EFTA Document EFTA01284012

KYC Print Page I of 24 08 PWM GLOBAL KYC/NCA: PART A KYC Case I : 01344537 One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY MIATIONSHIP:010004113290 Booking Center: New York Relationship Manager: Paul Morris O New KM Relationship O ExisUng PWM Relationship RetationMip to PWM: If editing, please indicate since when the relationship exists, provide reason for new profile and attach old prchle: Update of KYC #01133113. Trustees have hanged How Was the thongs) O Client Referral @ RM Prospect O Intermediary/NM O Other Source (CIB, etc.) introduced> How keg has the RM personally inown the (Gent> Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein/Butterfly Trust are current clients of the Bank. Does Deutsche Bank pay a retrocession or similar O Yes LIZ No compensation to a thrd party for the introduction of this relationship> (1/ Yes, descrthe). list all existing and new accounts involved in the reLstionshg legal Entity Account(s) Account Name / Number Opening Date (intendedlactual) 1 5 Butterfly Trust -- Checking 10/9/2013 2 cl Butterfly Trust -• Money Market 10/9/2013 Who is he primary contact person or the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Ha wet nY Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): 212 569 5900 Status : 6. Approved 37/30/2 _1J0039925 hups://dbforcepb.my.salesforCCINEJIDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002749 EF1'A_00150534 EFTA01284012 KYC Print Page 2 of 24 One sheet must be established for each account to be 2. Account Ownership Summary Account Nan*: Butterfly Trust -- Checking Acct. Number (if avadaAY). Account Manager. Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody serykes, bng-term investment, payrnern/expense account)? This is a checking account to hold funds for the trust. Indicate from where the assets are expected to arrive? O DB Grow: Same Booking Center (indicate account ranter): O DB Group: Other Boot iii Colter (Indicate 08 location and account details): El Cther Institution (Indicate name & kxation)c 10Morgan. New York NY O Physical Deposits (specify calk securkies, cheques, — R What is the expected size arid frequency of regular infkmis and outflows for the account (ndicate estimated number and volume pe month)': Roughly S-10 Inflows and outflows per month ranging from $1,000 to $20,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? I Currency I USD What is the impeded volume of assets and currency for the account approx. one year after opening? 5,000,030.00 'Currency I USD OoesAvill the client have Assets Under Management (Aunt) within DB under Eta. 3Mi Oyes ®No Please list all parties mated to the account. For each party: • Check if a source of wealth description Is required for the party. • Check the appropriate box to descnbe the reLstionship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the palls rebtlon to the account In the Tiber' column. • Always Oman the 'ebbe:whip between the parties in the last column. • Please drill down to the ulUmate/underNing Beneficial Owner(s). _egal Entityof Desulptbn Source of Wealth requied Parties related to his account AccounWIC Holder 'Settler OwnesTrust of / Fowler of Foundation _filtrate Benefxialor Dwner 5signatorwinnteci9nanclal Full ?OA ROA IntennediaryShareholderlepresentative (FIM) Significant (>...25%) Non PIC entity (indicate ownership %) eget Grantor/Setriorkounding Jona. Other 'please lew* other roles and/or wane relationship Sehwen wiles) 3 O M Jeffrey Epstein O O 2 O II O O O O D Grantor; 2 El O tterfly TBu rust 5 O 5 • • O • • • • 3 O O HanY Beller K O O O • a O • O El El Trustee; 4 O O Erika Ketbhals "❑n1 O • • ....a . O • O • • Trustee:: s O • • O • • • O II • • • Beneficiary; 6 • O O • O O O OO O • O Benefklary; 7 M O O • ID O O O O CI CI O Benefit-Ray; 8 O O O El O D O DO I:l El O Beneflcory; 9 • O Chistalllne Maxwe O • O El O OO O O O Benelk coy; 10 D O O O O El O O O O O O Beneficory; SONY_GM_00034926 https://dbforcepb.my.salesforeCCINErillaidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002750 EFTA_00I 50535 EFTA01284013 KYC Print Page 3 of 24 2. Account Ownership Summary Account Name: Butterfly Trust -. Money Market Acct. Number (I svailabl# Account Manager. Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, kriglerm investment, payment/expense account)? Money Market account. To hold cash for the triat to earn intent Indicate from where the assets are expected to arrive, O DB Grow: Same Booking Ceder (Indicate account number): O DB Grow: Other Booking Center (Indicate 013 location and account details): 0 Cher Irtseution (Ind kale name & buition) Whiorgan. New York, NY O Physical DeposAs (specify cash, securities, cheques, ...P What is the expected size and frequency of regular irtflons and outflows for the mond (indicate estimated number and volume pe inonthp: Roughly 1.2 Nflows and outflows per math ranging from $1,000 to 310.000 What is the expected volume of assets and currency for the account approx. 90 days after opening' I I Currency I 1.5D What IS the expected volume of assets and currency for the account approx. one year after opening? 11,000,000.00 I Currency I USD Owarill the client have Assets Under Management (AIM) within DB under Err. 3MT O Yes WI No Please list all parties elated to the account. for each party: • heck a a source or wealth description is required for the party. • Check the appropriate box to describe the relstionsNp of the party to this account (> Ian be selected). • Iwo° of the check boxes apply, describe the partYs relation to the account in the 'CONY' column. • Always describe the relationship between the parties in the last colorist • Please drill down to the ultenate/underlying Beneficial Owner(s). -egal Enbtyof Description Source N Weskil requeed Parties *elated to this account AccounWIC Holder OwerTrust Satiric of / fonder of foundation Jkimate Beneficial:A Owner SignatorilUmitedFlnancial Full PO* InterrnedorySharebolderRepresentative (FIM) Significant (>=25%) Non-PIC entity (Indicate ownership %) _egal Grantor/Setdorf-ounding Donor footles) O Other 'please describe other roles and/or ndicate elationthip between Grantor; PO* 1 O 2 Ekpstft'et ein O O 2 O O O O O O 2 B 12 " ter*/ MIA 0 O D O O O O O Ill O 3 O O Hanv Beller D ID O O O O O O O Trustee:, 4 O O Enka kellerhals O ❑O O O O O O O O O Trstee:, O O o • O O O O O O I O Beneficiary; 6 O O O O O O O O O O O O Benefic iary; 7 O • f il O O • • • O O N • O Beneficiary; 8 O O O O • O • O O • O • Beneficiary; 9 N O Gm''''" Maxwell O El O • O O II O O O Benellan; 10 D O MODE] O O O O O O O Beneficiary; SDNY_GM_00034927 https://dbforeepb.my.salesforeCLINErilEaliliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002751 EFTA_00I 50536 EFTA01284014 KYC Print Page 4 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all padres) Individual's flame: Jeffrey Epstein . 00000983289 Date of Birth: 1/20/1953 Country of Residence: USN Country of Citizenshtr USA Address of primary residence: Lille Saint James Saint Thomas 00802 US Virgin Islands Has client resided outside of his/her ther country of natbnaky for 5 years or more) O Yes RI No Profess:30k( upaton: Self Ernpe4yed Tax ID / SSW Current Employer Southern Financial LLC Position/Title/Rank: President Address of empbyer. 6100 Red Hook Quarter 63 St. Thomas USV1 00802 Does the person work as senor xecutIve of a DEPrecognized regvtated entity in the financial nd ugly? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities O yes 2 No Is the individual a Politkaty Exposed Person (PEPy(,/ Yes, describe) O Yes 2 No To the best of your knowledge, Is the Ind Ind ual reeled to an employee of the DB grouP, (A Forney or Fields/bp, desmbe) IN Family O Fnendshlp rid None To the bat of your knowledge, is the individual party to a nom-baiting relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)'O (I Yea, describe) Yes 2 No If applicable, indkate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(%) Bank Office: Client Private Domicile: Client Place of Business: Other location (specdy)c Date: Paul Morris O 2 9/13/2013 w • • • • O O 0 Wealth Details for this individual are not filed in, because they are the same as for the (dewing person: 38. Wealth Detalb (Only for parties requiring source of wealth desolation as Indicated In Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds? Primary tidos* of source of Wealth/Source of Funds? Surnnwire Source of Wealth: Ea Business Owner OSalary/Eamings a Investment O Inheritance/Gifts • Other: Further Describe Source of Wealth Metal the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did fan* accumulate we.alth?for business owners, how long in business, how many employees, level of prolkabikly? Indicate type of business, countries or major activities, important tininess partners) fasten began his financial career in 1976 as an options trader at Bear Steams and became a partnen n 1980. In 1982, Epstein founded his own financial management firm, I. Epstein & Co., managing the assets of dents with more than a talon in net worth. In 1996, Epstein changed the narne of his firm to The Financial Trust Company and based ton the Island of St. Thomas in the US Virgin Islands. Al of his dents were anonymous except for the very wealthy businessman Leslie Worrier. His wealth has come from his days at Bear Steams and his financial management Brim Estimated Annual Income(S): 10,000,000.00 Estimated amount of nwestable assets( $): 350 MM - 100 MM Estimated Net Worth(3): $100 Mal - 500 MM Amoum of assets planned to kwest watt PivM($): 5,000,000.00 Other Known Financial Instilutirms: Institutor,: Inei Country: USA Est. Assets Under Mgt: 120,000,000.00 Insttution: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 SONY_GM_00039928 https://dbforeepb.my.salesforeCLINErilEaltiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002752 EFTA_00I 50537 EFTA01284015 KYC Print Page 5 of 24 I lnstkution: I 'Country: IEst Assets Under Mgt Please indicate the tinily situatian of the individual (marital status, other family, mentors, set.): SDNY_GM_00039929 Imps://dbforcepb.my.salesforcGC:tNEJIDEschiltiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002753 EF1'A_00150538 EFTA01284016 KYC Print Page 6 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Ghislaine Maxwell - Date of Bath. Country of Residence: Country of Citizenship Address of primary residence: c/o KBRK Assocatm Has client resded outside of he/her country of nationality for 5 years C. more? D yes gib ProteesnniOccupalon: Tat ID / SSN: Current Employer: Position/Tide/Rank: Address of employer. Does the person work as senior xecutive of a DB.reccgnized regulated entity in the financial ndusby? or an entity listed on a DB'recognlsed exchange? Obit applicable for operating entities D yes 2 No Is the indMdual a Politkaly Exposed Person (PEPY (A Yes, describe) D Yes 2 No To the best of your knowledge, Is the Individual related to an employee of the DB groupW Fan$' or Frieedilep, desenbe) O Family O Friendship ZA None To the best at your knowledge, is the individual patty to a no relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or sservices)'O (A Yee, descnbe ) Yes 21No If applicable, Skate which bank officers have met the person: Indicate where and when the dent meeting(%) took place: Bank Officer Name(%) Bank Office: dent Private Domicile: Client Place of Business: Other Location (specify) Date: O O . • • • O O • O Wealth Details for this individual are not filed in, because they are the sane as for the folowing person: 38. wealth Details (Only (or parties requiring source of wealth description as Indicated In Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Some of Funds? Summarize Source of Wealth: Owner OSalary/Eamings O Investment O Inheritance/Gifts • liminess • Other: Further 0mnd? Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? fat inheritance, how did (err* accumulate wealth?for business owners, how long in business, how many employees, level of meltability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income(p): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest Mth PWM($): Other Known Financial Insttudons: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the lankly situation of the individual (mantel status, other lankly mentors, etc.): SDNY_GM_00039930 https://dbforcepb.my.salesforeCLINEIDEgialliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002754 EFTA_OOI 50539 EFTA01284017 KYC Print Page 7 of 24 SDNY_GM_00039931 https://dbforcepb.my.salesforeCCINErillairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002755 EFTA_00 150540 EFTA01284018 K YC Print Page 8 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indolduars Name: Date of Binh: Country of Residence: Country of Citizenship: Address of parnary residence: rio HPRK Associates Has client resided outside of her/her matey of nalkonality for 5 years or more? O yes 0 No Profession/Occupation: Ter ID / SSN: Current Employer: Position/Tile/Rank: Address of employer. Does the person wadi as senior executive of a Dffiretognized regulated entity in the financial nd usby? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities O Yes a No Is the lndMdual a Politkaly Exposed Person (PEPY(5/ Yes, *scribe) O Yes El No To the best of your knowledge, is the Individual related to an employee of the DB group?(/ Farm), or Friemiship, desmbe) O Family • friendship E l i None To the best at your knowledge, is the individual party to a noebanking relationship with Deutsche Bank (e.g., extemal legal <WOW, client referral source, supplier of goods or services)? (I Yea describe) O Yes 23 No If applicable, indkate which bank officers have met the person: Indictee where and when the dent meeting(s) took place: Bank Officer Haller(%) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify) Date: O O O O O • O O • O Wealth Details for this individual are not flied in, because they are the same as for the following person: 3B. Wealth Details (Grits, for parties requnng source of wealth descnpuon as indicated on Section 2) Nature of the Individual's Business: Primary Country of source of wealthOotute of Funds? Primary industry of source of Wealth/Source of Funds? Summanze Source of Wealth: • aweless Owner OSalary/Eamings O Investment O Inheritance/Gifts • Other: further Describe Source of Wee to (Petal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth'For business owners, how long in busHess, how many employees, level of profitability? Indicate type of business, countries of major activities, important business porters.) I' stir-noted Annual Income($): Estinvited amount of irwestable assets(s): f uimated Net Worth($): Amount of assets planned to inveit with PWM($): Other Known Financial InstkutIons: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Imblution: Country: Est. Assets Under Mgt: Please indftate the lam`, sItuatno of the individual (mar till status, other family members, etc.)'. SDNY_GM_00034932 https://dbforcepb.my.salesforeCCINErilDalridiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002756 EFTA_OOI 50541 EFTA01284019 KYC Print Page 9 of 24 SDNY_GM_00039933 t ps://dbforcepb.my.salesforcCLINEIDEJNIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002757 EFTA_00150542 EFTA01284020 K YC Print Page 10 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershb Summa 3A. Individual Details (for all parties) Indwiduars flame: Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: c/o HMI( Associates Has client resided outside of his/her country 04 nationatily for 5 years or more? O Yes id No Profession/Occupation: Tax ID / SSW: Current Employer: Posltbon/TKIWRank: Address of employer: Does the person work as senior executive of a DB•recogszed regulated entity in the financial ndusby? or an entity listed on a DB.recognhed exchange? Mott applicable for operating entities Oyes 2 No Is the individual a Politkally Exposed Person (PEPY(r/ Yes, describe) Oyes RI No To the best of your knowledge, h the Individual related to an employee of the DB group?(? Farr* or Friedthip, desmbe) • Family O EnendsNp El None To the best of your knowledge, is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (?Yes, descnbe ) El Yes 10 No If appicable, indtate which bank officers have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Names) Bank Nike: Client Private Domicile: Client Place of Business: Other location (specifyy Date: O O D O • • D O • O Wealth Details for tNs Individrel are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties reputing source of wealth description as Indicated In Section 2) Nature 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: • Business Owner OSalary/Eamings O Investment O Inhailance/Gifts • Other: I urther Descnbe Source of Wee h Metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? RN inheritance, how did family accumulate wealth/for business owners, how long in business, how many employees, level of pmflability? Indicate type of business, countries of major activities, important business partners) Estimated Annual Income($): Estimated amount of investable assets(s): Estimated Net Worth(3): Amount of assets planned to invert Mtn PWM($): I Other Known Financial Instkutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under ?lot: Institution: Country: Est. Mints Under Mgt: Please militate the lam`, situation of the individual (mental status, other family members, etc ) SDNY_GM_00034934 https://dbforcepb.my . sal esforeGONEril DalridiAL000000D9Di & e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002758 EFTA_00I50543 EFTA01284021 KYC Print Page 11 of 24 SDNY_GM_00039935 t ps://dbforcepb.my.salesforcCaNEJIDEgrbadiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002759 EF1'A_00150544 EFTA01284022 KYC Print Page 12 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ovmership Summary 3A. Individual Details (for all parties) Indroduats Plank?: Date of Birth: Country of Residence: Country of Citizenship Address of Drearyr residence: r/o iatic Associates Has client resided outside c4 his/her country of nationality for $ years or more? Dyes I2I No Professbn/Occupaban: Tax ID I SSW: Current Employer: Position/Ms/Rank: Address of employer. Does the person work as senior executive of a DB-recognized regulated entity in tlx: financial ndustry? or an entity listed on a DB.recomised exchange? (Not applicable for operating entities ara ®No is the individual a Politer* Exposed Person (PEPp(f Yes, describe) Ya 21No To the best of your knowledge, is the Individual related to an employee of the DEI gnsupT(if Family cc Friendthip, describe) • Family O Fnendsbp E None To the best of your knowledge, b the Individual party to a non-banking relate:3,1.Np with Deutsche Bank (e.g., external legal camel, client referral source, supplier of goods or services)' Of Yes,descrt) O Yes El No If applicable, nthcate which bank officers have met the person: Indicate where and when the Rent meeting(%) took place: Bank Officer Name(s) Bank office: client PrPeate [gonadic Client Place of Other Business: I iii oft m p{ if 1).,./.. O O O O O • O O • O Wealth Details for tbs Individual are not filed in, because they are the same as for the laming person: 3B. Wealth Details (Only for parties requiring source of wealth description as ideated In Settee 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary bdusby of source of Weathraource of Funds? Surmrsirtze Source of Wealth: O Business Owner OSalery/Famings O Investment O InlwritanceiGifts I Other: further Describe Source of Wealth meta the history of wealth for each of the sources: (e.g. For ants, how did settler accumulate swath? For inheritance, how did famty accumulate wealth?For business antlers, how brig in useless, how many eMplOytC6, legal of profitability? Indicate type or business, countries of major activities, important business partners.) I violated Annual Income($): Estimated amount of investable assets($): Rimmed Net Worth($): Amount of assets planned to fl at with PWM($): Other Known Financial InstAutIons: Institution: County: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the remit situation of the indiv tot (mental status, other family mentors, etc.): SONY_GM_00039936 ht t ps://dbforcepb.my.salesforcaNtaioaLT,IAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002760 EFTA_00150545 EFTA01284023 KYC Print Page 13 of 24 SONY_GM_00039937 Imps://dbforcepb.my.salesforcalNEIDEgriNTAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002761 EFTA_00150546 EFTA01284024 KYC Print Page 14 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all patties) Individual's flanks: Date of Birth: Country of Residence: Country of Citizenship Address of Denaryr owe: r/o HERR Associates. Has client reseed outside of lather of nationality country for 5 years or more? O yes I21 No Profession/Occupation: Tax ID I SSW: Current Employer: Poston/TRW/Rant Address of empbyer: Does the person wadi as senior executive of a DB-recognized regulated entity in tlx: financial ndustry? or an entity listed on a DELrecognised exchange? (Not applicable for operating entities Ova garb Is the individual a Politically Exposed Person (PEPp(f Yes, describe) • Ye 10 No To the best of your knowledge, is the Individual rebted to an employee of the DEs gnwpT(X Fans* or Riendthip, describe) • Family O Friendship El None To the best of your knowledge, k the Individual party to relationship vali Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or serviCesr (I Yes,descrtbe) E3 yes El No If applicable, waste which bank officers have met the person: Indicate where and when the dent meeting(%) took place: Bank Oflker Names) Bank Office: client Praia'. Domicile: Client Place of Business: Dow! l,.,.. .4 dyj D.:tr. O O O O O • O • • O Wealth Details for this Individual are not fried in, because they are the same as for the blowing person: 38. Wealth Detalb (Only for parties requiring source of wealth desolation as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary bdusby of source of Wealth/Source of funds? Summarize Source of Wealth: O Business Owner OSatery/Famings O Investment O Inheritance/Gifts O Other: I urther Describe Source of Wealth metal the history of swath for each of the sources: (e.g. For Mists, how did senior accumulate swath? For inheritance. how did family accumulate we,alth?For business anglers, how brig in usbess, how many employees, le el of profitability? Indicate type of business, countries of major activities, important business partners.) I violated Annual Inconie($): Estknated amount of investable assets(g): Estimated Net Wort (ft Amount of assets planned to invest wth PWI4($): Other Known 191180Cial InstautIons: Ins-Minion: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the Iambi situation of the way sal (marital status, other tangly mentors, etc.): SONY_GM_00039938 ht t ps://dbforcepb.my.salesforcaNtaioagt,IAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002762 EFTA_00150547 EFTA01284025 KYC Print Page 15 of 24 SDNY_GM_00039939 https://dbforcepb.my.salesforCCINEJIDgrit\ridiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002763 EF1'A_00150548 EFTA01284026 KYC Print Page 16 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhb Stemma 3A. Individual Detslls (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship Address of p ryr residence: cio MINK Associates Has client resded outside of hislher country of nationality for 5 years or more? O yes El No Profession/Occupation: Tax ID I SSN: Current Employer: Position/Tide/Rank: Address et entbyer. Does the person work as senor executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DNrecognised exchange? (Not applicable for operating entitles Ova ga NO Is the indrndual a Polak* Exposed Person (PEPppf Yes, describe) • Ye 10 No To the best of your knowledge, is the Individual related to an employee of the fall gniupT(ar Fame/yew Mend:bap, describe) • Family O Fnendship El None To the best of your knowledge, k the individual party to a non-baSting relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier et goods or serviCesr (I Yes,descrt) E3 yes El No If applicable, telltale Minh bank officers have met the person: Indicate where and when the client meetlit(s) took place: Bank Officer Name(s) Bank Office: Clerk Domicile: Client Place of Business: Oth....f I 4, .. .4 a Ode. O O O O O • O • • O Wealth Details for this Individual are rot filled in, because they are the same as for the blowing person: 38. Wealth Detaib (Only for parties requiring source of wealth desolation as Indicated in Sedlon 2) Nature of the India:Nes Business: Primary Country of source of wealth/source of Funds? Primary odusby of source of Wealth/Sainte of Funds? Surnmwtre Source of Wealth: O Business Owner OSalary/Eamings O Investment O Inheritance/Gifts O Other: I urtlwr Detente Source of Wealth metal the history of swath for each of the sources: (e.g. For trusts, how did settler accumulate swath? For inheritance, how did famly accumulate we,alUffor business anglers, how brig in Lobes, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners) I violated Annual Inconie($): Estimated amount of investable assets(g): Estimated Net Wortb(g): Amount of assets planned to invest with PWI4($): Other Known Filleleadi Institutions: Instrtution: County: Est. Assets Under Mat: Institution: County: Est. assets Under Mgt: Institution: Country: Fst. Assets Under Mgt: Please indicate the faint situation of the indtv col (marital status, ether family mentors, etc.): SDNY_GM_00039940 ht t ps://dbforcepb.my.salesforcaNtaioamtAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002764 EF'FA_00150549 EFTA01284027 KYC Print Page 17 of 24 I I SDNY_GM_00039941 https://dbforeepb.my.salesforeCLINErilElFgAIIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002765 EFTA_00I 50550 EFTA01284028 KYC Print Page 18 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershb Stemma 3A. Individual Details (for all patties) Indolduars Name: Harry Seller - 0000343720? Date of Birth: 5/9119% Country of Residence: USA Country of °Wong*: USA Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or mare' O yeg, 0raa ProfessbrgOccupatign: ACC011fildllt Tax ID/ SSN: Current Employer: HBRK Associates, Inc PosboryTtle/Rank: Address of emMoYer. Does the person work as senior executive of a DB-recognized regulated entity in tlx: financial ndustry? or an entity listed on a DB-recognised exchange' (Not applicable for operating entities O ycs sa No Is the indMdual a Politkaly Exposed Person (PEPY(r/ Yes, describe) O Yes 21No To the best of your knowledge, is the Individual rested to an employee of the DB group?(, Fame), or Frieldship, describe) O Family El None • friendship To the best of your knowledge, is the Ind leklual patty to a non-banking relatignship WM Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (/ Yes,detate) • Yet 121No If applicable, Skate whkh bank officers have met the person: Indicate where and when the dent meeting(s) took plate: Bank Officer Name(%) Bank Office: Client Private ['onions: Client Mace of Business: Other Location (specify) Date: O O O O • • O O • L.] Wealth DetaNs for tics MM.-Wiwi are not filed in, because they are the same as for the folcAving person: 3e. Wealth Detail, (Only for parties requiring source of wealth description as Indkated In Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summanre Source of Wealth: O Business Owner OSalary/Eamings O Investment O Inheritance/Gifts • Other: i unher Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how did fan* accumulate wealthTFor business owners, how long in business, how many employees, level of probability' Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income(j) Estimated amount of investable assets(s): [striated Net Worth($) Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Ed. Assets Under Mgt: Institution: Country: Est. Assets Under Slot: Institution: Country: Est. Assets Under Mgt: Meese inditate the lOril`j sakotron of the individual (mental status, other family nximberS, etc.): SDNY_GM_00034942 https://dbforeepb.my.salesforeCCINErilEatidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002766 EFTA_OOI 50551 EFTA01284029 KYC Print Page 19 of 24 SDNY_GM_00034943 https://dbforeepb.my.salesforeCLINEIDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002767 EFTA (H) 150552 EFTA01284030 KYC Print Page 20 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa 3A. Individual Details (for all parties) Indwidual's Name: Erika Kellerhals - 00000499664 Date of Birth- 10/13/1974 Country of Residence: USA Country of CatitenshiP: USA Address of pnmary residence: Has client resided outside of hik/her country of nationality for S years or more, O Yes O No ProfessoniOssupation- Attorney Tax ID / SW Current Employer: Keberhals Ferguson Kroblln PLLC Posbonfilie/Ranic Address of employer: Does the person work as senior executive of a DB-recognised regulated &tidy in the financial Musty> or an entity listed on a DEPrecognsed exchange? (riot applicable for operating entries O va 2 ,40 Is the individual a Polnicalty Exposed Person (PEPr(f Yes, describe) No • Ye 2 To the best of your knowledge, is the individual related to an employee of the DB group, (d Pan* or Friendthip, describe) O FnendsNp lone • Family To the best of your knowledge, h the individual patty to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)' (A Yes,desat) O Yes El No If applicable, nthcate Muth bank officers have met the person: Indicate where and when the Rent meeting(%) took place: Bank Officer Name(s) Bank Office: Client Private Client Domicile: Client Place of Business: I c, it si if ri.,i,i. O O O O O • O • • 0 Wealth Details for this individual are not thee in, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring source of wealth deselption as indkated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary indusby of source of Wealt/VSoufte of Funds? Summarize Source of Wealth: OBusiness Owner OSalary/Famings O Investrnent O Inheritance/Gifts • Other: further Describe Source of Weal, Metal the history of wealth for each of the sources: (e.g. For busts, haw did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business amens, how bng In tisktoss, how many employees, level of prontabiler Indicate type of business, counties of major activities, important business partners.) I united Annual Income($): Estimated amount of investable assets(3): Tumated Net Worth($): Amount of assets planned to invest wth PW14(3): Other Known Financial InstkutIons: institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the lamly situation of the 'nary nal (marital status, other fanWy members, etc.): SONY_GM_00039944 https://dbforcepb.my.salesforCCaNtaliardiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002768 EFTA_00150553 EFTA01284031 KYC Print Page 21 of 24 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Na Butterfly Trust - 0000)486426 Type of Entity • FoundatIon/A.nociatkin RI Trust O Corrpany O Estate • Partnership Purpose of Entity: Private Investment O PhlaMhroplc/Charitabk OCorrirnenial Type of EnUty Other (specify): Purpose of Emily Other (SpeCifY7 Country of incorpixation/regigratim USA Date of incorporation / regbtration: 12/27/2006 Volcker Stand: Vokker Flag: Address (city, street, post role): 6100 Red Hook Quarter 83 St, Thorned 00802 USVI U.S. TIN/EIN: Provide a description of the enters organizational structure, its ownership structure and its Top Management. For trusts/foundatkms, Mclude information about revocadlity,settior and beneflamlessetc.: Grantor: Jeffrey Epstein Trustees: Darien K. Indyke, Richard Kahn Please indicate how ownership of the legal entity is reflected: Grantor: Jeffrey Epstein Trustees: Darren K. Indyke, Richard Kahn 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 (d not me same persons) GrantOr. Jeffrey Epstein Trustees: Owen K. Indyke, Richard Kahn To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services)?: yes O No RI Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Trust account Countries where business is transacted: USA, USVI Hunter of errployees: N/A 30. Wealth Profile (Only for parties requiring source of wealth description as Indicated In Section 2) Primary Country of source of wealth/source of Funds? Printery industry of source of Wealth/source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assednlablities): Trust account with Jeffrey Epstein as Grantor. Initial $100 given to the account to fund. The funds for this trust account come horn invesbnents made by Jeffrey pstein. His wealth profile is filed out. The trust d for the benefit of the 6 named Individuals Estimated gross receipts p.a.($): Estimated net profit pa. (S): Estimated investable assets (S): S5 JIM - 10 14M Potential Amount to be kwested with WM ($): 9,500,000.00 Other Known Financial Institutions: Institution: JPHorgan Country: USA EM. Assets Under Mgt: 9,500,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: EM. Assets Under Mgt: SDNY_GM_00039945 https://dbforcepb.my.salesforeCCINErilDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002769 EFTA_00150554 EFTA01284032 KYC Print Page 22 of 24 DB PWM GLOBAL KYC/NCA: US/LatAm/Intil PART B Relatimshp Name EPSTEIN, JEFFREY RELATIONSHIP Arsk Rating Comments: Booking Center g NY Irv, 0Offshore IR° berate isk g High Risk iGwen Hill /Offshore (Compliance Signature) O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares • DO Employee 4. Attachment A. Type of Photo ID Provided 74 Drivers License 0 Passport • Natkpal/State 10 • Other 8. Checklist of names (individuals and/or entities) that were submitted for database searches is attached ®Yes O No C. Please ndicate the results of the database searches performed RDC searches complete TA Ws O No negative results found )Yes ONo PCR checks complete Ryes O No negative results found )Yes ONo OFAC checks complete 2 Yes ONo negative results found O 'fa )No BIS searches complete (lecisMexis, FaCtiva, Reuters, Dew /ones, D&B) 12 yes ONo negative results found )Yes O No Denial Orders chm It corrpkte ®Yes ONo negative results found • Yes Os MarOndae-Hubbell searched (Lavryers/Law Ferns only) Oyes 21 No negative results found Dyes Ow D. Please sunrnarize any negative results from the database searches Indicated above: BUTTERFLY TRUST: Negative Media: All negative media pertains to a company called the Butterfly Trust in Europe This is not our client. Our client is an actual trust created by a Grantor and not a company. No court cases JEFFREY EPSTEIN: Previously approved KYC *:01082293 fli 01121718 MI negative media pertains to court cases sinich have been previously approved in the above mentioned KYCs. Court Cases have been closed HARRY SELLER: No negative media No court cases ERIKA KRLERHALS: No negative media No court cases GHLSIAINE MAXWELL: No PCR or RDC alert No PCR or RDC alerts No PCR or ROC alerts Attached Ali Clearance Attached Mi. Clearance No PCR or RDC Alert E. To the best of you knowledge, has the client ever been convicted of a criminal offense? g Yes O No F. O Yes RN, To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries' at Yes, pm. details bebn, andcontact QvaXy Mgt. SDNY_GM_00039946 https://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002770 EFTA_00150555 EFTA01284033 KYC Print Page 23 of 24 (LatAinfint1) or b Regulabary Confrol Group and notify Compliance immediately) G. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office or Foreign Assets Control (CfAC)T O Yes El No It. Does the client or related party have any financial or other association/ Interactians within high risk en LJ Yes Pi No I. Corporate Documentation Attached (Legal Entitles Only) ®Yes El No • Not Applicable I. gni:leaned principal rum Complete (Intermediaries Only) O Yes • No ?PA Not Applicabk K. If texts/Alexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English wrrrnary of the nature/contents of the non-English Documentation: I. Special Risk Factors Does the account have Nexus to Special Rink Countrkss, O Yes Z No Is the account structure unusually coneles7 O Yes rA No Is there any Indication the cut set up a non operating cOnlianY exiansfslY ri for the purpose of transferring shares to third parties? L..; yes ON. Is there any indkation this mold be a prohtrited business rdatiortshipt Dyes Ono Are the bearer shares identified subject to acceptable controls' O Yes 121 No SDNY_GM_00039947 Imps://dbforcepb.my.salesforCQUE1111Egi4rdiA10000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002771 EF1'A_00150556 EFTA01284034 KYC Print Page 24 of 24 M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CEP): Paul Morris 'Signature) Paul Morris 2/10/2015 Office Director/Business Head: Kimberly Haft ,Signature) iCitiberly Hart 2/10/2015 Regional Office Director: Signature) AML Bushes Risk (Sienattme) Alit Compliance: YCOIISUil (rung (own Hal (S9nattre) Yoonsun Chung Gwen Hill 23112015 2,111701S LATAM/1NTERNATIONAL APPROVALS Client Facing Professional (CFP) (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub. Market Team Head (SM110: (Signature) AML Business Risk: (Signature) AK Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing ProfessionalsI(I) (CFP 's) should establish and maintain business relationships only with persons who sane 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 ofa 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. confirm that 1 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 PIM Americas Procedures and the PIM Global KYC Policy 1) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York SONY_GM_0003994 8 https://dbforcepb.my.salesforCCINEJIDEgrhiLIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002772 EF1'A_00150557 EFTA01284035