EFTA01356682.pdf

KYC Print Page 5 of 43 2. Account Ownership Summary Account Name: Neptune LLC - DDA Acct. Number Ofavailable) 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)? This is 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? R.1 DB Group: Same Booking Center (indicate account number): Existing ,n 2.; DB Group: Other Booking Center (indicate DB location and account details): n Other Institution — (Indicate name & location): I 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)?: 15.20/month; $10 - $10000 What is the expected volume of assets and currency for the account approx. 90 days after 207,814.91 I Currency I U5D opening? What is the expected volume of assets and currency for the account approx. one year after 207,814.91 I Currency I USD opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? U Yes g 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 account (> 1 can be selected). • If 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 drill down to the ultimate/underlying Beneficial Owner(s). _egal Description Account PIC Settlor of Jltimate SignatoryUmited Financial Significant _egal Grantor/SetborFounding Other Enbtyof Source Holder Owner Trust / 3eneficial or Full POA Intermediary Shareholder Representative Donor (please of Wealth Founder of Owner POA (F1M) (>=25%) lescnbe required Foundation Non-PIC other roles entity and/or Parties (indicate ndicate related to ownership 'erationship this %) Jetween account James) Sole Jeffrey 1 :-./ E. 0 0 g WI n 'D • ❑ Member of Neptune Epstein 1.1C; Harry Li 0 Li 2 MI Li Beller U Ed 0 E3 ❑ Darren 0 n ❑ 0 0 • ❑ 3❑ ❑ K. Indyke 1r U 4 2 ,Al LLC Neptune, R 0 0 ❑ 0 0 Manager Richard of 5 • 0 ❑0 • • D. Kahn ❑ Neptune LLC; litips://dbforcepbsny.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&eid=5000e0000 I N... 7/10/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0042673 CONFIDENTIAL SDNY GM_00188857 EFTA01356682