EFTA Document EFTA01297577

KYC Print Page I of 17 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01704382 One sheet must be established 1. Relationship Details I Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:000004832SO Booking Center: New York Relationship Manager: Stewart OldfieId E l New PWM Relationship R Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Li Client Referral O RM Prospect O Intermediary/FIM Li Other Source (Cm, etc.) How Was the Client(s) Introduced? How long has the RM personally known the client? Please provide details e.g. name of referra source, how many years RM personally has known client, etc.): Jeffrey Epsten President of Gratitude America) is a current client of the bank. He and Darren Indyke reached out to Stew Oldfield on 12/23/2016 to open a checking account for Its newest entity, Prytanee LLC Does Deutsche Bank pay a retrocession or similar Ell Yes I W No compensation to a third party for the introduction of this relationship? (If yes, desenbo List all existing and new accounts involved in this relationship 1 Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 R Prytanee, LLC - Deposit 1/6/2017 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Darren Indyke Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): relationshi - list all accounts included in the relationshi Status : 6. Approved SDNY_GM_00060918 CONFIDENTIAL — PURSUANT TO FED. https://dbforcepb.my.salesforce o rtietriS epclifirtfAtl N30000000D9Di... 5/23/2018 0B-SDNY-0023743 EFTA_0017I430 EFTA01297577 KYC Print Page 2 of 17 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Prytanee, LLC - Deposit Acct. Number (if available): Account Manager: stewart oldfleld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? the purpose of this account is to managing the monthly expenses of the company Indicate from where the assets are expected to arrive? SA DB Group: Same Booking Center (indicate account number): 35269691 [1 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): 0 Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the per month)?: 0-5 inflows/outflows between 100k to 500k on a monthly basis account (indicate estimated number and volume What is the expected volume of assets and currency for the account approx. SO days after opening? 1000000 I Currency I usd What is the expected volume of assets and currency for the account approx. one year after opening? 1000000 I Currency I 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 patty 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. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). ..egal Iintitytif Description Source of Wealth required Parties related to this account AccountPIC Holder OwnerTrust Settlor of / Founder of Foundation Jltimate Beneficiabr Owner Signatory Full DOA _imitedr-inancial POA IntermediaryShareholder (FIM) Significant (>=25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or ndicate relationship between patties) 1 EA ytanee, LLPrC Ri. r [-- , 0 0 0 0 & 2 R. M Southern Trust Company, Inc. E -- El --' El K 0 0 0 50 3 2 Nee Pierre st L i i . L! i- . 0 0 0 so IS 4 0 R Jeffrey Epstein 0 K0 0 2 2 0 K 0 sole shareholder of Southern Trust Company, nc.;UBO of Southern Trust Company, Inc. which owns 50% of account holder; 5 0 0 Ddykarren In e 0 0 0 2 0 • 6 D Caroline Cami Sophi lle e Lang 0 0 0 2 2 0 O Grantor/Trustee of The Pierre TruSt;Grantor/UBO of The Pierre Trust which owns 50% of the account holder; & https://dbforcepb.my.salesforce CONFIDENTIAL — PURSUANT TO FED. tio SDNY_GM_00060919 atifirrAt N30000000D9Di 5/23/2018 DB-SDNY-0023744 EFTA_00171431 EFTA01297578 KYC Print Page 3 of 17 P7erd emnTean PP lo IR I D Binant I I I SONY_GM_00060920 CONFIDENTIAL - PURSUANT TO FED. https://dbforcepb.my.salesforce o loop Eept irmt N30000000D9Di... 5/23/2018 DB-SDNY-0023745 EFTA_00171432 EFTA01297579 KYC Print Page 4 of 17 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 Obzenship: USA Address of primary residence: utte Saint James Saint Thomas 00802 Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LIG Position/Tide/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas United States 00802 Is the individual a Politically Exposed Person (PEP)?(// Yes desente) Oyes R No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Fnendship, describe) O Family O Friendship R 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 Ye4desenbe) O Yes R NO If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: diem Place of Business: Other Location (specify): Date: c---, n ii "J O O O L.J r--, Li Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Summarize Source of Wealth: Eli Business Owner 1.1 Salary/Eamings II Investment O Inheritance/Gifts L_) Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior 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 Steams and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, 3. 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 his days at Bear Stearns and his financial management firms Estimated Annual Income (S): 10,000,000.00 Estimated amount of investable assets(g): S50 MM - 100 MM Estimated Net Worth($): 5500 MM + Amount of assets planned to invest with PWM($): Other Known Financial Institutions: https://dbforcepb.my.salesforce CONFIDENTIAL — PURSUANT TO FED. W) SDNY_GM_00060921 EttwAti N30000000D9Di 5/23/2018 OB-SDNY-0023746 EFTA _00171433 EFTA01297580 KYC Print Page 5 of 17 Institution: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: SDNY_GPil_00060922 Imps://dbforceph my.salesforcerhatatptaDENTIN_oi N30000000D9Di 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. RklI -C CA!Pr!e(e, DB-SDNY-0023747 EFTA 2)0171434 EFTA01297581 KYC Print Page 6 of 17 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren Indyke • 00000486405 Date of Birth: Country of Residence: USA Country of Obzenship: USA Address of primary residence: Profession/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tide/Rank: Address of employer: 575 Lexington Ave, 4th A Livingston NY United States 10022 Is the individual a Poltically Exposed Person (PEP)?(if Yes. describe) O yes R No To the best of your knowledge, is the individual related to an employee Of the DB group?(if Family or Fnendship, descnbe) O Family O Friendship RI None To the best of your knowledge, is the individual party to a non•banldng relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(i/ Yes elescnbe) O Yes R NO If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: stewart oldfield ilj O n 12/23/2016 -I O _1 ED O _I i .... r .; Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: Li Business Owner O Salary/Eamings O Investment 1.1 Inheritance/Gifts L...r Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated amount of investable assets(s): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00060923 CONFIDENTIAL - PURSUANT TO FED. https://dbforcepb.my. esforce o rrittrnEeptirrAt N30000000D9Di... 5/23/2018 DB-SDNY-0023748 EFTA_00171435 EFTA01297582 KYC Print Page 7 of 17 I Institution: I )Country: 1 Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00060924 https://dbforcepb.my.salesforce WIEepilfirfAt N30000000D9Di... 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. =Pei 1-•° DB-SDNY-0023749 EFTA_00171436 EFTA01297583 KYC Print Page 8 of 17 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Caroline Sophie Camille Lang • Date of Birth: Country of Residence: France Country of Citizenship: France Address of primary residence: Profession/Occupation: Contemporary Art Tax ID / SSN: Current Employer: Sothebys Position/Tide/Rank: Chairman Address of employer: United States Is the individual a Politically Exposed Person (PEP)?(if Ye$ describe) 1: Yes R No To the hest of your knowledge, is the individual related to an employee of the DB group?(if Family or Fnendskp, desaibe) 0 Family 0 Friendship R 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)?(i/ Ye4c/escribe) 0 Yes R No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client mace of Business: Other Location (specify): Date: 7 n ri "3 0 _I 0 LI ....1 'Wealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Attorney Summarize Source of Wealth: El Business Owner M Salary/Earnings 66Investment 0 Inheritance/Gifts Li 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.) The source of wealth for Caroline Lang derives from her employment as Chairman of Sotheby's Switzerland. Caroline Lang is internationally recognized for her In-depth knowledge of the art market and her longstanding expertise in Impressionist, Modem and Contemporary art. Appointed Chairman of the Swiss Department of Impressionist, Modern & Contemporary Art in 2012, this consummate polyglot has advised some of the most important collectors in Switzerland and worldwide. In November 2011, she played a decisive role in the New York sale of Abstraction-Figuration, an exceptional private collection of abstract works by Gerhard Richter and Max Ernst which realized a world auction record for a work by Richter at the time. Caroline Lang has also conducted major marathon auctions in Switzerland, the UK and Germany, including the historic week-long sales of works of art from Monrepos Castle in Ludwigsburg in 2000 and the Royal House of Hanover in 2005. Ms Lang also serves as an executive for Warner Brothers Inc,.Her annual income is approx. 450k. Estimated Annual Inco 950,000.00 Estimated amount of investable assets(s): $1 MM - 2 MM (5): Estimated Net Worth($): $1 MM - 2 MM Amount of assets planned to invest with PWM(5): https://dbforeepb.my.salesforce CONFIDENTIAL — PURSUANT TO FED. SDNY_GM_00060925 eptirrAti N30000000D9Di 5/23/2018 DB-SONY-0023750 EFTA_00171437 EFTA01297584 KYC Print Page 9 of 17 I I I Other Known Financial Institubons: Institution: Country: Bt. Assets Under Mgt: 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.): SONY_GM_00060926 littps://dbforcepb.my.salesforcear TIDENtiffAt 1N30000000D9Di... 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. . DB-SDNY-0023751 EFI'A_00171438 EFTA01297585 KYC Print Page 10 of 17 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Etienne Pierre Jean Binant • Date of Birth: Country of Residence: France Country of abzenship: France Address of primary residence: Profession/Occupation: Finance Tax ID / SSN: Current Employer: Prytanee LLC Position/Tide/Rank: Manager Address of employer: 6100 Red Hook Quarter B3 St ThomasUSVI United States Is the individual a Politically Exposed Person (PEP)?(if Yes. describe) Thies Ii NO TO the best of your knowledge, is the individual related to an employee Of the DB group?(if Family or Fnendship, desctibe ) 0 Family 0 Friendship R 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 Ye4descnbe) 0 Yes R NO If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Donde: Client Place of Business: Other Location (specify): Date: -1 n ri _.) 0 _3 _1 0 Li .. i Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: Li Business Owner 0 Salary/Eamings U Investment LI Inheritance/Gifts E Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (S): Estimated amount of investable assets(s): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my.salesforce CONFIDENTIAL — PURSUANT TO FED. MD SDNY_GM_00060927 ECNITITAtl N30000000D9Di 5/23/2018 0B-SDNY-0023752 EFTA_00171439 EFTA01297586 KYC Print Page 11 of 17 jr sbtution: I Country: IEst. Assets Under Mgt: I Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Prytanee, LLC - 00000550868 Type of Entity: :.--, L.1Foundabon/Assoctation - Trust J Company ,...., 0 Estate LJ Partnership Purpose of Entity: Private Investment n Philanthropic/Charitable 111 Commercial Type of Entity Other (specify): LLC Purpose of Entity Other (specify): Country of incorporation/registration: incorporation/registration: Incorporation USVI Date of / registration: 7/22/2016 %tacker Status: Determinabon Required Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter 83 St Thomas 00802 United States U.S. 11N/EIN: Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settJor and beneficiaries,etc.: This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinrty for art and decided to become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork. The signatories on this account will be: Jeffrey Epstein Darren Indyke Caroline Lang Etienne Binant Please indicate how ownership of the legal entity is reflected: LLC Agreement fEll 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 persons). This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork. The signatories on this account will be: Jeffrey Epstein Darren Indyke Caroline Lang Etienne Binant 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 Lill No 1;11 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: investment in artwork of up and coming artists Countries where business is transacted: USVI;Global Number of employees: 3+ 3D. Wealth Profile (Only for parties equinng source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/habilkies): https://dbforcepb.my.salesforce CONFIDENTIAL — PURSUANT TO FED. SDNY_GM_00060928 N30000000D9Di 5/23/2018 0B-SDNY-0023753 EFTA_0O17144O EFTA01297587 KYC Print Page 12 of 17 The source of wealth for this entity primarily comes from Jeffrey Epstein and Caroline Lang. Please revert to their individual sources of wealth for more details. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. (s): 1,000,000.00 Estimated investable assets ($): 51 MM - 2 MM Potential Amount to be invested with PWM (5): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Accoun Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00000483883 Type of Entity: 0 Foundation/Association E Trust Se Company 0 Estate [l] Partnership Purpose of Entity: Eil Private Investment U Philanthropic/Chartable U Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: US Virgin Islands Date of registr incorporation / ation: 11/18/2011 Woke, Status: Determination Required Volcker Flag: No ..„. Address (city, street, In" code): 6100 Red Hook Quarter B3 St Thomas, USVI 00802 United States U.S. TIN/EIN: 66-0779861 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revorabihty,settior and beneficlaries,etc.: Jeffrey Epstein is the sole shareholder of Southern Trust Please indicate how ownership of the legal entity is reflected: El Special attention: Bearer Shares - Indicate where shares are custothed: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). Jeffrey Epstein is the sole shareholder of Southern Trust 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 0 NO CZ Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consult and invest client funds and gain revenue based on fees and returns Countries where business is transacted: US 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): https://dbforcepb.my.salesforce CONFIDENTIAL — PURSUANT TO FED. SDNY_GM_00060929 EtkilfirliAt N30000000D9Di 5/23/2018 0B-SDNY-00237S4 EFTA_0017 1441 EFTA01297588 KYC Print Page 13 of 17 Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is 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 the fees associated with managing their clients assets Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit pa. ($): 1,500,000.00 Estimated investable assets (g): $2 MM - 5 MM Potential Amount to be invested with PWM (g): Other Known Financial Institutions: Institution: db Country: usa Est. Assets Under Mgt: Institution: Country: Est. assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Ent ies) Legal Entity Name: The Pierre Trust - Type of Entity: 0 Foundation/Association CZ Trust 0 Company 0 Estate ❑Partnership PuiP°se of Entity: PI D Private Investment Philanthroplc/Charitable 0 Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: USVI Date of incorporation / registration: 11/21/2016 Volcker Status: Determination Required Volcker Flag: No Address (city, street, post code): 3 rue du View Colombier, Paris 75006 France U.S. TIN/EIN: Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabikty,settior and beneficiaries,etc.: Grantor/trustee/beneficiary: Caroline Lang residing at 3 Rue Du Vieux Colombier 75006 Paris 06 France. Caroline Lang is beneficiary during her lifetime. Upon her death, her children become the beneficiaries:Anna Lea Elvire Laik and Rebecca Zoe Berthe Laik both residing at 3 Rue Du Vieux Colombier 75006 Pans 06 France. Please indicate how ownership of the legal entity is reflected: trust agreement 0 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/trustee/beneficiary: Caroline Lang residing at 3 Rue Du Vieux Colombier 75006 Paris 06 France. Caroline Lang is beneficiary during her lifetime. Upon her death, her children become the beneficiaries:Anna Lea Elvire talk and Rebecca Zoe Berthe Laik both residing at 3 Rue Du Vieux Colombier 75006 Paris 06 France. 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 El No RI Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: trust Countries where business is transacted: USVI;Globai Number of employees: 0 SDNY_GM_00060930 CONFIDENTIAL - PURSUANT TO FED. https://dbforcepb.my.salesforce o fragripEtclifirtfAt N30000000D9Di... 5/23/2018 0B-SDNY-0023755 EFTA 00171442 EFTA01297589 KYC Print Page 14 of 17 • 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balan e sheet or equivalent summary of assets/liabilities): The source of wealth for this trust derives from Ca cline tang. Please revert to her source of wealth for more details. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. ($): 1,000,000.00 Estimated investable assets ($): $1 MM - 2 MM Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00060931 https://dbforcepb.my.salesforce o iiiittgEep4firrAt N30000000D9Di... 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. OB-SDNY-0023756 EFTA_00171443 EFTA01297590 KYC Print Page 15 of 17 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Booking Center Eel NY 1 i , NY/Offshore L____ Offshore O Moderate Risk - High Risk Yoonsun Chung (Compbance Signature) U DB Employee _._.j DB Managed PIC Li DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided O Drivers License g Passport O National/State ID O other Checklist of names (individuals and/or entities) that were submitted for database ra B. oc Yes• No searches is attached C. Please indicate the results of the database searches performed RDC searches complete g yes O No negative results found O Yes g No KR checks complete R Yes O No negative results found Dyes Eli No OFAC checks complete R Yes O No negative results found O Yes g No 61$ searches complete (Lexis/Nexis, Facbva, Reuters, Dow DIA r - 2 Jones, D&B) Yes D No negative results found D Yes k.±.1 No Denial Orders checks complete g Yes Ow negative results found O Yes k No Martindale-Hubbell searched (Lawyers/Law Arms only) O yes Fz No negative results found O 'AN D No D. Please summarize any negative results from the database searches indicated above: To the best of your knowledge, has the client ever been convicted of a criminal r ) E l_J Yes ECA No offense? 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 Y4 O Yes g No provide details below and o'nfact Quality Mgt (LatAm/Int?) or the Regulatory Conte,/ &pup and notify Compoance anniethately) Does the client or related party have any financial or other association / G. interactions within Countries or regimes sanctioned by the Office of Foreign Assets rj Yes til No Control (OFAC)? Does the client or related party have any financial or other association/ interactions within high risk countries? O Yes U No 1. Corporate Documentation Attached (Legal Entities Only) EZ Yes I No K Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes • No tri Not Applicable K. If Lexls/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: https://dbforcepb .my. sal esforce CONFIDENTIAL — PURSUANT TO FED. MD SDNY_GM_00060932 EN Tim] N30000000D9Di 5/23/2018 OB-SDNY-0023757 EFTA_00171444 EFTA01297591 KYC Print Page 16 of 17 M. Case Comments Created By Date Comments Cynthia Rodriguez 1/10/117 11:42 PM Southern Trust Company is an existing client at DB. Their entity documents can be found in previously approved case 01082293. Cynthia Rodriguez 1/10/117 11:31 PM The Pierre Trust was incorporated in USVI but the grantor/b-ustee/bene is a foreign national. Therefore there is no tax ID. Cynthia Rodriguez 1/19/117 3:29 AM Per 08 internal tax team, the Pierre Trust would not require a tax ID because this trust has a foreign grantor owner. See attached email from Rich larossi. Cynthia Rodriguez 1/10/117 10:34 Recent PM research for Darren Indyke and Jeffrey Epstein can be found in case 01651789. Cynthia Rodriguez 1/10/117 11:33 pm Resolution for signing authority has been attached. Cynthia Rodriguez 1/11/117 2:25 MI See attached response from Darren Indyke regarding the TIN on the trust. ONSHORE APPROVALS Client Facing Professional (CFP): tern sohrab (Signature) tern sohrab 1/6/2017 Office Director/Business Head: Armen Brash (Signature) Armen Brash 1/6/2017 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Gwen Hill Yoonsun Chung (Signature) Gwen Hill Yoonsun Chung 1/19/2017 1/19/2017 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) SDNY_GM_00060933 CONFIDENTIAL - PU RSUANT TO FED. https://dbforcepb. m y. sal esforce o s rnpEeKtfirtfAt N30000000D9Di... 5/23/2018 DB-SDNY-0023758 EFTA_00 171445 EFTA01297592 KYC Print Page 17 of 17 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals) (I) (GP's) should establish and maintain business relationships only with persons who satisfy ourour high standards of suitabiliO4 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 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_00060934 https://dbforcepb.my.salesforce WIEepcifirfAt N30000000D9Di... 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. atniti 1-•° DB-SDNY-0023759 EFI'A_00171446 EFTA01297593