EFTA01284012.pdf

KYC Print Page I of 24 08 PWM GLOBAL KYC/NCA: PART A KYC Case I : 01344537 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY MIATIONSHIP:010004113290 Booking Center: New York Relationship Manager: Paul Morris O New KM Relationship O ExisUng PWM Relationship RetationMip to PWM: If editing, please indicate since when the relationship exists, provide reason for new profile and attach old prchle: Update of KYC #01133113. Trustees have hanged O Client Referral @ RM Prospect O Intermediary/NM O Other Source (CIB, etc.) How Was the thongs) introduced> How keg has the RM personally inown the Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey (Gent> Epstein/Butterfly Trust are current clients of the Bank. Does Deutsche Bank pay a retrocession or similar O Yes LIZ No compensation to a thrd party for the introduction of this (1/ Yes, descrthe). relationship> list all existing and new accounts involved in the reLstionshg legal Entity Account Name / Number Opening Date (intendedlactual) Account(s) 1 5 Butterfly Trust -- Checking 10/9/2013 2 cl Butterfly Trust -• Money Market 10/9/2013 Who is he primary contact person or the RM? (Note: This Ha wet Preferred method of contact 212 569 5900 person needs to have signatory nY (indicate phone no., fax no., rights and/or information right e-mail address, etc.): for the accounts.): 37/30/2 _1J0039925 hups://dbforcepb.my.salesforCCINEJIDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002749 EF1'A_00150534 EFTA01284012  KYC Print Page 2 of 24 One sheet must be established for each account to be 2. Account Ownership Summary Account Nan*: Butterfly Trust -- Checking Acct. Number (if avadaAY). Account Manager. Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody serykes, bng-term investment, payrnern/expense account)? This is a checking account to hold funds for the trust. Indicate from where the assets are expected to arrive? O DB Grow: Same Booking Center (indicate account ranter): O DB Group: Other Boot iii Colter (Indicate 08 location and account details): El Cther Institution (Indicate name & kxation)c 10Morgan. New York NY O Physical Deposits (specify calk securkies, cheques, — R What is the expected size arid frequency of regular infkmis and outflows for the account (ndicate estimated number and volume pe month)': Roughly S-10 Inflows and outflows per month ranging from $1,000 to $20,000 What is the expected volume of assets and currency for the account approx. 90 days after I Currency I USD opening? What is the impeded volume of assets and currency for the account approx. one year after 5,000,030.00 'Currency I USD opening? OoesAvill the client have Assets Under Management (Aunt) within DB under Eta. 3Mi Oyes ®No Please list all parties mated to the account. For each party: • Check if a source of wealth description Is required for the party. • Check the appropriate box to descnbe the reLstionship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the palls rebtlon to the account In the Tiber' column. • Always Oman the 'ebbe:whip between the parties in the last column. • Please drill down to the ulUmate/underNing Beneficial Owner(s). _egal Desulptbn AccounWIC 'Settler of _filtrate 5signatorwinnteci9nanclal Significant eget Grantor/Setriorkounding Other Entityof Source Holder OwnesTrust / Benefxialor Full ROA IntennediaryShareholderlepresentative Jona. 'please of Wealth Fowler of Dwner ?OA (FIM) (>...25%) lew* requied Foundation Non PIC other roles entity and/or Parties (indicate wane related to ownership relationship his %) Sehwen account wiles) Jeffrey O O 2 3 O M O II O O O O D Grantor; Epstein tterfly 5 O 5 2 El O TBu rust • • O • • • • 3 O O HanY Beller ❑ O O • O a O • O El El Trustee; Erika 4 O O Ketbhals "❑n1 O • • .....a O • O • • Trustee:: s O • • O • • • O II • • • Beneficiary; 6 • O O • O O O OO O • O Benefklary; 7 M O O • ID O O O O CI CI O Benefit-Ray; 8 O O O El O D O DO I:l El O Beneflcory; Chistalllne O • O 9 • O El O OO O O O Benelk coy; Maxwe 10 D O O O O El O O O O O O Beneficory; SONY_GM_00034926 https://dbforcepb.my.salesforeCCINErillaidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002750 EFTA_00I 50535 EFTA01284013  KYC Print Page 3 of 24 2. Account Ownership Summary Account Name: Butterfly Trust -. Money Market Acct. Number (I svailabl# Account Manager. Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, kriglerm investment, payment/expense account)? Money Market account. To hold cash for the triat to earn intent Indicate from where the assets are expected to arrive, O DB Grow: Same Booking Ceder (Indicate account number): O DB Grow: Other Booking Center (Indicate 013 location and account details): 0 Cher Irtseution (Ind kale name & buition) Whiorgan. New York, NY O Physical DeposAs (specify cash, securities, cheques, ...P What is the expected size and frequency of regular irtflons and outflows for the mond (indicate estimated number and volume pe inonthp: Roughly 1.2 Nflows and outflows per math ranging from $1,000 to 310.000 What is the expected volume of assets and currency for the account approx. 90 days after I Currency I 1.5D opening' I What IS the expected volume of assets and currency for the account approx. one year after 11,000,000.00 I Currency I USD opening? Owarill the client have Assets Under Management (AIM) within DB under Err. 3MT O Yes WI No Please list all parties elated to the account. for each party: • heck a a source or wealth description is required for the party. • Check the appropriate box to describe the relstionsNp of the party to this account (> Ian be selected). • Iwo° of the check boxes apply, describe the partYs relation to the account in the 'CONY' column. • Always describe the relationship between the parties in the last colorist • Please drill down to the ultenate/underlying Beneficial Owner(s). -egal Description AccounWIC Satiric of Jkimate SignatorilUmitedFlnancial Significant _egal Grantor/Setdorf-ounding Other Enbtyof Source Holder OwerTrust / Beneficial:A Full PO* InterrnedorySharebolderRepresentative Donor 'please N Weskil fonder of Owner PO* (FIM) (>=25%) describe requeed foundation Non-PIC other roles entity and/or Parties (Indicate ndicate *elated to ownership elationthip this %) between account footles) 1 O 2 Ekpstft'et ein O O 2 O O O O O O O Grantor; 2 B 12 " ter*/ 0 MIA O D O O O O O Ill O 3 O O Hanv Beller D ID O O O O O O O Trustee:, 4 O O Enka kellerhals O ❑O O O O O O O O O Trstee:, OO f il o • O O O O O O I O Beneficiary; 6 O O O O O O O O O O O O Beneficiary; 7 O • O O • • • O O N • O Beneficiary; 8 O O • O • O O • O • Beneficiary; O Gm''''" O El O • O O O O 9 N Maxwell II O O O Benellan; 10 D O MODE] O O O O O O O Beneficiary; SDNY_GM_00034927 https://dbforeepb.my.salesforeCLINErilEaliliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002751 EFTA_00I 50536 EFTA01284014  KYC Print Page 4 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all padres) Individual's flame: Jeffrey Epstein . 00000983289 Date of Birth: 1/20/1953 Country of Residence: USN Country of Citizenshtr USA Has client resided outside of Lille Saint James Saint Thomas 00802 US Virgin Islands his/her ther country of natbnaky O Yes RI No Address of primary residence: for 5 years or more) Profess:30k( upaton: Self Ernpe4yed Tax ID / SSW Current Employer Southern Financial LLC Position/Title/Rank: President Address of empbyer. 6100 Red Hook Quarter 63 St. Thomas USV1 00802 Does the person work as senor xecutIve of a DEPrecognized regvtated entity in the financial O yes 2 No nd ugly? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities Is the individual a Politkaty Exposed Person (PEPy(,/ Yes, describe) O Yes 2 No To the best of your knowledge, Is the IndInd ual reeled to an employee of the DB grouP, (A IN Family O Fnendshlp rid None Forney or Fields/bp, desmbe) To the bat of your knowledge, is the individual party to a nom-baiting relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)'O Yes 2 No (I Yea, describe) Indicate where and when the client meeting(s) took place: If applicable, indkate which bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other location (specdy)c Date: Domicile: Business: Paul Morris O w 2 9/13/2013 • • • • O O 0 Wealth Details for this individual are not filed in, because they are the same as for the (dewing person: 38. Wealth Detalb (Only for parties requiring source of wealth desolation as Indicated In Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds? Primary tidos* of source of Wealth/Source of Funds? Surnnwire Source of Wealth: Ea Business Owner OSalary/Eamings a Investment O Inheritance/Gifts • Other: Further Describe Source of Wealth Metal the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did fan* accumulate we.alth?for business owners, how long in business, how many employees, level of prolkabikly? Indicate type of business, countries or major activities, important tininess partners) fasten began his financial career in 1976 as an options trader at Bear Steams and became a partnen n 1980. In 1982, Epstein founded his own financial management firm, I. Epstein & Co., managing the assets of dents with more than a talon in net worth. In 1996, Epstein changed the narne of his firm to The Financial Trust Company and based ton the Island of St. Thomas in the US Virgin Islands. Al of his dents were anonymous except for the very wealthy businessman Leslie Worrier. His wealth has come from his days at Bear Steams and his financial management Brim Estimated Annual Income(S): 10,000,000.00 Estimated amount of nwestable assets( $): 350 MM - 100 MM Estimated Net Worth(3): $100 Mal - 500 MM Amoum of assets planned to kwest watt PivM($): 5,000,000.00 Other Known Financial Instilutirms: Institutor,: Inei Country: USA Est. Assets Under Mgt: 120,000,000.00 Insttution: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 SONY_GM_00039928 https://dbforeepb.my.salesforeCLINErilEaltiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002752 EFTA_00I 50537 EFTA01284015  KYC Print Page 5 of 24 IEst Assets Under Mgt I lnstkution: I 'Country: Please indicate the tinily situatian of the individual (marital status, other family,mentors, set.): SDNY_GM_00039929 Imps://dbforcepb.my.salesforcGC:tNEJIDEschiltiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002753 EF1'A_00150538 EFTA01284016  KYC Print Page 6 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Ghislaine Maxwell - Date of Bath. Country of Residence: Country of Citizenship Has client resded outside of c/o KBRK Assocatm Address of primary residence: he/her country of nationality D yes gib for 5 years C. more? ProteesnniOccupalon: Tat ID / SSN: Current Employer: Position/Tide/Rank: Address of employer. Does the person work as senior xecutive of a DB.reccgnized regulated entity in the financial D yes 2 No ndusby? or an entity listed on a DB'recognlsed exchange? Obit applicable for operating entities Is the indMdual a Politkaly Exposed Person (PEPY(A Yes, describe) D Yes 2 No To the best of your knowledge, Is the Individual related to an employee of the DB groupW O Family O Friendship ZA None Fan$' or Frieedilep, desenbe) To the best at your knowledge, is the individual patty to a no relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or sservices)'O Yes 21No (A Yee, descnbe ) Indicate where and when the dent meeting(%) took place: If applicable, Skate which bank officers have met the person: dent Private Client Place of Bank Officer Name(%) Bank Office: Other Location (specify) Date: Domicile: Business: O . O • • • • O O O Wealth Details for this individual are not filed in, because they are the sane as for the folowing person: 38. wealth Details (Only (or parties requiring source of wealth description as Indicated In Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Some of Funds? Summarize Source of Wealth: • liminess Owner OSalary/Eamings O Investment O Inheritance/Gifts • Other: Further 0mnd? Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? fat inheritance, how did (err* accumulate wealth?for business owners, how long in business, how many employees, level of meltability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income(p): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest Mth PWM($): Other Known Financial Insttudons: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the lankly situation of the individual (mantel status, other lankly mentors, etc.): SDNY_GM_00039930 https://dbforcepb.my.salesforeCLINEIDEgialliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002754 EFTA_OOI 50539 EFTA01284017  KYC Print Page 7 of 24 SDNY_GM_00039931 https://dbforcepb.my.salesforeCCINErillairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002755 EFTA_00150540 EFTA01284018  K YC Print Page 8 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indolduars Name: Date of Binh: Country of Residence: Country of Citizenship: rio HPRK Associates Has client resided outside of her/her matey of nalkonality O yes 0 No Address of parnary residence: for 5 years or more? Profession/Occupation: Ter ID / SSN: Current Employer: Position/Tile/Rank: Address of employer. Does the person wadi as senior executive of a Dffiretognized regulated entity in the financial nd usby? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities O Yes a No Is the lndMdual a Politkaly Exposed Person (PEPY(5/ Yes, *scribe) O Yes El No To the best of your knowledge, is the Individual related to an employee of the DB group?(/ O Family • friendship None Eli Farm), or Friemiship, desmbe) To the best at your knowledge, is the individual party to a noebanking relationship with Deutsche Bank (e.g., extemal legal <WOW, client referral source, supplier of goods or services)? O Yes 23 No (I Yea describe) Indictee where and when the dent meeting(s) took place: If applicable, indkate which bank officers have met the person: Bank Office: Client Private Client Place of Bank Officer Haller(%) Other Location (specify) Date: Domicile: Business: O O O • O O • O O O Wealth Details for this individual are not flied in, because they are the same as for the following person: 3B. Wealth Details (Grits, for parties requnng source of wealth descnpuon as indicated on Section 2) Nature of the Individual's Business: Primary Country of source of wealthOotute of Funds? Primary industry of source of Wealth/Source of Funds? Summanze Source of Wealth: • aweless Owner OSalary/Eamings O Investment O Inheritance/Gifts • Other: further Describe Source of Wee to (Petal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth'For business owners, how long in busHess, how many employees, level of profitability? Indicate type of business, countries of major activities, important business porters.) I'stir-noted Annual Income($): Estinvited amount of irwestable assets(s): f uimated Net Worth($): Amount of assets planned to inveit with PWM($): Other Known Financial InstkutIons: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Imblution: Country: Est. Assets Under Mgt: Please indftate the lam`, sItuatno of the individual (mar till status, other family members, etc.)'. SDNY_GM_00034932 https://dbforcepb.my.salesforeCCINErilDalridiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002756 EFTA_OOI 50541 EFTA01284019  KYC Print Page 9 of 24 SDNY_GM_00039933 tps://dbforcepb.my.salesforcCLINEIDEJNIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002757 EFTA_00150542 EFTA01284020  K YC Print Page 10 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershb Summa 3A. Individual Details (for all parties) Indwiduars flame: Date of Birth: Country of Residence: Country of Citizenship: Has client resided outside of c/o HMI( Associates his/her country 04 nationatily O Yes id No Address of primary residence: for 5 years or more? Profession/Occupation: Tax ID / SSW: Current Employer: Posltbon/TKIWRank: Address of employer: Does the person work as senior executive of a DB•recogszed regulated entity in the financial ndusby? or an entity listed on a DB.recognhed exchange? Mott applicable for operating entities Oyes 2 No Is the individual a Politkally Exposed Person (PEPY(r/ Yes, describe) Oyes RI No To the best of your knowledge, h the Individual related to an employee of the DB group?(? • Family O EnendsNp El None Farr* or Friedthip, desmbe) 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)? El Yes 10 No (?Yes, descnbe ) Indicate where and when the dent meeting(s) took place: If appicable, indtate which bank officers have met the person: Client Private Client Place of Bank Officer Names) Bank Nike: Other location (specifyy Date: Domicile: Business: O O D • O • • D O O Wealth Details for tNs Individrel are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties reputing source of wealth description as Indicated In Section 2) Nature of the Individuals Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: • Business Owner OSalary/Eamings O Investment O Inhailance/Gifts • Other: I urther Descnbe Source of Wee h Metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? RN inheritance, how did family accumulate wealth/for business owners, how long in business, how many employees, level of pmflability? Indicate type of business, countries of major activities, important business partners) Estimated Annual Income($): Estimated amount of investable assets(s): Estimated Net Worth(3): Amount of assets planned to invert Mtn PWM($): I Other Known Financial Instkutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under ?lot: Institution: Country: Est. Mints Under Mgt: Please militate the lam`, situation of the individual (mental status, other family members, etc ) SDNY_GM_00034934 https://dbforcepb.my .salesforeGONEril DalridiAL000000D9Di &e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002758 EFTA_00I50543 EFTA01284021  KYC Print Page 11 of 24 SDNY_GM_00039935 tps://dbforcepb.my.salesforcCaNEJIDEgrbadiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002759 EF1'A_00150544 EFTA01284022  KYC Print Page 12 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ovmership Summary 3A. Individual Details (for all parties) Indroduats Plank?: Date of Birth: Country of Residence: Country of Citizenship Has client resided outside c4 r/o iatic Associates his/her country of nationality Dyes I2I No Address of Drearyrresidence: for $ years or more? Professbn/Occupaban: Tax ID I SSW: Current Employer: Position/Ms/Rank: Address of employer. Does the person work as senior executive of a DB-recognized regulated entity in tlx: financial ndustry? or an entity listed on a DB.recomised exchange? (Not applicable for operating entities ara ®No is the individual a Politer* Exposed Person (PEPp(f Yes, describe) Ya 21No To the best of your knowledge, is the Individual related to an employee of the DEI gnsupT(if • Family O Fnendsbp E None Family cc Friendthip, describe) To the best of your knowledge, b the Individual party to a non-banking relate:3,1.Np with Deutsche Bank (e.g., external legal camel, client referral source, supplier of goods or services)' O Yes El No Of Yes,descrt) Indicate where and when the Rent meeting(%) took place: If applicable, nthcate which bank officers have met the person: Bank Officer Name(s) Bank office: client PrPeate Client Place of Other I iii oft m p{ if 1).,./.. [gonadic Business: O O O • O O • O O O Wealth Details for tbs Individual are not filed in, because they are the same as for the laming person: 3B. Wealth Details (Only for parties requiring source of wealth description as ideated In Settee 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary bdusby of source of Weathraource of Funds? Surmrsirtze Source of Wealth: O Business Owner OSalery/Famings O Investment O InlwritanceiGifts Other: I further Describe Source of Wealth meta the history of wealth for each of the sources: (e.g. For ants, how did settler accumulate swath? For inheritance, how did famty accumulate wealth?For business antlers, how brig in useless, how many eMplOytC6, legal of profitability? Indicate type or business, countries of major activities, important business partners.) I violated Annual Income($): Estimated amount of investable assets($): Rimmed Net Worth($): Amount of assets planned to fl at with PWM($): Other Known Financial InstAutIons: Institution: County: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the remit situation of the indiv tot (mental status, other family mentors, etc.): SONY_GM_00039936 ps://dbforcepb.my.salesforcaNtaioaLT,IAL000000D9Di&e... 7/30/2019 ht t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002760 EFTA_00150545 EFTA01