EFTA Document EFTA01298740

KYC Print Page 1 of 23 DB PWM GLOBAL KYC/NCA: PART A KYC Case * One sheet must be established per relationshi - list all accounts included in the relationshi I. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELAllONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Oldfield Li New PWM Relationship RI Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: "* 2018 Periodic Review *** Last Approved KYC e - LSJE LLC - 1790820; Southern Financial LLC - 1790655 RI Client Referral U RM Prospect 0 Intermediary/FIM EJ Other Source (C18, etc.) How Was the Client(s) Introduced? How long has the RM personally known the dient? Please provide details (e.g. name of referral source, how many years RM personalty has known client, etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this relationship.. Does Deutsche Bank pay a retrocession or similar LI Yes Li) No compensation to a third patty for the introduction of this relationship? (If Yes, desalbel List all existing and new account Involved In this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 pj 2/25/2015 ism 'lc - 2 Southern Financial LLC 2/27/2017 3 f. 8/26/2013 Southern Financial LLC - Who is the primary contact person for the PM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Darren K. Indyke Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): Status : 6. Approved SDNY_GM_00063924 Intps://dbforcepb.my.salesforce.c‘4171,PWIDIEWRAt N30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0026749 EFTA_OOI 74430 EFTA01298740 K YC Print Page 2 of 23 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: LSJE 11C 1,:ct. Number (if adatVey. Account Manager: Stewart (Weld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of the account is to manage the monthly expenses of the company. Indicate from where the assets are expected to arrive? g6 DB Group: Same Booking Center (indicate account number): Existing 0 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution — (Indicate name & location): El Physical Deposes (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)?: 10.15/month; $100 - $ 350K What is the expected volume of assets and currency for the account approx. 90 days after opening? 255,287.52 'Currency I LSD What is the expected volume of assets and currency for the account approx. one year after opening? 255,287.52 'Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 0 yes EZ No 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. • Always describe the relationship between the parties in the last column. • Please dell down to the ultimate/underlying Beneficial Owner(s . _egal Enotyof Description Source of Wealth required Ibis parties related to account Account Molder 'IC ownerTrust Settler of / Founder of Foundation Jitimate Beneficial Owner SignatoryLimited or Full POA 'OA Financial ntermediary FIM) Significant Shareholder :>=25%) Yon-PIC entity ;Indicate ownership %) Other (please describe other oies and/or ndicate relationship 3etween parties) I P) EA ISJE, 11C 1-41 [.1 [1 El i j [1 El 2 ' RI Jeffrey E. Epstein crj n n gel 1,q; El Ell 100 Sole Member; 3 r [1 Darren K. Indyke ( Li 1.1 r V I L._ n n SDNY_GM_00063925 Intps://dbforcepb.my.salesforce.c‘ ThraVIDENT, At N30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0026750 EFTA_OOI 74431 EFTA01298741 KYC Print Page 3 of 23 2. Account Ownership Summary Account Name: Southern Flume! LLC Acct. Number U available): 77000957 Account Manager: Stewart Oldfield 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 manage the daily expenses of the company. Indicate from where the assets are expected to amve? 66 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): F3 Other Institution - (Indicate name & location): i..J 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)?: 0-3/month; $500 .$1000000 What Is the expected volume of assets and currency for the account approx. 90 days after opening? 1,535,257.07 !Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1,535,257.07 'Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? O Yes R No 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. • Always descnbe the relationship between the parties in the last column. • Please drill down to the ultintate/undedying Beneficial Owner(s . _egal cinbtyof Description Source of Wealth required Partes related to his account Account Holder PIC OwnerTrust Settlor of / Founder of Foundation Jlbmate 3eneficial Owner Signatoryiimpted x Full POA ?OA Financial ntermediaryShareholder (FIM) Significant (>.•25%) Non-PIC entity indicate iwnership Ye) Other (please describe other tiles and/or ndcate 'elationship Setween parties) 1 L.71 R] Southern Financial LLC Li FJ O R O 2 .--' FA Jeffrey E. Epstein r i [1,1 Ez R11 E.1 L 1 3 E n ifflebracht Jean Anne Brennan O Li Lu Wi [11 I - I 4 I El Darren K. Indyke 5 CFA Southern Trust Company, Inc. r, o El El 0 Southern Trust :Company Inc is :he sole member of Southern f! inancial U.0 & Jeffrey Epstein is the sole shareholder of Southern Trust 7. m n Inc; SDNY_GM_00063926 littps://dbforcepb.my.salesforce.ocemetwvieEttprt 30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. IWFI.a(b) I DB-SDNY-0026751 EFTA_00I 74432 EFTA01298742 KYC Print Page 4 of 23 SDNY_GM_00063927 littps://dbforcepb.my.salesforce.cSM IDENT IAOL30000000D9Di8c... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. Cpl/ DB-SDNY-0026752 EFTA_00174433 EFTA01298743 KYC Print Page 5 of 23 2. Account Ownership Summary Account Name: Southern Rnancial LLC - Acct. Number (it available): Account Manager: Stewart Oldfield 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 invest long term with the bank. Indicate from where the assets are expected to amve? E. DB Group: Same Booking Center (indicate account number): Existing 0 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): i...] 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)?: 25.35/month; $0 - $250K What Is the expected volume of assets and currency for the account approx. 90 days after opening? 113,764,196.27 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 113,764,196.27 I Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? • Yes 1,4 No 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. • Always descnbe the relationship between the parties in the last column. • Please drill down to the ultintate/undedying Beneficial Oviner(s . _egal Inbtyof Description. Source of Wealth required „his Parties related to account Account Holder ?IC OwnerTrust Settlor of / Founder of Foundation Jlbmate 3eneficial Owner Signatory‘impted x Full POA POA Financial ntermediaryShareholder (FIM) Significant (>••25%) Non-PIC entity ;indicate iwnership Yo) Other (please describe other 'oles and/or ndicate -elationship Dehveen parties) I Fiji Pi Southern Financial LLC EJ 0 0 2 L-.' Pi Jeffrey E. Epstein 0 .., Lii if71 0 0 3 1-1 n Jean Anne Brennan Wiebracht 0 0 0 U WO Li 0 4 L.I [A Darren K. Indyke 0 g-7.1 q Southern Trust Company, Inc. r, -I D O DO Southern Trust Company Inc is the sole member of Southern Financial U.0 & Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc; SDNY_GM_00063928 littps://dbforeepb.my.salesforce.crCAMgvIDENMA0L130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. Itota) I DB-SDNY-0026753 EFTA_OOI 74434 EFTA01298744 KYC Print Page 6 of 23 6 0 D Paul S. Barrett 0 0 0 a K Trading Authorial:ion Limited to Purchases & Sales of Securities: Many Beller 0 0 SDNY_GM_00063929 Illtps://dbforcepb.my.salesforce.etirgtatisgvIDEftpAOL130000000D9DiFic... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. Idol/ 64) ' DB-SDNY-0026754 EFTA_00174435 EFTA01298745 KYC Print Page 7 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: Country of Residence: Virgin Islands, U.S. Country of Citizenship: United States Address of primary residence: Little Saint James Saint Thomas 00802 Virgin Islands, U.S. Has client resided outside of his/her country of nationality for 5 years or mere? 'Ell Yes W.No • -- Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter 63 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a D6-recognised exchange? (Not applicable for operating entitles • Yes W No Is the individual a Politically Exposed Person (PEP)?(if Ve4 desoibe) Connection with Prince Andrew and Bill Clinton 0 Yes O No To the best of your knowledge, is the Individual related to an employee of the DB group7(, 1 Family or Fnendsivp, descfibe) N/A O Famiy O Friendship 0 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)?(f Yes describe) N/A O Yes 0 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 Oklfield 0 O O 6/28/2017 O O • O O • OWealth 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: Private investments Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk financial Institutions Summarize Source of Wealth: W Business Owner O Salary/Earnings W. Investment O 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 seWor accumulate wealth? For inheritance, how dd family accumulate wealth?For business owners, how long in business, how many employees, level of SDNY_GM_00063930 littps://dbforcepb.my.salesforce.erbilspleENopAt130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. IWP. kb) ' DB-SDNY-0026755 EFTA_OOI 74436 EFTA01298746 KYC Print Page 8 of 23 rofitabili ? Indicate type of business, countries of major activities, Important business partners.) Jeffrey Edward Epstein (born s an American financier and registered sex offender in the united States. He worked at Bear Steams early in his career and then formed his own firm, ). Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advising high-net- worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a well-known client. Wexner acquired Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas In the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Peitz, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revalue from the return of these inva-tments. 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 client's assets. Estimated Annual Income 5): Estimated Net Worth(S): 10,000,003D0 $500 MM + Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM • 100 MM 2,300,000.00 Other Known Financial Institutions: Institution: Country: Country: Country: Est. /meets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): N/A SDNY_GM_00063931 littps://dbforcepb.my .salesforce.ct Atatis.gvieEttpAto0000000D9Disz... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. be a(b) I DB-SDNY-0026756 EFTA_00 174437 EFTA01298747 KYC Print Page 9 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Darren K. Inclyke - 00000486405 Date of Birth: Country of Residence: United States Country of Citizenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or mere? 0 Yes I. . , No • -- Profession/Occupation: Accountant Tax ID / SSN: Current Employer: Southern Rnancial LLC Position/Title/Rank: Accountant Address of employer: 6100 Red Hook Quarter 63 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DO-recognised exchange? (Not applicable for operating entitles 0 Yes E6 No Is the individual a Politically Exposed Person (PEP)?(if Yes desaibe) N/A g No • Yes To the best of your knowledge, Is the indMdual related to an employee of the DB grout:P(1f Family or Fnenclsivp, despite) N/A 0 Fame./ 0 Friendship 5 woe 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 servkes)?(f Yescfescribe) N/A 0 Yes W No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Narne(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Stewart Oldfiekl R , i__; 12/12/2016 iii 0 III 0 El 0 --, ....I 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: Primary Country of source of wealth/source of Funds? Primary industry of source of Weatth/Source of Funds? Summarize Source of Wealth: 0 Business Owner 0 Salary/Earnings pInvestment 0 Inheritance/Gifts 0 Other: SDNY_GM_00063932 littps://dbforcepb.my.salesforce.etrMstisgvIDENopp1/40L130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. niorP. e(e) I DB-SDNY-0026757 EFTA_00174438 EFTA01298748 KYC Print Page 10 of 23 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 profitablkty? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (S): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. 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.): SDNY_GM_00063933 Intps://dbforcepb.my.salesforcesSM leppENTIAOL30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R.CRITitn DB-SDNY-0026758 EF1'A_00174439 EFTA01298749 KYC Print Page I I of 23 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jean Anne Brennan Wlebracht - 00000487647 Date of Birth: Country of Residence: Virgin Islands, U.S. Country of Citizenship: Virgin Islands, u.S. Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or mere? O Yes Vii. No • -- Profession/Occupation: Finance Tax ID / SSN: Current Employer: Southern Financial LLC Posibon/Title/Rank: Finance Address of employer: 6100 Red Hook Quarter, B3 St. Thomas Virgin WandS, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DO-recognised exchange? (Not applicable for operating entitles K Yes R : No Is the individual a Politically Exposed Person (PEP)?(if Yes desaibe) N/A R No • Yes To the best of your knowledge, is the indimdual related to an employee of the DB group?(,f Family or Fnendshep, descfibe) N/A O Family O Friendship RI 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 servkes)?(if Yesdescnbe) N/A 1:Yes EtNo 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 , Bu ess: f sin Other Location (specify): Date: O O O O O N O O O --, [....1Wealth 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: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner E3 Salary/Earnings O Investment O Inheritance/Gifts O Other: SDNY_GM_00063934 Imps ://dbforcepbmi y .salesforce.c cirieMbeiNgvIDENopA0L130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. beP.1114) ' DB-SDNY-0026759 EFTA_(() I74440 EFTA01298750 KYC Print Page 12 of 23 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, 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 actrvities, important business partners.) i Estimated Annual Income (5): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): --I Other Known Financial Insbtubons: Institution: Country: Est. 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.): SDNY_GM_00063935 littps://dbforcepb.my.salesforce.cPM l efigNoTIA01±B0000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R.CRITIMI DB-SDNY-0026760 Erl'A_00174441 EFTA01298751 KYC Print Page 13 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Harry Belle - 00000487202 Date of Birth: Country of Residence: United States Country of Citizenship: United States Address of pinery residence: Has client resided Outside of his/her country of O Yes 1.,.. No nationality for 5 years or • -- mere? Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Accountant Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes R No Is the individual a Politically Exposed Person (PEP)?(if Yes *roily) WA R No • Yes To the best of your knowledge, Is the Individual related to an employee of the DB grout7(,1 Fame i y or Fnendshet, despite) N/A O Forney O Friendship 0 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 senkes)?(if Yesdescribe) N/A 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 a Business: Other Location (specify): Date: K O O IIII III O O O 1:7; 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 Bu ess: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Weakh: O Business Owner O Salary/Earnings Ei Investment O Inheritance/Gifts O other: SDNY_GM_00063936 littps://dbforcepb.my.salesforce.cteMORIDENopA0L130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. Rolf P. kb) I DB-SDNY-0026761 EFTA_OOI 74442 EFTA01298752 KYC Print Page 14 of 23 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitabikty? Indicate type of business, countnes of major activities, important business partners.) i Estimated Annual Income (S): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): --I Other Known Financial Insbtubons: Institution: Country: Est. 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.): SDNY_GM_00063937 Imps://dbforcepb.my.salesforce.cPM witrietTIA01±B0000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R.CRITIM DB-SDNY-0026762 EF1'A_00174443 EFTA01298753 C Prim Page 15 of 23 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Paul S. Barrett - 00000565477 Date of Birth: Country of Residence: United States Country of Citizenship: United States Has client resided outside of his/her country of Ell Yes Vii. No nationality for 5 years or • -- mere? Address of primary residence: Profession/Occupation: Investment Advisor MX ID / SSN: Current Employer: 3.P. Morgan Securities LLC Position/Title/Rank: Investment Advisor Address of employer: 277 Park Ave New York NY United States 10172 Does the person work as senior ftecutive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles Li Yes No Is the individual a Politically Exposed Person (PEP)?(if Yes descae) N/A W No • Yes To the best of your knowledge, is the Individual related to an employee of the Dt3 groupyf Fame 1 y or Fnendsivp, describe) N/A ri Family n FriendShip Ca 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)?(f Ye4desalbe ) N/A 0 Yes 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: Ghent ' ate r rnicile: Ghent Place of Business: Other Location (specify): Date: K 0 0 0 0 . 0 0 0 i---1 :iWealth 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: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: 0 Business Owner 0 Salary/Earnings [investment D Inheritance/Gifts 0 other SDNY_GM_00063938 littps://dbforcepb.my. salesforce.c‘4 1Thra stri en iENTiAt N30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0026763 EFTA_00174444 EFTA01298754 KYC Print Page 16 of 23 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, 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, countnes of major activities, important business partners.) i Estimated Annual Income ($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Rnancial Insbtutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. ASSets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Indicate the family situation of the indwodual (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 Lega: Ent: .ii.i Legal Entity Name: LSJE, LLC - 00000499733 Type of Entity: O Foundation/Association O Trust ff!i)Company El Estate O Partnership Purpose of Entity: g Private Investment O -hilanthropic/Charitable O ommercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: virgin Islands, U.S. Date of incorporation / registration: I 10/27/2011 Volcker Status: Identified on Customer Profile Volcker Flag: NO Address (city, street, post code): 6100 Red Hook Quarter, 83 St. Thomas 00802 Virgin Islands, U.S. 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 revocability,setdor and beneficiaries,etc.: LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued. The signors on this account are Jeffrey Epstein and Darren Indyke Please Indicate how ownership of the legal entity is reflects: Operating Agreement U Special attention: Bearer Shares - Indicate where shares are aistodied: Destribe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued. The signors on this account are Jeffrey Epstein and Darren Indyke 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)?: N/A Yes • No 5 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: LSJE, LLC was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private residence. No business purpose. Countries where business is transacted: Virgin Islands, U.S. SDNY_GM_00063939 littps://dbforcepb.my.salesforce.cSA IDENoTIA01±B0000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R.CRifteltit DB-SDNY-0026764 EF1'A_00174445 EFTA01298755 KYC Print Page 17 of 23 Number of employees: 3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated in Section 2) Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Funds from Jeffrey Epstein. LSJE, LLC was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private residence. No business purpose. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. ($): 100,000.00 Estimated investable assets ($): $2 MM - 5 MM Potential Amount to be invested with PWM ($): 500,000.00 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. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00000433883 Type of Entity: 0 Foundation/Association El Trust r,?i Company 0 Estate 0 Partnership Purpose of Entity: Private Investment li Philanthropic/CharitableEi Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: Virgin Islands, U.S. Date of incorporation / registration: II/18/2011 Volcker Status: Identified on Customer Profile Volcker Flag: No Address (city, street, post code): 6100 Red Hook Quarter 63 St. Thomas 00802 Virgin Islands, V.S. U.S. TIN/EIN: Provide a description of the entity's organizational structure, it ownership structure and Its Top Management. For trusts/foundations, include information about revotability,setdor and beneficiaries,etc.: Jeffrey Epstein is the sole shareholder of this company. Please indicate how ownership of the legal entity is reflected: Consent of Board of Directors Li 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) Jeffrey Epstein is the sole shareholder of this company. Yes ri No RI SDNY_GM_00063940 littps://dbforcepb.my.salesforce.e tignAkisgirIDNopAts130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. RotfP. tb) I DB-SDNY-0026765 EFTA_00I74446 EFTA01298756 KYC Print Page 18 of 23 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)?: N/A Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: 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 Countries where business is transacted: Virgin Islands, U.S. Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated In Section 2) Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. (5): 1,500,000.00 Estimated investable assets (§): $2 MM • 5 MM Potential Amount to be invested with PWM (5). 300,000.00 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. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Financial LLC - 00000483882 Type of Entity: El Foundation/Association El Trust S'J Company LI Estate 0 Partnership ,.,Purpose of Entity: re Private Investment Li Philanthropic/Charitable 0 Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: Virgin Islands, U.S. Date of incorporation / registration: 2/25/2013 Volcker Status: Identified on Customer Profile Volcker Flag: No 6100 Red Hook Quarter B3 St Thomas 00802 Virgin Islands, U.S. U.S. TIN/EIN: SDNY_GM_00063941 littps://dbforeepb.my.salesforce.tairle INMAt N30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. . ( ) DB-SDNY-0026766 EFTA_OOI 74447 EFTA01298757 KYC Print Page 19 of 23 Address (city, street, post code): I I Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,setdor and beneficiaries,etc.: Southern Trust Company Inc is the sole member of Southern Anancial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc. Please indicate how ownership of the legal entity is reflected: Operating Agreement U Special attention: Bearer Shares - Indicate where shares are custodied: Desaibe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc To the best of your knowledge, is the entity party to a non-banKng relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: N/A 1-, r-A Yes i...J No MI Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: iof This business is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epstein's personal wealth and Invest in different ventures. This company invests in real estate, equities, commodities, et and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets Mr. Epstein. Countries where business is transacted: Virgin Islands, V.S. Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The initial funding in February 2013 WaS $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Please revert to Mr. Epstein's source of wealth for more details. Estimated gross receipts p.a.(4): 2,000,000.00 Estimated net profit p.a. ($): 1,500,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWM ($): 300,000.00 Other Known Anancial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00063942 littps://dbforcepb.my.salesforce.ct it'Akisgv I DENoTtAts130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. neels. a* DB-SDNY-0026767 EFTA_00174448 EFTA01298758 KYC Print Page 20 of 23 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center .g NY En NY/Offshore I i Offshore ""' pi Moderate —""j — -- lisk : , 'vl High Ri Gwen Hill (Compliance Signature) r----i —.I DB Employee ' , DB Managed PIC LIDS is TrusteeXo•Trustee O Bearer Shares 4. Attachments I A. Type of Photo ID Provided g Drivers license g Passport D National/State ID O Other : Darren Indyke - GUS . 486405 & Jean Anne - GCIS # 487647 Checklist of names (individuals and/or entitles) that were submitted for database rim !..-i B. mi Yes i.._. NO searches is attached C. Please indicate the results of the database searches performed ROC searches complete EQ1 yes O No negative results found R Yes [.1 No PCR checks complete g yes O No negative results found g Yes O No OFAC checks complete R Yes Ej No negative results found D Yes R No 815 searches complete (Lexis/Nexis, Factiva, Reuters, Dow g yes ENO negative results found R Yes D No Jones, D&B) Denial Cyders checks complete g Yes .O No negative results found O Yes Pli No Martindale-Hubbell searched (Lawyers/Law Firms only) O Yes iz No negative results found O Yes O No D. Please summarize any negative results from the database searches indicated above: LS3E LLC: - No negative media - No court cases LS) Employees LLC: - No negative media • No court cases Southern Financial LLC: • No negative media • No court cases - RDC alert found - False positives, does not pertain to cur client. Clearance attached. Southern Trust Company Inc: • No negative media - No court cases Financial Infomatics Inc • No negative media - No court cases Jeffrey Edward Epstein: • Negative media relates to the sex offence in the past which are already cleared. (KYC # • 01790655) - Court cases relates to Jeffrey's sex offence in the past which Is already cleared, another (Gerber Et Al V. The Financial Trust Company Et Al) is a recent ongoing civil lawsuit pertaining to fraud which has been dismissed (attached document), but part of normal business operations for this client. And in one of the case he's neither defendant nor plaintiff. He just named as a respondent and the case is immaterial in nature.neither defendant nor plaintiff. He's just named as a respondent and the case is immaterial in nature. - Criminal Filings relates to sex offence which is already cleared in the past - RDC alert found - Sex offences in the past which has been cleared - Clearance attached. SDNY_GM_00063943 littps://dbforcepb.my.salesforce.cU,WIDN CRAt N30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0026768 EFTA_00 174449 EFTA01298759 KYC Print Page 21 of 23 Darren Indyke: - Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature. • Court case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past which has been cleared already. Darren 6 Just an attorney for Jeffrey In the case. - Fircosoft alert has been cleared by AML Compliance. Clearance attached. Jean Anne Brennan Wiebracht: - No negative media - No court cases Harry Beller: - No negative media - Harry Beler is the plaintiff in the court case, also it has been denoted. Paul S Barrett - No negative media - No court cases - RDC alert found - False positives, does not pertain to our client Clearance attached. To the best of your knovAedge, has the client ever been convicted of a criminal E. R Yes 0 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. thre.ateNng litigation against Deutsche Bank AG or any of its subsidiaries? (/f Yes, E yes i!Z No provide details below and contact Quakty Mgt (LatAm/Intl) or U Regulatory Control Croup and notify Compliance immedately) Does the client or related party have any financial or other association I interactions G. within countries or regimes sanctioned by the Office of Foreign Assets Control ales R No (OFAC)? Does the client or related party have t_J any financial or other association/ interactions r—, H. Yes R No within high risk countries? I. Corporate Documentation Attached (Legal Entities Only) RI Yes 0 No 0 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) El Yes Li No FO Not Applicable K. If Lexts/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: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? r yes W1 No Is the account structure unusually complex? El Yes M No Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to E Yes R No third parties? Is there any indication this could be a prohibited business relationship? Ei yes M No Are the bearer shares identified subject to acceptable controls? 0 yes g No SDNY_GM_00063944 littps://dbforcepb.my .salesforce.c fMat.FRIDEllopA0Ls/30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. ItoeFI. a* I DB-SDNY-0026769 EFTA_OOI 74450 EFTA01298760 KYC Print Page 22 of 23 M. Case Comments Created By Date Comments Mayur Rathod 9/20/118 7:46 AM No material changes confirmation "email" attached in the case. Gwen Hill 10/26/118 4:06 PM This KYC saves as a high nsk review for LSJE LLC and Southern Financial LLC (herein referred to as "accountholders" - Below are the reasons why we are comfortable with approving this KYC: • Information and supporting documents required by our AML Patty were provided and reviewed; and as a resuk, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors associated with the accountholders — -SOW: The U8O (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages clients assets. SOW verification was obtained. -Negative Media & PEP: There is some negative media against Mr. Epstein and he is also maintains a close relationship with Bill Clinton and Prince Andrew. Please see risk calculator for more information. Appropriate approval was obtained. • Our review did not identify any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists. ONSHORE APPROVALS Client Facing Professional (CFP): Stewart Oldfiekl (Signature) Stewart Oldfield 10/15/2018 Office Director/Business Head: Andrew F Gallivan (Signature) Andrew F Gallivan 10/15/2018 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Richard Cottrell Gwen Hill (Signature) Richard Cottrell Gwen Hill 10/26/2018 10/26/2018 LATAM/ INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head ISMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) SDNY_GM_00063945 littps://dbforeepb.my.salesforce.encrifWgv IDENopp 1/40L130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. Rota) DB-SDNY-0026770 EFTA_OOI 74451 EFTA01298761 KYC Print Page 23 of 23 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 Professionalsl(l) (CFP's) should establish and maintain business relationships only with persons who swish 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 coilfirm that 1 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_00063946 littps://dbforcepb.my.salesforce.cagN leniElloTIMOLB0000000D9Di8c... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R.tiRftelt DB-SDNY-0026771 EFTA_00174452 EFTA01298762