EFTA01368141.pdf

USA CDD US Primary Business Function Please select the US Primary Business Function Private investment vehicle Qualified Institutional Buyer Is the client a Qualified Institutional Buyer ? No UBO Requirements Is the pension fund ERISAm_alified ?If it is ERISA qualified then there are no UBOmuirements No Is the entity a foreign bank or a level III FFI ? No USA Patriot Act Requirements Is the client a non-US bank ? No Has the Disclosure Document be sent to client Yes Date Sent 20141126 Addressee Physical CIP Mail sent Has the Disclosure Document be sent to client "This is onjxSpplicable to foreign banks No RDC Has RDC saeening been done ? Yes RDC Check Status Not Alerted Do_you want to perform RDC for additional parties Yes Related Party RDC RDC Check Status Legal Name Relationship to CP Alerted, Non-AFC Jeffrey Edward Epstein Ultimate Beneficial Owner RDCAlertlist • if true, page Is Alert not RDCEventCategorlesRDCCheckStatustri EventCategoryRDCLegalNameSubCategoryinvolved PorttolloFlagFIrmNo RDCSubEventCategories In database operations AST.CON,PRJ,FRD, IMRIPROBS,ORG, Made& Non-AFC SEX.TAXTFT Jeffrey Epstein Edward true M CC,APL,CHG,CVT.IND, LE,PRBAJT.SET,TRL Page 14 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059802 CONFIDENTIAL SDNY_GM_00205986 EFTA01368141