EFTA01434940.pdf

KYC Print Page 1 of 13 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: Paul Morris MHO I New PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: H 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? I I RM Prospect I Intermediary/FIM I Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.) Jeffrey Epstein (President of Gratitude America) is a current client of the bank III Yes (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 MI II I 2 MO Account Name / Number Gratitude America, Ltd Gratitude America, Ltd Who is the primary contact EFTA01434940 person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Opening Date (intended/actual) 2/18/2015 2/18/2015 Darren Indyke Preferred method of contact(indicate phone no fax no., e-mail address, etc.): II I II I No II I II I New York Existing PWM Relationship Status : 6. Approved https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434941 KYC Print Page 2 of 13 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Account Manager: Gratitude America, Ltd Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money market account to hold funds and earn interest Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): Physical Deposits (specify cash, securities, cheques, ...): III V What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-3 inflows and outflows per month ranging from $10,000 to $100,000 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? 100000 100000 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). I 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 EFTA01434942 Description of Source of Wealth required Parties related to this account , II I Ur -I 21 1 1 , 1 3i 1 1 Darren Indyke II I Jeffrey Epstein Gratitude America 1I II 111 111111II II I III II III II I Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full P0A Limited P0A Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) USD EFTA01434943 USD Acct. Number (if available): Other (please describe other roles and/or indicate relationship between parties) https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434944 KYC Print Page 3 of 13 2. Account Ownership Summary Account Name: Account Manager: Gratitude America, Ltd Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to deal with the day-to-day running of the foundation Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): Physical Deposits (specify cash, securities, cheques, ...): III V What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10-20 inflows and outflows per month ranging from $10,000 to $100,000 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? 100000 100000 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). I 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 EFTA01434945 Description of Source of Wealth required Parties related to this account , II I Ur -I 21 1 1 , 1 3i 1 1 Darren Indyke II I Jeffrey Epstein Gratitude America 1I II 111 111111II II I III II III II I Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full P0A Limited P0A Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) USD EFTA01434946 USD Acct. Number (if available): Other (please describe other roles and/or indicate relationship between parties) https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434947 KYC Print Page 4 of 13 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 Epstein - USVI Litte Saint James Saint Thomas 00802 US Virgin Islands Self Empolyed Southern Financial LLC 6100 Red Hook Quarter B3 St. Thomas USVI 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 ) If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Paul Morris II Yes Family Yes HI II No alb I Friendship I[ II I No Indicate where and when the client meeting(s) took place: KOffice: IaIU I IaIU I Client Private EFTA01434948  icile: Client Place iness: uT f 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: investments Other Location (specify): Date: 2/4/2015 HIE! None Tax ID / SSN: Position/Title/Rank: President Date of Birth: Countr of Citizenship: USA Business Owner Salary/Earnings Investment Inheritance/Gifts I 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.) Epstein began his financial career in 1976 as an EFTA01434949 options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management firms Estimated Annual Income (5): 10,000,000.00 Estimated Net Worth($): $100 MM - 500 MM Other Known Financial Institutions: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM - 100 MM https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434950 KYC Print Page 5 of 13 Institution: DB Country: Institution: Institution: Country: Country: USA 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.): 330,000,000.00 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434951 KYC Print Page 6 of 13 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 575 Lexington Avenue, 4th Fl Livingston NY USA 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 ) If applicable, indicate which bank officers have met the person: Bank Officer Name(s) IIII Yes NI I Family I II I Yes II I I I No II I Friendship II I IINo Indicate where and when the client meeting(s) took place: Bank Office: II I II I II I Client Private Domicile: EFTA01434952 Client Place usiness: 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: Other Location (specify): Date: HI None Tax ID / SSN: Position/Title/Rank: Date of Birth: Countr of Citizenship: Business Owner 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 ($): Estimated Net Worth($): Other Known Financial Institutions: EFTA01434953 Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434954 KYC Print Page 7 of 13 Institution: Institution: 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&ei... 7/3/2015 EFTA01434955 KYC Print Page 8 of 13 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: Gratitude America - 00000499760 Foundation/Association I MiiiI Company II Estate Partnership Type of Entity Other specify): Country of Incorporation/registration: Address (city, street, post code): USVI Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: 6100 Red Hook Quarter, B3 St. Thomas 00802 USVI U.S. TIN/EIN: 4/25/2012 Private Investment Philanthropic/Charitable Commercial 66-0789697 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.: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Erika Kellerhals is 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 Kellerhals is Secretary MHO I Special attention: Bearer Shares - Indicate where shares are custodied: EFTA01434956 Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Erika Kellerhals 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 goods or services)? Yes MI III I No DIME Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: USA, USVI 3 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 foundation is to be funded by Jeffrey Epstein 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: Institution: Institution: The foundation has not yet started distributing funds and is still determining what endeavors they will support. They hope to support a broad range of efforts including, but not limited to, education, science, research, etc. $2 MM - 5 MM 200,000.00 Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434957 KYC Print Page 9 of 13 https://dbforcepb.my.salesforce com/serviet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434958 KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name Booking Center SOUTHERN FINANCIAL RELATIONSHIP NY DB Employee NY/Offshore Offshore DB Managed PIC Moderate IHIIIIIHigh Risk Yoonsun Chung (Compliance Signature) IIIa DB is Trustee/Co-Trustee 4 Attachments A Type of Photo ID Provided B 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) No negative media No court cases D DARREN INDYKE: Negative media mentions his name as an owner of a building. The negative media is not about him individually but about the others mentioned. No court cases JEFFREY EPSTEIN: Previously approved KYC #:01082293 & 01121718 All negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed E. To the best of your knowledge, has the client ever been convicted of a EFTA01434959 criminal offense? Yes II I IIIIINo 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) ( Drivers License Passport National/State ID Other No Yes Nol negative results found Yes Nol negative results found Yes Nol negative results found Yes Nol negative results found Yes Nol negative results found Yes Nolp negative results found Please summarize any negative results from the database searches indicated above GRATITUDE AMERICA: EH I Yes Nil Ill MOH I Yes NINE EFTA01434960  I Yes No I Yes No I Yes No I Yes No Bearer Shares Yes I No I 'l l No Yes Yes I I II No I Yes No Not Applicable I I II https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434961 KYC Print Page 11 of 13 3. Undisclosed Principal Form Complete (Intermediaries Only) MOH 1 Yes No Not Applicable MOROI V IV ill 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&ei... 7/3/2015 EFTA01434962 KYC Print Page 12 of 13 M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris Office Director/Business Head: Regional Office Director: AML Business Risk: (Signature) Kimberly Hart (Signature) Paul Morris (Signature) Kimberly Hart (Signature) 2/24/2015 2/26/2015 AML Compliance: G. Hill o/b/o M. Crawford Yoonsun Chung (Signature) G. Hill o/b/o M. Crawford Yoonsun Chung LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Account Manager: Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) (Signature) (Signature) (Signature) 2/27/2015 2/27/2015 AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&ei... 7/3/2015 EFTA01434963 KYC Print Page 13 of 13 Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionalsl(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&ei... 7/3/2015 EFTA01434964