EFTA Document EFTA01284048

KYC Print Page I of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01346733 One sheet must be established per relationship - list all accounts Included in the relationship 1. Relationship Details Relationship Name: SW-DERN FINANCIAL RELATIONSHIP. Booking Center: New Tort Relationship Manager: Paul Monis O New OWN Relabonship O Existing PWM Relabonship Relabonship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: How Was the Client(s) 12I Client Referral • km Prospect O Intennedury/FIM O Other Source (CIEs etc.) Introduced' How long has the RN personally known the client' Please provide details (e.g. name of referral source, ow many years RN personally has know, cent, etc.): Jeffrey Epstein (President of Gratitude America) is a current client of the bank Does Deutsche Bank pay a retrocession or simibr • Yis IR No compensation to a third party for the introduction of MS reiabonship, gives, desaibel. List all xisting and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intendedJactual) 1 e Gratitude Amend, Ltd 2/18/2015 2 2 Gratitude America, Ltd 2/18/2015 Who Is the pnmary contact person for the RH' (Note: This person needs to have signatory rights and/or information right for the accounts.): Dairen Indyke Preferred method of contact (ndicate phone no., fax no., e-mail address, etc.): Status : 6. Approved SDNV_GM_00039961 https://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002785 Erl'A_00150570 EFTA01284048 KYC Print Page 2 of 12 One sheet must be established for each account to be 2. Actors* Ownership Summary Account Name: Gratitude America, Ltd Acct. Number (twastire): Account Manager: Paul Morris What is the purposed the account (e.g. portfolio management, advisory account, custody services, longterm investment, paymenbexpense account)' Money market account to hold funds and earn interest Indicate from where the assets are expected to arrive' 2 DB Group: Same Booking Center (indicate account number): DB O DB Group: Other Booking Center (Indicate DB location and account details): • Other Institution - (Indicate name & location): O physical Deports (Specify cash, securties, cheques, ...): What is the expected size and frequency of regular inflows and outflows fa the account (Indicate estimated number and volume per month)': Roughly 1-3 infbws and outflows per month ranging from $10,000 to $100,000 What is the expected volume of assets and currency for the account approx. 90 days after opening' I 10C.3® I Currency I USD What Is the expected volume of assets and currency for the account approx. one year after opening? I 100°CCI I Currency I USD Doeshsrill the client have Assets Under Management (AuM) within C6 under Eur. 3M' U Yes E No Please list aN parties related to the account. For each party: • Check if a source of wealth description 6 required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • if none of the check boxes apply, describe the parWs relation to the account in the "Other column. • Always descnbe the relationship between the parties in the last olumn. • Please dnt down to the ultimate/underlying Beneficial Owner(s). _egal5eunpbon Enbtrof Source of Wealth required Parties related to this account AccountPIC Molder Owner Settler d Trust/ Founder of Foundation Jkirnate Benefit al Dwner Signatory o r Full POA JnatedRnancial ?OA IntermediaryShareholderaitepresentabve (EDI) Significant (>=25%) taca-PIC entity (indicate ownership Sb) -egal Grantor/Sethorfounding Donor ~~ ~R~ ~~ 0 1 CI CI Darren Whin ri '—' • O • 2 O O O O • 2 063 Jeffry, Epstein ri — ED 0 U U 0 0 K 2 21 Ea Graafia Amerka n- L'-' • O O • O O O O O SONY_GM_00039962 ht t ps://dbforcepb.my.salesforCCINEJIDEerbadiAlL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002786 EFFA_00150571 EFTA01284049 KYC Print Page 3 of 12 2 Account Ownership Summary Account Name: Gratitude America, Ltd I Acct. Number (davadatt): Account Manager: Paul Mans What is the purposed the account (e.g. pordolio management advisory account, custody services, long-term investment, payment/expense account)'' Checking account to deal with the day-to-day running of the foundation Indicate from where the assets are expected to arrive> 10 DB Group: Same Booking Center (indicate account number): CO3 0 DB Group: Other Booking Center (indicate DB location and account defies): • Other Institution - (Indicate name & location): 0 Physical Deposes (specify cash, saurties, cheques, ...): What is the expected size and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)? Roughly 10-20 mfbws and outflows per month ranging from $10,000 to $100,000 What is the expected volume d assets and currency fa the account approx. 90 days after opening' 1 100000 'Cunene), I USD What is the expected volume ii asset and currency for the account approx. one year after opening' 1°°°°° I I Currency I US° OcesMIN the client have Assets Under Management (AuM) within CO under Eur. 311' O Yes g No Please list all parties related to the account. For each party: • Check Ile source of wealth deuriptbn is required for the arty. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • fun of the check boxes apply, describe the party's relation to the account in the -other column. • Mays describe the relationship between the parties In the last olumn. • Please drill down to the ultimate/underlying Beneficial Owner(s) _eganeunpbcn Enbtpf Source of Wealth equired Parties related to this account AccountFIC Holder Owner Settior et Trust / Founder of Foundation /Renate kneficialor Owner Signatory all POA -need >OA Financial IntermediaryShareholderstepresentative (FIN) Sagmfxant (>=25%) Non-PIC Nifty (indicate ownership %) _egal Grantor/Sedkrfounclung Donor 3ther (please iesalbe other roles and/or ndicate relationship between Narks) 1 O O Dar Indyren ke r-i 1—' O O O A O O O • a 2 D a Jeffrey Epstein ri t -.I OK O D O DD O O O 3 2 5 Gratitudeir America ka • • • 0 • • 0 • • SONY_GM_00039963 https://dbforcepb.rny.salesforeCLINErilEalliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002787 EFTA_00I 50572 EFTA01284050 KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indhnduars Name: Jeffrey Epstein - Date of Bath: 1/20/1953 county of Residence: USVI Country of Citizenship: USA Address of primary residence: tote Saint James Saint Thomas 00802 US Virgin Islands Has dent reskled outside of his/her county of nationality for 5 years or more? Dyes ®no PicifessioniOccupation: Self Empotyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tee/Rank: President Address of employer: 6100 Red Hook Quarter F13 St Thomas USVI 00802 Does the person work as senior executive of a DO-recognized regulated entity In the financial ndustry' or an enbty listed on a CO-recognised exchange, (Not applicable for operating entities ri __ ce i--i Yes lz-I No Is the individual a Politically Exposed Person (PEP)'(d Yes, de cube) InYes 0 No To the best of your knowledge, is the individual related to an employee of the DO group'(if rsfrub, or FnencWsp, describe) [3 Family 0 Friendship 'TA None To the best of your knowledge, is the individual party to a navlanking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or servkes)?(d Yes,describe) O Yes J No If applicable, indicate which bank officers have met the Person: Indicate where and when the dent meebng(s) took place: Bank Officer Names) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris El 0 2/4/2015 • 1- 1 :.....: O O O O iii 0Wealth Details for this indwklual are not filled in, because they are the same as for the following person: 38. wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individuals Business: Private lii.vab,s.nb Primary Country of source of wealth/soutce of Funds' Primary indusby of source of Wealth/Source of Funds' n Summarize Source of Wealth: Vi Business Owner U Salarygamings 0Investment O Inheritance/Gets 00ther: Further Describe Source of Wealth /Detail the history of wealth or each of the wawa: (e.g. For trusts, how did settor accumulate wealth, For Inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitatilty? Indicate type of business, countries of mayor activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets d clients with more than a billion in net worth. In 19%, Epstein changed the name of his firm to The Financial Trust Company and based It on the island of St Thomas in the US Virgin Islands. All of hi clients were anonymous except for the very wealthy businessman Leslie Wexner. /Os wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): 550 WI • 100 MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to nest with PWM(S): Other Known Financial Institutions: Insbbibon: C43 Country: USA Est Assets Under Mgt: 330,000,000.00 SONY_GM_00039964 https://dbforcepb.my.salesforeCCINErilEatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002788 EFTA_00I 50573 EFTA01284051 KYC Print Page 5 of 12 Institution: Counby: Est. Assets Under ?Nt: Institution: COUntly Est Assets Under INt Pease indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00039965 Imps://dbforcepb.my.salesforcCLINE110FerhiltiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002789 EF'FA_00150574 EFTA01284052 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summary 3A. Individual Details (for al parties) Individual's Name: Darren Indyke Date of Birth: 2/19/1965 County of Residence: USA Country d Citizenship: USA Address of primary residence: 2 Kean Court Lrvingston N) 07039 USA Has dent resided outside of his/her country of nationality for 5 years or more' O Yes WI No ProfessioniOccupation: Lawyer Tax ID / 5511: Current Employer: Southern Financial LIC PoritiOniTIOe/Rank Address of employer: 575 lodngton Avenue, 4th Fl Livingston NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial ndustry' or an entity listed on D8-recognised exchange? (Not applicable for operating entitles n Yes ONO Is the individual a Polbcally Exposed Person (PEP)'(# Yes, describe) afes 0 No To the best of your knowledge, is the individual related to an employee of the D8 group(d Fart or Friendship, desmbe) Ollamlly O Friendship EA 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, suppler of goods or servkes)' (tf Yesiesodfre I OYes Ono If applicable, indicate which bank officers have met the person: Indicate where and when the c rent meeting(s) took place: Bank Officer Name(s) Bank Offke: Client Private Domidk: Client Place of Other Business: Location (specify). Date: O • • O O O ri O O O Wealth Details for this individual are not filled in, because they are the same as for the fdlowing person: 38. Wealth Details (Only for parties requiring source of vreakh 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 Weath/Source d Funds> Summarize Source of Weath: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts 00ther: Further Describe Source of Wealth /Detail the history of wealth or each el the scums: (e.g. For trusts, how did settSor accumulate weami' For inheritance, how did ferrety accumulate wealth?For business owners, how long in business, how many employees, level of profltatelty? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount d Investable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PWN($): Other Known Financial Institutions: IndtbAion: Country: Est. Assets Under Mgt: Institution: Country: Est Assets Under 14qt: Institution: Counby. Est Assets Under Mgt. SONY_GM_00039966 ht t ps://dbforcepb.my.salesforcaraNtErlIDEschiltiA14000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002790 EF'FA_00150575 EFTA01284053 KYC Print Page 7 of 12 I I I I Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For at Legal Entities) Legal Entity Name: Gratitude America 21 Foundation/Association O Partnership Company O Estate Purpose of Entity: EA O Private Investrnent Philanthropic/Charitable El ommercial Type of Entity O Trust O of Entity Other (specify) Purpose of Emory Other (specify)': Country of incaporabon/registrabon USVI Date of n io i incorporat registration: 4/25/2012 Volcker Stain: Volcker Rag: Address (city, street, post code): 6100 Red Hook Quarter, 63 St. Thomas 00302 USVI US. TINAIN: Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trustsfioundabons, include nformanon about revocability,settlor and beneficiaries,etc.: 501(c)3 foundation. Jeffrey Epstein is president, Darya, Indyke is treasurer and Erika Kellerhals is Secretary Please indicate how ownership of the legal entity is reflected: 50t(c)3 foundation. Jeffrey Epstein is president, Darren Indyke s treasurer and Erika Kellerhals is Secretary O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the Erect owner of the entity to the ultimate beneficial owner (if not the same persons). 931(c)3 foundation. Jeffrey Epstein is president, Darren Indyke rs treasurer and Erika Kellerhals is Secretary To the best of your knowledge, s the entry party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)? Yes O No Describe Nature of Entity's Primary Business and Investment Activities Mature of the business: ,education, The foundation has not yet started distributing funds and is still determining what endeavors they will support. They hope to support a broad range of efforts including, but not limited to, science, research, etc. Countries where business is transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds' Primary industry of source of Weath/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/lialMities): The foundation Is to be funded by Jeffrey Epstein Estimated gross receipts p.a.(5): Estimated net profit PA. (5): Estimated investable assets (5): 52 MM - 5 MM Potential Amount to be invested with PWM (5): 200.000 00 Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: SONY_GM_00039967 https://dbforcepb.my.salesforCCaNtEillaErtirdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002791 EF1'A_00150576 EFTA01284054 KYC Print Page 8 of 12 SONY_GM_00039968 ht t ps://dbforcepb.my.salesforCCINEJIDEATAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002792 EFTA_00150577 EFTA01284055 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Inti PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center e NY • E Offshore El Risk Moderate E High Risk voonsun Chung NY/Offshore (Compliance Signature) 1:1 C43 Managed PIC O DB is Trustee/Co-Trustee • DB Employee • Bearer Shares 4. Attachments A. Type of Photo ID Provided 0Drivers License OP/aped ONallenal/State ID OOther Checklist of names (Individuals and/or entities) that were submitted for database searches Is B. ®Yes O No attached C. Please Indicate the results of the database searches performed El O land Mt El RDC searches complete Yes No negative results No PCR checks complete 0 yes ON* negative results found Ova No MC checks complete Ores O No negative results found Ores No BIS Searches complete (Lecis/Nexis, Factiva, Reuters, Dow Jones, MB) 0 yes O No negative results found Ova 0 No Denial Orders checks complete 0 Yes O No negative results found Oro FA No Martindale-Hubbell searched (Lawyers/law RIMS only) Ora EN* negative results found Ova O No Please summarize any negative results from the database searches indicated above: GRATITUDE AMERICA: No negative media No court cases DARREN INDYKE: D. Negative media mentions mentionshis name as an owner of a bulking. The negative media is not about him individually but about the others mentioned. No court cases JEFFREY EPSTEIN: Previously approved KYC x:01082293 & 01121718 AI negabve thecae pertains to court cases which have been previously approved in the above menboned KYCs. Court Cases have been closed E. To the best of your know/edge, has the client ever been convicted of a criminal offense? IZ Yes • No To the best of your knohadge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries a is the customer threatening litigation against F. Deutsche Bank AG or any of its subsidiaries' (lf Yes, p -avree details baba and contact Qualay Mgt.° Yes 2 No (LaC4'n4nll) or the Regulatory Control Corms and I nobly Compliance immerastely) Does the client or related party have any financial or other itSteab011 / Interactions within G. • Yes 2 No ■ or by the Foreign Assets countries regimes sanctioned Office of Control (OFACP H. Does the client or related party have any fnancial 04 other association/ interactions within high risk Dyes 2 No countries? I. Corporate Documentation Attached (Legal Entitles Only) El Yes O No ONot Applicable J. Undisclosed Principal ram Complete (Intermediaries Only) O Yes O No ®Not Applicable K. If Leas/Nals Search Results, Corporate Documents or Other Supporting Documentation S not In English, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries' Ora ENO Is the account structure unusually complex' Ores EN, SONY_GM_00039969 hups://dbforcepb.my.salesforaCINBICaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002793 EF1'A_00150578 EFTA01284056 KYC Print Page 10 of 12 Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third pat' Is there any indication this could be a prohibited business relationship' 0 Yes g No O Yes No Me the bearer shares Identified subject to acceptable controls' K Yes E No SDNY_GM_00039970 https://dbforcepb.my.salesforeCCINErilDalridiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002794 EFTA_00I 50579 EFTA01284057 KYC Print Page 11 of 12 M. Cate Comments tb reoxds ki display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Monk 2 24 :015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart '..26.'015 Regional Office Director (Signature) APIL Business Risk: (Signature) AML Camplw.ce G. Hal oib/o M. Crawford Yoonsun Chung (Signature) G. PH orb/o M. Crawford Yoonsun Chung 2/27/2015 2/27/2015 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTM)/Sub-Market Team Head (SMTH): (Signature) ANL Business RiSk: (Signature) ab. atnpliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (NM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals1(1) (CFP '5) should establish and maintain business relationships only with persons who satisfi, our high standards ofsuitabili0i, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they biow their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct and up to date. I confirm that i have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00039971 Ilttps://dbforcepb.my.salesforCCINErilDENITIAL00000D9DiSice... 7/30/2019 . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002795 EFTA_00150580 EFTA01284058 KYC Print Page 12 of 12 SDNY_GM_00039972 https://dbforcepb.my.salesfonCINErilDnEglardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002796 EFTA_00I 50581 EFTA01284059