EFTA01282143

KYC Print Page 1 of 42 DB PWM GLOBAL KYC/NCA: PART A KYC Case N : 01804531 One sheet must be established Per relationshi - list all accounts included In the relatlonshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:0000O483290 e.00king Center. Nov York Relationship Manager: Stewart DIMS • New PWM Relationship 12 Existing PWM Relationship Relationship to PWM: If mosbng, please indicate sate when the relationship exists, provide is a periodic review for high risk remediation•• • Original KYC1121946 reason for new profile and attach old profile: •**This KYC 2 Client Referral O RM Prospect O Intermediary/Flm O Other Source (GB, etc.) mow Was the Client(s) Introduced? How long has the RM personally known the client? Please provide details (eg. name of referral source, how many years readied out to Stew Wield on 3/7/17 to have a net, acct opened new acct ally. RM personally has known dimity etc.: Jeffrey Epstein wider ZOITO Management LLC and add) two new signors to this toes Deutsche Bank pay a retrocession or simlar O Yes 12 No compensator, to a third party tat the introducbon of this teLatlorship? al Yes, desotelt Ls,: al existing and new accounts involved in this relationship Legal Entity Account(s) Acoount Name / Number Opening Date (intended/actual) PA The Haze Trust - Deposit 2/27/2017 2 FA Butterfly Trust - Deposit 1/24/2014 3 2 The 2007 Jeffrey E. Epstein Insurance Trust #3 - Deposit 10/16/2013 Who Is the canary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): ...,_...en indyke a " Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): Status : 6. Approved SDNY_GM_00037434 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-000025S https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148046 EFTA01282143 KYC Print Page 2 of 42 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: The Haze Tnist . Deposit Acct. Number OtavarlaL*1 Account Manager: stewart °Weld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/erpense account)? this Is a deposit account to hold cash for the trust Indicate from where the assets we created to arrive? 0 DB Group: Same Booking Center (Inckcate account number): O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): O Ftysical Deposits (specify cash, securities, cheques.....: What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: collecting interest on current balance...no inflow/outflows What Is the expected volume of assets and currency for the accorsit approx. 90 days after opening? 121,063,409.16 I Currency I USD What is the expected volume of assets and currency for the accota approx. one year after opening? I 21,077711.01 I Currency I Us° Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? Ll Yes RI NO Please 1st all parties related to the account. For each party: • Check if a source of WeSith descnption is required for the party. • Check the appropriate box to describe the relationship of the party to this accorsit (> I can be selected). • If none of the chedt bore apply, desaibe the party's relation to the account in the 'Other column. • Always describe the relati nshp between the parties in the la t column. • Please aril down to the ultimate/underhy ng Bendier I Owner( ). .agal Entity 7esalptio of Source of Wealth equlred flies elated o this ccount AccounPIC Holder 3wnerTrust/ Settior of Founder of Foundation Ultimate Beneficiaka Owner Signatory fie POA Umiteefinanoal POA IMermediaryStrareholderitepresentative (FIM) SigndiooM (>=2S%) Non-PIC entity (indicate ownersho %) _egal .--Irarcor/Settla Founding Donor Other (please descrite other roles and/or ndicate relationship oetween parties)j 07H:beneficiary' of The Haze T I O O Jeffrey . In O O 4'4 El O O O O O O 2 Q Q The aze '1St 0 0 0 0 0 O 0 0 0 0 3 O O Darrel ndyke n " O • • El O O D O • Trustee:; SDNY_GM_00037435 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000259 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148047 EFTA01282144 KYC Print Page 3 of 42 CONFIDENTIAL - PURSUANT TO FED. R. t oNFIDENTIAL https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 2. Account Ownership Summary Account Name: Butterfly Trust - Deposit Acct. Number Of avaieibki Account Manager: stewart oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment payment/expense account)? This is a deposit account to hold funds for the rust Indicate from where the assets are expected to amve? ct DB Group: Same Booking Center (inelcate account number): O DB Group: Other Booking Center (indicate DB location and account details): • Other Institution — (Inekate name & location): O Physcal Deposits (specify cash, secant es, cheques....): What IS the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: no nflowsioutflows What IS the expected volume of assets and currency for the account approx. 90 days after opening? 12.99 I Currency I usd What is the expected volume of assets and currency for the account approx. one year after opening? 12.99 I Currency I W4 Does/will the cleM have Assets Under Management (AuM) within DB under Eur. 314? Oyes 121 No Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the check boxes apply, describe the partys relation to the account in the Tither column. • Always describe the relationshp between the parties in the last column. • Please Cal down to the ultim tefunderlying Beneficial 0 aler(s). _egal Entity Description g Source sf Wealth equired Parties related to this account hccountPIC Holder Onna'Trust Settlor of / Founder of—Seiner Foundation Jltimate Seneficiake Signatory Ful POA Unite? POA ancial ntennediaryShateholderVepresentative FIM) Significant (>=25%) Yon-PIC entity (indicate ownership %) _egal Grantor/SettiorfoundngOther Decor (please describe other roles and/ix ndicate relationship pt ween rties) I O O Shul KagYna iak • • K ID O O O O O O O beneficiary he titterny st; 2 O O . • • O O O O O O O s beneficiary of the dAterfly trust; 3 O O KahRetard D. • 0 • • O O O O O O beneficiary fly tat; 4 O O i O O O O O O O O O O beneficiary aft butterfly rust S O • Darren Indyke • • • O O O El O • • beneficiary of the butterfly mut; 6 O O i O O O O O O O O O • Beneficiary of Butterfly Trust' 7 O O • • • • O O O O O • Beneficiary of Butterfly Trust' 8 O O O O O O O O O O O O Beneficiary of Butterfly Trust; 9 SDNY_GM_00037436 DB-SONY-0000260 7/11/2019 EFTA_00 148048 EFTA01282145 KYC Print Page 4 of 42 O O i O O O O O O O O O O Benelicisty of Butterfly Trust; 10 O . • • a • O O O O O • Benelicisty of Butterfly Trust' 11 O O • O O O O O O O O O Benelicisty of Butterfly Trust; 12 O O iO O O O O O O O O O Geneticists of Butterfly Trust 23 2 e Tamer*/ 2 O O O O O O O O O 14 DI Ktka eltialS 2 O O O O Trustee; • • • • • IN 15 O O : er 2 O O O O Trustee; • • • • • 26 O 2 2ci psiterer . O O 2 2 O O O O O O wetter; SDNY_GM_00037437 CONFIDENTIAL - PURSUANT TO FED. R. t I O B- NFIDENTIAL DS0NY-0000261 ht tps://db forcepb.my.sa le sforce.corn/servlet/servlet.lntegration?lid=01N 300000001)9 Di & e... 7/11/2019 EFTA_00 148049 EFTA01282146 KYC Print Page 5 of 42 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust 03 - Deposit Acct. Number (rearlable) Account Manager: stew °Weld What Is the purpose of the account ( g. portfolio management, advisory account, custody sallow, long-term immanent, payment/expense account)? Checking account to hold holds for this Ira Indicate from where the assets we expected to amve? 0 D8 Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (Indicate D8 Mahon and account details): O Other Institutbon — (Indicate name & location): O physical Deposit (specify cash, seanties, chequm, ...): What is the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: no inflows/outflows What is the expected volume of assets and currency for the account approx. 90 days after opening? 1259.05 I Currency I usd What is the expected volume of assets and currency for the account approx. one year after opening? 1239.05 I Currency I usd Does/will the client have Assets Under Management (AuM) within D8 under Eur. NV ❑Oyes 2INo 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 accowit (> I can be selected). • f none of the check boxes apply, describe the party's relation to the account In the tther column. • Always describe the relationship between the parties in the last column. • Please Ord down to the ohm tejunderlying Beneficial 0 rner(s). _egal Entity Parties related to account this DemerTrust Senior of / Founder &Owner Foundation Jitimate 3eneficlake Sonataydnutecirranclal Ful POA 0OA InterTnedlaryShareholderliepresentame (MM) Significant (>=25%) Yon-PIC entity (indicate a‘wersh0 51,) _egal GrantodSettiorfoundompther Donor O (please describe other roles and/or ndicate relationship r atween • rties) Beneficiary of The 2007 Jeffrey E. Osten Insurance Trust #3; ›escription of Source f Wealth equired AccountPIC Holder I O . a • oo 0 0 00 • o 2 2 5 The 2007 Jeffrey E. Epstein Insurance Trust X3 21 O O O O O O • O • 3 O 5 Jeffrey E. Epstein Di O 2 El O O O O O • grantor; 4 O O In Darren dyke O O O O ® O O O O O Trustee; S O O "" D. Kahn O a • O El O O a a O Trustee:; SDNY_GM_00037438 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000262 https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148050 EFTA01282147 K 17C Print Page 6 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh 1p Summ 3A. Individual Details (for all parties) Individual's Name: Dated Birth: Country of Residence: USA Country of Citizenship: USA Address of primary nasdence: Has client resided outside of his/her country of rationality for S years or more? El yes 2 No Profession/Occupation: Tax ID / SSN: Current Employer: Posithonfrtle/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated enbty in the (Wendel ndustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating entities n yes 2 No I—I Is the Int:tactual a Poetically Exposed Person (PEP)?(/ yes, rfeStrWel Dyes 2 No To the best of your knowledge. Is the Individual related to an employee of the DB group?(If Family or Frimehl(o, describe) El Family El None • RierichNp To the best of your knoutedge. Is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal coursel, client referral source, supplier of goods or services)? Of Vales/Jibe) O Yes 2 No if applicable, Indicate which bank office's have met the person: Indicate where and when the dant meetlrxXs) took place: Bank Officer Name(s) Bank Office' ' ClieM Private Domidle: Client Place of Business: Other Location (speofy): Date: O O O O O • O O O for this individual are not filled in, because they are the same as for the foaming person: • Wealth Details 38. Wealth Details (Only for parties requiring soiree of wealth dmarption as aldtcated in Semen 2) Nature of the Individual's Bus less: Primary Country of soiree of wealth/source of Funds? Primary industry of source of WealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalay/Earnings O Other: I l l Investment O Inbentance/G03 Further Describe Soiree of Wealth /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did settior accumulate roaster? For inheritance. how did family accumulate weakh?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($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest veth PWM($): Otter Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Pkit: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, othe family minters, etc.): SDNY_GM_00037439 DB-SONY-0000263 7/11/2019 EFTA_0014805 I EFTA01282148 KYC Print Page 7 of 42 SDNY_GM_00037440 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000264 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148052 EFTA01282149 KY(' Print Page 8 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh 1p Summ 3A. Individual Details Oct all parties) Individuals Name: karYna Shullak - Date of Birth: Country of Residence: USA Country of Otizenship: Slovakia Address of primary residence: Has client resided outside of his/ler cony of nationality for 5 years a more? O yes 2 No Profession/Occupation: )SC Interiors LLC Tax ID / SSN: Current Employer: )SC Interiors LLC Poston/Title/Rank: Interior Decorator Address of employer: 575 Ledngton Ave 14th R New Yak NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity to the Brenda' ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes M No Is the IncWidual a Politically Exposed Person (PEP)?(if Yes, cfesaib<9 O Yes 2 No To the best of your knowledge, Is the individual related to an employee of the DB group,(1 Panto' friendsl(o, describe) El None • Family • Friendship To the best of your knowedge, Is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legs counsel, client referral source, wrier of goods a servicis)? Of radescribe) No . Yes 2 if applicable, indicate which bank officers have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office Gent Private Dornbalt Client Place of Business: Other LoCaten (speedy): Date: O O O O O • O O O O Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 38. Wealth Details (Only for parties requiring sane of wealth dwarption as .ndtcated in Setter. 2) Nature of the Individual's Business: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/ealtIVSoutte of Funds? Summarize Source of Wealth: O Business Owner OSalani/Eamings O Other: n Investment • Inheritance/Ms Further Describe Soiree of Wealth /Detail the history of wealth for each of the sources: (e.g. For Ma, how did settlor accumulate wealth? For Inheritance, how did family accumulate ‘wetth ?For business owners, how long in business, how many employes, level of prohabiltty? Indicate type of business, counties of major acavittes, importarc business partners.) Estimated Annual Inccene(S): Estimated amount of investable assets($): Estimated Net Worth(S): Amount of assets planned to invest Wel PV/M($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please inacate the family situation of the individual (marital status, oche family minters, etc.): CONFIDENTIAL- PURSUANT TO FED. R. F I DE NTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148053 SDNY_GM_00037441 DB-SONY-0000265 EFTA01282150 KYC Print Page 9 of 42 SONY_GM_00037442 CONFIDENTIAL - PURSUANT TO FED. R. Ce I - ONFIDENTIAL DB-SONY-0000266 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148054 EFTA01282151 K 1 7C Print Page 10 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh 1p Summ 3A. Individual Details (for all perms) Individual's Name: Date of Birth: Country of Residence: USA Country of Otizenship: USA Address of primary residence: Has client resided outside of his/her country of rationality for S years a more? O yes @ No ProfessiceVOccupation: homemaker Tax ID I S91: Current Employer: NES, MC Position/Title/Rank: Address of employer: 6100 Red Hook Quarter, B3 New York United Rates 00802 Does the person work as senior emotive of a DB-recognized regulated entry in the °rands' ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 2 No Is the IncWickal a Politically Exposed Person (PEP)?(! Yes, describe) Ores 2 No To the best of your knowledge, is the Individual related to an employee of the DB group?(A1 Pam* or Thendsh(o, desaibe) O Family El None • Friendship To the best of your knowledge, Is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legs coursel, client referral source, supplier of goods a servion)? Of radescribe) No Yes 2 if applicable, indicate which bank office's have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: CleM Private Dornialt Client Mace of Business: Other tocatico (seedy): Date: O O O O O • O O O O Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 38. Wealth Details (Only for parties requiring smite of wealth dompoon as aldtcated in Secton 2) Nature of the Individual's °useless: Primary Country of smite of wealth/source of Funds? Primary industry of source of VfealtiVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Other: n Investment O Inhereance/Cafis Further Describe Smite of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitablitty? Indicate type of business, countries of major activroes, important business partners.) Estimated Annual Inccene($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount d assets planned to Invest Wel PWN($): Cther Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Ins:Ruben: Country: Est. Assets Under Mgt: Please indeate the family slush °, of the individual (menial status, othe family mutters, etc.): SDNY_GM_00037443 DB-SONY-0000267 7/11/2019 EFTA_00148055 EFTA01282152 KYC Print Page 11 of 42 I i SDNY_GM_00037444 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000288 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148056 EFTA01282153 KYC Print Page 12 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Date of Beth: Country of Residence: USA Country of Otizership: Russia Address of primary residence: Has client resided outside of his/her Country of rationality for S years a more? O yes 2 No ProfessIon/Occupation: Tax ID / SSN: Current Employer: Postionatle/Rank: Address of employer: Does the person work as senior caeca:lye of a DB-recognized regulated entity in the financial ndustry? or an entity listed ona 08-recognised exchange? (Not applicable for operating entities O Yes 2 No Is the IncWiekal a Poetically Exposed Person (PEP)?(! Yes, deStribel Ekes 2 No To the best of your knontedge, is the individual related to an employee of the DB groupyi Family or friendsl(o, describe) El None • Family • Friendship To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., edema' legs coursel, client referral source, supplier of goods a services)? Of Yesoescribe) No . Yes 2 if applicable, Indicate whith bank office's have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office Client Private Domboilt Client Place of Business: Other Location (spotty): Date: O O O O O • O O O • Wealth Details for this individual are not filled in, because they are the same as for the SWAN person: 38. Wealth Details (Only for parties requiring space of wealth deso'Cdon as indicated In Section 2) Nature of the Individual's Business: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSaloy/Eamings U Investment • InhentanceiGift O Other: Further Describe Source of Weal h /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how did family accumulate weakh?For business owners, how long in business, how many employees, lewd ct profsatillity? Indicate type of business, countries of major activlbes, important business partners.) Estimated Annual income($): Estimated amount of investable assets($): Estimated Net Worth(S): Amount of assets planned to invest side PVIM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, othe family minters, etc.): SDNY_GM_00037445 DB-SONY-0000269 7/11/2019 EFTA_00148057 EFTA01282154 KYC Print Page 13 of 42 I i SDNY_GM_00037446 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000270 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148058 EFTA01282155 K Y ( ' l'ri nt Page 14 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh la Summ 3A. Individual Details (for all parties) Individual's Name: Susan Mary Hamblin - Date of Birth: Country of Residence: USA Country of Odzenship: United Kingdom Address of primary residence: Has client resided outside of his/her comb), of rationality for s years a more? O yes 0 No Profession/Occupation: Tax ID I SSN: Current Employer: Postionatle/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed an a 08-recognised exchange? (Not applicable fix operating entities n yes O No I—I Is the IneWidual a Politically Exposed Person (PEP)?(if Yes, deSCribel Dyes O No To the best of your knowledge, s the Individual related to an employee of the DB groupyr Family or Prime/shy, deribe) 0 None • Family • Friendship To the best of your knowledge, s the Individual party to a non-banking relationship with Deutsche Bank (e.g., edema' legs counsel, client referral source, supplier of goods a servion)? Of rescescnte) No Yes 2 if applicable, Inelcate whith bank office's have met the penal: Indicate where and when the oem meetinas) took place: Bank Officer Name(s) Bank Office: Client Private DornKile: Client Place of Business: Other Location (speofy): Date: O O O O O • O O O for this individual are not filled in, because they are the same as for the foaming person: • Wealth Details 38. Wealth Details (Only for parties requiring spine of wealth domption as indicated in Secton 2) Nature of the Individual's Business: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Other: U Investment • lnhentance/Gifis Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate rea)1? 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 activates, important business partners.) Estimated Annual Incane($): Estimated amount of investable assets($): Estimated Net Viath(S): Amount of assets planned to invest Wel PWM($): Other Kncnvn Financial Institutions: Instituticm Country: Est. Assets Under Mgt: Instituticm Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (mental status, othe family minters, etc.): SDNY_GM_00037447 DB-SONY-0000271 7/11/2019 EFTA_00148059 EFTA01282156 KYC Print Page 15 of 42 I i SONY_GM_00037448 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000272 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148060 EFTA01282157 KYC Print Page 16 of 42 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Italy Country of Otizenship: Switzerland Address of primary rendence: Has client °sided outside of his/her country of rationality for S years a more? O yes 2 No Profession/Occupation: Tax ID / SSN: Current Employer: Posbonfritle/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the (Vandal ndustry? or an entity listed on a D8-recognised exchange? (Not applicable foe operating entities n yes 2 No I—I Is the indvidual a Pokicalty Exposed Person (PEP)?(1 yes, describe) O Yes 2 No To the best of your knowledge, Is the Individual related to an employee of the DB group,(if Family or Thendsh(tr, describe) O Friendship El None • Family To the best of your knowledge, Is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal courser, client referral source, supplier of goods a services)? Of Yadescribe) O yes 2 No if applicable, Indicate which bank officers have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: OeM Private Donn:Ile: Client Place of Business: Other Location (speofy): Date: O O O O O • O O O O Wealth Details for this individual are not filled in, because they are the same as for the follwang pawn: 38. Wealth Details (Orily for parties requiring watt of wealth dm:nor:Ion as indicated in Section 2) Nature of the Individual's Gumless: Primary Country of smite of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: Owner OSalay/Eamings O Other: . Business • Investment • Inheritance/Oft Further Describe SoLece of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inhenrance, how did family accumulate ‘wetth 'For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major activities, rnportarg business pa tnets) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth(S): Amount of assets planned to invest wth PWM($): Other Knom Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Indicate the family situation of the individual (marital status, othe family mentors, etc.): CONFIDENTIAL- PURSUANT TO FED. R. C)N F I DENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148061 SDNY_GM_00037449 DB-SONY-0000273 EFTA01282158 KYC Print Page 17 of 42 I i SDNY_GM_00037450 CONFIDENTIAL - PURSUANT TO FED. R. Ce I - ON FIDENTIAL DB-SONY-0000274 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA 00148062 EFTA01282159 K 17C Print Page 18 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CC 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 Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Russia Country of Otizership: Russia Address of primary residence: Has client resided outside of Ns/her couury of nationality for S years or more? O yes 0 No Profession/Occupation: Tax ID / SSN: Current Employer: Postionatle/Rank: Address of employer: Does the person work as senior executive of a D8-recognized regulated entity m the financial ndustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating eMities n yes O No I—I Is the InoWlokral a Politically Exposed Peps, (PEP)?(if Yes, desalt(*) O Yes O No To the best of your knowledge, Is the Individual related to an employee of the DB groupW Family or Thendsh(o, describe) O Friendship 0 None • Family To the best of your knowledge, Is the individual party to a non-tanking relationship with Deutsche Bank (e.g., edema' legs coursel, client referral source, warier of goods a servion)? (if radescribe) No Yes 2 if applicable, indicate whIth bank officers have met the person: Indicate where and when the dots meeting(s) took place: Bank Officer Name(s) Bank Office: CleM Private DornKilt Client Place of Business: Other Location (speofy): Date: O O O O O • O O O for this Individual are not filled In, because they are the same as for the foaming person: • Wealth Details 38. Wealth Details (Only for parties requiring soiree of wealth domphon as aldtcated in Sector. 2) Nature of the Individual's Business: Primary Country of smite of wealth/source of Funds? Primary Industry of source of V/ealtIVSoume of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Other: U Investment • Inheritance/Oft Further Describe Soiree of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate vomit'? For Inheritance, how did family accumulate weakh?For business owners, how long in business, how many employes, level of profitability? Indicate type of Mildness, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of Investable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PV/M($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indcate the family situation of the individual (marital status, othe family members, etc.): SDNY_GM_00037451 DB-SONY-0000275 7/11/2019 EFTA_00148063 EFTA01282160 KYC Print Page 19 of 42 I i SDNY_GM_00037452 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000276 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148064 EFTA01282161 KY(' Print Page 20 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh 1p Summ 3A. Individual Details (for all parties) MOM:lugs Name: Date d Birth: Country of Residence: USA Country of Otizenshlp: USA Address of primary modence: Has client resided outside of his/her cony of nationality for S years a more? O yes 0 No Profession/Occupation: Tax ID / SSN: Current Employer: Positionatle/Rank: Address of employer: Does the person work as senior executive of a DB-recognaed regulated entity in the financial ndustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating entities O Yes 2 No Is the 'nova:4AI a Politically Exposed Person (PEP)?(d Yes, describe) Ekes O No To the best of your knowiedge, s the individual related to an employee of the DB group,(if Family or friendsh(o, describe) O Friendship 0 None • Family To the best of your knowledge, s the Individual party to a non-banking relationship with Deutsche Bank (e.g., edema' legal counsel, client referral source, wordier of goods a servicm)? (if radescribe) No . Yes 2 if applicable, incicate which bank officers nave met the person: indicate and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office' ' Client Private Domedle: Client Place of Business: Other Location (simply): Date: O O O O O • O O O O Wealth Details for this individual are not filled in, because they are the same as for the follovang person: 38. Wealth Details (Only for parties requiring spine of wealth clonalpUon as indicated In Section 2) Nature of the Individual's Bus less: Primary Country of smite of wealth/source of Funds? Primary Industry of source of V/ealtIVSoume of Funds? Summarize Source of Wealth: O Business Owner OSalay/Earnings O Other: U Investment • inheritance/G(3 Further Describe Smite of Weal h /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For Inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitabiltty? Indicate type of business, counties of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWN($): Otter Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Instituticn: Country: Est. Assets Under Mgt: Please Indicate the family situation of the individual (mental status, othe family mantes, etc.): SDNY_GM_00037453 DB-SONY-0000277 7/11/2019 EFTA_00148065 EFTA01282162 KYC Print Page 21 of 42 I i SDNY_GM_00037454 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000278 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148066 EFTA01282163 K 17C Print Page 22 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: USA Country of Otizenshlp: USA Address of primary residence: Has client resided outside of his/her cotaury of nationality for S years a more? O yes 2 No Profession/Occupation: Tax ID / SSN: Current Employer: Postionatie/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a 08-recognised exchange? (Not applicable fa operating entities O Yes n No Is the Movie:Aral a Politically Exposed Person (PEP)?(d Yes, deStribe) Ekes 2 No To the best of your knowledge, Is the individual related to an employee of the DB groupW Family or friendsh(o, describe) O Friendship El None • Family To the best of your knowledge, Is the individual party to a non-tanking relationship with Deutsche Bank (e.g., edema' legal courser, diem referral source, suppler of goods a servion)? (if radescribe) No . Yes 2 if applicable, Indicate whith bank officers have met the person: Indicate where and when the cleM meeting(s) took place: Bank Officer Name(s) Bank Office: fl ea Private Domiale: Client Mace of Business: Other Location (spotty): Date: O O O O O • O O O for this individual are not Ailed in, because they are the same as for the foaming person: • Wealth Details 38. Wealth Details (Only for parties requiring spine of wealth clmarphon as ,ndtcated in Sector. 2) Nature of the Individual's Business: Primary Country of space of wealth/source of Funds? Primary Industry of source of V/ealtIVSoume of Funds? Summarize Source of Wealth: O Business Owner OSalay/Earnings O Other: I l l Investment • Inherence/Ws Further Describe SoLvce of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For Inheritance, how did family accumulate wealth?For business owners, how long in business, how many employes, level of profitability? Indicate type of business, countries of major activities, tnportant business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth(S): Amount of assets planed to (west with PV/M($): Other Know, Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please in&ate the family situation of the individual (marital status, othe family members, etc.): SDNY_GM_00037455 DB-SONY-0000279 7/11/2019 EFTA_00148067 EFTA01282164 KYC Print Page 23 of 42 I i SDNY_GM_00037456 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000280 https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148068 EFTA01282165 K17(.7 Print Page 24 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CC 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 Ownersh 1p Summ 3A. Individual Details (for all perms) Individual's Name: Date of Birth: Country of Residence: USA Country of Otizership: Russia Address of primary residence: Has dent re lded outside of Ms/hercowboy of rationality for S years or more? O yes @ No Profession/Occupation: Tax W I SSN: Current Employer: Postbonatle/Rank: Address of employer: Does the person work as senior cocecutIve of a D8-recognized regulated enbty in the financial ndustry? or an entity listed on a 08-recognised exchange? (Not applicable foe operating eMities n yes 2 No ' Is the indvidual a Poetically Exposed Person (Ke)?i', yes, deStribel Dyes 2 No To the best of your knowledge, s the individual related to an employee of the DB group?(if Fain* or Frimdslko, describe) El None • Family • Friendship To the best of your knowledge, s the individual party to a non-banking relationship with Deutsche Bank (e.g., edema' legs counsel, client referral source, suppler of goods ix services)? Of racks/Jibe) No . Yes 2 if applicable, Indicate whirl bank office's have met the penal: Indicate where and when the dent meetirxXs) took place: Bank Officer Name(s) Bank Office' ' CleM Private Dona:Ile: Client Ptace of Business: Other Location (speofy): Date: O O O O O • O O O O Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 38. Wealth Details (Only for parties requiring spine of wealth docrwbon as aldtcated in Secton 2) Nature of the Individual's Bustess: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of Vfealth/Soume of Funds? Summarize Source of Wealth: Owner OSalary/Eamings O Other: . Business U Investment • InhentanceGacts Further Describe Sotvce of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate math? For Inheritance, how chi family accumulate weakh?For business owners, how long in business, how many employee, level of profitability? Indicate type of Dulness, countries of major activities, tnpetant business partners.) Estimated Annual Income($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Cther Know, Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Pkit: Institution: Country: Est. Assets Under Mgt: Please incicate the family situation of the individual (marital status, othe family members, etc.): SDNY_GM_00037457 DB-SONY-0000281 7/11/2019 EFTA_00148069 EFTA01282166 KYC Print Page 25 of 42 SDNY_GM_00037458 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000252 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148070 EFTA01282167 K Ye Print Page 26 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Darren Inchke • Date of Bath: Country of Residence: USA Country of Otizenship: USA Address of primary residence: Has client resided outside of his/her cony of nationality fors years a more? O yes 0 No Profession/Occupation: Accountant Tax ID / SSN: Current Employer: Southern Hnandal LLC Postionaide/Rank: Address of employer: 6100 Red Hook Quarter B3 St Thomas 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DI3-recogniscd exchange? (Not apptcable foe operating entities O Yes 2 No Is the indvidual a Poetically Exposed Person (PEP)?(I Yes, deSCribe) Dyes O No To the best of your knowledge, s the individual related to an employee of the DB group?(Ar Pam* or Frimdsl(o, describe) 0 None • Family • Friendship To the best of your knowedge, Is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal courser, client referral source, suppler of goods a services)? (if radescribe) . YES 2 No if applicable, indcate which bank office's have met the person: Indicate where and when the dent rneetirxXs) took place: Bank Officer Name(s) Bank Office: CleM Private Dorntile: Client Place of Business: Other Location (speofy): Date: Paul Marls O O 0 9/612013 O O • O O O • Wealth Details for this individual are not filled in, because they are the same as for the folowing person: 38. Wealth Details (Only for parties requiring source of wealth discretion as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/sourte of Funds? Primary industry of source of V/ealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalay/Earnings U Investment O Inherence/Gib O Other: Further Describe Smite of Weal h /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For inheritance, how did family accumubte wealth?For business owners, how long in business, how many employees, level of proffabiltty? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth(S): Amount of assets planned to invest Wel PVIM($): Other Knom Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (mental status, othe family minters, etc.): SDNY_GM_00037459 DB-SONY-0000283 7/11/2019 EFTA_00 14807 I EFTA01282168 KYC Print Page 27 of 42 I i SONY_GM_00037460 CONFIDENTIAL- PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-00002S4 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148072 EFTA01282169 KYC Print Page 28 of 42 CONFIDENTIAL— PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh 1p Summ 3A. Individual Details Oct all parses) Individual's Name: Harry Beier - 00000987202 Date of Birth: Country of Residence: USA Country of Otizenship: USA Address of primary residence: Has client voided outside of his/her cony of rationality for 5 years a more? O yes @ No Professicti/Occupation: Accountant Tax ID / SSN: Current Employer: HERIC Associates, Inc Positemintle/Rank: Address of employer: 575 Ledngtcn Avenue, 4th Floor Homey NY United States 10022 Does the person work as senior emotive of a DB-recognized regulated entity m the (Vandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fox operating entitles O Yes 2 No Is the IneWidual a PM:tally Exposed Person (PEP)?(if Yes, cleStribel Oyes 2 No To the best of your knowledge, s the Individual related to an employee of the DB group,(if Family or Thendsh(o, deribe) El None • Family • Friendship To the best of your knowledge, Is the Individual party to a non-tanking relationship with Deutsche Bank (e.g., external legs courser, client referral source, suppler of gocds or servicim)? (if radescribe) No Yes 2 if applicable, Imitate which bank office's have met the person: Indicate where and viten the sent meeting(s) took place: Bank Officer Name(s) Bank Office: CteM Private Domelle: Client Place of Business: Other tzcatico (spotty): Date: O O O O O • O O O O wealth Details for this individual are not filled in, because they are the same as for the foaming person: 38. Wealth Details (Only for parties requiring smite of %yeah discretion as indicated in Section 2) Nature of the Individual's Bustess: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Other: n Investment O Inheritance/CAM Further Describe Smite of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For Inheritance, lbw did family acamiubte wealth?For business owners, how long in business, how many employees, level a profitability? Indicate type of business, countries of major acayines, important business partners.) Estimated Annual Incane($): Estimated amount of invistable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PVIM($): Other Know, Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indcate the family situation of the individual (mental status, othe family minters, etc.): SDNY_GM_00037481 DB-SONY-0000285 7/11/2019 EFTA_00148073 EFTA01282170 KYC Print Page 29 of 42 I I SDNY_GM_00037462 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000286 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148074 EFTA01282171 K 17C Print Page 30 of 42 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Erika Keierhals - 00000499664 Date of Birth: Country of Residence: USA Country of Otizenship: USA Address of primary nzsdence: Has client resided outside of his/her cony of rationality for 5 years a more? O yes 0 No Profession/Occupation: Attorney Tax ID / 5511: Current Employer: Kellerhals Ferguson Kroblin PLLC Positonfhtle/Rank: Address of employer: 9100 Pat of Sale Mall, Ste 15 St. Thanes VI Unted States 00802 Does the person work as senior executive of a DB-recoemzed regulated entity in the (Vandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 2 No Is the inceekkal a Politically Exposed Person (PEP)?(d Yes, ciesente) Dyes O No To the best of your knowledge, Is the individual related to an employee of the DB group?(AY Family or Thendsh(o, describe) 0 None • Family • Friendship To the best of your knowledge, Is the individual party to a non-banking relationship with Deutsche Bank (e.g., edema' legal coursel, client referral source, supplier of goods a servicis)? (if Yadescribe) No Yes 2 if applicable, indicate whth bank office's have met the person: Indicate where and when the dent meehogo) took place: Bank Officer Name(s) Bank Office: fl ea Private DornKile: Client Place of Business: Other Location (speofy): Date: O O O O O • O O O O Wealth Details for this individual are not filled in, because they are the same as for the fceouring person: 38. Wealth Details (Only for parties requiring sane of wealth dos:ration as indicated in Section 2) Nature of the Individual's °useless: Primary Country of sane of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalay/Eamings O Investment O Inheritance/Oft O Other: Further Describe Scene of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, kw did settior accumulate wealth? For inhentance, how did family accumulate ‘watth'For business owners, how long in business, how many employees, level of profitability? falcate type of business, countries of major activities, amportare business pa tners.) Estimated Annual Incane(6): Estimated amount of invostable assets($): Estimated Net Vforth(S): Amount of assets planned to invest Wel PVIM($): Other Know, Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Indcate the randy situation of the individual (marital status, othe family minters, etc.): SDNY_GM_00037463 DB-SONY-0000287 7/11/2019 EFTA_00148075 EFTA01282172 KYC Print Page 31 of 42 I i SDNY_GM_00037464 CONFIDENTIAL- PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SDNY-0000288 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148076 EFTA01282173 KYC I'rint Page 32 of 42 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTI A L https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account OwnershlD Summ 3A. Individual Details (for all parties) Indhnduars Name: Jeffrey E. Epstein - 00000483289 Date of Beth: Country of Residence: USVI Country of Otizenship: USA Address of primary residence: Utte Saint James Saint Thomas mein United States Has chat reeled outside of his/her cowboy of rationality for S years or more? O Yes 0 No Professicri/Occupation: Set Empolyed Tax ID / SSC Current Employer: Southern Flnandal LLC PositionaMe/Rank: PresideM Address of employer: 6100 Red Hock Quarter B3 St. Thomas United States 00802 Does the person work a senior executive of a DB-recognized regulated entity in the (Vandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities n yes 2 No " I Is the IneWidual a Poetically Exposed Person (PEP)?(d yes, dernibe) connection with Prince Andrew and Bill Oran No n Yes O To the best of your knowledge, s the individual related to an employee of the DB groupW Family or Thendsh(o, describe) 0 None • Family • Friendship To the best of your knowledge, s the individual party to a non-banking relationship with Deutsche Bank (e.g., external legs counsel, client referral source, supplier of goods or service)? (if Yadescribe) No . Yes 2 if applicable, indicate which bank others have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office Gent Private Donn:Ile Client Place of Business: Other Location (speedy): Date: O O . O • • O O O O Wealth Details for this individual are not filled in, because they are the same as for the folkwang person: 3B. Wealth Details (Only for parties requirirg soiree of wealth demption as indicated in Section 2) Nature of the Individual's Baseless: Private investmew Primary Country of soiree of wealth/source of Funds? Primary industry of source of VrealtIVSource of Funds? Summarize Source of Wealth: Business Owner OSalanyEarnings Investment • Inheritance/Gift O Other: Further Describe Source of Wealth /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did senior accumulate weal,? For inhentance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) Is an America, Anancler and registered sex offender in the United States. He worked at Bear Stems early in his career and then formed his own Arm, Epstein & Co. In 2008, Epstein was convicted of soliciting an underage girl for prostitution, for whorl he saved 13 months iii prison. He lives In the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his strident was a son of Alan C. Greenberg, chairman of Beat Stearns. In 1976, Epstein started work as an optiors trader at Bear Steams where he worked in the special product division, advising high-net-worth clients on tax strategies. Proving successful In Ns financial career, ri 1980 Epstein became a pater at Bear Steams. In 1982, Epstein founded his own financial management firm, J. Epstem & Co., manawng the assets of cents with more than $1 an in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of woolens clothing stores, became a well-known diem. Wexner acquired Aberaomble & Fitch the following 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 pat of Manhattan. In 1996, Epstein changed the name of his firm to the Firandal Trust Company and, for tax advantages, based it on the island of St Thomas In the US. Virgin Islands. In 2003, Epstein WI to acquire New York magazine. Other bidders were advertising executive Donny Deitch, Investor Nelson Pela, media mogul and publisher Mauna Zuckerman, who had the New York Daly News, and Alm producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million. In 2004, Epstein and Zuckemian committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal parses in the venture. Roshan, as ie editor-In-chief, retained a smal °mashy, stake. SDNY_GM_00037465 OB-SDNY-0000289 7/11/2019 EFTA_00148077 EFTA01282174 KYC Print Page 33 of 42 Presently, Mr. Epsten founded Southern Trust Company Inc, a private consulting company that Invests the assets of their clients and gets thee revenue from the return of these investmene. Southern 'MS invests in different portfotLos catered to their dents and makes their revenue based on the rettrns and the fees associated with managing their dienes asses. Estimated Annual Income($): 10,000,000.00 Estimated amount of investatie assets($), $50 MM - 100 MM Estimated Net Worth($): $500 MM + Amount of assets planned to Invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: 1_ Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other faintly members, etc.): SDNY_GM_00037466 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000290 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148078 EFTA01282175 KYC I'rint Page 34 of 42 CONFIDENTIAL - PURSUANT TO FED. R. I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh lu Summ 3A. Individual Details (for all parties) Individual's Name: Oxnard D. Kann • DCOOD.48640/ Date of Binh: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of his/her cony of nationality for 5 years a more? O yes 0 No Profession/Occupation: Accountant Tax W I SSti: Current Employer: HEIRK Asoclatw, Inc Positenatig/Rank: Address of employer: 57S Ledngton Ave, 4th Fl New York NY United States 10022 Does the person work as senior executive of a DB-attained regulated entity in the (Wendel ndustry? or an entity listed al a DB-recognised exchange? (Not applicable fa operating entities O Yes O No Is the indvickal a Poetically Exposed Person (PEP)?(d yes, describe) Oyes O No To the best of your knowledge, s the individual related to an employee of the DB group,(if Family or Thendsh(o, describe) O Friendship 0 None • Family To the best of your knowledge, s the individual party to a non-banking relationship with Deutsche Bank (e.g., external legs counsel, client referral source, suppler of goods a serviow)? (if radescribe) No . Yes 2 if applicable, Indicate which bank officers have met the person: Indicate where and Mien the dent meeting(s) took place: Bank Officer Name(s) Bank Office: fl ea Private Dornelt Client Dice of Business: Other location (speofy): Date: O O O O O • O O O O Wealth Details for this individual are not filled in, because they are the same as for the fceowing person: 38. Wealth Details (Only for parties requiring wine of wealth deo:notion as indicated in Section 2) Nature of the Individual's Buseess: Primary Country of space of wealth/source of Funds? Primary Industry of source of Vfealth/Soume of Funds? Summarize Source of Wealth: O Business Owner OSalani/Eamings O Other: n Investment • Inheritance/We Further Describe Smite of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For Inheritance, how did family accurrebte 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($): Estimated amount of investable assets($): Estimated Net Worth(S): Amount d assets planned to invest Wel PVIM($): Cther Know, Financial Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, of he family members, etc.): SDNY_GM_00037467 DB-SONY-0000291 7/11/2019 EFTA_00148079 EFTA01282176 KYC l'rint Page 35 of 42 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Simms 3C. Legal Entity Details (For all Legal Entities) Legal Entity same The Haze Trust - 00000486928 Type of Entity. O Foundation/Assozation I& Trust O Company M Estate Purpose of Entity: 0Private Investment O Partnership PNIaMlycpic/Cteritable O Commerdal Type of EntryOther (specify): Ptrpose of Entry Other (specify): Country of Incorporation/registration: United Sates Virgin Islands Date of ircorporation / registration: 2/9/1999 Vokker Status: Identined on Profile Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter 83 St, Thomas 00802 Unwed States US. TIN/EIN: Provide a description of the entity's orgartaatiorel structure, its ownership structure and its Top Management For trustsffoundatIons, include informauon about revocability settler and benefidanesetc: Jeffrey Epstein: Grantor/Beneficiary fren Indyke: Trustee Pease indicate how ownership of the legal entity Is reflected: Jeffrey Epstein: Grantor Darren Indyke: Trustee O Spedal attention: Bearer Shares - Indicate where shares are custodled: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (lade the nine persons) Jeffrey Epstein: Grantor/Benenclary Darren Indyke: Trustee To the best of your knowledge, is the entity party to a non-banidng relationship with Deutsche Balk (e.g. external legal counsel, dent referral source, supplier of goods or services)?: Yes El No I2 Describe Nature of Entity's Primary Business and Investment Activities Nature of the busress: The oust was Initially funded wth 5100. The mut makes and holds Investements and the gains It makes fran those Investments is its source of revalue. The trust, In tun, puts these gains back into the trust and reinvests. Countries where business is transacted: USA, USVI Number of employees: 2 3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated in Seddon 2) Primary Country of smote of wealth/source of Funds? Primary Industry of source of Vreath/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent strnmary of assetsfflataties): The trust was wally fulled wth $100 from Jeffrey Epstein. The Oust makes aid holds invontements aid the gains t makes from those Invistinents is it source of revenue. The trust, In tum, put these gains back into the trust and reinvests. Estimated gross receipts p.a.(S): 300000.00 Estimated net profit p.a. (S): 200000.00 Estimated investable assets (S): $20 MM - SO NM Potential Amount to be invested with PIM (5): 200,000.00 ether Known Financial Institutions: Institution: DB Country: USA Est. Assets Under Mgt: 23,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) I SDNY_GM_00037468 DB-SONY-0000292 7/11/2019 EFTA_00148080 EFTA01282177 KYC Print Page 36 of 42 CONFIDENTIAL— PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... Legal Entity Name: Butterfly Trust - 00000986426 Type of Entity: O Foundation/Association lin Trust O Company • Estate of Purpose Enoty: 0 Private Investment • O Partnership Philanthropic/Charitable • Commercial Type of Entity Other (specify): Ptrpose of Entity Other (speedy): Courtly of inorporationfregistraton. USA Date of inoorporatkin / registration: 12/27/2006 Volcker Status: Manlike on Customer Profile Vokker Flag: No Address (city, street, post code): 6100 Red Hock Quarter B3 St, Thomas 00802 United States US. TIWEIN: Provide a desorption revocabiltty,settlot and This is an Irrevocable Ha Beller and Erika ..dnen Ind ‘a Struliak RiChard Kahn of the entity's organizational structure, Os ownership structure and is Top Management. For trustsfloundatbons, Include Information about teneficiates,etc: trust set up by Jeffrey Epstein as the grantor. The the benefroaries for the trust are being updated by the arrant trustees The trustees are Keierhals. The benehoaries are: trust agreement and the addition/deletko of beneficiary instrument to support this change. Acceding to the original trust agreement, tire during the lietrne of the Grantor to delete or add beneficiaries under Nt.de 3 of the aoreement. Attached are the original trustees have the rioht Please indicate how ownership of the legal entity Is reflected: O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (dna Ure some personS) SDNY_GM_00037469 DB-SONY-0000293 7/11/2019 EFTA_00 14808 I EFTA01282178 KYC Print Page 37 of 42 To the best of your knowledge, entity non-banking renticaship with Deutsdre party to a the entity Bank (e.g. external legal courser, dent referral source, suppler of goods et services)?: 'Yes O No2 Describe Nature of Entity's Primary Business and Investment Activities Nature of the busness: Trust account Countries where business is transacted: USA, USVI Number of employees: N/A 3D. Weald, Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assersfilateitles): Tan account with Jeffrey Epstein as Granter. Initial $100 gNe to the accourt to fund. The funds for this trust account come from Investrnents made by Jeffrey Epstein. Hs wealth profile s filled out. Estimated gross receipts p.a.(;): 4,500,000.00 Estimated net profit p.a. ($): 4,500,000.00 Estimated investable assets ($): S5 MM - 10 MM Potential Amount to be Invested with PAIN (5): Other Known Financial Institution: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTRY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: The 2007 Jeffrey E. Epstein lnsuranoe Trust 83 - 00000487199 Type of Entity: O FoundaUon/Association 2 Trust O Company O Estate Purpose of Enoty: 0 Private Investment O PhilaMhropic/Ctentabe OCommercial • Partnership Type of Entity Other (specify): PLrpose of Entity Other (sPetifY): County of incorporatienfregistration: USVI Date of incorporation / regsnation: 11/1/2007 Vokker Status: Deternanaticn Required Volcker Flag: No Address (city, meet, post code): 575 Ledngten Ave, 4th Fl New York NY 10022 United States US. TIN/EIN: Provide a desorption of the entity's organizational SItillaUfn, IN ownership structure and n Top Management. For truss/foundations, Indude Information about revocability,settkr and benefidaries,etc: Jeffrey Epstein: Grantor Darren Indyke: Trustee Richard Kahn: Trustee Please Indicate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Indicate Mere shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). To the best of your knowledge, ode entity party to a non-banking retatienship with Deutsche Bank (e.g. external legal counsel, dent referral source, supplier of goods or services)?: Yes O NoO Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Trust account CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148082 SDNY_GM_00037470 DB-SONY-0000204 EFTA01282179 KYC Print Page 38 of 42 Countries where business Is transacted: USW, USA Number of employees: 2 3D. Wealth Profile (Only for patties requiring source of wealth description as Inckated in Section 2) Primary Country of smote of wealth/source of Funds? Primary Industry of source of Weattb/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent The funds for this trust account come from corenbutions mad stinmary of asseWliabreoes). by the Grantor, Jeffrey Epstein. His source of wealth can be found w his wealth profile Estimated gross receipts p.a.(S): Estimated net profit p.a. (5): Estimated investable assets (5): <S1 MM Potential Amount to be Invested with PWM (5): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt SONY_GM_00037471 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000295 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148083 EFTA01282180 KYC Print Page 39 of 42 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB NM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name EPSTEIN, JEFFREY RBATIONSHIP Risk Rating Comments: Booking Center O NY/Offshore O Moderate (Risk batra No Risk Yoonsun Chung NY • Offshore (Complance Signature) O DB Employee O DB Managed PIC O C43 6 Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 12I Drivers License 12 Passport O National/State ID O Other B. Chedist of names (Individuals and/or entitles) that were submitted for database searches is attached 2 Yes O No C. Please indlote the results of the database searches performed RDC searches complete El Yes • No negate results found O Yes Sr No PCR checks complete E Yes O No negate results found El Yes O No Cf AC checks complete @Yes O No negative results found Dyes 12INo BIS searches complete (Leos/Nods, Facbva, Reuters, Dow Jones, D&B) @Yes O No negative results found Ores n No Denial Orders decks complete Pi Yes O No negative results found Dyes T.; No Martirdale-Hubbel searched (Lawyers/Law Firms ally) El Yes 0 No negate results found O Yes O No 0. Please surnmarae any negative results from the database searches Indicated above: BUTTERFLY TRUST: Negative Media: MI negative media pertains to a company called the Butterfly Trust In Europe. This Is not our client. Our client is an actual trust created by a Grantor and not a company. No court cases JEFFREY EPSTEIN: Previously approved KYC tr:01082293 & 01121718 All negative media pertains to court caste which have been previously approved in the above mentioned KYCs. Court Cases have been dosed RDC alerts for Richard Kahn came up but they were al false positives as the age and locations of the alerts did not match the age and address on file. HARRY BELLER: No negative mesa Court case lists him as a defendant for being chef of medical staff for Jackson Memorial Hospital. The court concluded that the plairoff had no cognizable claim that his cnil rights has been violated, but refused to dismiss his complaint as to his antitrust claim Defendant' motion was thus granted in part and denied in part. The defendants listed in this case have not committed any illegal acts of conduct in any way. The case was settled on 6/30/1987. ERIKA KELLER/14LS: No negative media Erie Is an attorney and listed as legal cowtel for several court case. Court case to appeal from a decision of the bankruptcy court. Appellee trustee moved to dismiss the appeal for faCure to prosecute under Fed FL of the sot Palle factors, five weighed in favor of eksmissal and c was vented. Another court case for dlssoMng of marriage and property settlement. The case was concluded. CMI court case 1:1Scv7433 Virginia Giuffre v G'lslalne Maxwell for assault, tel & slander. was listed as a miscellaneous party but the case was dosed In May 2017. She was not listed as a piantff nor a defendant, aril was not charged with anything. She does not pose a risk to the bank. E. To the best d your knowledge, has the client ever been convicted of a crrnirel offense? gives O No F. To the best d 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 O yes 0 No Bank AG a any dits subsidiaries? (If Yes, provide dna& bekiw at/dew/tag 2 QuaRy Mgt (LalAmantpor the Regulatory Control Group and notify Compliance immedWeek) G Does the client or related party have any financial or other association / nteracuons within counvies Dyes 0 No or repines sanctioned by the Office of Foreign Assets Control (OFAC)? H Does the client or related party have any financial or other association/ interactions within Ngh rlsk O 1t 2 No countries? SDNY_GM_00037472 DB-SONY-0000296 7/11/2019 EFTA_00148084 EFTA01282181 KYC Print Page 40 of 42 1. Corporate Dccumentaton Attached (Legal Entities Only) O Yes O No O Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No Not Applicable K. If LedsiNeAs Search Results, Corporate Documents or Other Supporting Documentation is not In English, please provide an English summary of the nahreiccotents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Speoal Risk Countries? O Yes 0 No Is the accmat structure unusualy complex? Ekes El No Is there any indication the client set up a non operating company expressly for the purpose of transfemng shares to third parties? r -a LJ Yes 12INo Is there any indication this could be a prohibited business relationship? ayes 2 No Are the bearer shares Identified subject to acceptable contras? Oyes RI No SONY_GM_00037473 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000297 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148085 EFTA01282182 KYC Print Page 41 of 42 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... M. Case Comments Created By Date Comments Cynthia Rodrguez 9/6/117 12:05 AM recent research and gocgle searches for Erika Kellerhals can be found in approved case 01790655. Cynthia Rodrguez 9/6/117 12:09 AM ID for Erika Keeerhals can be torrid In approved case 01394537 Kshaa Goan' 9/6/117 3:22 PM This KYC serves as a high risk update for the below listed dials (together "accountholders') - I. The Haze Trust 2. Butterfly Trust 3. The 2007 Jeffrey E. Epstein Insurance Trust 93 Below are the reasons why we are comfortable with approving this KYC: • Information and supporting documents required by ow AML Policy were provided and reviewed; and as a result, we have an understanding et the structure of the accamtholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors assodated with the accountholders — SOW: The U80 (Jeffrey Epstein) Is the founder of Southern Trust Company Inc, which manages client's assets. SOW verifkation was obtained. Negative Media & PEP: There is some negative media against Mr Epstein and he is also mantains a dose relationship with Bill Clinton and Prince Andrew. Meese see risk calculator for more information. Appropriate approval was obtaned. • Our review did not identify any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on all parties and cid not find the names searched to be on any sanctions ists. CyntNa Rockguez 8/29/117 5:25 PM No material changes confsmed by the client via phone an 08/22/2017. No G891 forms required as determination is already noted on the system. Senetidaries a ate added as parties with DOB at as. address & !Ds ONSHORE APPROVALS Cent Facing Professional (CFP): Chuck Walker :S.5 matue) Chuck Walker 8/25/2017 Office Director/Business Head: Steven Mattus (Sgnatae) Steven Mathis 8/29/2017 Regional Office Director: (Signatite) AML Business Risk: (Signature) NIL Compliance: Kshit Godard Yoonsun Clung (Signature) Ksh ga) Cola's YOOnSul Chung 9/6/2017 9/612017 LATAM/INTERNATIONAL APPROVALS Cent Faing Pvi:MsPrial (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMThl)/Sub- Market Team Head (511TH): (Signature) NIL Business Risk: (Signature) NIL Compliance: (Signature) SONY_GM_00037474 DB-SONY-0000298 7/11/2019 EFTA_00148086 EFTA01282183 KYC Print Page 42 of 42 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 Professionals1(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitabiliiy, 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 pan 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 SDNY_GM_00037475 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000299 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148087 EFTA01282184