KYC Print

KYC Print Page 1 of 16 DB PWM GLOBAL KYC/NCA: PART A VA KYC Case n : 01946825 One sheet must be established per relationship - list all accounts Included In the relationshl 1. Relationship Details RelaUdish1p Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Boding Center: New York Relationship Manager: Stewart adfield 17 New PM Relationship 2 edging PWM Relatlonship Relationship to PWM: If existing, please indicate since when the relationship ofels, p aide reason for new profile aid attach old agorae: 2018 Periodic Review 0 Client Referral 0 RN Prospect 0 Intermediary/Flat 0 Other Sound (GB, etc.) How Was the Client(s) Introdtroed? How long has the RM personalty known the dent? Please provide details (e.g. ante of referral source, how many years RM personaly has known client, etc): Jeffrey Epstein met with Stew acilleld on 3/7/17 to open new acct for other entity. RM has known this client for 9 years. Prehousty approved KYC901709382 Does Deutsche Bank pay a f ett ocess. on or 9milar 0 Yes I 2 No compensation to a third party tor the introduction of this relationship? (If Yes, O63O76O List all existing and new amounts Involved In this relationship Legal Entity Account(s) Accowt Name/ Number Opening Date (Intended/actual) 1 2 Prytanee, LLC - Deposit-42967121 1/20/2017 Who Is the primacy contact person or the FU4? (Note: This person needs to have signatory rights and/or information right for the accounts.): "'r"„Dannindyke Preferred method of contact (rockcate phone no., fax no., e-mail address, etc.): (212) 971-1319 Status : 6. Approved SDNY_GM_00037486 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000310 https://dbforcepb.my.salesforce.com/servlet/servlet.integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148098 EFTA01252923 KY(' Print Page 2 of 16 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Prytanee, LLC - Deposit Acct Number (AT.thaletat•fr 42967121 Account Manager: stone oldfleld What Is the purpose of the account (e.g. portfolb management, advisory account, custody services, long-term Investment, payment/expense account)? the purpose of this account Is to managing the monthly expenses of the company. Deposit account related to art purchases. Indicate from where the assets are expected to wee? J DB Group: Same Booing Center (indicate account number): • DB Group: Other Booking Center (indicate DB location and account details): 0 Other Inaltubon — (indicate name & locaton): 0 Physical Deposits (specify cash, securities, cheques, ...): What Is the expected size and frequency of regular Inflows and outflows for the accomit (Indicate estimated number and vofrume pet month)?: 0-5 Inflows/outflows between 100k to SOOk on a monthly basis YAW Is the expected volume of assets and currency for the account approx. 90 days after opening? 15197,882.14 I CLayency I usd VAne Is the expected volume of assets and currency for the account approx. one year after opening? 15197,882.14 I armory I usd Does/will the client have Assets Under Management (ALM) within DB under Eur. 3M? ❑0 Yes 2 No Please Ha all parties related to the account. For each party: • Check if a source of wealth ascription Is reared fa the party. • Check the appropriate box to descite the dab:nap of the party to this account (> 1 can be selecte0). • f none of the check boxes apply, descrbe the party's relation to the ao:ount In the 'Other" co horn. • Alway describe the relabonship between the parties in the last column. • Please drill down to the ulUmatehndedying Beneficial Owner(s). _egarDescelptiai intityof Source of Wealth required Pates related to this account AccountP1C Holder CMPerTrust/ Senior of Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA -beta ?OA Financial IntermediarySharehokierlercesentalve (FIN) Significant (>=25%) Non.PIC entity 0ng:tate ownership %) _egal Gantor/Settior Founding Donor Other (please describe other nor's and/or abate 'elatlenship peewee. parties) 2 2 " neet0 ac 0 0 0 • 0 0 • 0 0 21 CI Southern pa INSt COMlly, Inc ODD 0 0 DO 50 0 0 0 21 0 The Metre Trust 0 0 0 0 0 0 0 50 0 0 0 D 2 jeffreY Epstein 0 ❑0 ❑D E E. 0 C - _ 0 0 sole shareholder of Southern Trust Company, Inc rytanee, LLC;Sole UBO at Southern TOM Company, Inc mach owns 50% of account holder: 5 0 0 Dairen lndyke 0 0 0 0 2 0 0 _ - 0 0 9Pnertanee, LLC; 6 0 2 Caroline s°Pme Camille Lang 0 o a 2 • 0 El 0 0 GrantoilTrustee of The Pierre Trust:Sole Grantor/UOD of the Pierre Trust much owns of % the accoLnt hokleqefrytanee, LIG:Saba to The Pierre Trust; Trustee:For The Pierre Tr SDNY_GM_00037487 DB-SDNY-0000311 7/11/2019 EFTA_00148099 EFTA01252924 KYC Print Page 3 of 16 rrr re r m ete can ant O tterytanee, LIG:Managing Member of prytanee; SDNY_GM_00037488 CONFIDENTIAL- PURSUANT TO FED. R. t I ON FIDENTIAL DB-SONY-0000312 https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00 I 48 I 00 EFTA01252925 KYC Print Page 4 of 16 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all partes) IncWkluall Name: Jeffrey Epstein - Date of Bath: 1/20/1953 Country of Residence: Virgin Islands, U.S. Country of Ofitenship: United States Address of primary residence: Little Saint James Saint Thomas VI 00802 United States Has client resided outside of Ns/her country of nationality for 5 yews or more? O yalcd No Profession/Occupation: Self Empolyed Tax ID/ MN: Current Employer: Southern Financial LLC Positionrfitle/Rank: President Address of employer: 6100 Red Hook Quarter 63 St. Thomas VI United States 00802 Does the person work as seder executive of a 06-recognized regulated entity in the finanoal nOjstry? or am entity fisted on a DB-recognised exchange? (Not applicable for operating entitles O Yes 2 No Is the Individual a Politically Exposed Person (PEP)7(e Yes. derabe) Mr Epstein maintains a close relationship with Bill Clinton and Prince Andrew, Duke of York (United Kingdom). 121Yes O No To the best d your lerowledge, iS the individual related to an employee of the DB group?(/FsmalY 0 e Avendthip, *Kite) O FarNly O Friendship RI None To the bat of your knowledge, a the individual parry to a non-tiankkig relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, suppler of goods or services)7(1 YeOrscribe 1 r-i Yes 0 No L_I It applicable, indicate which bank officers have met the person: Indicate where and when the dent meetIng(s) took place: Bank Officer Name(s) Bank Office: Olent Private Domicile: Gent Place of Business: Other Location (specify): Date: O O O O O • O O O O Wealth Details for this indNIdual are not Med In, because they we the same as for the fotoWng person: 38. Wealth Details (Only for parties requiring source of wealth &sea:than as indicated in Section 2) Nature of the Individual's Business: Private Investments Primary Country d source of wealtNsoorce of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Insitutians Summarize Source of Wealth: 121Business Owner O Salary/Earnings 12 Investment O Inheritance/Gifts O Other: Further Desaibe Source of Wealth /Dead the history of wealth for each of the sources: (e.g. For trusts, how did senior accienulate wealth? For Inhetance, how did family &cumulate wealtlinet business owners, how long in brffiness, how many employees, level of profitability? Indicate type of badness, countries of meet activities, Important business partners.) Epstein began his financial career In 1976 as an options trader at Bear Stearns and became a partner in 1980. In 1982, Epstein founded Ns own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion In net worth. In 1996, Epstein changed the name of Ns Mn to The Financial Trust Company and based it on the Island of St. Thomas in the US Virgin Islands. All of his dents were anonymous except for the very wealthy businessman Leslie Wexner. His wealth hascane from Ns clays at Bear Stearns and his financial management firms. Personal account bdance - S4million. Financial Trust Company later merged into Southern Financial LLC. Refer last approved KYC cases 01898372 for full SOW verificaton of Jeffrey Epstein. Estimated Annual Incane(S): 10,000,000.00 Estimated amount of Investable assers(5): 550 HM - 100 MM Estimated Net Wath(5): $500 MM + An of assets planned to Invest with PWM(S): Other Known Financial Insitutans: Institution: Country: Est. Assets Under Mgt MOM= Country: Est. Assets Under Mgt Instituttn: Country: Est. Assets Under Mgt SDNY_GM_00037489 DB-SONY-0000313 7/11/2019 EFTA_00148101 EFTA01252926 KYC Print Page 5 of 16 Please Indicate the family Situation of the indv4ual (mental stabs, Othei family members, etc.): I SDNY_GM_00037490 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000314 https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148102 EFTA01252927 KY(' Print Page 6 of 16 CONFIDENTIAL - PURSUANT TO FED. R. Ile I O)NFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.integration?lid=0IN30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all pal es) Incleekluall Name: Darren Indo , Date of Both: Country of Residence: United Rates Country of Citizenship: United State Addressor primary residence: 2 Kean Court LNIngston NJ 07039 United Rates Has ellen resided outside of Ns/her ccountryanationaty for 5 years or more? O Yes WINO Profession/Occupation: Lawyer Tax ID / SSN: Current Employe: Southern Financial LLC Posltlon/Tele/Rank: Lawyer Address of employer: 575 Ledngton Ave, 4th Pi Uyingston NY United Rates 10022 Does the person work as senior executive of a DB-recognized regulated enoty in the Mandel nclustry? or al entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes 2 No Is the individual a Politically Exposed Person (PEP)7(fYes diacwbe) • Yes @No To the best cf your knowledge, is the individual related to an employee of the DB group?9, dmifY defame/Ng cleambe) O Family O Friendship @None To the best a your knowledge, is the individual patty to a non-ba*kig relationship with Deutsche Bank (e.g., aerial legal censer, dent referral source, suppler of goods or servicespr7 YeOrscribe 1 r-i L_I Yes 0 No It applicable, Indicate which bank offices have met the person: Indicate where and when the dens meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Gent Place of Business: Other ( Location specify): Date: stewart Meted Eli O O 12/23/2016 O O • O O O D Math Details for this indeldual are not Med in, because they we the same as for the (Mowing peson: 36. Wealth Details (Only for parbes requiring source of wean, descrotion as Indicated in Section 2) Native 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: O Business Owner O Salary/Earnings O Investment O Inhentancelats O Other: Further Des to Source of Wealth /Detail the hatory of wealth for each of the sources: (e.g. For trusts, how did senior accwnulate wealth? For kthentame, how did family accumulate wealth?For business owners, how long In business, how many employees, level of prentability? Indicate type of business, countries of ma)or activities, important business partners.) Estimated Annual inarme(s): Estimated amount of investable assets(s): Estimated Net Worth(S): Amain of assets planned to invest with PW74(S): Other Known Financial InsttuDans: Institution: Lowey: Est. Assets Under Mgt Institution: Lowey: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt Please Indicate the family situation of the inceriOual (marital status, other family members, etc.): SDNY_GM_00037491 DB-SONY-0000315 7/11/2019 EFTA_00148103 EFTA01252928 KYC Print Page 7 of 16 SDNYGM00037492 CONFIDENTIAL- PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000316 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148104 EFTA01252929 KYC Print Page 8 of 16 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Caroline Sophie Cantle Lang - Date of Earth: Country of Residence: France Country of Otizership: France Address of primary residence: 3 Rue Du Meta Colombia Paris 75006 France Has client resided outside of Ns/her country of nationality for 5 years or more? O yes WIN0 Profession/Occupation: Contemporary Art Tax ID/ SSN: Current Employer: SothSys Position/Tele/Rank: Chakman Address of employer: 2, Rue Frames-May Geneva Switzerland 1209 Does the person work as senior executive of a CO-recognized regulated entity in the financial nclustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes 2No Is the individual a Politically Exposed Person (PEP)?Of Yes, desnibe) • Yes @No To the best of your knowledge, is the individual related to an employee of the DB group?9, dmifY o e Mends,* descabe) O FarNly O Friendship @Nem To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal cense, dent referral source, suppler of goods or servicespOT YeOcscribe 1 n Yes 0 No t_i It applicable, indicate which bank offices have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Olen Private Domicile: Business: Gent Place of Other Location (specify): Date: O O O O O • O O O O Wealth Details for this indnidual are not feted In, because they are the same as for the fotoWng person: 36. Wealth Details (Only for parties requiring son of swath desorption as Indicated In Section 2) Matte of the Individual's Busness: Caroline Lang recognised for her indepth knowledge al art market & expertise in Impressionist, Modern & Contemporary art Primary Country of source of wealth/source of Funds? Switzerland Primary Industry or source of Wealth/Source of Funds? Payment Processors / multilevel marketing convenes Summarize Source of Wealth: O Business Omer 2 Salary/Earangs 12 Investment O Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler( accumulate wealth? For Inheritance, how did family accumulate wealth?For busbies owners, how long In burness, how many employees, level of profitability? Indicate Wee of budgies% countries of major activities, Important Daftness partners.) The source of wealth for Caroline Lang delves from her employment as Chairman d Sotheby's Switzerland. Caroline Lang Is Wernatkinally recognized rot her In-depth knomiedge of the at market and her longstanding expertise In Impresdonist, Modern and Contemporary art. Appointed Chairman of the Swiss Department of Impressionist, Modern & Contemporary M In 2012, this consummate pohrotot has achised some of the most important collectors In Switzerland and worldwide. In November 2011, she played a decisive role in the New York sale of Abstracton-Figuration, an exceptional await collection of abstract works by Gerhard Richter and Max Ernst which realized a world auction record for a work by Richter at the time. Caroline Lang has also conducted major marathon auctions In SvAlierland, the UK and Germany, Induding the historic week-long sales of works of art from Monrepos Castle In Ludwigsburg in 2000 and the Royal House of Hanover in 2005. Ms Lang also serves as an executive for Warner Brothers Inc,. Her annual Income is approx. 450k. Estimated Annual Inarme($): 950,000.00 Estimated amount of investable assets(5): SI NM - 2 MM Estimated Net Wctd1($): $1 MM - 2 MM Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148105 SDNY_GM_00037493 DB-SONY-0000317 EFTA01252930 KYC Print Page 9 of 16 Institution: Country: Est. Assets Under Mot: Please Indicate the family situation of the incividual (mental status, other family meters, etc.): SDNY_GM_00037494 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL DB-SONY-0000318 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148106 EFTA01252931 KYC Print Page 10 of 16 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.integration?lid=0IN30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownershlo Summa 3A. Individual Details (for all parties) Indvaduall Name: Etlenne Pierre Jean Binant - Date of Birth: Country of Residence: France Country of Othenship: France Address of primary residence: 60 Avenue Montagne Paris 75008 France lias die n resided outside of Ns/her country of nationality for 5 years or more? O ye 2 No ProfessIon/Oo:upation: Finance Tax ID / SSN: Current Employer: Prytanee LLC Position/Tele/Rank: Manager Address of employer: 6100 Red Hook Quarter 83 St Thomas VI United States 00802 Does the person work as senior executive of a DIS-recogntited regulated entity in the flnanoal nclistry? or an entity iste on a DB-recognised exchange? (Not applicable for operating entitles Oyes 2 No Is the IndhAdual a Politkally Exposed Person (PEP)7(fYes &sate) • yes 2INo To the best of your knowledge, 8 the individual related to an employee of the DB grOup?(d, dmifY orfinendshryz clescabe) O Family O Friendshp 2 None To the bat of your knowledge, is the indNidual party to a non-barikkig relationship with Deutsche Bank (e.g., external legal couisel, oWnt referral source, supplier of goods or services)W YeOcscribc 1 n Yes 0 No L_I It applicable, indicate %filch bank officers have met the person: Indicate where and when the dent meeting(s) took Bank Officer Name(s) Bank Office: Client Private Domicile: Oent Place of Business: Other Location (specify): Date: O O O O O • O O O O Wealth Details for this indNidual are not feted in, because they we the same as for the fotoWng person: 36. Wealth Details (Only for parties requiring source of wealth desorption as indicated in Section 2) Natwe of the Individual's Bueness: Primary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Omer O SalaryfEarNngs O Investment O InhentanceiGats O Other: Further Describe Source of Wealth /Detail the history or wealth re each of the sources: (e.g. For trusts, how did senior accwnulate wealth? For kthentance, how did family accumulate wealth?For butanes owners, how long In Dueness, how many employees, level of profitability? Indicate type of Dueness, countries of ma)or activities, important business partners.) Estimated Annual Inarme(5): Estimated amount of investable assets(s): Estimated Net Worth(5): Amount of assets planned to invest with PW74(5): Other Known Financial Institutens: 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 incividual (marital status, other family members, etc.): SDNY_GM_00037495 DB-SONY-0000319 7/11/2019 EFTA_00148107 EFTA01252932 KYC l'rint Page II of 16 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: Prytanee, LLC - 00000550668 Type of Entity: O Ecundation/Assodaban O Trust 2 Company O Waite • Partnership Purpose of Entity: Iii Prorate Investment O Philanthr c/Chantatte OCommercial Type of Entity Other (specify): LLC Purpose of Entity Other ISPecthr): Country of ecorporation/registration: Virgin Islands, U.S. Date of Incorporation / registration: 7/22/2016 Volcker Status: Identified on Customer Profile Volcker Hag: No Address (city, street, post code): 6100 Red Hook Quarter 63 St Thomas VI 00802 United States U.S. TIN/EIN: Provide a description of the entity's organizabanal structure, its ownership structure and Its Top Management. For trusts/fouoJabans, include information about revocabilMtsettior and beneficiaries,etc: This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Campine Lang Is the grantor. Etienne Went is the manager of the company. Jeffrey and Caroline share the same affinity fa at and deckled to become partners Investing in artwork from up and caning artists together. They both invest equally al the purchases of the artwork. The signatories on Mis account will be: Jeffrey Epstein Darren Indyke Car ne Lang ptienne Binant Please indicate how ownership of the legal entity is reflected: LLC Agreement 0 Special attention: Bearer Shares - Indicate where shares we custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons,. This entity is owned 5050 by Southern Trust Company Inc owned by Jeffrey Epstein and The Metre Trust In which Gamine Lang Is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and deeded to become partners investing in artwork horn up and caning artists together. They both invest equally n the purchases of the atwork. To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e 9. external legal counsel, client referral source, supplier of goods or services)?: Yes El No WI Describe Nature of Entity's Primary Business and Investment Activities Matte of the tautness: Engaging in the acquisitkin, ownership and management of artwork for investment Nooses. Artwork and cash to purchase the artwork are the only assets. Countries where business Is transacted: Virgin Islands, U.S. Number of empoyees: 3+ 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Gantry of source of wealth/source of Funds? United States Primary Industry of source of Wealth/Source of Funds? High Rick Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet a eq halent summary of assersilabiltes): The source of wealth for this entity primarily comes from Jeffrey Epstein and Caroline Lane. Please revert to that incliWdual sources of wealth fa more debts. Estimated gross receipts p.a.(6): 1,000,000.00 Estimated net profit pa. (6): 1,000,000.00 Estimated investable assets (S): S1 MM - 2 MM Potential Amount to be Invested with KUM (0: Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt Institution: County: Est. Assets Under Mgt Institution: County: Est. Assets Under Mgt CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148108 SDNY_GM_00037490 DB-SONY-0000320 EFTA01252933 KYC Print Page 12 of 16 One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary K. Legal Entity Details (For all Legal Enntics) Legal Entity Name: Southern Trust Company, Inc. - 00000983583 Type of Entity: O Foundation/Assodation O Trust 2 Company O Estate O Partnership Purpose of Entity: 2 Private Investment O Ftilanthropic/Owitatte O Commercial Tyre of Entity Cther (seedy): Purpose of Entity CON (SWIM: Country of ncorparabaniregistration: Virgin Islands, U.S. Date of iroareccatice / registraUmi: 11/18/2011 Volcker Status: Identified on Customer ProNe Volcker R ag: No Addras (city, street, post code): 6100 Red Hook Quarter B3 St Thomas Vi 00802 United States U.S. TINJEIN: Provide a clescripbon of the entity's organizational structure, Its ownership structure and Its Top PlanagerneM. For trusts/foundations, Include information about revocabillty,settior and beadle.) les,etc: Jeffrey Epstein Is the sole shareholder at Southern Trust Please Indicate how ownership of the legal entity Is reflected: Consent of Board of directors indicating merger between Financial Trust Company Inc and Southern Financial LLC O Special attention: Bearer Shares - Indicate where shares we custodied: Desate the chain from the direct chimer of the entity to the ultimate beneficial owner (if not the same persons) Jeffrey Eaten Is the sole shareholder of Southern Trust 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 o services)?: Yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the busness: Consult and Invest dent funds and gain revenue based on fees and returns Countries where business Is transacted: Virgin Islands, U.S. htimber of employees: 4 3D. Wealth Profile (Only for parties reqUring source of wealth descripeon as indicated In Section 2) Prinary Counby of source of wealtNsource of Funds? Primary Industry of source of Wealth/Source of Funds? Provide Evidence of Co.poate Assets (e.g. balance sheet a ea Ivalert summary of assetsflatelties): Estimated gross receipts p.a.(S): Estimated net profit pa. (a): Estimated ovestatte assets (4): Potential Ammmt to be kwested with KW (5): Other Known Financial Institutions: Institution: CoLmtry: Est. Asses Under Mgt: .n n,, -LA.:a. Country: Est. Asses Under Mgt: :ny: whorl: Couitry: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: The Pierre Trust - Type of Entity: K Fcundation/Assodatban 2 Trust O Company O Estate ElPartnership Purpose of Entity: Rwate Investment O PhilanthrOpic/Charvatte O Commercial SDNY_GM_00037497 CONFIDENTIAL - PURSUANT TO FED. R. CC I ON F I DENTIAL DB-SDNY-0000321 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/11/2019 EFTA_00148109 EFTA01252934 KYC Print Page 13 of 16 Type or Entity Cther (specify): Purpose of Entity Other (SWIM: Country of incorporaban/registration: Virgin Islands, U.S. Date of Incorporation / registration: 11/21/2016 Volcker Status: Identified in previous KYC Vefdcer Flag: No Address (city, street, post code): 3 rue du Vieux Colombier, Pads 75006 France U.S. TINJEIN: Provide a description of the entity's organizational structure, Its ownership structure and Its Top Management. For trusts/foundations, include information about revocabiltty,settlor and beneficiaries,etc: GrantoNtrusteefbeneficiary: Caroline Lang residing at 3 Rue Cu Vieux Gautier 75006 Paris 06 France. Carcase Lang Is beneficiary during her lifetime. Upon her death, her children become the beneficiaries:Anna Lea Elvire Lalk and Rebecca Zoe Berthe Laic both residing at 3 Rue Du Vieux atomber 75006 Paris 06 France. Please Indicate how ownership of the legal entity Is reflected: trust agreement O Special attention: Bearer Shares - Indicate where shares are custodled: Desaibe the chain from the direct ceder of the entity to the ultimate beneficial owner (ilea She same persons) Grantor/trustee/beneficiary: Cardin Lang residing at 3 Rue Du Marx Colanbier 75006 Paris 06 France. Caroline Lang is benefiaary during her lifetime. Upon her death, her children become the beneficiarles:Anre Lea Elvire Lalk and Rebecca Zoe Bathe Lak both residing at 3 Rue Du Vieux Cobnibler 75006 Pads 06 France. To the best of your knowledge, is the enoty party to a non.banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: •—• LI No Describe Nature of Entity's Primary Business and Investment Activities Native of the business: Investment in aMvak of up & oarNng artists. Engaging in the acquisition, ownership aid management of artwork for investment purposes. Artwork and cash to purchase the artwork ate the only assets. Castles where business is transacted: Virgin Islands, U.S. !timber of empaoyees: I 3D. Wealth Profile (Only for parties mgr.:ring source of wealth description as inckcated In Section 2) Primary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or eq hatent summary of assetsfilateltics): Estimated gross receipts p.a.(S): Estimated net profit pa. (5): Estimated investatte assets (S): Potential Amount to be Invested with PM (5): Other Known Financial Insttutbns: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037498 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SDNY-0000322 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFI'A_00148110 EFTA01252935 KYC Print Page 14 of 16 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB PWM GLOBAL KYC/NCA: US/ LatAm/IDel PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Boalng Center 2 NY 0 NY/Offshore0ciythory It mi Moderate ra High Risk (Compliance Sgnature) DDB Employee 0 DB Managed PIC 0 DB Is Trustee/Co-Trustee 0 Bearer Slates 4. Attachments A. Type of Photo ID Prodded 0 Drivers License 2 Passport 0 NaUctraWState ID 0 Other : GCIS 0 550668 B. Checklist of names (incividuals and/or entitles) that were submitted for database searches Is attached 2 Yes O No C. Please indicate the results of the database searches performed PLC searches complete 2 Yes 0 No negative results found 2 Yes 0 No PCR checks complete 2 Yes 0 No negative results found 2 Yes 0 No OFAC checks complete a Yes 0 No negative results found 0 Yes 0 No BIS searches complete (Lecisittexis, Factr.a, Reuters, Dow Jones, C0B) 2 Yes O No negative results found O Yes O No Denia Orders checks complete 2 Yes 0 No negative results found 0 Yes g No Martindale-Hubbell searched (Lawyers/Law Finns only) CI Yes 0 No negative results found 0 Yes 0 No D' Please summarize any negative results from the database searches inacated above: Negative BIS on Southern Trust Company Inc is non negathre. 2 criminal filings against Jeffrey E. Epstein, resulted In 6 rival Jail sentence. Attached to this case, previous NIL approvals received in the pa. Court cases against Richard Kahn are non negative Once he Is a counsel representing parties. Last coin case discounted on the basis that it was filed in Massachusetts In 2004 and case has skice been dosed since 2005. Panama ht for Etienne &Pant, attached to the case E. To the best of your knowledge, has the client ever teen convicted of a 4:Animal offense? • vas 2 No F' To the bat of your knhAsylgo, has the customer ever been invoNed n any past lagatIon against Deutsche Bank AG or any of its subadiatles or k the customer threatening reigation against Deutsche yes m No Bank AG a any of Its subsidiaries? M . Yes amide at* below and contga QuaRY NO aotArn/7ntl) ache Regulatory Control Group and no* Comalance immechateer) „. ''' Does the client or related pay have any Bimodal or other association / Ow/actions wain countries or • ya RI No regimes sanctioned by the Cake of Foreign Assets Control (OFAC)? H. Does the client or related party have any finandal or other association/ Interactions within high risk O ya 0 No comities? I. Corporate Documentation Attached (Legal Entities Only) 74 Via 0 No O Not Applicable J. UndisrJosed Principal Form Complete Mermeolaries ONO • yes 0 No kA Not Applicable K. If Lack/Next Search Resins, Corporate Documents or Other Swooning 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 unusual' complex? 0 Yes 2 No Is there any Incriratban the diet set up a non operating company expressly for LJ i--. the of transferri shares to third MeV Yes El No Is there any Inicatbn this could be a prohibeed business relationship? Ones 2 No Are the bearer shares Identified subject to acceptable controls? Oyes 2 No SDNY_GM_00037499 DB-SONY-0000323 7/11/2019 EFI'A_00148111 EFTA01252936 KY(' Print Page 15 of 16 M. Case Comments Created By Date Comments vay•A Sawant D 3 IS 8.22 AM No material changes to account as per email confirmation horn Stewart Okitele MO 5/30/2018. Kshit) Golan 9/10/118 2:40 PM TMs KW serves as a Ngh rkk update for P,ytanee, LLC (herein referred to as"amountholder"). Below are the reasons why we are comfortable with approving tNs KYC: • Information and supporting dooaments required by our MIL Poky were provided and reviewed; and as a result, we lave an understanding d the structure of the ao:ountholdets, they purpose, the purpose of the accounts and expected transaction aaNity. • There are a few rig factors associated with the accountholder - SOW: One of the UBOs (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages client's assets. SOW verincation was obtained. Negative Meda & PEP: There Is some negative niela against 14 Epstein and he is also maintains a close elatlooship with 611 Clinton and Prince Andrew. Please see risk calculator for more infoiwalloo. Appropriate approval .vas obtained. • Oa review did not Identify any red flags and thus there was no need to escalate tNs case fLuther. • We performed due diligence searches on al parties and did not find the names searched to be on any sanctions ISIS. ONSHORE APPROVALS Client Facing Professional (CFP): Stewart Oldfleld (Segnature) Stewart OldAeld 8/7/2018 0Mce Director/Business Head: ANdrew F Gallivan (Sonature) ANdrew F Cavan 6/7/2018 Regional Office Director: (Sonature) NI. Business Risk: (Sonature) AFL Compliance: KsMl) Gear (Sgnature) KshIUJ GAN 9/10/2018 LaTAm / INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Sonature) Account Manager: ( gnatL,e Gobal Market Team Head (94TH)/St- Market Team Head (24T11): (SonatL,e All. Business Risk: (Signature AFL Compliance: (Sonature) 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 selfish 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. SDNY_GM_00037500 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL DB-SONY-0000324 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148 I 1 2 EFTA01252937 KYC Print Page 16 of 16 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(?) 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 SONY_GM_00037501 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SOW-0000325 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148113 EFTA01252938