EFTA01252923.pdf

KYC Print Page 1 of 16 DB PWM GLOBAL KYC/NCA: PART A VA KYC Case n : 01946825 Status : 6. Approved One sheet must be established per relationship - list all accounts Included In the relationshl 1. Relationship Details RelaUdish1p Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Boding Center: New York Relationship Manager: Stewart adfield 17 New PM Relationship 2 edging PWM Relatlonship Relationship to PWM: If existing, please indicate since when the relationship ofels, p aide reason for new profile aid attach old agorae: 2018 Periodic Review 0 Client Referral 0 RN Prospect 0 Intermediary/Flat 0 Other Sound (GB, etc.) How Was the Client(s) Introdtroed? How long has the RM personalty known the dent? Please provide details (e.g. ante of referral source, how many years RM personaly has known client, etc): Jeffrey Epstein met with Stew acilleld on 3/7/17 to open new acct for other entity. RM has known this client for 9 years. Prehousty approved KYC901709382 Does Deutsche Bank pay a 0 Yes I2 No f ett ocess.on or 9milar compensation to a third party tor the introduction of this (If Yes, O63O76O relationship? List all existing and new amounts Involved In this relationship Legal Entity Accowt Name/ Number Opening Date (Intended/actual) Account(s) 1 2 Prytanee, LLC - Deposit-42967121 1/20/2017 Who Is the primacy contact person or the FU4? (Note: This Dannindyke „ Preferred method of contact "'r" (212) 971-1319 person needs to have signatory (rockcate phone no., fax no., rights and/or information right e-mail address, etc.): for the accounts.): SDNY_GM_00037486 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000310 EFTA_00148098 EFTA01252923  KY(' Print Page 2 of 16 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Prytanee, LLC - Deposit Acct Number (AT.thaletat•fr 42967121 Account Manager: stone oldfleld What Is the purpose of the account (e.g. portfolb management, advisory account, custody services, long-term Investment, payment/expense account)? the purpose of this account Is to managing the monthly expenses of the company. Deposit account related to art purchases. Indicate from where the assets are expected to wee? J DB Group: Same Booing Center (indicate account number): • DB Group: Other Booking Center (indicate DB location and account details): 0 Other Inaltubon — (indicate name & locaton): 0 Physical Deposits (specify cash, securities, cheques, ...): What Is the expected size and frequency of regular Inflows and outflows for the accomit (Indicate estimated number and vofrume pet month)?: 0-5 Inflows/outflows between 100k to SOOk on a monthly basis YAW Is the expected volume of assets and currency for the account approx. 90 days after 15197,882.14 I CLayency I usd opening? VAne Is the expected volume of assets and currency for the account approx. one year after 15197,882.14 I armory I usd opening? Does/will the client have Assets Under Management (ALM) within DB under Eur. 3M? ❑0 Yes 2 No Please Ha all parties related to the account. For each party: • Check if a source of wealth ascription Is reared fa the party. • Check the appropriate box to descite the dab:nap of the party to this account (> 1 can be selecte0). • f none of the check boxes apply, descrbe the party's relation to the ao:ount In the 'Other" co horn. • Alway describe the relabonship between the parties in the last column. • Please drill down to the ulUmatehndedying Beneficial Owner(s). _egarDescelptiai AccountP1C Senior of Ultimate Signatory-beta Financial Significant _egal Gantor/Settior Founding intityof Source Holder CMPerTrust/ Beneficial or Full ?OA IntermediarySharehokierlercesentalve Donor of Wealth Founder of Owner POA (FIN) (>=25%) Other (please required Foundation Non.PIC describe other Pates entity nor's and/or related to 0ng:tate abate this ownership 'elatlenship account %) peewee. parties) 2 2 " neet0 ac 0 0 0 • 0 0 • 0 0 Southern 21 CI INStpa COMlly, ODD 0 0 DO 50 0 0 0 Inc The 21 0 Metre 0 0 0 0 0 0 0 50 0 0 0 Trust sole shareholder of Southern Trust Company, Inc rytanee, D 2 jeffreY 0 ❑0 ❑D E E. 0 C -_ 0 0 LLC;Sole UBO at Epstein Southern TOM Company, Inc mach owns 50% of account holder: _ 5 0 0 Dairen lndyke 0 0 0 0 2 0 0 - 0 0 9Pnertanee, LLC; GrantoilTrustee of The Pierre Trust:Sole Grantor/UOD of Caroline the Pierre Trust 6 0 2 s°Pme 0 o a 2 • 0 El 0 0 much owns Camille of the accoLnt % Lang hokleqefrytanee, LIG:Saba to The Pierre Trust; Trustee:For The Pierre Tr SDNY_GM_00037487 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000311 EFTA_00148099 EFTA01252924  KYC Print Page 3 of 16 rrr re r m ete can ant O tterytanee, LIG:Managing Member of prytanee; ONFIDENTIAL SDNY_GM_00037488 CONFIDENTIAL- PURSUANT TO FED. R. t DB-SONY-0000312 I https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00 I 48 I 00 EFTA01252925  KYC Print Page 4 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all partes) IncWkluall Name: Jeffrey Epstein - Date of Bath: 1/20/1953 Country of Residence: Virgin Islands, U.S. Country of Ofitenship: United States Has client resided outside of Little Saint James Saint Thomas VI 00802 United States Ns/her country of nationality for O yalcd No Address of primary residence: 5 yews or more? Profession/Occupation: Self Empolyed Tax ID/ MN: Current Employer: Southern Financial LLC Positionrfitle/Rank: President Address of employer: 6100 Red Hook Quarter 63 St. Thomas VI United States 00802 Does the person work as seder executive of a 06-recognized regulated entity in the finanoal nOjstry? or am entity fisted on a DB-recognised exchange? (Not applicable for operating entitles O Yes 2 No Is the Individual a Politically Exposed Person (PEP)7(e Yes. derabe) Mr Epstein maintains a close 121Yes O No relationship with Bill Clinton and Prince Andrew, Duke of York (United Kingdom). To the best d your lerowledge, iS the individual related to an employee of the DB group?(/FsmalY O FarNly O Friendship RI None 0e Avendthip, *Kite) To the bat of your knowledge, a the individual parry to a non-tiankkig relationship with Deutsche r-i Bank (e.g., external legal counsel, dent referral source, suppler of goods or services)7(1 L_I Yes 0 No YeOrscribe1 Indicate where and when the dent meetIng(s) took place: It applicable, indicate which bank officers have met the person: Olent Private Gent Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O O O • O O O O O Wealth Details for this indNIdual are not Med In, because they we the same as for the fotoWng person: 38. Wealth Details (Only for parties requiring source of wealth &sea:than as indicated in Section 2) Nature of the Individual's Business: Private Investments Primary Country d source of wealtNsoorce of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Insitutians Summarize Source of Wealth: 121Business Owner O Salary/Earnings 12 Investment O Inheritance/Gifts O Other: Further Desaibe Source of Wealth /Dead the history of wealth for each of the sources: (e.g. For trusts, how did senior accienulate wealth? For Inhetance, how did family &cumulate wealtlinet business owners, how long in brffiness, how many employees, level of profitability? Indicate type of badness, countries of meet activities, Important business partners.) Epstein began his financial career In 1976 as an options trader at Bear Stearns and became a partner in 1980. In 1982, Epstein founded Ns own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion In net worth. In 1996, Epstein changed the name of Ns Mn to The Financial Trust Company and based it on the Island of St. Thomas in the US Virgin Islands. All of his dents were anonymous except for the very wealthy businessman Leslie Wexner. His wealth hascane from Ns clays at Bear Stearns and his financial management firms. Personal account bdance - S4million. Financial Trust Company later merged into Southern Financial LLC. Refer last approved KYC cases 01898372 for full SOW verificaton of Jeffrey Epstein. Estimated Annual Incane(S): 10,000,000.00 Estimated amount of Investable assers(5): 550 HM - 100 MM Estimated Net Wath(5): $500 MM + An of assets planned to Invest with PWM(S): Other Known Financial Insitutans: Institution: Country: Est. Assets Under Mgt MOM= Country: Est. Assets Under Mgt Instituttn: Country: Est. Assets Under Mgt SDNY_GM_00037489 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000313 EFTA_00148101 EFTA01252926  KYC Print Page 5 of 16 Please Indicate the family Situation of the indv4ual (mental stabs, Othei family members, etc.): I SDNY_GM_00037490 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000314 EFTA_00148102 EFTA01252927  KY(' Print Page 6 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all pal es) Incleekluall Name: Darren Indo , Date of Both: Country of Residence: United Rates Country of Citizenship: United State Has ellen resided outside of Addressor primary residence: 2 Kean Court LNIngston NJ 07039 United Rates Ns/her ccountryanationaty for O Yes WINO 5 years or more? Profession/Occupation: Lawyer Tax ID / SSN: Current Employe: Southern Financial LLC Posltlon/Tele/Rank: Lawyer Address of employer: 575 Ledngton Ave, 4th Pi Uyingston NY United Rates 10022 Does the person work as senior executive of a DB-recognized regulated enoty in the Mandel nclustry? or al entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes 2 No Is the individual a Politically Exposed Person (PEP)7(fYes diacwbe) • Yes @No To the best cf your knowledge, is the individual related to an employee of the DB group?9, dmifY O Family O Friendship @None defame/Ng cleambe) To the best a your knowledge, is the individual patty to a non-ba*kig relationship with Deutsche r-i Bank (e.g., aerial legal censer, dent referral source, suppler of goods or servicespr7 L_I Yes 0 No YeOrscribe1 Indicate where and when the dens meeting(s) took place: It applicable, Indicate which bank offices have met the person: Client Private Gent Place of ( Bank Officer Name(s) Bank Office: Other Location specify): Date: Domicile: Business: stewart Meted E li O O 12/23/2016 O • O O O O DMath Details for this indeldual are not Med in, because they we the same as for the (Mowing peson: 36. Wealth Details (Only for parbes requiring source of wean, descrotion as Indicated in Section 2) Native 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: O Business Owner O Salary/Earnings O Investment O Inhentancelats O Other: Further Des to Source of Wealth /Detail the hatory of wealth for each of the sources: (e.g. For trusts, how did senior accwnulate wealth? For kthentame, how did family accumulate wealth?For business owners, how long In business, how many employees, level of prentability? Indicate type of business, countries of ma)or activities, important business partners.) Estimated Annual inarme(s): Estimated amount of investable assets(s): Estimated Net Worth(S): Amain of assets planned to invest with PW74(S): Other Known Financial InsttuDans: Institution: Lowey: Est. Assets Under Mgt Institution: Lowey: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt Please Indicate the family situation of the inceriOual (marital status, other family members, etc.): SDNY_GM_00037491 CONFIDENTIAL - PURSUANT TO FED. R. Ile I O)NFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.integration?lid=0IN30000000D9Di&e... 7/11/2019 DB-SONY-0000315 EFTA_00148103 EFTA01252928  KYC Print Page 7 of 16 SDNYGM00037492 CONFIDENTIAL- PURSUANT TO FED. R. IA I - ONFIDENTIAL DB-SONY-0000316 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148104 EFTA01252929  KYC Print Page 8 of 16 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Caroline Sophie Cantle Lang - Date of Earth: Country of Residence: France Country of Otizership: France Has client resided outside of Address of primary residence: 3 Rue Du Meta Colombia Paris 75006 France Ns/her country of nationality for O yes WIN0 5 years or more? Profession/Occupation: Contemporary Art Tax ID/ SSN: Current Employer: SothSys Position/Tele/Rank: Chakman Address of employer: 2, Rue Frames-May Geneva Switzerland 1209 Does the person work as senior executive of a CO-recognized regulated entity in the financial nclustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes 2No Is the individual a Politically Exposed Person (PEP)?Of Yes, desnibe) • Yes @No To the best of your knowledge, is the individual related to an employee of the DB group?9, dmifY O FarNly O Friendship @Nem oe Mends,* descabe) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche n Bank (e.g., external legal cense, dent referral source, suppler of goods or servicespOT t_i Yes 0 No YeOcscribe1 Indicate where and when the client meeting(s) took place: It applicable, indicate which bank offices have met the person: Olen Private Gent Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O O O • O O O O O Wealth Details for this indnidual are not feted In, because they are the same as for the fotoWng person: 36. Wealth Details (Only for parties requiring son of swath desorption as Indicated In Section 2) Caroline Lang recognised for her indepth knowledge al art market & expertise in Impressionist, Matte of the Individual's Busness: Modern & Contemporary art Primary Country of source of wealth/source of Funds? Switzerland Primary Industry or source of Wealth/Source of Funds? Payment Processors / multilevel marketing convenes Summarize Source of Wealth: O Business Omer 2 Salary/Earangs 12 Investment O Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler( accumulate wealth? For Inheritance, how did family accumulate wealth?For busbies owners, how long In burness, how many employees, level of profitability? Indicate Wee of budgies% countries of major activities, Important Daftness partners.) The source of wealth for Caroline Lang delves from her employment as Chairman d Sotheby's Switzerland. Caroline Lang Is Wernatkinally recognized rot her In-depth knomiedge of the at market and her longstanding expertise In Impresdonist, Modern and Contemporary art. Appointed Chairman of the Swiss Department of Impressionist, Modern & Contemporary M In 2012, this consummate pohrotot has achised some of the most important collectors In Switzerland and worldwide. In November 2011, she played a decisive role in the New York sale of Abstracton-Figuration, an exceptional await collection of abstract works by Gerhard Richter and Max Ernst which realized a world auction record for a work by Richter at the time. Caroline Lang has also conducted major marathon auctions In SvAlierland, the UK and Germany, Induding the historic week-long sales of works of art from Monrepos Castle In Ludwigsburg in 2000 and the Royal House of Hanover in 2005. Ms Lang also serves as an executive for Warner Brothers Inc,.Her annual Income is approx. 450k. Estimated Annual Inarme($): 950,000.00 Estimated amount of investable assets(5): SI NM - 2 MM Estimated Net Wctd1($): $1 MM - 2 MM Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt SDNY_GM_00037493 CONFIDENTIAL - PURSUANT TO IA I FED. R. ONFIDENTIAL DB-SONY-0000317 h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148105 EFTA01252930  KYC Print Page 9 of 16 Institution: Country: Est. Assets Under Mot: Please Indicate the family situation of the incividual (mental status, other family meters, etc.): SDNY_GM_00037494 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000318 EFTA_00148106 EFTA01252931  KYC Print Page 10 of 16 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownershlo Summa 3A. Individual Details (for all parties) Indvaduall Name: Etlenne Pierre Jean Binant - Date of Birth: Country of Residence: France Country of Othenship: France lias die n resided outside of 60 Avenue Montagne Paris 75008 France Ns/her country of nationality for O ye 2 No Address of primary residence: 5 years or more? ProfessIon/Oo:upation: Finance Tax ID / SSN: Current Employer: Prytanee LLC Position/Tele/Rank: Manager Address of employer: 6100 Red Hook Quarter 83 St Thomas VI United States 00802 Does the person work as senior executive of a DIS-recogntited regulated entity in the flnanoal nclistry? or an entity iste on a DB-recognised exchange? (Not applicable for operating entitles Oyes 2 No Is the IndhAdual a Politkally Exposed Person (PEP)7(fYes &sate) • yes 2INo To the best of your knowledge, 8 the individual related to an employee of the DB grOup?(d, dmifY O Family O Friendshp 2 None orfinendshryz clescabe) To the bat of your knowledge, is the indNidual party to a non-barikkig relationship with Deutsche n Bank (e.g., external legal couisel, oWnt referral source, supplier of goods or services)W L_I Yes 0 No YeOcscribc 1 Indicate where and when the dent meeting(s) took It applicable, indicate %filch bank officers have met the person: Client Private Oent Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O O O • O O O O O Wealth Details for this indNidual are not feted in, because they we the same as for the fotoWng person: 36. Wealth Details (Only for parties requiring source of wealth desorption as indicated in Section 2) Natwe of the Individual's Bueness: Primary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Omer O SalaryfEarNngs O Investment O InhentanceiGats O Other: Further Describe Source of Wealth /Detail the history or wealth re each of the sources: (e.g. For trusts, how did senior accwnulate wealth? For kthentance, how did family accumulate wealth?For butanes owners, how long In Dueness, how many employees, level of profitability? Indicate type of Dueness, countries of ma)or activities, important business partners.) Estimated Annual Inarme(5): Estimated amount of investable assets(s): Estimated Net Worth(5): Amount of assets planned to invest with PW74(5): Other Known Financial Institutens: Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt Please Indicate the family situation of the incividual (marital status, other family members, etc.): SDNY_GM_00037495 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.integration?lid=0IN30000000D9Di&e... DB-SONY-0000319 7/11/2019 EFTA_00148107 EFTA01252932  KYC l'rint Page II of 16 One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Prytanee, LLC - 00000550668 O Ecundation/Assodaban O Trust 2 Company O Waite Iii Prorate Investment O Type of Entity: Purpose of Entity: • Partnership Philanthr c/Chantatte OCommercial LLC Purpose of Entity Other Type of Entity Other (specify): ISPecthr): Country of Virgin Islands, U.S. Date of Incorporation / 7/22/2016 ecorporation/registration: registration: Identified on Customer Profile No Volcker Status: Volcker Hag: Address (city, street, post 6100 Red Hook Quarter 63 St Thomas VI 00802 United States U.S. TIN/EIN: code): Provide a description of the entity's organizabanal structure, its ownership structure and Its Top Management. For trusts/fouoJabans, include information about revocabilMtsettior and beneficiaries,etc: This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Campine Lang Is the grantor. Etienne Went is the manager of the company. Jeffrey and Caroline share the same affinity fa at and deckled to become partners Investing in artwork from up and caning artists together. They both invest equally al the purchases of the artwork. The signatories on Mis account will be: Jeffrey Epstein Darren Indyke Car ne Lang ptienne Binant Please indicate how ownership of the legal entity is reflected: LLC Agreement 0 Special attention: Bearer Shares - Indicate where shares we custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons,. This entity is owned 5050 by Southern Trust Company Inc owned by Jeffrey Epstein and The Metre Trust In which Gamine Lang Is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and deeded to become partners investing in artwork horn up and caning artists together. They both invest equally n the purchases of the atwork. To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e9. external legal counsel, client referral source, supplier of goods or services)?: Yes El No WI Describe Nature of Entity's Primary Business and Investment Activities Engaging in the acquisitkin, ownership and management of artwork for investment Nooses. Matte of the tautness: Artwork and cash to purchase the artwork are the only assets. Countries where business Is transacted: Virgin Islands, U.S. Number of empoyees: 3+ 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Gantry of source of wealth/source of Funds? United States Primary Industry of source of Wealth/Source of Funds? High Rick Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet a eq halent summary of assersilabiltes): The source of wealth for this entity primarily comes from Jeffrey Epstein and Caroline Lane. Please revert to that incliWdual sources of wealth fa more debts. Estimated gross receipts p.a.(6): 1,000,000.00 Estimated net profit pa. (6): 1,000,000.00 Estimated investable assets (S): S1 MM - 2 MM Potential Amount to be Invested with KUM (0: Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt Institution: County: Est. Assets Under Mgt Institution: County: Est. Assets Under Mgt SDNY_GM_00037490 CONFIDENTIAL - PURSUANT TO IA I FED. R. ONFIDENTIAL DB-SONY-0000320 h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148108 EFTA01252933  KYC Print Page 12 of 16 One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary K. Legal Entity Details (For all Legal Enntics) Legal Entity Name: Southern Trust Company, Inc. - 00000983583 Type of Entity: O Foundation/Assodation O Trust 2 Company O Estate Purpose of Entity: 2 Private Investment O O Partnership