EFTA Document EFTA01282195

KYC l'rint Page 1 of 30 DB PWM GLOBAL KYC/NCA: PART A KYC Case N : 01977695 One sheet must be established per relationshi • list all accounts Included In the relatlonshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Cooking (enter. New York Relationship Manager: Stewart Oldfidd • New MK Relationship O Existing PWM Relationship Relationship to PWM: If online, please indicate since when the relationship exists, provide Penodk Review - Overdue HR KYC "" last Approved KYC X - Epstein, Jeffrey E. & Southern Trust Company, reason for new profde and attadi old profile: •** 2018 Inc. - kero Management, LLC - Mow Was the Client(s) 7.1 Client Referral O RM Prospect O Intermediary/Pim O Other Source (GB, etc.) Introduced? How long has the RN personally known the client? Please provide details (e.g. name of referral source, how many years readied out to Stew 0ldfleld on 3/7/17 to have a new acct opened RM personally has known client, etc.): Jeffrey Epstein order this relationship.. Does Deutsche Bank pay a revocession or ender O Yes 1 0 No compensation to a third party for the introduction of this relationship? (If yes, descreei. Let an existing and new accounts involved in the relationship Legal Entity Accounts) Account Name / Number Opening Date (Intendediactuat) 1 O Jeffrey Epstein - 3/8/2016 2 • Jeffrey Epstein - 9/23/2013 3 • Jeffrey Epstein - 4/10/2014 E i Southern Trust Company Inc - 8/26/2013 5 9 Southern Trust Company Inc. 8/27/2013 6 9 Zorro Management LLC - 12/20/2016 i 9 Zorro Management LLC (House Account) - 3/13/2017 Who is the pray contact person for the RM? (Note: This person needs to have signatory lights and/cr mfcemation right for the accounts.): Darren K. Indyke Preferred method of contact (indicate phone no., fax no., e-mat address, etc.): 971-1314 Status : 6. Approved SDNY_GM_00037522 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000346 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148134 EFTA01282195 KYC Print Page 2 of 30 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Jeffrey Epstein - • DIM Acct. Number (twat/O Account Manager: Stewart OkMeld What is the purpose of the account (e.g. portfolio management, advisory account, custody servion, kettemi Investment, payment/expense account)? The purpose of this account is Jeffrey Epstein's personal daily use. Indicate from where the assets we expected to arnve? 0 DB Group: Same Booking Center (Indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): O Other Institutbon — (Indicate name & location): O Physical Depots (specify cash, secunoes, cheques...,: What is the expected sae and frequency of regular Inflows and outflows for the account (vacate estimated number and volum per month)?: 30-55/month; $10 • S1.5MM what Is the expected volume of assets and currency for the accomt approx. 90 days after opening? 13,406,31224 'Currency I USD What is the expected vokune of asset and currency for the account approx. one year after opening? 13,406,31224 I Currency I USD toes/will the dent have Assets Under Management (AuM) within De under Eur. 3M? • Yes No Please list all parties related to the account. Fcr each paity. • Check if a source of Wealth descnpaon is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other column. • Atways describe the relationsIvp between the parties in the last column. • Please dna down to the ultim te/underlying Belled& Onner(s). _egal Entity 7esalption of Source of VVealth equired Partin related to this account Account71C Holder awnearbst Senior of / Fore-der of Foundation Ultimate IS:gnatay fenelidake Owner Ful POA „Mutat-mann& OA IntennediaryShareholdernepresentabve (FIM) Significant (>=25%) Von-PIC enbty (indicate 3‘Nnerslap lb) .egal 'Granta/SettiorroundnoiCither Donor (rinse describe other roles and/or ndicate relationship between Parties) I • 5 Jeffrey E. Epstein a O O O 2 O O O LI O 2 El • Harry Belle/ O O • • 2 O O O O El 3 El • Darn"- dyke In O O O O El O O O O O SONY_GM_00037523 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000347 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148135 EFTA01282196 KYC Print Page 3 of 30 2. Account Ownership Summary Account Name: Jeffrey Epstein • - DeSI Acct. Number (I Pt available) Amount Manager: Stewart ()WAS What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long.terrn irwrstment, payment/expense account)? The purpose of this account is to hold marketabb securities and cash. Indicate from where the assets are expected to arnve? 0 DB Group: Same Booking Center (incloate account number): basting O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): O Physcal Deposats (specify cash, secant es, cheques....): What IS the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 0 3/month; $0 - $500 What is the expected volume of assets and currency for the account approx. 90 days after opening? 1669,126.30 I Currency I USD What IS the expected volume of assets and currency for the account approx. one year after opening? 1669,126.30 I Cu"ncY I USD Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes 0 No Please list all parties related to the account For each party: • Chedc if a source of wealth description is required for the party. • Chedc the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f 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 ckil down to the ultim tefunderlying Beneficial Owner(s). _egal Entity Desalption of Source of Wealth equlred Parties related to this ccount hccountPIC Holder Ormagrust Settler of / Founder or/rifler Foundation Jltimate Senefidake Signatory Full POA Unite? POA anclal ntennediaryShateholderVepresentatra FIM) Significant (>=25%) Yon.PIC entity (indicate 3mership %) _egal Grantor/SettiorfoundngOther Donor (please describe other roles and/or ndicate relationship between Parties) 1 O O Jeffrey E. Ern • O • • 2 O O O O • 2 El • Be Hairy ller • • • • O O • O O • O O Darren IC ndyke • O • • 2 O O O O • SDNY_GM_00037524 CONFIDENTIAL - PURSUANT TO FED. R. t I ON DB-SONY-0000348 DSONY-0000348 ht tps://db forcepb.my.sa le sforce.com/servlet/servlet.lntegration?lid=01N 30000000O9 Di & e... 7/11/2019 EFTA_00148136 EFTA01282197 KYC Print Page 4 of 30 2. Account Ownership Summary Account Name: Jeffrey Epsten - - Custody Acct. Number Of mailade) Account Manager: Stewart CMOS What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to hold Fat cash deposes. Indicate from where the assets we expected to amve? 121 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (Indicate DB location and account details): • Other Institielon — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques....): What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volum per morith)?: S.10/month; SO - S2SOK What Is the expected vokime of assets and currency for the account approx. 90 days after opening? 1112,690.70 I Currency I USD What Is the expected vokime of assets and currency for the account approx. one year after' opening? 112,690.70 I Currency I USD Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O YesO 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 accoint (> I can be selected). • f none of the check boxes apply, describe the party's relation to the account In the 'ether column. • Alway describe the relationship between the parties in the last column. • Please CM down to the Latin, tefunderlying Beneficial 0 alerts). _egal Entity )esc ptlon Y Source af Wealth -equired Parties related to his Moult AccountPIC Holder OvmerTrust Senior of / Fot derofNJimer Foundation JIUmate Seneflciake &rat Ful POA mite anclal ntetTnedlaryShareholderitepresentatra FM) Significant (>=25%) entity 'ndicate ownershp lb) _egal GrantodSettiorfouncincpther Donor (please describe other roles and/or ndicate relationship between parties) 1 O 2 E jeffreYE pstein O O O O 2 O O O O O 2 ME 3ellHarry Seller O O O O 21 O O O O O 3 El O Darren IC ndyke • O CI O El O O K O O SDNY_GM_00037525 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000349 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148137 EFTA01282198 KYC Print Page 5 of 30 2. Account Ownership Summary Account Name: Southern Trust Company Inc - - 0651 Acct. Number Of avarabfei Account Manager: Stewart Oldfeld What a the purpose of the account (e.g portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account as to hold marketable securities and cash. Indicate from where the assets are expected to amve? 0 DB Group: Same Booking Center (incicate account number): Existing 0 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution — (Indcate name & location): 0 Ftyscal Deposts (specify cash, securities, cheques.....: What a the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 2 10/month: $2K - $ 2MM What is the expected volume of assets and currency for the account approx. 90 days after cpenrig? 12,550,527.% I Currency I USD What a the expected volume of assets and currency for the account approx. one year after opening? 12,550,527.% I Currency I USD Does/will the deM have Assets Under Management (AuM) within DB under Eur. 3M?0 Yes No g Please list all parties related to the account. For each party: • Cheick if a source of wealth desaiption is required for the party. • Cheick the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe he party's relation to the account in the *Other column. • Always describe the relationshp between the parties in the last column. • Please dal down to the ultimatefunderhring BeneflOal Crerner(s). _e9al Entity Description of Source of Wealth equired Parties related to this account Account Molder PlC Ormertrust Senior of / Founder °Meier Foundation Ulbrrate Benet balor Sigratorw_imitecrinancial Full POA 00A Intemedaryetareholderoteptesenrstive (FIN) Significant (>=25%) Non.P1C entity (indicate ownership %) £gal Grantor/Seek& otridingOther Donor (please describe other rotes and/or ndcate relationship between Dania) 1 21 0 Southern Trust Company, Inc. • 13 0 0 0 0 0 • 0 2 0 2 Jeffrey E. Epsten = • • • 2 0 0 100 21 • 0 Drector: 0 0 Jean Anne nnan Webracht I--i K Bre r • ■ 0 0 2 0 0 0 0 0 4 0 0 Darren K. Indyke 0 0 0 0 2 0 0 0 0 0 Dream': 5 • 0 Richard D. Kam M M • • 0 0 • 21 • 0 Director; 6 0 0 Paul S. Barrett 0 0 0 0 0 121 0 0 0 0 Trading kuthonzabon Unwed to Purchases & Sales of Senates; SDNY_GM_00037526 CONFIDENTIAL - PURSUANT TO FED. R. t I ON DB-SONY-0000350 DSONY-0000350 ht tps://db forcepb.my.sa le sforce.com/servlet/servlet.lntegration?lid = 01N 30000000D9Di & e... 7/11/2019 EFTA_00148138 EFTA01282199 KYC Print Page 6 of 30 2. Account Ownership Summary Account Name: Southern Trust Company Inc - - MMBA Acct. Number Of arailablei Amount Manager: Stewart °Meld What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, keig.teirn investment, payment/expense account)? The purpose of this account is to hold funds and earn high gelding interest. Indicate from where the assets are expected to amve? ct C43 Group: Same Booking Cater (in cafe account number): basting O DB Group: Other Backing Center (indicate DB location and account details): O Other Institutor, — (Indicate name & location): O Physcal Deposts (specify cash, secant es, cheques....): What Is the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 8/month; $500 - S SMM What Is the expected volume of assets and currency for the account approx. 90 days after opening? 12,468,673.24 I Currency I USD What Is the expected volume of assets and currency for the account approx. one year after opening? 12,468,673.24 I Currency I USD Does/will the denthave Assets Under Management (AuM) within DB under Eur. 314? ❑Ores El No Please list all parties related to the account For each party: • Check if a source of wean' description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the parts relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please Cal down to the ultim tefunderlying Beneficial 0 rner(s). _egal Entity Desalption of Source of Wealth equlred Parties related to this account AccountPIC Holder OwnerTrust Settlor of 1 Founder &Owner Foundatnn Jltimate 3eneficiake Signatory Ful POA Unite? POA ancial ntennediaryShateholderitepresentative FIM) Significant (>=25%) Yon.PIC entity (indicate annershaa %) _egal Grantor/SettiorfoundngOther Donor (please describe other roles and/or ndicate relationship between parties) 1 2 Southern Trust Company, Inc. • • O O O O O O O O 2 O 2 in E. Epstein O K O O El 2 O O 100 El O O Director; 0 0 Jean An Brennanne Wiebracht • El O O 9 O O O O O 4 O O In Darren K dyke O O O O 9 O O El O O Director; 5 • O RicKard D. Kahn . . . • • O O 9 O O Director; SDNY_GM_00037527 CONFIDENTIAL - PURSUANT TO FED. R. t I ON DB-SONY-0000351 DSONY-0000351 https://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00 I 48 I 39 EFTA01282200 KYC Print Page 7 of 30 2. Account Ownership Summary Account Name: Zorro Management LLC - - DDA Acct. Number (iravaaratikA A unt Manager: Stewart COMM What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Immanent, payment/expense account)? The ptspose of tNs account is to manage the daily expenses of the company Indicate from where the assets ate expected to arnve? 121 C43 Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): • Other Institutbon — (Indicate name & location): O Physical Depots (specify cash, secunties, cheques....): What Is the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per morch)?: 10- Sfmorch; S50 - 5200K What Is the expected volume of assets and currency for the account approx. 90 days after opening? 1254,944.25 I Currency I USD What Is the expected volume of assets and currency for the account approx. one year after opening? 1254,944.25 I Currency I USD Does/will the dent have Assets under Management (AuM) within DB under Eur. 314? O Yes 2 No Please list all parties related to the account. For each party: • Check if a source of wealth description I required for the party. • Ched the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the chedc boxes apply, desa be the party's relation to the account in the Teter column. • Always describe the relationship between the parties in the last column. • Please dal down to the ultimate/underlying Beneficial Orrner(s). _egal Enoty Description of Source of Wealth ,equired Ries elated to s amount accountPIC Hodder Orme( Setts of trust / Founder of Foundaticra Jltimate Benet-dolor Owner Signaterytimiteo Full POA POA Financial IntermedarytIMarehol• (MM) SIgnificalorkegal - (>=25%) Non-PIC entity (Indicate ownership %) • exesentattee Grantor/SedorFoundingother Donor (please describe other roles andior indicate relationship between parties) 1 2 E Zotro anagemet, LC 2 O O O O O O O O O 2 El 7: 'dim'. in O O O 2 0 O O 100 O O O msoeie : 3 O O Darren IC ndyke O • O O 0 O O O O O SDNY_GM_00037528 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000352 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148140 EFTA01282201 KYC Print Page 8 of 30 2. Account Ownership Summary Account Name: Zorro Management LLC (Noise Account) - - OOA Acct. Number (Aowirlibk) Account Manager: Stewart Mlleid What is the purpose of the account (e.g. portfolio management, advisory account, custody services, tervg.terrn investment, payment/expense account)? The purpose of this account is to manage the monthly expenses of the company Indicate from where the assets are expected to amve? 0 De Group: Same Booking Cater (Inacate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): O Other Instituter, - (Indcate name & location): O Physcal Deposits (specify cash, securities, cheques....): What is the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 5.15/month: S100 - 51K What is the expected volume of assets and currency for the account approx. 90 days 1 12,766.17 after opening? I Currency I USD What is the expected volume of assets and arrency for the account approx. one year 1 12,766.17 after opening? I Currency I USD Does/will the client have Assets Under Management (Auf4) within DB under Eur. 314? O Yes ) No Meese list all parties related to the account For each party: • Check if a source of wean' desaiption I required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, desa be the partys relation to the account in the 'Other column. • Always describe the relationshp between the parties in the last column. • Please Cal down to the ultimate/underlying Beneliaal Owner(s). _egal Emory Description of Source of Wealth equlred Parties related to dis account 11aMes) Owner Settler of Trust / Founder of Foundation Jltimate Senetcla Dwner Signatory or Full POA _mealFinancial ?OA Intermecta (FIN) 9gnifkant areholderitexesentatNe >=25%) on-PIC entity inacate ownership %) _egal Grantot/SettiorFoundingOther Donor (please describe other roles and/or indicate relationship between AccourrtPIC leader 1 O 10 Zorro management- LLC 10 O O O O O O O O O 2 O 2 in Epstein . s . 21 0 • • 100 • O O Member: 3 IN • Dairen IC Inclyke • • • O El • • • • O 4 O O O • O O O • • O O O 5 O O O O O O 0 O O O O O SDNY_GM_00037529 CONFIDENTIAL - PURSUANT TO FED. R. t I O B- N FIDENTIAL DSDNY-0000353 ht tps://db forcepb.my.sa le sforce.com/servlet/servlet.lntegration?lid=01N 300000001)9 Di & e... 7/11/2019 EFTA_00148141 EFTA01282202 KYC Print Page 9 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh 1p Summ 3A. Individual Details (for all parties) Individual's Name: Harry Baer . Date of Birth: Country of Residence: United States Country of Citizenship: United States Address of primary residence: United Sues Has client resided outside of Ns/her cony of nationality for 5 years or more? O Yes 0 No Professen/Occupation: Accountant Tax ID / SSN: Current Employer: HEIRK Associates, Inc Positen/Teg/Rank: Accountant Address of employer: 575 Ledngton Avenue, 4th Floor Homey NY United States 10022 Does the person work as senior erearive cf a DB-recognized regulated entity in the (Vandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fct operating entitles n yes O No '—' Is the lnthl&al a Poetically Exposed Person (PEP)?(1 Yes, tate) N/A Dyes O No To the best of your knowledge, Is the individual related to an employee of the DB group?(?! N/A El Family O Friendship 0 None Family or A.'.ylchhip, describe) To the best of your knowiedge, Is the Individual party to a non-tanking relationship with Deutsche Bank (e.g., edema' legal coursel, client referral source, suppler of goods or services)? Of Vac/cps/be) WA O Yes 2 No if applicable, incecate whith bank office's have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: OleM Private Donn:Ile Client Mace of Business: Other Location (speofy): Date: O O O O O • O O O In Wealth Details for this individual are not filled in, because they are the same as for the lefty/log person: 38. Wealth Details (Only for parties requiring soiree of wealth desccdon as indicated In Section 2) Nature of the Individual's Busress: Primary Country of smite of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalay/Earnings U Investment O Inherence/Gila O Other: Further Describe Soiree of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance,. how did family accumulate weakh?For business owners, how long in business, how many employees, level cf profeabiley? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inceme($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount ci assets planned to Invest Wel PV/M($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indeate the family situation of the individual (mental status, of he family members, etc.): CONFIDENTIAL- PURSUANT TO FED. ReciNFIC)ENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148142 SDNY_GM_00037530 DB-SONY-0000350 EFTA01282203 KYC Print Page 10 of 30 I I SONY_GM_00037531 CONFIDENTIAL - PURSUANT TO FED. R. Ce I - ON FIDENTIAL DB-SONY-0000355 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148143 EFTA01282204 K 17C Print Page 11 of 30 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Darren K. Indyke - Dated Birth: Country of Residence: United States Country of Citizenship: United States Address of primary naudence: United States Has client rimided outede of his/her cony of nationality for s years a more? O Yes 0 No Professicn/Occupation: Acaruntant Tax ID I SSN: Current Employer: SotCtem Financial LLC Positionfille/Rank: Accountant Address of employer: 6100 Red Hook Quarter B3 St Thomas Virgin Is ands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the (Kendal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entities n yes O No I—I Is the indvickial a Politically Exposed Person (PEP)?(d Yes, *cote) WA O Yes O No To the best of your knowledge, is the Individual related to an employee of the DB group,(1 N/A 0 None • Family • Friendship Family or P.;axish#, desaibe) To the best of your knowledge, is the Individual party to a non-tanking relationship with Desische Bank (e.g., edema' legs counsel, client referral source, suppler of goods a services)? (A Yescesaibe) WA No . Yes 2 if applicable, Incicate whth bank office's have met the person: Indicate where and when the dent meetlrxXs) took place: Bank Officer Name(s) Bank Office' ' CleM Private Dormdlt Client Placed Business: Other Location (speofy): Date: Stewart Oldfield O O 12/12/2016 .74 • • • O O O . Wealth Details for this individual are not Ailed in, because they are the same as for the folovang person: 38. Wealth Details (Only for parties requiring suns of wealth dimmer:Ion as indicated in Section 2) Nature of the Individual's Business: Primary Country of smite of wealth/source of Funds? Primary Industry of source of WealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings IMI Investment O Inherence/CAM O Other: Further Describe Source of weal h /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For Intiertance, how do family accumulate weakh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major actvibes, important business partners.) Estimated Annual Inceme($): Estimated amount of investable assets(S): Estimated Net Worth(s): Amount of assets planned to invest with PV/M($): 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, othe family members, etc.): SDNY_GM_00037532 DB-SONY-0000356 7/11/2019 EFTA_00148144 EFTA01282205 KYC Print Page 12 of 30 SDNY_GM_00037533 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000357 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148145 EFTA01282206 KYC I'rint Page 13 of 30 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh 1p Summ 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: Wan Islands, U.S. Country of Otizenship: United States Address of primary residence: Lite Saint James Sac Thomas 00802 Wan Islands, U.S. Has client resided outside of his/her cony of rationality for 5 years or more? O yes 0 No Profession/Occupation: Self Empolyed Tax ID / SSN: Current Emproyer: Southern Trust Company Inc Postionatle/Rank: PresideM Address of employer: 6100 Red Hock Quarter B3 St Thomas Wan Islands, U.S. 00802 Does the person work as senior creed:We of a DB-recognized regulated entity in the Brander ndustry? or an entity listed on a DB-recognised exchange? (Not applicable foe operating entitles O Yes O No Is the indvidual a Politically Exposed Person (PEP)(d Yes, dernte) Connection with Prince Andrew and Bill Orion n yes • No To the best of your knowledge, is the individual related to an employee of the DB group?(AY Family or friendship, describe) N/A O Family O 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, wpplier of goods a services)? Of YeAcescribe) WA . Yes O No if applicable, indcate which bank officers have met the person: Indicate where and when the dent meetintas) took place: Bank Officer Name(s) Bank Office' ' Client Private Domicile: Client Place of Business: Other Location (speofy): Date: Stewart Oldfleld O O 6128;2017 rf • • • O O O El Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 3B. Wealth Details (Only for parties requring sane of wealth dmcnpuon as axixated in Secton 2) Natured the IndliAduars &Moss: Private investment Primary Country a source a wealtiVsource of Funds? United States Primary industry of source of V/ealtiVSource of Funds? High Risk Rranoal Institutions Summarize Source of Wealth: O Business Owner OSalay/Earnings 5 Investment O Inherence/Gift O 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 do family accumulate wealth 'For business owners, how long in business, how many employees, level of profitability? Indcate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career and then famed his own firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physks at the Dakon School in Manhattan from 1973 to 1975. Among his students was a son of Man C. Greenberg, chairman of Bear Stearns. In 1976, Epstein starts work as an options trader at Bear Steams where he worked in the special product &Son, advising high-net-worth clients on tax strategies. Proving successful In his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., manaang the assets of dents with more than $1 eon in net worth. In 1987, Lest* Weiner, founder and chairman of Ohlo-based The Limited chain of women's clothing stores, became a well-known client. Wearer acquired Aberaomble & Etch the Sowing year. In 1992 he converted a private school on the Upper East Side Into an enormous residence. Epstein later bought that property, in the wealtNest 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. Thanes in the US. Virgin Islands. In 2003, Epstein td to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, Investor Nelson Pelt, media mogul and publisher Warner Zuckerman, who had the New York Daly News, and film producer Harvey Welaten. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Meer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as 03 editor-In-chief, retained a smal ownership stake. Presently, Mr. Epstein founds Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets titer revenue from the CONFIDENTIAL— PURSUANT TO FED. R. It I ON F I DENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148146 SDNY_GM_00037534 DB-SONY-0000358 EFTA01282207 KYC Print Page 14 of 30 return of these invcstmen . Southern Trust Invests In different portfolios catered to their dents and makes their revenue based en the rettrns and the fees associated with managing their client's assets. Estimated Annual Inocme($): 10,000,000.00 Estimated amount of Investatte assets($): SS0 MM - 100 MM Estimated Net Worth(S): 5500 MM + Amount of assets planned to invest trith PWM($): 2,300,000.00 Other lencv.vn Financial Institubcos: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Inckate the family situation of the individual (mantel status, othe family members, etc.): NA SONY_GM_00037535 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL DB-SONY-0000359 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148147 EFTA01282208 K 17C Print Page 15 of 30 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh lu Summ 3A. Individual Details (fa all parties) Individuall Name: Dated Beth: Country of Residence: United sates Country of Citizenship: United States Address of primary nasdence: Has client resided outside of his/her countyoy of rationality for S years a more? O yes @ No ProfessiceVOccupation: Manager Tax ID/ SSW Current Employer: Zorro Management LLC Positkin/Tide/Rank: Manager Address of employer: 6100 Red Hook Quarter, B3 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior eteartive cf a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes n No Is the inoWickal a Poetically Exposed Person (PEP)?(d Yes, desoibe) WA O Yes O No To the best of your know/edge, Is the indNidual related to an employee of the DB groupyi N/A O RieridsNp El None • Family Family or A.'.nchhip, desaibe) To the best of your knowledge, Is the Individual party to a nco-banking relationship with Deursche Bank (e.g., external legal counsel, dent referral source, supplier of goods a services)? Of Yescfesaibe) WA O Yes O No If applicable, inacate whidi bank officers have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Office: Bat ' CleM Private Dornadit Client Placed Business: Other Location (speofy): Date: O O O O O • O O O O wealth Details for this individual are not Ailed in, because they are the same as for the foaming person: 38. Wealth Details (Only for parties requiring soiree of wealth dos:notion as indicated in Section 2) Nature of the Individual's °useless: Primary Country of smite of wealth/source of Funds? Primary Indusoy of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/EamIngs O Other: n Investment • Inhestance/Gils Further Describe Souse of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate weal,? For Inheritance, how did family accumulate ‘wetth 'For business owners, how long in business, how many employees, level of prohablltty? Indicate type of business, countries of major activities, importarc business pa tners) Estimated Annual Inccene($): Estimated amount of Investable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PVIM($): Other Known Financial Institutions: Instituticn: Country: Est. Assets Under Mgt: InsOtutk:n: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please in&ate the family situation of the individual (marital status, othe family members, etc.): SDNY_GM_00037536 DB-SONY-0000360 7/11/2019 EFTA_00148148 EFTA01282209 KYC Print Page 16 of 30 I I SONY_GM_00037537 CONFIDENTIAL- PURSUANT TO FED. R. Ce I - ON FIDENTIAL DB-SONY-0000361 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148149 EFTA01282210 K 17C Print Page 17 of 30 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (Ics all parties) India:lust's Name: Date of Birth: Country of Residence: United sates Country of Citizenship: United States Address of primary residence: Has client resided outtde of his/lwr cony of rationality for S years a more? O yes 0 No Profession/Occupation: Manager Tax ID / SS/: Current Employer: Zorro Management LLC Position/nee/Rank: Manager Address of employer: 6100 Red Hook Quarter, B3 St Thomas Yvan Islands, U.S. 00802 Does the person work as senior motive a a DB-recognized regulated entity in the brands' ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes n No Is the IncWidatal a Pollicalty Exposed Person (PEP)?(d Yes, describe) WA Dyes O No To the best of your knowledge, Is the individual related to an employee of the DB group?(1 Family or friendship, describe) WA O Friendship 0 None • Family 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 servicis)? Of Yadescribe) WA No . Yes 2 if applicable, Indicate which bank office's have met the person: Indicate where and when the dent rneetinso) took place: Bank Officer Name(s) Batik Office: Clent Private Dorm:Ile: Client PLace Business: of Other Location (speofy): Date: O O O O O • O O O • Wealth Details for this individual are not filled in, because they are the same as for the fobovring pawn: 38. Wealth Details (Only for parties requiring space of wealth discriptIon as indicated In Section 2) Nature of the Individual's Business: Primary Country of space of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalayfEarnings U Investment • Inheritance/CAM O Other: Further Describe Solace of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Intiertance, how did family accumulate wealth 'For business owners, how long in business, how many employers, lewd a prohatilltty? Indicate type of business, countries of major activities, importarc business pa tners.) Estimated Annual Income($): Estimated amount of invistable assets($): Estimated Net Worth(S): Amount of assets planned to Invest Wel PV/M($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: instituttn: country: Est. Assets Under Mgt: Please indicate the family situation of the individual (mantal status, mite family minters, etc.): SDNY_GM_00037538 DB-SONY-0000362 7/11/2019 EFTA_00148150 EFTA01282211 KYC Print Page 18 of 30 I I SONY_GM_00037539 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000363 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148 15 I EFTA01282212 KYC Print Page 19 of 30 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) MOM:Mars Name: Jean Anne Brennan yAebracht - Date cf Beth: Country of Residence: Woin Islands, U.S. Country of Citizenship: Virgin Islands, US. Address of primary residence: Has client resided outsde of his/lwr annoy of nationality for S years a more? O yes @ No ProfessimVOccupation: Finance 'fax W I SSN: Current Employer: Southern Financial LLC Postimatle/Rank: Finance Address of employer: 6100 Red Hook Quarter, 83 St, Thomas Virgin Islands, US. 00802 Does the person work as senior emotive cf a DB-recognized regulated entity in the firendal ndustry? or an entity listed an a DB-recognised exchange? (Not applicable for operating eMMes O Yes WI No Is the inelvidual a Poetically Exposed Perscn (PEP)?/1 Yes, deseritie) WA O Yes 12I No To the best of your knowledge, Is the individual related to an employee of the DB groupW Family or Almdship, describe) WA O Friendship El None • Family To the best of your Imowledge, Is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legs courser, client referral source, supplier of goods a servion)? Of Yescfescribe) WA • Yes Er, No if applicable, incicate whiz') bank office's have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: ClieM Private Dorm:Ile: Client Place of Business: Other Location (speofy): Date: O O O O O • O O O • Wealth Details for this individual are not filled in, because they are the same as for the folk:Wing person: 38. Wealth Details (Only for parties requiring souls of wealth deso'Cdon as indicated in Section 2) Nature d the Individual's Business: Primary Country of souse of wealth/source of Funds? Primary industry of source of VfealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings U Investment O inherence/Gib O Other: Further Describe Smite of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how did family accumubte wealth?For business owners, how long in business, how many employees, level of profitablitty? indicate type of business, counties of major activities, important business partners.) Esbmated Annual Income($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount ci assets planned to Invest Wel PV/M($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Int:Irate the family situation of the individual (marital status, othe family minters, etc.): SDNY_GM_00037540 DB-SONY-0000364 7/11/2019 EFTA_00148152 EFTA01282213 KYC Print Page 20 of 30 I I SDNY_GM_00037541 CONFIDENTIAL - PURSUANT TO FED. R. Ce I - ON FIDENTIAL DB-SONY-0000365 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148153 EFTA01282214 KYC Print Page 21 of 30 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh lu Summ 3A. Individual Details (for all parties) Individuals Name: Richard D. Kahn Date of Beth: Country of Residence: Unital States Country of Citizenship: United States Address of primary residence: United States Has client resided outside of his/her campy of rationality for 5 years a more? O Yes 0 No Profession/Occupation: Accountant Tax ID I SSN: Current Employer: HEN( Associates, Inc Positkin/Ttlefitank: Accountant Address of employer: 575 Langton Ave, 4th H New York NY United States 10022 Does the person work as senior °recur:he cf a DB-reagnized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes O No Is the inckylotal a Politically Exposed Posen (PEP)?(d Yes, describe) WA O Yes O No To the best of your knowledge, Is the Individual related to an employee of the DB group,(1 Family or friendship, descibe) N/A O Friendship 0 None • Family 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 servicim)? Of Yesoescribe) WA No Yes 2 if applicable, incicate which bank officers have met the person: Indicate where and when the dent meetInc(s) took place: Bank Officer Name(s) Bank Office Client Private Donn:Ile: Client Piece of Business: Other Location (speofy): Date: O O O O • • O O O • Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 38. Wealth Details (Only for parties requiring spate of wealth dim:notion as indicated In Section 2) Nature of the Individual's Business: Primary Country of space of wealth/source of Funds? Primary Industry of source of V/ealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalay/EamIngs U Investment • Inheritance/Ws O Other: Further Describe Soiree of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For Inheritance. how 04 family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major activates, important business partners.) Estimated Annual income($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PV/M($): Cther 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, othe family members, etc.): CONFIDENTIAL- PURSUANT TO FED. ReciNFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148154 SDNY_GM_00037542 DB-SONY-0000366 EFTA01282215 KYC Print Page 22 of 30 I I SDNY_GM_00037543 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SONY-0000367 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148155 EFTA01282216 KYC Print Page 23 of 30 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Indhmlues Name: Paul S. Batten - Date of Birth: Country of Residence: United States Country of Otizenship: United States Address of primary residence: Lin ted States Has client resided outside of his/hercony of nationality for S years a more? O yes 0 No Profession/Occupation: Investment AdOsor Tax ID/ SSN: Current Employer: 3.P. Morgan Searldm LLC Postonitde/Rank: Investment Advisor Address of employer: 277 Park Ave New York NY United States 10172 Does the person work as senior executive of a DB-reognized regulated entity In the Brenda' ndust or an end listed on a used excha ? Not a seeable for o entitles O Yes O No Is the inetviclual a Politically Exposed Person (PEP)(d Yes, describe) WA O Yes O No To the best of your Imontedge, Is the Individual related to an employee of the DB group,(1 Family or Alex/ship, describe) N/A 0 None • Family • Friendship To the best of your knowledge, is the Individual party to a non-tanking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, wirier of goods a services)? Of Yesofesaibe) WA O Yes 2 No if applicable, Indicate whit bank officers have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: CleM Private Dornbalt Client Piece of Business: Other Location (speofy) Date: O O • O • • O O O • Wealth Details for this individual are not filled in, because they are the same as for the SWAN person: 38. Wealth Details (Orily for parties requiring soiree of wealth dim:notion as indicated In Section 2) Nature of the Individual's Bus less: Primary Country of soiree of wealth/soume of Funds? Primary Industry of source of V/ealtIVSoume of Funds? Summarize Source of Wealth: O Business Owner OSalayfEarnings • Investment O Inherence/CAM O Other: Further Describe Smite of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate weakh? 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, rnportant business partners.) Estimated Annual Income(S): Estimated amount of Investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest WO PWM($): Other lencv.vn Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Initiate the family situation of the individual (marital status, othe family minters, etc.): CONFIDENTIAL— PURSUANT TO FED. R. CyN F I DENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148156 SDNY_GM_00037544 DB-SONY-000036S EFTA01282217 KYC l'rint Page 24 of 30 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: Southern Trust Company, Inc. - Type of Entity: Foundation/Assozetion M Trust 2 Company U Estate Purpose of Entity: 0Private Investment O Partnership PNianthroplo/Cteritable O Commerdal Type of Entity Other (specify): Pirpose of Entity Other (specify): Country of incorporation/registration: Wein Islands, U.S. Date of Ircorporaten/ registration: 11/18/2011 Volcker Status: Identified on Qigomer Profile Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter B3 St Thomas 00802 Vrgin Islands, US. U.S. TIN/EIN: Provide a desmption of the entity's organizational structure, its ownership structure and es Top Management. For trysts/founds:ens, Include information about revocability,setter and beneficlaries,etc: Jeffrey Epstein is the sole shareholder of this company. The signors a this account are Jeffrey Epstein, Jean Anne Bremen, Darren Indyke & Pail Barrett. Please indcate how ownership of the legal entity is reflected: Consent of Board of Directors O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (of not the same persons). Jeffrey Epstein is the sole shareholder of this company. The signors on this account are Jeffrey Epstein, Jean Anne Brennan, Darren Indyke & Paul Barrett. To the best of your knowledge, S the entity party to a non.banking rebtionship with Deutsthe Bank (e.g. external legal counsel, dent referral source, supplier of goods or services)?: N/A Yes O No 2 Describe Nature of Entity's Primary Business and Investment Activities Nature of the busness: Consultng Services retying on Financial and Eaornedical algonthms. Southern Trust is a private onsultng company that invests the assets of their clients and gets their revenue from the return • these investment,. Southern Trust invests m different portfolios catered to their clients and kes their revenue based on the retttrs and the fees associated with managing their dents ssets Countries where business is transacted: Wein Islands, U.S. Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth descr 2tion as ircicated in Sector, 2) Primary Country of source of wealdVsource of Funds? United Slates Primary industry of source of Wealth/Source at Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asseWlialaties): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.(j): 2,000,000.00 Estimated net profit p.a. (5): 1,500,000.00 Estimated investable assets (5): S2 MM - 5 MN Potential Amount to be invested with PWM (5): 300,000.00 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 Summary 3C. Legal Entity Details (Far all Legal Entitles) CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... I SDNY_GM_00037545 DB-SONY-0000369 7/11/2019 EFTA_00148157 EFTA01282218 KYC Print Page 25 of 30 Legal Entity Name: Zono Management, LLC - Type of Entity: O Foundation/Association • Trust r, Company • Estate tate of Entity: 0Private Investment O PNIaMhroplaCtantatie O Commode' O Partnership Type of Entity Other (specify): LLC Ptrpose of Entity Other (specify): County of incaporationfregistration: Wgin Islands, U.S. Date of Incorporabon/ registration: 12/14/2016 Volcker Status: Identdied on Customer Profile Volcker Flag: No Addrons (city, sweet, post code): 6100 Red Hook Quarter, 83 St. Thomas 00802 Virgin Islands, U.S. TIN/EIN: 090443348 Provide a desmption of the entity's organizational structure, Its ownership stnicture and as Top Management. For trusWfoundattms, include information about revocatilitty,settlor and benefklaties,etc: Jeffrey Epstein is the sole member and owner of this entity. Signors on this exeunt will be: Jeffrey Epstein Darren lndyke Signors on the house acct are: Jeffrey Epstein Darter, Ind Pease indicate how ownership of the legal entity is reflected: Operating Agreement O Spedal attention: Bearer Shares - Indicate where shares ate custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (Atria the same persons): Jeffrey Epstein is the sole member and owner of tns entity. S rim an this account will be: Jeffrey Epstein Darren Indyke Senors on the house acct are: Jeffrey Epstein Darren I ke To the best of your knowledge, is the entity party to a non-banking rebtionship with Deutsche Bank (eg. edema' legal counsel, client referral source, supplier of goods a seMces)?: 'VA Yes O No2 Describe Nature of Entity's Primary Business and Investment ActIvItles Nature of the business: A real estate holdng company. It Is a company formed to run and operate all activities associated #4th a property that Jeffrey Epstein owns In the US Virgin islands. Countries where business is transacted: Vegan Islands, U.S. Number of employees: 1+ 3D. Wealth Profile (Orly for parties requiring source of wealth desorption as indicated in Section 2) Primary Country of source of wealth/source of Funds? United States Primary industry of source of Vital/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent sunmary of asseWliabities): Ms company Is funded by Jeffrey Epstelds personal wealth Estimated gross receipts p.a.(5): 1,750,000.00 Estimated net pent p.a. (5): 1,000,000.00 Estimated investable assets (5): SI MM - 2 WI Potential Amount to be invested with PM (5): 300,000.00 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON F I D E NTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148158 SDNY_GM_00037546 DB-SDNY-0000370 EFTA01282219 KYC Print Page 26 of 30 Other Knynon Financial Institutic6s: Institutbo: Country: Est. Assets Under Mgt: Institutbo: Country: Est Assets Under Mgt: Institutbo: Country: Est Assets Under Mgt: SDNYGM_00037547 CONFIDENTIAL- PURSUANT TO FED. R. e ' 0 N B- FIDENTIAL DSDNY-0000371 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148159 EFTA01282220 KYC Print Pane 27 of 30 CONFIDENTIAL — PURSUANT TO FED. R. t I ON FIDENTIAL ht tps://db forcepb.my.sa le sforce.corn/sentlet/servlet.lntegration?lid=01 N 30000000 D9 Di & e... DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center NY/ Offshore Cloffshore I: Mderate Risk 12 High Risk N NY (Complance Signature) 0 DB Employee 0 DB Managed PIC 0 Ce is Trustee/Co-Trustee 0 Bearer Shares 4. Attachments A. Type Photo ID Provided 21Dtivets License 2 Pa ■ • NatenaffState ID 0 Other : Darren & of Richard - 486405; Brice & - 55033I• Jean Anne - 487647 B. Chedest of names (imink:Wats and/or entitles) that were submitted for database searches is attached Eyes LI No C. Please radiate the results of the database searches performs RDC searches complete T Yes • No negative results found I Yes 0 No PCR checks complete 2 Yes 0 No negative results found lil Yes 0 No Cf AC checks complete 2 Yes • No negative results found Oyes g No BIS searches complete (Leos/Nees, Facbva, Reuters, Dow ones, O&B) FA Yes • No negative results found 2 YeS 0 No Denial Orders checks complete 74 Yes • No negative results found • YeS WI No Martindale-Hubbel searched (Lawyers/Law Firms only) • Yes 5 No negative results found 0 Yes 0 No D. Please summanze any negative results from the database searches indicated above: Jeffrey Edward Epstein: - Negative media relates to the sex offence in the past which are already cleared. (KYC 0 - 01790655) - Court cases relates to Jeffrey's sex offence in the past which is already cleared, another (Gerber Et Al il. The Financial Trust Company Et Al) is a recent ongeng civil lawsuit pertaining to fraud whkh has been dismissed (attached document), but part of normal business operations for this client. And in one of the case hes nether defendant nor plaintiff. Hes Just named as a respondent and the case is immaterial in reture.nether defendant nor plaintiff. He's Just named as a respondent and the case Is imrretenal in nature. - Criminal Fangs relates to sex offence which is already clears in the past - RDC alert found - Sex offences in the past which has been cleared - Clearance attached. Zorro Management LLC: - No negative media - No court cases Southern Trust Company Inc: - No negative media - No court cases Financial Inromatics Inc - No negative media - No court cases Brice II Gordon: - No negative media - No court Ones Karen L Gordon: - Negative media as for from Burlington and n one of the negative media her age mismatches. from our KYC is from New Mecis - Court cases are for from Louisiana, Illinois Pennsylvania, Albany. In some cases is a Plaintiff from California and Washington. These are false positives and not a match with the n this KYC - RDC alert found - False postrre as the hit is on from Kentucky and our RP is from New Mexico. Oearance attached Darren lndyke: - Negative news in Google relates to Jeffrey Epsteln's Foundation and are not material In nature. - Court case mentioned in Google search relates to Jeffrey Epsten'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. Harry Beller: - No negative media - Harry Beller is the plaintiff in the court case, also it has been disposed. Jean Anne Brennan Webractt: - No negative meta - No court cases SDNY_GM_00037548 DB-SONY-0000372 7/11/2019 EFTA_00 I 481 60 EFTA01282221 KYC Print Page 28 of 30 Richard Kahn: - No negative media - Court case was dismissal and he was not barred from NYSE kca and was cleared in the previous KYCs. Attached dearanom - RDC alert found - relates to violation of NYSE Na Equities Rule - Clearance attached Paul S Barrett - No negative meda - No court cases - RDC alert found - False posoves, does not certain to our dent. Clearance attached. E. To the best of your knowledge, has the client ever teen convicted of a cmural offense? Elves O No F' To the best of your knowledge, has the customer ever teen involved in any past litigation against Deutsche Bank AG or any of its subsidanes or is the astomer threatening litigation against Deuirrile O yes O No Bank AG or any of la subsidanes' (If Yes provkle Poleax below and coataa QuaRy IV. (Lat4m/MO)or the Regulatory Control Grou p am I notify Complexe onmeo)ate/Y) G. Does the client or related party have any (Kendal or other association! nteracrions within countries O yes RI No or moms sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the dient or related party have any financial or other association) Interactions vdthln Ngh risk O yes 0 No countries? I. Corporate Documentation Attached (Legal Entitles Only) 52 Yes O No O Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No S Not Applicable K. If Lees/Nods Search Results, Corporate Documents or Other Supporting Documentation Is not In English, please provide an English summary of the natt.rekoments of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? Oyes 0 No Is the accotmt structure unusual*/ complex? O Yes 0 No Is there any indication the client set up a non operating company expressly O Yes 0 No for the purpose of transfanng shares to third parties? Is there any mdication this could be a prohibited business relationship? D Yes 2 No Are the bearer shares Identified subject to acceptable contrds? O Yes OND SDNY_GM_00037549 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000373 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148161 EFTA01282222 KYC Print Page 29 of 30 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... M. Case Comments Created By Date Comments Mayur RathOd 9/26/118 1:20 AM No material changes confirmation *emat attached in the case. Kshitij Golani 10/17/118 12:02 AM This KYC serves as a high risk update for the below listed dials (together •accountholders') - l. Jeffrey Epstein 2. Southern Trust Company Inc 3. Zorro Management LLC Below are the reasons vity 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 ate a few rig factors assodated with the accountholders — SOW: The UBO (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages client's assets. SOW verification was obtained. Negative Media & PEP: There is some negative media against Mr Epstein and he is also mantairs a dose relationship wrth 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 61 not find the names searched to be on any sanctions Isis ce ICI) Database. Kshitli Gdanl 10/17/118 12:05 NI Zorro Management LLC is using the address of Southern Trust Company Inc (for whet) I have the address verification for) and given that both Zorro and Southern Trust IS owned by the same Individual, Jeffrey Epstein, It seals plausible that they share the same ass due to common ownership for both of those entities. In addtion, we have obtained proof of existence for afro Management LLC, which proves that the entry S currently n existence. ONSHORE APPROVALS Dent Facing Proftslonal (CFP): Stewart Oldfeld (Signattre) Stewart Oldfleld 9/26/2018 Office Director/Business Head: Steven Mattis (Signattre) Steven MOM W27/2018 Regional Office Drector (Signature) AML Business Risk: (Signature) AML Compliance: KshiO) Golani (Signature) KShei) Golan, 10/17/2018 LATAM/INTERNATIONAL APPROVALS CieM Eating Professional (CFP): (S.;na:ure) Account Manager: (Signature) Global Market Team Head (GM1H)/Suti- Market Tem Head (STITH): (Sgnature) AML Business Risk: (Signature) AML Compliance: (Signature) SONY_GM_00037550 DB•SONY-0000374 7/11/2019 EFTA_00148162 EFTA01282223 KYC Print Page 30 of 30 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 Professionals! (1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the pan of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Quicers, Brokers, Client Managers, etc. Deubche Bank Americas New York SONY_GM_00037551 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000375 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148163 EFTA01282224