EFTA Document EFTA01284072

KYC Print Page I of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case : 01651789 Status : 6. Approved One sheet must be established per relationship - list all accounts Included In the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATICtISHIP:000004.33290 Booking Center: I New York Relationship Manager: Stewart Oldfidd • New PWM Relationship I K Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Update of KYC M01133113. Beneficianes have changed RI Client Referral I❑ RM Prospect to Intermediary/FM t K Other Source (CO3, etc.) How Was the C hent(s) Introduced, Flow long has the RN personally known the client' Please provide details (e.g. name of referral source, ow many ears RM personally h s known dent, etc.): Jeffrey Epstein (President of Gratitude America) Is a current client of the bank and reached out to Stewart Oldfield to update the beneficiaries to his Butterfly Trust. Does Deutsche Bank pay a retrocession or similar K Yes EZ No compensation to a third party for the introduction of des relabonship> (ff Yes, descnte): List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 Et Butterfly Trust — Checking 10/9/2013 2 irri Butterfly Trust -- Money Market 10/9/2013 Who Is the primary contact Person for the RM? (Note: This person needs to have signatory rights and/or infermatko right for the accounts.): Harry Beier Preferred method of contact (ndicate phone no., fax no., e-mail address, etc.): SDNY_GM_00039985 hups://dbforcepb.my.salesforcaINBIDErNIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. I.6(e) DB-SDNY-0002809 EF1'A_00150594 EFTA01284072 KYC Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Sunman, Account Name: Butterfly Trust — Checking Acct. Number At avaibbiel Account Manager: Paul Marls What is the purpose d the account (e.g. portfolio maned ment, advisory account, custody services, longterm investment, paymenbexpense account)", TM 6 a checking account to hold funds for the bust Indicate from where the assets are expected to arrive> O DB Group: Same Booking Center (inScate account number): O DB Group: Other Booking Center (Indicate DB location and account deeds): RI Other Institution (Incicate name & location): WMorgan. New York, NY O Physical Deposts (specify cash, securties, cheques, ...): What Is the expected size and frequency of regular Inflows and outflows for the account (ndicate estimated number and volume per month), . Roughly 5- JO Inflows and outflows per month ranging from $1,000 to $20,000 What is the expected volume of assets and cwrency for the account approx. 90 days after °Peeling> I I Currency I lisp What is the expected volume of assets and currency for the account approx. one year after opening> 15,000,000.00 iCurrer:y I u$0 Does/VAII the client have Assets Under Management (AiiM) within CB under Eur. 3M' 0 Yes Olio Please list aN parties related to the account. For each party: • Check if a source of wealth description is required for the party. • check the appropriate box to describe the relationship of the party to this account (> I can be • If none of the check bones apply, describe the party, relation to the account in the -Other column. • Ahneys describe the relationship between the patties in the last olumn. • Please dril down to the ulbmate/undertylng Beneficial Owner(s) selected). _egal5esaipbcri Enbtrof Source Fl Wealth required Parties related tothls account AccoundalC Holder OmerTrust Seth'''. of / Founder orJrwrier Found.Thon JIlknate Beneflciabr BegnatorNiyatedFinanclal Full ?OA iCIA IntermediaryShareholderetepresentabve (FIM) Significant (>=25%) Non-PIC entity (indicate ownership Y:i) Legal Grantor/Senior Freunclingtiber 3orsor (please describe other roles and/or ndicate -elationship between ladles) 1 O 2 Jeffr ey Epstein n I--, K Do O O L., LJ O O • Grantor; 2 0 0 Ha" Baer CI 0 • I I W •1 M 0 0 0 0 Tivstee:; 3 O O Erica Kellerhals • O O O 2 O O O O • Trustee:: 4 Iii El Butterfly Trust E K Do • O O O O O O SONY_GM_00039986 t ps://dbforcepb.my.salesforcaaNtalaLVIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. I. 6(e) DB-SDNY-0002810 EFFA_00150595 EFTA01284073 KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: Butterfly Trust -- Money Market Acct. Number Of evadable). Account Manager: Paul Morris What Is the purpose et the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)' Money Market account. To hold cash for the trust to earn interest Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (Indicate DB locator, and account defiles): 741 Other Institution (Indicate name & locator): 1PMagan. New York, NY O Physical Deposes (specify cash, secureies, cheques, ...): What Is the expected it and frequency of regular Inflows and outflows for the account (prithcat estimated number and volume per month)? Roughly 1-2 Inflows and outflows per month ranging from $1,000 to $10,000 What Is the expected volume of assets and currency for the account approx. 90 days after °Peeling' I I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' 1,000,00°00 I Currency I USD Does/nill the client have Assets Under Management (AiiM) within C43 under Eur. 3M, 5 I Yes No Please list all parties related to the account. For each party: • Check If a source of wealth description Is required for the arty. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f non of the check bares apply, describe the partys relation to the account In the 'Other' column. • Ahsays describe the relationship between the parties in the last olumn. • Please drill down to the ultimate/underlying Beneficial Owner(s) _eganescnpbcn Entity of Source of Wealth required Parties related to this account AccounWIC OnnerTrust Settlor of / Pounder of3vmer Foundation JIbmate Seneficiafx Sgnatorytinvtedkinancial Full ?OA POA ntermedery IM) Significant Sharehdderetepresentabve (>=25%) Non-PIC entity (Skate ownership ib) -egal Grantcr/SettbrfoundingOther (please describe other roles and/or ndicate relations*, between males) Donor Holder I O g Jeffrey E pstein r—i " • ei O O O O O O O Granter; 2 2) 5 eljtterrtY Trust 5 O O O O OO O O O 3 O O any BMeller a • O I E1 O M O II O Trustee:; 4 • O Erika s Kellerhal im O O • Ed O O • O O Trustee:; SDNY_GM_00039987 hups://dbforcepb.my.salesforeCLINErilEaltiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. I. 6(e) DB-SDNY-0002811 EFTA_00 150596 EFTA01284074 KYC Print Page 4 of 14 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 - 00000483289 Date of Birth: 1/20/1953 County of Residence: USVI Country of Cedenship: USA Address of primary residence: Utte Saint lames Saint Thomas 00802 Has dent resided outside of his/her country of nabonality for 5 years or more' Oyes ®No Profession/Occupation: Self Empolyed Tax ID / S511: 090-44-3348 Current Employer: Southern Financial LLC Position/Me/Rank: President Address of employer: 6100 Red Hook Quarter 93 St. Thaws 00802 Does the person work as senior executive of a DO-recognized regulated entity In the financial ndustry' or an entity listed on a DO-recognised exchange? (Not applicable for operating entities Yes GI i--i ICS r2-1 No Is the individial a Politically Exposed Person (PEP)>(d Yes, descnbe) 0 YeS 0 No To the best of your knovAedge, is the individual related to an employee of the DB group>(f firnO, or FrencWup, desathe) 0 Family 0 Friendship 5 None To the best of your knowledge, is the individual party to a nal-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or serykes)'(rf YeArfesage) O Yes J No If applicable, indicate which bank officers have met the Perkin: Indicate where and Mien the dent meebng(s) took place: Bank Officer Names) Bank Office: Ghent Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris O 0 9/13/2013 • O O O 0 • • 0Wealth 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 wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds' Primary indusby of source of Wealth/Source of Funds' Summartze Source of Wealth: r._., Ki Business Owner 0 Salary/Earnings Rilmestment 0 Inheritance/Gifts 00ther: Further Describe Source of liVealth /Detail the history of wealth or each of the soaps: (e.g. For trusts, how did settler accumulate weami' 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 major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own finandal 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. MI of his clients were anonymous except for the very wealthy businessman Leslie Wexner. /4s 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 assers(S): $50 WI • 100 MM Estimated Net Wortli(S): $100 MM - 500 MM Amount of assets planned to Invest with PWM(S): 5,000,000.00 Other Known Financial Institutions: Insbbibon: JPM Country: USA Est Assets Under Mgt: 120,000,000.00 SONY_GM_00039988 https://dbforcepb.my.salesforCLINErilDairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. I. 6(e) DB-SDNY-0002812 EFTA_00I 50597 EFTA01284075 KYC Print Page 5 of 14 Institution: Deutsche Bank Country: USA Est Assets Under Mot 70,000,000 00 InstibAion: Country: Est Assets Under INt Please indicate the family skuabon of the individual (marital status, other family members, etc.): SONY_GM_00039989 littps://dbforcepb.my.salesforcCaNtEll0EgSdiA110000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R 6(e) DB-SDNY-0002813 EF1'A_00150598 EFTA01284076 KYC Print Page 6 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indus:lust's Name: Harry Baler Date of Beth: County of Residence: USA Country of Citizenship: USA Has dent resided outside of his/her country of nationality his/her 5 years or more O Yes ®No Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HUNK Associates, Inc Position/Tele/Rank: Address of employer: Does the person v.ork as senior executive of a DB-recognized regulated entity In the financial ndustry' or an enbty listed on a CB-recognised exchange' (Not applicable for operating entitles m Yes ®No Is the individual a Politically Exposed Person (PEP)W Yes, *untie) ails ga No To the best of your knowledge, is the individual related to an employee of the D8 group'(/ Family or Friend:lag descrthe) . Family °Friendship 5 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 serykes)'(tY Yes,rfescnte) O Yes ENO If applicable, indicate which bank officers have met the PerSOn: Indicate where and Wien the client meetirxXs) took place: Bank Officer Names) Bank Office: Client Private Domicile: Client Plated "rosiness: Other Location (specify): Date: • • O O O O ri O O • weatth Details for this individual are not filled in, because they are the same as for the following person: 38. WeaRh Details (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 WealtIVSource cf Funds' Summarize Source of Wee*: 0 Business Owner O Salary/Eamings O Investment O Inheritance/Gifts 00ther: Further Describe Source of Weahh /Detail the history of wealth or each of the scores: (e.g. For trusts, how did setbor accumulate wealth' For inheritance, how did family accumulate wealth?For business owners, how long in baseless, how many employees, level of profltatility? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income(S): Estimated amount of Investable assets(5): Estimated Net Worth(S): Amount of assets planned to Myst with PWM($): Other Known Financial Institutions: InstibAion: Country: Est Assets Under Mgt: Institution: Country: Est ASsetS Under Mgt: InstMition: Counby. Est Assets Under Mgt. SDNY_ _00039990 https://dbforcepb.my.salesforcaaNtalacriNaliAL000000D9Ditice... 7/30 GM /2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. 1.6(e) DB-SDNY-0002814 EFTA_00150599 EFTA01284077 KYC Print Page 7 of 14 1 I I Please nelicate the family stuabon of the individual (marital status, other family members, et): SDNY_GM_00039991 Imps://dbforcepb.my.salesforcaINEJIDErNidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. I. 6(e) DB-SDNY-0002815 EFTA_00150600 EFTA01284078 KYC Print Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Somme 3A. Individual Details (for an parties) Individual's Name: Erika Kellethals Date of Birth: County of Residence: USA Country of Citizenship: USA Address of primary residence: Has dent resided out& of his/her country of nationality kw 5 yews or more' IIII Yes Ea No ProfessioniOccupation: Attorney Tax ID / 55N: Current Employer: Kenerhals Ferguson Kroblin PLLC POSItiangPM/Ranic Address d employer: executive of a DB-recognized regulated entity In Cewecognised exchange' (Pict applicable for operating Does the person work as senior ndustry' or an entity listed on a the financial entitles n Yes ONO Is the individual a Politically Exposed Person (PEP)W Yes, describe) Oyes Et No To the best of your knowledge, is the individual related to an employee of the DB groupyrie Family or Friendship, (Wage) O Family 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 services)' i Yes,ekuthe I O Yes El No 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: Olent Private Danielle: Client Place of Business: Other Location (speedy). Date: O • • O O O El O O °Wealth De at fa this Individual are not filled in, because they are the same as for the following person: 98. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Individual's Business: Primary Country of wane of wealth/source of Funds' Primary industry ci source of WeatIVSoince of Funds' Surnmarke Source ci wealth: O Business Owner O SalarwEamings O investment I:Inheritance/Gifts 00ther: Further Describe Source of Wealth /Detail the bitty of wealth or each of the sources: (e.g. For trusts, how did setdor accumulate wealth' For mhentance, how did (amity accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actwtbes, important business partners.) Estimated Annual Incorne(S): Estimated amount of Investable assets(5): Esbmated Net Worth(d): Amount of assets planned to nest with PWN($): Other Known Financial Insteunans: Institution: Counby: Est. Assets Under Mgt: Institution: Counby: Est Assets Under Mgt: Instfbation: Counby. Est Assets Under Mgt. SONY_GM_00039992 Imps://dbforcepb.my.salesforcGCaNtEllOalTdiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. I. 6(e) DB-SDNY-0002816 EFTA_00150601 EFTA01284079 KYC Print Page 9 of 14 I I I Please indicate the family stuabon of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Sum. 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Barfly Trust - 00000486426 Trust O Company O Estate O PartnerShiP Purpose Type of Enbt`l, Ph danthreph/Chatitabie n Commercial Type d Enbty Other (specify): of E C Purpose Other (specify): nt* Country of (neap:ration:mg eaten USA Date of incorporation / registration: 12r 27/2006 Volker Status: Determination Regaled Wicker Flag: No Address (city, street, post code): 6100 Red Hook Quarter B3 SL Thomas 00802 United States US. TINIEIN: 26-6639711 Provide a description of the en rtys organizational stnxture, Its ownership sbudure and Its Top Management. For trusts/foundabons, Include information about revocability,settlor and bench° nes,etc.: This is an irrevocable trust set p by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current trustees. The trustees lin n rika Kellerhah. The benefiriarles are: Darren Indyke 2 Kean Court UvIngston, N) 07039 Karyna Shullak 301 East 66th Street New York, NY 10065 lUchard Kahn 130 East 75th Street New visit, NY 10021 SONY_GM_00039993 Imps://dbforcepb.my.salesforcCLINEJIDErhilidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R 6(e) DB-SDNY-0002817 EFTA 00150602 EFTA01284080 KYC Print Page 10 of 14 Attached are the original bust agreement and the addition/deletion of beneficiary Instrument to support this change. According to the original trust agreement, the trustees have the right during the lifetime of the Grantor to delete or add beneficiaries under Mkt< 3 of the agreement. Please Skate how ownership d the legal entity is reflected: trust agreement O Special attention: Bearer Shares • Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner Of nct the same persons): This is an irrevocable trust set up by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current trustees. The bustees are Harry Belkr and Erika Kellerhals. To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)': el Yes No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Trust account Countries where business is transacted: USA. USVI Number of employees: N/A 3D. Wealth Profile (Only for arbes requitmg source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source d Funds' Provide Evidence of Corporate Assets (e.g. balance sheet a equivalent summary of assets/IlaNties): Trust account with Jeffrey Epstein as Grantor. Initial $100 given to the account to fund. The funds for this trust account come from investments made by Jeffrey Epstein. His wealth profit is filled out The trust is for the benefit of the 6 named IndNiduak Estimated gross receipts $): 4,500,000.00 Estimated net profit a (s): 4,500,000.00 Estimated Investable assets ($): $5 MM - ICI MM Potential Amount to be invested with PWM ($): 4,500,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: USA Est Assets Under Mgt 4,500,000.00 Institution: Country: Est Assets Under Mgt Instibition: Country: Est. Assets Under Mgt SDNY_GM_00039994 https://dbforcepb.my.salesforeCLINErilDairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. I. 6(e) DB-SDNY-0002818 EFTA_00 150603 EFTA01284081 KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/InCI PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center El NY O Offshore NY/ E Offshore Risk O M“ knte E High Risk] Yoonsun Chung (Compliance Signature) PIC 7 DB is Trustee/Co-Trustee • DB Employee M 08 Managed • Bearer Shares 4. Attachments A. Type of Photo ID Provided @Drivers License 0 Passpat ONalknal/State ID Daher B. Checklist of names (Individuals and/or entitles) that were submitted for database searches Is are Otio attached C Please indicate the results of the database searches performed 0 foal @Yet ONO RDC searches complete it Yes No negative results PCR checks complete 0 yes O No negative results found ®Yes Otto OFAC checks complete Ora O No negative results found O Yes 0 NO BIS searches complete (Lest/Nods, Factiva, Reuters, Dow Jones, MB) Oyes ONO negative results found ®Yes O No Denial Orders checks complete ayes O No negative results found Ora n No Martindale-Hubbell searched (lawyers/ Law RIMS only) 0 Yes ENO negative results found Ova Ma D Please summarize any negabve results from the database searches indicated above: BUTTERRY TRUST: Negative Media: MI negative media pertains to a company called the Butterfly Trust in Europe. This is not our client. Our client is an actual bust created by a Grantor and not a company. No cowl cases JEFFREY EPSTEIN: Previously approved KYC 1:01082293 8 01121718 Al negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed RDC alerts for Richard Kahn came up but they were all false positives as the age and locations of the alerts did not match the age and address co flle. HARRY BELLER: No negative media Court case kits him as a defendant for being chief of medical staff for Jackson Memorial Hospital. The court concluded that the plaintiff had no cognizable claim that his crvil rights has been isolated, but refused to &miss his complaint as to his antitrust clam Defendants' motion was thus granted In part and denied in part. The defendants listed in this case have not committed any Siegal acts of conduct in any way. The case was settled on 6/30/1987. ERIKA KELLERHALS: No negative media Enka is an attorney and lsted as legal counsel for several court case. Court case to appeal from a decision of the bankruptcy court Appelke trustee moved to dismiss the appeal for failure to prosecute under Fed R. of the six Poulis factors, Rye weighed in favor el dismissal and it was granted. Another court case for dissolving of marriage and property settlement. The case was concluded. E. To the best of your knowledge, has the client ever been convicted of a crnsinal offense? @Yes O No F 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 It potion against Deutsche Bank AG or any of cis subsidiaries? (11 yes, inside &tat& below and contact Qtuky Mgt OYes 2 No (tsar/1AM tate Regulatory Control Group and noo5' arnplianeelmnectistey) G. Does the client or related party have any financial or other association / Interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? OYes 2 No H. Does the client or related party have any femoral or other association/ interactions within high risk D yes 2 No countries? I. Corporate Documentation Attached (Legal Entitles Only) 2 yes El No ONot Applicable SONY_GM_00039995 hups://dbforcepb.my.salesforcaaNtEIDEgthiLIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED .R CRIM. 6(e) DB-SDNY-0002819 EFTA_00150604 EFTA01284082 KYC Print Page 12 of 14 J. Undisclosed Principal Form Compete (Intermediaries OnlY) CI yes D No WINot Applicable K. if Lexis/Nexis Search Results, Corporate Document or Other Supporting Documentation s not in English, please provKle an English summary of the nature/contents of the non-English Documentation: 1. Special Risk Factors Does the account have Nexus to Special Risk Countries' O Yes E No Is the account structure unusually complex? O r e s E N o Is there any Indication the client set up a non operating company expressly for the purpose of transfeMng shares to third parties' O yes a No Is there any Indication this cold be a prohibited business relationship' CI Yes E No Are the bearer shares identified subject to acceptable controls' Dyes EN* SDNY_GM_00039996 littps://dbforcepb.my.salesforcaraNtEIDrhilidiA14000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R 6(e) DB-SDNY-0002820 EF1'A_00150605 EFTA01284083 KYC Print Page 13 of 14 M. Cam Comments Created By Date Comments Cynthia Rodriguez 2/2/117 9:55 AM Email confinnabon hem Jason Shames is attached. Cynthia Rodriguez 12/30/11611:29 AM During the lifetime of the granter, the trustees have the right to add/delete beneficiaries under Article Third of the Trust agreement by an acknowledged instrument deevered to the Grantor. Attached Is the acknowledged instrument for the addition and deletion of the beneficiaries, signed by the trustees and the grantor. Cynthia Rodriguez 2/1/117 11:23 AM Amended list of beneficiaries attached to include Research is also attached. Cynthia Rodriguez 1/30/117 2:45 PM Jason Shames advised on1/03/2017 that fury executed additim of beneficiary forms by the trustee, along Moth acknowledgment signature from the grantor are what is needed to make changes to the beneficiaries of the put - Cynthia Rodriguez 12/19/116 5:02 Mt Attached are the supporting documents for the addition/deletion of bents of this trust. ONSHORE APPROVALS Client Facing Professional (CM): tend sohrab (Signature) teni sohrab 12/15/2016 Office Director/Business Head: Armen Brash (Signature) Armen Brash 12/15/2016 Regional Office Director (Signature) MIL Business Risk ( Signatrc) AM1 Complonce Ricardo Mendoza Voonsun Chung (Signature) Ricardo Mendoza Toccsun Chung 2/2(2017 2/2/2017 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Gr411-0/Sub-Market Team Head (SM11-1): (Signature) AK Business Risk: (Signature) Mill_ 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 Professionals) (1) (CFP's) should establish and maintain business relationships only with persons who saris), our high standards of suitability, background and character. Due diligence obtained on the client must he appropriately SDNY_GM_000399a7 ps://dbforcepb.my.salesforcalNtalaFerNadiAL000000D9DiSice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. I. 6(e) DB-SDNY-0002821 EF1'A_00150606 EFTA01284084 KYC Print Page 14 of 14 documented by the CFP. It is the responsibility ofCFP'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. 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 PWA4 Americas Procedures and the PWM Global KYC Policy ()Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors. Product Officers, Broken. Client Managers, etc. Doubdos Bank Anwskas New York SDNY_GM_00039998 hups://dbforcepb.my.salesforcCaNtErIlDaiLIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. I. 6(e) DB-SDNY-0002822 EFTA_00150607 EFTA01284085