EFTA01284086

KY(' Print Page I of 10 DB PWM GLOBAL KYC/NCA: PART A KYC One sheet mu., er relationship - list all accounts included in the relationshi 1. Relationship Details Relaliornhip Name SOUTHERN FINANCIAL RELAIIONSII i Booking Center: New York Relationship Manager: Stewart Oldfieid El New PWM Relationshp El Existing PWM Relationship Relationship to PWM: If edging, please indicate since when the relationship exists, provide reason for new profile and attach old profile: RI Pent Referral O RM Prospect O Intermediary/FIN O Other Source (CIB, etc.) Flow Was the Chent(s) Introduced' How long has the RM personaly known the client? Please provide deals (eg. name of referral source, how many years RH personally has known client, etc.): Jeffrey Epstein (President of Gratitude America) is a current them of the bank. He and Darren Indyke reached out to Stew OldtkId on 12/12)2016 to open a checking account for la newest entity, Zorro Management LLC Does Deutsche Bank pay a retrocession or similar • Yes 2 No compensation to a third party for the introduction of this relationship? (If yes, Ciescnte): List all existing and new accowes involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 5 Zone Managanent, LLC - Deposit 12,2//2016 Who is he primary contact person or the RMR (Note: This person needs to have signatory rights a d/or information ;NM for the c(ounts.): Darren Indyke Preferred method of contact (indicate phone no., fax no., enusi address, etc.): Status : 6. Approved SDNY_GM_00039999 haps://dbforcepb.my.salesforCCINEillacklIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002823 EF1'A_00150608 EFTA01284086 KYC Print Page 2 of 10 One sheet mud be estAbBubed for each account to be opened 2. Account Ownership Summary Account Name: Zorro Management, LLC - Deposit Acct. Number (f I nelabkl. Account Manager stewed deed What is the purpose of the account (e.g. portfolio management, advisory account, custody service, long-ems Investment, payment/expense account)? the purpose d this account Is to nonage the daily expenses of the company Indicate from share the asses are expected to arrive? 21 CS Group: Same Booking Center (indicate account number): 35269691 0 DB Group: Other Bade) Center (Indicate DB location and account details): D Cther Institution - (Indicate name & location): Li Physical Deposits (specify cash, securities, cheque, -.3 What is the expected size and frequency of regular nlbn and outflows for the account (indicate estimated number and volume per month)': 0-10 inflows/outflows between 50k and 100k on a monthly basis What's the expected volume of asses and currency for the account approx. 90 days after opening? 11000000 I Currency I usd What is Me expected volume of asses and currency for the account approx.one year after opening? 1 1000000 Hey I iscl DoesSmn the client have Assets Under Management (AuM) wen DB under Eta 3M? 0 kes Edo Please list all parties related to the account. For each party: • Check if a source of wealth descnpbco is required for the party. • Check the appropriate box to describe the rebtiortship of the party to this account ( > 1 stn be selected). • If none of the check boxes apply, describe the party's rela ion to the account in the 'Other" column. • Always describe the relationshi between the parties in the last column. • please drill down to the ultrnate/undertYkl9 Beneficial Owner(s). ..egal tntityof5ource escrieen of Wealth -equired Parties ebted to his accoust AccountbIC folder DwnerTnist Setter of / Founder of Foundation Jltlinite enerialor Owner Signatory Full POA .need ?OA financial Intern ediaryShareolderlepresentatbe (ElM) Signifkant (>•25%) Non&IC entity (indicate ownership iv) _egal ‘3antorgettiorSounclingOther Donor (please descnbe Ater roles and/or ndicate relationship etween owes) i El El Zero Management, ac • 0 0 • 0 • 0 0 a a 2 0 ea Jeffrey Epstein • 0 • El El • CI 0 • • 3 D 0 Darren 0 0 0 0 El II 0 0 at si SONY_GM_00040000 https://dbforcepb.my.salesforeGONErilDaatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002824 EFTA_00 I 50609 EFTA01284087 KYC Print Page 3 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details ( for all parties) IndNiduars Name: kart( Epstein • 00000483289 Date of Birth: 1/20/1953 Country of Residence: Wel Country of °Wend*: USA Address of primary residence: Lille Saint James Saint Thomas 00802 Has client resided outside of his/her country d matins/AFT for 5 years or mere O Yes RI No Profs:en/Occupation: Self Ernpe4yed Tax ID / 59i: Current Employer: Southern Financial LLC Posit/en/TRle/Rank: President Address of enidoYer: 6100 Red Hook Quarter 63 St. Thomas United States 00802 Does the person work as senior executive of a Dffirecognized regulated entity in the financial nd ustry? or an entity listed on a DB•recognised exchange? (Nast applicable for operating entities D yes ga No Is the individual a Politkalty Exposed Person (PEPyel Yes, describe) O yes 2 No To the best of your knowledge, is the IndNHoat rebted to an employee of the DB grouPW Amoy or Frieddship, describe) O Family O FriendsNp A None To the best of your knowledge, is the IndNHvat party to a nem-baiting relationship with Deutsche Bank (e.g., extemal legal counsel, client referral source, supplier of goods or senncesp (/ Yes, describe) Ores 2 No If applicable, Skate which bank officers have met the person: Indicate where and when the dent meeting(s) took plane: Bank Officer Name(%) Bank Office: Client Private Dornicile: Client Place of Business: Other location (specify Date: O O . • O • • O O O Wealth Details for this individual ere not filed in, because they are the same as for the folcnving person: 38. Wealth Detalb (Only for parties requiring source of wealth desalption as Indicated In Section 2) Nature of the Incitykiuds Business: Private investments Primary Country of source of wealth/source of Funds? Pnmary briusby of source of WealtiVSource of Funds? Surnmartze Source of Wealth: Ea Business Omer Mabry/Earnings RIInvestment O Inheritance/Gifts • Other: further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how did Vanity accumulate we.althYFor business owners, how bng in business, how many employees, level d prolitabiklyn Indicate type of business, countries of major activities, important business partners.) Eastern began his financial career m 1976 as an options trader at Bear Steams and became a parMen n 1980. In 1982, Epstein founded his own financial management firm, 1. Epstein & Co., managing the assets of dents with more than a Mien in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the Island of St. Thomas in the US Virgin Islands. Al of Ns chests were anonymous except /or Me very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and his financial management finm Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(8): $50 MM - 100 MM Estimated Net Worth($): $500 MM + Amount of assets planned to West WO PWM($): Other Known Financial InsUtutions: Instrtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00040001 https://dbforcepb.my.salesforcGONEIDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002825 EFTA_001508I0 EFTA01284088 KYC Print Page 4 of 10 r 'Cam"; Please Indicate the family *aeon el the IratIvidual stMus, ether fan* mentos, WI: Ed. Mats Under Mgt SONY_GM_00040002 Imps://dbforcepb.my.salesforcGCNEJICailidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0002826 EFTA_001506II EFTA01284089 KYC Print Page 5 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa 3A. Individual Details (for all parties) Iodoidual's Name: Darren Indyke - 00000466405 Date of Birth: 2/19/1965 Country of Residence: USA Country of Cituenshix USA itas client resided outside of h4/her countiy of natIONaltY for 5 years or more? O Yes RINo Address of primary residence: Prolestoutwripation. I avryer lax ID / SSII: Current Employer: Southern Financial LLC Postionfill:NfRanle Address of employer: 575 Lexington Ave, 4th H Livingston NY United States 10022 Does the person work as senior executive of a DDrecognited regulated entity in the financial niusby, or an entity listed on a DB'recognlsed exchange' (Not applicable for operating entitles Dyeso no Is the IndMdual a Politically Exposed Person (PEPr(f Yes, describe) . YIN @No To the best of your knowledge, is the Ind hidtal related to an employee of the DB group, (d Fame/yew Riendship, describe) O Family O Fnendshp 21 None To the best of your knowledge, h the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal (COM', client referral source, supplier of goods or services), (if Yes,ciescribe) O Yes 21N° If applicable, nthcate with bank officers have met the person: Indicate where and when the (bent meeting(%) took place: Bank Officer Name(s) Bank Office: atilt Private Denial.: Client Place of Business: Other I {.,,,I .4 if D.:tr. Stewart Oldneld R O O U. 1 ' Ellt, O O • O • • O Wealth Details for this individual are not flied in, because they are the same as for the folotAng person: 38. Wealth Detail, (Only for parties requiring source of wealth desalpUon as Indicated In Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of WeakhlSourt of Funds' Summarize Source of Wealth: O Business Owner OSalery/Eamings O Investment O InlwritancerGifts O Other: Further Describe Source of Wea h Metal the history of wealth foe each of the sources: (e.g. For busts, how did settler accumulate swath' For inheritance, how did tangy accumulate wealth'For business owners, how long in usiiess, how many employees, riel of profitability/ Indicate type of business, countries of major arthritics, important business partners.) rumored Annual Income($): Estimated amount of investable assett(g): Estimated Net Worth($): Mount of assets planned to invest with PWI4(3): Other Known Financial Institutions: Institution: County: Est. Assets Under Mgt: Institution: Country: Est. MIS Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the indiv int (marital status, other family mentors, etc.): SDNY_GM_00040003 t ps://dbforcepb.my.salesforcaraNtaIDEgrbaliA19000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002827 EFTA_00150612 EFTA01284090 KYC Print Page 6 of 10 I One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (Eor all legal Crank* Legal Entity Name: Zeno Management, LLC - 00003550331 Type of Entity O Foundatkin/Associatkin O Trust RI Company O Estate III Partnership Purpose of Entity' 121 Private Investrnert O 'Philanthropic/Charitable OCommercbi Type of EntRy Other (sporty): LLC Purpose of Entity Other (speCifYI Country of incepaation/reflistration: USA Date of incorporation / registration: 12/19/2016 Volcker Status: Detenrinaten Required Vokker flag: No Address (city, street, post code): 6100Ra Hook Qterter, 93 A. Thomas; USV1 00002 units States U.S. TINEEIN: Provide a description of the entty's °reset:Menai structure, its oremership structure and rs Top Management. For revocability,seabr and benelkerles,etc: Jeffrey Epstein is the sole manager and owner of this entity. Sqnors CC this account will be: Jeffrey Epstein Darrell Indyke information about Please indicate how ownership of the legal entity is reflected: . O Special attention: Bearer Shares' Indicate where shares are custodkd: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (a not the name pews): Jeffrey Epstein is the sole manager and owner of this entity. Signors on this account will be: Jeffrey Epstein Darren 1ndyke 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, suppler of goods or services)': Yes El No RI Describe Nature of Entity's Primary Business and Investment Activities retire of the business: a real estate holding company. It is a company formed to rim and operate al activities associated with a property that Jeffrey Epstein owns In the US Vegin islands. Countries where bushes-s is transacted: USA Number of employees: I 3D. Wealth Profile (Only for parties rogueing source of wealth desalption as indicated In Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Sourte of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetstliabAties) This company Is funded by Jeffrey Epstein's personal wealth Esimatal gross receipts p.a.(S): 1,000,000.00 Estimated net profit pa. (S): 1,000000.00 Estimated Investable assets ($): SI MM - 2 PIM Potential Amount to be Invested with PWM (Sy Other Known financial Institutions: Inetutbn: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SONY_GM_00040004 https://dbforcepb.my.salesforcalNErilDaialiA141000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SONY-0002828 EFTA_00150613 EFTA01284091 KYC Print Page 7 of 10 it I Country. II Est. Assets Under Mgt: SDNY_GM_00040005 t ps://dbforcepb.my.salesforcaINEJIDWidLAIL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002829 EFTA_00150614 EFTA01284092 KYC Print Page 8 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: BcokIng Center Ow I: O Offshore El Moderate ink High Risk ToccHun Chung Offshore / (Gauntlet* Signature) D DB Employee O DB Managed PIC Trustee/Co-Trustoe O Bearer Shares • DB is 4. Attachments A. Type of Photo ID Provided N Drivers License ElPassport O Natknal/State ID O Other 8. Checklist of names (individuals and/or entities) that were submitted for database searches is attached ®yes O* C. Please Indicate the results of the database searches performed RDC searches complete :-.4 yes • No negative results found Oyes @No PCR checks complete Ryes O No negative results found Ores 2 No OFAC checks complete Era O No negative results found Oyes ®No WS searches complete (Loris/Re*, Factrva, Reuters, Dow Tones, D&B) Rya ONo negative results found Oyes ®No Denial Orders checks complete ®ye Otto negative results found Oyes ®No Martindale-Hubbell searched (targets/Law Fenn only) Dyes EINo negative results found Oyes Die D. Please summarize any meat* results from the database searches indicated above: E. To the best of your knowledge, has the client ever been convicted of a criminal offense? Dyes EA No 8 To the bat of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening *cation against Deutsche Dyes R u3 Bank AG or any of Is subsidiaries' (If Yes, provide details babe and contact Quably Mgt flatrilnarell a the RegeAtny Conti,/Crap and notify Compliance immediately) Does the client or related party have any financial or other association / interactions wthin countries n or regimes sanctioned by the Office of Foreign Assets O241U01 (CfAC), Li Yes 0 No Doe ntries, s the client a related party have any financial or other association/ interactions within high rig m a YIN 0 No cou I. Corporate Documentation Attached (Legal Entities Only) ®Ye O Et O Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) ales O No 0 Not Applicable K. If Lexis/Nexis Search Results, Corporate DOCUSISISS or Other Supporting Documentation is not in English, please provide an English summary of the naturelcontents of the norrEnglish DOEUTESWIEll: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? • Yen Oleo Is the account structure unusually comp*, • Yes ®No Is there any Indication the client set up a non operating company expressly for the purpose of transferring share to third part*? LI Ye RI No Is there any Indication this could be a prohibted business relationsele7 O Yes ®No Are the bearer shares identified subject to acceptable controls? O Yes ®No SDNY_GM_00040006 https://dbforcepb.my.salesforCCINErilDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002830 EF1'A_00150615 EFTA01284093 KYC Print Page 9 of 10 Pt Coss Contests Created By Date Comments Cynthia Rodriguez 12/15/116 2:42 PM Ramat research (or Darren Indyke and Jeffrey Epstein can be found in case 01651789. ONSHORE APPROVALS Client Facing Professional Ian tern solyab Signature) Ctrl solwab 12/15/2016 Otte Director/Business Head: Armen Brash Signature) Armen Brash 12/15/2016 Regional Office Director .Signature) AML Business Wilt: (509nahrt9 Abl. Compliance: Domini Morey Yoonsun Chung (Signature) Dingtra Manley Yoonsun Chung 12/20/2016 12/20/2016 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP) (Signature) Account Manager (*nature) Global Markm Team Head (GMTLIpSub. Market Team Head (SHIM: (Signature) AML Busness Risk (Sri siiiiii-) Abt Compliance fskritlir0) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PIVAff worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals! (I) (CFP 's) should establish and maintain business relationships only with persons who sane 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 ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe 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 dimity's) and that 1 have followed all the procedures relating to account opening as described in the PIVM Americas Procedures and the PliM Global KYC Policy (l) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors. Product Officers. Brokers, Client Managers. etc. Deutsche Bank Americas New York SDNY_GM_00040007 Ilttps://dbforcepb.my.salesforCCINEJIDWIdEAIL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002831 EF1'A_00150616 EFTA01284094 KYC Print Page 10 of 10 in I SDNY GM 00040008 https://dbforcepb.my.salesforCCINErilDnEglardiAL000000D9Di&e... 7/36/2619 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002832 EFTA_00150817 EFTA01284095