EFTA01398480.pdf

KYC Print Page 1 of 22 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01790655 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Stewart Oldfield New PWM Relationship Alt Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ***This KYC is a periodic review for high risk remediation*** Relationship to PWM: Original KYC1195100 ONLY adding signers to account. All signers have already been approved in previous KYC's. Please rush as this is a simple update. Darren Indyke was approved in KYC 01133377 Harry Beller was added in approved KYC 01141308 All Client Referral How Was the Client(s) Introduced? How long has the RM personally known the client? Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? RM Prospect Intermediary/FIM Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under Zorro Management LLC and add two new signors to this new acct only. Yes (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 11 2 11 3 11 4 11 Account Name / Number EFTA01398480 Southern Financial, LLC Deposit-42952771 Southern Trust Company, Inc- Deposit.-42952763 Jeffrey Epstein - Deposit-35269691 J. Epstein Virgin Islands Foundation, Inc Brokerage-N4G024950 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Opening Date (intended/actual) 9/5/2013 8/27/2013 3/8/2016 9/30/2013 it No Booking Center: New York Status : 6. Approved Darren Indyke Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398481 KYC Print Page 2 of 22 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Account Manager: Southern Financial, LLC Deposit stewart oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to manage the daily expenses of the company Indicate from where the assets are expected to arrive? it DB Group: Same Booking Center (indicate account number): 42952771; 77000957 DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: Roughly 2 inflows & outflows per month ranging from $1000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? 46,600 and 11479051.88 47,000 and 11679051.88 Currency Currency 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). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 11 gq Jeffrey E. Epstein EFTA01398482 Southern Financial LLC g4 Southern Trust is 3 44 gl Southern Trust Company, Inc. 100 the sole member of Southern Financial and Jeffrey Epstein is the sole shareholder of Southern Trust; 4 5 6 Darren Indyke Harry Beller Jean Anne Brennan Wiebracht iiih iiifi iiifi 44 44 Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=2596) Non-PIC entity (indicate EFTA01398483 ownership %) Other (please describe other roles and/or indicate relationship between parties) Sole shareholder of Southern Trust; USD USD Acct. Number (if available): 42952771 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398484 KYC Print Page 3 of 22 2. Account Ownership Summary Account Name: Account Manager: Southern Trust Company, Inc- Deposit. Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to manage the daily expenses of the company Indicate from where the assets are expected to arrive? All DB Group: Same Booking Center (indicate account number): 42952763; 77000965 DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? 32060.99 and 18028364.27 33000 and 18280364.27 Currency Currency 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). Legal Entity Description of Source of Wealth required Parties related to this account 1 Jeffrey E. Epstein 2 4l iM 3 EFTA01398485 4 5 Southern Trust Company, Inc. Darren Indyke Harry Beller Jean Anne Brennan Wiebracht fl Alt Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) 100 Other (please describe other roles and/or indicate relationship between parties) Sole shareholder of Southern Trust;Jeffrey Epstein is the sole shareholder of Southern Trust; gl EFTA01398486 USD USD Acct. Number (if available): 42952763 https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398487 KYC Print Page 4 of 22 2. Account Ownership Summary Account Name: Account Manager: Jeffrey Epstein - Deposit Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Deposit accounts for Jeffrey Epstein's personal daily use. Indicate from where the assets are expected to arrive? gq DB Group: Same Booking Center (indicate account number): 35269691 DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: Roughly 15 inflows and outflows per month ranging from $100-$10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? 3478441.80 2980000 Currency Currency 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). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 3 Jeffrey E. Epstein Afft Harry Beller Darren Indyke EFTA01398488 Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between parties) USD USD Acct. Number (if available): 35269691 2. Account Ownership Summary Account Name: Account Manager: 3. Epstein Virgin Islands Foundation, Inc Brokerage stewart oldfield Acct. Number (if available): N4G024950 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... EFTA01398489 1/11/2018 EFTA01398490 KYC Print Page 5 of 22 What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? the purpose of this account is to manage the foundation's securities and trade investments. Indicate from where the assets are expected to arrive? im DB Group: Same Booking Center (indicate account number): N4G024950 DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: 0-10 inflows/outflows of security sales and purchases on a monthly basis between 10k and 150k. What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? 640138 680000 Currency Currency 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). Legal Entity Description of Source of Wealth required Parties related to this account J. Epstein Virgin 1 gl g4 2 3 4 Tml Islands Foundation, Inc Jeffrey E. Epstein Erika Kellerhals Darren Indyke EFTA01398491 Flit Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between parties) usd usd https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398492 KYC Print Page 6 of 22 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 services)?(if Yes,describe ) Yes JJI No Family Friendship *RI None Yes glitNo Harry Beller - 00000487202 USA Accountant HBRK Associates, Inc Tax ID / SSN: Position/Title/Rank: Date of Birth: Country of Citizenship: USA If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Paul Morris Indicate where and when the client meeting(s) took place: Bank Office: iiih Client Private Domicile: Client Place of Business: Other Location (specify): Date: 10/21/2013 Wealth Details for this individual are not filled in, because they are the EFTA01398493 same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: Business Owner Other: Salary/Earnings Investment Inheritance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?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 (5): Estimated Net Worth($): Other Known Financial Institutions: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398494 KYC Print Page 7 of 22 Institution: Institution: Institution: Country: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398495 KYC Print Page 8 of 22 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of emplo er: Darren Indyke - USA Lawyer Southern Financial LLC Tax ID / SSN: Position/Title/Rank: 575 Lexington Avenue, 4th Fl New York NY United States 10022 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 services)?(if Yes,describe ) Yes gq1 No Family Friendship fJi None Yes A No Date of Birth: Countr of Citizenship: USA If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description EFTA01398496 as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: Business Owner Other: Salary/Earnings Investment Inheritance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?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 (5): Estimated Net Worth($): Other Known Financial Institutions: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398497 KYC Print Page 9 of 22 Institution: Institution: Institution: Country: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398498 KYC Print Page 10 of 22 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Erika Kellerhals - 00000499664 USA Attorney Kellerhals Ferguson Kroblin PLLC Tax ID / SSN: Position/Title/Rank: 9100 Port of Sale Mall, Ste 15 St. Thomas VI United States 00802 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 services)?(if Yes,describe ) Yes gq1 No Family Friendship fJi None Yes A No Date of Birth: Countr of Citizenship: USA If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description EFTA01398499 as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: Business Owner Other: Salary/Earnings Investment Inheritance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?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 (5): Estimated Net Worth($): Other Known Financial Institutions: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398500 KYC Print Page 11 of 22 Institution: Institution: Institution: Country: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398501 KYC Print Page 12 of 22 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Jeffrey E. Epstein - 00000483289 USVI Little St James Saint Thomas 00802 United States Self Empolyed Southern Financial LLC Tax ID / SSN: Position/Title/Rank: 6100 Red Hook Quarter B3 St. Thomas United States 00802 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) close relationship with Bill Clinton and Prince Andrew To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 services)?(if Yes,describe ) ip Yes Family No Friendship gillNone Yes Alft No President Date of Birth: Country of Citizenship: 1/20/1953 USA If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: EFTA01398502 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: Private investments it Business Owner Other: Salary/Earnings A Investment Inheritance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier 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. In 2008, Epstein was convicted of soliciting an underage girl for prostitution, for which he served 13 months in prison. 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, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Stearns where he worked in the special products division, advising high-networth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398503 KYC Print Page 13 of 22 in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a well-known client. 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 wealthiest 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, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Peltz, 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 $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client's assets. Estimated Annual Income ($): Estimated Net Worth($): 10,000,000.00 $500 MM + Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM - 100 MM Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398504 KYC Print Page 14 of 22 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Jean Anne Brennan Wiebracht - 00000487647 USVI Finance Southern Financial, LLC Tax ID / SSN: Position/Title/Rank: 6100 Red Hook Quarter, B3 St, Thomas United States 00802 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 services)?(if Yes,describe ) Yes gq1 No Family Friendship fJi None Yes A No Date of Birth: Country of Citizenship: USA If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description EFTA01398505 as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: Business Owner Other: Salary/Earnings Investment Inheritance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?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 (5): Estimated Net Worth($): Other Known Financial Institutions: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398506 KYC Print Page 15 of 22 Institution: Institution: Institution: Country: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): United States Virgin Islands 3. Epstein Virgin Islands Foundation, Inc 00000486427 gt! Foundation/Association Estate Partnership Purpose of Entity Other (specify): Date of incorporation / registration: Estate or Charitable/Philantophic 6100 Red Hook Quarter B3 St, Thomas 00802 United States Volcker Flag: U.S. TIN/EIN: 7/14/2000 Trust Company Private Investment glt Purpose of Entity: Philanthropic/Charitable Commercial No 66-0585379 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, EFTA01398507 include information about revocability,settlor and beneficiaries,etc.: This is a 501 (c)3 foundation with Jeffrey Epstein serving as the President. Darren Indyke serves as VP and Erika Kellerhals as Secretary/Treasurer. The signors on this account are Jeffrey Epstein, Darren Indyke and Erika Kellerhals Please indicate how ownership of the legal entity is reflected: Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): This is a 501 (c)3 foundation with Jeffrey Epstein serving as the President. To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: USA, USVI 5 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The initial donation came from Jeffrey Epstein's personal funds. These funds have then been invested and reinvested as the source of income for the foundation. The profits the foudnation gets from these investments are then reinvested or donated to charitable endeavors Estimated gross receipts p.a.($): 100,000.00 Noll Private nonprofit foundation which is organized exclusively for charitable, educational and scientific purposes. https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398508 KYC Print Page 16 of 22 Estimated net profit p.a. ($): 2,000,000.00 Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: DB Institution: Institution: <$1 MM 800,000.00 Country: Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): US Virgin Islands Southern Financial LLC - 00000483882 Foundation/Association Estate Partnership Purpose of Entity Other (specify): Date of incorporation / registration: Identified on Customer Profile 6100 Red Hook Quarter B3 00802 Volcker Flag: U.S. TIN/EIN: 2/25/2013 Trust ilfq Company ilfq Private Investment Purpose of Entity: Philanthropic/Charitable Commercial EFTA01398509 800,000.00 No 66-0799192 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Southern Trust Company Inc is the sole member of Southern Financial LLC Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: This business is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epstein's personal wealth and invest in different ventures. This company invests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein US Virgin Islands 3 Yes Notm https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398510 KYC Print Page 17 of 22 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Please revert to Mr. Epstein's source of wealth for more details. Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: DB Institution: Institution: 2,000,000.00 1,500,000.00 <$1 MM 300,000.00 Country: Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): US Virgin Islands Southern Trust Company, Inc. - 00000483883 Foundation/Association Estate Partnership Purpose of Entity Other (specify): Date of incorporation / registration: Identified on Customer Profile EFTA01398511 6100 Red Hook Quarter B3 00802 Volcker Flag: U.S. TIN/EIN: 11/18/2011 Trust JM Company 1! Private Investment Purpose of Entity: Philanthropic/Charitable Commercial 1,000,000.00 No 66-0779861 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Jeffrey Epstein is the sole shareholder of this company. The signors on this account are Jeffrey Epstein, Harry Beller, Jeanne Brennan, and Darren Indyke. Please indicate how ownership of the legal entity is reflected: Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Yes Noll Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their clients and https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398512 KYC Print Page 18 of 22 gets their 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 associated with managing their clients assets Countries where business is transacted: Number of employees: US Virgin Islands 4 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: DB Institution: Institution: 1,500,000.00 $2 MM - 5 MM 300,000.00 Country: Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: 2,000,000.00 https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398513 KYC Print Page 19 of 22 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name Booking Center EPSTEIN, JEFFREY RELATIONSHIP if! NY NY/Offshore Offshore Moderate Risk gq High Risk Yoonsun Chung (Compliance Signature) DB Employee DB Managed PIC DB is Trustee/Co-Trustee 4. Attachments A. Type of Photo ID Provided B. im Drivers License illt!Passport Checklist of names (individuals and/or entities) that were submitted for database searches is attached C. Please indicate the results of the database searches performed RDC searches complete PCR checks complete OFAC checks complete BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) Denial Orders checks complete Martindale-Hubbell searched (Lawyers/Law Firms only) gq Yes No National/State ID Other Bearer Shares Yes Yes Yes itiqYes i Yes No negative results found iP Yes No negative results found tU Yes No negative results found No negative results found No negative results found Yes Ali! No negative results found D. Please summarize any negative results from the database searches indicated above: DARREN INDYKE: Approved in KYC #01133377 HARRY BELLER: EFTA01398514 Approved in KYC #01133624 JEANNE BRENNAN: Jeanne was previously approved in KYC #01141315 JEFFREY EPSTEIN: RDC Alert #1 -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris PCR Alert #1/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our client. FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached No No Yes inn No Yes inn No Yes Aq No Yes No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398515 KYC Print Page 20 of 22 Court Cases are closed Erika Kellerhals: Civil Action court case of James P Carroll v Dawn Prosser (a divorce case) which lists Erika Kellerhals as general counsel as she is an attorney. Another case with Supermarket Source Inc lists Erika as the defendent's counsel. These cases are standard in Erika's line of work, and they are not directed at her personally. E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F. To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. (LatAm/Int'l) or the Regulatory Control Group and notify Compliance immediately) G Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the client or related party have any financial or other association/ interactions within high risk countries? I. Corporate Documentation Attached (Legal Entities Only) J. Undisclosed Principal Form Complete (Intermediaries Only) A Yes No Yes A No Yes A No Yes A No A Yes Yes No Not Applicable No A Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398516 EFTA01398517 KYC Print Page 21 of 22 M. Case Comments Created By Date Comments This KYC serves as a high risk update for the below listed clients (together "accountholders") — Kshitij Golani 8/8/117 4:45 PM 1. Southern Financial, LLC 2. Southern Trust Company, Inc 3. Jeffrey Epstein 4. J. Epstein Virgin Islands Foundation, Inc Below are the reasons why we are comfortable with approving this KYC: • Information and supporting documents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction activity • There are a few risk factors associated with the accountholders — SOW: The UBOs (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages clients assets. SOW verification was obtained. Negative Media & PEP: There is some negative media against Mr Epstein and he is also maintains a close relationship with Bill Clinton and Prince Andrew. Please see risk calculator for more information. Appropriate approval was obtained. • Our review did not identify any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists Cynthia Rodriguez 7/7/117 1:50 PM Verification of Address for Jeffrey Epstein is attached. it is his most recent paycheck from Southern Trust Company Inc. Cynthia Rodriguez 6/30/117 1:28 PM google searches for UBO can be found in KYC case 01790820 Cynthia Rodriguez 7/7/117 2:28 PM client confirmed no material changes on 07/01/2017 via phone Cynthia Rodriguez 7/7/117 2:17 PM research for Jean Anne Brennan Wiebracht is attached to kyc case 01790820 ONSHORE APPROVALS Client Facing Professional (CFP): stewart oldfield Office Director/Business Head: Andrew F Gallivan Regional Office Director: AML Business Risk: (Signature) EFTA01398518 (Signature) stewart oldfield (Signature) Andrew F Gallivan (Signature) 7/5/2017 7/6/2017 AML Compliance: Kshitij Golani Yoonsun Chung (Signature) Kshitij Golani Yoonsun Chung LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Account Manager: (Signature) (Signature) (Signature) 8/8/2017 8/8/2017 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398519 KYC Print Page 22 of 22 Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&e... 1/11/2018 EFTA01398520