EFTA01284096.pdf

KY(' Print Page I of 16 OB PWM GLOBAL KYC/NCA: PART A KYC Case r Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi I. Relationship Details Relationship Nallle' SOUT14ERN FINANCIAL RELATIONSHIP:00030183290 a-mating Center Mar 'kirk Relationship Manager: Stewart Oldfiekl • New PWM Relationship 12 Existing PWM Relationship Relationship to PALM: II tasting, please indicate since when the relationship enists, provide mason for new profit and attach old profit: g Client Referral El RM Prospect O Intermediary/FM O Other Source (ae, etc.) How Was the Chent(s) Introduced) How long has the Please provide detail. (e.g. name of referral source, how many years RM personally has k own client, etc.): Jeffrey Epstein RM personally known the dent' (President of Gratitude Arnerka) Is a current client of the bank. He and Darren Indyke rea hed out to Stew CONS on 12/23/2016 to open a checking account for es newest entity, Prytanee LLC Does Deutsche Bank pay a O yes I g No retrocession or similar compensation to a third pad lot the introduction of this /7/ Yes, desotte): rNationshipo Int all existing and new accounts Invoked In this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Accomt(s) I 2 Prytanee, LLC - Deposit 1/6/2017 Who is he primary contact person or the RH, (Note: This Darrea, laayke Preferred method of contact person zeds to have signatory (indicate phone no., fax no., rights and/or information right email address, etc.): for the (counts.): SDNY_GM_00040009 hups://dbforcepb.my.salesforCCINBIDaiLIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002833 EF1'A_00150618 EFTA01284096  KYC Print Page 2 of 16 Ose sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Prytanee, LLC • Deposit Acct. Number (if available) Account Manager: stewed °killed What is the purpose of the account (e.g. portfoho management, advisory account, custody services, bng.tenn investment, ownwriVexPerise account)? the purpose of this account is to managing the monthly expenses of the company Indicate Iron, where the assets are expected to ante? ID DB Group: Same Booking Center (indicate account number): 35269691 • DB Group: Other Booking Center (Indicate DB location and account dMalis): El Other Institution - (Indicate name 8. location): • Physical Deposits (witty cash, securities, cheques, ...): What is the expected site and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: 0-5 Infbws/oudlows between 100k to 500t on a monthly basis I 1000000 I Currency I usd What is the expected volume of assets and currency for the account approx. 90 days after opening? 1 1000000 (Currency I usd What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? •Yes Rho Please list all parties related to the account. For each party: • Check if a source of wealth escription is required for the pad. • Check the appropriate box to describe the relationship of the party to this account (5 1can be selected). • I non of the check boxes poly, describe the party's relation to the account in the 'Other cola rm. • Aiways describe the relationship between t e parties in the last dint • Please dm down to the ultirnathunderlyln Beneficial Owner(s). egal7escliption Account PIC Senior of Jitirnate Signatory OrnitertFinancial Significant _eget .Iaantor/Settioti onding ; antilyof Source Molder OrnierTrust / Beneficial x Ful ?OA Intermedlaryparehollerlepresentative or of Wealth Founder of Owner POA (Fill) k>=25%) °Mei (Please equired Foundation Non-PIC maitre other Parties entity des and/or related to (indicate Indicate this ownershp elahmship account %) between parties) 1 2] D "' I'D LLC O O O O O O O O O Southern Trust 2 J 2 ❑ r--I Company, l—i O • O • O O 50 O O • Inc. The 3 2 D ',acme O O O O • O O so O O O Trust sole shareholder of Southern Trust Company, 2 Jeffrey O O O O O Li O ix 080 of O Epstein 0 E] ■ 5outhen Trust Company, Inc. which owns 50% of account holder; Darren O • O 5 O O Indyke ❑ O El O O • O O Grantor/rine< 1 The Pierre Caroline Trust;GrantortUBO 6 O El Sul)" Ca mile O O • 121 2 O O O O Ei 1 The Pierre Trust thkh own' 50% Lang if the account solder, Etienne 7 • O nerre O O O O • O Nan O I O O Binant SDNY_GM_00040010 https://dbforcepb.my.salesforeC6CINErilEtairdiA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002834 EFTA_001508I9 EFTA01284097  KYC Print Page 3 of 16 SDNY_GM_00040011 Imps://dbforcepb.my.salesforCCINEIDESITAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002835 EFTA_00150620 EFTA01284098  KYC Print Page 4 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 1A. Individual Details (for all patties) Individual's Name: Jeffrey Epstein Date of Beth: 1:10,:1953 Country of Residence: USYI Country of Cairensbe: USA um client resided outside of Lute Saint James Saint Thomas 00802 hnher country of nationality for O yes Wj pie Address of primary residence: 5 years or more' Profession/Occupation: Self Empolyed Tax ID / WI: Current Employer: Southern Financial UAL Possionfiefe/Rank: President Address of employer: 6100 Red Hook Quarter B) St. Thomas United States 00802 Does the person work es sell ier executive of a DB•recognired regulated entity in the financial ndustry, or an entky listed on a Cerecognised exchange' (Not applicabk for operating entities O Yes JIlo Is the individual a Politically Exposed Person (PEP)'(at Yea. describe) ales 2 Ho To the best of your knowledge, is the individual related to an employee of the DB grorreT(YWY Ofamily • Friendship EINone or Aknefstgo, desenbe ) To the best of your knowledge, is the Individual party to a norebanking relationship with Deutsche O ya 2 Bank (e.g., edema' legal counsel, client referral source, suppler of goods or services)2(d No Yesidesalbe) Indicate where and when the dent meetings) took place: If applicable, Indicate whkh bank officers have met the persco: Client Private Gent Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: El IN O O O El El O O C3 Weekh Details for this individual are not filled in, because they ere the same as for the foil:ming person: 38. Wealth Details (Only for oodles requiring source of weS.h description as indicated in Section 2) Nature of the Individual's Business: Prhate investments Primary Country of source of wealth/some of Funds' Pli Ma rf indusby of source of Wealth/Source of Funds? Summarize Source of Wealth: aBuskins Owner O Salary/Earnings I? Investment O Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, lion did senior accumulate wealth? For Inheritance, how did !Family accumulate wealthtFor 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 options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own financial management Inn, 1. Epstein & Co., managing the assets of dents with more than a billion in net worth. In 1996, Epstein changed the name of his (inn 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 %Vesper. His wealth has come from his days at Bear Stearns and his financial management lions F cireated Annual Income($): 10,000,000.00 I swotted amount of investable essets(g): $50 MM • 100 MN Estimated Net Worth(S): 5500 MM • Amount of assets planned to invest with POIM(S): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00040012 littps://dbforcepb.my.salesforcCaNEJIDairdiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002836 EF1'A_00150621 EFTA01284099  KYC Print Page 5 of 16 I Please indkate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00040013 Imps://dbforcepb.my.salesforcCCINEJIQUirdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002837 EFTA_00150622 EFTA01284100  KYC Print Page 6 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Darren Indyke 000004436405 Date of tsrth: Country of Residence: USA Country of Caireinbc: LISA tias client resided outside of his,Ner country of nationality for O yes RI fig Address of primary residence: S years or more' Profession/Occupation: tawver lax ID / $91: Current Employer: Southern financial LLC Position/TO/Rant Address of employer Does the person work es senior xethtive ol a DE -recognized regulated coley in the financial fidustry, or an entity listed on a 06-recognised exchange' (Not applicable for operating entities ii Yes RN° Is the mdrvidual a Politically Exposed Person (PEP)'(a Yek describe) OYes 0 No To the best of your knowledge, Is the individual related to an employee of the DEI grin/PO/Pan* Ofamay • Friendship ]None or Riendship, describe) To the best of your knowledge, is the individual party to a norebanking relationship with Deutsche o yes O No Bank (e.g., enema' legal counsel, client referral source, suppler of goods a services), (1, Yesi describe) Indicate where and when the dent meeting(s) toot place: If apps table, indicate which bank officers have met the person: Client Private C fent Place of Bank Officer Nemeth) Bank Office: Other location (specify): Date: Domicile: Busine simian oidlield R n O 12/23/2016 El CD El O O O O Wealth Comet for this individual are not filled In, because they are the same as for the loll:ming person: 38. Wealth Details (Only La parties requiring source of wealth description as Indicated in Section 2) Nature ol the Indwiduars Business: Primary Country of source of wealth/sourte of Funds' Primary Industry of source of Wealth/Source of Funds! Summarize Source of Wealth: O Business Owner O Salary/Ea ming; O Investment O Inhedtance/Glfts O Other: further Describe Source c4Weakh /Deli the history of wealth for each of the sources: (e.g. For trusts, bow did senior accumulate we Rh' For inheritance, how did l amity accumulate wealth'For bu iness owners, how long in business, hod many employees, level of profitability? Indicate type of business, countries of major Nth/Kies, important business partners.) Estimated Annual Income($): Estimated amount of investable assets(S): Estimated Net Worth(f): Amount of assets planned to invest with fAVM(S): Other Known Financial Institutions - Institution: Country. Est. Assets Under Elgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indx ate he family situation of the indrodual (marital status, other f miry members, etc.): SONY_GM_00040014 ps://dbforcepb.my.salesforcCUNEJIDailidiAL000000D9Di&e... 7/30/2019 ht t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002838 EF1'A_00150623 EFTA01284101  KYC Print Page 7 of 16 SONY_GM_00040015 Imps://dbforcepb.my.salesforcCLINEJIDEIlidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002839 EF1'A_00150624 EFTA01284102  KYC Print Page 8 of 16 One sheet mud be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Sammy 1A. Individual Details (for all parties) Individuals Name: Caroline Sophie Camille Lang Date of Birth: Country of Residence: France Country of Citizenship: France Has client resided outside of Address of primary residence: hisiber country of nationality for Dyes W No 5 years or more' Profession;Occupation: Contemporary Art Tax ID / WI: Current Employer: Sothebys Position/Eck/Rank: Chairman Address of employer: United States Does the person work as senior executive of a DB•recognired regulated entity in the financial nthistry, or an entity listed on a DB•recogneed exchange' (Not applicabk for operating entities 0 Yes Rho Is the individual a Politically Exposed Person (PEP)"(Y Yet rfaatze) 0Yes ®No To the best of your knowledge, is the individual related to an employee of the DEI group, elFamily Openly • Friendship EINone or bkorferip, dente) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche (Dye, 0 No Bank (e.g., external legal counsel, client referral source, suppler of goods a servicesP(if Yes,describe) Indicate where and when the dent meetings) took place: If appltable, indicate which bank officers have met the person: Client Private Cleat Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: 0 • 0 O O O 0 0 0 ElWealth Decals 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 Individuas Business: Attorney Primary Country of source of wealth/source cl Funds" Primary industry of source of WealtIVSourte of Funds? Summarize Source of Wealth: 0 Business Owner 2 Salary/Earnings 2 Investment 0 Inheritance/Gifts 0 Other: Further Describe Source of Wealth /Detail 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 business, how many employees, Set of profitability' Indicate type of business, countries of major activities, important business partners.) The source of wealth for Carohne Lang derives hoer her employment as Chairman of Sotheby's Switzerlamd. Caroline Lang is internationally recognized for her in-depth knowledge of the art market and her longstanding expertise in Impressionist, Modern and Contemporary art. Appointed Chairman of the Swiss Departed t of Impressionist, Modem & Contemporary Art In 2012, this consummate polyglot has advised same of the most important collectors in Switzerland and worldwide. In November 2011, she played a decisive role n the New York sale of Abstraction-flguratkin, an exceptional private collection of abstract works by Gerhard Richter and It x Ernst which realized a world auction record for a work by Richter at the tine. Caroine Lang has also conducted major marathon auctions In Switzerland, the UK a d Germany, including the hStoric weeklong sales of works of art from Monrepos Castle in Ludwigsburg in 2000 and the Royal House of Hanover in 2005. Ms Lang also serves as an executive for Warner Brothers Inc,.Her annual locoed is approx. 450k. Estimated Annual Income(S): 450,001.00 Estimated amount of investable assets($): SI MM - 2 MM Estimated Net Worth(S): SI MM • 2 MM Amount of assets planned to Invest WM MH(S): Other Known Financial Institutions: Institution: (Country: ESt. Abets Under Mgt: I Institution: Country: Est. Assets Under Mgt: SONY_GM_00040016 ht t ps://dbforcepb.my.salesforca:tNEIDErlailiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002840 EFTA_00150625 EFTA01284103  KYC Print Page 9 of 16 Institution: Country: ESL Mae Under Hit Please indicate the family situation of the indrviclual (marital status, other I mlly members, etc.): SDNY_GM_00040017 littps://dbforcepb.my.salesforcCLINEJIDEArdiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002841 EFTA_00150626 EFTA01284104  KYC Print Page 10 of 16 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summary 3k Individual Details (for all parties) Individual's Name: Etienne Pierre Jean Binant - Date of Binh: Country of Residence: France Country of Cilizendlgr France Has client resided outside of hIsrber country of n ationa lay for Dyes W No Address of primary residence: 5 years or more' ProfessliontOmpaBon: Finance Tax ID / 55/E: Current Employer: Prytanee LIC Poston/Tile/Rank: Manager Address of employer: Does the person week as Sonia executive of a DB'recognired regulated entity in the Financial ndustry, or an entity listed on a DB-recognised exchange' (Not applicable for operating entities • Yes giro Is the individual a Politically Exposed PPrial (PEP)'Of Yes, Menisci OYes @No To the best of your knowledge, is the individual related to an employee of the DB drool:RW/5cm* O Fem./ • Friendship El None or Mends* describe) To the best of your knowledge, Is the individual party to a non-bankeg relationship with Deutsche ova EA Bank (e.g., edema legal counsel, client referral source, suppler of goods a servicesPia es No Yes,describe) Indicate where and when the dent meetIng(s) took place: If applicable, Indicate whkh bank officers have met the parson: Client Private Client Plate of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: CI in O O O O O O O C3 Weekh Details for this individual are not filled in, because they are the same as for the follovang person: 313. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Indrecluars Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O SaarY/Earnings O Investment O Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate we Rh' For Inheritance, how did family accumulate swath/For bu iness owners, how long in business, how many employees, level of prollability" Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets(s): Estimated Net Worth(f ): Amount of assets planned to invest wall MRS): Other Known Financial Institutions: Institution: Country. Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country. Est. Assets Under Mgt: Please indx ate he family situation of the individual (marital status, other f may members, etc.): SONY_GM_00040018 Imps://dbforcepb.my.salesforcCUNEJIDErlarditiM0000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002842 EFTA_00150627 EFTA01284105  KYC Print Page 11 of 16 One sheet most be established for EACH LEGAL ENTITY in Section 2. Account Mammary 3C. Legal Emily Details (For all legal Entities) Legal Entity Name: Prytanee, LLC . 00000550868 • Foundation/Association O Trust ®Company O Estate 0 notate investment O Type of Entty: Purpose of Entity: O Partnership PhiallaimPic/Charltabk OCominercial LLC Purpose of Entity Other Type of Entity Other (specify): (specify): Country of USVI Date of inorporatker / 7/22/2016 incorporation/registration: registration: Determination Reouired No Volcker Status: Vokker Flag: Address (Ply, street, post 6100 Red Hook Quarter B3 St Thomas 00802 United States U.S. TINEEIN: 66-0865925 code): Provide a description of the entity's organizational structure, its ownership structure and Its Top Management. for trusttlfoundatians, include information about retrcablitY,Settior and benefiaanesetc.: This entity es owned 93/50 by Southern Trust Company Inc aimed by Jeffrey Epstein and The Pierre Trust In which Caroline Lang is the grantor. Etienne [tenant is the manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners investing in artwork from up and coming artists together. l' hey both invest equaly In the purchases of the artwork. The signatories on this account will be: Jeffrey Epstein Damen Inchte Caroline Lang Etienne Binant Please indicate how ownership of the legal entity is reflected: LLC Agreement O Special attention: Bearer Shares • Indicate inhere shares are custodied: of Describe the chain from the direct owner of the entity to the ultimate beneficial owner not tie same pawns,. This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang Is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners nesting n artwork from up and writing artists together. They both invest equally in the purchases of the artwork The signatories on this account will be: Jeffrey Epstein Darren lndyke Caroline Lang nne (Tenant To the best of your knowledge, is the entity party to a non-banking relationshg with Deutsche Bank tin (e.g. external legal counsel, cknt referral source, supplier of gools or servkesp: Yes O No 121 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: investment in artwork of up and coining artists Counties where business is transacted: USVI;Global Number of 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 WealthrSource of funds> Provide Evidence of Corporate ASSets (e.g. balance sheet or eq Nalent womary of assets/Whales): The source of wealth for this entity primarily comes from Jeffrey Epstein and Caroline Lang. Please revert to their individual sources el wealth for more deals. Estimated gross receipts P.a.(5): 1,000,030.00 Estimated net profit p.a. (5): 1,000,000.00 Estimated investable assets (5): 31MM - 2 MM Potential Amount to be invested with PWM (5): Other Known Financial Institutions: SDNY_GM_00040019 https://dbforcepb.Illy.salesforeCCINErilDairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002843 EFTA_00I 50628 EFTA01284106  KYC Print Page 12 of 16 Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt: One 'Ant mutt he nlablielsed far FAIN. LEGAL PPETITY in tertian 2 Az-taunt Summar, 3C. Legal Entity Detaib (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. • 00000483883 Type of Entity: • Foundation/Association O Trust RI Company O Estate Rimed of Entity: 0 Nitrate Investment O • Partnership Philanthrope/Charitable O Commercial PurPOte of Entity Other Type of Entity Other (specify): (sPecify): Country of US Virgin Islands Date of Inconwatico / 1l/18/2011 incorporation/registrabon: registration: Determinatice Required Vokker Flag: No Volcker Status: AddreSt (city, greet, post 6100 Red Hook Quarter 53 SI Thomas, USW 00802 United States U.S. TINA IN: 66.0779861 code): Provide a description of the entity's organizational structure, ifs ownership structure and its Top Management. For trusts/foundations, include information about revocablity,settior and benefkbrieseett: Jeffrey Epstein is the sole shareholder of Southern Trust Please indkate how ownership of the legal entity Is reflected: O Special attention: Bearer Shares - Indicate where that are caste/died: Describe the Chain from the direct owner of the entity to the ultknate beneficial owner "not me same persons). Jeffrey Epstein is the sole shareholder of Southern Trust To the best of your knowledge, is the eMIty party to a nonbanking relaticosh0 with Deutsche Bank rrn (e.g. external legal counsel, dent referral sourte, supplier of goods cc wrvicesp: YesLJ No Fa Describe Nadia of Entity's Primary Basisess and lavestnieat Activities Nature of the business: Consult and Invest dent funds and gain revenue based on fees and returns Counties where business is transacted: US Virgin Islands Number of employees: 4 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated ki Section 2) Primary Country of source of wealth/source of Funds, Primary industry of source of WealtIVSource of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Candela Services relying on Financial and Biomedical algorithms. Southern Trust Is a private consulting company that Invests the