KYC Print

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 relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Oldfield 0 New PWM Relationship 5 2 Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists provide Periodic Review "* reason for new profile and attach old profile: "" 2018 ZA Client Referral 0 RM Prospect • Intermediary/FIM • Other Source (as, etc.) How Was the Oient(s) Introduced? How long has the RM personally known the client? please provide details (e.g. name of referral source, how many reached out to Stew Oldfield on 3/7/17 to have a new acct opened Last Approved KYC # - MI - M I : Butterfly years RM personally has known client, etc.): Jeffrey Epstein under this relationship.. Trust - 1804531; Neptune, LLC - 1790739. Does Deutsche Bank pay a retrocession or similar • Yes I R No compensation to a third party for the Introduction of this relationship? (If Yes, describe). List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (Intended/actual) 1 0 12/13/2013 & 2 2 Butterfly Trust - 44130552 - MMBA-44130552 1/24/2014 3 2 Neptune LLC - 42953424 - DDA-42953424 10/18/2013 veho is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information tight for the accounts.): Preferred method of contact (Indicate phone no., fax no., e-mail address, etc.): Status : 6. Approved CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(o). DB-SDNY-0000042 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e00%119.7°W/2019 EFFA_00018916 EFTA00168663 KYC Print Page 2 of 43 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: & Acct. Number (if available) Account Manager: Stewart Oldfteld 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 IndNiduals. They use the funds for daily expenses. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): Existing li DB Group: Other Booking Center (indicate DB location and account details): H Other Insbtubon - (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; S1 - $2000 What is the expected volume of assets and currency for the account approx. 90 days after opening? 24,282.99 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 24,282.99 I Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? ElYes J No Please list all parties related to the account FOr each patty: • 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 Entityof Description Source of Wealth required Parties related to this account AccountPlC Holder OwneeTrust Senior of / Founder of Foundation Inmate Beneficial Owner Signatory or Full POA Umited POA Financial Intermedian/ShareholderRepresentative (FIM) Significant (>=25%) entity (indicate ownership %) Legal Grantor/SettlorFounding Donor Other (please describe other roles and/or ndicate ,elationship between 3arties) 0 2 . 0 0 2 FA' 0 K 0 0 0 2 0 2 0 0 2 K El El 0 0 0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(o). DB-SONY-0000043 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Dieceid=5000e0liaffl7.°41 7/2019 EFTA_00018917 EFTA00168664 KYC Print Page 3 of 43 2. Account Ownership Summary Account Name: Butterfly Trust - 44130552 - MMBA Acct. Number (i I available) 44130552 Account Manager: Stewart Oldfleld 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? DB Group: Same Booking Center (Indicate account number): Existing H DB Group: Other Booking Center (indicate DB location and account details): H 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? 704,736.63 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 704,736.63 Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 0 Yes s& 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 Account Holder PlC OwnerTrust Settlor of / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA _imited DOA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (Indicate ownership %) Legal Representative Grantor/Settlor Founding Donor Other (please describe other roles and/or indicate relationship between parties) RI 2 Butterfly Trust 2 0 0 0 0 El 0 0 0 0 2 0 0 Hwy &H Belle 0 • • 0 5 0 0 • 0 0 Trustee:; 3 0 0 Erika Kellerhals CI . . 0 5 0 0 • 0 0 Trustee:; 4 0 2 Jeffrey E. Epstein 0 • 5 0 • 0 0 • • 0 Grantor of Butterfly Trust; 5 • • ❑0 0 0 • s • • • 0 6 • • Mat • 0 • 0 • 0 • CI • 0 7 • • El 0 • 5 • 0 • DI • 0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNv-0000044 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0i1M724,8;2019 EFTA_00018918 EFTA00168665 KYC Print Page 4 of 43 ■ 8 0 i 0 0 0 '1 00 0 • • • • 9 0 0 0 0 0 0 0 0 • • • • io•• SyeUana O O 0 O O O O m • • ii•• i 00• 0 0 00 O • • u•• ROO. 0 0 00 O • • 13 Darren K. Indyke ri I--/ O 0 O O O O m m m • • 11 0 0 0 0 0 0 O • n • • • 15•0 Ka R(chhnard D. O O MO O . • • 16 0 fl 0 0 0 0 0 O • • • • • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000045 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0AN2V8§2019 EFTA_00018919 EFTA00168666 KYC Print Page 5 of 43 2. Account Ownership Summary Account Name: Neptune LLC - 42953424 - DDA Acct. Number (If available) 42953424 Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? 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? I' I DB Group: Same Booking Center (indicate account number): Existing H DB Group: Other Booking Center (indicate DB location and account details): H 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? 207,814.91 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 207,814.91 'Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? • Yes IRI 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 AccounttlC Holder OwnerTrust Settlor of / Founder of Foundation Jitimate 3eneficial Owner Signaton4Jmited or Full POA POA Financial Intermediary (FIM) Significant ShareholderRepresentative (>=25%) Non-PIC entity (indicate ownership %) Legal Grantor/Settlorfounding Donor Other (please describe other roles and/or ndicate relationship 7etween mites) • 5 Jeffrey E. Epstein • 0 • 2 Ti • IN • 0 0 Sole Member of Neptune LLC; 2 • • Belle Ha . • 0 • Ti a • • • • 3 • • Darren K. Indyke • • 0 • 2 • a • • • ii la v Neptune, LLC w • El • 0 • a • • • 5 0 0 Richard D. Kahn ri I—I 0 0 0 0 0 0 0 0 0 Manager pf Neptune LC. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000046 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0Otatn1 18/2019 EFTA_000 18920 EFTA00168667 KY(' Print Page 6 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershid Summa 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? No El yes 5 Profession/Occupation: Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: 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 O Yes 0 No Is the indNidual a Politically Exposed Person (PEP)?(// Yes, describe) N/A 0 Yes n No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 0 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)?(// Yes,desalbe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • Wealth Details for this indNidual 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: Homemaker. Solely relies on income from her wife who is a Interior Designer. Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? Other Summarize Source of Wealth: • Business Owner R Salary/Earnings • Investment • Inheritance/Gifts 0 Other: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?For business o lo in business how man em lo ees level of rofitabili ? Indicate of business countries of major activities, important business partners.) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. B(o). DB-SDNY-0000047 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0Otaffl7° V1W/2019 EFTA_000 18921 EFTA00168668 KYC Print Page 7 of 43 Estimated Annual Income(;): Estimated amount of investable assets(;): <s1 MM Estimated Net Worth(;): <$1 MM Amount of assets planned to invest with FWM(;): 20,000.00 Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Married to CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000048 https://dbforcepb.my.salesforce.corniservlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0MN7°V11&2019 EFTA_000 18922 EFTA00168669 KY(' Print Page 8 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: United States Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? 0 yes 5 No Profession/Occupation: Tax ID / SSN: Current Employer: Position/Title/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities 0 Yes ON° Is the indNidual a Politically Exposed Person (PEP)?(// Yes, describe) N/A El Yes n No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 0 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)?(// Yes,desalbe) N/A 0 Yes 2 No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private idle: Client Place of sines: Other Location (specify): Date: Stewart Oldfleld 0 0 2 6/23/2017 0 0 0 0 0 0 • 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? United States Primary industry of source of Wealth/Source of Funds? Other Summarize Source of Wealth: • Business Owner 2 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?For business owners how lo in business how man em lo ees level of rofitabili ? Indicate of business countries of ma or activities im ortant business artners. annual income is approximately $150k with salary, bonus, and commissions. I I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000049 AO https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0A i 001013 // lu/2019 EFTA_000 18923 EFTA00168670 KYC Print Page 9 of 43 Estimated Annual Income(;): 150,000.00 Estimated amount of investable assets(;): <$1 MM Estimated Net Worth(;): <$1 MM Amount of assets planned to Invest with PWM($): 2,000.00 i Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Married to CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000050 https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0n.°4942019 EFTA_000 18924 EFTA00168671 KY(' Print Page 10 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershib Summa 3A. Individual Details (for all parties) Individuals Name: Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: Virgin Islands, U.S. Country of Citizenship: United States Address of primary residence: Little Saint Saint Thomas 00802 Virgin Islands, U.S. Has client resided outside of his/her country of nationality for 5 years or more? 0 yes n No Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 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 ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities 0 Yes ION° Is the indNidual a Politically Exposed Person (PEP)?(// Yes, desaibe) Connection with Prince Andrew and Bill Clinton Ryes • No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or friendship, describe) N/A 0 Family 0 Friendship 2 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)?(// Yes,desaibe) N/A 0 Yes 2 No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private idle: Client Place of sines: Other Location (specify): Date: Stewart Oldfleld 2 0 0 6/28/2017 0 0 0 0 0 0 • 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 Individuats Business: Private Investments Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Summarize Source of Wealth: RI Business Owner 0 Salary/Earnings ZA Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long In business, how many 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 Steams early in his career and then formed his can firm, .1. 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 Steams. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(4). DB-SDNY-0000051 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OW.7° V1V/2019 EFTA_000 18925 EFTA00168672 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 Steams. 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 Peitz, 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 $25 million to finance Radar a celebrity and pop culture magazine founded by Meer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client's assets. Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets($): $50 mm - 100 MM Estimated Net Worth($): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Accos Under Mgt: Institution: Country: Est. Accos Under Mgt: Please Indicate the family situation of the Individual (marital status, other family members, etc.): N/A CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000052 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtalV IV118/2019 EFTA_000 18926 EFTA00168673 KY(' Print Page 12 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershib Summa 3A. Individual Details (for all parties) Individual's Name: Harry Beller - Date of Birth: Country of Residence: United States Country of Citizenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? El yes 5 No Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Accountant Address of employer: 575 Lexington Avenue, 4th Floor Monsey 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 O Yes 0 No Is the indNidual a Politically Exposed Person (PEP)?(// Yes, desaibe) N/A Ekes RI No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship gl 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)?(l, Yes,desaibe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • Wealth Details for this IndNidual 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e(a). DB-SONY-0000053 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0AN7° V1V/2019 EFTA_000 18927 EFTA00168674 KYC Print Page 13 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000054 https ://dbforcepb.my.salesforce.com/servlet/servlet. Integration?lid=01N30000000D9Dieceid=5000 et:jag :1.7°4%183/2019 EFTA_000 18928 EFTA00168675 KY(' Print Page 14 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershid Summa 3A. Individual Details (for all part es) Individual's Name: Erika Kellerhals - Date of Birth: Country of Residence: Virgin Islands, U.S. Country of Citizenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? 0 yes n No Profession/Occupation: Attorney Tax ID / SSN: Current Employer: Kellerhals Ferguson Kroblin PLLC Position/Title/Rank: Attorney Address of employer: 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 O Yes ON° Is the indNidual a Politically Exposed Person (PEP)?(// Yes, desaibe) N/A 0 Yes RI No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship gl 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)?(l, Yes,desaibe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000055 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0AN7°V118/2019 EFTA_000 18929 EFTA00168676 KYC Print Page 15 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB- 00000p022566 -0000056 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0MIV9P12612019 EFTA_000 18930 EFTA00168677 K Y ( ' Print Page 16 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershib Summa 3A. Individual Details (for all parties) Individual's Name: - Date of Birth: Country of Residence: United States Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? No 0 yes n Profession/Occupation: N/A Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: 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 O Yes 0 No Is the indNidual a Politically Exposed Person (PEP)?(// Yes, describe) N/A 0 Yes n No To the best of your knowledge, is the Individual related to an employee of the DB group?(d Family or friendship, desaibe) N/A 0 Family 0 Friendship 0 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)?(// Yes,desaibe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • Wealth Details for this IndNidual 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the hIstory of wealth or each of the sources: (e.g. For trusts, how did settler 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e(a). DB-SDNY-0000057 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0AN7.° 4W11/2019 EFTA_000 18931 EFTA00168678 KYC Print Page 17 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-00058 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0MIC.W 00 W2019 EFTA_000 18932 EFTA00168679 KY(' Print Page 18 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershid Summa 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: United States Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? No 0 yes 5 Profession/Occupation: N/A Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: 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 O Yes 0 No Is the indNidual a Politically Exposed Person (PEP)?(// Yes, describe) N/A 0 Yes n No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 0 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)?(// Yes,desaibe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e(e). DB-SDNY-0000059 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0AN7°W42019 EFTA_000 18933 EFTA00168680 KYC Print Page 19 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000060 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtatVW0 1/2019 EFTA_000 18934 EFTA00168681 KY(' Print Page 20 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershib Summa 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: ■ Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? No Oyes tri Profession/Occupation: N/A Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: 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 O Yes 0 No Is the individual a Politically Exposed Person (PEP)?(// Yes, desaibe) N/A 0 Yes n No To the best of your knowledge, is the Individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 0 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)?(// Yes,desaibe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For busts, how did settler 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000061 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtatVW&2019 EFTA_000 18935 EFTA00168682 KYC Print Page 21 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000062 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0MIC.°Vg2019 EFTA_000 18936 EFTA00168683 KY(' Print Page 22 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershid Summa 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? Oyes 5 No Profession/Occupation: N/A Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: 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 O Yes 0 No Is the individual a Politically Exposed Person (PEP)?(// Yes, desaibe) N/A 0 Yes S No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 0 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)?(/f Yes,desaibe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000063 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtatV4E2019 EFTA_000 18937 EFTA00168684 KYC Print Page 23 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000064 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0i1WW112019 EFTA_000 18938 EFTA00168685 KY(' Print Page 24 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershib Summa 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? 0 yes W No Profession/Occupation: N/A Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: 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 0 Yes 0 N° Is the indNidual a Politically Exposed Person (PEP)?(// Yes, desaibe) N/A 0 Yes n No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 2 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)?(// Yes,desaibe) N/A 0 Yes 2 No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. B(o). DB-SDNY-0000065 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtatVW/2019 EFTA_000 18939 EFTA00168686 KYC Print Page 25 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000066 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0Otaffl7°V?&2019 EFTA_000 18940 EFTA00168687 KY(' Print Page 26 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershib Summa 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? No 0 yes 5 Profession/Occupation: N/A Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: 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 O Yes 0 No Is the indNidual a Politically Exposed Person (PEP)?(// Yes, describe) N/A 0 Yes n No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 0 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)?(// Yes,desaibe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • Wealth Details for this IndNidual 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. B(o). DB-SDNY-0000067 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtalC °V13C1/2019 EFTA_00018941 EFTA00168688 KYC Print Page 27 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000068 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtaNc. ° 4,1132019 EFTA_000 18942 EFTA00168689 KY(' Print Page 28 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershid Summa 3A. Individual Details (for all parties) Individual's Name: - Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? No 0 yes n Profession/Occupation: N/A Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: 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 O Yes 0 No Is the indNIdual a Politically Exposed Person (PEP)?(// Yes, describe) N/A 0 Yes n No To the best of your knowledge, Is the Individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 0 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)?(// Yes,desaibe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • Wealth Details for this IndNIdual 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000069 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0MIC°V13&2019 EFTA_00018943 EFTA00168690 KYC Print Page 29 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000070 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0Otaffl7°V42019 EFTA_000 18944 EFTA00168691 KY(' Print Page 30 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershid Summa 3A. Individual Details (for all part es) Individual's Name: Darren K. Indyke - Date of Birth: Country of Residence: United States Country of Citizenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? El yes 5 No Profession/Occupation: Accountant Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank: Accountant Address of employer: 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 0 Yes 5 No Is the individual a Politically Exposed Person (PEP)?(// Yes, desaibe) N/A 0 Yes n No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 2 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)?(l, Yes,desaibe) N/A 0 Yes 2 No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Oient Private Domicile: Client Place of Business: Other Location (specify): Date: Stewart Oldfleld 2 0 0 12/12/2016 0 0 0 0 0 0 • 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(o). DB-SONY-0000071 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtalC °Vg2019 EFTA_000 18945 EFTA00168692 KYC Print Page 31 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000072 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0MIC°V138/2019 EFTA_000 18946 EFTA00168693 KY(' Print Page 32 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershid Summa 3A. Individual Details (for all parties) Individual's Name: Richard D. Kahn - Date of Birth: Country of Residence: United States Country of Citizenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? 0 yes g No Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Accountant Address of employer: 575 Lexington Ave, 4th Fl 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 0 Yes 0 N° Is the indNidual a Politically Exposed Person (PEP)?(// Yes, describe) N/A 0 Yes n No To the best of your knowledge, is the individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 2 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)?(// Yes,desalbe) N/A 0 Yes 2 No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Oient Private Domicile: Client Place of Business: Other Location (specify): Date: 0 0 0 0 0 0 0 0 LI • Wealth Details for this IndNidual 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(o). DB-SDNY-0000073 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtalC °V117/2019 EFTA_000 18947 EFTA00168694 KYC Print Page 33 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the Individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000074 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0i1M7°V131#2019 EFTA_00018948 EFTA00168695 KY(' Print Page 34 of 43 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershib Summa 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? 0 yes 5 No Profession/Occupation: N/A Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes 0 No Is the individual a Politically Exposed Person (PEP)?(// Yes, desaibe) N/A 0 Yes n No To the best of your knowledge, is the Individual related to an employee of the DB group?(d Family or friendship, describe) N/A 0 Family 0 Friendship 0 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)?(// Yes,desaibe) N/A 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) ook place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Other Business: Location (specify): Date: 0 0 0 0 0 0 0 0 0 • 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 0 Salary/Earnings • Investment • Inheritance/Gifts K Other: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler 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(;): I I Estimated amount of investable assets(;): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e(a). DB-SDNY-0000075 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0M1419.724,42019 EFTA_000 18949 EFTA00168696 KYC Print Page 35 of 43 Estimated Net Worth(;): Amount of assets planned to Invest with PWM(;): Other Known Financial Institutions: Institubon: Country: Est. Assets Under Mgt: Institubon: Country: Est. Assets Under Mgt: Institubon: Country: Est. Assets Under Mgt: 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 Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Butterfly Trust - 00000486426 Type of Entity: Purpose of Entity: n Private Investment 0 0 Foundation/Association WI Trust • Company K Estate hllanthropic/Charitable 0 mmercial 0 Partnership Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: Virgin Islands, U.S. Date of incorporation / registration: 12/27/2006 Volcker Status: Identified on Customer Profile Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter B3 St, Thomas 00802 Virgin Islands, U.S. U.S. TIN/EIN: 26-6639711 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts foundations, include information about revocabllity,settlor and beneficiarlestetc.: This is an irrevocable bust set up by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current trustees. The trustees re Harry and Enka Kellerhals. The beneficiaries are: arren Indyke chard Kahn vetlana CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000076 AO 0V https://dbforcepb.my.salesforce.com/serviet/serviet.Integration?lid=01N30000000D9Dieceid=5000e00% i 00'//I n/2019 EFTA_00018950 EFTA00168697 KYC Print Page 36 of 43 ht 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 ovmership of the legal entity is reflected: Addition of Beneficiaries attached J 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 are same persons) This is an irrevocable trust set up by Jeffrey Epstein as the grantor. The the benefidarliN for the trust are being updated by the current trustees. The trustees are Harry Beller and Kellerhals. The beneficiaries are: Darren Indyke Richard Kahn I I 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 • No n Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Trust account Countries where business is transacted: Virgin islands, U.S. Number of employees: N/A 3O. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000077 O 1 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0M i A001it W/2019 EFTA_00018951 EFTA00168698 KYC Print Page 37 of 43 trust account with Jeffrey Epstein as Grantor. Initial $100 given to the account to fund. The funds for this trust account come from investments made by Jeffrey pstein. His wealth profile is filled out. Estimated gross receipts p.a.($): 4,500,000.00 Estimated net profit p.a. ($): 4,500,000.00 Estimated investable assets ($): $5 MM - 10 MM Potential Amount to be invested with PWM (5): 700,000.00 Other Known Financial Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Neptune, LLC - 00000487264 Type of Entity: H Foundation/Association 0 Purpose of Entity: 5 Private Investment • Trust in Company 0 Estate Philanthropic/Charitable 0 Commercial II Partnership Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: United States Date of incorporation / registration: 12/21/2011 Volcker Status: Identified on Customer Profile Volcker Flag: No (city, street, post code): 6100 Red Hook, Quarter 83 St, Thomas 00802 Virgin Islands Address U.S. , U.S. TIN/EIN: 45.4093384 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For [(Isis foundations, include information about revocability,settior 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 onager. Please indicate how ownership of the legal entity is reflected: Operating Agreement il Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner ((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)?: A Yes • No 0 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This LLC was formed to hold the funds necessary to oover the costs and taxes associated with running Jeffrey Epstein's NYC home Countries where business is transacted: United States Number of employees: 3 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. g(e). DB-SDNY-0000078 AO https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e00% i 0010 //10/ 42,2019 EFTA_00018952 EFTA00168699 KYC Print Page 38 of 43 3D. Wealth Profile (Only for patties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): This LLC Is funded by contributions made by Jeffrey Epstein. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. ($): 1,000,000.00 Estimated Investable assets ($): <$1 MM Potential Amount to be Invested with PWM ($): Other Known Financial Institutions: Institution: Country: Rt. Assets Under Mgt: Institution: Country: Rt. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000079 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0MIC.°V111019 EFTA_000 18953 EFTA00168700 KYC Print Page 39 of 43 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Cents W NY/ OOffshore Offshore 0 Moderate Risk High Risk I.Ig • n (Compliance Signature) DB Managed PIC [--1 DB Is Trustee/Co-Trustee 0 Bearer Shares • DB Employee • 4. Attachments A. Type of Photo ID Provided RI Drivers License P Passport 0 Nabonal/State ID 0 Odle.'" Indyke & Richard Kahn GUS a 486405 & KYC # B. Checklist of names (individuals and/or entitles) that were submitted for database searches is RI Yes • No attached C. Please indicate the results of the database searches performed RDC searches complete ni Yes 0 No negative results found RlYes • No PCR checks complete ni Yes 0 No negative results found RYes • No OFAC checks complete ni Yes 0 No negative results found ['Yes n No BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, D&B) n Yes 0 No negative results found 0 Yes 0 No Denial Orders checks complete ni Yes 0 No negative results found • Yes WI No Martindale-Hubbell searched (Lawyers/Law Firms only) IRIYes 0 No negative results found 0 Yes WINo D. Please summarize any negative results from the database searches indicated above: Harry Beller: - No negative media - Hairy 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: - Negative media relates to the sex offence in the past which are already dears!. (KYC S - 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. Mary - No negative media - No court cases Darren Indyke: - Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0). DB-SONY-0000080 https://dbforcepb.my.salesforce.corniservletiservlet.Integration?lid=01N30000000D9Dieceid=5000e0MVVit2019 EFTA_00018954 EFTA00168701 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 - Clearance attached - 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 • - No negative media - No court cases - NO negative media - No court cases - No negative media - No court cases - No negative media - No court cases - o negative mme is - No court cases - 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? ®Yes 0 No To the best of your knowledge, has the customer ever been involved in any past litigation against F Deutsche Bank AG or any of its subsidiaries subsidiariesor is the customer threatening litigation against Deutsche Bank AG or any of subsidiaries? (If Yes, provide details below and contact Quality Mgt 0 Yes No (LatAm/Int7) or the Regulatory Control Group and notify Compliance Inuned,ately) G' Does the client or related party have any financial or other association / interactions within countries Ll I—I Yes No or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Does the client or related party have any financial or other association/ interactions within high risk i_J I—I Yes g No H. countries? I. Corporate Documentation Attached (Legal Entitles Only) Yes 0 No 0 Not Applicable CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000081 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0OtalC. °°M2019 EFTA_00018955 EFTA00168702 KYC Print Page 41 of 43 J. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No 2 Not Applicable K. If Lexls/Necis 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? 0 Yes 2 No Is the account structure unusually complex? 0 Yes 2 No Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? n LJ Yes 2 No Is there any indication this could be a prohibited business relationship? 0 Yes 2 No Are the bearer shares identified subject to acceptable controls? 0 Yes 2 No CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000082 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0MIC°N1/2019 EFTA_00018956 EFTA00168703 KYC I'rint Page 42 of 43 M. Case Comments Created By Date Comments Kshitij Golan' 9/25/118 10:09 AM This KYC serves as a hi h risk u ate for the below listed clients (together "accountholders" — 1._-& 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 1)80 (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which mane s client's assets. SOW verification was obtained. In addition, is an employee at We have her pay stubs under KYC 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): Stewart Oldfleld (Signature) Stewart Oldfleld 9/5/2018 Office Director/Business Head: Steven Mattus (Signature) Steven Mattus 9/6/2018 Regional Office Director: (Signature) ANL Business Risk: (Signature) AML Compliance: Kshitij Golan! (Signature) Kshitij Golan' 9/25/2018 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 8(e). DB-SONY-0000083 AO 04G https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e00% i 00i1th12019 EFTA_00018957 EFTA00168704 KY(' 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 Professionals1(1) (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 of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Sank Americas New York CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-00000841 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Dieceid=5000e0M1419—thTlit2019 EFTA_000 18958 EFTA00168705