EFTA01298891.pdf

KYC Print Page I of 23 DB PWM GLOBAL 1O(C/NCA PART A KYC Case it 01977699 Status 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP. 00000483290 Booking Center: New York Relationship Manager: Stewart Ocilla 0 New PWM Relationship ii6. Existing FWM Relationship Relationship to FWM: If existing, please indicate since when the relationship exists. provide reason for new profile and attach od profile: • • • 2018 Periodic Review ' • • Last Approved KYC N - J. Epstein Virgin Islands Foundation Inc - 1700855; Hyperion Air LLC - 1790820. Client Referral 0 RM Prospect 0 Intermediary/AM 0 Other Source (08, etc.) How Was the Oient(s) Introduced? How long has the RM personally Reese provide details (e g. name of referral source, how many years RM personally has known dint, known the dent? etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this relationship. Does Deutsche Bank pay 0 Yes IW.' No a retrocession or smiler compensation to a third party for the introduction Of Yes. describe): of this relationship? List al existing and new accounts involved in this relationship Legal Entity Account Name! Number Opening Dale (intended,actuto Account(s) 1 R J. Epstein Virgin Islands Foundation Inc - N4G024950 - DBSI-N40024950 9)30/2013 2 R Hyperion Air LLC - - ODA- 10/18/2013 Who is the primary contact person for the Preferred method of RM? (Note: This person Darren K. Indyke contact(indiate phone (212) 971.1314 needs to have signatory no.. fax no.. e-mail rights and/or information address. etc.): right for the accounts.): SDNY_GM_00064276 https://dbforcepb.my.salesforce.enThIEN IDEN N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRaltint TI A L DB-SDNY-0027101 EFTA_00174782 EFTA01298891  KYC Print Page 2 of 23 One sheet must be established for each account to be opened 2. Account Ownership Summary Accdun: ':re J Epstein Virgin Islands Foundation Inc • Acct. Numbe' Of OBSI available) Account Manager: Stewart Oldfield 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 manage the foundation's securities and trade investments. Indicate from where the assets are expected to arrive? Et DB Group: Same Bookng Center (indicate account number): Existing 0 DB Group: Other Booking Center (indicate DB location and account details): • Other Institution — (Indicate name & location): 0 Physical Deposits (specify ash, securities, cheques, ...): What is the expected see and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?. 0-5/month; 5100 - $50K Whet is the expected volume of assets and currency for the 300.000 'Currency I USD account approx. 90 days after opening? What is the expected volume of assets and currency for the 300.000 'Currency I USD account approx. one year after opening? Does/will the dient have Assets Under management (AuM) 0 yes E71No within DB under Eur. 3M? Please flat all parties Sated to the account. For each party. • Check if a source of wealth description is req fired for the party. • Caeca the approp ate box to describe the re ationshlp of the party to this account (> I can be selected). • If none of the check boxes apply, describe the part 's relation to the account in the "Other column. • Alway describe t e relationship between th parties in the last column. • Please dril down to the ultimate/un tidying Beneficial Owner(s . _egal sorption Account *IC Settlor of Jitimate Signatory -muted Financial Significant Entity of Source Holder Owner Trust / Senefidal n Full >OA ntermediary Shareholder of Wealth ;Gunder of Owner *OA (FIM) >=25%) Other (please -equired r oundation Von-PIC lescribe other entity roles and/or indicate ndicate :Inns related to ewnership "dationship his account %) )etween parties) J. Epstein Virgin i Ea w• ,4 Wands RI ❑ • 0 r - 0 D Foundation, Inc 2 0 • Darren K Indyke • 0 • J • • Founder; Sole 3 0 2 Jeffrey E. Epstein 0 0 2 El W Cl 0 member, Prima•, pedsion Maker 4 0 0 Enke Kellerhals • El 0 0 0 0 0 Secretary 8 Treasurer; Trading Authorization 0 0 0 0 0 Limited to 5 0 0 Paul S. Barrett E Rirchases It Sales of Securities: SDNY_GM_00064277 littps://dborepb.my.salsforce.PIN lerleNoTIML130000000D9M8c... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.'enertir l DB-SDNY-0027102 EF1'A_00174783 EFTA01298892  KYC Print Page 3 of 23 SDNY_GM_00064278 Imps://dbforepb.my.salsforce.enTher leppENTIONLI30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRINIAst i DB-SDNY-0027103 EFTA_00174784 EFTA01298893  KYC Print Page 4 of 23 2. Account Ownership Summary Met. Number (if Account Name. Hyperion Air LIC • • ODA available): Account Manager Stewart Oldfietd What is the purpose of the account (e.g. portfolio management, advisory account, custody services. long-term investment. payment/ expense account)? The purpose of the account Is to manage the monthly expenses of the company. Indicate from where the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number): Existing D DB Group: Other Booking Center (indicate DB location and account details): 0 other Institution — (Indicate name & location): El Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (radiate estimated number and volume per month)? 0•4/month: COO • S 150K What is the expected volume of assets and currency for the 147203.75 I Currency I USD account approx. 90 days after opening? What Is the expected volume of assets and currency for the 147.203.75 I Currency I USD account approx one year after opening? Does/will the client have Assets Under Management (AuM) 0 Yes El No within DB under Eur 3M? Please 1St all parties related to the account. For each party: • Chad( if a source of wealth description is required for the party. • Check the approp late box to describe the relationship of the party to this account (> I can be selected) • If none or the check boxes apply, describe the part 's relation to the account in the "Other' column • Atmay describe t e relationship between the partie in the last column. • Please drill down to the ultimate/underlying Genetical Owner(s). .egal Description Account >1C Settler of Janata Signatory _imtted Financial Significant Entity of Source Holder Owner Trust / Beneficial or Full POA ntermediary Shareholder of Wealth rounder of Owner 20A ,FIM) o • 25%) Other (please required r oundation qon•PIC iescribe other Way oles andior indicate nchcate %nits related to ownership 'elationship his account %) 2etween parties) l '4 61 Hyperion Air, LLC 2 Sole Member: 2 0 EZ Jeffrey E. Epstein • 0 0 g g 0 0 Primary Decision Maker: 3 0 • Darren K lndyke • El • • E • in Harry Boller F] D 0 0 M 0 0 Lawrence Pau! i I IdIsotJo if -1 Fl .n . F. E 11 Manager. SDNY_GM_00064279 https://dbforcepb.my.salesforce.cPf4 le etTI 0L130000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.tRatt A DB-SDNY-0027104 EFTA_00174785 EFTA01298894  KYC Print Page 5 of 23 One sheet must be established for EACH INDIVIDUAL PARTY hi Section 2. Account OwnenhlD Summa 3A. Individual Details (for all p nos) Individual's Name: .,efloy E Epstein-- Dale of Birth: 1/20/1953 Country of Residence Vrgin Islands. U S. Country of Otizenship: United States Has client resided outside Little Saint James Saint Thomas 00802 Virgin Islands, of his/her country of Address of primary U.S. nationality for 5 years or 2 No residence: more? Profession/Occupation: Pr Self Empolyed Tax ID 1 SSN: Current Employer. Southern Trust Company Inc Position/Title/Rank: President Address of employer: 8100 Red Hook Quarter B3 St. Thomas lifirgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not Il Yes 2 No a oplicable for operating entities s the individual a Politically Exposed Person (PEP)7(if Yes. describe) WI Yes 0 No Connection with Prince Andrew and Bill Linton To the best of your knowledge, is the individual related to an employee of the DB :CI:Family al Friendship lia None groupWif Family or Friendship. describe) N/A 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 0 Yes ..4 No source, supplier of goods or services)?(f Yeedesaibe ) N/A if applicable, indicate which bank officers have met Indicate whe e and when the client meeting(s) took place :ne person.. Giant Oient Place Bank Officer Name(s) Bank Office Private Other Location (specify) Date of Business: Domicile: Stewart Oldbeld 0 iii 6 28201? 0 0 0 0 0 0 • Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Deltas (Only for parties requiring source of wealth description as indicated In Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of High Risk Financial Institutions Funds? Summarize Source of Wealth: . Butiness Owner 0 Salary/Earnings 12 Investment •Inheritance :: "--, 0 Other: Further Desaibe 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 business owners, how long in business, how many employees, level o' SDNY_GM_00064280 https://dbforcepb.my.salesforce.enTher N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.15Rar l -YENTI A L DB-SDNY-0027105 EFTA_00174786 EFTA01298895  KYC Print Page 6 of 23 profitability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender in the United States He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein 8 Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was awn of Alan C. Greenberg, chairman of Bear Stearns n 1978, Epstein started work as an options trader at Bear Stearns where he worked in the speaal products division. advising high-net- worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns n 1982. Epstein founded his own financial management firm, J. Epstein It Co.. managing the assets of clients with more than $1 billion in net worth. In 1987, Leslie Wexner, founder and Mailman of Ohlo-based The Limited chain of women's clothing stores became a well-known client. Wexner acquired Abercrombie 8 Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas in the U.S. Virgin Islands. n 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, Investor Nelson Peltz, media mogul and publisher Mortimer Zudorman, who had the New York Daily News. and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wa I Street Investor, who paid $55 million. n 2004. Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Meer Roshan. Epstein and Zuckerman were equal partners I the venture. Roshan. as Its editor-In-chief, retained a small ownership stake. 'recently, Mr. Epstein founded Southern Trust Comps y Inc, a private consulting company that invests the assets of their clients and gets thee revenue from th return of these investmen s. Southern Trust invests in different portfolios catered to their clients and makes t new revenue based on the returns and the fees associated with managing their client's assets Estimated Annual Income 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM $1 Estimated Net Worth($): $500 MM Amount of assets planned to Invest with PWM(S): 2,300,000.00 Other Know Financial Institutions: nstitution: Country: Est Assets Under Mgt: nstitution: Country: Est Assets Under Mgt - nstitution: Country: Est Assets Under Mgt. Please indicate the family situation of the individual (marital status, other family members. etc.): N/A SDNY_GM_00064281 Imps://dbforepb.my.salsforce.caThet lerVENTIAL130000000D9Ditz... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRINIMI DB-SDNY-0027106 EF1'A_00174787 EFTA01298896  KYC Print Page 7 of 23 One sheet must be established for EACH INDIVIDUAL PARTY In Section L AccountOwnershln Summa 3A. Individual Details (for all parties) Individual's Name: Darren K I ndyke - Date of Seth: 2/19/1965 Country of Residence Jnied Dates Country of Otizenship: United States Has client resided outside of his/her country of Address of primary nationality for 5 years or O yes ONO residence: more? Professon/ Occupation: Accountant Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank: Accountant Address of employer: 16100 Red Hook Quarter B3 St Thomas Virgin Islands. U.S. 00802 Does the person work as senior executive of a 0R -recognized regulated entity in the financial Industry? or an entity listed on a DB-recognised exchange? (Not O yes EZ No a °shamble for operating entities Is the individual a Politically Exposed Person (PEP)7(i( Yes, describe) NIA Oyes Ri No To the best of your knowledge, is the individual related to an employee of the DB ii Family El Friendship Ea None groupWi( Family or Friendship, describe) N/A To the best of your knowledge, lathe individual party to a non-banking relationship with Deutsche Bank (e.g.. external legal counsel. client referral yes ®No source, supplier of goods or services)?fi( YeAdescribs ) NIA ir applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: :ne person: Client Client Place Bank Officer Name(s) Bank Office Private Other Location (specify) Date of Business: Domicile: Stewart Oldfield 12/12/2016 ❑ ❑ ❑ O i._.:Wealth Details for this individual are not filled in, because they are the same as for the following person 3B. Wealth Details (Only for parties requiring source of wealth desaiptton as ',Mica:ad in Section 2) Nature of the Individuals Business FYImary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds? O Bur:di:lessOwner ill Salary/Earnings O Investment O Inheritance/Gifts Summarize Source of Wealth: O Other: SDNY_GM_00064282 Imps://dbforcepb.my.salesforce.ePIEN le etTI N30000000D9Dite... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.tRalt4t AL DB-SDNY-0027107 EFTA_00174788 EFTA01298897  KYC Print Page 8 of 23 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, h w did family accumulate w alth?For business owners, how long in business, how many employees level c' profitability? Indicate type of business, countries of m jor activities, important business partners.) Estimated Annual Income Estimated amount of investable assets(S): .5) Estimated Net Worth(S): Amount of assets planned to invest with PWM(S) Other Known Financial Institutions: instkution: Country Est Assets Under Mgt I nstkutlOn: 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_00064283 littps://dbforcepb.my.salesforce.caThet l eppENoTtAt30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VIRINISti DB-SDNY-0027108 EF1'A_00174789 EFTA01298898  KYC Print Page 9 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section L AccountOwnetshl 3A. Individual Details (for all p rues) Individual's Name: Erika Ke: ernals - Date of Birth: 10/13/1974 Country of Residence Wpm Islands U S Country of Otizenship: United States Ras client resided outside of hislher country of Aodress of primary residence: nationality for 5 years or Elves 10 No more? Profession/Occupation. Attorney Tax ID / SSN: Current Employer: Kellerhals Ferguson Kroblin PLLC Position/Title/Rank: Attorney Address of employer: 9100 Port of Sale Mall, Ste 15 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DB-recognised exchange? (Not 19 Yes 66 No applicable for operating entities is the individual a Politically Exposed Person (PEP)7(i/Yes, describe) N/A U Yes RI No To the best of your knowledge, is the individual related to an employee of the DB ii Family a Friendship ga None group?(I/ Family or Friendship. describe ) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dient referral O Yes ..4 No source, supplier of goods or services)?(if YeAdescribe ) N/A it applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place' :ne person: Client Client Place Bank Officer Name(s) Bank Office: Private Other Location (specify) Date. of Business: Domicile: D • • O O O O • i._.:Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 21 Nature of the Individuals Business. Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? ll.] Busness Owner I Salary/Earnings O Investment [II Inheritance/Gifts Summarize Source of Wealth: D Other: SDNY_GM_00064284 Imps://dbforcepb.my.salesforce.caTher N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. RIBRair leFENTI A L DB-SDNY-0027109 EFTA_00174790 EFTA01298899  KYC Print Page 10 of 23 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inherkance, h w did family accumulate wealth?For business owners, how long in business, how many employees level c' profitability? Indicate type of business, countries of m jor activities, important business partners.) Estimated Mnual Income Estimated amount of investable asset&S): .5) Estimated Net Worth(S): Amount of assets planned to invest with PWM(S) Other Known Financial Institutions: Institution: Country Est Assets Under Mgt Instautlon: 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_00064285 Imps://dbforcepb.my.salesforce.caThet N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRINIM II2PENTI A L DB-SDNY-0027110 EFFA_00174791 EFTA01298900  KYC Print Page 11 of 23 One sheet must be established for EACH INDIVIDUAL PARTY hi Section 2. Account Ownership Summary 3A Individual Details (for all p rises) Individuals Name: Harry Bever - Date of Bath: 5/9/1956 Country of Residence: United States Country of Otizenship: United States Has client resided outside of hisrher country of Address of primary nationality for 5 years or O Yes Olio residence: more? Profession/Occupation. Accountant Tax ID I UN: Current Ern player: MIRK Associates Inc Position/Title/Rank: Accountant Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY United States 10022 Does the person work as senior executive of a 08-recognized regulated entity in the financial industry? or a entity listed on a 08-recognised exchange? (Not IM Yes E6 No applicable for operating ent ies is the individual a Politically Exposed Person (F£P)7(if Yes, describe) NIA O Yes RI No To the best of your knowledge, is the individual related to an employee of the DB ii Family Illi Friendship ga None groupWil Family or Friends/70. describe) N/A To the best of your knowledge, is the individual party to a non-banking rc El Yes ...I No relationship with Deutsche Bank (e.g.. external legal counsel. client referral source. supplier of goods or services)?(f Yeedescribe ) WA ir applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place. Vfle person: Client Client Flea Bank Officer Name(s) Bank Office: Private Other Location (specify) Date of Business: Domicile: O O ii O O O O O • L.:Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature of the Individuals Business Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summaree Source of Wealth: B. s n ess 0 e, ^ 11Salary/Earnings O Investment O inherit a n ce / Gft s __..i Other. SDNY_GM_00064286 littps://dbforcepb.my.salesforce.enTher leppENoTlift130000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRIWitir DB-SDNY-0027111 EF1'A_00174792 EFTA01298901  KYC Print Page 12 of 23 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inherkance, h w did family accumulate w alth?For business owners, how long in business, how many employees level c• profitability? Indicate type of business. countries of m jor activities, important business partners.) Estimated Amual 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 institution: Country: Est Assets Under Mgt: institution: Country: Est Assets Under Mgt: Mean indicate the family situation of the individual (marital status. other family members, etc.): SDNY GM_00064287 Imps://dbforcepb.my.salesforce.caTher lerpENTIONLI30000000D9Di&-... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VARtenr DB-SDNY-0027112 EFTA_00174793 EFTA01298902  KYC Print Page 13 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. AccountOwnership Summar 3A Individual Details (for all parties) Individual's Name: Paul S. Barrett - Date of Beth: 3/9/1974 Country of Residence; United States Country of Otizenship: United States Has client resided outside of hisrher country of Address of primary nationality for 5 years or Oyes 10 No residence: more? Profession/Occupation. Investment Advisor Tax ID 1 SSN: Current Ern Moyer: J.P. Morgan Securities LLC Position/Title/Rank: Investment Advisor Address of employer: 277 Park Ave New York NY United States 10172 Does the person work as senior executive of a DB-recognized regulated entity in tne financial industry? or a entity listed on a DB-recognised exchange? (Not III Yes 1-2 No applicable for operating entities I g the individual a Politically Exposed Person (FEP)flif Yes. describe) N/A U Yes RI No To the best of your knowledge, is the individual related to an employee of the DB ii Family Illi Friendship Eia None groupWif Family or Friends/70. describe) N/A 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 0 Yes .4 No source, supplier of goods or services)?(if Yesiescribe ) N/A :' applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place. yne person: Giant Giant Place Bank Officer Name(s) Bank Office Private Other Location (specify) Date of Business: Domicile: D El ii 0 0 0 • • i_i Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature of the Individuals Business Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: 0 Bueness Owner ❑ Salary/Earnings 0 Investment 0 I nheritance/Gfts 0 Other: SDNY_GM_00064288 Imps://dbforcepb.my.salesforce.cagN N30000000D9Di8c... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRiffrie leetTI A L DB-SDNY-0027113 EF1'A_00174794 EFTA01298903  KYC Print Page 14 of 23 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, h w did family accumulate w alth?For business owners, how long in business, how many employees level c' profitability? Indicate type of business. countries of m jor activities, important business partners.) Estimated Annual Income Esti