EFTA01399182

KYC Print Page 1 of 43 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01977698 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: SOUTHERN FINANCIAL RELATIONSHIP: 00000483290 Stewart Oldfield New PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: *** 2018 Periodic Review *** gq Client Referral How Was the Client(s) Introduced? How long has the RM personally known the client? Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? RM Prospect Intermediary/FIM Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this relationship.. Last Approved KYC # Butterfly Trust 1804531; Neptune, LLC - Yes (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 2 11 3 1! Number Karyna Shuliak- - DDA-35267258 Butterfly Trust - 44130552 - MMBA-44130552 Neptune LLC - 42953424 - DDA-42953424 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or EFTA01399182 information right for the accounts.): Opening Date (intended/actual) 12/13/2013 1/24/2014 10/18/2013 it No 1! Existing PWM Relationship Booking Center: New York d re erre met o of contact (indicate phone no., fax no., s, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399183 KYC Print Page 2 of 43 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: • & Karyna Shuliak- - DDA tewart le d What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a checking account for Individuals. They use the funds for daily expenses. Indicate from where the assets are expected to arrive? gq DB Group: Same Booking Center (indicate account number): Existing DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: 2-6/month; $1 $2000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 24,282.99 24,282.99 Yes* 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 (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account EFTA01399184 1 2 Ka ryna gq g4 g4 g4 g4 g4 Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) Legal Representative Grantor/SettlorFounding Donor Other (please describe other roles and/or indicate relationship between parties) EFTA01399185 Currency Currency USD USD Acct. Number (if available): 35267258 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399186 KYC Print Page 3 of 43 2. Account Ownership Summary Account Name: Account Manager: Butterfly Trust - 44130552 - MMBA Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a money market deposit account to pay all expenses/ disbursements related to the trust. Expenses are taxes, trust fee, etc Indicate from where the assets are expected to arrive? it DB Group: Same Booking Center (indicate account number): Existing DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: 0-2/month; $0 $1000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 704,736.63 704,736.63 Yesg4 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 (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account EFTA01399187 1 11 gq 2 3 4 5 6 7 Butterfly Trust Harry Beller Erika Kellerhals Jeffrey E. Epstein M 4 g4 g4 g4 g4 44 g4 Trustee:; Trustee:; Grantor of Butterfly Trust; Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA EFTA01399188 Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) Legal Representative Grantor/SettlorFounding Donor Other (please describe other roles and/or indicate relationship between parties) Currency Currency USD USD Acct. Number (if available): 44130552 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399189 KYC Print Page 4 of 43 8 9 10 11 12 13 14 15 Darren K. Indyke Karyna Shuliak Richard D. SIM g4 gR 414 414 414 4R 4R 4R 4R https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399190 KYC Print Page 5 of 43 2. Account Ownership Summary Account Name: Account Manager: Neptune LLC - 42953424 - DDA Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a checking account to pay for all expenses (i.e. electric, maintenance, cable, etc.) on Epstein's NYC home. Indicate from where the assets are expected to arrive? it DB Group: Same Booking Center (indicate account number): Existing DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: 15-20/month; $10 - $10000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 207,814.91 207,814.91 Yesgq 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 (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account Jeffrey EFTA01399191 1 2 3 4 11 5 E. Epstein Harry Beller Darren K. Indyke Neptune, LLC Richard D. Kahn At4 Manager of Neptune LLC; AR A AR Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) Legal EFTA01399192 Representative Grantor/SettlorFounding Donor Other (please describe other roles and/or indicate relationship between parties) Sole Member of Neptune LLC; Currency Currency USD USD Acct. Number (if available): 42953424 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399193 KYC Print Page 6 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em lo er: ni e a es 301 E 66 St, Apt 8h New York NY 10065 United States Homemaker N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship A None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: United States Yes No MIM N/A If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399194 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Homemaker. Solely relies on income from who is a United States Other Business Owner it Salary/Earnings Investment Inheritance/Gifts gift Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 ties, important business partners.) used to work for III, LLC (existing DB client and previously yc approve which is the LLC that is used to run Jeffrey Epstein's New York City home. The legal address for NES is in the USVI but the home is located at 9 East 71 St New York NY. Jennifer no longer manages the NYC home and solel relies on the income of . She has relied on income for the past 3 years. ps: orcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399195 KYC Print Page 7 of 43 Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): <$1 MM Other Known Financial Institutions: Institution: Institution: Institution: Amount of assets planned to invest with PWM($): <$1 MM 20,000.00 Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399196 KYC Print Page 8 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Karyna Shuliak - 00000489504 United States 301 E 66th St, Apt.8H New York NY 10065 United States Interior Decorator JSC Interiors LLC 575 Lexington Ave 14th Floor New York NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship A None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Interior Decorator If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Stewart Oldfield EFTA01399197 Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: g4 Other Location (specify): Date: 6/23/2017 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Interior Design United States Other Business Owner gq Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Karyna went to school for interior design and now works as an interior decorator for JSC Interiors LLC, a currently client of DB (kyc case 01305519). Her annual income is approximately $150k with salary, bonus, and commissions. https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399198 KYC Print Page 9 of 43 Estimated Annual Income($): 150,000.00 Estimated Net Worth($): <$1 MM Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): <$1 MM 2,000.00 Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Married to https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399199 KYC Print Page 10 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Jeffrey E. Epstein - 00000483289 Virgin Islands, U.S. Little Saint James Saint Thomas 00802 Virgin Islands, U.S. Self Empolyed Southern Trust Company Inc Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: 6100 Red Hook Quarter B3 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) Connection with Prince Andrew and Bill Clinton To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesl! No ip Yes Family No Friendship gill None Yes glit No 1/20/1953 United States Yesgq No 090-44-3348 President If applicable, indicate which bank officers have met the EFTA01399200 person: Bank Officer Name(s) Stewart Oldfield Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: 6/28/2017 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Private investments United States High Risk Financial Institutions it Business Owner Salary/Earnings gilt Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein & Co. 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 of Alan C. Greenberg, chairman of Bear Stearns. https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399201 KYC Print Page 11 of 43 In 1976, Epstein started work as an options trader at Bear Stearns 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 became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, 3. Epstein & Co., managing the assets of clients with more than $1 billion in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a well-known client. Wexner acquired Abercrombie & 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 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. Other bidders were advertising executive Donny Deutsch, investor Nelson Peltz, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in- chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client's assets. Estimated Annual Income($): 10,000,000.00 Estimated Net Worth($): $500 MM + Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM - 100 MM 2,300,000.00 Country: Est. Assets Under Mgt: EFTA01399202 Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): N/A Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399203 KYC Print Page 12 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Harry Beller - 00000487202 United States Accountant HBRK Associates, Inc Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position Title Rank: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A YesA No Yes glft No Family Friendship A None Yes A No United States Accountant If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399204 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399205 KYC Print Page 13 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399206 KYC Print Page 14 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Erika Kellerhals - 00000499664 Viroin Islands U.S. U S. Attorney Kellerhals Ferguson Kroblin PLLC Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: 9100 Port of Sale Mall, Ste 15 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesillt! No Yes A No Family Friendship *RI None United States SUM Attorney If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01399207 Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399208 KYC Print Page 15 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399209 KYC Print Page 16 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em to er: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship A None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: ' • Title/Rank: Yesl4 No N/A If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399210 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399211 KYC Print Page 17 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399212 Yesi1 No KYC Print Page 18 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em to er: United States N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship A None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: itle/Rank: N/A If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399213 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399214 KYC Print Page 19 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399215 KYC Print Page 20 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Date of Birth: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship A None Yes JJI No Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: EFTA01399216 Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399217 KYC Print Page 21 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399218 KYC Print Page 22 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em to er: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship gill None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position Title/Rank: YesJfi No N/A If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399219 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399220 KYC Print Page 23 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399221 KYC Print Page 24 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of em lo er: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship gill None Yes JJl No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Yes No N/A If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01399222 Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399223 KYC Print Page 25 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399224 KYC Print Page 26 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship A None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: ' • Title/Rank: United States Yes No N/A If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399225 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399226 KYC Print Page 27 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399227 KYC Print Page 28 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship A None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: United States YesWA No N/A If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399228 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399229 KYC Print Page 29 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399230 KYC Print Page 30 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Darren K. Indyke - United States Accountant Southern Financial LLC Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship gill None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: United States Yesi No Accountant If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Stewart Oldfield EFTA01399231 Indicate where and when the client meeting(s) took place: Bank Office: ift Client Private Domicile: Client Place of Business: Other Location (specify): Date: 12/12/2016 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399232 KYC Print Page 31 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399233 KYC Print Page 32 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Richard D. Kahn - Accountant Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A YesiM No Yes VI No Family Friendship gill None Yes ifh No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: iiiiiiiiiiitle/Rank: Yesin No Accountant If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399234 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399235 KYC Print Page 33 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399236 KYC Print Page 34 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: N/A N/A N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A 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)?(if Yes,describe ) N/A Yesgq No Yes JJI No Family Friendship A None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Yes No N/A If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399237 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399238 KYC Print Page 35 of 43 Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Institution: Institution: Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Type of Entity: Butterfly Trust - 00000486426 Foundation/Association 11 Trust Partnership Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): Virgin Islands, U.S. Identified on Customer Profile 6100 Red Hook Quarter B3 St, Thomas 00802 Virgin Islands, U.S. Company Estate ilt4 Private Investment Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: Volcker Flag: U.S. TIN/EIN: 12/27/2006 No 26-6639711 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: This is an irrevocable trust set up by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current trustees. EFTA01399239 The trustees .1. are Harr Beller and Erika Kellerhals. The beneficiaries are: Darren Indyke Kar na Shuliak Richard Kahn MO= Philanthropic/Charitable Commercial Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399240 KYC Print Pa e 36 of 43 Attached are the original trust agreement and the addition/deletion of beneficiary instrument to support this change. According to the original trust agreement, the trustees have the right during the lifetime of the Grantor to delete or add beneficiaries under Article 3 of the agreement. Please indicate how ownership of the legal entity is reflected: Addition of Beneficiaries attached Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): This is an irrevocable trust set up by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current trustees. The trustees are Harry Beller and Erika Kellerhals. The beneficiaries are: Darren Indyke Karyna Shuliak Richard Kahn 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, supplier of goods or services)?: EFTA01399241 N/A Yes Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Trust account Countries where business is transacted: Number of employees: Virgin Islands, U.S. N/A 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? United States High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Nol! https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399242 KYC Print Page 37 of 43 Trust account with Jeffrey Epstein as Grantor. Initial $100 given to the account to fund. The funds for this trust account come from investments made by Jeffrey Epstein. His wealth profile is filled out. Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: Institution: Institution: 4,500,000.00 4,500,000.00 $5 MM - 10 MM 700,000.00 Country: Est. Assets Under Mgt: Country: Country: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Type of Entity: Neptune, LLC - 00000487264 Foundation/Association Partnership Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): United States Identified on Customer Profile 6100 Red Hook, Quarter B3 St, Thomas 00802 Virgin Islands, U.S. Trust 1! Company Estate ilfq Private Investment Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: Volcker Flag: U.S. TIN/EIN: 12/21/2011 EFTA01399243 No 45-4093384 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Single member LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Harry Beller, Darren Indyke. Richard Kahn is the manager. Please indicate how ownership of the legal entity is reflected: Operating Agreement Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): Single member LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Harry Beller, and Darren Indyke. Richard Kahn is the manager. 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, supplier of goods or services)?: N/A Yes Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: United States 3 Nol! This LLC was formed to hold the funds necessary to cover the costs and taxes associated with running Jeffrey Epstein's NYC home Philanthropic/Charitable Commercial Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399244 KYC Print Page 38 of 43 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? This LLC is funded by contributions made by Jeffrey Epstein. Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: Institution: Institution: United States High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): 1,000,000.00 1,000,000.00 <$1 MM Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399245 KYC Print Page 39 of 43 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name Risk Rating Comments: Booking Center SOUTHERN FINANCIAL RELATIONSHIP gq NY NY/Offshore Offshore Risk Moderate it High Risk (Compliance Signature) DB Employee DB Managed PIC DB is Trustee/Co-Trustee 4. Attachments A. Type of Photo ID Provided B. im Drivers License 41! Passport Checklist of names (individuals and/or entities) that were submitted for database searches is attached C. Please indicate the results of the database searches performed RDC searches complete PCR checks complete OFAC checks complete National/State ID No Other : Darren Indyke & Richard Kahn GCIS # 486405 & i Yes Bearer Shares ip Yes ip Yes ip Yes BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) A Yes Denial Orders checks complete Martindale-Hubbell searched (Lawyers/Law Firms only) - No negative media - Harry Beller is the plaintiff in the court case, also it has been disposed. - No negative media - No court cases Butterfly Trust: - No negative media - No court cases - No negative media - No court cases Jeffrey Edward Epstein: EFTA01399246 - Negative media relates to the sex offence in the past which are already cleared. (KYC # - 01790655) - Court cases relates to Jeffrey's sex offence in the past which is already cleared, another is a recent ongoing civil lawsuit pertaining to fraud, but part of normal business operations for this client. And in one of the case he's neither defendant nor plaintiff. He's just named as a respondent and the case is immaterial in nature. - Criminal Filings relates to sex offence which is already cleared in the past - RDC alert found - Sex offences in the past which has been cleared - Clearance attached. - No negative media - No court cases Darren Indyke: - Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature. fit Yes fit Yes D. Please summarize any negative results from the database searches indicated above: No No No No No No Harry Beller: negative results found it4 Yes negative results found negative results found negative results found negative results found negative results found it4 Yes No No Yes A No ift Yes No Yes A No Yes A No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399247 KYC Print Page 40 of 43 - Court case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past which has been cleared already. Darren is just an attorney for Jeffrey in the case. - Fircosoft alert has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Arca and was cleared in the previous KYCs. Attached clearances - RDC alert found - realates to violation of NYSE Arca Equities Rule - - No negative media - No court cases Erika Kellerhals: - No negative media - No court cases - No negative media - Court case is immaterial since she is not a defendant nor plaintiff. Her name is just mentioned as miscellaneous. Case is closed as well. Neptune LLC: - No negative media - No court cases • - o nega ive media - No court cases - No negative media - No court cases - No negative media - No court cases - No negative media - No court cases Karyna Shuliak: - No negative media - No court cases JSC Interiors LLC: - No negative media - No court cases Southern Trust Company Inc: - No negative media - No court cases E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F To the best of your knowledge, has the customer ever been involved in any EFTA01399248 past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. (LatAm/Int'l) or the Regulatory Control Group and notify Compliance immediately) G Does the client or related party have any financial or other association / interactions within countries 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 countries? I. Corporate Documentation Attached (Legal Entities Only) ittf! Yes No Yes A No Yes A No Yes A No ip Yes No Not Applicable https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399249 KYC Print Page 41 of 43 3. Undisclosed Principal Form Complete (Intermediaries Only) Yes No it Not Applicable K. If Lexis/Nexis Search Results, 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? Is the account structure unusually complex? Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? Is there any indication this could be a prohibited business relationship? Are the bearer shares identified subject to acceptable controls? Yes A No Yes A No Yes A No Yes A No Yes A No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration? lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399250 KYC Print Page 42 of 43 M. Case Comments Created By Date Comments This KYC serves as a high risk update for the below listed clients (together "accountholders") — Kshitij Golani 9/25/118 10:04 AM 1. & Karyna Shuliak 2. Butterfly Trust 3. Neptune LLC Below are the reasons why we are comfortable with approving this KYC: • Information and supporting documents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors associated with the accountholders — SOW: The UBO (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages client's assets. SOW verification was obtained. In addition, Karyna Shuliak is an employee at JSC Interiors. We have her pay stubs under KYC — 1790724. Negative Media & PEP: There is some negative media against Mr Epstein and he is also maintains a close relationship with Bill Clinton and Prince Andrew. Please see risk calculator for more information. Appropriate approval was obtained. • 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 did not find the names searched to be on any sanctions lists. Mayur Rathod 9/3/118 3:17 AM No material changes confirmation "email" attached in the case. ONSHORE APPROVALS Client Facing Professional (CFP): Office Director/Business Head: Regional Office Director: AML Business Risk: (Signature) Stewart Oldfield Steven Mattus (Signature) Stewart Oldfield (Signature) Steven Mattus (Signature) EFTA01399251 9/5/2018 9/6/2018 AML Compliance: Kshitij Golani (Signature) Kshitij Golani 9/25/2018 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Account Manager: Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) (Signature) (Signature) (Signature) https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399252 KYC Print Page 43 of 43 AML Compliance: (Signature) 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 Professionalsl(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019 EFTA01399253