EFTA Document EFTA01295555

KYC Print Page 1 of 13 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01346733 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Morris Relationship to PWM: F New PWM Relationship F Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: How Was the Client(s) Introduced? How long has the RM personally known the client? P. Client Referral F RM Prospect F Intermediary/FIM r- Other Source (06, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein (President of Gratitude America) is a current client of the Dank Does Deutsche Bank pay a retrocession or similar compensation to a third party for the Introduction of this relationship? F Yes F No (lf Yes, descnbe) List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) I F Gratitude America, Ltd 2/18/2015 2 F Gratitude America, Ltd 2/18/2015 Who Is the pnmary ontact 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., email address, etc.): 212 971 1314 Status 6. Approved SDNY_GM_00056712 Imps://dbforeepb.iny.salesforcec UANT TO FED. R tAkisPinetTIKOL130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PU RS RoeP.I3M ' DB-SONY-0019536 EFTA _00167282 EFTA01295555 KYC Print Page 2 of 13 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Gratitude America, Ltd 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 and earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): DB F DB Group: Other Booking Center (indicate DB location and account details): r Other Institution — (Indicate name & location): 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 1-3 inflows and outflows per month ranging from $10,000 to $100,000 What is the expected volume of assets and currency for 100000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100000 Currency USD the account approx. one year after opening? 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). legal Description AccoureIC Settlor of Ultimate Signatory..imitedFnancial Significant Entitynf Source Holder OwnerTrust / Beneficraor Full POA ntermediary6harehoider of Wealth =cinder of Owner POA ,FIM) K>=25%) required l'ouridabon Non-piC entity (indicate Other (please describe other roles and/or indicate parties related to s account ownership %) relationship between parties) 1 F F Darren Indyke F F F F F F F 2 F F Jeffrey Epstein F F F F F F F 3 F F Gratitude America F F F r r r r SDNY_GM_00056713 Intps://dbforcepb.my.salesforeeceeNbasPICetopAt130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PU RSUANT TO FED. R ReP.a(b) I DB-SONY-0019537 EFTA_001 67283 EFTA01295556 KYC Print Page 3 of 13 2. Account Ownership Summary Account Name: Gratitude America, Ltd 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 deal with the day-to-day running of the foundation Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): DB 7 DB Group: Other Booking Center (indicate DB location and account details): F Other Insbtubon - (Indicate name & location): 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 10-20 inflows and outflows per month ranging from $10,000 to $100,000 What is the expected volume of assets and currency for 100000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100000 Currency USD the account approx. one year after opening? Please list all parties related to the account For each patty: • 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 Description AccountPlC Settior of Ultimate Signatory_imitedflnancial Significant Entityof Source Holder OwnerTrust / Benefit:100r Full POA Intermediary6harehoider of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-pic entity (indicate Other (please describe other roles and/or indicate parties related to s account ownership %) relationship between parties) 1 7 F Darren Indyke r r r F F F F 2 r F Jeffrey Epstein F r F F F r r 3 F F Gratitude Amenca F r r F F F F SDNY_GM_00056714 Intps://dbforeepb.my.salesforeecrhasPIDEopei30000000D9Di&ei... 7/3/2015 CONFIDENTIAL — PURSUANT TO FED. R. ItorP. ' DB-SDNY-0019538 EFTA 00167284 EFTA01295557 KYC Print Page 4 of 13 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: Current Employer: Southern Financial 11C Position/fide/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 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(If Family or 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 Fo 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 Dom Private icile: Client of Businez: Place Other Location (specify): Date: Paul moms r r F 2/4/2015 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 parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments 17 Business Owner F Salary/Eamings 7 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 theft 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 4): 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: SDNY_GM_00056715 Intps://dbforeepb.my.sale UANT TO sforeectlbasPintENopp 1/40L130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PU RS FED. R. IToeP. DB-SDNY-00 19539 EFTA_00I 67285 EFTA01295558 KYC Print Page 5 of 13 Institution: De Country: USA Est. Assets Under Mgt: 330,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00056716 littps://dbforeepb.my.salesforeecr OPIDETIAL130000000D9Di&ei... 7/3/2015 CONFIDENTIAL — PURSUANT TO FED. R. Itot!PAN ' DB-SDNY-00 19540 EFTA (()167286 EFTA01295559 KYC Print Page 6 of B One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (fix all parties) Individual's Name: Darren Indyke - 0001)0486405 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 Livingston NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(If Family or Friendship, 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 '— to 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 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: 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 F Cther: Further Describe Source of Wealth /Detail the history of vealth 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 ($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Instihmon: I 1Country: I I Est. Assets Under Mgt: SDNY_GM_00056717 Imps://dbforcepb.my.salesforcec FED. RtAlbasPIDENTIAL30000000D9Di&ei CONFIDENTIAL — PURSUANT TO Iliot!P. tb) ' DB-SDNY-0019541 EFTA_00I 67287 EFTA01295560 KYC Print Page 7 of 13 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_00056718 littps://dbforcepb.tny.salesforeeceeNORDIENTIKOL130000000D9Di&ei... 7/3/2015 CONFIDENTIAL — PURSUANT TO FED. R. att. BM I DB-SDNY-00 19542 EFTA_00I 67288 EFTA01295561 KYC Print Page 8 of 13 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: Gratitude America - 00000499760 Type of Entity: F Foundation/Association r Trust r Company F Estate F Partnership Purpose of Entity: F Private Investment F Philanthropic/Charitable r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: USVI Date of incorporabon / registration: 4/25/2012 Address (city, street, post code): 6100 Red Hook Quarter, B3 St. Thomas 00802 USVI U.S. TIN/E1N: 66-0789697 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocatil ty,settlor and beneficiaries,etc.: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Erika Kellerhals is Secretary Please indicate how ownership of the legal entity is reflected: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Erika Kellerhals is Secretary F Special attention: Bearer Shares - Indicate where shares are custodied: Desaibe the chain from the direct owner of the entity to the ukimate beneficial owner (if not the same persons). 501(c)3 foundation. Jeffrey Epstein S president, Darren Indyke is treasurer and Erika Kellerhals is Secretary 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: The foundation has not yet started distributing funds and is still determining what endeavors they will support. They hope to support a broad range of efforts including, but not limited to, education, science, research, etc. Countries where business is transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e g balance sheet or equivalent summary of assets/liabilities): The foundation is to be funded by Jeffrey Epstein Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets (5): 52 MM - 5 MM Potenbal Amount to be invested with PWM (5): 200,000.00 Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00056719 Intps://dbforeepb.my.salesforce.c UANT TO FED. R tAlbasPlEettpA0L130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PU RS ItorP. DB-SONY-0019543 EFTA_00I 67289 EFTA01295562 KYC Print Page 9 of 13 SDNY_GM_00056720 http://dbforcepb.my.salesforce.aA N30000000D9Di&ei.•• 7/3/2015 CONFIDENTIAL - PURSUANT TO FED. R.15ReasCOEN31181/41- DB-SDNY-0019544 EFTA_00167290 EFTA01295563 KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B elationship Name SOUTHERN FINANCIAL RELATIONSHIP long Center F NY F NY/Offshore F Offshore i— k s Moderate F High Risk Yoonsun Chung (Compliance Signature) 7 D8 Employee F DB Managed PIC 7 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 7 Other Checklist of names (individuals and/or entitles) that were submitted for database B. F Yes F No searches s attached C. Please indicate the results of the database searches performed RDC searches complete F Yes F No negative results found r- Yes F NO PCR checks complete F yes F No negative results found E yes F No OFAC checks complete F Yes 7 No negative results found F resF NO BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes r- No negative results found F Yes F No D82) Denial Orders checks complete F Yes r No negative results found r Yes I3 NO Martindale-Hubbell searched (Lawyers/Law Firms only) F Yes F No negative results found F yes F No Please summarize any negative results from the database searches indicated above: GRATITUDE AMERICA: No negative media No court cases DARREN INDYKE: Negative media mentions his name as an owner of a building. The negative media is not about him individually but about the others D. mentioned. No court cases JEFFREY EPSTEIN: Previously approved KYC 0:01082293 & 01121718 All negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed E. To the best of your knowledge, has the client ever been convicted of a cnminal 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 its subsidiaries or is the customer F. threatening litigation against Deutsche Bank AG or any of Its subsidianes? (If Yes, F Yes F No provide details below and contact Quality Mgt (tat4m/Intl) or be Regulatory Control Group and notify Compliance immediately) Does the client or related party have any financial or other association / interactions r.— yes F No G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' „. Does the client or related party have any financial or other association/ interactions r- yes F No " within high risk counties? I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Appiicable SDNY_GM_00056721 Imps://dbforcepb.my.salesforeecrisPIDENorKts130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PURSUANT TO FED. R. ItorP. kb) ' DB-SDNY-0019545 EFTA_00167291 EFTA01295564 KYC Print Page II of 13 1 Undisclosed Principal Form Complete (Intermediaries Only) r Yes F.' No 17 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/content of the non-English Documentation: SDNY_GM_00056722 littps://dbforeepb.my.salesforeeceNORIDETIKOLs130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PURSUANT TO FED. R. RoeP. ' DB-SDNY-00 19546 EFTA ((1167292 EFTA01295565 KYC Print Page 12 of 13 /4o records to display. M. Case Comments ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morris 2/24/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 2/26/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: G. Hill o/b/o M. Crawford Yoonsun Chung (Signature) G. Hell o/b/o M. Crawford Yoonsun Chung 2/27/2015 2/27/2015 LATAM/ INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (St4TH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) PR/ VATE WEALTH MANAGEMENT POLICY STATEMENT: Ikuische Hank Private Weahh SDNY_GM_00056723 Intps://dbforeepb.my.salesforeec UANT TO FED. R eeNORDIENTIKOL130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PU RS ItorP.B(b) I DB-SDNY-00 19547 EFTA_OOI 67293 EFTA01295566 KYC Print Page 13 of 13 Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing ProfessionalsI(I) (CFP's) should establish and maintain business relationships only with persons who 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 confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the chent(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 Mongers, etc. Deutsche Bank Americas New York SDNY_GM_00056724 https://dbforcepb.my salesforce.caA N30000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PURSUANT TO FED. R.VRIffeltirEPE DB-SDNY-0019548 EFTA_00167294 EFTA01295567