EFTA00167011.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A VA KYC Case K : 013/6733 Status : 6. Approved One sheet must be established per relationsh - list all accotmts included in the relationshi 1. Relationship Details Relationship Name: SOUT1-ERN FINANCIAL RELATICtISHIP Booking Center: New York Relationship Manager: Paul Mark II New PWM Relabonship O besting PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provkk reason for new prole and attach old profile: 12) Client Referral • RN Prospect O Intermediary/F1M • Paler Source (at etc.) How Was the Chalks) Introduced' How long has the RM personally known the Please provide details (e.g. name of referral source, ow many years RM personally has known client etc.): Jeffrey Epstein dent' (President of Gratitude America) Is a current client of the bank Does Deutsche Bank pay a O Yes I traf No retrocession a srnilar compensation to a third party for the ntroduction of this (/rra, describe). relationship' List a existing and new accounts involved In this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 e Gratitude America, Ltd 2/18/2015 2 2 &at:Aside America, Ltd 2/18/2015 Who Is the primary contact person a the RFP (Note: Preferred method of contact This person needs to have Darren Indyke (indicate phone no., fax no., signatory rights and/or e-mail address, etc.): information right for the accounts.): https://dbforeepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002785 EFTA_00016259 EFTA00167011  KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Gratitude America, Ltd Acct. Number (Aaradalde) Account Manage: Paul Morris What is the purpose of the moms* (e.g. portfolio management advisory account, custody services, longterm investment, payment/expense account)' Money market account to hold funds and earn Interest Indicate from where the assets are expected to arrive' 2 D8 Group: Same Booking Center (indicate account number): DB O D8 Group: Other Booking Center (Indicate 08 location and account deWs): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, •..): What is the expected site and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)': Roughly 1.3 Inflows and outflows per month ranging from $10,000 to $100,000 1100000 I Currency What is the expected volume of assets and currency for the account approx. 90 days after opening' I US° I Cunene,/ 1 USO What is the expected volume of assets and currency for the account approx. one year after opening? I 11:"® Does/will the client have Asset Under Management (Anal) within 08 under Eur. 3M" Ere: 9 No Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> lean be selected). • If none of the check boxes apply, describe the partys relation to the account In the 'Other' column. • Always describe the relationship between the parties in the last olumn. • Please drM down to the ultimate/un erlying Beneficial Owner(s). teal ription Accoun C of -Minute Signatory anted Financial Sgruficant -egal Srantor/SetborfoundingCcher Entity of Source Holder Javier Trust / Beneficialor Full 'OA Intermedlary•Shareholderotepresentatne Donor (please of Wealth counder of).,011et POA (FIN) (> -25%) describe required :oundation Non-PIC other roles entity and/or Parties (indicate ndkate related to wonership relabanhip this 'i.) n Account M ee) I O O Darren there O O O • 2 O O L LJ 2 O IR) itiney O O • ..% O O O O Li Epstein n L—i 3 O 6%) Granbide O Amerka O O O • O O O • El Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002786 EFTA_00016260 EFTA00167012  KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Gratitude America, Ltd Acct. Number (ifamiable): Account Manager: Paul MOrriS What is the purpose of the account (e.g. poet/olio management. admix,/ account, custody services, longterm investment, payrnenVexperrse account)' Checking account to deal with the day-to-day running of the («rodeo«. Indicate from where the assets ate expected to arrive' 2 DB Group: Same Booking Center (indicate account number): DB O DE Group: Other Booking Center (indicate DB location and account detacs): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected site and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)': Roughly 10-20 Mows and outflows per month ranging from 910,000 to 5100,000 I 1W" I Currency 1 1750 What is the expected volume of assets and currency for the account apprco. 90 days after opening? I Currency I USO What is the expected volume of assets and currency for the account approx. one year after opening? I ICC"Ci Does/will the client have Assets Under Management (AuM) within Dft under Eur. 3M? O Yes ONO Please list all parties related to the account. For each party: • Check lf a source of wealth description Is required for the party. • Check the awes:nate box to describe the relationship of the party to this account (> 1can be selected). • If none of the ch ck boxes apply, describe the party's elation to the account in the -Other column. • Always describe the relationship between the parties I the last olumn. • Please drill down to the uRimate/underlying Beneficial Ovmer(s). _coal Description AccountialC Settler of Jeknate Signatory mutedfinancial Spnificant .egal ScantoriSetticriounding Wier Entry of Source Holder Diner Trust j &neck Saar Full ?OA Interned larySharelwider Representative Donor (please of Wealth sounder of Owner PO4 (FIll) (r-25%) describe equired Foundation Non-PIC other roles entity andfOr Parses (indicate ndicate related to ownership relabonshp this 'in) between account oartes) 1 O O Danen O indyke O O O El O O O O O 2 • 2) " meYn O Epstei • O O a O O O O O 3 2 5 Gratitude 5 America • • • O O O O O III Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002787 EFTA_0001626 I EFTA00167013  KYC Print Page 4 of 12 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - Date of Birth. 1/20/1953 Country of Residence: USVI Country d Cttenshlp: USA Has client resided outside of Litte Saint James Saint Thomas 00802 US Virgin Islands Ns/her country of nationality El yes ®No Address of primary residence: far S years cc more ProfessionfOccupabon: Self Empolyed Tax ID / SSN: Current Employer: Southern Rnancial LLC Position/Tide/Rank: President Address of employer: 6100 Red Hook Quarter B3 St Thomas USW 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial r--, iv:lusty' or an entity ISttd on DB-recognised exchange' (Not applicable for operating entities L...I Yes Z No Is the individual a Polibcally Exposed Person (PEP)'(d Yes, cksente) O Yes E4g No To the best of your knovAedge, Is the individual related to an employee of the D8 group'(f 0 Family Chien:Is/lip 2 None FM* or Friendshs detaibt) To the best of your knowtedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • Yes Ei No services)'(/ Yes,decarbe) If applicable, indicate which bank officers have met the Indicate where and when the client meebng(s) took place: person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris O • 0 2/4/2015 O o O ID El • 0 Wealth Details for this individual are not filled 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 Business: Private nts Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: g Business owner 0 salary/Earnings E2) Investment 0 Inheritance/Gifts 0 Other: Further Describe Source of WeaRh /Detail the history of swath or 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 buskins, how many employees, level of profitability' Indicate type of business, countries of mayor activkies, enportant business partners.) Epstein begs his financial career in 1976 as an options trader *Bear Steams and became a partneri n 1980. In 1982, Epstein founded his awn finance] management firm.). Epstein 8 Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his film to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. its wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM - 100 MM Estimated Net Worth($): $100 MM • SOO MM ArnouM of assets planned to invest with PVIPI($): Other Known Financial Institutions: Institution: I DB I Country: USA Est Assets Under Mgt: 1330,000,000.00 https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0002788 EFTA_00016262 EFTA00167014  KYC Print Page 5 of 12 Institution: Counby: Est Asset Under Mgt: Institution: Counby. Please indicate the famly situation of the individual (marital status, other family members, etc.): Eu Asset Under Mgt: J Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002789 EFTA_00016263 EFTA00167015  KYC Print Page 6 of 12 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indniduars Name: Darren Indyke - Date of Birth. Country of Residence: USA Country of Ctzenship: USA Has client resided outside of Ns/her country of nationality El yes ®No Address of primary residence: far S years or more Profession/Occupabon: Lawyer Tax ID / SSN: Current Employer Southern Financial LLC Position/Title/Rank: Address of employer: 575 Leangton Avenue, 4th Fl Uvingston NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial r-7 ridustry, or an entity listed on DB-recognised exchange' (Not applicable for operating entitles LJ Yes Z No Is the individual a Politically Exposed Person (PEP)'(d Yes, ckscnte) O Yes E4g No To the best of your knovAedge, is the individual related to an employee of the DB group'(d 0 Family Ornery:Wile 2 Nine FM* or Friendshs describe) To the best of your know4edge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • Yes 0 No senrkes)'(af Yes,thrscnbe) If applicable, indicate itch bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: of Other Location (seedy): Date: pornicile: Business: O • O O El • ID El a 0 Wealth Details for this individual are not filled 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 Indheduars Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: 0Business Owner 0 Salary/Earnings 0 Investment 0Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or 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 miler &chitties, important business partners.) Estimated Annual Income($): Estimated amount cf investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWril($): Other Known Enamel Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution: Country: Est Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0002790 EFTA_00016264 EFTA00167016  KYC Print Page 7 of 12 Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet mint be established for EACH LEGAL ENTITY In Section 2. Account Somme I 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Gratitude America - O Private Investment Type of Entity: 121Foundatkin/Asscciation El Trust • Company O Estate Purpose of Enbfr PhlamthropkXhantable 0 O Partnership pornmercial Purpose of Entity Type of Entity Other (specify): Other (specify): Date of Country of USVI 4/25/2012 incorporabon/registratIon: incorporation / registrabcc Vokker Status: Vokker Flag: Address (city, street post 6100 Red Hook Quarter, B3 St. Thomas 00802 USVI US. TIN/EIN: code): Provide a description of the entity's organlzatknal structure, its ownership structure and Its Top Management for trusts/foundations, Include Information about revocabdity,settior and bendier ries.etc.: 501(c)3 foundation. Jeffrey Epstein Is president, Darren Indyke is treasurer and Erika Kellerhais S Secretary Please indicate how ownership of the legal entity is reflected: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Erika Kellerhain Is Secretary • Special attention: Bearer Shares - Indicate inhere shares are custodied: Describe the chain from the direct owner d the entity to the ultimate beneficial owner (ifnot the samepawns,. 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Enka Kellerhak Is Secretary 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 goads or services)? Yes LJ No 0 Describe Habra of Entity's Primary Business and Imestment Activities The foundation has not yet started distrbuting funds and Is tel determining whet er<C,e.1.. Off, Nature of the business: they will support. They hope to support a broad range of efforts including, but not lim.ted to. education, science, research, etc. Countries where business is transacted: USA, USVI Number at employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated In Section 2) Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Sand of Funds/ Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary d assets/kabeties): The foundation Is to be funded by Jeffrey Epstein Estimated gross receipts p.a.(5): Estimated net wont pa. ($): Estimated investabk assets ($): $2 Met - 5 MM Potential Amount to be invested with PWM ($): 200,000.00 Other Known Francial Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002791 EFTA_00016265 EFTA00167017  KYC Print Page 8 of 12 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002792 EFTA_00016266 EFTA00167018  KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rang Comment: • O Moderate a Booking Center ../i NY NY/Offshore Offshore C [ Offshore Risk is High Risk `Nna a Chung (Compliance Signature) O DB Employee El De Managed PIC OM is Trustee/Co-Trustee O Bearer Shares 4. Attadirrienls A. Type of Photo ID provided 2 Drivers License 0 Passport O National/State ID O Other Checklist of names (indelduals and/or effigies) that were submitted for database searches Is B. :14 . Yes • No attached C. Please imitate the results of the database searches performed ROC searches complete 2 yes 0 No negative results found Dyes 2 No PCR checks complete 21yes O No negative results found lares ED No OFAC checks complete 5 Yes • No negative results found Oyes END BIS searches complete (Let/Nods, Factva, Reuters, Dow Jones, D&B) ?Med] No negative results found O Yes 0 No Denial Caters checks complete Eyes O No negative results found Oyes Ed No MartindaleHubbel searched (Lamas/Law Firms only) 0 yes 2 No negative results found • Yes 0 No Please summarize any negative result from the database searches indicated above: GRATITUDE AMERICA: No negative media No court cases DARREN INDYKE: D. Negative media mentIons his name as an owner of a building. The negative media is not about him indMdually but about the others mentioned. No court cases JEFFREY EPSTEIN: Previously approved KYC S:01082293 & 01121718 MI negative media pertains to court cases which have been previously approved in the above mentioned Mts. Court Cases have been closed E. To the best of your knowledge, has the dent ever been convicted of a criminal offense? Yes • No To the best of your knowledge, has the customer ever been Involved In any past litigation against Deutsche Bank AG or any of its or is the customer threatening litigation against F. No Deutsche Bank AG or any of Its subsidiaries? (If Yes, provide deals below endCertfla Quigley Mgt. ❑li yes (LetAm/Intl) or the Regulatory Coed Group andncacy Compaance imesedefey) Does the client or related party have any financial or other association / Interactions within G. countries or regimes sanctioned by the Moe of Foreign Assets Control (OFAC)! • Yes El No ■ Does the client or related party have any financial or other assodation/ Interactions within high Mk O yes RI No H. counties? I. Corporate Documentation Attached (Legal Et Only) I21yes • No • Net Applicable I Undisclosed Principal Form Complete (Intermediaries Only) • yes • No n Not Applicable K. U lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, Pleat provide an English summary of the nature/contents of the napingkh Documentation: L specie' link Factors Does the account have Nexus to Special Risk Countries? Oyes E No Is the account structure unusually complex O yes No https://dbforcepb. my. salesforce.com/servlet/servI et.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-4402793 EFTA_00016267 EFTA00167019  KYC Print Page 10 of 12 Is there arty Indicant/1 the client set up a non operating company expressly for the purpose of transferring shares to third parties' UYeS NO Is there any Indkatien this could be a prohibited business relationship' Ova No Are the bearer shares Identified subject to acceptable controls? Oyes ¢ No Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002794 EFTA_00016268 EFTA00167020  KYC Print Page 11 of 12 M. Cs Comments 1 4o records to clop*. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morns (Signature) 2/24/2015 Paul Morris Office Director/Business Head: Kimberly Hart (Signature) 2126/2015 Kimberly Hart Regional Office Director: (Signature) AML Business Risk: (Signature) AP% Compliance (Signature) G. Hill oribio M. Crawford G. Hill cublo M. Crawford 2,27,2015 Yconsun Chung Yoonsun Chung 2/27/2015 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (Gan /Sub-Market Team Head SFITH): MIL Business Risk: (Signature) Ni. Cansilince (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private WealthManagement (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals!(i) (CFP 's) should establish andmaintain business relationships only withpersons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge andbeliefthe above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that! havefollowed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, (Went Managers, etc. Deutsche Bank Americas New York Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002795 EFTA_00016269 EFTA00167021  KYC Print Page 12 of 12 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002796 EFTA_00016270 EFTA00167022