EFTA01282092

KYC Print Pagel of IS DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01790739 One sheet must be established Der relationshi • list all accounts included in the relationshi 1. Relationship Details Relabonship Name: SOUTHERN FINANCIAL RELATIONSHIP Bcokng Center. New York Relabonship Manager: Stewart Oilfield O New PWM Relationship 0 Exotog PINTI Relaticnship Relabonship to PWM: If existing, please indicate since when the relatiorship exists, provide reason for new profile and attach old profile: •••71"c KYC is a oriole review for high risk remedation*" Original KYCI.346233 2 Client Referral 0 RM Prospect 0 Intermediary/TIM 0 Other Source (CAB, etc.) How Was the Clent(s) Introduced? How long has the RI/ personaly known the dent? Please provide details (e.g. name of referral source, ow many years WI personally has known diem, etc.): Jeffrey fasten reached out to Stew Cildfield an 317/17 to have a new acct opened under Zorro Management LLC and add two new signors to this new acct only. Does Deutsche Bank pay a retroerKsion or similar • Yin I o compensation to a third party for the introduction of this relationship? of Yes, cksmbe) List all existing and new account involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) I Pi America, Ltd 2/18/2015 2 @ Neptune, LLC • Deposit 10/18(2013 3 M NES, LLC • Deposit 11/8/2013 Who is the primary catact person for the RM? (Note: this person needs to have signatcry rights arclict information right for the accounts.): Darren lndyke Preferred method of contact (indicate phone no., fax no., email address, etc.): Status : 6. Approved SDNY_GM_00037371 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000195 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EF1'A_00147983 EFTA01282092 KYC Print Page 2 of 18 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Gratitude America, Ltd Arm Number Or evadable? Account Manager: Paul Morns What is the pirpose of the account (e.g. portfolio management, advisory account, custody services, longterm invisiment, payment/expense account)? Money market account to hold funds and earn interest Indicate from where the asses are expected to arrive? RI DB Group: Same Booking Center (indicate account number): • DB Group: ether Bcokrig Center (indicate 013 location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, searitim, cheques, ...): 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 rangeig from $10,000 to $100,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? 1339,273.79 I Currency I USD What s the expected volume of assets and currency for the account approx. one year after opening? 1320655.00 I Currency I USD Does/will the client have Assets Linder Management (AuM) within DB under Eur. 3M? afinRifto Please list all parties related to the account. For each party: • Check d a source of wealth description is required far the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the party's relation to the accost in the ",Other" column. • Ahvays describe the relationship between the parties n the last column. • Please drill down to the ultimate/underlying Benefcial Owner(s) .gal 5%er-1Source Description of Wealth required Parties related to this account AcccuntIPIC Holder OrinerTrust Settle( of / Founder of =oundation Jltimate 3enefcialor Owner SignatorydmitedFinanoal Full POA ?OA IntermedianrShareholder (FIND Significant (>'25%) Non-NC entity (Indicate ownership %) Legs Representative Grantor/SettlorFourdte Donor Other aSease descnbe other roles and/or ndicate relationship between Tarbes) 1 O O Darren tads O El D m El O O O O • 2 O El Jeffrey E. Epstein in " • D 5 El O O O O H sole member of k; 3 12 El Gratitude America Ltd 5 • D • O O O O O • SONY_GM_00037372 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000196 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147984 EFTA01282093 KYC Print Page 3 of 18 2. Account Ownership summary Account Name: Neptune, LLC - Depost Acct Number pravailabiel Account Manager: stewart oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checkeig account used for the dady needs of running Jeffrey Epsteits home in NYC Indicate 2 0 O • from where the assets are expected to arrive? De Group: Same Booking Center (indicate account number): DB Group: Other Bookie-9 Center (indicate C43 location and account detail): Other Institution - (Indicate name & location): Physical Deposits (specify cash, sectritim, 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 outflows per month ranging from 5,1003 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after Wig? 1 147,865.38 I Currency I usd What is the expected volume of assets and currency for the account approx. one year after Wig? 275000 Currency usd Does/will the client have Assets Under Management (AuM) within DB under Eur. 314? 0 Yes El No Please Ilst 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 accord (> 1 can be selected). • f none of the check boxes apply, describe the party's relation to the account in the "Other column. • Always describe the relationship between the pardes e the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s) .gal Entity/ Description Source of Wealth squired Parses related to this amount Account Wader PlC Ownerfrust/ Setdor of Founder • Foundation Jlbmate Benercialx Owner Signaton, Full POA Limited POA Financial IntermediarySharehoklerRepresentative (FIN) Significant (>425%) Von.PIC entity ;indicate ownership %) .egal GrantalSetdafounding D°^104 Other (please describe other roles and/or indicate relationship between pales) 1 • r di Jeffrey E. Epsteil O O O 9 M O O O El O sole member of Neptune Ilc; 2 M rd Neptune, isc EA O O O O • O O O El 3 O O Darren Indyke O • O N El O O O O El 4 O • Be Harry ller O O D O El O O O O O SONY_GM_00037373 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000197 https://dbforcepb.my.sale,sforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147985 EFTA01282094 KYC Print Page 4 of 18 2. Account Ownership Summary Account Name: NES, LLC - Deposit Act Number (trovatiodel Account Manager: stewart eidfield What is the purpose of the accotre (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Deposit account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes and earn interest Indicate 2 0 O • from where the assets are expected to arrive? 08 Group: Same Booking Center (indicate account number): 08 Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): Physical Deposits (specify cash, securitim, cheques, ...): 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 $1000 to 510030 What is the expected volume of assets and currency for the account approx. 90 days after opening? 1319,765.84 I arralge I tiscl What is the expected volume of assets and currency for the account approx. one year after opening? 1 15000000 I Currency I usd Does/will the client have Assets Uncle' Management (Ault) within DB under Eur. 3M? 0YesE Pb Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party • (beck the appropriate box to describe the relationship of the party to this accent (> 1 can be selected). • ( none of the check boxes apply, describe the party' relation o the account in the "Other" column. • Always describe the relationship between the parties 44 the last column. • Please drill down to the ultimatedundedying Beneficial Owners . _egal Enteyof Description Source of Wealth squired Partes related to this account Account molder PIC Ownerf Settlor of rust / Founder of Foundation Jliamate Beneficial Owner SignatortitedFinancial or Full POA • 4 A MermaliarySharehoftletetepreseM 4FIM) Significant :>=25%) Non-PIC entity (ixIcate ownership %) egal ,.... save arantalSetdorfoundingOther Donor (please describe other roles and/or indicate relatonship between Dates) I 2 ra LIC ES, 2 O O CI O O O O CI D 2 O 2 Jeffrey E. Epsten O O O 0 FA O O O CI O 3 O O Darren Indyke r l—' Do K O FA O O O O CI 4 O . K a 1 T y m Beller • O O E21 O O O O • SONY_GM_00037374 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000198 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147986 EFTA01282095 K Y ( ' Print Page 5 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all parties) Individual's Name: Darren Irdim2 Date of Birth: Country of Residence: Country of Otizenship: ■ Address of plenary residence: Has dient resided outside of hi/her country of nationality for 5 years a more? • yes No Profession/Occupation: Lawyer Tax ID / 55N: Current Employer: Southern Frendal LLC Position/Title/Rank: Address of employer: 575 Lexington Avenue, 4th Fl Livingston NY United States 10022 Does the person work as senior executive of a DB•recognized regulated entity in the Mandel industry? or an entity listed on a DB.recognisei exchange? (Not applicable for operating entities r-i Li Yes 5 No Is the incWidual a Political/1y Exposed Person (PEP)?(/,Yes, describe) OYes ONO To the best of your knowledge, is the individual related to an employee of the DB group?(/ Family or Friendshio, descnbe) • Family • Friendship i None To the best of you' knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal camel, dient referral source, suppler of goods or services)?(/ Yes,clescribe) •Yes 2 NO If applicable, rocate which bank officers have met the person: In:locate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Gent Private ornicile: Client Noce of Business: Other Location (spccify): Date: O El El 0 • • • • • O Wealth Details for this individual are not filed in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated ri Section 2) Nature of the Individual's Ettsiness: Pnmary Country of source of wealth/source of Funds? Pnmary industry of soiree of Wealth/Source of Funds? Summarize Sane of Wealth: O Business Owner O Satary/Eamings O Investment O Inhentance/Gifa DOther: Further Desalte Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For Wigs, how did settlor accumulate wealth? Fa riteritance, how did family accumulate vrealth?For business owners, how long in business, how many employees, level of ordeal:Sy? Indicate type of business, countries of major actMbes, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith($): Amount of assets planned to invest with PWN($): Other Known Fnandal Institutions: Institution: Courtry: S. Assets Under Mgt: InAitutico: Canby: S. Assets Under Mgt: Canby: S. Assets Under Mgt: Institution: CONFIDENTIAL — PURSUANT TO FED. R. IA I ON FIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147987 SDNY_GM_00037375 DB-SONY-0000199 EFTA01282096 KYC Print Page 6 of 18 Please indicate the farndy Srtuabon of the inovidual (manta) status, other family members, etc.): SDNY_GM_00037376 CONFIDENTIAL— PURSUANT TO FED. R. ie I ON FIDENTIAL DB-SDNY-0000200 https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... 7/11/2019 EFTA_00147988 EFTA01282097 KYC Print Page 7 of 18 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individuals Name: Harry Beller Date of Birth: Country of Residence: Country of Otizenship: ■ Address of primary residence: Has diets leaded outside of his/her coLntry of nationality for 5 years a more? No • yes Profession/Occupation: Accountant Tax ID / 5511: Current Employer: /03RK Associates, Inc Position/Tide/Rank: Address of employer: 575 Lexington Avenue, ‘Ith Floor Monsey NY United Rates 10022 Does the person work as senior executive of a DB.recognized regulated entity in the financial industry? or an entity listed on a DB•recognised exchange? (Not applicable for operating entities n .,,es ni te, " 1 Is the individual a Politicaly Exposed Person (PEP)?(/f Yes. describe) OYes ONO To the best of your knowledge, is the individual related to an employee of the DB group?(if Familyor Friends* descnbe) • Family • Friendship i None To the best of you knowledge, is the indivkkel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dient referral source, suppler of goods or services)?(d Yes,describe) No • Yes 2 If appkatle, notate which bank officers have met the person: Indicate where and when the dent meeting(s) took place: Bat °fixer Name(s) Bank Office: Client Private Domicile: Client Mace of Business: Other Location (specify): Date: O O O • • • O N or O Wealth Details fa this individual are not filed 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 Busi-ess: Primary County of source of wealth/source of Funds? Primary industry of sane of Wealth/Source of Funds? Summarize Sane of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Gifis °Other: Further Desaite Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For busts, how did settlor accumulate wealth? For inhentance, how did family accumulate vrealth?For business owners, how long in business, how many employees, level of profitadity? Indicate type of business, countries of major actMbes, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith($): Amount of assets planned to mist with PV/P4($): Other Known Hnandal Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Country: Est. Assets Under Mgt: Institution: SDNY_GM_00037377 DB-SONY-0000201 7/11/2019 EFTA_00147989 EFTA01282098 KYC Print Page 8 of 18 Please indicate the farndy Srtuadon of the inovidual (marital status, other family members, etc.): SDNY_GM_00037378 CONFIDENTIAL - PURSUANT TO FED. R. IC I ON FIDENTIAL DB-SONY-0000202 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147990 EFTA01282099 K Y ( ' Print Page 9 of 18 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all panes) Individual's Name: Jeffrey E. Epstein - Date of Birth: CoLntry of Residence: USVI Country of Otizenship: USA Address of primary residence: Litre Saint James Sant Thames 00802 United States Has dient resided outside of his/her ccountry of nationality for 5 years a more? No • yin Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer. Southern Hnandal LLC Position/Title/Rank: President Adckess of employer: 6100 Red Hock Quarter 83 SL Thomas United States 00802 Does the person work as senior executive of a DEl.recognized regulated entity in the financial industry? or an entity listed on a DDrecognisei exchange? (Not appkable for operating entities r-i • Li Yes ...4 No Is the inckidual a Pditicaly Exposed Person (PEP)?(i! Yes, tate) close relationship with BS Ointori and Prince Andrew. @ Yes O No To the best of yes knowledge, is the individual related to an employee of the DB group?(N Fam.?y et Friends* descnbe) 0 Family • Friendship i None To the best of yes knowledge, is the indivdtel party to a non-banking relationship with Deutsche Bank (e.g., external legal ousel, dient referral source, suppber of goods or services)?(d Yesdescribe) • Yes 2 No If appkatie, vacate Midi bank officers have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: Cent Private Domicile: Client Place of Buenas: Other Location (specify): Date: O O O O • . El N s 0 Wealth Details fa this individual are not filed in, because they are the same as fa the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated ri Section 2) Nature of the Indmduats likeness: Private investments Pnmary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Summarize Sane of Wealth: 2 Business Owner 0 Salary/Eamings 2Investment 0 Inhaitance/Gilis DOther: Further Dante Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trust, how did senior accumulate wealth? Fa nheitance, how did family accumulate vrealth?For business owners, how long in business, how many employes, level of profitabety? Indicate type of business, counbies of major activities, important business partners.) Jeffrey Edward Epstein (ban S an American financier and registered sex offender in the United States. He worked at Bear Steams eaty in his career and then formed his own frm, J. Epstein & Co. In 2038, Epstein was convicted of soliciting an underage girl for prostituticn, for which he served 13 months in prison. He lives in the US Virgin Islands. Epsten taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his student was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special product division, advisi-ig highnet•ivath dent on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Steams. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of dient with more than $1 billion in net worth. In 1987, Leslie Weiner, founder and chairman of Ohio based The Limited chain of waneres clothing stores,. became a welfilmown client. Wexner acquired Abercrombie & Fitch the folowing 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 lax 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 Deutch, investor Nelson Pelt, media mogul and publisher Mortimer Zuckerman, who had the New Yak Daily News, and Mn producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 aim SDNY_GM_00037379 DB-SDNY-0000203 7/11/2019 EFTA_00147991 EFTA01282100 KYC Print Page 10 of 18 In 2004, Epstein and Zuckerman committed up to $25 million to frence Radar a celebrity and pop culture macre founded by Meer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a smal ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their client and gets their revenue from the return of these investments Southern Trust invests el different portfolios catered to the.' clients and m*es their revenue based on the returns and the fees associated with managing their client's assets. Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM • 100 MM Estimated Net Worth($): $500 MM + Amount of assets planned to elven with PWM($): Other Known Rnandal Institutions: Institution: Country: S. Assets Under Mgt: Counby: S. Assets Under Mgt: Institution: Counby: S. Assets Under Mgt: Irstitutico: Please indicate the fanny stuabon of the intividual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summ 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Gratitude Amenca Ltd Type of Entity: Purpose of Entity: O Private Investment Ed Flulanthropic/Charitable 0 Commercial Elroundationmssociabon • Trust O Company • Estate O Partnership Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporationtregistraticn: USVI Date of incorporate., / re2istrattn: 9/25/2012 Volcker Status: Estateor Chantable/Philantcptic Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter, 83 St. Thomas 00802 United States U.S. TIN/EIN: 66-0789697 Provide a description of the enbty's organizational structure, Ds ownership structure and its Top Management. For busts/foundations, indude information about revocability,setticr and benefidaries,etc: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Enka Kellerhals is Secretary. The signors on this account are Jeffrey Epstein 0 Darren Indyke Please indicate how ownership of the legal entity is reflected: Shares - Indicate where shares are custodied: • Special attention: Bearer Describe the chan 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 Enka Regrets is Secretary. The signors on this account are Jeffrey Easton and Darren Indyke To the best of your knowledge, is the entity party to a non-baking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes LJ i—i No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: The foundation has not yet started distributng funds and is still determiner; what endeavors they will support. They hope to support a broad range of efforts including, but not limited to, education science research etc. Countries where business is transacted: USA, USV1 Number of employees: 3 3D. Wealth Profile (Only for anus requiring source of wealth desm(ban as 'vacated in Section 2) Primary Country of source of wealth/souroe of Funds? Primary industry of source of VVealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liablities): SDNY_GM_000373S0 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL DB-SONY-0000204 h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147992 EFTA01282101 KYC Print Page 11 of 18 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... The foundation is funded by Jeffrey Epstein. Please revert to his source of wealth for more deals Estimated gross receipts p.a.($): 500,000.00 Estimated net profit p.a. ($): 500,000.00 Estimated investable assets ($)• $2 MM - 5 MM Potential Amount to be invested with FWM ($): 100,000.00 Other Known Frendal Institutions: Institution: DB Country: USA Est. Assets Under Mgt: 100,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: flaw cheat moat ha tantahlichari far FACH I FtIAI FRIT1TV in CaeHnn J_ Anemone. giimmans 3C Legal Entity Details (For all Legal Entities Legal Entity Name: Gratitude America . Type of Entity: PI-19)135e of Entity: • Private Investment Foundation/Association • Trust 0 Company • Estate Philanthropic/Charitable O Commercial O Partnership Type of Entity Other (specify): Purpose of Entity Other (specify): Country a inmrporationtregistration: USVI Date of incorporation! oration / 4/25/2012 Volcker Status: Estate a Chantable/Philantcptic Voldcer Flag: No Address (city, street, post code): 6100 Red Hook Quarter, B3 St. Thomas 00802 U.S. TIN/EIN: 66-0789697 Provide a description of the entity's organizational structure, in ownership structure and its Top Management. For trust/foundations, include information about revocability,settlor and beneficiaries,etc: S01(c)3 foundation. Jeffrey Epsom is president, Darren Indyke is treasurer and Erka Kellerhals s Secretary. The signors on this account are Jeffrey Epstein 0 Darren Indyke Please indicate how ownership of the legal entity is reflected: S01(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Enka Kellerhals is Secretary Shares - Indicate where shares are custodied: • Spedal attention: Bearer Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not one same persons) SOI(c)3 foundation. Jeffrey Epstein s resident Darren I ke is treasurer and Enka Kelerhals is Secrete . The si hors on this account are E stein and Darren ke 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, supper of goods or services)?: r—i yes No LJ I21 Describe Nature of Entity's Primary Business and Investment Activities Nature of the busness: The foundation supports a broad range of efforts inclucing, but not limited to, education, soence, research, etc. Countries whew business is transacted: USA, USV1 Number of employees: 3 3D. Wealth Profile (Only for arks requinng source of twalth description as indicated n Section 2) Pnmary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/Natal:its): The foundation is faded Jeffrey E ston. Please revert to his source of health for more details. al:anat.:I gross receipts p.a.($): 500,000.00 SDNY_GM_00037351 DB-SONY-0000205 7/11/2019 EFTA_00147993 EFTA01282102 KYC Print Page 12 of 18 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... Striated net profit p.a. (5): 500,000.00 Ebnated investable asset ($): <$1 MM Potential Amount to be invested with MAN ($): 100,003.00 Other Known Francial Institutions: Institution: DO County: USA Est. Assets Under Mgt: 100,000.00 Institubcn: County: Est. Assets Under Mgt: Institutor: Country: Est. Assets Under I4gt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For a Legal Entities Legal Entity Name: Neptune, LLC Type of Entity: Trust EICanpany 0 Estate Purpose nit Entity: 2 ate Investment O Priv Ftslanthropic/Charitatie O Commercial 0 FounclationfAsscoanon . O Partnership Type of Entity Other (specify): of OtPurpose her (slaecify): Entity Country or incorporation/registratiat USA Date of incorporation / registration: 12/21/2011 Volcker Status: Detemwation Required Volcker Flag: No Address (city, street, post code): 6100 Red Hook, Quarter B3 St. Thomas 00802 U.S. TIN/EIN: Provide a description of the entity's organizational structure, its ownership structure and Its Top Management. For trusisifoundabcris, include information about reyccability,settler and bereficianes,etc: Single member LLC Jeffrey Epstein is the sole member. The signets on this account are Jeffreylpstein, Harry Beller, and Darren Indyke. Please indicate how ownership of the legal entity is reflected: Shares - Indicate where shares are custodied: Special attention: Bearer Describe the cham from the direct owner of the entity to the ultimate beneficial owner Of 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, suppker of goods or services)?: n Yes No L-I Describe Nature of Entity's Primary Business and Investment Activities Nature of the tusiness: This LLC was formal to hold the funds necessary to cover the mst and taxes with running Jeffrey Epstein's NYC home Coto-Cries where business is transacted: USA Humber of employees: 1 3D. Wealth Profile (Only for pates requiring source of wealth desavaten as a-ideate:I ri Section 2) Pnmane Country of source of wealth/source of Funds? Pnmane industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Asset (e.g. balance sheet or equivalent summary of assets/liabbnes): This LLC is funded 'Try contributions made by Jeffrey Epstein. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. (5): 1,000,000.00 enmated investable asses (5): -31 NINI Potential Amount to be swested with P•VM (5): SDNY_GM_00037382 DB-SONY-000020S 7/11/2019 EFTA_00147994 EFTA01282103 KYC Print Page 13 of 18 I Other Known Anandal Institutins: Institution: db Country: usa Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Instttuto.,, Canby: Est. Assets Under Mgt: anal chant mutt ha Actahlichael far Fatal I Ftal FFITITY In Cretin J. Arrnain I. Cie mmnev 3C. Legal Entity Details (For a Legal Entities Legal Entity Name: NES, IIC - Type of Entity: C FourclationtAssccation El Trust I?) Company O Estate LIPartnership _ Purpose of Emily: Phdanthropic/Chwitatle OPrivate Investment • ID Commercial Type of Entity Other (specify): Purpose of Entity (specify): Country of incorporation/registration: USA Date of incorporatico / re2istratto: 8/13/1998 Volcker Status: Determination Required Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter, 83 St, Thomas 00802 United States U.S. TIN/EIN: Provide a description of the entity's organizational structure, it ownership structure and Is Top Management. For [runs/foundations, include information about reyocability,settla and beneficiaries,etc: Snore member LLC Jeffrey Epstein is the sole member. The skims on this axcunt are Jeffrey Epstein. Darren Indvke and Harry Beller Please indicate how ownership of the legal entity is reflected: Shares - Indicate where shares are custodled: • Special attention: Bearer Describe the chan from the direct owner of the entity to the ultimate beneficial owner (toot DV same persons): To the best of your knovrledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal coursed, client referral source, supper of goods or services)?:n)?: ra Yes LI rn No Ul Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: NES, LLC was famed to take ore of the expenses associated with running one of Jeffrey Epstein's homes CoLntries where business is transacted: USA, USA Number of employees: 1 3D. Wealth Profile (Only for antes requiring source of wealth desa(tion as irdicated n Section 2) Primary Country of source of wealth/souroe of Funds? Primary industry of sarce of Wealth/Source of Funds? Provide Evidence of Corporate Assels (e.g. balance sheet or equivalent summary of assers/liablities): MI folds come from Jeffrey Epstein, who has been KYCd previously Estimated gross receipts p.a.(9): 1,000,000.00 Estimated net profit p.a. ($): 500,000.00 Estimated investable asses ($): <$1 MM Potential Amount to be iwested with PWM ($): Other Known Financial Institutions: Institution: I Ci8 I Gantry. I USA I Est. Assets Under Mgt: I CONFIDENTIAL- PURSUANT TO FED. R. CeO) N F I DENTIAL SDNY_GM_00037383 DB-SDNY-0000207 h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147995 EFTA01282104 KYC Print Page 14 of 18 Instill,lice: Counay: Est. Assets Under Mgt: Instill,lice: Carey: Est. Assets Under Mgt: SDNY_GM_000373S4 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000208 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147996 EFTA01282105 KYC Print Page 15 of 18 DB PWM GLOBAL KYC/NCA: US/LatAm/Intl PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rang Comments: Booking Center 2 NY 0 NY/Offshore 0 Moderate Risk 2 High Risk Yoonsun Chung • Offshore (Compliance Signature) El 08 Employee 0 DB Managed PIC 0 DB is Trustee/Co-Trustee 0 Bearer Shares 4. Attachments A. Type of Photo ID Provided 2 Drivers License 2 Passport 0National/State ID 0 Other Checklist of names (individuals and/or entities) that were submitted for database searches is B. 2 Yes ID No attached C. Please indicate the results of the database searches performed ROC searches ccmpSete 5 Yes 0 No negative results found 0 Yes 2 No KR checks complete 2 Yes • No negative results found • Yes No OFAC checks complete 2 Yes 0 No negative results found 0 Yes RI No BIS searches complete (Leds/Nexis, Factiva, Reuters, Dow knes, 08B) 2 Yes 0 No negative results found 0 Yes 121 No Denial Orders checks complete RI Yes • No negative results found • Yes Y. No MetindaleHubbel searched (Lawyes/Law Firms only) 0 Yes M No negative results found . Yes 0 No Please summarize any negative results from the database searches indicated above: GRATITJOE AMERICA: No negative media No court cases DARREN INDYKE: Negative media menticos his name as an owner of a building. The negative media is not about him individually but about the others mentioned. No court cases D. JEFFREY EPSTEIN: Previously approved KYC P:01082293 & 01121716 All negative media pertains to court cases which have been previously approved in the above mete red KYCs. Court Cases have been closed Neptune LLC: The court case in the research is a false posabve and does not refer to the entity that is part of this KYC The entity in the court case refers to a NYC entity owned by Salvatore Juice, where as the entity in this KYC is a USVI entity solely owned by Mr. Epstein. Neptune LLC owned by Jeffrey Epstein donated to Gary King's campaign for $5,200 in 2006. Mr. Epstein is already noted as a PEP E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 2 yin 0 No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutche Bank AG or any of its subsidiaries or is the customer threatening litigation against F. 0 Yes 121 No Deutche Bank AG or any of its subsidiaries? (If S. provide &tads below and contact Qua/byMgt (LabladItel)or the Regteratory Canby/ Croup and not* Compeance immediately) Does financial the dent or related party have any or otter association / interactions within G. • Yes No Office Famign Control cooties or regimes sanctioned by the of Assets (OFAC)? Does the dent or related party have any financial or other association/ interactions within high risk • Yes No countries? I. Corporate Documentation Attached (Legal Entities Only) 2 Yes 0 No 0 Not Applicable J. Undsdosed Principal Form Complete (Intermediaries Only) • Yes • No Not Applicable K. If LexisMexe Search Results, Corporate Document or Other Supporting Doane Cation is not in Engksh, please provide an English summary of the nature/contents of the nal-English Documentation: L. Special Risk Factors CONFIDENTIAL — PURSUANT TO FED. R.toNFIDENTIAL SDNY_GM_00037385 DB-SONY-0000209 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147997 EFTA01282106 KYC Print Page 16 of 18 Does the account have Nexus to Special Risk Coale? D Yes 2 No Is the account structure unusually complex? O Yes In No Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to thrd parties? , L-I Yes E No Is there any indication this coed be a prohibited business reLabonship? D Yes 5 No Are the bearer shares identified subject to acceptable controls? O Yes 2 No SDNY_GM_00037386 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000210 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147998 EFTA01282107 ICYC Print Page 17 of 18 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... Pt Case Comments Created By Date Comments Drnitra Manley 8/161117 3:06 PM This KYC serves as a high risk update for the below listed diet (together accarMolders") - I. Gratitude America, Ltd 2. kieptune, LLC 3. NES, I1C Below are the reasons why we are comfortable with approving this KYC: • Information and supporting documents required by our AML Policy were provided and renewed; and as a result, we have an understanding of the structwe of the accountholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors associated with the accountholdas - SOW: The UBOs (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages dients assets. SOW venfication was obtained. Negative Media & PEP: There is some negative media against Mr Epstein and he is also maintains a dose relationship with Bill Ointon and Prince Andrew. Please see risk calculator for more information. Appropriate approval was obtained. • Ow review did not identify any red flags and thus there was no need to escalate this case further. • We performed due dSgence searches on all parties and did not find the names searched to be on any sandions lists Cynthia Rodriguez 8/16/1171:32 PM Client confirmed on a call that there were no changes to these accounts on 712612017. Cynthia Rodriguez 7/13/117 10:05 AN Haze Trust and Butterfly trust have been removed from this remechation kyc and added to kyc case 01804531 as benefidary information us sti pending. Cynthia Rodriguez 7/10/117 11:59 MI Source of Wealth for Jeffrey Epstein is attached. ONSHORE APPROVALS Client Facing Professional (CFP): stewart oldf,eld (Signature) stewat cedfield 7/5/2017 Office Director/Busness Head: Andrew F Gatvan (Signature) Andrew F Gallivan 7/6/2017 Regional Office brector: (Signature) AML Business Risk: (&g nature) AML Compkance: D. man!ey obo Kshttii Golan, Yoonsun Chung (*nature) D. Manley obo Ks fo Gdani Yoonsun Chung 8116)2017 8116)2017 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub•Market Team Head ISMIH): (Signature) AML Business Risk: (Stgnatre) AML Compliance: (Signature) SDNY_GM_00037387 DB-SONY-0000211 7/11/2019 EFTA_00147999 EFTA01282108 KYC Print Page 18 of 18 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 Professionals) (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 (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Ctifficers, Brokers. Client Manners. etc. Deutsche Bank Americas New York SONY_GM_000373841 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000212 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148000 EFTA01282109