets Under Management (AuM) within DB under Eur. 3M?0 Yes g No Please list all parties related to the account. For each party: • Cheick if a source of wealth desaiption is required for the party. • Cheick the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe he party's relation to the account in the *Other column. • Always describe the relationshp between the parties in the last column. • Please dal down to the ultimatefunderhring BeneflOal Crerner(s). _e9al Description Account PlC Senior of Ulbrrate Sigratorw_imitecrinancial Significant £gal Grantor/Seek&otridingOther (please Entity of Source Molder Ormertrust / Benetbalor Full 00A Intemedaryetareholderoteptesenrstive Donor describe of Wealth Founder °Meier POA (FIN) (>=25%) other rotes equired Foundation Non.P1C and/or Parties entity ndcate related to (indicate relationship this ownership between account %) Dania) Southern Trust 1 21 0 • 13 0 0 0 0 0 • 0 Company, Inc. Jeffrey E. = • • 0 2 0 2 • 2 0 0 100 21 • Drector: Epsten Jean Anne 0 0 r❑ Brennan I--i ■ • 0 0 2 0 0 0 0 0 Webracht Darren K. 0 0 0 0 2 0 0 0 0 0 4 0 0 Dream': Indyke Richard 5 • 0 M M • • 0 0 • 21 • 0 Director; D. Kam Trading kuthonzabon Paul S. Unwed to 6 0 0 Barrett 0 0 0 0 0 121 0 0 0 0 Purchases & Sales of Senates; SDNY_GM_00037526 CONFIDENTIAL - PURSUANT TO FED. R. t ht tps://db forcepb.my.sa I ON le sforce.com/servlet/servlet.lntegration?lid = 01N 30000000D9Di & e... DSONY-0000350 DB-SONY-0000350 7/11/2019 EFTA_00148138 EFTA01282199  KYC Print Page 6 of 30 2. Account Ownership Summary Account Name: Southern Trust Company Inc - - MMBA Acct. Number Of arailablei Amount Manager: Stewart °Meld What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, keig.teirn investment, payment/expense account)? The purpose of this account is to hold funds and earn high gelding interest. Indicate from where the assets are expected to amve? ct C43 Group: Same Booking Cater (in cafe account number): basting O DB Group: Other Backing Center (indicate DB location and account details): O Other Institutor, — (Indicate name & location): O Physcal Deposts (specify cash, secant es, cheques....): What Is the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 8/month; $500 - S SMM What Is the expected volume of assets and currency for the account approx. 90 days 12,468,673.24 I Currency after opening? I USD What Is the expected volume of assets and currency for the account approx. one year 12,468,673.24 I Currency after opening? I USD Does/will the denthave Assets Under Management (AuM) within DB under Eur. 314? ❑O res El No Please list all parties related to the account For each party: • Check if a source of wean' description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the parts relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please Cal down to the ultim tefunderlying Beneficial 0 rner(s). _egal Desalption AccountPIC Settlor of Jltimate Signatory Unite? ancial Significant _egal Grantor/SettiorfoundngOther Entity of Source Holder OwnerTrust 1 3eneficiake Ful POA ntennediaryShateholderitepresentative Donor (please of Wealth Founder &Owner POA FIM) (>=25%) describe equlred Foundatnn Yon.PIC other roles entity and/or Parties (indicate ndicate related to annershaa relationship this %) between account parties) Southern Trust 1 2 Company, • • O O O O O O O O Inc. 2 O 2 in Epstein E. O ❑ O O El 2 O O 100 El O O Director; Jean An 0 0 Brennanne • El O O 9 O O O O O Wiebracht 4 O O In Darren dyke K O O O O 9 O O El O O Director; RicKard D. . . . 5 • O Kahn • • O O 9 O O Director; SDNY_GM_00037527 CONFIDENTIAL - PURSUANT TO FED. R. t I ON https://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 DSONY-0000351 DB-SONY-0000351 EFTA_00 I 48 I 39 EFTA01282200  KYC Print Page 7 of 30 2. Account Ownership Summary Account Name: Zorro Management LLC - - DDA Acct. Number (iravaaratikA A unt Manager: Stewart COMM What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Immanent, payment/expense account)? The ptspose of tNs account is to manage the daily expenses of the company Indicate from where the assets ate expected to arnve? 121 C43 Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): • Other Institutbon — (Indicate name & location): O Physical Depots (specify cash, secunties, cheques....): What Is the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per morch)?: 10- Sfmorch; S50 - 5200K What Is the expected volume of assets and currency for the account approx. 90 days after 1254,944.25 I Currency opening? I USD What Is the expected volume of assets and currency for the account approx. one year after 1254,944.25 I Currency opening? I USD Does/will the dent have Assets under Management (AuM) within DB under Eur. 314? O Yes 2 No Please list all parties related to the account. For each party: • Check if a source of wealth description I required for the party. • Ched the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the chedc boxes apply, desa be the party's relation to the account in the Teter column. • Always describe the relationship between the parties in the last column. • Please dal down to the ultimate/underlying Beneficial Orrner(s). _egal Description accountPIC Setts of Jltimate Signaterytimiteo Financial SIgnificalorkegal Grantor/SedorFoundingother Enoty of Source Hodder Orme( trust / Benet-dolor Full POA IntermedarytIMarehol• - • exesentattee Donor (please of Wealth Founder of Owner POA (MM) (>=25%) describe ,equired Foundaticra Non-PIC other roles entity andior (Indicate indicate Ries ownership relationship elated to %) between s amount parties) Zotro 1 2 E anagemet, 2 O O O O O O O O O LC El 7: 'dim O msoeie : 2 in '. O O O 2 0 O O 100 O O Darren IC O • O 3 O O ndyke O 0 O O O O O SDNY_GM_00037528 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000352 EFTA_00148140 EFTA01282201  KYC Print Page 8 of 30 2. Account Ownership Summary Account Name: Zorro Management LLC (Noise Account) - - OOA Acct. Number (Aowirlibk) Account Manager: Stewart Mlleid What is the purpose of the account (e.g. portfolio management, advisory account, custody services, tervg.terrn investment, payment/expense account)? The purpose of this account is to manage the monthly expenses of the company Indicate from where the assets are expected to amve? 0 De Group: Same Booking Cater (Inacate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): O Other Instituter, - (Indcate name & location): O Physcal Deposits (specify cash, securities, cheques....): What is the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 5.15/month: S100 - 51K What is the expected volume of assets and currency for the account approx. 90 days 1 12,766.17 I Currency after opening? I USD What is the expected volume of assets and arrency for the account approx. one year 1 12,766.17 I Currency after opening? I USD Does/will the client have Assets Under Management (Auf4) within DB under Eur. 314? O Yes ) No Meese list all parties related to the account For each party: • Check if a source of wean' desaiption I required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, desa be the partys relation to the account in the 'Other column. • Always describe the relationshp between the parties in the last column. • Please Cal down to the ultimate/underlying Beneliaal Owner(s). _egal Description AccourrtPIC Settler of Jltimate Signatory _mealFinancial 9gnifkant _egal Grantot/SettiorFoundingOther Emory of Source leader Owner Trust / Senetcla or Full ?OA Intermecta areholderitexesentatNe Donor (please of Wealth Founder of Dwner POA (FIN) >=25%) describe equlred Foundation on-PIC other roles entity and/or inacate indicate Parties ownership relationship related to %) between dis account 11aMes) Zorro 1 O 10 management- 10 O O O O O O O O O LLC . s . O 2 O 2 Epstein in 21 0 • • 100 • O Member: 3 Dairen IC IN • • • • O El • • • • O Inclyke 4 O O O • O O O • • O O O 5 O O O O O O 0 O O O O O SDNY_GM_00037529 CONFIDENTIAL - PURSUANT TO FED. R. t I ONFIDENTIAL ht tps://db forcepb.my.sa lesforce.com/servlet/servlet.lntegration?lid=01N 300000001)9 Di & e... 7/11/2019 DSDNY-0000353 B- EFTA_00148141 EFTA01282202  KYC Print Page 9 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh1p Summ 3A. Individual Details (for all parties) Individual's Name: Harry Baer . Date of Birth: Country of Residence: United States Country of Citizenship: United States Has client resided outside of United Sues Ns/her cony of nationality O Yes 0 No Address of primary residence: for 5 years or more? Professen/Occupation: Accountant Tax ID / SSN: Current Employer: HEIRK Associates, Inc Positen/Teg/Rank: Accountant Address of employer: 575 Ledngton Avenue, 4th Floor Homey NY United States 10022 Does the person work as senior erearive cf a DB-recognized regulated entity in the (Vandal n yes O ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fct operating entitles '—' No Is the lnthl&al a Poetically Exposed Person (PEP)?(1 Yes, tate) N/A Dyes O No To the best of your knowledge, Is the individual related to an employee of the DB group?(?! El Family O Friendship 0 None Family or A.'.ylchhip, describe) N/A To the best of your knowiedge, Is the Individual party to a non-tanking relationship with Deutsche Bank (e.g., edema' legal coursel, client referral source, suppler of goods or services)? O Yes 2 No Of Vac/cps/be) WA Indicate where and when the dent meeting(s) took place: if applicable, incecate whith bank office's have met the person: OleM Private Client Mace of Bank Officer Name(s) Bank Office: Other Location (speofy): Date: Donn:Ile Business: O O O O O • O O O In Wealth Details for this individual are not filled in, because they are the same as for the lefty/log person: 38. Wealth Details (Only for parties requiring soiree of wealth desccdon as indicated In Section 2) Nature of the Individual's Busress: Primary Country of smite of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalay/Earnings U Investment O Inherence/Gila O Other: Further Describe Soiree of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance,. how did family accumulate weakh?For business owners, how long in business, how many employees, level cf profeabiley? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inceme($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount ci assets planned to Invest Wel PV/M($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Insti