EFTA01282143.pdf

KYC Print Page 1 of 42 DB PWM GLOBAL KYC/NCA: PART A KYC Case N : 01804531 Status : 6. Approved One sheet must be established Per relationshi - list all accounts included In the relatlonshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:0000O483290 e.00king Center. Nov York Relationship Manager: Stewart DIMS • New PWM Relationship 12 Existing PWM Relationship Relationship to PWM: If mosbng, please indicate sate when the relationship exists, provide reason for new profile and attach old profile: •**This KYC is a periodic review for high risk remediation•• • Original KYC1121946 2 Client Referral O RM Prospect O Intermediary/Flm O Other Source (GB, etc.) mow Was the Client(s) Introduced? How long has the RM personally known the Please provide details (eg. name of referral source, how many years RM personally has known dimity etc.: Jeffrey Epstein client? readied out to Stew Wield on 3/7/17 to have a net, acct opened wider ZOITO Management LLC and add)two new signors to this new acct ally. toes Deutsche Bank pay a O Yes No retrocession or simlar 12 compensator, to a third party tat the introducbon of this al Yes, desotelt teLatlorship? Ls,: al existing and new accounts involved in this relationship Legal Entity Acoount Name / Number Opening Date (intended/actual) Account(s) PA The Haze Trust - Deposit 2/27/2017 2 FA Butterfly Trust - Deposit 1/24/2014 3 2 The 2007 Jeffrey E. Epstein Insurance Trust #3 - Deposit 10/16/2013 Who Is the canary contact person for the RM? (Note: This ...,_...en indyke Preferred method of contact person needs to have signatory a " (indicate phone no., fax no., rights and/or information right e-mail address, etc.): for the accounts.): SDNY_GM_00037434 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-000025S EFTA_00148046 EFTA01282143  KYC Print Page 2 of 42 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: The Haze Tnist . Deposit Acct. Number OtavarlaL*1 Account Manager: stewart °Weld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/erpense account)? this Is a deposit account to hold cash for the trust Indicate from where the assets we created to arrive? 0 DB Group: Same Booking Center (Inckcate account number): O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): O Ftysical Deposits (specify cash, securities, cheques.....: What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: collecting interest on current balance...no inflow/outflows What Is the expected volume of assets and currency for the accorsit approx. 90 days after 121,063,409.16 I Currency I USD opening? What is the expected volume of assets and currency for the accota approx. one year after I 21,077711.01 I Currency opening? I Us° Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? Ll Yes RI NO Please 1st all parties related to the account. For each party: • Check if a source of WeSith descnption is required for the party. • Check the appropriate box to describe the relationship of the party to this accorsit (> I can be selected). • If none of the chedt bore apply, desaibe the party's relation to the account in the 'Other column. • Always describe the relati nshp between the parties in the la t column. • Please aril down to the ultimate/underhy ng Bendier I Owner( ). .agal 7esalptio AccounPIC Settior of Ultimate Signatory Umiteefinanoal SigndiooM _egal .--Irarcor/Settla Founding Entity of Source Holder 3wnerTrust/ Beneficiaka fie POA IMermediaryStrareholderitepresentative Donor of Wealth Founder of Owner POA (FIM) (>=2S%) Other (please equlred Foundation Non-PIC descrite other flies entity roles and/or elated (indicate ndicate o this ownersho relationship ccount %) oetween parties)j Jeffrey 07H:beneficiary' I O O . O O 4'4 El O O O O O O of The Haze In T The 2 Q Q aze 0 0 0 0 0 O 0 0 0 0 '1St Darrel n O • 3 O O ndyke " • El O O D O • Trustee:; SDNY_GM_00037435 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000259 EFTA_00148047 EFTA01282144  KYC Print Page 3 of 42 2. Account Ownership Summary Account Name: Butterfly Trust - Deposit Acct. Number Of avaieibki Account Manager: stewart oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment payment/expense account)? This is a deposit account to hold funds for the rust Indicate from where the assets are expected to amve? ct DB Group: Same Booking Center (inelcate account number): O DB Group: Other Booking Center (indicate DB location and account details): • Other Institution — (Inekate name & location): O Physcal Deposits (specify cash, secant es, cheques....): What IS the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: no nflowsioutflows What IS the expected volume of assets and currency for the account approx. 90 days after 12.99 I Currency usd opening? I What is the expected volume of assets and currency for the account approx. one year after 12.99 I Currency opening? I W4 Does/will the cleM have Assets Under Management (AuM) within DB under Eur. 314? Oyes 121No 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 (> I can be selected). • f none of the check boxes apply, describe the partys relation to the account in the Tither column. • Always describe the relationshp between the parties in the last column. • Please Cal down to the ultim tefunderlying Beneficial 0 aler(s). _egal Description hccountPIC Settlor of Jltimate Signatory Unite? ancial Significant _egal Grantor/SettiorfoundngOther Entity g Source Holder Onna'Trust / Seneficiake Ful POA ntennediaryShateholderVepresentative Decor (please sf Wealth Founder of—Seiner POA FIM) (>=25%) describe equired Foundation Yon-PIC other roles entity and/ix Parties (indicate ndicate related to ownership relationship this %) pt ween account rties) beneficiary KagYna • • O he I O O Shuliak ❑ ID O O O O O O itterny t st; beneficiary 2 O O . • • O O O O O O O s of the dAterfly trust; beneficiary 3 O O KahRetard D. • 0 • • O O O O O O fly tat; beneficiary aft 4 O O i O O O O O O O O O O butterfly rust beneficiary Darren • • • O O O of the S O • El O • • butterfly Indyke mut; Beneficiary 6 O O i O O O O O O O O O • of Butterfly Trust' Beneficiary 7 O O • • • • O O O O O • of Butterfly Trust' Beneficiary 8 O O O O O O O O O O O O of Butterfly Trust; 9 SDNY_GM_00037436 CONFIDENTIAL - PURSUANT TO FED. R. t oNFIDENTIAL https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... DB-SONY-0000260 7/11/2019 EFTA_00148048 EFTA01282145  KYC Print Page 4 of 42 O O i O O O O O O O O O O Benelicisty of Butterfly Trust; Benelicisty 10 O . • • a • O O O O O • of Butterfly Trust' Benelicisty 11 O O • O O O O O O O O O of Butterfly Trust; Geneticists 12 O O iO O O O O O O O O O of Butterfly Trust 23 2 e Tamer*/ 2 O O O O O O O O O 14 • DI Ktka eltialS • • • • 2 O O O O IN Trustee; 15 O O : er • • • • 2 O O O O • Trustee; 26 O 2 2ci psite rer . O O 2 2 O O O O O O wetter; ONFIDENTIAL SDNY_GM_00037437 CONFIDENTIAL - PURSUANT TO FED. R. t DS0NY-0000261 B- I ht tps://db forcepb.my.sa lesforce.corn/servlet/servlet.lntegration?lid=01N 300000001)9 Di & e... 7/11/2019 EFTA_00148049 EFTA01282146  KYC Print Page 5 of 42 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust 03 - Deposit Acct. Number (rearlable) Account Manager: stew °Weld What Is the purpose of the account ( g. portfolio management, advisory account, custody sallow, long-term immanent, payment/expense account)? Checking account to hold holds for this Ira Indicate from where the assets we expected to amve? 0 D8 Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (Indicate D8 Mahon and account details): O Other Institutbon — (Indicate name & location): O physical Deposit (specify cash, seanties, chequm, ...): What is the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: no inflows/outflows What is the expected volume of assets and currency for the account approx. 90 days 1259.05 Currency after opening? I I usd What is the expected volume of assets and currency for the account approx. one year 1239.05 Currency after opening? I I usd Does/will the client have Assets Under Management (AuM) within D8 under Eur. NV ❑Oyes 2INo 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 accowit (> I can be selected). • f none of the check boxes apply, describe the party's relation to the account In the tther column. • Always describe the relationship between the parties in the last column. • Please Ord down to the ohm tejunderlying Beneficial 0 rner(s). _egal ›escription AccountPIC Senior of Jitimate Sonataydnutecirranclal Significant _egal GrantodSettiorfoundompther Entity of Source Holder DemerTrust / 3eneficlake Ful 0OA InterTnedlaryShareholderliepresentame Donor (please f Wealth Founder &Owner POA (MM) (>=25%) describe equired Foundation Yon-PIC other roles entity and/or Parties (indicate ndicate related to a‘wersh0 relationship this 51,) r atween account • rties) Beneficiary of The 2007 I O . a • oo 0 0 00 • o O Jeffrey E. Osten Insurance Trust #3; The 2007 Jeffrey E. 2 2 5 Epstein 21 O O O O O O • O • Insurance Trust X3 3 O 5 Jeffrey E. Di O 2 El O O O O O • grantor; Epstein Darren 4 O O In dyke O O O O ® O O O O O Trustee; S O O "" Kahn D. O a • O El O O a a O Trustee:; SDNY_GM_00037438 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000262 EFTA_00148050 EFTA01282147  K17C Print Page 6 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh1p Summ 3A. Individual Details (for all parties) Individual's Name: Dated Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of his/her country of rationality El yes 2 No Address of primary nasdence: for S years or more? Profession/Occupation: Tax ID / SSN: Current Employer: Posithonfrtle/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated enbty in the (Wendel n yes 2 No ndustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating entities I—I Is the Int:tactual a Poetically Exposed Person (PEP)?(/ yes, rfeStrWel Dyes 2 No To the best of your knowledge. Is the Individual related to an employee of the DB group?(If El Family • RierichNp El None Family or Frimehl(o, describe) To the best of your knoutedge. Is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal coursel, client referral source, supplier of goods or services)? O Yes 2 No Of Vales/Jibe) Indicate where and when the dant meetlrxXs) took place: if applicable, Indicate which bank office's have met the person: ClieM Private Client Place of Bank Officer Name(s) Bank Office' Other Location (speofy): Date: ' Domidle: Business: O O O O O • O O O • Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 38. Wealth Details (Only for parties requiring soiree of wealth dmarption as aldtcated in Semen 2) Nature of the Individual's Bus less: Primary Country of soiree of wealth/source of Funds? Primary industry of source of WealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalay/Earnings Investment O Inbentance/G03 O Other: Ill Further Describe Soiree of Wealth /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did settior accumulate roaster? For inheritance. how did family accumulate weakh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, Important business partners.) Estimated Annual income($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest veth PWM($): Otter Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Pkit: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, othe family minters, etc.): SDNY_GM_00037439 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB-SONY-0000263 7/11/2019 EFTA_0014805 I EFTA01282148  KYC Print Page 7 of 42 SDNY_GM_00037440 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ONFIDENTIAL DB-SONY-0000264 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148052 EFTA01282149  KY(' Print Page 8 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh1p Summ 3A. Individual Details Oct all parties) Individuals Name: karYna Shullak - Date of Birth: Country of Residence: USA Country of Otizenship: Slovakia Has client resided outside of his/ler cony of nationality O yes 2 No Address of primary residence: for 5 years a more? Profession/Occupation: )SC Interiors LLC Tax ID / SSN: Current Employer: )SC Interiors LLC Poston/Title/Rank: Interior Decorator Address of employer: 575 Ledngton Ave 14th R New Yak NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity to the Brenda' ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes M No Is the IncWidual a Politically Exposed Person (PEP)?(if Yes, cfesaib<9 O Yes 2 No To the best of your knowledge, Is the individual related to an employee of the DB group, (1 • Family • Friendship El None Panto' friendsl(o, describe) To the best of your knowedge, Is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legs counsel, client referral source, wrier of goods a servicis)? . Yes 2 No Of radescribe) Indicate where and when the dent meeting(s) took place: if applicable, indicate which bank officers have met the person: Gent Private Client Place of Bank Officer Name(s) Bank Office Other LoCaten (speedy): Date: Dornbalt Business: O O O O O • O O O O Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 38. Wealth Details (Only for parties requiring sane of wealth dwarption as .ndtcated in Setter. 2) Nature of the Individual's Business: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/ealtIVSoutte of Funds? Summarize Source of Wealth: O Business Owner OSalani/Eamings n Investment • Inheritance/Ms O Other: Further Describe Soiree of Wealth /Detail the history of wealth for each of the sources: (e.g. For Ma, how did settlor accumulate wealth? For Inheritance, how did family accumulate ‘wetth?For business owners, how long in business, how many employes, level of prohabiltty? Indicate type of business, counties of major acavittes, importarc business partners.) Estimated Annual Inccene(S): Estimated amount of investable assets($): Estimated Net Worth(S): Amount of assets planned to invest Wel PV/M($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please inacate the family situation of the individual (marital status, oche family minters, etc.): SDNY_GM_00037441 CONFIDENTIAL- PURSUANT TO FED. R. F I DE NTIAL DB-SONY-0000265 h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148053 EFTA01282150  KYC Print Page 9 of 42 SONY_GM_00037442 CONFIDENTIAL - PURSUANT TO FED. R. Ce I - ONFIDENTIAL DB-SONY-0000266 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148054 EFTA01282151  K1 7 C Print Page 10 of 42 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh1p Summ 3A. Individual Details (for all perms) Individual's Name: Date of Birth: Country of Residence: USA Country of Otizenship: USA Has client resided outside of his/her country of rationality O yes @ No Address of primary residence: for S years a more? ProfessiceVOccupation: homemaker Tax ID I S91: Current Employer: NES, MC Position/Title/Rank: Address of employer: 6100 Red Hook Quarter, B3 New York United Rates 00802 Does the person work as senior emotive of a DB-recognized regulated entry in the °rands' ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 2 No Is the IncWickal a Politically Exposed Person (PEP)?(! Yes, describe) Ores 2 No To the best of your knowledge, is the Individual related to an employee of the DB group?(A1 O Family • Friendship El None Pam* or Thendsh(o, desaibe) To the best of your knowledge, Is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legs coursel, client referral source, supplier of goods a servion)? Yes 2 No Of radescribe) Indicate where and when the dent meeting(s) took place: if applicable, indicate which bank office's have met the person: CleM Private Client Mace of Bank Officer Name(s) Bank Office: Other tocatico (seedy): Date: Dornialt Business: O O O O O • O O O O Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 38. Wealth Details (Only for parties requiring smite of wealth dompoon as aldtcated in Secton 2) Nature of the Individual's °useless: Primary Country of smite of wealth/source of Funds? Primary industry of source of VfealtiVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings n Investment O Inhereance/Cafis O Other: Further Describe Smite of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitablitty? Indicate type of business, countries of major activroes, important business partners.) Estimated Annual Inccene($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount d assets planned to Invest Wel PWN($): Cther Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Ins:Ruben: Country: Est. Assets Under Mgt: Please indeate the family slush°, of the individual (menial status, othe family mutters, etc.): SDNY_GM_00037443 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB-SONY-0000267 7/11/2019 EFTA_00148055 EFTA01282152  KYC Print Page 11 of 42 I i SDNY_GM_00037444 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ONFIDENTIAL DB-SONY-0000288 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148056 EFTA01282153  KYC Print Page 12 of 42 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Date of Beth: Country of Residence: USA Country of Otizership: Russia Has client resided outside of hi