EFTA Document EFTA01295581

KYC Print Page 1 of 29 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01344537 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: I New York Relationship Manager: Paul Morris Relationship to PWM: F New PWM Relationship " Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Update of KYC #01133113. Trustees have changed How Was the Client(s) Introduced? How long has the RM personally known the dient? r Client Referral 17 RM Prospect rInterrnediary/FIM r Other Source (C18, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein/Butterfly Trust are current clients of the Bank. Does Deutsche Bank pay a retrocession or similar compensation to a third party for the Introduction of this relationship? F Yes F No (If yes, descnbe). list all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 F Butterfly Trust - Checking 10/9/2013 2 F Butterfly Trust -- Money Market 10/9/2013 Who Is the primary ontact person for the RM? (Note: This person needs to have signatory rights and/or Information right for the accounts.): Harry Beller Preferred method of contact(Indicate phone no., fax no., e-mail address, etc.): 212 564 5900 Status : 6. Approved SDNY_GM_0005673B Imps://dbforeepb.my.salesforeec UANT TO FED. R r n asgviettpAts130000000D9Di&ei ... 9/9/2015 CONFIDENTIAL - PU RS PorP. ate) I DB-SONY-0019562 EFTA_00167308 EFTA01295581 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? 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. • Abway describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entityof Description Source of Weakh required Parties related to pis account AccountPIC Holder OwnerTrust Settler of / Founder of •:ouriliation slItimate Beneficrabr Owner Signatory Full POA imitecFnancial 'OA IntermediaryShareholder (FIM) Significant (>=25%) Non-P1C entity (indicate ownership 0/a) Other (please describe other roles and/or indicate relationship between iarties) 1 F F Jeffrey Epstein F F F F F F F Grantor; 2 F F Butterfly Trust F F F F F F F 3 F F Harry Beller F F F F F F F Trustee:; 4 F F Enka Kellerhals r F F r F F F Trustee:; 5 F F F F F F F F F Beneficiary; E r r 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 r r Beneficiary; 9 F F Ghislaine Maxwell F F F F r F F Beneficiary; SDNY_GM_00056739 littps://dbforeepb.my.salesforeeceeNOREettpe130000000D9Di&ei CONFIDENTIAL - PURSUANT TO FED. R. IleeP. DB-SDNY-00 19563 EFTA_00I 67309 EFTA01295582 KYC Print Page 3 of 29 krilr Ir V V V V I IBeneficiary; SDNY GM_00056740 Intps://dbforcepb.my.salesforceceeNbasPlaEratpfts130000000D9Di&ei... 979/2015 CONFIDENTIAL - PURSUANT TO FED. R. %If PAM ' Da-SDNY-0019564 EFTA_001673 I EFTA01295583 KYC Print Page 4 of 29 2. Account Ownership Summary Account Name: Butterfly Trust -- Money Market Acct. Number Of avallab.eet. 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? 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 appropnate 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 AccountPIC Holder OwnerTrust Settior of / Founder of Foundation Jftimate Beneficial:or Owner Signatory_imitecRnancial Full POA °OA Intermediary5hareholder (FIM) Significant 0.-25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between 'attics) 1 F F Jeffrey Epstein F F F F F F F Grantor; 2 F r Butterfly Trust F F F F F F F 3 F F Harry Beller F F F F F F F -rrustee:; 4 F F Enka Kellerhals F F F F F F F Trustee:; 5 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 Gaisiaine Maxwell F F F F F F F Beneficiary; 10 F F F F F F F r F Beneficiary; SDNY_GM_00056741 Imps://dbforeepb.my.salesforce.ceeNbasgvieENTIK0L130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. ReP. ' DB-SONY-0019565 EFTA_00 I 673 I EFTA01295584 KYC Print Page 5 of 29 SDNY_GM_00056742 https://dbforcepb.my salesforce.~ N30000000D9Di&ei... 9/9/2015 CONFIDENTIAL — PURSUANT TO FED. R.VRITerttl eEtfil9Nt DB-SDNY-0019566 EF1'A_00167312 EFTA01295585 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 - 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 LLC Positionifide/Ftank: President Address of employer: 6100 Red Hook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if Yes desaibe) Yes F No To the best of your knowledge, is the individual related to an employee of the D43 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 Ves,descnbe) ri yes .— ' P0 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 Businez: Place Other Location (specify): Date: Paul Moms r r F 9/13/2013 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 partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Summarize Source of Wealth: 17 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 ?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 partner 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 ($): 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): 5,000,000.00 Other Known Financial Institutions: SDNY_GM_00056743 Imps://dbforeepb.my.salesforeerIORIESNoTIKOLI30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. %VP. BM I DB-SDNY-00 19567 EFTA_00I 67313 EFTA01295586 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_00056744 Imps://dbforeepb.my.salesforee FED. RtAlbasgviDENTIACt130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO . beP.13(b) ' DB-SD -00 19568 EFTA_00167314 EFTA01295587 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: Ghislaine Maxwell - Date of Birth: Country of Residence: Country of Citizenship: Address of primary residence: c o Profession/Occupation: Tax, ID / SSN:Rank: Current Employer: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) ryes F No To the best of your knowledge, is the individual related to an employee of the DB group?(dFamtly 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) rYes 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: Client Private pomiale: 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 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 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: Country: Est. Assets Under Mgt: SDNY_GM_00056745 Imps://dbforeepb.my.salesforee.crisPIETIK0LN30000000D9Di&ei... 9/9/2015 CONFIDENTIAL — PURSUANT TO FED. R. IWP. te) ' DB-SDNY-00 19569 EFTA_00167315 EFTA01295588 K VC 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_00056746 littps://dbforcepb.my.sale UANT TO sforeectAkisPICeopp 1/401\130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PU RS FED. R ItoePAN DB-SDNY-00 19570 EFTA_00167316 EFTA01295589 KYC Print Page 10 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 Profession/Occupation: Tax, ID / SSN:Ftank: Current Employer: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe) 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 t- i t.' 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 Inheritance/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($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I Country: I I Est. Assets Under Mgt: SDNY_GM_00056747 Intps://dbforcepb.my.salesforeecrIORDIENTIKOL130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. neeP. DB-SONY-0019571 EFTA_00167317 EFTA01295590 KYC Print Page 11 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_00056748 littps://dbforcepb.my.salesforce R .ctAkisPlaBlpp 1/41\130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. IleePAN ' DB-SDNY-0019572 EFTA_00I 67318 EFTA01295591 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: Date of Birth: Country of Residence: Country of Citizenship: Address of a residence: o Profession/Occupation: Tax, ID / SSN:Ftank: Current Employer: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe) F Yes F No To the best of your knovAedge, is the individual related to an employee of the DB group?(If Family or Frenarship, 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 I - V " 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: 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: r- Business Owner F Salary/Eamings F Investment F Inheritance/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 (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_00056749 littps://dbforeepb.my.salesforeerkisPIDENTIAL30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. ReP. kb) ' DB-SDNY-00 19573 EFTA_00167319 EFTA01295592 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_00056750 Imps://dbforeepb.iny.salesforee FED. RtAkisPIEettopp 1/401N30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO . ReP.IM ' DB-SDNY-00 19574 EFTA 00167320 EFTA01295593 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 Profession/Occupation: Tax ID / SSN:Ftank: Current Employer: 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- 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 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 r 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: r Business Owner F Salary/Earnings F Investment F innentance/Girts 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 (S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00056751 Imps://dbforeepb.my.sale UANT TO sforee e eNbasgvicetpAti30000000D9Di&ei ... 9/9/2015 CONFIDENTIAL - PU RS FED. R. %els. tb) ' DB-SDNY-00 19575 EFTA_00167321 EFTA01295594 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_00056752 Intps://dbforcepb.my.salesforeeceeNbasPIDENTIK0L130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R ItoeP. ' DB-SD -00 19576 EFTA _00167322 EFTA01295595 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: Address of Orna ry residence: c o Profession/Occupation: Tax ID / SSN:Rank: Current Employer: 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?(rf 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 r— 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 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 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 (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_00056753 Imps://dbforeepb.my.salesforee.cee-MORIESNoTIKOL130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. ileeP.W ' DB-SONY-0019577 EFTA_00 167323 EFTA01295596 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_00056754 littps://dbforeepb.my.salesforeeceeNORDENTIAL30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. IWP.B(b) ' DB-SDNY-00 19578 EFTA 00167324 EFTA01295597 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 Profession/Occupation: Tax ID / SSN: Current Employer: Positionifide/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r- Yes 17 No To the best of your knovAedge, is the individual related to an employee of the DB group?(if Family a - Fnendstv, 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— 1 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 Businez: Place Other Location (specify): Date: r 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: 35. Wealth Details (Only for parse requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: r Business Owner F Salary/Eamings F Investment F Inheritance/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 (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 1Country: I I Est. Assets Under Mgt: SDNY_GM_00056755 littps://dbforeepb.my.salesforeeceeWsPlaBaopAts130000000D9Di&ei ... 9/9/2015 CONFIDENTIAL — PURSUANT TO FED. R Roils. 13(b) ' DB-SDNY-00 19579 EFTA 00167325 EFTA01295598 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_00056756 littps://dbforeepb.my.salesforcerkisRaEraoTIK0L130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. IWP. ' DB-SDNY-00 19580 EFTA (H) 167326 EFTA01295599 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: Harry Beller - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Tide/Rank: 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 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 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: 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: r- Business Owner F Salary/Eamings F Investment F Inhentance/Gifts F Oter: 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: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00056757 Intps://dbforeepb.my.sale UANT TO sforce.ctAllbasgvIDIENTIK0L130000000D9Di&ei ... 9/9/2015 CONFIDENTIAL - PU RS FED. R ItotfP. 13M DB-SONY-0019581 EFTA_00I 67327 EFTA01295600 KYC Print Page 21 of 29 Institution: Instituoon: 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_00056758 littps://dbforcepb.my.salesforeerkisPIDENTIAL30000000D9Di&ei ... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. ReP. BM I DB-SDNY-0019582 EFTA_00 167328 EFTA01295601 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: Enka Kellerhals - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Attorney Tax ID / SSN: Current Employer: Kellerhals Ferguson Kroblin PLLC Position/Tide/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?(If Family a - Fnendsivp, 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 '— 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 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($): Other Known Financial Institutions: Institution: !Country: I I Est. Assets Under Mgt: SDNY_GM_00056759 Intps://dbforeepb.my.sale UANT TO sforce.crhilsPIDENopp 1/40EN30000000D9Di&ei ... 9/9/2015 CONFIDENTIAL - PU RS FED. R. IWP. 13(b) DB-SONY-0019583 EFTA 00167329 EFTA01295602 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_00056700 Imps://dbforcepb.my.salesforcerkisPlaBWilp 1/401\130000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R aril. a(b) I DB-SDNY-00 19584 EFTA_00167330 EFTA01295603 K VC Print Page 24 of 29 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (Fo! al! Legal Enutres) Legal Entity Name: Butterfly Trust - Type of Entity: — Foundation/Association F Trust r Company .:— Estate 1— 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/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, inckide Information about revocalat ty,settior 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 descnption 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 nvatments 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.($): Estimated net profit p.a. ($): Estimated investable assets ($): $5 MM - 10 MM Potential Amount to be invested with PWM ($): 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_00056761 Imps://dbforcepb.my.salesforce.ceeNbasPIDENTIAL30000000D9Di&ei ... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. ReP. ' DB-SDNY-00 19585 EFTA_00I 67331 EFTA01295604 KYC Print Page 25 of 29 Institution: 'Country: I I Est. Assets Under Mgt: I I SDNY_GM_00056762 https://dbforcepb.my.salesforce.caA DENoT 30000000D9Di&ei ... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R.VRIatri DB-SDNY-0019586 EFTA_00167332 EFTA01295605 KYC Print Page 26 of 29 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center F NY F Nwoffshore F Offshore c a . isk Moderate 77 High Risk Gwen Hill (Compliance Signature) F DB Employee F DB Managed PIC F De 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 entitles) 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 F Yes F No OFAC checks complete F Yes r No negative results found F yes F No 8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, .--- iv yes F No negative results found F Yes F No OW) Denial Orders checks complete F Yes r No negative results found F Yes F 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: 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. No court cases JEFFREY EPSTEIN: Previously approved KYC #:01082293 & 01121718 All negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed HARRY BELLER: No negative media No court cases ERIKA KELLERHALS: D. No negative media No court cases GHISLAINE MAXWELL: No PCR or RDC alerts No KR or RDC alerts No PCR or RDC alerts Attached AML Clearance Attached AML Clearance SDNY_GM_00056763 Imps://dbforeepb.my.sale UANT TO sforeeceeMhasPlippENTIK0LN30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PU RS FED. R. Rot.15.14) ' DB-SONY-0019587 EFTA_00167333 EFTA01295606 K YC Print Page 27 of 29 No PCR or RDC Alert E. To me best of your knowledge, has the client ever been convicted of a criminal offense? 17 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 subsidiaries? (If Yes, r Yes F No provide details below and contact Quality Mgt (Lat4m/IntVor the Regulatory Control Group and notify Compliance immediately) Does the client or related party have any financial or other association / interactions r F G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Yes No H. Does the client or related party have any finandal or other assoclabon/ interactions within high risk countries? r Yes F No I. Corporate Documentation Attached (legal Entities Only) F Yes r No r Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) F Yes F No F Not Applicable K. If Lexis/Nexis Search Resuks, Corporate Documents or Other Supporting Documentation is not In English, please prcMde an English summary of the nature/contents of the non•English Documentation: SDNY_GM_00056764 Imps://dbforeepb.my.salesforce.ctAkisPIDENoppel30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R. ItorP. kb) ' DB-SDNY-00 19588 EFTA_00I 67334 EFTA01295607 KYC Print Page 28 of 29 [to records to display. M. Case Comments ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 2/10/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimbeily Hart 2/10/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Yocnsun Chung Gwen Hill (Signature) Yoonsun Chung Gwen Hill 2/11/2015 2/11/2015 IATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head rS ilTM)/Sub-Market Team Head MTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth SDNY_GM_00056765 littps://dbforcepb.my.salestbree e eNbasgviDENTIK0LN30000000D9Di&ei... 9/9/2015 CONFIDENTIAL — PURSUANT TO FED. R. IWP.I3tb) ' DB-SDNY-00 19589 EFTA_00167335 EFTA01295608 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 confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers, Client Managers. etc. Deutsche Bank Americas New York SDNY_GM_00056766 https://dbforcepb.my.salesforce.caA N30000000D9Di&ei... 9/9/2015 CONFIDENTIAL - PURSUANT TO FED. R.15RifstrittleEtfilekt DB-SDNY-0019590 EFTA_00167336 EFTA01295609