EFTA01252844.pdf

KYC Print Paiie I ()I 41 DB PWM GLOBAL KYC/NCA: PART A rA KYC Cost: y : 01977698 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relaborelop Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York ReLatiorehe Manager: Stewart Oldfidd • New FWM Relationship 2 Edsting PWM Relabonship Relationship to PW?l: If misting, please indicate since when the relationship exists, provide reason for new profile and attach old profile: """ 2018 Periodic Review'"" 2 Client Referral 0 RM Prospect 0 Intermediary/PIM 0 Other Source (CIB, etc.) How Was the Client(s) Introduced? How long has the Please provide details (e.g. name of referral source, how many years RN personally has known dierR, etc.): Jeffrey Epstein RM personally known the reached out to Stew Oldfleld on 3/7/17 to have a new acct opened under this reLationshp.. diets? Last Approved KYC 0 - 1790724; Butterfly Trust - 1804531; Neptune, LLC - 1790739. Does Deutsche Bank pay a • Yes I2 No retrocession or similar compensation to a third party for the introduction of this (If V describe). relationship? List all existing and new accounts involved in this reLatiortshp Legal Entity Account Name! Minter Opening Date (Intended/actual) AccouM(s) 1 • & 12/13/2013 2 2 Butterfly Trust 1/24/2014 3 2 Neptune LLC - 10/18/2013 Who is the primary contact person or the RM? (Note: This Preferred method of contact person needs to have (indicate phone no., fax no., signatory nghis and/or e-mail address, etc.): information right for the account.): CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL SDNY_GM_00037177 DB-SONY-0000001 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EMU:10 147790 EFTA01252844  KY( Print Page 2 of 41 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: & MS - DDA Acct. Number 0f avaictel Account Manager: Stewart Oldfiekl What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense account)? This k a checking account for Individuals. They use the funds for dairy expenses. Indicate from where the assets are expected to arrive? gl DB Group: Same Booking Center (indicate account number): Existing El DB Group: Other Booking Center (indicate DB location and account details): O Other Instrtubon - (Indicate name & baton): El Physical Deposits (spedfy cash, seances, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 2-6/month; SI - S2000 What is the expected volume of assets and currency for the account approx. 90 days 24,28199 I Currency I USD after opening? What is the expected volume of assets and currency for the account approx. one year 24,28199 I Currency I USD after opening? Does/will the client have Assets Under Management (AtM) within DB under Er. 3M? O YinI21No Please list all parties related to the account For each party: • Check if a source of wealth desorption is muted for the patty. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f mine 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 o the ultimate/underlying Beneficial Owner(s). r egal Desaipbcn AccountPIC Senior of Jltimate Signators °mite& wand& Significant Legal GrantoriSeulectoundingOther tnbtyof Source Holder Owner Trust / Senervaalor Full POA IntermediaryShareholdcr Representabve Donor (please of Wealth Founder ofr)wner POA (FIM) (>=25%) descnbe required Foundation Yon.PIC other roles entity and/or Parties (indicate indicate related to ownership relationship Mk %) between a:ount ,arbes) 1 O RI I . O YI 21 O O O O O IMI 2 O 121 21 O O El 21 O O 0 E El SDNY_GM_00037178 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000002 EFTA_00147791 EFTA01252845  KYC Print Page 3 of 41 2. Account Ownership Summary Account Name: Butterfly Trust mmBA Acct. Number Ofavatlabkt Account Manager: Stewart Old6eld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? This is a money market deposit account to pay all expenses/ disbursements related to the trust. Expenses are taxes, trust fee, etc Indicate from where the assets are expected to arrive? 0 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, senates, cheques, ...): What is the expected site and frequency of regular .flows and outflows for the account (indicate estimated number and volume per month)?: 0.2/month; SO - S1000 What is the expected volume of assets and currency for the account approx. 90 days after 1704,736.63 I USD opening? I CurrencY What is the expected volume of assets and currency for the account approx. one year after 704,736.63 I USD opening? I CuffencY Does/will the client have Assets Under Management (AM) within DB under Bur. 3M? CI Yes 2 No Please list all parties related to the account For each party: • Check if a source of wealth description is reputed for the party. • Check the apixopnate box to describe the rdationsNp of the party to this account (> 1 can be selected). • f of the check boxes apply, describe the partys relation to the account in the 'Other" column. • Always describe the relationship between the pates in the last column. • Please doll down to the ultimate/undertying Beneficial Owner(s). r egal Description AcoountPIC Senior of Jltimate Sigratoinimiteo Financial Signdicant _egal ZraMor/Setnott-oundng Ocher intityof Source Holder Owner Trust / 3eneficialor Full *OA ntermediayShareholderetepresentanve Donor (please of Wealth Founder °Owner POA (FIN) >=25%) describe required Foundation Non-PIC other roles entity and/or Parties indicate ndicate related to ownership relationship the %) between account 'ernes) Bunerfly 1 El 2 Trust 2 O O O O O O O O O 2 O O Ha" Beier • O • • 0 O O • O O Trustee:; 3 • • i • O • • FA O O • • O Trustee:: Grantor of El Jeffrey E. O O 2 4 O Epstein O O O O O O O Butterfly Trust: 5 • O O O • 5 O O O O O O 6 O O O O • Ki O O O • O O 7 O O • O O a O O O O O O 13 O O O O O O O O O O O O 9 O O • O O 2 O O O O O O io • O O O O 5 O O O • O O Nadia 11 . O . El • 5 • O O • • • moronic° 12 CONFIDENTIAL — PURSUANT TO FED. R. CC ONFIDENTIAL SDNY_GM_00037179 DB-SONY-0000003 https://dbforceph.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00 I 47792 EFTA01252846  KYC Print Page 4 of 41 O O ODD El O DO O O O 13 MI O itr: K. • O • r O O O • O O 14 O 12 O O O El O O O O O O IS r• OO z O O O O O O 16 O 2 i • O • WO O O O ONFIDENTIAL SDNY_GM_00037180 CONFIDENTIAL - PURSUANT TO FED. R. t DSDNY-0000004 B- I ht tps://db forcepb.my.sa lesforce.corn/servlet/servlet.lntegration?lid=01N 300000001)9 Di & e... 7/11/2019 EFTA_00147793 EFTA01252847  KYC Print Page 5 of 41 2. Account Ownership Summary Account Name: Neptune LLC - 42953424 - DDA Acct. Number (At available). 42953424 Account Manager: Stewart OldfieNd What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? This is a checking account to pay for all expenses (i.e. cream, maintenance, cable, etc.) on Epstein's NYC Mme. Indicate from where the assets are expected to arrive? 0 DB Group: Same Rocking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and a:o3unt details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, seances, cheques, ...): What is the expected sue 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 1207,814.91 I Currency opening? I USD What is the expected volume of assets and cusrency for the account approx. one year after 207,814.91 I Currency opening? I USD Does/will the client have Assets Under Management (Ala) within DB under Eur. 3M? 0 yes 2 No Please list all parties related to the account For each party: • Check if a source of wealth description is reared for the party. • Check the arixopnate box to describe the reladonshe of the party to this accorn (> 1 can be selected). • f none of the check boxes apply, describe the parties relation to the account in the 'Other' column. • Always describe the relatrcoship between the pates in the last column. • Please doll down to the ultenate/underNing Beneficial Owner(s). r egal Description AccountiDIC Setdor of Jldmate Signatory UnteaFirencial Significant Legal Srantor/Settlerl-oundincpther intityof Source Holder Owner Trust / Benehaalor Full POA IntermediaryShereholder Representative Donor (please of Wealth Founder of Owner POA (FIN) (>=25%) describe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate related to ownership relationship this %) between amount parties) Sole Jeffr E. O O • Member of T O 0 Epsteeiny MI 0 O O O O O Neptune LLC; Harry O O • 2 O O Beier • 9 O O O O O 0 0 Damen K. 0 00 0 El 0 0 0 0 0 3 Ineyke Neptune, 0 O O 4 9 LLC ❑ O O O O O O O 9 Manager S O O Richard n O O ❑ O O O O O O O D. Kahn " 1 Neptune LLC; CONFIDENTIAL - PURSUANT TO FED. R. CC ONFIDENTIAL SDNY_GM_00037181 DB-SONY-0000005 ht tps://db forcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N300000001)9Di&e... 7/11/2019 EFTA_00147794 EFTA01252848  KYC Print Page 6 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all panes) Indwickurs Name: 0 Date of Birth: Country of Residence: Country of Citizenship: Has client resided outsde of his/her country of nationality Address of primary residence: for 5 yeas or more? Profession/Occupation: Tax ID/ SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: N/A Does the person work as senior extortive of a DB-recognized regulated entity in the Arundel Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles DWIS g No Is the individual a Polbcally Exposed Person (PEP)?(/ Yes, describe) N/A O yes @No To the best of your knowledge, is the individual related to an employee of the DB group?(d O Family • Friendship ?2 None Family or Frienosko, desaite) N/A To the best of your knowledge, is the individual party to a nen-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or arm @ No services)?(✓iesefesoibe) N/A Indicate where and when the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client PrNate Client Place of Bank Officer Name(s) Bank Office: Other Location (speofy): Date: Domicile: Business: O O O O • • • Wealth Details for this indwidual are not filled ri, because they we the sane as for the following person: 3B. Wealth Details (Only for pates requiring source of wealth descnpbon as indicated ri Section 2) Nacre of the IndMdues Business: Homemaker. Solely relies on income from her wife ntio IS a Interior Designer. Pnmary Country of soLrce of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Fords? Other Summarize Source of Wealth: a Bushes Owner OSalary/Earnings O Investment • Inheritance/Skis 2 Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how cid senor accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners how b in business how ma Estimated Annual Income(s): Estimated amount of inflatable assers($): <$1 MM Estimated Net Worth($): <$1 1.1%1 Amount of assets planned to invest wish PWM($): 20,000.00 Other Known Fmanclal Institutions: Insotudon: Country: Est. Assets Under Mgt: Insotudon: Country: Est. Assets Under Mgt: SDNY_GM_00037152 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-000000S EFI'A_00147795 EFTA01252849  KYC Print Page 7 of 41 I ICounty: Institution: at Assels Under Mgt: Please indicate the family situation of the individual (mental status, other family , etc): Married to ONFIDENTIAL SONY_GM_00037183 CONFIDENTIAL- PURSUANT TO FED. R. e DB-SONY-0000007 I https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147796 EFTA01252850  KYC Print Pap 8 of 41 one sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all pates) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Has client resided outsde of his/her country of nationality Address of primary residence: for 5 years or more? Profess on/Ocapation: Tax ID/ SSN: Current Employer: Position/Title/Rank: Address of employer: Does the person work as senior exeartive of a DB-recognized regulated entity in the financial ndusby? or an entity listed on a CO-recognised exchange? (Not applicable for operating entitles O Yes No Is the individual a Pole:tally Exposed Person (PEP)?(/ Yes, deocriee) N/A are @NO To the best of your knowledge, is the individual related to an employee of the DB group?(d El Family • Friendship ?2 None ',mayor Friends/go, dente) N/A To the best of your knowledge, is the individual party to a non-banking relabonshe with Deutsche Bank (e.g., external legal counsel, dent referral source, supplier of goods or O Yes @No services)?(/ Yescfesoibe) N/A Indicate where and Mien the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Gent Private Client Place of Bank Officer Name(s) Bar* Offir Other Location (speofy): Date: Domicile: Business: Stewart Oldfield O • @ 6/23/2017 O O O O • • O Wealth Details for this indrodual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnpbon as indicated in Section 2) Nature of the IndMduaFs Business: Intenor Desgn Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? Other Summarize Source of Wealth: a Bushes Owner OSalary/Earnings O Investment • Inhentance/Gifts O Other: Father Oescnbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how 6d sctdor accumulate wealth? For inheritance, how did family accumulate wealth?Fce business owners how Ion In business hard ma em s level of rofitabill Indicate of business countries of Estimated Annual Income(5): 150,000.00 Estimated amount of investable assers($): <$1 MM Estimated Net Worth($): <$1 Mel Amount of assets planned to invest with PW6I($): 2,000.00 Other Known Frencial Insotutions: Insbtution: Country: Esc Asses Under Mgt: Insttution: Country: Esc Asses Under Mgt: Insbtudon: Country: Esc Asses Under Mgt: SDNY_GM_00037184 CONFIDENTIAL— PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000008 EFTA_CIO147797 EFTA01252851  KYC Print Page 9 of 41 Please indicate the family situation of the mdMdual (mental status, other family members, etc.): Married to ONFIDENTIAL SDNY_GM_00037185 CONFIDENTIAL - PURSUANT TO FED. R. t DB-SDNY-0000009 I https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147798 EFTA01252852  l'rint Page 10 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all pales) lixlividual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: Virgin Islands, US. Country of Citizenship: United States Has client resided outs de of Little Sant Jams Sant Thomas 03802 Wgin Islands, U.S. his/her country of nationality • Ys No Address of primary residence: for 5 yeas or more? Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Trust Company Inc Poston/Title/Rank: President Address of employer: 6100 Red Hock Quarter B3 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the finardal r-i ,., ndusby? or an entity listed on a e 08-recognised (Not applicable for operating entitles L-I Ys ke No Is the individual a Poetically Exposed Person (PEP)?(d Yes, describe) Comecten with Prince 2 Yes O ND Andrew and BA Onton To the best of your knowledge, is the individual related to an employee of the 08 group?(d Fan*)' or Mends*, (*sate) N/A o Pansy In Friendship 74 None 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 source, supplier of goods or O Ys RI No services)?(d Vac/ego/be) N/A Indicate where and when 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 (speofy): Date: Domicile: Business: Stewart Oldfield I • • 6/28/2017 O ❑ O • • • O Wealth Details for this indrodual are not filled n, because they are the sane as for the following person. 3B. Wealth Details (Only for parties requiring source of wealth descnpnon as indicated in Section 2) Nattre of the Individuals Business: Private investments Pommy Country of mice of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Fuels? High Risk Financial Institutions Summarize Source of Wealth: Business Owner O Salary/Eamings 0 Invesmient . Inhentance/Gifis O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusrs, how did senior accumulate wealth? For inhertance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of mayor activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American finanoer 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 & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School Ill Manhattan from 1973 to 1975. Among his students was a son of Man C. Greenberg, chairman of Bear Steams. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advising high-net-worth clients on tax strategies. Proving suaessful ri his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his corn financial management firm, J. Epstein & Co., menacing the asses of dents with more than $1 eon in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of woment clothing stores, became a well-known client. Wexner acqured Abercrombie & Fitch the followrig 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 pat of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based et on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bed to acquire New York magazine. Other bidders were adverting executive Donny Deutsch, investor Nelson Pelt, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million. In 2004, Epstein and Zuckerman committed up to $25 mean to finance Radar a celebrity and pop culture magazine founded by Meer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. SDNY_GM_00037186 CONFIDENTIAL — PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000010 EFTA_00147799 EFTA01252853  KYC Print Page 11 of 41 Presently, Mr. Epstein fancied Southern Trust Company In:, a private consulting company that invests the assets of their Rents and gets their revenue from the return of these investmenis. Southern Trust Invests in different portfolios catered to their clients and makes their revenue based cn the returns and the fees associated with managing their dent's assets. Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets($): SSO MM - 100 MM Estimated Net Worth($): SRO MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known Francis' Institutions: Institution: Country: Est Assets Under Mgt: Insotution: Country: Est Assets Under Mgt: Insttution: Country: Est Assets Under Mgt: Please indicate the family situation of the tridiwclual (mental status, other family , etc): N/A SONY_GM_000371S7 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000011 EFTA_00147800 EFTA01252854  KY(' Print Page 12 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlt, Summa 3A. Individual Details (for all pates) Indrockel's Name: Harry Belle: Date of Birth: Country of Residence: Country of Citizenship: Has client resided outside of his/her country of nationality Address of primary residence: for 5 years or more? Profession/Occtpation: ax ID / SSN: Current Employer: •• engine/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes g No Is the individual a Poll:tally Exposed Person (PEP)?()Y Yes, describe) N/A arm @NO To the best of your knowledge, is the indMdual related to an employee of the DB group?(r O Family • Friendship ?4 None 'amebic( Friendsko, desaite) N/A To the best of your knowledge, is the individual party to a non-banldng relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes M No servlo)?(if Yesdescbbe ) N/A Indicate where and nten the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client PrNate Client Place of Bank Officer Name(s)