EFTA Document EFTA01282225

KY(' Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case : One sheet must be established per relationshi - list all accounts included in the relationshi 1. Relationship Details Relabonshe Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Relationship Manager: Stewart Oldfeld • New PArTI Relationship 2 Ensting PWM Relationship Relationship to FWM: If edstIng, please indicate since when the relationship exist, provide reason for new profile and attach old profile: "*" 2018 Periodic Review 0," Last Approved KYC It - LSE LW - 1790820; Southern Firendal LLC - 1790655 How Was the Client(s) 2 alert Referral O RM Prospect O Intermediary/PIM O Other Son (08, etc) Introduced? How long has the PM personally known the client? Please provide details (e.g. ame of referral source, how many years RM personally has known dint, etc): Jeffrey Epstein readied out to Stew Oldflekl on 3/7/17 to have a new acct opened under this relationshp.. Does Deutsche Bank pay a retrocession or similar O Yes I 2 No compensation to a third party for the introduction of this relationship? (If Yes describe). List all edsbng and new accounts involved in this relationship Legal Entity Account(s) Account Name! fainter Opening Date (Intended/actual) 1 LSE LW - 42959295 - DDA-42959295 2/25/2015 2 2 Southern Finandal LLC - 77000457 - DDA-7/00095/ 2/27/2017 3 2 Southern Finandal LLC - N46023804 - D851144G023804 8/2612013 Who 6 the primary CCIltiCt person or the RM? (Note: This person needs to have signatory rests aid/or (indicate Information right for the acccunis.): Darren K. Indyke Preferred method of contal (212) phone no., fax no., email address, etc.): 971-1314 Status : 6. Approved SDNY_GM_00037613 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SOW-0000437 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148225 EFTA01282225 KY(' Print Page 2 of 21 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: WE LLC - 42959295 - DDA Acct Number el available): Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term InvesbneM, payment/expense account)? The purpose of the account is to manage the monthly expenses of the company. Indicate from where the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): O Physical Deposits (spedfy cash, stones, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 10-15/month: $100 - S 350K What is the expected volume of assets and ctrrency for the account approx. 90 days after opening? 255,287.52 I Currency I USD What is the expected volume of assets and ctrrency for the account approx. one year after opening? 255,287.52 I Currency I USD Does/will the client have Assets Under Management (AM) within DB under Eur. 3M? aresE2Ita Please list all parties related to the account For each party: • Check if a source of wealth descnption is requred for the patty. • Check the appropriate box to describe the rdationstip of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the palls relation to the account In the `Other column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). r egal tntityof Description Source of Wealth required )al000unt Parties related to this AccounisoIC Holder Owner Setdor of Trust / Founder of Foundation Jltimate Benefiaalor Owner Signatory Full PUPA LimiteciFirendal POA Intermediaryehereholdee (FIM) Significant (>=25%) Yon-PAC entity (indicate ownership %) Legal Representative GrantoreSenectoundingOther Donor (pease descnbe other roles and/or indicate rdatiortshp between parties) 1 al El Lsm,ux I21 • O O O O O O O O 2 O gl Jeffrey E. Epstein O DO S S O O 100 O O O Sole Member; 3 O O Damen K. indyke • • O • a OO O O O SDNY_GM_00037614 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL DB-SONY-0000438 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148226 EFTA01282226 KYC Print Page 3 of 21 2. ACCount Ownership Summary Account Name: Southern Financial LLC - 77000357 - DOA Acct. Number tdavadable): Account Manager: Stewart OldieId What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? The purpose of this account IS to manage the daily expenses of the company. Indicate from where the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB locabon and amount details): O Other Institution - (Indicate name & baton): O Physical Deposits (specify cash, secretes, cheques, ...): What is the expected size and frequency of regular .flows and outflows for the account ( • 51000000 nckcate estimated number and volume per month)?: 03/month; 5500 What is the expected volume of assets and currency for the account approx. 90 days after opening? 1 1,535,257.07 I Currency I UW What is the expected volume of assets and cr.rrexy for the account approx. one year after opening? 1,535,257.07 I Currency I UW Does/will the diets have Assets Under Management (ALM) within DB under Eur. 3M? 0 yes 2 No Please list all parties related to the account Fee each party: • Check if a source of wealth description is requred for the party. • Check the appropnate 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 elation to the account in the 'Other' column. • Always describe the relationship between the panes in the last column. • Please doll down to the ultimate/underlying Beneficial Owner(s). 1 regal Description zntityof Source of Wealth required O Parties related to this account Southern Financial LLC Jeffrey E. Epstein Jean Anne Brennan Wiebracht Darren K. Indyke Account Holder Ultimate Signatoorsnitedrinanaal Beneficialor Full DOA ntermediarySh Owner DOA ,FIM) PIC Sake of OnnerTrust/ Founder of Foundation Significant Shareholder (>=25%) Non.PIC entity (indicate ownership Legal Representative Grantor/SettlorFoundineher Donor please deserts other roles and/or ndkate elabonship between „lames) 2 2 3 2 4 9 9 Southern Trust n Company, Inc. 2 Southern Trust Company Inc is the sole member of $outhern Fronde' LLC & Jeffrey Epstein is the sole shareholder of Southern Trust Company no; SDNY_GM_00037615 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000439 https://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?lid=01N30000000D9DiSte... 7/11/2019 EFTA (()148227 EFTA01282227 KYC Print Page 4 of 21 CONFIDENTIAL - PURSUANT TO FED. R. t I ON FIDENTIAL https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 2. Account Ownership summary Account Name: Southern Friancial LLC - N46023604 - DBSI Acct. Hunter fr avadaNef. Account Manager: Stewart Oldfield What is the purpose of the account (e.g. p dot* management, advisory account, custody services, longterm investment, payment/expense account)? The purpose of this account IS to invest long term with the bank. Indicate from where the assets are expected to arrive? 0 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and azo3unt details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected size and frequency of regular .Mows and outflows for the account (indicate estimated number and volume per month)?: 25-35/month; $0 - 5250K What is the expected volume of assets and currency for the account approx. 90 days after opening? 1 113,764,196.27 I Currency I USD What is the expected volume of assets and ctsrency for the account approx. one year after opening? 113,764,196.27 I Currency I USD Doesivill the client have Assets Under Management (AM) within DB under Eur. 3M? 0 Yes El No Please Ust all parties related to the account For each party: • Check if a source of wealth description is reared for the party. • Check the arixopnate box to describe the relabonship of the party to this accent (> 1 can be selected). • f of the check boxes apply, describe the palls elation to the accent in the 'Other' column. • Always describe the relationship between the pates in the last column. • Please doll down to the ultenate/underlying Beneficial Owner(s). r egal intityof Description Source of Wealth required parties related to this account Account Fielder PIC OnnerTrust Settle' of / Fender of Foundation Ultimate 4Signatoor —rnitedrinancel Beneficialor Owner Full POA 00A ntermediaryShareholderRepresentative ,FIM) Significant (>=25%) Non-PIC entity (indicate ownership %) Legal Grantor/SettlorkundindlOther Donor (please Jesate other rolm andkr ndkate -elabonship between lames) 1 2 0 Southern Anancial LLC 5 • • O • O O O O • 2 O 0 E Jeffrey Epsten n " O O E2I a O O 0 O O 3 O O Jean Anne Brennan Virebracht • a O O IS O O O O • 4 0 0 Darren K lndyke • • • O 5 O O O 0 • 5 2 2 Southern Trust Company, Inc. Li Li U U • O O O ..j Southern Trust Company Inc is the sole member of Southern Financial LLC & Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc; 6 • O Paul S. Barrett • • O O • 0 O O O • ,Securrbes; Tradrig Authorization Limited to Purchases & Sales of SDNY_GM_00037616 DB-SONY-0000440 7/11/2019 EFTA_00 I 48228 EFTA01282228 KYC Print Page 5 of 21 l' 1O1O r ID 1O1O ID l 1O 1O I ID ID 1O 1 I SDNY_GM_00037617 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ON FIDENTIAL DB-SOW-0000441 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148229 EFTA01282229 KY(' Print Page 6 of 21 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON F I DENTIAL 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 parties) Individual's Name: Jeffrey E. Epstein - Date of Birth: Country of Residence: Won Islands, US. Country of ClUzenship: United States Address of primary residence: Little Sant James Sant Thomas 03802 WO Islands, U.S. Has client resided outside of his/her country of nationality for 5 yeas or more? • vim No Profess on/Ocapation: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Pose:km/Title/Rank: President Address of employer: 6100 Red Hock Quarter B3 St. Thomas Virgin Islands, U.S. 00802 DOES the person work as senior executive of a DB-recognized regulated entity in the financial Mosby? of an entity listed on a DB-recognised exchange? (Not applicable for operating entitles n ... L-IYm i•A No Is the individual a Politically Exposed Person (PEP)?(s/ Yes, describe) Comection with Prince Andrew and BM Clinton 2 Y. O No To the best of yar knowledge, is the individual related to an employee of the 08 group?(d Family or Friendslgo, desaite) N/A O Family • Friendshp '4 None To the best of yar knowledge, is the individual party to a nen-banking relationship with Deutsche Bard( (e.g., external legal counsel, client referral source, supplier of goods or seivices)?(if Yesdesoibe) N/A No • Yes 67d If applicable, indicate which bank officers have met the person: Indicate where and Wren the client meeting(s) took dace: Bank Officer Name(s) Bank Office. hint Private • de: Client Place of Business: Other Location (specify): : Stewart Oldfield • .4 • O 6/28/2017 O K O O • • • Wealth Details for this indrodual are not filled ri, because they are the sane as for the following person. 3B. Wealth Details (Only for pestles requiring source of wealth descnption as indicated in Section 2) Nature of the Individual's Business: Private investments Primary County of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Summarize Source of Wealth: Business Owner O Salary/Eamings 0 Investment • Inhentance/Gifts O Other: Rather Oescnbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how rid setdor accumulate wealth? For inhertance, hem did family accumulate wealth?Fcr business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender ri the United States. He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School ri Manhattan from 1973 to 1975. Among his students was a son of Man C. Greenberg, chairman of Bear Stearns In 1976, Epstein started work as an options trader at Bear Stearns where he worked in the special products division, advising high-net-worth clients on tax strategies. Proving successful ri his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managrg the assets of dents with more than $1 eon in net worth. In 1987, Leslie Weiner, founder and chairman of Ohio-based The Limited chain of women clothing stores, became a welt-known client. Wexner acqured Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based et on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were adverasng exeomve Donny Deutsch, investor Nelson Pelt, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million. In 2004, Epstein and Zuckerman committed up to $25 mean to finance Radar a celebnty and pop culture magazine founded by Maer Roshan. Epstein and Zudemen were equal partners in the venture. Roshan, as its editor-in.chief, retained a small ownership stake. SDNY_GM_00037618 DB-SDNY-0000442 7/11/2019 EFTA_00148230 EFTA01282230 KYC Print Page 7 of 21 Presently, Mr. Epstein (prided Southern Trust Company Inc, a pivate consulting company that invests the assets of their dents and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns arC the fees associated with rrenageng their dent's assets. Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets($): SSO MM - 100 WI Estimated Net Worth($): $503 MM + Amount of assets planned to invest with PWS1($): 2,300,000.00 Other Known Friends' Institutions: Insbtution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Insttution: Country: Est Assets Under Mgt: Please indicate the family situation of the orcliwcival (mental status, other family noil,na, etc): N/A SDNY_GM_00037619 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000443 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_0014823 I EFTA01282231 KYC Print Page 8 of 21 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 Ownershln Summa 3A. Individual Details (for all pales) Indrethars Name: Darren K. Indyke - Date of Birth: Country of Residence: United States Country of Otherehip: United States Has client resided his/her country for 5 years or more? outsde of Address of primary residence: of nationality • yin PI No Profess on/Ocapation: Acco.Irtant Tax ID / SSN: Current Employer. Southern Financial LLC Posibcogide/Rank: Accountant Address of employer: 6100 Red Hock Quarter B3 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes 0 No Is the individual a Poldcally Exposed Person (PEP)?(1 Yes, describe) N/A O WS 2 NO To the best of yar knowledge, is the individual related to an employee of the DB group?(, Family or Friends*, (lessee) N/A O Panay • Friendshp ?2 None To the best of yar knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral sane, supplier of goods or services)?(if rescfesoibe) N/A O yes ca No If applicable, indicate which bank officers have met the person: Indicate where and Mien the client meeting(s) took place: Bank Officer Name(s) Bark Office: Clent Private Domicile: Client Place of Business: Other Location (specify): Date: Stewart Oldfield O 12/12/2016 • ID El El I:I • • • Wealth Details for this individual are not filled ri, because they are the sane as for the following person: 39. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) NatLre of the IndMduS's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Owner O Salary/Earnings O Other: a Business O Investment • Inhentance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For assts, how red sabot accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Amual Income(S): Estimated amount of investable assers($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Friancial Insboitions: Insboition: Country: Est. Assets Under Mgt: Insboition: Country: Est. Assets Under Mgt: Insboition: Country: Et. Assets Under Mgt: SDNY_GM_00037620 DB-SONY-0000444 7/11/2019 EFTA_00148232 EFTA01282232 KYC Print Page 9 of 21 Please indicate the family situabon of the ridivelual (mental status, other family members, etc): I SDNY_GM_00037621 CONFIDENTIAL - PURSUANT TO FED. R. IC I ON FIDENTIAL DB-SONY-0000445 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148233 EFTA01282233 KYC Print Page 10 of 21 CONFIDENTIAL - PURSUANT TO FED. R. IA 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 Summa 3A. Individual Details (for all parties) Individual's Name: lean Anne Brennan Wiebrach: - Date of Birth: Country of Residence: Won Islands, U.S. Country of Citizenship: Won Islands, U.S. Address of primary residence: Has client resided outsde of his/her country of nationality for 5 years or more? O Yes VIA No Frofession/Ocapation: Finance Tax ID/ SSN: Current Employer: Southern Financial LLC Postionifitle/Rank: Finance Address of employer: 6100 Red Hock Quarter, 83 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior extortive of a D8-recognized regulated entity in the financial Mussy? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes g No Is the individual a Poll:tally Exposed Person (PEP)?(/ YeR deSOlbe) N/A arra g No To the best of your knowledge, Is the Individual related to an employee of the DB group?(, Famfror AnYnOsigo, desafte) N/A O Family • Friendshp ni None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(/ Yescksoibe) N/A El yes @No If applicable, indicate which bank officers have met the person: Indicate and sedan the client meetings) took place: Bank Officer Name(s) Bark Office: Oent Private Domicile: Client Place of Business: Other Location (speofy): Date: O O • O O O 1:1 O • O Wealth Details for this indrvidual are not filled ri, because they are the sane as for the folformg person: 3B. Wealth Details (Only for parties requiring source of wealth destination as indicated tn Section 2) Nature of the Individuals Business: Pnmary Country of source of wealth/source of Funds? Pnmay industry of source of Wealth/Source of Funds? Summary Source of Wealth: Owner O Salary/Earnings O Other: a Business O investment • Inhentance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trues, how trd settlor accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? indicate type of business, countries of major activities, important business partners.) Estimated Annual Income(S): Estimated amount of invistable assers($): Estimated Net Worth($): Amorrit of assets planned to invest with OWM(3): Other Known Fronde' institutions: Insttution: Country: Est Assets Under Mgt: Insttution: Country: Est Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: SDNY_GM_00037622 DB-SONY-0000446 7/11/2019 EFIA_00148234 EFTA01282234 KYC Print Page 11 of 21 Please indicate the family stuation of the ridhidual (mental status, other family mantes, etc): I SDNY_GM_00037623 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL DB-SONY-0000447 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148235 EFTA01282235 KY(' Print Page 12 of 21 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 OWnershlo Summa 3A. Individual Details (for all pates) Individual's Name: Harry Belle, Date of Birth: Country of Residence: United States Country of Citizenship: United States Address of primary residence: Has client resided outsde of his/her country of nationality • yes No for 5 or more? years Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Positenritle/Rank: Acoountant Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the finandal Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles r-i ,., L-I Yes i•A No Is the individual a Poldcally Exposed Person (PEP)?" Yes, describe) N/A O Yes @NO To the best of your knowledge, is the individual ,dated to an employee of the DB groupW Family or Frienifsbfo, desaite) N/A El Family • Friendship 74 None To the best of your knowledge, is the indindual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, supplier of goods or sennces)?(/ Yescfesoibe) N/A Orin @ No If applicable, indicate which bank officers have met the person: Indicate where and ,Men the client meeting(s) took dace: Bank Officer Name(s) Bank Offer Client Private Domicile: Client Place of Business: Other Location (seedy): Date: O • O El El El ID • • • Wealth Details for this individual are not filled ri, because they are the sane as for the following person. 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2) NatLre of the IndMduats Business: Primary Country of soLrce of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Owner O Salary/Earnings O Investment O Inhentance/Gifts O Other: a Business Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how 6c1 sctdor accumulate wealth? For inhentance, how did family accumulate wealth?Fcr business owners, how long in business, how many employees, level of profitability? IndicaW type of business, countries of major actMbes, important business partners.) Estimated Amual Income(S): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planed to invest with PVAM($): Other Known Fronde' Institutions: Instation: Country: Bt. Asses Under Mgt: Insttution: Country: at. Assel3 Under Mgt: Insttution: Country: at. Assts Under Mgt: SDNY_GM_00037624 DB-SONY-0000448 7/11/2019 EFTA_00148236 EFTA01282236 KYC Print Page 13 of 21 Please indicate the family situation of the ridivglual (mental status, other family members, etc.): I SDNY_GM_00037625 CONFIDENTIAL- PURSUANT TO FED. R. ie I ON FIDENTIAL DB-SONY-0000449 https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148237 EFTA01282237 KYC Print Page 14 of 21 one sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershio Summa 3A. Individual Details (for all parties) Indrockal's Name: Paul S. Bare: Date of Beth: Country of Residence: United States Country of Citizenship: United States Has client resided outsde of his/her country of nationality for 5 years or more? Address of primary residence: O Yes? No Professon/Occupation: Invistment Advsor Tax ID / SSN: Current Employer: ).P. Morgan Securities LLC Postai/Title/Rank: Investment Advisor Address of employer: 277 Park Ave New York NY United States 10172 Does the person work as senior execubve of a DB-recognized regulated entry In the financial Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes No Is the individual a Poetically Exposed Person (PEP)?(/ Yes, describe) N/A arm @ No To the best of your knowledge, is the individual related to an employee."( the DB group?(r 'amebic( Friendsko, desaite) N/A O Family • Friendship ?2 None To the best of your knowledge, is the individual parry to a nen-banking relationship with Deutsche Bard( (e.g., external legal counsel, dent referral source, supplier of goods or savices)?(if resoiescibe) N/A No • Yes @ If applicable, indicate which bank officers have met the person: Indicate where and Mien the client meetings) took place: Bank Officer Name(s) Bar* Offix• ' Cent Private Domicile: Client Place of Business: Other Location (specify): Date: O O • O O O 1:1 • • • Wealth Details for this individual are not filled ri, because they are the sane as for the following person. 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Sectim 2) Natire of the Individuals Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Owner O Salary/Earnings O Other: a Business O Investment • Inhentance/Gifts Father Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trLes, how rad settlor accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Amual Income(S): Estimated amount of invaable assers($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Fronde' Instal:Ions: Instation: Country: at. Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: Insteition: Country: at. 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 EFIA_00148238 SDNY_GM_00037626 DB-SONY-0000450 EFTA01282238 KYC Print Page 15 of 21 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... Please indicate the family situation of the individual (mental status, other family members, etc.): I One sheet must be established for EACH LEGAL ENTITY in Section 7... Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: LSJE, LLC - 00000499733 Type of Entity: O Foundanon/Assocahon O Trust g Company O Estate O Partnership rurPse of Entity: • Private Invament ,,.. Flelanthrock/Charitable O • mmercial Type of Entity Other (speofy): Purpose of Entity Other (specify): Country of incorporation/registration: Won Islands, U.S. Date of incorporation / regevabon: 10/27/2011 Volcker Status: Identified on Customer Profile Volcker Rag: No Address (city, seem, post code): 6100 Red Hock Quarter, 83 St. Therms 00802 Virgin Islands, U.S. U.S. T1N/EIN: Provide a descdpbon of the entity's organizational structure, its ownership structure and is Top revocablity,settlor and beneficiatles,etc: LSJE is a single member LLC. Jeffrey Epstein Is the sole owner and member. He outs 100% of the Epstein and Darren lndyke include information about Srgri0iS on this account are Jeffrey Maneywnnrt. For trusts/foundations, 100 shares issued. The Please indicate how ownership of the legal entity is reflected: Operating Agreement - Indicate where shares are custothed: • Special attention: Bearer Shams Desaibe the chain from the direct owner of the entity to the ultimate beneficial owner (Ina the same personft. LSJE IS a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 103 shares issued. The signas on this accoint are Jeffrey Epsten and Darren Indyke To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche tiara (e.g. external legal counsel, client referral source, supplier of goods or services)?: N/A Yes O Noe Describe Nature of Entity's Primary Business and Investment Activities Nature of the bigness: LSJE, LLC was established for purposes of maintaining payroll arch maintenance related expenses of Jeffrey Epsteres private residence. No buuness purpose. Countries where business is transacted: Virgin Islands, US. Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Pnmary Couty of soiree of wealth/source of Funds? United States Pnmary Industry of source of Wealth/Source of FLrids? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Funds from Jeffrey Epstein. LSJE, LLC was estatitshed for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstan's private residence. No business purpose. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. (5): 100,000.00 Estimated Investable assets (S): S2 Mil - S Mil Potential Amount to be Invested with PWM (5): 500,000.00 Other Known Wander Institutions: Insttution: Couty: Est. Assets Under Mgt: Institution: Couty: Est. Assets Under Mgt: Institution: Carey: Est. Assets Under Mgt: SDNY_GM_00037627 DB-SONY-0000451 7/11/2019 EFTA_00148239 EFTA01282239 KYC Print Page 16 of 21 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Lego! Entity Name: Southern Trust Company, Inc. - 00003483883 Type of Entity: Purpose of Entity: 0 Private Investment O Philanthropic/Charitable D Commercial • Foundation/Assooation • Trust 2 Company • Estate O Partnership Type of Entity Other (specify): of Purpose Other (spe Entity cify): Country of incorpotabon/registration: Virgin Islands, US. Date of incorporation / regsvation: 11/18/2011 Volcker Status: Identified on Customer Profile Volcker Rag: No Address (city, street, post code): 6100 Red Hock Quarter B3 St. Thomas 00802 Virgin Islands, U.S. U.S. TIN/EIN: 66-0779861 Provide a description of the erays orgaNzational structure, its ownership structure and is Top Management. For trusts/foundatens, include information about revocablity,settlor and beneficiales,etc: Jeffrey Epstein IS the sole shareholder of this company. Please indicate how ownership of the legal entity is reflected: Consent of Board of Directors O Special attention: Bearer Shares - Indicate where shares are custoded: Desaibe the than 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. To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or senrices)?: 1/A Yes • No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consulting Services 'thing on France' and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their Cents and gets their revenue from the return of these investmenis. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with menacing that dents assets Countries where business is transacted: Virgin Islands, US. Number of employees: 3 3D. Wealth Profile (Only for parties requag source of wealth desorption as indicated in Section 2) Primary Cointry of solace of wealth/source of Funds? United States Primary Industry of source of Wealth/Source of Funds? High Risk Fronde' Insotutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/babilities): Consul and invest client funds and ciain revenue based on fees and returns Estimated gross receipts p.a.($): 2,030,000.00 Estimated net profit pa. ($): 1,500,000.00 Estimated Wives-tat& assets ($): 52 MM • 5 MM Potential Amount to be invested with PWM ($): 300,000.00 Other Known Wanda Institutions: Insolation: Country: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: One sheet mu t be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) CONFIDENTIAL — PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... I SDNY_GM_00037628 DISSONY-0000452 7/11/2019 EFTA_00148240 EFTA01282240 KYC Print Page 17 of 21 CONFIDENTIAL- PURSUANT TO FED. R. CC I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... Legal Entity Name: Southern Financial LLC Type of Entity: E Foundatron/Assocaoon O Trust R Company O Estate C Partnership Purpose of Entity: 0 Private Invesbnent O Philanthropic/Chantal:1e O ommerdal Purpose ci Entity Type of Entity Other (specify): Other (spedfy): Country of incorpotabon/registratan: %ergo Islands, U.S. Date of incorporation / registration: 2/25/2013 Volcker Status: Identified on Customer Profile Volcker Rag: No Address (city, street, post code): 6100 Red Hock Quarter 93 St Thomas 00802 Virgin Islands, U.S. U.S. TIN/EIN: Provide a description of the era-0 organizational structure, its ownership structure and es Top Management. For trLstsfloundations, inckide informabon about revocablIty,settior and beneficianes,etc: Southern Must Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity Is reflected: Operating Agreement El Special attention: Bearer Shares - Indicate where shares are custodied: Desaibe the chain from the direct owner of the entity to the ultimate beneficial owner (I f not the sane persons); Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bar* (e.g. extemal legal counsel, dant referral source, supplier of goods or services)?: Yes • No 1/A Describe Nature of Entity's Primary Business and Investment ActWitles This business is funded by Jeffrey Euston's wealth. This company was formed to hold Mr. Nature of the tautness: Epstan's personal wealth and invest in different ventures. This company invests in real estate, equities, commodities, etc and gets its revenue from the gairs it makes in these investments. It s a company formed to invest the assets of W. Epstein. Countries where business is transacted: Virgin Islands, US. Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth desaiptan as indicated in Section 2) Pnmary Country of soLrce of wealth/source of Fonds? United States Pnmary industry of source of Wealth/Source of Finds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsffabilitlin): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managng member (Jeffrey Epstein). Please revert to Mr. Epstein's source at wealth for more details. Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. ($): 1,500,000.00 Estimated investable assets ($): cS1 MM Potential Amount to be Invested with PWM ($): 300,000.00 Other Known Palencia' Institutions: Institution: Corny: Est Assets Under Mgt: Institution: Corny: Est. Assets Under Mgt: Institution: Corny: Est. Assets Under Mgt: SDNY_GM_00037629 DB-SONY-0000453 7/11/2019 EFTA_00148241 EFTA01282241 KYC Print Page 18 of 21 CONFIDENTIAL — PURSUANT TO FED. R. t I FIDENTIAL ht tps://dbforcepb.my.salesforce.corn/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... DB PWM GLOBAL KYC/NCA: US/1st/kin/Intl PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Boding Center 2 NY O NY/Offshore O Offshore n Moderate Risk 2 High Risk Gwen H/ (Compliance Signature) O DB Employee O Cf; Managed PIC O DB IS Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided g Myers License 0 P or:kM I e W>D r Zt icina her : Darren B. Checklist of names (Individuals and/or enabes) that were submitted for database searches is attached 2 Yes O No C. Please indicate the results of the database searches performed RDC searches complete 174 YES • No negative results found in Yes O No PCR checks compete tn. yes • No negative results found Yet O No OFAC checks complete Eyes O No negative reads found Ores g No BIS searches compete (Lais/Nexis, Factiva, Reuters, Dow Jones, D&B) in yes O No negative results found 2 yOS O No Denial Orders checks complete 4 Yes • No negative rats found • Yet 2 No Martindale-Hubbell searched (Lawyers/Law Firms only) • yes No negative rats found • y4S O No D. Please summanze any negative results from the database searches indicated above: LSJE LLC: - No negative media - No coin cases LW Employees LLC: - No negative media - No coral cases Southern Finanoal LLC: - No negative media - No coral cases - RDC alert found - False positives, does not pertain to our dent. Clearance attached. Southern Trust Company Inc: - No negative media - No coral cases Finery:al Infomatis Inc: - No negative media - No coral cases Jeffrey Edward Epstein: - Negaave media relates to the sex offence ri the past which are akeacty cleared. (KYC 0 - 01790655) - Court cases relates to Jeffrey's sex offence in the past which is already cleared, another (Gerber Et Al V. The Financial Trust Company Et Al) a a recent ongoing owl Lawsuit pertaining to fraud which has been dismissed (attached document), but part of normal business operations for this client. And in ale of the case he's neither defendant nor planaff. He's Just named as a respondent and the case is immaterial in rature.neither defendant nor plaintiff. He's just named as a respondent and the case a immaterial in nature. - Criminal Filings relates to sex offence which a already cleared in the past - RDC alert Maid - Sex offences in the past wNch has been deared - Clearance attached. Darren Indyke: - Negative news in Google relates to Jeffrey Epstein's Founclabon and are not material in nature. - Court case mentioned in Google search relates to Jeffrey Epsten's sex offence in the past 'Mich has been cleared already. Darren isiust an attorney for Jeffrey in the case. - Fircosoft alert has been cleared by AML Compliance. Clearance attached. Jean Anne Bremen Webtacht: - No negative media - No coat cases Ham/ Beller: - No negatNe media - Harry Beller a the plaintiff in the court case, also it has been disposed. SDNY_GM_00037630 DB-SONY-0000454 7/11/2019 EFTA _0BI 48242 EFTA01282242 KYC Print Page 19 of 21 Paul S Barrett - No negative media - No coot cases - RDC alert found - False positives. does not pertain to our dent. Clearance attached. E. To the best of your knowledge, has the client ever been convicted of a criminal offense? RI Yes El No F To the best of your knowledge, has the customer ever been involved ri any past litigation against Deutsche Bank AG or any of its subsidenes or is the customer threatenng litigation against Deutsche Bank AG or any of its subsidades? (If Yes, prom* details below and contact (katory Mgt. 0 Yes 2 No (LatAm/Intl) or the RegulatoryControl Group and notifyCompliance imenecitaWly) G' Does the client or related party have any financial or other association / interactions within countries Eyes No by the Office Foreign Assets Control or regimes sanctioned of (OFAC)? It Does the client or related party have any financial or other associadort/ interactions within high risk 0 Yes 2 No counties? I. Corporate Documentation Attached (Legal Entities Only) @Yes 0 No 0 Not Appkable I Undisclosed Principal Form Complete (Intermediarlit Only) 0 Yes 0 No 2 Not Applr_able K. If Leds/Necis Search Results, Corporate Document or Other Supporting Documentabon 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 Spedal Risk Countries? 0 yes 2 No Is the account struchre unusually complex? ElYm 2 No Is there any indication the client set up a non operating company expressly 0 Ion 2 No for the purpose of transferring shares to third parties? Is there any indication this could be a prohibited business relationship? OYin 2 No Are the bearer shares slentned subject to acceptable controls? Dew El *a SDNY_GM_00037631 CONFIDENTIAL - PURSUANT TO FED. R. CC I ON FIDENTIAL DB-SONY-0000455 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148243 EFTA01282243 KYC Print Page 20 of 21 M. Case Comments Created By Date Comments mayor Rathod 9/20/118 7:46 AM No material changes confirmation 'oaf attached in the case. Gwen Hill 10/26/118 4:06 PM This KYC serves as a high rlsk review for LSJE LLC and Southern Financial LW (herein referred to as "aoccuntholderr) - Below are the reasons why we are comfortable with approving this IOC: • Information and supporting documents required by our AML Policy were provided and renewed; and as a result, we have an understanding of the structse of the accountholders, thew purpose, the purpose of the accounts and expected transaction activity. • There are a few rsk factors associated vnth the accountholders — -SOW: The 1160 (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages client's asset. SOW verification was obtained. -Negative Media & PEP: There is some negative media against Pt. Epstein and he is also maintains a close relatinship with Bill Clinton and Prime Andrew. Please see risk calculator for more information. Appropriate approval was obtained. • Our review did not idenofy any red flags and thus there was no need to escalate this case further. • We performed due diligence seardres on all parties and did not find the names searched to be on any sanctions as. ONSHORE APPROVALS Stewart Oldfield ;Signature) Stewart Wield 10/15/2018 cent Facing fig/L....lona' (CFP): Office Drector/Busness Head: Andrew F Gallivan (Signature) Andrew F Gallivan 101150018 Regional Office Drector: (Signature) NIL Business Risk: (Signature) AML Compliance: Richard Corbel! Gwen Hill (Signature) Richard Cottrell Gwen Hal 10/26/2018 10/26/2018 LATAM/INTERNATIONAL APPROVALS Client Facing Professanal (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Camplia-ce (Signore) 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 swish, our high standards of SDNY_GM_00037632 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL DB-SONY-0000456 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148244 EFTA01282244 KYC Print Page 21 of 21 suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Broken, Client Managers, etc. Deutsche Bank Americas New York SONY_GM_0003763.3 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000457 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148245 EFTA01282245