EFTA Document EFTA01295042

KYC Print Page 1 of 23 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : 01195100 Status : 7. Approved with Temporary Exception One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: I New York Relationship Manager: Paul Morris Relationship to PWM: 1:1 New PWM Relationship Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ONLY adding signers to account All signers have already been approved in previous KYC's. Please rush as this is a simple update. Darren Indyke was app oved in KYC 01133377 Harry Beller was added in approved KYC 01141308 How Was the Client(s) Introduced? How long has the RM personally known the client? F Client Referral IP RM Prospect Ir — Intermediary/FIN I F Other Source (C18, 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 client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at WMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his hinds over to Deutsche Bank Dos Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? r Yes I F NO (If Yes, describe). List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 r Southern Financial, LLC 8/19/2013 2 F Southern Financial, LLC 8/19/2013 3 F Southern Trust Company, Inc. 8/19/2013 4 r Southern Trust Company, Inc. 8/19/2013 S F Jeffrey Epstein 9/11/2013 6 F Jeffrey Epstein 9/11/2013 Who I the pnmary ontact person for the RM? (Note: This person needs to have signatory rights and/or Information right for the accounts.): Jeffrey Epstein Preferred method of contact(indIcate phone no., fax no., e-mail address, etc.): 340 775 2525 SDNY GM_00053739 CONFIDENTIAL a4 PURSUANT TO FED. R. https://na4.salesforce.com/servle e istriE1547fACL0D9Di&eid=500600... 4/-10/2014 DB-SONY-0016563 EFTA_00I643 I I EFTA01295042 KYC Print Page 2 of 23 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Fnancial, LLC Acct. Number (tfavailable). 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. To hold funds for the company. Indicate from where the assets are expected to arrive? 7 DB Group: Same Booking Center (indicate account number): 7 DB Group: Other Booking Cent (indicate DB location and account details): P. Other Institution (Indicate name & location): JPMorgan, NYC 7 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 2 inflows & outflows per month ranging from $1000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 150,000 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 this account AccountPIC Holder OwnerTrust Settler of / Founder of foundation slItimate Benefiaalor Owner Signatory-imitecFnancial Full POA POA IntermediarySharehoider (FIM) Significant (>=25%) Non-P1C entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between 'parties) 1 F F Jeffrey Epstein F F F F F F F Sole shareholder of Southern Trust; 2 F F Southern Finanual LLC F F F F F F F 3 F F Southern Trust Company, Inc. F r F F F F F 100 Southern Trust is the sole member of Southern Anneal and Jeffrey Epstein s the sole shareholder of Southern Trust; 4 F r- Darren Indyke r r r F F F F s F F Harry Beller F F F 7 F F F 6 F F Jeanne Brennan r r r F F F F SDNY_GM_00053740 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. AtRb) 1ip I''' E At0 DB-1SDNY-0016564 htt s://na4 , tep D9Di&eid=500600... 4/0/2014 EFTA_OOI 643 i 2 EFTA01295043 KYC Print Page 3 of 23 2. Account Ownership Summary Account Name: Southern Anancial, LLC 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)? Checking account to hold hinds for the company. Indicate from where the assets are expected to arrive? F 08 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): FY Other Institution (Indicate name & location): JPMorgan, NYC 7 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 10 inflows and 10 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? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 100,000 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 mother column. • Ahvay 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 AccounlEiC Holder OwnerTrust Settior of / Founder of Foundation _Iltimate Beneficiakor Owner Signatory Full POA _imitecRnancial °OA IntermediaryShareholder (FIM) Significant K> -25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between oartes) 1 F F Jeffrey Epstein F F F F F F r Sole shareholder of Southern Trust; 2 F F Southern Financial LLC F r F F (-- r 3 F F Southn Trust Compa erny, Inc. F F F F F F F 100 Southern Trust is the sole member of Southern Anancial and Jeffrey Epstein s the sole shareholder of Southern Trust; 4 F r Darren Indyke F F F F F F F 5 F F Harry Beller F F F F F F F 6 F F Jeanne Brennan F F r F F F r SDNY_GM_00053741 CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/serylet p R. t) ' I'' Ell At0 DB-SDNY-0016565 hu pit t D9Di&eid=500600... 4/10/2014 EFTA_00164313 EFTA01295044 KYC Print Page 4 of 23 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. 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)? Checking account. To hold funds for company Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F 06 Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): 3PM0rgan, NYC 7 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 10 inflows and 10 outflows per month ranging from $1,000 to 410,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 100,000 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 mother column. • Ahvay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Entitrof Description Source of Weakh required Parties related to phis account AccountlPIC Holder OwnerTrust Settler of / Founder of Foundation Ultimate Beneficialor Owner Signatory Full POA imitecFnancial *OA Intermediaryehareholder (FIM) Significant (>-25%) Non-Pic entity (indicate ownership Q''a) Other (please describe other roles and/or indicate relationship between oarbes) 1 F F Jeffrey Epstein F F F F F F F Sole shareholder of Southern Trust; 2 r r Southern Trust Company, Inc. F r- r F F F r 3 F F Darren indyke F F F F F F F 4 F F Harry Beller F F F F F F F s F F Jeanne Brennan F F F F F F F SDNY_GM_00053742 CONFIDENTIAL - PURSUANT TO FED. R. b) i ._, DB-SDNY-0016566 hups://na4.salesforce.com/serylet plifrffwripActoD9Di&eid=500600... 4/10/2014 EFTA_00164314 EFTA01295045 KYC Print Page 5 of 23 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. 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 funds for the company. 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 O8 location and account details): F Other Institution (Indicate name & location): JPMorgan, NYC 7 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 2 inflows & outflows per month ranging from 41,000 to 410,000 what is the expected volume of assets and currency for the account approx. 90 days after opening? Currency LSD What is the expected volume of assets and currency for the account approx. one year after opening? 150,000 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. • Ahvay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Entityof Description Source of Wealth required Parties related to his account AccountPIC Holder OwnerTrust Settior of / Founder of Foundation _Iltimate Beneficialor Owner Signatory Full POA _imitedflnancial °OA IntermediaryShareholder (FIM) Significant (>-25%) Non-PIC entity (indicate ownership Q/0) Other (please describe other roles and/or indicate relationship between parties) 1 F F Jeffrey Epstein F F F F F F F Sole shareholder of Southern Trust; 2 r r Southern Trust Company, Inc. F F r F F F r 3 F F Darren indyke F F F F F F F 4 F F Harry Beller F F F F F F F s F F Jeanne Brennan F F F F F r F SDNY_GM_00053743 CONFIDENTIAL - PURSUANT TO FED. R. Filb) 1 I ' DB-SDNY-0016567 Imps://na4.salesforce.com/senilet plififfElifflAt0D9Di&eid=500600... 4/10/2014 EFTA_OO164315 EFTA01295046 KYC Print Page 6 of 23 2. Account Ownership Summary Account Name: Jeffrey Epstein 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)? Checking account for Jeffrey Epstein's personal daily use. 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 08 location and account details): F Other Institution (Indicate name & location): JPMorgan Chase. 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 15 inflows and outflows per month r nging from 5100-510,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 100,000 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/unde ying Beneficial Owner(s). Legal Entityof Description Source of Weakh required lesrelated to p i a s account AccountPIC Holder OwnerTrust SettSor of / Founder of Foundation _Iltimate Beneficiabr Owner Signatory Full POA _imitedflnancial POA IntermediaryShareholder (FIM) Significant K>-25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between ,arbes) 1 F F Jeffrey Epstein F F F F F F F 2 F F Harry Beller F F F F F r r 3 F F Darren Indyke F F F F F F F SDNY GM_00053744 CONFIDENTIAL - PURSUANT TO FED. R. lutps://na4.salesforce.com/servlet AtririEtfrOpAtOD9Di&eid=500600... 4/-10/2014 DB-SONY-0016568 EFTA_00164316 EFTA01295047 KYC Print Page 7 of 23 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (ifavailable). 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 Jeffrey Epstein's personal funds. Indicate from where the assets are expected to arrive? F 08 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DE3 location and account details): F Other Insbtubon (Indicate name & location): JPMorgan Chase. 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 $20,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What Is the expected volume of assets and currency for the account approx. one year after opening? 200,000 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. • Nway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Entityof Description Source of Weakh required p i rtes related to s account AccountPIC Holder OwnerTrust Settior of / Founder of Foundation _Iltimate Benefiaabr Owner Signatory Full POA _imitedflnancial POA Intermedia (FIM) ignificant hareholder >-25%) -PIC tity indicate o) ership Other (please describe other roles and/or indicate relationship between ,arbes) 1 F F Harry Beller F F F F F F F 2 F F Jeffrey Epstein F F F F F F r- 3 F F Darren Indyke F F F F F F F SDNY_GM_00053745 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/serylet F R. Fin E t 1 DB-SDNY-00 16569 lut s://na4 IMPA 0D9Di&eid=500600... 4/0/2014 EFTA_00164317 EFTA01295048 KYC Print Page 8 of 23 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: Line Saint James Saint Thomas 00802 US Virgin Islands Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Financial LLC Posibon/Trde/Ftank: President Address of employer: 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- From/ship, 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— i 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: Chent Mvate Domicile: Bus Place of Business: Other Location (specify): Date: Paul Moms r r F 4/3/2013 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 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 r- Inheritance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ?rugs, 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, J. 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, which merged into Southern Financial LLC. All of his clients were anonymous except for the very wealthy businessman Leslie Werner. His wealth has come from his days at Bear Stearns and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets(S): $50 MM • 100 MM (5): Estimated Net Worth($): ;100 MM - 500 MM Amount of assets planned to invest with PVVM(g): 10,000.00 SDNY_GM_00053746 htt ri f IT D9Di&eid=500600... CONFIDENTIAL- PURSUANT TO FED. s://na4.salesforce.com/seryletR. Fit) P 4/0/2014 i1i '' E W ACL0 DB-1SDNY-0016570 EFTA_00164318 EFTA01295049 KYC Print Page 9 of 23 Other Known Financial Institutions: Institution: 3PMorgan Country: USA F.St. Assets Under Mgt: 20,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (mantal status, other family members, etc.): Single SDNY_GM_00053747 CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/servle R. DB-SDNY-0016571 htt e e FI E/TRAL 0D9Di&eid=500600... 4/10/2014 EFTA_00164319 EFTA01295050 K YC Print Page 10 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Harry Beller Date of Birth: Country of Residence: USA Country of Otizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Trde/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?(if Family a- Fneniship, 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— ' lv 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 Bus Other Location (specify): Date: Paul Moms v r r 10/21/2013 F 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: 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 Intieritance/Gifts 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.) Estimated Annual Income (S): 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 I Country: I I Est. Assets Under Mgt: SDNY GM_00053748 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforee.com/servlet AttliCiEWRACL0D9Di&eid=500600... 4/-10/2014 DB-SONY-0016572 EFTA_00164320 EFTA01295051 KYC Print Page 11 of 23 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_00053749 CONFIDENTIAL -PURSUANT TO FED. s://na4.salesforce.com/servle Pi R. Fle) 1 DB- 016573 -00 16573 htt e iriENTIACt0D9Di&eid=500600... 4/0/2014 EFTA_00164321 EFTA01295052 K YC Print Page 12 of 23 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 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tide/Rank: Address of employer: 575 Lexington Avenue, 4th Fl New York NY USA 10022 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?(rf 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— ' ho 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 F F 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 F 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(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_00053750 CONFIDENTIAL -PURSUANT TO FED. s://na4.salesforee.com/servlet R. Ate) I E DB-SDNY-0016574 htt piiriw Atom 1 rip pi&eid=500600... 4/0/2014 EFTA (H) 164322 EFTA01295053 KYC Print Page 13 of 23 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_00053751 Att https://na4.salesforce.com/servlet CONFIDENTIAL — PURSUANT TO FED. R. lici mpAED,Di&eid=500600 4/0/2014 DB-1SONY-0016575 EFTA_001 64323 EFTA01295054 K YC Print Page 14 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeanne Brennan Date of Birth: Country of Residence: USVI Country of Citizenship: Address of primary residence: Profession/Occupation: ffinance Tax ID / SSN: Current Employer: Southern Financial, LLC Position/Tide/Rank: Address of employer: 6100 Red Kook Quarter, B3 St, Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe) F Yes 17 No To the best of your knovAedge, is the individual related to an employee of the DB group?(if Family a- Fneniship, 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,desalbe) r• yes r— ' ib' 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: (lent 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: 38. 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 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 ($): 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_00053752 lut ir p CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/servletR. Filt) pi i Efl 1 ntAtoD,Di&eid=500600... 4/0/2014 DB- 016576 -00 16576 EFTA 00164324 EFTA01295055 KYC Print Page 15 of 23 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_00053753 CONFIDENTIAL — PURSUANT TO FED. .salesforce.com/serelet R. Fi t) DS-SONY-0016577 htt s://na4 FIBEMPAt 0D9Di&eid=500600... 4/10/2014 EFTA_001 64325 EFTA01295056 K YC Print Page 16 of 23 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Anancial LLC - 00000483882 Type of Entity: r Foundation/Association r Trust ft; Company r Estate r partne,ship Purpose of Entity: F Private Investment r Philanthropic/Charitable r commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: US Virgin Islands Date of incorporation / registration: 2/25/2013 Address (city, street, post code): 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: 66-0799192 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabil ty,settlor and benelicianes,etc.: Southern Trust Company Inc is the sole member of Southern Anancial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: 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 pawns). 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: This business is funded by Jeffrey Epstein's wealth. This company was formed to iold W. Epstein's personal wealth and invest in different ventures. This company nests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein Countries where business is transacted: US Virgin Islands Number of employees: 3 3D. Wealth Profile (Only for parties requinng source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. ($): 1,500,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be invested with PM ($): 300,000.00 Other Known Financial Institutions: Institution: I lFtelorgan I Cou ry: Country: I USA I Est. Assets Under Mgt: 1,000,000.00 SDNY_GM_00053754 htt s://na4.salesforce.com/servlet p Atb) Pi wripAtoD,Di&eid=500600... 4/10/2014 CONFIDENTIAL - PURSUANT TO FED. R. l'PI 1 -' DB- 016578 -00 16578 EFTA_00 I 64326 EFTA01295057 KYC Print Page 17 of 23 'Institution: I Institution: ' Country: Est. Assets Under Mgt: Country: Est. Assets Under Mgt: I I SDNY GM_00053755 CONFIDENTIAL — PURSUANT TO FED. R. https://na4.salesforce.com/servlet ArriEwropsektompi&eid=500600... 4/10/2014 DB-SONY-0016579 EFTA_001 64327 EFTA01295058 KYC Print Page 18 of 23 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00000483883 Type of Entity: r— Foundation/Association r Trust F Company F Estate F Partnership Purpose of Entity: F Private Investment r Philanthropic/Charitable r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: US Virgin Islands Date of incorporation / registration: 11/18/2011 Address (city, street, post code): 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin islands U.S. TIN/E1N: 66-0779861 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabl ty,setUor and beneflciaries,etc.: Please indicate how ownership of the legal entity is reflected: F Special attention: Bearer Shares - Indicate where shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (If not the same pesons). 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 F No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consulting Services relying on Financial and Biomedical algorithms. Southern Trust $ a private consulting company that invests the assets of their clients and gets their revenue from the return of these Investments. Southern Trust invests In different portfolios catered to their clients and makes their revenue based on the returns and he fees associated with managing their clients assets Countries where business is transacted: VS Virgin Islands Number of employees: 4 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): Consult and Invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. ($): 1,500,000.00 Estimated investable assets ($): $2 MM - 5 MM Potential Amount to be invested with PINM ($): 300,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 2,000,000.00 Institution: Country: Est. Assets Under Mgt: SDNY_GM_00053756 CONFIDENTIAL - PURSUANT TO FED. .salesforce.com/servlet pl R. Filt) 1 DB- 016580 -00 16580 htt s://na4 e iciEtnntALD,Di&eid=500600... 4/10/2014 EFTA (H) 164328 EFTA01295059 KYC Print Page 19 of 23 insdtlitbn: I CcluntTY: IEst Assess Under Mgt I SDNY_GM_00053757 hups1/na4.salesforce.com/servle pliBENSTOAtD9Diaceid=500600... 4/10/2014 CONFIDENTIAL - PURSUANT TO FED R. AL ' I-'° DB-SDNY-0016581 EF1'A_00164329 EFTA01295060 KYC Print Page 20 of 23 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center P. NY P NY/Offshore F Offshore P Moderate Risk it.: I- High Risk Janice Franldin (Compliance Signature) DB Employee DB Managed PIC 013 us Trustee/Co-Trustee F Bearer Shares J 4. Attachments A. Type of Photo ID Provided 57 Drivers License F Passport F National/State ID F Other Checklist of names (individuals and/or entitles) that were submitted for database B. F Yes I— No searches s attached C. Please indicate the results of the database searches performed RDC searches complete r Yes r No negative results found F Yes F No PCR checks complete F Yes r- No negative results found r yes r NO OFAC checks complete F Yes r" No negative results found r yes F NO BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes r- No negative results found I— Yes F No D&B) Denial Orders checks complete I. 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 vest— No Please summarize any negative results from the database searches indicated above: DARREN INDYKE: Approved in KYC #01133377 HARRY BELLER: Approved in ICYC #01133624 JEANNE BRENNAN: Jeanne was previously approved in KYC #01141315 JEFFREY EPSTEIN: RDC Alert *I -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris PCR Alert #1/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media 0. No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our client. FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. All Negative Media is our client. He has been cleared of posing a repulabonal risk as shown by the NIL Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached SDNY_GM_00053758 CONFIDENTIAL- PURSUANT TO FED. s://na4.salesforce.com/servle R. Ate) 1 DB- 016582 -00 16582 htt PfiriEtritAt0D9Di&eid=500600... 4/0/2014 EFTA 00164330 EFTA01295061 KYC Print Page 21 of 23 Court Cases are dosed E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 17 yes r- No 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 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 (Latelm/Intl)or the Regciatay Control Group and nobly Compliance immediately) Does the client or related party have any financial or other association / interactions F G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? r yes No H' the client arelated party have any financial or other association/ interactions r yes F No " within high risk countries? I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable 1 Undisclosed Principal Form Complete (Intermediaries Only) F Yes 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_00053759 CONFIDENTIAL- PURSUANT TO FED. s://na4.salesforce.com/servlet R. AtPl e) 1i l'-' DB- 016583 -00 16583 htt e r EtetACE1D 9 D i&eid=500600... 4/10/2014 EFTA_00164331 EFTA01295062 KYC Print Page 22 of 23 M. Case Comments Created By Date Comments Gwen Hill 3/28/2014 10:45 Risk Calculator located in KYC #1082293. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morris 2/24/2014 Office Director/Business Head: Brian M. Biggar \(Signature) Bnan M. Biggar 2/24/2014 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Gwen Hill Janice Franklin (Signature) Gwen Hill Janice Franklin 3/28/2014 3/28/2014 LATAM/INTERNATIONAL APPROVALS Cient Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (Slim): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) SDNY_GM_00053760 n CONFIDENTIAL s://na4 PURSUANT TO FED. .salesforce.com/servl R. e e ppriEwropAtoD,Di&eid=500600... 4/ DB10/2014 e) , - -SDNY-0016584 EFTA_00164332 EFTA01295063 KYC Print Page 23 of 23 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professional)), serve the interests of its clients. To do so, Client Facing Professionalsl(1) (CFPs) should establish and maintain business relationships only with persons who sail* our high standards qf suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CPR It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (i) Client Facing Professionals (CFP :5) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche Bank Americas New York VA SONY_GM_00053761 Imps1/864.salesforce.com/servle f itrEjElfrpACE/D9Diateid=500600... 4/10/2014 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016585 EFTA_00164333 EFTA01295064