EFTA Document EFTA01295009

KYC Print Page 1 of 29 DB PWM GLOBAL KYC/NCA: PART A I!: KYC Case # : 01133113 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELAllONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Morris Relationship to PWM: F New PWM Relationship (7 Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: How Was the Oient(s) Introduced? How long has the RM personally known the client? r Client Referral 17 RM Prospect F Intermediary/FIM r Other Source (06, etc.) Please provide details (e.g. name of referral source, how many years RM personalty has known client, etc.): Jeffrey Epstein Is a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a dent of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at 'Morgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? F Yes F No ale yes, descfibe) List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 r Butterfly Trust — Checking 10/9/2013 2 r 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 information right for the accounts.): Darren Indyke Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): Status 6. Approved SDNY GM 00053703 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/seryle nriffiEWr0pAt0D9Di&eid=500600... -1/26/2014 DB-SONY-0016527 EFTA_00164278 EFTA01295009 KYC Print Page 2 of 29 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Butterfly Trust -- Checking Acct Number (if available): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a checking account to hold funds for the trust. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): P. Other Institution (Indicate name & location): JPMorgan. New York, NY F Physical Deposits (specify Cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 5-10 inflows and outflows per month ranging from 51,000 to $20,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? 4,000,000.00 Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 5,000,000.00 Currency USD Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legabescription Entityof Source of Weakh required Parties related to pis account AccountFIC Holder OwnerTrust Setter of / Founder of foundation slItimate Beneficial°, Owner Signatory-imitecFnancial Full POA POA IntermediaryShareholder (FIM) Significant (>=25%) Non-P1C entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between 3arties) 1 F F Jeffrey Epstein r r F F F r r Grantor; 2 F r Butterfly Trust F F F F F F F 3 F F Richard Kahn F F F F F F F Trustee:; 4 F F Darren Indyke r F F r F F F Trustee:; 5 r r r r r F r F F Beneficiary; E r r r r r r r r r Beneficiary; 7 F F F F F F F F F Beneficiary; 8 r r r r r r- r r r Beneficiary; 9 F F Ghislaine Maxwell F F r r r r F Beneficiary; SDNY_GM_00053704 CONFIDENTIAL- PURSUANT TO FED. s://na4.salesforce.com/serylet Pl R. Ab) 1 '' DS-SONY-0016528 ha ififfEW AIE FV D9Di&eid=500600... 1/26/2014 EFTA_00164279 EFTA01295010 KYC Print Page 3 of 29 kir Ir IF IF IF IF Ir V V I Ivry; SDNY_GM_00053705 CONFIDENTIAL - PURSUANT TO FED. R. Imps://na4.salesforce.conn/servle AtrEjrtrpACED9Di&eid=500600... 1/26/2014 DB-SDNY-00 16529 EFTA_OOI 64280 EFTA01295011 KYC Print Page 4 of 29 2. Account Ownership Summary Account Name: Butterfly Trust -- Money Market Acct. Number (if available). Account Manager: Paul Morris What is the purpose of 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? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate 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 opening' 500,000.00 Currency USD What Is the expected volume of assets and currency for the account approx. one year after opening? 1,000,000.00 Currency USD Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the tither column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/under ying Beneficial Owner(s). Legal Entityof Description Source of Weakh required Parties related to this account AccountPIC Holder OwnerTrust Settior of / Founder of Foundation _Itimate Beneficiabr Owner Signatory_imitecRnancial Full POA 00A IntermediaryShareholder (FIM) Significant 0.-25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between cartes) 1 F F Jeffrey Epstein F F F F F F F Grantor; 2 F F Butterfly Trust F F F F F F 3 F F Richard Kahn F F F F F F F Trustee:; 4 F F Darren Indyke F F F F F F F Trustee:; s F F F F F F F r F Beneficiary; 6 F F F F F F F F F Beneficiary; 7 F F F F F F F F F Beneficiary; 8 F F F F F F F F F Beneficiary; 9 F F Gtislaine Maxwell F F F F F F F Beneficiary; 10 F F F F F F F F F Beneficiary; SDNY_GM_00053706 Att hups://na4.salesforce.com/serylet CONFIDENTIAL — PURSUANT TO FED. R. liciEwropAto,Di&eid=500600 . 1/26/2014 DB-SDNY-00 16530 EFTA_00164281 EFTA01295012 KYC Print Page 5 of 29 SDNY_GM_00053707 hops://na4.salesforce.com/servle CONFIDENTIAL — PURSUANT TO FED. R. t leEtflkt 0D9Di&eid=500600 . 1/26/2014 DB-SONY-0016531 EFTA_OOI 64282 EFTA01295013 KYC Print Page 6 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Financial LLC Position/ride/Rank: President Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Fnendship, descnbe) F Family F Friendship F 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)?(if Yes,descnbe) r Yes F No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client of Business: Place Other Location (specify): Date: Paul Morris r r F 9/13/2013 F r r r r r F Wealth Details for this individual 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 Individual's Business: Private investments F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, 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, ). Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, 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 his clients were anonymous except for the very wealthy businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms Estimated Annual Income (S): 10,000,000.00 Estimated amount of investable assets(S): S50 MM - 100 MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): 5,000,000.00 Other Known Financial Institutions: SONY_GM_00053708 CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/serylet R. It 1 `-' DB-SDNY-00 16532 Im PfirifEWRACL0D9Di&eid=500600... 1/26/2014 EFTA_00164283 EFTA01295014 KYC Print Page 7 of 29 Institution: ]PM Country: USA Est. Assets Under Mgt: 120,000,000.00 Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053709 CONFIDENTIAL -PURSUANT TO FED.(R. At Pl b) I l' -' DB-SONY-00 16533 htt s://na4.salesforce.com/servet iFIEW kto ropt D9Di&eid=500600... 1/26/2014 EFTA_00I 64284 EFTA01295015 KYC Print Page 8 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren Indyke - 00000486405 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Attorney Tax ID / SSN: Current Employer: Southern Financial LLC Positionifide/Rank: Address of employer: 6100 Red Kook Quarter B3 Livingston USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, describe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Fneniship, descnbe) F Family F Friendship F 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)?(if Yes,descnbe) r Yes F No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client of Business: Place Other Location (specify): Date: Paul Moms r r F 9/13/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts F Cther: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (S): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I Country: I Est. Assets Under Mgt: SDNY_GM_00053710 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servle R. Atb) i1i `-' DB-SDNY-00 16534 hus://na4 PrifEteepAt0D9Di&eid=500600... 1/26/2014 EFTA_00164285 EFTA01295016 KYC Print Page 9 of 29 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY GM/ 00053711 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforce.com/servle ritifiEWRACE D /2 D9Di&eid=500600... -1 62014 B-SONY-0016535 EFTA 00164286 EFTA01295017 K YC Print Page I 0 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Richard Kahn - 00000486407 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: Southern Financial, LLC Position/Tide/Rank: Address of employer: 6100 Red Kook, Quarter B3 St Thomas US Virgin Islands 00802 Is the individual a Politically Exposed Person (PEP)?(if yes clescnbe) F Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Freniship, desathe) F Family F Friendship F 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)?(if Yes,desalbe) r Yes 17 No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client of Business: Place Other Location (specify): Date: Paul Moms r r F 9/13/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (S): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY GM 00053712 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforce.com/servle BEtepActompi&eid=500600... -I/2672014 DB-SONY-00 16536 EFTA_00164287 EFTA01295018 KYC Print Page I I of 29 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053713 CONFIDENTIAL -PURSUANT TO FED. R. Ate) DB-SDNY-00 16537 htt s://na4.salesforce.com/servle pliffiEmptAtoD,Di&eid=500600... 1/26/2014 EFTA_00164288 EFTA01295019 KYC Print Page 12 of 29 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 Birth: Country of Residence: Country of Citizenship: Address of primary residence: c/o KIRK Associates 575 Lexington Avenue, 4th R New York NY 10022 USA Profession/Occupation: Tax ID / SSN: Current Employer: Positionifide/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(,f Family or Fnendstvp, descnbe) F Family F Friendship F 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)?(if Yes,descnbe) rYes '— Ito No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client of Business: Place Other Location (specify): Date: r r r r r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts F Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: I 1Country: I I Est. Assets Under Mgt: SDNY GM00053714 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/seMet ritriEtepAt0D9Di&eid=500600... -1/2672014 DB-SONY-0016538 EFTA 00164289 EFTA01295020 KYC Print Page 13 of 29 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053715 Att https://na4.salesforce.com/serylet CONFIDENTIAL — PURSUANT TO FED. R. iirjEwripActoD,Di&eid=500600 . 1/26/2014 DB-SDNY-00 16539 EFTA_00 164290 EFTA01295021 KYC Print Page 14 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: c/o HEIRK Associates 575 Lexington Avenue, 4th R New York NY 10022 USA Profession/Occupation: Tax ID / SSN: Current Employer: Position/Tide/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if Yes, desaibe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Fnendship, describe) F Family F Friendship F 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)?(if Yes,descnbe) r.. Yes r No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Oient Private Domicile: Client Place of Business: Other Location (specify): Date: r r r r r r F F F F Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income ($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I 1Country: I I Est. Assets Under Mgt: SDNY_GM_00053716 lutp a4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. 0D9Di&eid=500600... PIDENTIAt PI 1/26/2014 DB-SDNY-0016540 EFTA 00164291 EFTA01295022 KYC Print Page 15 of 29 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053717 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servle R. Fi t) DB-SONY-0016541 htt s://na4 Fl iBEIVIAt .. 0D9Di&eid=500600. 1/26/2014 EFTA_00164292 EFTA01295023 KYC Print Page 16 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Addr eenc : ss of primary resid c/o KIRK Associates 575 Lexington Avenue, 4th R New York NY 10022 USA Profession/Occupation: Tax ID / SSN: Current Employer: Positionifide/Ftank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(,f Family a- Fnendship, descnbe) r Family F Friendship F 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)?(if Yes,descnbe) r- yes '— 1 iv No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Client Place Domicile: of Business: Other Location (specify): Date: r r r r r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts r - Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For ?rugs, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00053718 CONFIDENTIAL - PURSUANT TO FED. R. itb) 1 I''' DB- 016542 -00 16542 lutps://na4.salesforce.com/serylet Rip? EtffiAt0D9Di&eid=500600... 1/26/2014 EFTA_00164293 EFTA01295024 KYC Print Page 17 of 29 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053719 Att https://na4.salesforce.corn/servlet CONFIDENTIAL —PURSUANT TO FED. R. firi EwitipActoD,Di&eid=500600 . 1/26/2014 DB-SDNY-0016543 EFTA_001 64294 EFTA01295025 KYC Print Page 18 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: - Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: c/o HBRK Accnriates 575 Lexington Avenue, 4th R New York NY 10022 USA Profession/Occupation: Tax ID / SSN: Current Employer: Position/Tide/Ftank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(dFamdy a- Fnendstvp, describe) F Family F Friendship F 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)?(if Yes,descnbe) r- yes t— ' it" No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Chent Private Domicile: Client Place of Business: Other Location (specify): Date: r r r r r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts r- Other: Further 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 family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated amount of investable assets(5): Estimated Net Worth(5): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00053720 CONFIDENTIAL - PURSUANT TO FED. R. Ab) ..— DB-SDNY-00 16544 hups://na4.salesforce.com/servle plifrffEnntAtoD9Di&eid=500600... 1/26/2014 EFTA_OOI 64295 EFTA01295026 KYC Print Page 19 of 29 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY GM 00053721 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/servle AtrifiEliet W0D9Di&eid=500600... -1/26720 I 4 DB-SDNY-0016545 EFTA_00164296 EFTA01295027 KYC Print Page 20 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: - Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: c/o HBRK Associates 575 Lexington Avenue, 4th R New York NY 10022 USA Profession/Occupation: Tax ID / SSN: Current Employer: Position/Tide/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if Yes, desaibe) r•-• F Yes No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- From/ship, describe) F Family F Friendship F 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)?(if Yes,descnbe) r• yes rNo ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: r r r r r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated amount of investable assets(s): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00053722 lut piirefEtepActoD9Di&eid=500600... 1/26/2014 CONFIDENTIAL -PURSUANT TO FED. s://na4.salesforce.com/serylet R. Filt 1 I''' DB-SONY-00 16546 EFTA_00 I 64297 EFTA01295028 KYC Print Page 21 of 29 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): /2 SDNY GM 00053723 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforce.com/servlet ittriEtfitipActoD,Di&eid=500600... D -1 6/2014 B-SDNY-0016547 EFTA 00164298 EFTA01295029 KYC Print Page 22 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: - Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: do HBRK Associates 575 Lexington Avenue, 4th R New York NY 10022 USA Profession/Occupation: Tax ID / SSN: Current Employer: Position/Title/Rank: Address of employer: Is the individual a Politically Exposed Person (PER))(f Yes, describe) r Yes F NO To the best of your knowledge, is the individual related to an employee of the DB group?(/Family a - Fnendstap, desenbe) F Family r Friendship P- None To the best of your knowledge, s the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)7(if Yes,descnbe) r• yes F No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank went Private pomicile: Client place of Business: Other Location (specify): Date: r r r - r r r r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/EamIngs r Investment F Inheritance/Gifts F Other. Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For but, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income ($): Estimated amount of investable assets(f): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: I SDNY_GM_00053724 https://na4.salesforce.com/servle f itrpriEtrrpktD9Diateid=500600... 1/26/2014 CONFIDENTIAL -PURSUANT TO FED. R. DB-SDNY-0016548 EF1'A_00164299 EFTA01295030 KYC Print Page 23 of 29 Institution: Institution: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053725 CONFIDENTIAL -PURSUANT TO FED. R. lutps://na4.salesforce.com/serele 0D9Di&eid=500600 1/26/2014 DB-SDNY-0016549 EFTA_00I 64300 EFTA01295031 K VC Prior Page 24 of 29 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Enbues) Legal Entity Name: Butterfly Trust - 00000486426 Type of Entity: Foundation/Association F Trust r Company :— Estate r Partnership Purpose of Entity: F Private Investment r Philanthropic/Charilabie r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: USA Date of incorporation / registration: 12/27/2006 Address (city, street, post Code): 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/EIN: 26-6639711 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include Information about revocabl ty,settlor and beneficiaries,etc.: Grantor: Jeffrey Epstein Trustees: Darren K. Indyke, Richard Kahn Please indicate how ownership of the legal entity is reflected: Grantor: Jeffrey Epstein Trustees: Darren K. lndyke, Richard Kahn r Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons) Grantor: Jeffrey Epstein Trustees: Darren 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, supplier of goods or services)?: Yes r- No F 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 parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Trust account with Jeffrey Epstein as Grantor. Initial $ 00 given to the account to fund. The funds for this trust account come from nvestments made by Jeffrey Epstein. His wealth profile is filled out. The trust is for the benefit of the 6 named individuals Estimated gross receipts p.a.(5): Estimated net profit pa. (5): Estimated investable assets ($): 55 MM - 10 MM Potential Amount to be invested with Mel ($): 4,500,000.00 Other Known Financial Institutions: !restitution: JPMorgan Country: USA Est. Assets Under Mgt: 4,500,000.00 Institution: Country: Est. Assets Under Mgt: SDNY GM 00053726 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforce.com/servIel ipetriEwripAtoD,Di&eid=500600... -1/26/2014 DB-SONY-00 16550 EFTA_OOI 6430 I EFTA01295032 KYC Print Page 25 of 29 'institution: I https://na4.salesforce.corn/serylet CONFIDENTIAL - PURSUANT TO FED. R. I Country: I I Bt. Assets Under Mgt: I SDNY_GM_00053727 Ed AtOD9Di&eid=500600... 1/26/2014 DB-SDNY-0016551 EFTA ((1164302 EFTA01295033 KYC Print Page 26 of 29 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center F NY r - NY/Offshore r Offshore F Moderate Risk 7:- i- High Risk Andrew Kist (Compliance Signature) F DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided F Drivers License F Passport F National/State ID F Other Checklist of names (individuals and/or enbties) that were submitted for database B. F Yes F No searches is attached C. Please indicate the results of the database searches performed RDC searches complete F Yes F No negative results found F Yes F No KR checks complete F Yes F No negative results found r yes F No OFAC checks complete F Yes F No negative results found r yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes F No negative results found r rest— No D&B) Denial Orders checks complete F yes r No negative results found r Yes r3 No Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found r yes F No Please summarize any negative results from the database searches indicated above: BLITTERR.Y 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. The other negative media does not pertain to "Butterfly Trust". It is only cited because the words "butterfly" and "bust" are next to each other Court Cases: 1. This is study material for a law class. The Butterfly Trust mentioned in this is not our client JEFFREY EPSTEIN: Previously approved KYC A:01082293 & 01121718 DARREN INDYKE: No Negative Media No Court Cases KYC Approved: # 1133377 0. RICHARD KAHN: See attached clearance from AML Approved KYC: *01082293 and 1133377 GHISLA1NE MAXWELL: No KR or RDC alerts No PCR or RDC alerts No KR or RDC alerts Attached AML Oearance SDNY GM 00053728 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/seMet AttleeritACED9Di&eid=500600... -1/2672014 DB-SONY-0016552 EFTA (H) 164303 EFTA01295034 KYC Print Page 27 of 29 Attached AML Oearance No PCR or RDC Alert E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F Yes F No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of As subsidiaries or is the customer F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, r yes F No provide details below and contact Quality Mgt (Lat4m/Intl) a- the Regdatay Contra Group and notify Compliance immediately) G. Does the client or related party have any financial or other association / interactions r yes F No within countries or regimes sanctioned by the Office of Foreign Asset Control (OFAC)? ' H. Does the client or related party have any financial or other association/ interactions within high risk countries? r Yes F No I. Corporate Documentation Attached (Legal Entities Only) 17 yes F No F Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) r- y e s F No F Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: SDNY_GM_00053729 https://na4.salesforce.com/servle e CONFIDENTIAL - PURSUANT TO FED. R. Flit 0D9Di&eid=500600... PIDEMPAt 1/26/2014 DB-SDNY-0016553 EFTA (H) 164304 EFTA01295035 KYC Print Page 28 of 29 M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Moms (Signature) Paul Morns 10/2/2013 Office Director/Business Head: Brian M. Biggar (Signature) Brian M. Biggar 10/3/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lightbody Andrew Kist (Signature) Jacqueline Lighthody Andrew Kisz 1/23/2014 1/23/2014 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (St4TH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Denische Hank Private Wealth SDNY GM 00053730 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/seMet itic iEwtiAtoD,Di&eid=500600... -1/2672014 DB-SDNY-00 16554 EFTA_00 164305 EFTA01295036 KYC Print Page 29 of 29 Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals/ (I) (CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I con firm 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 (1) Client Facing Professionals (CFP 's) include: Relationship Managers. Wealth Advisors. Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York P2 SDNY_GM_00053731 hnpsl/na4.salesforce.com/servle trit,Eist,txt...d=500600... 1/26/2014 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016655 EFTA_00164306 EFTA01295037