EFTA01282092.pdf

KYC Print Pagel of IS DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01790739 Status : 6. Approved One sheet must be established Der relationshi • list all accounts included in the relationshi 1. Relationship Details Relabonship Name: SOUTHERN FINANCIAL RELATIONSHIP Bcokng Center. New York Relabonship Manager: Stewart Oilfield O New PWM Relationship 0 Exotog PINTI Relaticnship Relabonship to PWM: If existing, please indicate since when the relatiorship exists, provide reason for new profile and attach old profile: •••71"c KYC is a oriole review for high risk remedation*" Original KYCI.346233 2 Client Referral 0 RM Prospect 0 Intermediary/TIM 0 Other Source (CAB, etc.) How Was the Clent(s) Introduced? How long has the RI/ personaly known the Please provide details (e.g. name of referral source, ow many years WI personally has known diem, etc.): Jeffrey fasten dent? reached out to Stew Cildfield an 317/17 to have a new acct opened under Zorro Management LLC and add two new signors to this new acct only. Does Deutsche Bank pay a • Yin I o retroerKsion or similar compensation to a third party for the introduction of this of Yes, cksmbe) relationship? List all existing and new account involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) I Pi America, Ltd 2/18/2015 2 @ Neptune, LLC • Deposit 10/18(2013 3 M NES, LLC • Deposit 11/8/2013 Who is the primary catact person for the RM? (Note: Preferred method of contact this person needs to have Darren lndyke (indicate phone no., fax no., signatcry rights arclict email address, etc.): information right for the accounts.): SDNY_GM_00037371 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000195 EF1'A_00147983 EFTA01282092  KYC Print Page 2 of 18 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Gratitude America, Ltd Arm Number Orevadable? Account Manager: Paul Morns What is the pirpose of the account (e.g. portfolio management, advisory account, custody services, longterm invisiment, payment/expense account)? Money market account to hold funds and earn interest Indicate from where the asses are expected to arrive? RI DB Group: Same Booking Center (indicate account number): • DB Group: ether Bcokrig Center (indicate 013 location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, searitim, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1.3 inflows and outflows per month rangeig from $10,000 to $100,000 What is the expected volume of assets and currency for the account approx. 90 days after 1339,273.79 I Currency I USD opening? What s the expected volume of assets and currency for the account approx. one year after 1320655.00 I Currency I USD opening? Does/will the client have Assets Linder Management (AuM) within DB under Eur. 3M? afinRifto Please list all parties related to the account. For each party: • Check d a source of wealth description is required far the party. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • f none of the check boxes apply, describe the party's relation to the accost in the ",Other" column. • Ahvays describe the relationship between the parties n the last column. • Please drill down to the ultimate/underlying Benefcial Owner(s) .gal Description AcccuntIPIC Settle( of Jltimate SignatorydmitedFinanoal Significant Legs Grantor/SettlorFourdte Other 5%er-1Source Holder OrinerTrust / 3enefcialor Full ?OA IntermedianrShareholder Representative Donor aSease of Wealth Founder of Owner POA (FIND (>'25%) descnbe required =oundation Non-NC other roles entity and/or Parties (Indicate ndicate related to ownership relationship this %) between account Tarbes) Darren 1 O O tads O El D m El O O O O • sole Jeffrey in • D H 2 O El 5 El O O O O member of E. Epstein " k; Gratitude 3 12 El America 5 • D • O O O O O • Ltd SONY_GM_00037372 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... DB-SONY-0000196 7/11/2019 EFTA_00147984 EFTA01282093  KYC Print Page 3 of 18 2. Account Ownership summary Account Name: Neptune, LLC - Depost Acct Number pravailabiel 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)? Checkeig account used for the dady needs of running Jeffrey Epsteits home in NYC Indicate from where the assets are expected to arrive? 2 De Group: Same Booking Center (indicate account number): 0 DB Group: Other Bookie-9 Center (indicate C43 location and account detail): O Other Institution - (Indicate name & location): • Physical Deposits (specify cash, sectritim, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 5,1003 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after 1 147,865.38 Currency I I usd Wig? What is the expected volume of assets and currency for the account approx. one year after 275000 Currency usd Wig? Does/will the client have Assets Under Management (AuM) within DB under Eur. 314? 0 Yes El No Please Ilst 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 accord (> 1can be selected). • f none of the check boxes apply, describe the party's relation to the account in the "Other column. • Always describe the relationship between the pardes e the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s) .gal Description Account PlC Setdor of Jlbmate Signaton, Limited Financial Significant .egal GrantalSetdafounding Other Entity/ Source Wader Ownerfrust/ Benercialx Full POA IntermediarySharehoklerRepresentative D°^104 (please of Wealth Founder • Owner POA (FIN) (>425%) describe squired Foundation Von.PIC other roles entity and/or Parses ;indicate indicate related to ownership relationship this %) between amount pales) sole Jeffrey member of 1 • r di E. O O O 9 M O O O El O Neptune Epsteil Ilc; Neptune, EA O O O O • O O O 2 M rd El isc Darren 3 O O O • O N El O O O O El Indyke Harry O 4 O • Beller O D O El O O O O O SONY_GM_00037373 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB-SONY-0000197 7/11/2019 EFTA_00147985 EFTA01282094  KYC Print Page 4 of 18 2. Account Ownership Summary Account Name: NES, LLC - Deposit Act Number (trovatiodel Account Manager: stewart eidfield What is the purpose of the accotre (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Deposit account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes and earn interest Indicate from where the assets are expected to arrive? 2 08 Group: Same Booking Center (indicate account number): 0 08 Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): • Physical Deposits (specify cash, securitim, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1.3 inflows and outflows per month ranging from $1000 to 510030 What is the expected volume of assets and currency for the account approx. 90 days after 1319,765.84 opening? I arralge I tiscl What is the expected volume of assets and currency for the account approx. one year after 1 15000000 Currency usd opening? I I Does/will the client have Assets Uncle' Management (Ault) within DB under Eur. 3M? 0YesE Pb Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party • (beck the appropriate box to describe the relationship of the party to this accent (> 1can be selected). • ( none of the check boxes apply, describe the party' relation o the account in the "Other" column. • Always describe the relationship between the parties 44 the last column. • Please drill down to the ultimatedundedying Beneficial Owners . _egal Description Account PIC Settlor of Jliamate SignatortitedFinancial Significant egal ,.... arantalSetdorfoundingOther Enteyof Source molder Ownerfrust / Beneficial or Full • 4 A MermaliarySharehoftletetepreseMsave Donor (please of Wealth Founder of Owner POA 4FIM) :>=25%) describe squired Foundation Non-PIC other roles entity and/or Partes (ixIcate indicate related ownership relatonship to this %) between account Dates) I 2 ra ES, 2 CI D LIC O O CI O O O O Jeffrey 2 O 2 E. O O O 0 FA O O O CI O Epsten Darren r Do 3 O O Indyke l—' ❑ O FA O O O O CI Ka1Ty m 4 O . Beller • O O E21 O O O O • SONY_GM_00037374 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000198 EFTA_00147986 EFTA01282095  K Y ( ' Print Page 5 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all parties) Individual's Name: Darren Irdim2 Date of Birth: Country of Residence: Country of Otizenship: ■ Has dient resided outside of hi/her country of nationality • yes No Address of plenary residence: for 5 years a more? Profession/Occupation: Lawyer Tax ID / 55N: Current Employer: Southern Frendal LLC Position/Title/Rank: Address of employer: 575 Lexington Avenue, 4th Fl Livingston NY United States 10022 Does the person work as senior executive of a DB•recognized regulated entity in the Mandel r-i industry? or an entity listed on a DB.recognisei exchange? (Not applicable for operating entities Li Yes 5 No Is the incWidual a Political/1y Exposed Person (PEP)?(/,Yes, describe) OYes ONO To the best of your knowledge, is the individual related to an employee of the DB group?(/ • Family • Friendship i None Family or Friendshio, descnbe) To the best of you' knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal camel, dient referral source, suppler of goods or •Yes 2 NO services)?(/ Yes,clescribe) If applicable, rocate which bank officers have met the In:locate where and when the dent meeting(s) took place: person: Gent Private Client Noce of Bank Officer Name(s) Bank Office Other Location (spccify): Date: : ornicile: Business: O El El • • 0 • • • O Wealth Details for this individual are not filed in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated ri Section 2) Nature of the Individual's Ettsiness: Pnmary Country of source of wealth/source of Funds? Pnmary industry of soiree of Wealth/Source of Funds? Summarize Sane of Wealth: O Business Owner O Satary/Eamings O Investment O Inhentance/Gifa DOther: Further Desalte Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For Wigs, how did settlor accumulate wealth? Fa riteritance, how did family accumulate vrealth?For business owners, how long in business, how many employees, level of ordeal:Sy? Indicate type of business, countries of major actMbes, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith($): Amount of assets planned to invest with PWN($): Other Known Fnandal Institutions: Institution: Courtry: S. Assets Under Mgt: InAitutico: Canby: S. Assets Under Mgt: Institution: Canby: S. Assets Under Mgt: SDNY_GM_00037375 CONFIDENTIAL — PURSUANT TO FED. R. IA I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000199 EFTA_00147987 EFTA01282096  KYC Print Page 6 of 18 Please indicate the farndy Srtuabon of the inovidual (manta) status, other family members, etc.): SDNY_GM_00037376 CONFIDENTIAL— PURSUANT TO FED. R. ie I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... 7/11/2019 DB-SDNY-0000200 EFTA_00147988 EFTA01282097  KYC Print Page 7 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individuals Name: Harry Beller Date of Birth: Country of Residence: Country of Otizenship: ■ Has diets leaded outside of his/her coLntry of nationality • yes No Address of primary residence: for 5 years a more? Profession/Occupation: Accountant Tax ID / 5511: Current Employer: /03RK Associates, Inc Position/Tide/Rank: Address of employer: 575 Lexington Avenue, ‘Ith Floor Monsey NY United Rates 10022 Does the person work as senior executive of a DB.recognized regulated entity in the financial n .,,es ni te, industry? or an entity listed on a DB•recognised exchange? (Not applicable for operating entities " 1 Is the individual a Politicaly Exposed Person (PEP)?(/f Yes. describe) OYes ONO To the best of your knowledge, is the individual related to an employee of the DB group?(if • Family • Friendship i None Familyor Friends* descnbe) To the best of you knowledge, is the indivkkel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dient referral source, suppler of goods or • Yes 2 No services)?(d Yes,describe) If appkatle, notate which bank officers have met the Indicate where and when the dent meeting(s) took place: person: Client Private Client Mace of Bat °fixer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O O • • • N or O O Wealth Details fa this individual are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Busi-ess: Primary County of source of wealth/source of Funds? Primary industry of sane of Wealth/Source of Funds? Summarize Sane of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Gifis °Other: Further Desaite Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For busts, how did settlor accumulate wealth? For inhentance, how did family accumulate vrealth?For business owners, how long in business, how many employees, level of profitadity? Indicate type of business, countries of major actMbes, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith($): Amount of assets planned to mist with PV/P4($): Other Known Hnandal Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037377 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000201 EFTA_00147989 EFTA01282098  KYC Print Page 8 of 18 Please indicate the farndy Srtuadon of the inovidual (marital status, other family members, etc.): SDNY_GM_00037378 CONFIDENTIAL - PURSUANT TO FED. R.IC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000202 EFTA_00147990 EFTA01282099  K Y ( ' Print Page 9 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all panes) Individual's Name: Jeffrey E. Epstein - Date of Birth: CoLntry of Residence: USVI Country of Otizenship: USA Has dient resided outside of Litre Saint James Sant Thames 00802 United States his/her ccountry of nationality • yin No Address of primary residence: for 5 years a more? Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer. Southern Hnandal LLC Position/Title/Rank: President Adckess of employer: 6100 Red Hock Quarter 83 SL Thomas United States 00802 Does the person work as senior executive of a DEl.recognized regulated entity in the financial r-i • industry? or an entity listed on a DDrecognisei exchange? (Not appkable for operating entities Li Yes ...4 No Is the inckidual a Pditicaly Exposed Person (PEP)?(i! Yes, tate) close relationship with @ Yes O No BS Ointori and Prince Andrew. To the best of yes knowledge, is the individual related to an employee of the DB group?(N 0 Family • Friendship i None Fam.?y etFriends* descnbe) To the best of yes knowledge, is the indivdtel party to a non-banking relationship with Deutsche Bank (e.g., external legal ousel, dient referral source, suppber of goods or • Yes 2 No services)?(d Yesdescribe) If appkatie, vacate Midi bank officers have met the Indicate where and when the dent meeting(s) took place: person: Cent Private Client Place of Date: Bank Officer Name(s) Bank Office: Other Location (specify): Domicile: Buenas: O O O • . O N s El 0 Wealth Details fa this individual are not filed in, because they are the same as fa the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated ri Section 2) Nature of the Indmduats likeness: Private investments Pnmary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Summarize Sane of Wealth: 2 Business Owner 0 Salary/Eamings 2Investment 0 Inhaitance/Gilis DOther: Further Dante Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trust, how did senior accumulate wealth? Fa nheitance, how did family accumulate vrealth?For business owners, how long in business, how many employes, level of profitabety? Indicate type of business, counbies of major activities, important business partners.) Jeffrey Edward Epstein (ban S an American financier and registered sex offender in the United States. He worked at Bear Steams eaty in his career and then formed his own frm, J. Epstein & Co. In 2038, Epstein was convicted of soliciting an underage girl for prostituticn, for which he served 13 months in prison. He lives in the US Virgin Islands. Epsten taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his student was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special product division, advisi-ig highnet•ivath dent on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Steams. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of dient with more than $1 billion in net worth. In 1987, Leslie Weiner, founder and chairman of Ohio based The Limited chain of waneres clothing stores,. became a welfilmown client. Wexner acquired Abercrombie & Fitch the folowing 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 lax advantages, based it on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutch, investor Nelson Pelt, media mogul and publisher Mortimer Zuckerman, who had the New Yak Daily News, and Mn producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 aim SDNY_GM_00037379 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000203 EFTA_00147991 EFTA01282100  KYC Print Page 10 of 18 In 2004, Epstein and Zuckerman committed up to $25 million to frence Radar a celebrity and pop culture macre founded by Meer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a smal ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their client and gets their revenue from the return of these investments Southern Trust invests el different portfolios catered to the.' clients and m*es their revenue based on the returns and the fees associated with managing their client's assets. Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM • 100 MM Estimated Net Worth($): $500 MM + Amount of assets planned to elven with PWM($): Other Known Rnandal Institutions: Institution: Country: S. Assets Under Mgt: Institution: Counby: S. Assets Under Mgt: Irstitutico: Counby: S. Assets Under Mgt: Please indicate the fanny stuabon of the intividual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summ 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Gratitude Amenca Ltd O Private Investment Ed Type of Entity: Elroundationmssociabon • Trust O Company • Estate Purpose of Entity: Flulanthropic/Charitable 0 O Partnership Commercial Purpose of Entity Type of Entity Other (specify): Other (specify): Date of Country of USVI 9/25/2012 incorporate., / incorporationtregistraticn: re2istrattn: Estateor Chantable/Philantcptic No Volcker Status: Volcker Flag: Address (city, street, post 6100 Red Hook Quarter, 83 St. Thomas 00802 United States U.S. TIN/EIN: 66-0789697 code): Provide a description of the enbty's organizational structure, Ds ownership structure and its Top Management. For busts/foundations, indude information about revocability,setticr and benefidaries,etc: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Enka Kellerhals is Secretary. The signors on this account are Jeffrey Epstein 0 Darren Indyke Please indicate how ownership of the legal entity is reflected: • Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chan from the direct owner of the entity to the ultimate beneficial owner (ifnot the same persons): 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Enka Regrets is Secretary. The signors on this account are Jeffrey Easton and Darren Indyke To the best of your knowledge, is the entity party to a non-baking relationship with Deutsche i—i Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes LJ No Describe Nature of Entity's Primary Business and Investment Activities The foundation has not yet started distributng funds and is still determiner; what endeavors Nature of the business: they will support. They hope to support a broad range of efforts including, but not limited to, education science research etc. Countries where business is transacted: USA, USV1 Number of employees: 3 3D. Wealth Profile (Only for anus requiring source of wealth desm(ban as 'vacated in Section 2) Primary Country of source of wealth/souroe of Funds? Primary industry of source of VVealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liablities): SDNY_GM_000373S0 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000204 EFTA_00147992 EFTA01282101  KYC Print Page 11 of 18 The foundation is funded by Jeffrey Epstein. Please revert to his source of wealth for more deals Estimated gross receipts p.a.($): 500,000.00 Estimated net profit p.a. ($): 500,000.00 Estimated investable assets ($)• $2 MM - 5 MM Potential Amount to be invested with FWM ($): 100,000.00 Other Known Frendal Institutions: Institution: DB Country: USA Est. Assets Under Mgt: 100,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: flaw cheat moat ha tantahlichari far FACH I FtIAI FRI