EFTA Document EFTA01298891

KYC Print Page I of 23 KYC Case it 01977699 DB PWM GLOBAL 1O(C/NCA PART A One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP. 00000483290 Booking Center: New York Relationship Manager: Stewart Ocilla 0 New PWM Relationship ii6. Existing FWM Relationship Relationship to FWM: If existing, please indicate since when the relationship exists. provide reason for new profile and attach od profile: • • • 2018 Periodic Review ' • • Last Approved KYC N - J. Epstein Virgin Islands Foundation Inc - 1700855; Hyperion Air LLC - 1790820. Client Referral 0 RM Prospect 0 Intermediary/AM 0 Other Source (08, etc.) How Was the Oient(s) Introduced? How long has the RM personally known the dent? Reese provide details (e g. name of referral source, how many years RM personally has known dint, 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 smiler 0 Yes I W.' No compensation to a third party for the introduction of this relationship? Of Yes. describe): List al existing and new accounts involved in this relationship Legal Entity Account(s) Account Name! Number Opening Dale (intended,actuto 1 R J. Epstein Virgin Islands Foundation Inc - N4G024950 - DBSI-N40024950 9)30/2013 2 R Hyperion Air LLC - - ODA- 10/18/2013 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 K. Indyke Preferred method of contact(indiate phone no.. fax no.. e-mail address. etc.): (212) 971.1314 Status 6. Approved SDNY_GM_00064276 https://dbforcepb.my.salesforce.enThIEN IDEN N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRaltint TI A L DB-SDNY-0027101 EFTA_00174782 EFTA01298891 KYC Print Page 2 of 23 One sheet must be established for each account to be opened 2. Account Ownership Summary Accdun: ':re J Epstein Virgin Islands Foundation Inc • OBSI Acct. Numbe' Of 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 manage the foundation's securities and trade investments. Indicate Et 0 • 0 from where the assets are expected to arrive? DB Group: Same Bookng Center (indicate account number): Existing DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): Physical Deposits (specify ash, securities, cheques, ...): What is the expected see and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?. 0-5/month; 5100 - $50K Whet is the expected volume of assets and currency for the account approx. 90 days after opening? 300.000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 300.000 'Currency I USD Does/will the dient have Assets Under management (AuM) within DB under Eur. 3M? 0 yes E71 No Please flat all parties Sated to the account. For each party. • Check if a source of wealth description is req fired for the party. • Caeca the approp ate box to describe the re ationshlp of the party to this account (> I can be selected). • If none of the check boxes apply, describe the part 's relation to the account in the "Other column. • Alway describe t e relationship between th parties in the last column. • Please dril down to the ultimate/un tidying Beneficial Owner(s . _egal Entity sorption of Source of Wealth -equired :Inns related to his account Account Holder *IC Owner Settlor of Trust / ;Gunder of r oundation Jitimate Senefidal Owner Signatory n Full *OA -muted >OA Financial ntermediary (FIM) Significant Shareholder >=25%) Von-PIC entity indicate ewnership %) Other (please lescribe other roles and/or ndicate "dationship )etween parties) i Ea w• ,4 J. Epstein Virgin Wands Foundation, Inc RI K • 0 r - 0 D 2 0 • Darren K Indyke • 0 • J • • 3 0 2 Jeffrey E. Epstein 0 0 2 El W Cl 0 Founder; Sole member, Prima•, pedsion Maker 4 0 0 Enke Kellerhals • El 0 0 0 0 0 Secretary 8 Treasurer; 5 0 0 Paul S. Barrett 0 0 0 0 0 E Trading Authorization Limited to Rirchases It Sales of Securities: SDNY_GM_00064277 littps://dborepb.my.salsforce.PIN lerleNoTIML130000000D9M8c... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.'enertir l DB-SDNY-0027102 EF1'A_00174783 EFTA01298892 KYC Print Page 3 of 23 SDNY_GM_00064278 Imps://dbforepb.my.salsforce.enTher leppENTIONLI30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRINIAst i DB-SDNY-0027103 EFTA_00174784 EFTA01298893 KYC Print Page 4 of 23 2. Account Ownership Summary Account Name. Hyperion Air LIC • • ODA t. ber Me available): Num (if Account Manager Stewart Oldfietd 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? 2 DB Group: Same Booking Center (indicate account number): Existing D DB Group: Other Booking Center (indicate DB location and account details): 0 other Institution — (Indicate name & location): El Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (radiate estimated number and volume per month)? 0•4/month: COO • S 150K What is the expected volume of assets and currency for the account approx. 90 days after opening? 147203.75 I Currency I USD What Is the expected volume of assets and currency for the account approx one year after opening? 147.203.75 I Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur 3M? 0 Yes El No Please 1St all parties related to the account. For each party: • Chad( if a source of wealth description is required for the party. • Check the approp late box to describe the relationship of the party to this account (> I can be selected) • If none or the check boxes apply, describe the part 's relation to the account in the "Other' column • Atmay describe t e relationship between the partie in the last column. • Please drill down to the ultimate/underlying Genetical Owner(s). .egal Entity Description of Source of Wealth required %nits related to his account Account Holder >1C Owner Settler of Trust / rounder of r oundation Janata Beneficial Owner Signatory or Full 20A _imtted POA Financial ntermediary ,FIM) Significant Shareholder o • 25%) qon•PIC Way indicate ownership %) Other (please iescribe other oles andior nchcate 'elationship 2etween parties) l '4 61 Hyperion Air, LLC 2 2 0 EZ Jeffrey E. Epstein • 0 0 g g 0 0 Sole Member: Primary Decision Maker: 3 0 • Darren K lndyke • El • • E • in Harry Boller F] D 0 0 M 0 0 i I Lawrence Pau! IdIsotJo if -1 Fl n . . F. E 1 1 Manager. SDNY_GM_00064279 https://dbforcepb.my.salesforce.cPf4 le 0L130000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.tRatt etTI A DB-SDNY-0027104 EFTA_00174785 EFTA01298894 KYC Print Page 5 of 23 One sheet must be established for EACH INDIVIDUAL PARTY hi Section 2. Account OwnenhlD Summa 3A. Individual Details (for all p nos) Individual's Name: .,efloy E Epstein-- Dale of Birth: 1/20/1953 Country of Residence Vrgin Islands. U S. Country of Otizenship: United States Address of primary residence: Little Saint James Saint Thomas 00802 Virgin Islands, Little U.S. Has client resided outside of his/her country of nationality for 5 years or more? 2 No Pr Profession/Occupation: Self Empolyed Tax ID 1 SSN: Current Employer. Southern Trust Company Inc Position/Title/Rank: President Address of employer: 8100 Red Hook Quarter B3 St. Thomas lifirgin 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 DB-recognised exchange? (Not a oplicable for operating entities Il Yes 2 No s the individual a Politically Exposed Person (PEP)7(if Yes. describe) Connection with Prince Andrew and Bill Linton WI Yes 0 No To the best of your knowledge, is the individual related to an employee of the DB groupWif Family or Friendship. describe) N/A CI : :Family lia None al Friendship 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 Yeedesaibe ) N/A 0 Yes ..4 No if applicable, indicate which bank officers have met :ne person.. Indicate whe e and when the client meeting(s) took place Bank Officer Name(s) Bank Office Giant Private Domicile: Oient Place of Business: Other Location (specify) Date Stewart Oldbeld 0 6 28201? iii 0 0 0 0 0 0 • Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Deltas (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: . Butiness Owner 0 Salary/Earnings 12 Investment •Inheritance :: "--, 0 Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts. how did settler accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level o' SDNY_GM_00064280 https://dbforcepb.my.salesforce.enTher N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.15Rar l -YENTI A L DB-SDNY-0027105 EFTA_00174786 EFTA01298895 KYC Print Page 6 of 23 profitability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender in the United States He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein 8 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 awn of Alan C. Greenberg, chairman of Bear Stearns n 1978, Epstein started work as an options trader at Bear Stearns where he worked in the speaal 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 n 1982. Epstein founded his own financial management firm, J. Epstein It Co.. managing the assets of clients with more than $1 billion in net worth. In 1987, Leslie Wexner, founder and Mailman of Ohlo-based The Limited chain of women's clothing stores became a well-known client. Wexner acquired Abercrombie 8 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. n 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, Investor Nelson Peltz, media mogul and publisher Mortimer Zudorman, who had the New York Daily News. and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wa I Street Investor, who paid $55 million. n 2004. Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Meer Roshan. Epstein and Zuckerman were equal partners I the venture. Roshan. as Its editor-In-chief, retained a small ownership stake. 'recently, Mr. Epstein founded Southern Trust Comps y Inc, a private consulting company that invests the assets of their clients and gets thee revenue from th return of these investmen s. Southern Trust invests in different portfolios catered to their clients and makes t new revenue based on the returns and the fees associated with managing their client's assets Estimated Annual Income $1 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM Estimated Net Worth($): $500 MM Amount of assets planned to Invest with PWM(S): 2,300,000.00 Other Know Financial Institutions: nstitution: Country: Est Assets Under Mgt: nstitution: Country: Est Assets Under Mgt - nstitution: Country: Est Assets Under Mgt. Please indicate the family situation of the individual (marital status, other family members. etc.): N/A SDNY_GM_00064281 Imps://dbforepb.my.salsforce.caThet lerVENTIAL130000000D9Ditz... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRINIMI DB-SDNY-0027106 EF1'A_00174787 EFTA01298896 KYC Print Page 7 of 23 One sheet must be established for EACH INDIVIDUAL PARTY In Section L AccountOwnershln Summa 3A. Individual Details (for all parties) Individual's Name: Darren K I ndyke - Date of Seth: 2/19/1965 Country of Residence Jnied Dates Country of Otizenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O yes ONO Professon/ Occupation: Accountant Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank: Accountant Address of employer: 16100 Red Hook Quarter B3 St Thomas Virgin Islands. U.S. 00802 Does the person work as senior executive of a 0R-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognised exchange? (Not a °shamble for operating entities O yes EZ No Is the individual a Politically Exposed Person (PEP)7(i( Yes, describe) NIA Oyes Ri No To the best of your knowledge, is the individual related to an employee of the DB ii Family El Friendship Ea None groupWi( Family or Friendship, describe) N/A To the best of your knowledge, lathe individual party to a non-banking relationship with Deutsche Bank (e.g.. external legal counsel. client referral source, supplier of goods or services)?fi( YeAdescribs ) NIA yes ®No ir applicable, indicate which bank officers have met :ne 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 12/12/2016 K K K O 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 desaiptton as ',Mica:ad in Section 2) Nature of the Individuals Business FYImary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Bur:di:lessOwner ill Salary/Earnings O Investment O Inheritance/Gifts O Other: SDNY_GM_00064282 Imps://dbforcepb.my.salesforce.ePIEN le N30000000D9Dite... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.tRalt4t etTI AL DB-SDNY-0027107 EFTA_00174788 EFTA01298897 KYC Print Page 8 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, h w did family accumulate w alth?For business owners, how long in business, how many employees level c' profitability? Indicate type of business, countries of m jor 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(S) Other Known Financial Institutions: instkution: Country Est Assets Under Mgt I nstkutlOn: 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_00064283 littps://dbforcepb.my.salesforce.caThet l eppENoTtAt30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VIRINISti DB-SDNY-0027108 EF1'A_00174789 EFTA01298898 KYC Print Page 9 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section L AccountOwnetshl 3A. Individual Details (for all p rues) Individual's Name: Erika Ke: ernals - Date of Birth: 10/13/1974 Country of Residence Wpm Islands U S Country of Otizenship: United States Aodress of primary residence: Ras client resided outside of hislher country of nationality for 5 years or more? Elves 10 No Profession/Occupation. Attorney Tax ID / SSN: Current Employer: Kellerhals Ferguson Kroblin PLLC Position/Title/Rank: Attorney Address of employer: 9100 Port of Sale Mall, Ste 15 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 DB-recognised exchange? (Not applicable for operating entities 19 Yes 66 No is the individual a Politically Exposed Person (PEP)7(i/Yes, describe) N/A RI No U Yes To the best of your knowledge, is the individual related to an employee of the DB group?(I/ Family or Friendship. describe ) N/A ii Family ga None a Friendship To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dient referral source, supplier of goods or services)?(if YeAdescribe ) N/A O Yes ..4 No it applicable, indicate which bank officers have met :ne 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. D • • O O O O • 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 21 Nature of the Individuals Business. Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: ll.] Busness Owner I Salary/Earnings O Investment [II Inheritance/Gifts D Other: SDNY_GM_00064284 Imps://dbforcepb.my.salesforce.caTher N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. RIBRair leFENTI A L DB-SDNY-0027109 EFTA_00174790 EFTA01298899 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 inherkance, h w did family accumulate wealth?For business owners, how long in business, how many employees level c' profitability? Indicate type of business, countries of m jor activities, important business partners.) Estimated Mnual Income .5) Estimated amount of investable asset&S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S) Other Known Financial Institutions: Institution: Country Est Assets Under Mgt Instautlon: 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_00064285 Imps://dbforcepb.my.salesforce.caThet N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRINIM II2PENTI A L DB-SDNY-0027110 EFFA_00174791 EFTA01298900 KYC Print Page 11 of 23 One sheet must be established for EACH INDIVIDUAL PARTY hi Section 2. Account Ownership Summary 3A Individual Details (for all p rises) Individuals Name: Harry Bever - Date of Bath: 5/9/1956 Country of Residence: United States Country of Otizenship: United States Address of primary residence: Has client resided outside of hisrher country of nationality for 5 years or more? O Yes Olio Profession/Occupation. Accountant Tax ID I UN: Current Ern player: MIRK 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 08-recognized regulated entity in the financial industry? or a entity listed on a 08-recognised exchange? (Not applicable for operating ent ies IM Yes E6 No is the individual a Politically Exposed Person (F£P)7(if Yes, describe) NIA O Yes RI No To the best of your knowledge, is the individual related to an employee of the DB groupWil Family or Friends/70. describe) N/A ii Family ga None Illi Friendship 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 Yeedescribe ) WA rc El Yes ...I No ir applicable, indicate which bank officers have met Vfle person: Indicate where and when the client meeting(s) took place. Bank Officer Name(s) Bank Office: Client Private Domicile: Client Flea of Business: Other Location (specify) Date O O ii O O O O O • L.: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 Individuals Business Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summaree Source of Wealth: B. s n ess 0 e, ^ 11 Salary/Earnings O Investment O i nhe ri t a n ce / G ft s _ _..i Other. SDNY_GM_00064286 littps://dbforcepb.my.salesforce.enTher leppENoTlift130000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRIWitir DB-SDNY-0027111 EF1'A_00174792 EFTA01298901 KYC Print Page 12 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 inherkance, h w did family accumulate w alth?For business owners, how long in business, how many employees level c• profitability? Indicate type of business. countries of m jor activities, important business partners.) Estimated Amual 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: institution: Country: Est Assets Under Mgt: Mean indicate the family situation of the individual (marital status. other family members, etc.): SDNY GM_00064287 aTher Imps://dbforcepb.my.salesforce.c lerpENTIONLI30000000D9Di&-... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VARtenr DB-SDNY-0027112 EFTA_00174793 EFTA01298902 KYC Print Page 13 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. AccountOwnership Summar 3A Individual Details (for all parties) Individual's Name: Paul S. Barrett - Date of Beth: 3/9/1974 Country of Residence; United States Country of Otizenship: United States Address of primary residence: Has client resided outside of hisrher country of nationality for 5 years or more? Oyes 10 No Profession/Occupation. Investment Advisor Tax ID 1 SSN: Current Ern Moyer: J.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 executive of a DB-recognized regulated entity in tne financial industry? or a entity listed on a DB-recognised exchange? (Not applicable for operating entities III Yes 1-2 No I g the individual a Politically Exposed Person (FEP)flif Yes. describe) N/A RI No U Yes To the best of your knowledge, is the individual related to an employee of the DB groupWif Family or Friends/70. describe) N/A ii Family Eia None Illi Friendship 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 Yesiescribe ) N/A 0 Yes .4 No :' applicable, indicate which bank officers have met yne person: Indicate where and when the client meeting(s) took place. Bank Officer Name(s) Bank Office Giant Private Domicile: Giant Place of Business: Other Location (specify) Date D El ii 0 0 0 • • i_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 Individuals Business Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: 0 Bueness Owner K Salary/Earnings 0 Investment 0 I nheritance/Gfts 0 Other: SDNY_GM_00064288 Imps://dbforcepb.my.salesforce.cagN N30000000D9Di8c... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRiffrie leetTI A L DB-SDNY-0027113 EF1'A_00174794 EFTA01298903 KYC Print Page 14 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, h w did family accumulate w alth?For business owners, how long in business, how many employees level c' profitability? Indicate type of business. countries of m jor activities, important business partners.) Estimated Annual Income S) Estimated amount of Investable assets(5): 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: institution: Country: Est Assets Under Mgt: I Please indicate the family situation of the individual (marital status. other family members, etc.): SONY GM_000642119 Intp bforcepb.my.salesforce.ePer lerVENTIONLI30000000D9Di&-... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VIRA stl DB-SDNY-0027114 EFTA_00174795 EFTA01298904 KYC Print Page 15 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. AccountOwnership Summar 3k Individual Details (for all parties) Individual's Name: Lawrence Paul Msoski Jr - Date of Birth: 2/5/1960 Country of Residence: United States Country of Otizenship: United States Address of primary residence: Has client resided outside of histher country of nationality for 5 years or more? O Yes E NO Profession/Occupation: Manager Tax ID I SSN: Current Employer: Hyperion Air LLC Positionadle/ Rank: Manager Address of employer: 8100 Red Hook, Quarter B3 S. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a OB-recognized regulated entity in the financial industry? or a entity listed on a 08-recognised exchange? (Not applicable for operating entities II Yes EZ 43 Is the individual a Politically Exposed Person (PEP)P(ll Yes, describe) NIA RI No U Yes To the best of your knowledge, is the individual related to an employee of the DB groupWil Family or Friendship. describe) NIA ii Family Eta None U Friendship 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)7(if YeAdescribe ) NIA O Yes .4 No it applicable, indicate which bank officers have met :he person: Indicate where and when the client meeting(s) took place. Bank Officer Name(s) Bank Office Oient PrNate Domicile: giant Place of Business: Other Location (specify) Date 0 ii • O O O O • • 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 requinng source of wealth description as indicated in Section 21 Nature of the Individuals 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 ill Salary/Earnings O Investment EJ I n he rit a n cei G ft s O Other: SDNY_GM_00064290 littps://dbforcepb.my.salesforce.enTher N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRIMM II2FENTI A L DB-SDNY-0027115 EFTA_00174796 EFTA01298905 KYC Print Page 16 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, h w did family accumulate wealth?For business owners. how long in business, how many employees level o' profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income 41 Estimated amount of Investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S) Other Known Financial Institutions: institution: Institution: Institution: Country. Country: Country: Est Assets Under Mgt Est. Assets Under Mgt: Est. Assets Under Mgt: 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 Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: J. Epstein Virgin Islands Foundation. Inc - Type of Entity: RIFounclationiAssociallon 0 Trust 0 Corn pany PININne fe E".2Y (.J Private Investment Pnilanthropic/Otaritable 0 Commercial El Estate . Partnership Type of Entity Other (specify): Purpose of Entity Other (specify) Country of incorporationfregistration: Vrgin Islands, V.S. Date of incorporation / registration: 7/1412000 Volcker Status: Identified on Customer Profile Volcker Flag: No Address (City, street, post code): 6100 Rod Hook Quarter B3 St, Thomas 00802 Virgin stands, U.S. U.S. TIN/El N: Provide a description of th entity's organizational structure, Its ownership structure and its Top Mans ement. For trusts/foundations. include information about evocabilityeettlor and beneficiaries.etc.: This is a 501 (c)3 foundation with Jeffrey Epstein serving as the President. Darren Indyke serves as VP and Erika Kellerhals as Secretary/Treasurer. The signors on this account are Jeffrey Epstein, Darren Indyke and Paul Barrett Please indicate how ownership of the legal entity is reflected: Articles of Incorporation Shares- Indicate where shares are custodied: • Special attention: Bearer Describe the chain from the direct owner of the entity to the ultimate beneficial owner Woof She unit persons): This isa 501 (c)3 foundation with Jaffrey Epstein serving as the President. Darren Indyke serves as VP and Erika Kellerhals as Secretary/Treasurer. The signors on this amount ere Jeffrey Epstein, Darren Indyke and Paul Barrett 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)?'. NIA Yes D No Describe Haire of Entity's Primary Business and Investment Activities Nature of the business. J. Epstein Virgin Islands Foundation Inc aka Enhanced Education isa private nonprofit foundation which is organized exclusively for charitable. educational and scientific purposes SDNY_GM_00064291 Imps://dbforcepb.my.salesforce.caTher OL30000000D9Di&,... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.13RROMIDENTIA DB-SDNY-0027116 EFTA_00174797 EFTA01298906 KYC Print Page 17 of 23 Countries where business is transacted Virgin Islands, U.S. Number of employees 5 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 assetWliabilities): The initial donation came from Jeffrey Epstein's personal funds. These funds have then been infested and reinvested as the source of income for the foundation. The profits the foundation gets from these investments are then reinvested or donated to charitable endeavors Estimated gross receipts p.a.(5). 400,000.00 Estimated net profit pa. (5): 250,000.00 Estimated investable assets (5): < 51 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 Summary 3C. Legal Entity Details (For an Legal Ent it es) Legal Entity Name: Hyperion M. LW- 00000457225 Type of Entity: 0 Foundation/Association CI Trust ®Company D Estate 0 Partnership Purpose of Entity : R} Private Investment 0 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: 10119/2012 Volcker Status: Identified on Customer Profile Volcker Flag: No Address (city, street, post code): 6100 Red Hook, Quarter 83 St, Thomas 00802 Virgin Wands. U.S. U.S. TIN/El N: Provide a description of lb entity's organizational structure, its ownership structure and Its Top Management. For trustsifoundabons, include information about evocability.settlor and beneficiaries,etc.: Single member LLC. Jeff re Epstein is sole member/owner. The signors on this account are Jeffrey Epstein, Harry Seller and Darren Indyke Please indicate how ownership of the legal entity is reflected: Operating Agreement 0 Special attention: Soarer Shares- Indicate where shares are custodied: SDNY_GM_00084292 https://dbforcepb.my.salesforce.cPer N30000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.CRITtent IDENTI At DB-SDNY-0027117 EFTA_00174798 EFTA01298907 KYC Print Page 18 of 23 Describe the chain from the dnd owner of the entity to the ultimate beneficial owner (if not the same persons): Single member LLC Jeffrey Epstein is sole memberlowner. The signors on this account are Jeffrey Epstein, Harry Beller 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)/ WA Yes 0 No 2 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business This is a company formed to hold funds for the taxes and payments of one o' Jeffrey Epstein's airplanes. This LLC was formed to eventually take over parr Cr',,. for Hyperion Air Inc. Hyperion Air Inc will be closed within a year Countrieswhere business is transacted. Virgin Islands, U.S. Number of employees: 1 3D. Wealth ProThe (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-Inabilities): This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to eventually take over payments for Hyperion Air Inc. Hyperion Air Inc will be closed within a year. Initial capital contribution of $1,000 from Jeffrey Epstein. All funds for this company come from Jeffrey Epstein's source of wealth. Estimated gross receipts p.a.(5): 1,000 000.00 Estimated net profit p.a. (5): 500,000.00 Estimated investable assets (5): <51 MM Potential Amount to be invested with PWM (5): 150,000.00 Other Known Financial Institutions: Institution: Country: Est Assets Under Mgt Institution: Country: Est Assets Under Mgt Institution: Country: Es: Assets Linos, Vs; SDNY_GM_00064293 https://dbforcepb.my.salesforce.e a lerl nTher ettlIAL130000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VR tt i DB-SDNY-0027118 EFTA_00174799 EFTA01298908 KYC Print Page 19 of 23 DB PWM GLOBAL KYCINCA: US/ LatAm/ I orl PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments Gel S 8 4864 7 • Overall Risk - HIGH, Entity Risk - MEDIUM, Industry Risk - HIGH, Country Risk - MEDIUM, Product Risk - MEDIUM. GC S a 487225 • Overall Risk - HIGH. Entity Risk - MEDIUM. Industry Risk - HIGH. Country Risk MEDIUM, Product Risk - HIGH. Booking Center tai NY ILIII O Offshore • Moderate :;-,i High Risk / Offshore Rik (Compliance Signature) O DB Employee O 08 Managed PIC DOB is Trustee. Co-Tiu ee O Bearer Shares 4. Attachments I A. Type of Photo ID Provided Drivers license SI Passport O National/Sate ID ❑Other Darren Indyke • GC.S /I 486405 Checklist of names (individuals and/or entities) that were submitted for database B. RI Yes O No searches is attached C. Please indicate the results of the database searches performed RDC searches complete ga Yes O No negative results found RI Yes O No PCR checks complete Eyes KNo negative results found '' Yes • No OFAC checks complete R es O No negative results found O Yes E0 No Ell S searches complete (Lexis/Nexis, Factiva, Reuters, Dow D&B) Yes O No negative results found ®Yes • No Jones, Denial Orders checks complete R Yes • No negative results found O Yes 74 No Martindale-Hubbell searched (Lawyers/Law Firms only) R Yes ONo negative results found El Yes Ed No 0 Please summarize any negative results from the database searches indicated above J Epstein Virgin lidands Foundation Inc: • No adverse information in Google results for J. Epstein Virgin Islands Foundation Inc News relates to tax return and nothing negative. Negative news relates to Jeffrey Epstein's sex offence which are cleared already Attached clearances in this case. - No court cases Hyperion Ai LLC • No adverse information In Google media results. Hyperion Air LLCs name is just mentioned in the Aircraft Newly Registered list on antonakis.co.uk website - No negative media • No court cases Jeffrey Edward Epstein: - Adverse results in Google relates to Jeffrey's Sex offence in the past which are cleared already. Attached clearances in the case • Negative media relates to the sex offence in the past which are already cleared. (KYC 6 - 01790655) • Court cases relates to Jeffreys sex offence in the part which is already cleared, another (Gerber Et Al V. The Financial Trust Company Et Al) is a recent ongoing dvil 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'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 Darren Indyke: • Negative news in Google does not pertain to Darren. It relates to Jeffrey Epstein's Foundation and Jeffrey Epstein's sex offence In the past which are already cleared • Court case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past which has been cleared already. Darren is just an attorney for Jeffrey in the case. - Fircosoft alert has been cleared by AML Compliance. Clearance attached. Harry Beller: SONY GM_00064294 littps://dbforcepb.my.salesforce.ePer leilliENoTtAt130000000139Di&i.. 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRaltrie l DB-SDNY-0027119 EFTA_00174800 EFTA01298909 KYC Print Page 20 of 23 - No adverse information in Google media results for our RP Harry Beller. Hits are False positives - on a scientist and an UN Orthopedic doctor • No negative media • Harry Beller is the plaintiff in the court case, also it has been disposed. Enka Kellerhals - No negative media - No court cases Southern Trust Company Inc. • No negative media - No court cases The Financial TruS Company • Negative news in research is false positive and immaterial in nature The hit is on IRA Financial Trust Company and not our SOW entity The Financial Trust Company. • Court case pertains to First Financial Trust Company and not our SOW entity The Financial Trust Company Paul S Barrett. - No negative media • No adverse results in Google search Those are false hits. There's a match in one news, but he's just mentioned as an Investment advisor • No court cases - RDC alert found - False positives. does not pertain to our client. Age and location mismatch. Clearance attached. Enhanced Education • Hits on Google are on the term "Enhanced Education' and not on our entity's former name - Negative media hits are on the term 'Enhanced Education' and not on our entity's former name • Court cases have term 'Enhanced Education" included. the hit is not on our entity's former name Lawrence Paul Visoski Jr - No negative media • No court cases To the best of your knowledge. has the client ever been convicted of a criminal E Vi : Yes 11 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 YOS, Li Yes LVI.J No provide details below and contact Quality Mgt. (LatAmant7) or the Regulatory Control Group and notify Compliance immediately) Does the client or related party have any finanaal or other assoctation I interactions G within countries or regimes sanctioned by the Office of Foreign Assets Control D yes ['21No (OFAC)? Does the them or related party have any finanaal or other association/ interactions H .Yes No within high risk countries? I Corporate Documentation Attached (Legal Entities Only) WI Yes ri No .71 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) n Yes ri No Not Applicable K. If Lexistelexis 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? Li Yes kJ No Is the account structure unusually complex? L] Yes WIN* Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to E Yes "Q r.- - No third parties? Is there any indication this could be a prohibited busness I Yes .!"1 : No relationship? SDNY_GM_00064295 https://dbforcepb.my.salesforce.c, rtiiV_ITOtfgvierlIENoTIALB0000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.tb-rtIWFI.a(b) I 1-1 DB-SDNY-0027120 EFTA_00174.801 EFTA01298910 KYC Print Page 2I of 23 Are the bearer shares identified subject to acceptable controls? Ej yes qisse SDNY_GM_00064296 https://dbforcepb.my.salesforce.ctfWgvieniEttdoppeB0000000D9Di&... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R. ll'otrP e(b) ' DB-SDNY-0027121 EFTA_00 174802 EFTA01298911 KYC Print Page 22 of 23 M. Case Comments Created By Date Comments Mayur Rathod 9:24/118 3 16 AM No material changes confirmation 'email- attached in the case. Jeana Milligan 11114'118 3:16 PM This KYC serves as Periodic Review for the following existing clients' 1) J Epstein Virgin Islands Foundation Inc. (2) Hyperion Air LLC Risk factors include' Source of Wealth (SOW) Indudry: Financial Management PEPiRCA- Jeffrey Epstein. UBO 8 SOW. is considered an RCA based on his dose relationship With Bill Clinton and Prince Andrew. • Media- Negative media related to Jeffrey Epstein has been previously reviewed and escalated for reputations' flak concerns. Prior approval to proceed with the relationship may be found under KYC 01082293. including a stipulation to review further if new media is identified Accordingly, approval from the Divisional Control Officer is attached to this KYC in regards to a recently filed (and dismissed) court case (Please see clearances for more details) We are comfortable signing•off on this KYC for the following reasons. • Information and supporting documents required by our AML Policy were provided and reviewed. As a result, we have a reasonable understanding of the purpose of the account and expected transaction activity. • The source of wealth was sufficiently detailed and appears plausble. • We performed due diligence searches on all parties and did not find the names searched to be n any sanctions lists Mayur Rathod 11/131118 8:20 AM Banker last spoke to Rchard Kahn. CFO of Epstein's family office on 1st Nov 2018 confirming o material changes to this KYC ONSHORE APPROVALS Client Facing Professional (CFP) Stewart Oldfield .Signature) Stewart Oldfield 10/15/2018 Office Director/Business Head. Andrew F Gallivan .Signature) Andrew F Gallivan 10115/2018 Regional Office Director. (Signature) AML Business Risk (Signature) AML Compliance: Jeana Milligan (Signature) Jeana Milligan 11' t412018 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP) (Sgnature) Account Manager (Signature) Gobal Market Team Head (GMTH)/Sub-Market Team Head SsmTH) (Sgnature) AML Business Risk (Signature) SDNY GM_00064297 https://dbforcepb.my.salesforce.c cin itAkisgvieniEttpAtB0000000D9Di&-... II/14/2018 CONFIDENTIAL - PURSUANT TO FED. R. %VP. a(b) I "" DB-SDNY-0027122 EFI'A_00174.803 EFTA01298912 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(I) 's) should establish and maintain business relationships only with persons who sail* 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 clings) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York SONY GM_00064298 Imps://dbforcepb.my.salesforce.caTher OL30000000D9Di82... 11/14/2018 CONFIDENTIAL - PURSUANT TO FED. R.VRAIM IDENTIA DB-SDNY-0027123 EFTh_00174804 EFTA01298913