EFTA01284127

KYC Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A KYC Case = Slats : 6. Approved One sheet must be establbhed per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booldng Center. New York Relationship Manager. Stewart Okifield • New PWM Relationship 2 Existing PWM Relationship Relationship to PWM: If orating, please indicate since when the relationship exits, provide reason fee new profile and attach old profile: "'This KYC IS a periodic review fo high risk remediatbnni Original KYCM ONLY adding signers to account. Al signers have already been approved in previous KYCs. Please rush as this Nash:nab update. Darien Indyke was approved in KYC Harry Beier was added in approved KYC 2 client Referral O RM Prospect O Intermediary/PIM I O Other Source (CM, etc.) How Was the Client(s) Intrcducedo lbw long has the RM personally known the client, Please provide details (e.g. ame of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein reached out to Stew Oldfleld on 3/7/17 to have a new acct opened under Zorro Management LLC and add two new signors to this new acct only. Does Deutsche Bank pay a retrocession or similar O Yes I 2 No compensation to a third party for the Introduction of this relatiaish07 (ff Yes, *scribe): 1st all existing and new accounts involved in this relationship Legal Entity Account(s) Account fame / Number Opening Date (intended/actual) 1 rAi Southern Financial, LLC Deposit 9/5/2013 2 re Southern Trust Company, Inc- Deposit. 827/2013 3 2 Jeffrey Epstein - Deposit 3/8/2016 4 9 3. Epstein Virgin Islands Foundation, Inc - Brokeragel 9/30/2013 Who Is he primary contact person or the RM7 (Nate: This person needs to have signatory rights and/or information right for the accounts.): Darren Indyke Preferred method of contact (Indicate phone no., fax no., e-mail address, etc.): SDNY_GM_00040040 https://dbforcepb.my.salesforcaaNtErilDalirdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002864 EFTA_00150649 EFTA01284127 KYC Print Page 2 of 21 One sheet mint be established (or each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, LLC Deposit Acct. Number (if available). Account Manager: stewart oldf kid What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long tenn investment, payment/expense account), The purpose of ties account is to manage the daily expenses of the company Indicate from where the assets are expected to arrive? O C43 Group: Same booking Center (indicate account number): O DO Group: Other Booking Center (indicate DO location and account details): 0 Other Italian — (Indicate name & location): El physical Deposits (specify cash, securities, cheques....): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month ranging from $1000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? 46,600 and 11479051.88 I Cunene( I USD What Is the expected vokime of assets and currency for the account approx. one year after opening, 47,000 and 11679051.88 I Currency I USD Does/will the client have Assets Under Management (AuM)wItlin DB under Fur. 3M? OYesI2No Please list all parties related to the account. for each party: • heck I a source of wealth escription is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • I non f of the check boxes pply, describe the patty's relation to the accost in the 'Other column. • Alway d escn he the relation hip between the parties in the last cceumn. • lease drill down to the ultimate/underlying Beneficial Owner(s). axial Entityol Descrutun Parties related to this account Owner Senior of Trust / Founder of Foundation Jltimate &eneficialor Owner Signatorytimited`lnancial Full DOA ntermedleaySharehoideetepresentatIve PIM) Significant .> • 25%) NorePIC entity ,indicate ownership Na) _egal Other please describe other roles and/or ndlcate relationship between arties) AccouruPIC Holder sOA daraMor/Settiorfotridem Donor Source of Weath required l O 9 Jeffrey E. Epstein rf " O O O 2 O O O O O Sole shareholde of Soul Trust 2 2 2 Southern Financial LLC a • • • O • O O O O 3 Ea Southern Trust Company, Inc. • O O O O O O 100 O • O Southern Trust is the sole member of Southern Financial and Jeffrey Epstein is he sole sharehoide of South Trust; 4 O O Darren indyke n " O O O O O O O O O 5 O O lia" Beller • O IT O 5 O • O O O 6 • O Jean Anne Brennan idebrache • • 0 • 9 0 0 0 • O SDNY_GM_0004004I https://dbforcepb.my.salesforeCLINErilDairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002865 EFTA_00 I 50650 EFTA01284128 KYC Print Page 3 of 21 2. Account Ownership Summary Account Nam: Southern Trust Company, Inc- Deposit. Acct. Number (if svaiOsbley. Account Manager. Stewart Oldfleld What is the purpose of the accost (eg. portfolio management, advisory account, custody services, longterm Investment, payment/expense account)? The Purpose of this account is to manage the daily expenses of the con:parry Indicate from where the assets are expected to arrive? O De Group: Same Booking Center (indicate account matter): O DO Group: Other Booking Center (Indicate DB location and account details): O Other Institution - (Indicate name & location): O physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: Roughly 10 allows and 10 outflows per month ranging from $1,000 to $10,000 What's the expected volume of asses and currency for the account approx. 90 days after' 32060.99 and 18028369.27 opening? 'Currency I USD What s the expected volume of assets and currency for the account approx. one year after opening? 33000 and 18280364.27 'Currency I USA Does/WI the client have Assets Under Management (AuM) wthin De under Fur. Ift? 0 Yes allo Please Ilk all perdu related to the account. For each party: • Check I a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check bows ripply, describe the party's relation t the accown in the 'Other column. • mays describe the relationship between the parties in the last clan. • Please drill down to the ultimate/underlying &notelet Owner(s). ..egailDescriptbn Entityof Source of Wealth required Parties related to .his account Amours:PIC holder Dwnes tettbr of Trust / Founder ofOrmer Foundation Jtimate ISignatorys.antedpnancsol Beneficialor Full POA POA mermediarySharelsoldereepresentatne MM) Significant , >=25%) Non-PIC entity ,indicate ownership %) egal GrantoriSettlorroundmg Donor Other please describe other roles and/Or ndicate relationship Jebveen ntes) 1 O 0 3effrey - Epstein n "I Ei O 2 O O O 100 O O O Sole shareholder of Southern Trust Epstein is deffrey the sole shareholder of Southern Trust; 2 5 O Southern Trust company, Irx. 5 0 O • O O O O • O 3 II O Darren Indyke • • El • a • o a • O 4 O O Harry Beller ■ • ■ • . O O O O O • O 5 O O Jean Orme Brennan Wiebracht • O O O 21 OO O O O SDNY_GM_00040042 https://dbforcepb.my.salesforeCCINErilDalridiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002866 EFTA_00 I 50651 EFTA01284129 KYC Print Page 4 of 21 2. Account Ownership Summary Account Nan*: Jeffrey Epstein - Depose Acct. Number (if . evititerbki. Account Manager Stewart Oldfleld what is the purpose of the account (eg. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Deposit accounts for Jeffrey Epsteirrs personal daily use. Indicate from where the assets are expected to agree? Ei De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physkal Deposits (specify cask securities, cheques, ...): What is the emected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per rronth)': Roughly 15 inflows and outflows per month ranging from $100410,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? 13478441.80 'Currency I USD What as the expected volume of assets and currency for the account approx. one year after opening? 12980000 I Currency I USD Does/wi the client have Assets Under Management (AMM) within De under Eur. Itt? Oyes 0 No Please Ilst all parries related to the account For each party: • Check I a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes ripply, describe the patty's relation to the accowit in the 'Other' column. • mays describe the relationship behmen the parties in the last cokenn. • Please drill down to the ullimate/underlying Beneficial Owner(s). -egallDesciptian Entayof Source of Wealth required Parties related to his account Acca nit PIC AvnefTrust Settler of / founder of Foundation inmate 3eneficialor Owner Signatory‘imitedIFinancial full POA IntentederyShareholderltepresentathe (MM) Significant >=25%) Non-PIC entity Indicate ownership 46) _egal trantor/SetUorlFounding Other 'please describe other roles and/or mikate -elationship teween Mies 70A Donor 1011,- 'DO Jeffrey E. Epstein a O O O e O O O O O 2 • O limy Seller O • • • 5 O • O O • 3 O O Darren endEke O O O O 12] O C1 O O O SDNY_GM_00040043 https://dbforcepb.my.salesforeCLINErilEtairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002867 EFTA_00I 50652 EFTA01284130 KYC Print Page 5 of 21 2. Account Ownership Summary Account Name: J. Epstein Virgin Islands Foundation, Inc . Brokerage Acct. Hunter Mandeb/O: Account Manager stewart oldfieid What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense account)' the pewee of chic account b to manage the foundation's securities and trade nvestments. Indicate from were the assets are ecpected to &Moe? 9 D8 Group: Same Booking Center (indicate account number): O DO Group: Other Booking Center (Indicate DB location and account details): O Other Instaution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the everted size and frequency of regular inflows and outflows for the account (indicate estiirnted number and volume per month)7: 0.10 inflows/oulliows of security sales and purchases on a monthly basis between 10k and 150k. What is the enweted volume of assets and currency for the account approx. 90 days 1640130 'Currency after opening? I IS What ii the expected volume of assets and currency for the account approx. one year' after openng? 680000 'Currency I usd Doeshvil the client have Assets Under Management (Auer) Milan 06 under Eur. 314? • Yes RIM Please list all parties related to the account For each party: • Check I a source of wealth description is roe sued for the party. • Check the appropriate box to describe the re ationship of the party to the account (> 1 can be selected). • I none of the cheek boxes apply, describe the party's relation to the taxman in the 'Other" coluan. • Always describe the relations ip between th parties h he last column. • Please dril down to the ultimate/underlying Beneficial Owner(s). -egal Entityof Description Source of Wealth required Parties related to his account AccountPIC Holder Jana SetUor of 'Ultimate Trust/ Founder otOwner roundmisn Beneficial SIgnatorytimited or Fill ?OA POA nanclal 'Significant ntermediary§hareoldeelepresentathis FIN) f>=2SCco) n-PIC Indicate ?masher ?b) Jegal Grantor/SettlorlFounchnOther Donor 'please describe other roles and/or ndicate rititY relationship lathes) I si a 3. Epstein Virgin Islands Foundation Inc 9 O • • O O O O • • 2 O a Epsteil kftreY E. • O O 2 2 O O O O • 3 O O Erliklea Ke rhats • • O O 9 • O O • O 4 O O D yke • O O O 2 O O O O • SDNY_GM_00040044 https://dbforcepb.my.salesforcCLINErilDai LIM L000000D9Di &e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0002868 EFTA_00I 50653 EFTA01284131 KYC Print Page 6 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) IndMduars Name: Harry Beller - Date of Birth: Country of Ream.: USA Country of Citiroiship: USA Address of primary residence' Has client resided outside of his/her country of nationaltY for 5 years or more' O Yes g No Profession/Occupation: Accountant Tax ID f SSN: Current Errployer: HBRK Associates, Inc Positioraille/Rank: Address of enetioYer: Does the person work as senior executive of a DB-recognized regulated entity In the financial ndustry? or an entity listed on a DEI.recognised exchange? (Not applicable for operating entitles O yes ONo Is the individual a Politically Exposed Person (PEP)T(d Yes describe) O Yes WIND To the best of your knoMedge, is the individual related to an errvlayee a the DB group?(if Family or friendship, dewily) O Family [...] Friendship g None To the best of your knowledge, Is the Individual party to a ion -banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(/ Yeadesenbe) O Yes RN° If applicable, indicate which bank officers have met the person: Indicate where ant when the client meeting(s) took place: Bank Officer Name(s) Bank : a Slip Client Place of Business: Other locators (pecify): Date: Paul Morris RI O O 10/21/20B 0 0 • O 0 a • Wealth Details for this indivklual are not filled r, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2) Nature of the Individuats Business: Primary Country of source of wealth/source of Funds' Primary industry of source of YVealUVSource of Funds? Summarize Source of Wealth: O Business E]Invc-stmcnt F...] In ante/Gifts O Other: Owner I I Salary/Earnings Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumula e wealth' For inheritance, how did family accumulate vrealth"For business ovmers, how long k business, how many en-ployees, level of profitability' Indicate type of business, countries of ma activities, important business partners.) Estimated Annual Income(3): Estimated amount of irreestable assets($): Estimated Net Worth(S): Amount of assets planed to Invest with PWM($): Other Known Financial Institunclis: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SDNY_GM_00040045 Imps://dbforcepb.my.salesforcCuNEJIDLIINITM10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002869 EFTA_00150654 EFTA01284132 KYC Print Page 7 of 21 I Please indicate the fanely situation of the individual (marital status, other family members, etc.): I SDNY_GM_00040046 https://dbforcepb.my.salesforeCLINErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002870 EFTA_00I 50655 EFTA01284133 K YC Print Page 8 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all penes) Individuals Name: Darren Indyke Date of Both: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of hl;/her country of netionelty fa 5 years or more Dyes g No United States Profession/Occupation: Larger Tax ID / SSN: Current Employer: Southern Armorial LLC Posibconrile/Rank: Address of employer 575 Lexington Avenue, 4th A New York NY United States 10022 Does the person work as senior executive of a DEVrecognized regulated entity in the financial industry' or an entity listed on a DEhrecognised exchange' (Not applicable for operating entrain i—r 614,,, LI Yes No Is the incleMual a Politkally Exposed Person (PEP)'(/' Yes, describe) ales RIND To the best of your knowledge, is the individual related to an employee of the DB group(/' Family or Friendship, describe) O Farnly O Friendship 21 None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)7(/ YeLdesaibe) afes RIND If applicable, indicate Mich bank officers have met the person: Indicate where and Mien the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Dominic: Client Place of Business: Other locations (pecify): Date: O D O O O N O O ii • Wealth Details for this Individual are not filled in, because they are the same as for the following person: 3D. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nat We of the Individual's Business: Primary Country of source of wealth/source of Funds' Pnmary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner II Salary/Earnings O investment U Inheritance/Gifts a Other: Further Describe Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For tuts, how did senior accumulate wealth' For Inheritance, how did family accumulate makh7Eor business owners, how long in business, how many eirployees, level of profitability' Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of ineestable assets(3): Estimated Net Worth(S): Amount of assess blamed to Invest with PVR4($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: at. Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SDNY_GM_00040047 https://dbforcepb.my.salesforcGONErilraircliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002871 EFTA_00I 50656 EFTA01284134 KYC Print Page 9 of 21 I Please indicate the family situation of the indmdual (marital status, other fam ly members, etc.) SONY_GM_0004004 8 https://dbforcepb.my.salesforCQNBIDailtiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002872 EFTA_00150657 EFTA01284135 K YC Print Page 10 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indrndualk Name: Erika Kekrhals - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of his country of nationality for 5 years or more' O yes tZ No Profession/Occupation: Attorney Tax 10 / SSN: Current Employer: Kellerhals Ferguson Kroban PLLC Position/Tale/Rank: Address of employer: 9100 Pon of Sale Mall, Ste IS St. Thomas VI United States 00802 Does the person work as senior executive of a 06 -recognized regulated entity in the financial odustry' or an entity listed on a DEI.recognisecl exchange' (Not applicable for operating entitles O Yes RiNo Is the 'dual a Politically Exposed Person (PEP)''(if Yes, desctibe) ales 2.1Nci To the best of your kncnvledge, is the individual related to an errployee al the De group'fiF Family or Fnends/vA ilesathe 1 O Iambi O Friendship Ei6None To the best of your knowledge, Is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goads or services'?" Yes,detafbe ) O yes 'Y. No II applicable, indicate %Mich bank Indicate and Mien the client meetisg(s) took place: officers have met the person. Bank Officer Name(%) Bank Office: Client Private Dontie: Client Place of Business Other Location (specify): Date: O O O O O • O C3 I. • Wealth Details for this Individual are not Ailed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature of the Individual's Business: Primary Country of source of wealthrsource of Funds' Pnmary industry of source of WealtIVSource of Funds" Summarize Source of Wealth: O Business Owner I I Satary/Earnings O Investment • Inheritance/Gifts II Other: Further Describe Source of Wea th /Detail the history of wealth for each of the smote': (e.g. For trusts, how did senior accumulate wealth' For Inheritance, how did family accumulate weakh, For biainess owners, how long in business, how many employees, level of profitability' Indicate type of business, (mottles of major activoks, important business partners.) Estimated Annual Income($): Estirroted amount of irreestable assets($): Estimated Net Worth(S): Haunt of assets planed to Invest with PY/M($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SDNY_GM_00040049 https://dbforcepb.m y.salesforeCCINErilEtairdiA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002873 EFTA_00150658 EFTA01284136 KYC Print Page 11 of 21 I Please indicate the ferrety situation of the individual (marital status, other famly members, etc.) SONY_GM_00040050 Imps://dbforcepb.my.salesforcGC:tNEJIDailidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002874 EFTA_00150659 EFTA01284137 K YC Print Page 12 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein • Date of Birth: Country of Residence: USVI Country of Citizenship: USA Address of primaiy residence: Little St James Saint Thomas 00802 United States Has client resided outside of hls/her country of mtionaley fa 5 years or more' MI yes ®No Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Fnancial LLC PoslUcefillk/Rank: President Address of engiloYer. 6100 Red Hook Quarter 83 St. Thomas United States 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial Wotan, or an corny listed on a Deirecognbed exchange' (Not applicable for operating entitled Oyes 'a No Is the individual a Politically l xwoud Person (PEP)'(If Yes, describe) close relationship with Bill Clinton and Pnnce Andrew ( yes O No To the best of your knowledge, is the irclivIdual related to an employee of the 013 gtoupW Famity or Friendship, *senior 1 O Panty O Friendship 0 None To the best at your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)701Yes,desathe) O Yes El No II applicable, indicate Mach bank Indicate where and Mien the client meeung(s) tcok place: officers have met the person. Bank Officer Name(s) Bank Office: Client private Domkrie: Client Place of Business: Other Location (specify): Date: O O O O 0 O ID O • r-i ,..., Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds' Primary industry of source of WealtIVSource of Fundss' Summarize Source of Wealth: RI Business Owner I I Salary/Earnings 0 Investment MI Inheritance/Gifts II Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For [rugs, how did settkw accumulate wealth' For inheritance, how did family accumulate weakhWor business owners, how long in business, how , level of profitability' Indicate type of business, countries of major Whales, important business partners.) Jeffrey Edward Epstein (born n n is an American financier and registers sex offender in the Unted States. He worked at Bear Steams early in his career and then formed his own flan, I. Epstein & Co. In 2008, Epstein was convicted of sokeing an underage girl for prostitute.; for which he served 13 months in 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 students was a son or Man C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Beer Steams where he worked in the special products division, advising high-net-worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein become a partner at Bear Stearns. In 1962, Epstein founded his own financial management firm I. Epstein & Co., managing the assets of dents with more than $1 billion in net worth. In 1987, LeUre Wexner, founder and chairman of Ohio-based The limited chain of women's clothing stores, became a wet-known client. Wexner acquired Abercrombie & far h the following year. In 1992 he converted a private school on the Upper East Side into an enormous rinklence. Epstein later bought that properly, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas In the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Ocher bidders were advertising executive Donny Deutsch, arrestor Nelson Pet, media mogul and pubisher Mortimer Zuckerman, who had the New York Daly News, and film producer Harvey Wehstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who pail $55 merlon. In 2004, Epstein and Zuckennan committed up to $25 million to finance Radar a celebrity and pop culture magazine founds by Maer Rasher,. Epstein and SDNY_GM_00040051 https://dbforcepb.Illy . sal esforeCCINEril CalTdIA000000D9Di & e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002875 EFTA_00150660 EFTA01284138 KYC Print Page 13 of 21 Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a p Nate consulting company that irwests the assets of their clients nd gets their revenue from the return of these investments. Southern Trust Invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their pen's assets Estimated Annual Income(l): 10,000,000.00 Estimated amount of investable assets($): S50 MM - 100 MM Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): Other Known Fi lanced Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: ESt. Assets Under Mgt: Insttu0un: Country: Est. Assets Under Mgt: Please Indicate the family situation of the indMdual (marital status, other family members, etc.): SDNY_GM_00040052 https://dbforeepb.my.salesforeCCINErilDalTIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002876 EFTA_00 150661 EFTA01284139 K1C Print Page 14 of 21 One sheet must he established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) IndMduafs Name: Jean Anne Brennan Wiebracm Date of Birth: Country of Residence: USV1 Country of Citizenship: USA Address of primary residence: Has client resided outside of his/her country of nstionalty fot 5 years or more' O Yes RI pip Profession/Occupation: Finance Tax ID / SSN: Current Employer: Southern Rnanclal, U.0 Position/The/Rank: Address of employer 6100 Red Hook Quarter, 83 St, Thomas United States 00802 Does the person work as senior executive of a 06-recognized regulated entity in the financial ndustry' or an entity listed on a DB-recognised exchange' (Not applicable for operating entities I—) Yes 8No 1- 1 Is the individual a Politkally Exposed Person (PEP)'(if Yes, descibe) O Yes RIND To the best of your knowledge, Is the individual related to an erraloyee of the 08 group'fir. Family or friendship, dewily) O Famh O friendship (iNOne To the best of your knowledge, Is the individual party to a non-banking rehtionship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)TOf Yeisdesafbe) O Yes n No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeUng(s) took place: Bank Officer Name(s) Bank Office: Client Private Dornkile: Client Place of Business: Other Location (specify): Date: O O O O 0 O lo O • • Wealth Details for St Individual are not filled h, because they are the same as for the following person: 3D. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealthrsource of funds' Primary industry of source of VirealtNSource of Funds' Summarize Source of Wealth: O Business O Imestment O Inheritance/Gifts O Other: Owner I I Salary/famines Further DeUrbe Source of Wee th /Detail the history of wealth for each of the sources: (e.g. For tnats, how did settler accumulate wealth' For Inheritance, how did family accumulate weakh, For business owners, how long in business, how many erployees, level of profitability' Indicate type of business, countries of major activities, important business partners.) Isurnated Annual Income($): Estimated amount of irreestable assets($): Estimated Net Worth(S): Amami of assets planned to Invest with PVM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Instkution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00040053 https://dbforcepb.Illy.salesforcCLINErilDEgrNaliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002877 EFTA_00I 50662 EFTA01284140 KYC Print Page 15 of 21 I Please indicate the farnly situation of the indmdual (marital status, other family members, etc One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: J. Epstein Virgin Islands Foundation, Inc - Type of Entity: uFoundation/Association O Trust O Company OEstate • Partnership Purpose of Entity: O Pnvate Investment b2I ilanthropic/Charitable O omrnerc lel Type of Entity Other (speedy): Purpose of Entity Other (sPeofif): Country of *corporation registration: United States Virgin Islands Date of incorporation registration: //1412000 Volcker Status: Estate or ChantablelPhilantophic Volcker Flag. No Address (city, street, post code): 6100 Red Hook Quarter 83 St, Thomas 00802 United States U.S. T1N/EIN: Provide a description of the eat y's organizational struclbe, Its ownership structure and its Top Management. for trusts/ oundatkins, include information about renxatillity,senfor and beneficlaries,etc.: This is a 501 (c)3 foe:eaten with Jeffrey Epstein serving as the President. Darren Indyke serves as VP and Enka Kellernals as Secretary/Treasurer. The signors on this account are Jeffrey Epstein, Darren Indyke and Erika Kellerhals Please indicate low ownership of the ksgal entity is reflected: • Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner ( f not the same persons): This ha 501 (c)3 foundation with Jeffrey Epstein serving as the President. 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 wrvIces)>: Tes O Hog Describe Nature of Entity's Primary Business and Investment Activities Nature of Use business: Private nonprofit foundation which Is organized exclusively for charitable, educational and scientific purposes. Countries where busbess rs transacted: USA, UST/I Number of employees: 5 3D. Wealth Neale (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of weattlVsource of Minds' Primary industry of source of WealUVSource of Funds' Provide Evidence of Corporate Assets (eq. halm, r !Jlefq or the *hal donation came from Jeffrey Epston's personal fund The profits the foudnatIon nets from these Investments are th guivaient sumnary . I best, funds n reinvested of assetsfIabilities): reirmssted as the source of income for the foundation. have then bees Invested and or donated to charitable endeavors Striated gross receipts pa.($): 100,000.03 Estimated net profit p.a. (5): 2,000,000.00 assets ($): <$1 MM Estimated investable Potential Amount to be invested with PWM (5): 800000.03 Other Known Financial Institutions: Institution: DB Country: USA Est. Assets Under Mgt: 800,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL !Writ In Section 2. Account Summary SDNY_GM_00040054 hups://dbforcepb.my.salesforcalatErlIDErNallAt0000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002878 EFTA_00150663 EFTA01284141 KYC Print Page 16 of 21 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Southern Financial LLC • Type of Entry: Trust @Company O Estate Purpose of Entity: A Private Investment O • Foundabon ership /Association O GnEhrofrOCharrable O annotator • Partn Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration . US Virgin Islands Date of Incorporation / ingstration: 2/25(2013 Volker Status: idellithed Oil Costomer ProNe Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter BI 00802 U.S. T1N/EIN: Provide a description of the entity's organizational structtre, its ovaiersap structure and its Top Management. For trusts/ oundations, Include Information about revocability,setbor and beneficlariesotc.: Southern Trust Company Inc is the sole meatier of Southern Financial I.LC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please Indicate how ownership of the legal entity is reflected: - Indicate where shares are custedled: • Special attention: Bearer Shares Deschbe the chain from the direct owner of the entity to the ultimate beneficial owner re' nee the same paeans) To the best of your knowledge, Is the entity party to a nth-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral solace, suppler of goods or services)?: Yes 0 No 21 Describe Nature of Entity's Primary Business and Investment Activities Mature of the business: This business Is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epsteiels personal wealth and invest in different ventures. This company invests In real estate, equities, commodities, etc and gets its revenue farm the gains it makes in these investments. It es a company formed to invest the assets of it. Epstein Countries More business is transacted: US Virgin Islands Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indkated 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 assets/liabilities): The initial funding In February 2013 vas $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Please revert to Mr. Epstein's source of 1vealth for more details. Estimated gross receipts pa.($): 2,000,000.00 Estimated net profit pa. (8): 1,500,000.00 Estimated imestable assets (8): <SI MM Potential AROMA to be invested with PWM (5): 300.000.00 Other Known Randal Institutions: Institution: 08 Country: USA Est. Assets Under Mat: 1,000,000.00 Institution: Country: 1st Assets Under Mgt: Institution: Country: Fit. 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 (gal Entity None: I Southern Trust Company. UR https://dbforcepb.my.salesforcaaNtErtaLVIIIAL000000D9Di&e... 7/30/2019 SONY_GM_00040055 DB-SDNY-0002879 EFTA_00150664 EFTA01284142 KYC Print Page 17 of 21 Type of Entity: LI Foundation/Association OErust a Company O Estate O Partnership Purpose of Entity: IIr4 Prtvate Investment CI lanthropic/Chatitable • ommercial Type of Entity Other (specify): Purpose of Enttty tither (sPecify): Country of incorporation/registration: US Vrgin Islands Date of Incorporation / registration: 11/18/2011 Volcker Status: Identified on Customer Profile Volcker Flag: No Address (city, street, post code): 6100 Red hook Quarter 83 00802 U.S. TTN/E1N: Provide a description of the entity's organnatkrial structure, its ownersNp structure and Its Top Management. For trusts/ revocabillty,settior and beneficiaries,etc.: Jeffrey Epstein is the sole shareholder of this company. The signors on this account am Jeffrey Epstein, Harry Beller, Jeanne oundations, include information about Brennan, and Dairen Indyke. Please indicate how ownership of the legal entity is reflected: • Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate benefklal owner ht not the same persons). to the best of your km:Wedge, is the entity party to a non.banking relationship with Deutsche flank ft q. external legal counsel, client referral source, suppler of goods or services)/: Yes D No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: /01•501.5 Consulting Services retying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of then dents and qets thee revenue from the return of these investment& Southern Trust crests in different portfolios catered to their clients end makes thew revenue based on the returns and the fees associated with managing their clients Countries where business is transacted: US Virgin Islands iskrnber of employees: 0 3D. Wealth Profile (Only for parties revering 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 Aloes (e.g. balance sheet or equivalent summary of assets,labilities): Consult arid invest tient funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000000.80 Estimated net profit p.a. (5): 1,500,000.03 Estimated Irrrestable assets ($): $2 MM - 5 MM Potential Amount to be invested with PWM (5): 300,000.00 Other Known Financial Institutor*: Institution: DB Country: USA lot. Assets Under Mgt: 2,000,000.00 Institution: Country: at. Assets Under Mgt: Institution: Counuy: Est. ASSetS Under Mgt: SONY_GM_00040056 Imps://dbforcepb.my.salesforcartaNEJIDEschiltiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002880 EF1'A_00150665 EFTA01284143 KYC Print Page 18 of 21 DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center 12 NY O NY/Offshore O offshore LO Moderate isk ra au High Risk Yoortsurt Chung (Complianc Signature) OM Employee O DB Managed PIC O DO is Trustee/Co-Trustee O Bearer Shares 4. Attadimenb ! A. Type of Photo ID Provided 0 Drivers License 0 Passport O National/State ID O Other R. Checklist of names (initviduals and/or entitles) that were submitted for database searches is attached 0 Yes ON, C. Please indkate the results of the database searches performed RDC searches complete Ryes Os negative mulls found Byes ONO PCR checks complete 'a yes O110 negative results found n Yes O No OFAC checks complete gas O No negative results found ales ®No BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, Dilite) ®Yes ONO negative results found O Yes 0 No Denial Orders checks complete Ryes O No negative results found Oyes 0110 Plaitfliale-Hubbell searched (Lawyers/Law Hems ody) • yes 'Ririe negative results found • yes • No D. Please summarizee a aliveresults from the database searches Indkated above: DARREN INDYKE: Approved In KYC HARRY BELLER: Approved ki KYC il l JEANNE BRENNAN: Jeanne was previously approved In KYC JEFFREY EPSTEIN: ROC Alert S 1 - Cleared & APPROVED by Chip Packard, APR Compliance, and Pat Harris PCR Alert 9 1/2 -- Not our client Al Cases Closed SOUTHERN FINANCIAL U.C: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our client. FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. Al Negative Media is our client He has been cleared of posing a reputatbnal risk as shown by the ANL Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company I merged into. This alert has been cleared by Caliph:ince and is attached Court Cases are closed Erika Kellerhals: CM Action court case of lames P Carroll v Dann Prosser (a divorce case) which lists Erika Kelerhals as general counsel as she is an attorney. Mother case with Supermarket Source Inc lists Enka as the defendents counsel. These cases are standard In Eats line of work, and they are not directed at her personally. 1. To the best of your knowledge, has the client ever been convicted of a criminal offense' 0 yes Os E. O Yes Os To the best of your knowledge, has the customer ever been involved in any past ialgation against SDNY_GM_00040057 https://dbforcepb.my.salesforcCratNErilE)nEgNiirdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002881 EFTA_00 150666 EFTA01284144 KYC Print Page 19 of 21 Deutsche Bark AG or any of its subsidiaries or is the aistaner threatening litigation against Deutsche Bark AG or any of is subsidiaries? (// Yet, provide aka* below and contact Quito Mgt (Lat4m/Int7) or the Reguiatory Conlra Group al notify Compliance Onmediatoy) G. Does the tient a related party have any financial or other association / interactions within countries D yes 0 No or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the client or related party have any financial or other association, Interactions within high risk O Yes0 No countries? I. Corporate Documentation Attached (Legal Entitles Only) 10 Yes O No O Not Applicable J. Undisclosed enixgial Form Complete (Intermediaries Only) O I'm Os n Not Applicable K. If Lexisfflexis Search Resuks Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? • yes RI No Is the account structure unusually remelt& • Yes 74 No Is there any indication the client set up a non operating company expressly O yes 2 No for the purpose of transferring shares to third parties? Is there any indication this could be a prohibited business relationship? • Yes 2No Are the bearer shares Identified subject to acceptable controls? O Yes F. No SDNY_GM_00040058 https://dbforcepb.my.salesforeCLINErilDEgritlidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002882 EFTA_00 150667 EFTA01284145 KYC Print Page 20 of 21 M. Case Comments Created By Date Comments KshltIJ Golan 8/8/117 4:45 PM This KYC serves as a high risk update for the below Isted chaos (together 'accountholders') - 1. Southern Financial, LLC 2. Southern Trust Company, Inc 3. Je/frey Epstein 4. J. Epstein Virgin Islands Foundation, Inc Below are the reasons why we are comfortable wish approving this KYC: • Information and supporting documents required by our N41 Policy were provided and reviewed; and as a result, we have an understanding of the stratum of the accountholders, their purpose, the purpose of the accounts and expected transaction activity. • There me a few risk factors associated with the accountholders - SOW: The UBOs (Jeffrey Epstein) Is the founder of Southern Trust Company Inc, which manages clients assets. SOW vereication was obtained. Negative Media & PEP: There n some negative media against Mr Epstein and he is also maintains a close relationship with &II CIIMon and Prince Andrew. Please see risk cakulator for more kdormatren. Appropriate approval was obtained. 0 review did not identity any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on aN parties and did not Vinci the names searched to be on any sanctions Ws Cynthia Rodriguez 7/7/117 1:50 PM Verification of Address for Jeffrey Epstein is attached. it s his most recent paycheck from Southern Trust Company Inc. Cynthia Rodriguez 6/30/117 1:28 PM rock searches for UBO can be found in KYC case Cynthia Rodriguez 7/7/117 2:28 PM client confirmed no material changes en 07/01/2017 via phone Cynthia Rodriguez 7/7/117 2:17 PM research for Jean Anne Brennan Webracht Is attached to kyc case ONSHORE APPROVALS Client Faceig Professional (CFP): stewart oldfield Signature) stewart oldfield 7/5/2017 Office Director/Business Head: Andrew F Galavan Signature) Andrew F Galindo 7/6/2027 Regional Office Director: Signature) Mt Business Risk: (Signature) NI- Compliance: 'Nub] mien, Yoornun Chung (Signature) KshitIJ Golan' Yoonsun Chung 8/8/2017 8/8/2017 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager (signature) Global Market Team Head (GMTH)/Sub-Market Team Head (Sillily (Signature) Mt Business Risk: (Signature) AM Compliance: (Signature) SDNY_GM_00040059 https://dbforcepb.my.salesforeCLINEJIDEgialliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002883 EFTA_00150668 EFTA01284146 KYC Print Page 21 of 21 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(I) (CFP 's) should establish and maintain business relationships only with persons who sail* our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PHUGlobal KYC Policy I) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors. Product Qtficers. Brokers, Client Managers. etc. Deutsche Bank Americas New York VA SDNY_GM_00040060 https://dbforcepb.my.salesforCCINtErilDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002884 EFTA_00150669 EFTA01284147