EFTA00168996.pdf

KYC Print Page 1 of 41 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case N : 01977698 Status : I. 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 Yak Relationship Manager: Stewart Oldfleld O New PWM Relationship RI Existing MAI Relationship Relationship to PWM: If existing, please ndicate since when the relationship oats, provide reason for new profile and attach old profile: •*" 2018 Periodic Review *** El Clent Referral O RM Prospect O Intermediary/FIM • Other Source (C1B, etc.) How Was the Clent(s) Introduced? How keg has the Please provide details (e.g. name of referral source, how many years RN personaly ha known dent, etc.): Jeffrey Epstein RN personaly known the reached out to Stew Oldfieki on 3/7/17 to have a new acct opened order this relationship.. client? Last Approved KYC 0 - M. - 1790729: Butterfly Trust - 1804531; Neptune, LLC - 1790739. Does Deutsche Bank pay a O Yes 15. No retrocession or similar compensation to a third party far the introduction of this (If Yes, desatte, relationship? Lst all existing and new accounts involved In this relaaonship Legal Entity Account Name / Number Opening Date (mended/actual) Account(s) 1 • 12/13/2013 2 2 Butterfly Trust - 44130552 - MME14.44130552 1/24/2014 3 2 Neptune LLC . 42953429 . DDA.42953424 10/18/2013 Who Is he primary contact person or the M? (Note: This Preferred method of contact person needs to have M (indicate phone no., fax no., sigretory tights and/or e-mail address, etc.): information right for the accounts.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. l(e) DB-SONY-0000376 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... U§1928i14339 EFTA_000 19249 EFTA00168996  Kl"C Print Page 2 of 4l One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: = Act Number (if avaitatie). Account Manager: Stewart O4fieid What is the purpose of the account (e.g portfolio management, advisory account, custody services, long-term invisbnent, payment/expense account)? This b a checking account for Individuals. They use the funds for daily expenses. Indicate from where the assets are effected to aMve? 2 DB Group: Same Booking Center (indicate account number): Existing ■ DB Group: Other Booking Center (indicate OB location aid account details): Other Institution — (Indicate name & location): • ❑ Physical DepoSts (specify cash, securities, cheques, ...): What is the expected Sze and frequency of regular Inflows and outflows for the accoun (indicate estimated number and volume per month)?: -6/mcoth; SI - S2000 What is the expected volume of asses and currency for the account approx. 90 days 24282.99 I Currency I USD after opening? What is the expected volume of assets and currency for the account approx. one year 24282.99 I Currency I USD after opening? Does/will the client have Assets Under Management (AuM) within CB wider Err. 3M? ❑ Yes 2 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 descrte the relauonship of the patty to this account (> I can be selected). • f none of the check boxes apply, descnbe the party's relation to the account in the Tither" column. • Always desate the relationship between the parties in the last column. • pease drill down to the ultimate/tMerlying Beneficial Owner(s). Legal Discripoon AcoountPlC Settlor of Jlbmate Signator&mreo Financial Significant _egal Grantor/SettiorFoundi tier Entrtyof Source Holder Ownerimst / Beneficolor Full DOA IntermedaryStiareholderttonsentative Donor please of Wealth Founder of Owner POA (FIN) :”25%) ranted FoundaWn Von-PIC roles entity /or Parties (indicate Indicate *elated to ownership elationship this %) n aCCOunt ) ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ a a m■ I a a a a 2 ❑ ❑ ! O ■ ❑ ❑ ❑ ❑ CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000377 UM92814340 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_000 19250 EFTA00168997  KYC Print Page 3 of 41 2. Account Ownership Summary Account Name: Butterfly Trust - 94130552 - MMBA Acct. Number (if evadable): 94130552 Account Manager. Stewart Oldfield What is the purpose of the aocount (e.g. portfolio management, advisory accoLrit, custody senAces, long-term investment, payment/expense account)? This IS a money market deposit account to pay all expenses! disbursements related to the trust. Expenses are taxes, Dust fee, etc Indicate from mere the assets are expected to anlve? 2 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O 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)?: 0 2/month; SO - 51000 What is the expected vokime of assets and currency for the account approx. 90 days after 1709,736.63 I CLrrency I USD opening? What is the expected volume of assets and currency for the account approx. one year after 1709,736.63 I Curren cy I USD opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? °Yes 2 No Please 1St 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 descrte the relationship of the party to the account (> ton be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' column. • Always descrte the relationship between the parties in the last column. • Please drill down to the ultimateftriderlying Beneficial Otrner(s). Legal Desaiption AccountP1C Senior' of Jltimate Signatorydrnitedhnancial RgnIficant _egal Grantor/SettioSoundi her Entrlyof Source Nolder CrimerTrust! 3enefioabr Full POA Intermedaythareholderfaeprisentatne 3onor ,please of Wean. Founder of Saner POA (FIM) (>., 25%) aascnbe mused Foundation Non-P1C other roles entity andfor Parties (indicate nd,cate related to ownership relationship this %) between account names) Butter* 2 trust 2 2 1 O O O O O • • 2 Harry 2 O O ❑ OO O • 9 O O • • • TIIISI44:: Beller Enka O O Kelleals rh I—I '—' O O • O O O • • O Trustee:: 4 o a Jeffrey E. O O 9 • O o o • • O Grantor of Butterfly Epsten Trust; S O O MO OO 5 O O O • • • 6 OO O DO O O O • • • M 7 OO O DO O O O • • O Z 8 OO O O O 2 O O O O O O 9 OO O O O 2 O O O O O O 10 OO O O O M O O O O O O 11 OO O O O 2 O O O O O O 12 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. to) DB-SDNY-0000378 U.g928y4341 https://dbforcepb.rny.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00019251 EFTA00168998  KYC Print Page 4 of 41 O O O O O El O O O O O • 13 O O bar • • • g O O O O O O 14 E J O O O 121 O O O O O • SOO t an"' • N MI ig O OO O O • 16 El 2 O O O O O O O O O • CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000379 UM92814342 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_00019252 EFTA00168999  KYC Print Page 5 of 41 2. Account Ownership Summary Amount Name: Neptune LLC - 42953424 - DDA Acct. Number (if aradaWe). 42953429 Amount Manager. Stewart Oldfleld What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term 'moment, payment expense account)? This k a checking account to pay for all expenses (I.e. electric, maintenance, cable, etc.) on Epstein's NYC home. Indicate from where the assets are expected to aMve? 2 DB Group: Same Booking Center (Indicate account number): hiding • DB Group: Other Booking Center (indicate DB location arid account details): O Other Insotution — (Indicate name & location): O Physical Deposils (specify cash, securities, cheques, ...): What is the expected Sze and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: 15.20/month; $10 - $10000 What Is the expected volume of assets and currency fa the account approx. 90 days after 1207,814.91 I CLerency I USD opening? What Is the expected volume of assets and currency fix the account approx. one year after 1207,814.91 I Currency opening? USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? ario2No Please list all parties related to the account. For each party: • Check if a source of wealth descripbon Is required for the party. • Check the appropriate box to desate the relationship of the patty to the acme-it (> 1 can be selected). • If none of the check boxes apply, describe the patty's relation to the account In the 'Other column. • Always describe the relationship between the polies in the last column. • Please drill down to the ultimatefteidedyng Beneficial Owner(s). Legal Docripoon AccounWIC Settle( of Jlbmate Signatory Limited Financial Significant egal Granta/Settlorfounding• the intrtrof Source Holder Onneffrust/ Beneficialor Ful POA IntermedioyShareholderltexesentative Donor (please of Wealth Founder of Owner POA (Flm) (>=25%) 1escrte requeed Foundation Nan-PIC other roles awry and/or Parties (Indicate ndicate related to ownership relationship this %) Setween BCCOLMIt 'otos) Sole Jeffrey E. O O O Member of 1 O ID Epsten 2 2 O O O O . Neptune LLC: Hatry O O O 2 O O O 2 O O O O • Beller 3 O O Darren K. 0 Indyke 00 0 e o O 0 0 I 4 2 2 Neptune, 2 O O O O O O O O • LLC Manager 5 O O Rkhard n O O O O O O O O • a D. Kahn I—I Yeptune _LC; CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000380 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... / I/192824 343 EFIA_00019253 EFTA00169000  KYC Print Page I of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa 3A. Individual Details (for all parties) indivedual's Name: Date of Bkth: Country of Residence: Umted States I Country of Ottoenship: United States Has client resided outside of his/her country of nationality O Yes ©No Address of primary residence: for S years or more? Profession/Ocorpatka: Tax ID / SSN: Current Employer: N/A Position/Tele/Rank: N/A Address of employer: N/A Does the person work as serer executive of a DBrecogr4zed regulated entity In the flnandal in Dui ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles " YES Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A O Yes O No To the best of your knowledge, Is the Individual related to an employee of the C43 group?(if • Family • Friendship O None Family once-Awash*, describe) N/A To the best of your knowledge, is the kxlividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or Dyes O No seivicm)?Of res,demte) N/A Ind.cate where and when the dent meebng(s) took place: If applicable, indicate wrath bar* officers have met the person: Cent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domkoile: Business: O O • O O El O CI O • Wealth Details for this indMdual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as Irk:laded In Section 2) Nature of the Indlyidual's Susness: Homemaker. Solely reties on Income from her Wit who is a Intenor Designer. Primary Country of source of wealth/source of Funds? United States Primary ndustry of source of Wealth/Source of Funds? Other Summarae Source of Wealth: O Business Owner 2Salary/Earnings O Investment • !Mei-Rance/Gifts 2 Other. Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For Inheritance, how did family accumulate weath?For business ow how Ion Estimated Annual Income($): Estimated amount of investable assets($): <51 MM Estimated Net Worth(S): csl MM Amount of assets planned to invest with PWM($): 20,003.00 Other Known Finanoal Institutices: Institution: Catty: Est. Assets Under Mgt: Insixution: Catty: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-00003S1 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192814344 EFIA_00019254 EFTA00169001  KYC Print Page 7 of 41 I I Insbbition: I Est. Assets Under Mgt: Please indicate the (amity situation of the inclvidual (mantal status, other family members, etc): Marred to Karyna Shute* CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000362 https://dbforcepb.my.salesforce.com/servlethervlet.Integration?lid=01N30000000D9Di&e... II/1928514345 EFIA_00019255 EFTA00169002  KYC Print Page 8 of 41 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 Skth: Country of Residence: Country of Otaenship: Has client resided acme of Address of primary residence: his/her country of nationality O yes la No for 5 years or more? Profession/Ocaipatka: Tax ID / SSN: Current Employer: Position/Tite/Rank: Address of envioyer: Does the person work as senior executive of a DB-reccgNzed regulated entity In the financial i—i yes 2 No ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles " Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes O No To the best of your knowledge, Is the individual related to an employee of the DB group?(if • Family • Friendship 2 None Family once-Awash*, describe) N/A To the best of your knowledge, is the Individual party to a non-bankrig relationship with Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or O Yes 2 No servio)?(if res,clesmbe) N/A Indcate where and viten the client meeong(s) took place: If applicable, indicate wrath bar* officers have met the person: Clent Private Client Place of Bank Officer Name(s) Bank Offxr Other Location (specify): Date: ' Domizile: Business: Stewart Oictield O O 2 6/23/2017 O O • O O O • Wealth Details for this indindual are not flied in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as rioted In Section 2) Nature of the Indwidual's Business: Interior Design Primary Ccunby of source of wealth/source of Funds? United States Primary ndustry of source of Wealth/Source of Funds? Other Summate Source of Wealth: O Business Owner 2 Salary/Eamings O Investment O Inheritance/Gifts O Other: Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ousis, how did senor accumulate wealth? For inheritance, how did family accumulate weath)For business owners, how long In business, how many employees, level of prolitalxity? Indicate type of business, countries of major activities, important busness partners.) Karyna went to school for Interior design and now works as an Interior decorator for )SC Interiors LLC, a currently client of DB (kyc case 01305519). Her annual Income is approximately $15C* with salary, bolus, and commissions. Estimated Annual Income($): 150,000.00 Estimated amount of investable assels($): <51 MM Estimated Net Worth(5): 451 MM Amount of assets planned to invest with PNM($): 2,000.00 Other Known Financial Institutions: Insbtution: Country: Est Assets Under Mgt Insbtution: Country: Est. Assets Under Mgt: Insbtution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000363 UM92814346 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?1id=0I N30000000D9Di&e... EFIA_00019256 EFTA00169003  KYC Print Page 9 of 41 I I I I I Please Indicate the family situation of the individual (mental status, other family ,u.w t.n etc.): = CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000384 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... II/192814347 EFIA_00019257 EFTA00169004  KYC Print Page 10 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Mew:lugs Name: Jeffrey E. Epstein - 03000483289 Date of Bath: 1/20/1953 Country of Residence: Virgin Islands, US. Country of Citizenship: tinted States Has client resided outside of Uthe Saint James Saint Thomas 00802 Virgin Islands, US. his/her country of nationaltty O yes ©No Address of primary residence: for 5 years or more? Profession/Ocapatkn: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Positionifitle/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Wands, US. 00802 Does the person work as sensor executive of a DB-recognized regulated entity in the financial ri 2 Pb ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles " Yes Is the indMdual a Politically Exposed Person (PEP)?(// Yes, *sate) Correction with Prince 2 yes O Pb Andrew and Bill Clinton To the best of your kncmledge, is the individual related to an empkryee of the 08 group?(d O Family Friendship O None MI Family oneriendS4), describe) N/A To the best of your knowledge, is the inclividel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet refetal source, supplier of goods or O Yes O1No servidr)?Of l'es,desmbe) N/A Indcate where and then the dent meeting(s) took place: If applicable, indicate Mich bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domcdle: Business: Stewart Oldfield O O • 128/2017 o o O O CI O O Wealth Details for this individual are not filled In, because they are the same as for the following person: 3B. Wealth Details (Orgy for parties remaring source of wealth description as indicated In Section 2) Nature of the Individual's Business: Pnvate investments Primary Ceundy of source of wealth/source of Funds? United States Primary ndustry of source of Wealth/Source of Funds? High Risk Financial Institutions Summarae Source of Wealth: 2 Business Owner O Salary/Eamings O Investment M INpritance/Gifts O Other: Further Desate Sauce of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor axumulate wealth? For inheritance, how did family accumulate wealth7For business owners, how long in business, how many employer, level of creditability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an Amencan financier and registered sex offender in the United States. He worked at Bear Stearns early In Ns career and then formed his oval firm, J. Epstein & 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 a son of Alan C. Greenberg, charman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Steams kMere he worked in the special products division, advising tagh-net-worth clients on tax strategies. Proving successful in his financial career, ki 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his cam financial management firm, J. Epstein & Co., managing the asses of clients with more than 51 billion n net woo. In 1987, Leslie Wexner, founder and chairman of Ohm-based The Linked chain of women's clothing stores, became a well-known dkent. Wexner acquired Abercrombie & 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 weehiest 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. In 2003, Epsten bid to acquwe New York magazine. Other bidders were advertrsing executive Denny Deutsch, Investor Nelson Peltz, media mogul and publisher Mauler Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately putted by Bnce Wasserstein, a longtime Wag Street investet, vino pan 555 mist. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Mae: Rcshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-In-chief, retained a small ownership stake. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SONY-0000385 UM92814348 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019258 EFTA00169005  KYC Print Page II of 41 Presently, Mr. Epstein founded Southern Trust Company Inc, a private ca-isulting company that invests the assets of their diet and gets thew revenue from the return of these Investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees assodated with managing their diet assets. Estimated Annual kicome($): 10,000,000.00 Estimated amount of Investable assets($): $50 MN - WO MM Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known finandal Institutions: insbtution: Catty: Est. Assets Under Mgt Insbtution: Catty: Est. Assets Under Mgt: Institution: Catty: Est. Assets Under Mgt: Please indicate the family situation of the indvidual (marital status, other family members, etc): WA CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SDNY-0000386 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0I N30000000D9Di&e... /I/192824349 EFIA_00019259 EFTA00169006  KYC Print Page 12 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa 3A. Individual Details (for all panes) indiveual's Name: Harry Beeer Date of Birth: Country of Residence: United States Country of Cetaenship: United States Has client resided outside of his/her country of nationality O Yes la No Address of primary residence: for S years or more? Profession/Ocapatka: Accountant Tax ID / SSN: Current Employer. HBRK Associates, Inc Posteri/Ttle/Rank: Accouvant Address of employer: 575 Lexington Avenue, 4th Roor Money NY United States 10022 Does the person work as senor executive of a DB-reccgritzed regulated entity in the Mandel in yes 2 ndusby? or an entity listed on a DB.reccgrilsed exchange? (Not applicalie for operating entitles I--I Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A El Yes 2 No To the bestial your knowledge, is the Individual related wan employee of the DB group?(if • Family • Friendship O None Family once-Awash*, describe) N/A To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dolt referral source, supplier of goods or Dyes 121 No servio)?(if res,demte) N/A Indcate where and viten the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domapile: Business: O O • O O O O CI O • Wealth Details for this individual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Secdon 2) Nature of the Individual's Busness: Primary Country of source of wealth/source of Funds? Primary ndustry of source of Wealth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Glfts O Other: Further Descrece Source of Wea th /Detail the history of wealth for