EFTA Document EFTA01298930

KYC Print Page 1 of 27 DB PWM GLOBAL KYC/NCA: PART A P2 KYC Case # : 01977694 One sheet must be established per relationship - list all accounts included in the relationshi I. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Oldfield Li New PWM Relationship [el Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: m 2018 Periodic Review - IC Overdue KYC " 1, Last Approved KYC 4 Plan D LLC - 1790820; NES LLC - 1790739; The 2007 3effrey E Epstein Insurance Trust & The Haze Trust - 1804531. IDs for Darren Indyke & Richard Kahn can be found in "Repository" of GUS 4 486405. R Client Referral II RM Prospect 0 Intermediary/FIM 0 Other Source (GB, etc.) How Was the Oient(s) Introduced? How long has the RM personally known the dient? Please provide details (e.g. name of referral source, how many years RM personally 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 0 Yes I LVJ No compensation to a third party for the introduction of this relationship? (/f yes describe). List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) I Nes LLC • 42953758 • DDA-42953758 11/8/2013 2 7i Plan D LLC - 42953467 - DOA-42953467 10/18/2013 3 2 The Haze Trust - 77000949 - DDA-77000949 2/21/2017 4 5:.:4 The Haze Trust - 146024943 - 0651-N46024943 9/23/2013 5 R1 The Haze trust - 42967287 - DDA-42967287 2/27/2017 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Darren K. Indyke Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): 212 971 1314 Status : 6. Approved SDNY_GM_00064323 littps://dbforcepb.my.salesforce.crsepgvIDENopAts130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. n'ota) ' DB-SDNY-0027148 EFTA_00 174826 EFTA01298930 KYC Print Page 2 of 27 One sheet must be established for each account to be opened 2. Account Owns-ship Summary Account Name: Nes LLC - 42953758 - DDA Acct. Number (if evadable): 42953758 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)? This is a simple checking account to take care of the expenses associated with running Jeffrey Epstein's NY home Indicate from where the assets are expected to arrive? 1,7 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): L..1 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)?: ni, 10-20/month; $30 - $20K What is the expected volume of assets and currency for the account approx. 90 days after opening? 252,347.66 'Currency I USD What is the expected volume of assets and currency for the account approx. one year alter opening? 252,347.66 I Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 0 Yes Witlo mean 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 drill down to the ultimate/underlying Beneficial Owner(s . _egal !Mayor Descnption Source of Wealth required Parties related to this account AccountblC Holder OwnerTrust Settlor of / Founder of Foundation Jltimate Beneficial Owner Signatorycimeed or Full POA POA mantle! ntermediary FIM) j%) Significant Shareholder (>=25%) Von-PIC entity ;indicate ownership Other (please describe other roles and/or ndicate relationship petween parties) 1 rtZ 2 NES, LLC 2 0 0 0 U 0 0 2 Li 0 Darren K. lndyke 0 • 0 0 2 iii 0 Auth Signor; 3 0 [1 Harry Beller 0 0 0 0 Z El 0 Aunt Signor; 4 0 q Jeffrey E. Epstein 0 0 0 0 Z CI 0 100 Beneficiary:Sole Member;Primary Decision Maker;Sole Owner; SDNY_GM_00064324 littps://dbforeepb.my.salesforce.c cnicghispitErEttpAts130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. ll'oeP. a(b) ' DB-SDNY-0027149 EFTA 00174827 EFTA01298931 KYC Print Page 3 of 27 2. Account Ownership Summary Account Name: Plan 0 LLC - 42953467 - DDA Acct. Number (if availatVel 42953467 Account Manager: Stewart Oldfield What is toe purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a simple checking account for pay for costs associated for Jeffrey Epstein's airplanes Indicate from where the assets are expected to arrive? :74i-..1 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): D Other Institution - (Indicate name & location): ,.."I t..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)?: ••••• 1-5/month; $100 • $500K What Is the expected volume of assets and currency for the account approx. 90 days after opening? 790,453.14 1Currency I US° What is the expected volume of assets and currency for the account approx. one year after opening? 790,453.19 I Currency I USO Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? O Yes Z 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 Parties related to this account Account Holder ?IC OwnerTrust Settlor of / Founder of Foundation Jlbmate 3eneficial Owner Signatorysimpted x Full POA POA Financial ntermediary5hareholder (FIM) Significant (>2•25%) Non-PIC entity ;indicate iwnership %) Other (please Jesaibe other roles and/or ndicate "elationship Dehveen parties) 1 2 2 Plan D, LLC O Li O • O O 2 U [A Jeffrey E. Epstein O O O 11.€1 5 O O Beneficiary;Sole Member;Primary Decision Maker; 3 -' O Darren K. Inclyke L • O O El K O Auth Signor; 4 L...] D Harry Beller O O [1] O W C7 O Auth Signor; 5 r- K Lawrence Paul 1Asoski 3r O O O O O K O Manager; SDNY_GM_00064325 IllIps://dbforcepb.my.salesforce.ctir4dsgvIDENopAts130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. Roe (b) ' DB-SDNY-0027150 EFTA 00174828 EFTA01298932 KYC Print Page 4 of 27 2. Account Ownership Summary Account Name: The Haze Trust - 77000949 - DDA Acct. Number 0' available): Account Manager: Stewart Oilfield what is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is an interest bearing checking account for costs (taxes, etc.) related to this Trust Indicate from where the assets are expected to anive? E. DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): O 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)?: ••• 1.3/month; $10K - $10MM What is the expected volume of assets and currency for the account approx. 90 days after opening? 7,707,707.25 1Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 7,707,707.25 '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 theCk 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 ultimate/underlying Beneficial Owner(s). _egal Enbtyof Description Source of Wealth required Parties related o this account AccountPIC Holder OvmerTrust Senior of / Founder of Foundation Jlbmate Beneficiator Owner Signatory_imitedlinancial Full POA ?OA IntermediarySharehoider (FIM) Significant (>-25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate 'elabonship between parties) 1 Lii Ri Thee Haze st O D O K O O O 2 I I LI lDandyke rren K. O O O O W..1 O O Trustee:Trustee;Au th Signor as Trustee; 3 El FA Jeffrey E. Epst ein K O O Trustee:Trustee;Auth O gz M V . i J O Setdor;Beneficiary; Signor as Trustee & 'riflery Decision (Maker; SDNY_GM_00064326 littps://dbforcepb.my.salesforce.e Cr' ifMbdspleEttpA0L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. ll'orP. e(e) ' DB-SDNY-0027151 EFTA_00174829 EFTA01298933 KYC Print Page 5 of 27 2. Account Ownership Summary Account Name: The Haze Trust - N4G024943 - DBSI Acct. Number (it available): N4G024943 Account Manager: Stewart Oktfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a brokerage account for the trust to hold and make investments in marketable securities is the purpose of the account Indicate from where the assets are expected to arrive? .12l DB Group: Same Booking Center (Indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): --, ....! Other Institution - (Indicate name & location): .::-,sts (specify cash, securities, cheques, ...): 1. hat is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: - 3-10/month; $10 • $2MM What is the expected volume of assets and currency for the account approx. 90 days after opening? 20,355,143.12 I Currency I USD What is tne expected volume of assets and currency for the account approx. one year after opening? 20,355,143.12 'Currency I USD Does/will the client have Assets Under Management (AuM) within DE under Eur. 3M' El 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 describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). _egal cnbtyof Description Source of Wealth required Parties related to this account AccounWIC Holder OwnerTrust Settlor of / Founder of Foundation Jltimate Beneficial."( Owner SignatoryjmitedFinancial Full POA ?OA IntermediarySliarehoider (FIM) Significant (>=25%) Non•PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between parties) 1 R 5 Trust The Haze z U O O n i_i O C 2 O 5 Jeffrey E. Epstein L i Li y--..;1 0 Y.I O O Settlor;Beneficiary; Trustee:Trustee;Au Signor as Trustee & Primary Decision Maker; 3 L U Darren K. lndyke O O O U E6 Trustee:Trustee;Au Signor as Trustee; 'I El El Paul Barrett O DO O O O Paul has Limited Trading Authorization for Brokerage account; 5 O [1 Harry Beller • o a a O D POA for Brokerage Account; 6 O O O O O • '5 III O POA for Brokerage Account; SDNY_GM_00064327 littps://dbforcepb.my.salesforce.e ciriegisepgv IDENopA0L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. iforP. BM DB-SONY-0027152 EFTA_OOI 74830 EFTA01298934 KYC Print Page 6 of 27 Jean Anne Brennan W,ebracht I I I I I I I SDNY_GM_00064328 Imps://dbforcepb.my.salesforce.cPer IniENctiA0L130000000D9Ditic... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R.CIRIa DB-SDNY-0027153 EFTA_00174831 EFTA01298935 KYC Print Page 7 of 27 2. Account Ownership Summary Account Name: The Haze trust - 42967287 - DDA Acct. Number (if available). 42967287 Account Manager: Stewart Oilfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a simple checking account for costs (taxes, etc.) related to this Trust Indicate from where the assets are expected to amve? E. DB Group: Same Booking Center (indicate account number): Existing 2 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): i..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)?: There are regular transactions in The Haze brokerage account, which is where most of the activity is. The deposit account just holds cash to earn the interest. Wouldn't expect many transactions there. What is the expected volume of assets and currency for the account approx. 90 days after opening? 2,503,667.84 'Currency 1 115O What is the expected volume of assets and currency for the account approx. one year after opening? 2,503,667.84 'Currency I OW Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M' Ell yes g 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 drill down to the ultimate/underlying Beneficial Oviner(s). _egal zntityof Description Source of wealth required Parties related this account AccounWIC Holder Ownerfrust Settlor of / Founder of Foundation Jltimate Beneficialor Owner Signatorytimited Full POA POA Financial Intermediary5hareholder (FIM) Significant (>=25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between ciarties) 1 ce, IA The rust Haze 2 C 2 CI ri i_i 0 E 2 Epstein Jeffrey E. 0 0 2 72 Si) 0 C Settler:Beneficiary; Trustee:Trustee;Au Signor as Trustee & Primary Decision Maker; 3 0 0 Darren K. lndyke 0 0 0 U d Li L Trustee:Trustee;Au Signor as Trustee; SDNY_GM_00064329 https://dbforcepb.my.salesforce.cr et N30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. . ( ) DB-SDNY-0027154 EFTA 00174832 EFTA01298936 KYC Print Page 8 of 27 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953 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 raided outside of his/her country of nationality for 5 years or more? 0 Yes WTI No -- Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Islands, V.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 ,.._ L Yes M No Is the individual a Politically Exposed Person (PEP)?(if Ve4 destribe) Connection with Prince Andrew and Bill Clinton bi Yes 0 No To the best of your knowledge, is the individual related to an employee of the DB grout:P(1f Family or Fnenclsivp, descfibe) N/A ri Famity ri Friendship WI 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 Ye5descnbe) NA 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 Name(s) Bank Office: Client Private Domicile: Client Place of sin Bu ess: Other Location (specify): Date: Stewart Oklfield W K rn i__i 6/28/2017 0 0 0 0 F ..._., 0 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: 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 0 SalSalary/EarningsW. Investment Ell Inheritance/Gifts D Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how did family accumulate wealth?For businms owners, how long in business, how many employees, level of SDNY_GM_00064330 littps://dbforcepb.my.salesforce.ctAlisepgvIDEMA0L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. ItoeP.B(b) 1 DB-SDNY-0027155 EFTA_00174833 EFTA01298937 KYC Print Page 9 of 27 profitabikty? 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 Steams early in his career and then formed his own firm, J. Epstein & Co. He lives in the US V1rgin 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 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 client's assets Estimated Annual Income (5): Estimated Net Worth(S): 10,000,000.00 $500 MM + Estimated amount of investable assets($): 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. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (mantal status, other family members, etc.): N/A SDNY_GM_00064331 Intps://dbforeepb.rny et .salesforce.cti athgvettlopAts/30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. IWP.a(e) I DB-SDNY-0027156 EFTA_00174834 EFTA01298938 KYC Print Page I 0 of 27 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 counuy of nationality for 5 years or mere? O Yes Kii.. No • - Profession/Occupabon: Accountant Tax ID / SSN: Current Employer: Southern Rnancial LLC Position/Title/Rank: Accountant Address of employer: 6100 Red Hook Quarter 83 Livingston 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 K Yes ki No Is the individual a Politically Exposed Person (PEP)?(if Yes describe) N/A W No • Yes To the best of your knowledge, is the indMdual related to an employee of the DB group?(if Family or Fnenclsivp, desalbe) N/A O Fan* 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 Yesdeseebe) N/A O 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 Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Stewart Oldfield R O O 12/12/2016 O O iiii O O • [11 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 Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings El] Investment O Inheritance/Gifts O other: SDNY_GM_00064332 littps://dbforcepb.my.salesforce.c MpusgvIDEittpA0L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. IWP. ' DB-SDNY-0027157 EFTA_OOI 74835 EFTA01298939 KYC Print Page I I of 27 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 profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (S): Estimated amount of invariable assets(f): Estimated Net Worth($): Amount of assets planned to invest with FWM(S): 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 or the individual (marital status, other family members, etc.): SDNY_GM_00064333 littps://dbforcepb.my.salesforce.cPer IftENTIAOL130000000D9Di8c... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R.CR0oltItir DB—SDNY-0027158 EFTA_00174836 EFTA01298940 K Ye Pi nl Page 12 of 27 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 pri Address of ma ry residence: Has client resided outside of his/her country of nationality for 5 years or more? IJi gl.i No O Yes -- Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Posibon/litle/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 entitles O Yes R : No Is the individual a Politically Exposed Person (PEP)?(if Yes dewily) N/A R No IIII Yes To the best of your knowledge, Is the indMdual related to an employee of the DB group?(,f Fame i y or Fnendshep, describe) N/A O Famiy O Friendship Wil None To the best of your knowledge, Is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes describe) NA O Yes No R If applicable, indicate which bar* officers have met Indicate where and when the client meeting(s) took place: the person. Bank Officer Name(s) Bank Office: Client Private Domicile: Chem Place of Business: Other Location (specify): Date: O O a O O O I o El E.7, r--1 :..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 Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/EarningsEl Investment O Inheritance/Gifts O Other: SDNY_GM_00064334 https://dbforcepb.my.salesforce.c ficriAtOgvIDENoTtp 1/40L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. RoftP. (b) I DB-SDNY-0027159 EFTA_00174.837 EFTA01298941 KYC Print Page 13 of 27 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 profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (S): Estimated amount of investable assets(f): Estimated Net Worth($): Amount of assets planned to invest with FWM(S): Other Known Financial Insbtubons: Institution: Country: Est. Assets Under Mgt: Insbtutlon: 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_00064335 littps://dbforcepb.my.salesforce.PA IflpENcriA0L130000000D9Di8c... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R.CRItteltir DB-SDNY-0027160 EFTA_00174838 EFTA01298942 KYC Print Page 14 of 27 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 Barrett - 0030031758 4 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 . No - Profession/Occupation: Investment Advisor Tax 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 executive 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 66 No Is the individual a Politically Exposed Person (PEP)?(if Yes descnbe) N/A g No • Yes To the best of your knowledge, Is the IndMdual related to an employee of the DB group7(,1 Fame i y or Poem/ship, describe) N/A K Fumy 0 Friendship Ea 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 serykes)?(if Ye4descnbe) N/A Oyes Ebb 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 f o Business: Other Location (specify): Date: 0 0 III 0 III III o 0 0 : ---, ...1 Wealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: 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 SalSalary/EarningsEl Investment [11 Inheritance/Gifts 0 Other: SDNY_GM_00064336 lilt ps://db forcepbmi .salesforce.ccAtatis.gviDENoTtAti 30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. IWP. iii(b) I DB-SDNY-0027161 EFTA_00I 74839 EFTA01298943 KYC Print Page 15 of 27 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 activities, important business partners.) Estimated Annual Income (S): Estimated amount of investable assets($): Estimated Net Worth(3): Amount of assets planned to invest with PWM($): Other Known Rnancial lnsbtutions: 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_00064337 littps://dbforcepb.my.salesforce.cPA IDENoTIA01±B0000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R.VIRftztelt DB-SDNY-0027162 EF1'A_00174840 EFTA01298944 KYC Print Page 16 of 27 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Symms 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 ma pri ry residence: Has client resided outside of his/her country at nationality for 5 years or mere? !1.1 O Yes • - No Profession/Occupabon: Finance Tax ID / SSN: Current Employer: Southern Financial LLC Posibon/litientank: Finance Address of employer: 6100 Red Hook Quarter, B3 St, Thomas Virgin Wanda, 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. desa0e) N/A R NO • Yes To the best of your knowledge, Is the individual related to an employee of the D8 group?(,f Fame i y or Fnendsivp, desalbe) N/A O Family O Friendship Ed 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 serykes)?(f Ye4describe) N/A O Yes R No If applicable, indicate which bar* 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: o O O O O ii O O O 1....11/4fealth 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 Busi iess: 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 O Salary/EarningsEl Investment El Inheritance/Gifts O Other: SDNY_GM_00064338 littps://dbforcepb.my.salesforce.c CrieMbilspletEittpA0L‘130000000D9Di &... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. IletrP. 6(e) ' DB-SONY-0027163 EFTA_00174841 EFTA01298945 KYC Print Page 17 of 27 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 profitability? Indicate type of business, countries of major actwities, important business partners.) Estimated Annual Income (5): Estimated amount of investable assets($): Estimated Net Worth(3): Amount of assets planned to invest with PWM($): Other Known Rnancial Inautions: 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_00064339 littps://dbforcepb.my.salesforce.caRA in,ENTIA0L130000000D9Ditic... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. ktiarraetr , DB-SDNY-0027164 EFTA 00174842 EFTA01298946 KYC Print Page 18 of 27 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Lawrence Paul Visoskl Jr - Date of Birth: Country of Residence: United States Country of Citizenship: United States Address of ma pri ry residence: Has client resided outside of his/her country of nationality for 5 years or more Ei Yes - No ill - Profession/Occupation: Manager Tax ID / SSN: Current Employer: Plan D LLC Position/Title/Rank: Manager Address of employer: 6100 Red Hook, Quarter B3 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 operabng 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 indMdual related to an employee of the DB group7(,1 Fame i y or Fnendsivp, descfibe) N/A ri Family El Friendship gel 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 Yesdesalbe) N/A 1.: Yes Et 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: O O O O O a o Li O ---: L...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 O Salary/Earnings El Investment O Inheritance/Gifts O other: SDNY_GM_00064340 littps://dbforeepb.my.salesforce.NIVVIDENMAt N30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0027165 EFTA_00I 74543 EFTA01298947 KYC Print Page 19 of 27 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, profitability? Indicate type of business, countries of major activities, important business partners.) accumulate level of Estimated Annual Income ($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Actors 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.): 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: The Haze Trust • 00000486428 Type of Entity: 0 Foundation/Association O!Trust 0 Company 0 Estate El Partnership Purpose of Entity: 6 Private Investment [I P:4hilanthropic/Charitable 0 Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/r incorporation/registration: Incorporation United States Date of / registration: 2/9/1999 Volcker Status: Identified on Customer Profile Volcker flag: No Address (city, street, post code): 6100 Red Hook Quarter 63 St, Thomas 00802 Virgin Islands, U.S. U.S. TIN/IEIN: 117185414 Provide a descnption of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,setdor and beneficiaries,etc.: This is a Revocable Trust. Jeffrey Epstein: Grantor/Trustee/Beneficiary Darren Indyke: Trustee Please indicate how ownership of the legal entity is reflected: Trust Agreement 7 Special attention: Bearer Shares - Indicate where shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same pawns): Jeffrey Epstein: Grantor/Trustee/Beneficiary Darren Indyke: Trustee 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 f - 1 rat Yes Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: The trust was initially funded with $100. The trust makes and holds investements nd the gains it makes from those investments is its source of revenue. The trust, in turn, puts these gains back into the trust and reinvests. Countries where business is transacted: United States SDNY_GM_00064341 littps://dbforeepb.my.salesforce.e cinic-MsepgvitiDENTIFAOL130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. ItoeFI.II(b) I DB-SDNY-0027166 EFTA_O017,1844 EFTA01298948 KYC Print Page 20 of 27 Number of employees: 2 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 trust was initially funded with $100 from Jeffrey Epstein. The trust makes and holds investements and the gains it makes from those investments is its source of revenue. The trust, in turn, puts these gains back into the bust and reinvests. Estimated gross receipts p.a.(g): 300,000.00 Estimated net profit p.a. ($): 200,000.00 Estimated investable assets ($): $20 MM • 50 MM Potential Amount to be invested with PWM (S): 200,000.00 Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: InsbhAion: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Plan D, LLC - 00000487219 Type of Entity: 0 Foundation/AssociationO Trust ;A Company Purpose of Entity: e] Private Investment Eli Philanthropic/CharitaNe El Commercial 0 Estate II Partnership Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: Virgin Islands, U.S. Date of incorporation / registration: 10/19/2012 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: 66-0795246 Provide a description of the entity's organizational structure, it ownership structure and Its Top Management. For trusts/foundations, include information about revocability,setdor and beneficiaries,etc.: Single member LLC. Sole member is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyke Please Indicate how ownership of the legal entity is reflected: Operating Agreement El 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). Single member LLC. Sole member Is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyke SDNY_GM_00064342 Intps://dbforeepb.my.salesforce.ettmetisgviDENopp1/40u30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. ItorP.B(e) I DB-SDNY-0027167 EFTA_O0I7,1845 EFTA01298949 KYC Print Page 21 of 27 Lawrence Paul Visoski Jr is the manager. 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 r---1 r-A Yes LJ No affi Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: LLC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes. Personal airplanes are generally leased out to others when the owner is not using the plane. Countries where business is transacted: United States Number of employees: 1 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): LLC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes. Initial contribution of $1,000 from Jeffrey Epstein and all source of funds come from Jeffrey Epstein. An airplane is equipment. Personal airplanes are generally leased out to others when the owner is not using the plane. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. (5): 500,000.00 Estimated investable assets ($): <51 MM Potential Amount to be invested with PWM ($): 200,000.00 Other Known Anancial 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 all Legal Enm es) Legal Entity Name: NES, LLC - 00000487265 Type of Entity: 0 Foundation/AssociationO Trust rkl Company Purpose of Entity: RIPrivate Investment LI Philanthropic/Charitable Ell Commercial 0 Estate • Partnership Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: United States of Date incorporation / registration: 8/13/1998 Volcker Status: Identified on Customer Profile Volcker Rag: No SDNY_GM_00064343 littps://dbforcepb.my.salesforce.crWrIpttpAt130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. RotrP. 6(b) ' DB-SDNY-0027168 EFTA_00174846 EFTA01298950 KYC Print Page 22 of 27 Address (city, stree t pest code): 6100 Red Hook Quarter, B3 St, Thomas 00802 Virgin stands, U.S. U.S. TIN/IEIN: 13-4146141 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.: Single member LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Darren Indyke and Harry Beller Please indicate how ownership of the legal entity is reflected: Operating Agreement 0 Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner Of not the same persons) Single member LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Darren Indyke and Many Beller 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 r—i Yes L_J No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business' NES, LLC was formed to take care of the expenses associated with running one of Jeffrey Epstein's homes Countries where business is transacted: United States Number of employees: 1 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 Fnancial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): All funds come from Jeffrey Epstein, who has been KYCd previously Estimated gross receipts p.a.(5): 1,000,000.00 Estimated net profit pa. (5): 500,000.00 Estimated investable assets ($): <51 MM Potential Amount to be invested with PWM (5): 150,000.00 Other Known Anancial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_0006434 4 lilt ps://dbforcepb.my.salesforce.ctAtstisgvIDENMA0L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. Iht(P.a(b) I DB-SONY-0027169 EFTA_O0174.847 EFTA01298951 KYC Print Page 23 of 27 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: The Haze-Overall-HIGH,Entity-HIGH,Inclustry-HIGH,Country-MEDIUM,Product-HIGH.The 2007 Jeffrey-Overall- HIGH,Entity-HIGH,Industry HIGH,Country-MEDIUM,Product-HIGH.Plan D & NES LLC- Overall-HIGH,Entity- MEDIUM,Industry-HIGH,Country-MEDIUM,Product-HIGH. Booking Center Center R I NY ._, NY/Offshore Li Offshore [I] RiskModerate fJ High RiSki JJ (Compliance Signature) LI DB Employee ----, Li DB Managed PIC Li DB is Trustee/Co-Trustee [.. „ 1 Bearer Shares 4. Attachments A. Type of Photo ID Provided R Drivers License RI Passport O National/State ID O Other Checklist of names (individuals and/or entities) that were submitted for database nt B. MI Yes O No searches is attached C. Please indicate the results of the database searches performed RDC searches complete R Yes O No negative results found . yes O No PCR checks complete - Yes O No negative results found R yes Li No CfAC checks complete g Yes O No negative results found O Yes Pi No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) g Yes O No negative results found RI Yes L No Denial Orders checks complete g yes O No negative results found O Yes RI No Martindale-Hubbell searched (Lawyers/Law Firms only) O yes g No negative results found Oyes O No D. Please summarize any negative results from the database searches indicated above: Plan D: - No negative media - No court cases The Haze Trust: - No negative media - No court cases me 2007 Jeffrey E. Epstein Insurance Trust #3: - No negative media - No court cases NES LLC: - No negative media, - Court case was filed way back in 4/5/2005 which pertains to NES LLC that is involved in doing business as National Educational Service and the status of the case stands closed. This doesnot pertain to our entity as our entity is not into educational service. Harry Beller: • No negative media - Harry Beier is the plaintiff in the court case, also it has been disposed. Jeffrey Edward Epstein: • Adverse results in Google relates to Jeffrey's Sec offence in the past which are cleared already. Attached clearances in the case - Negative media rates to the sex offence in the past which are already cleared. (KYC # - 01790655) • Court cases relates to Jeffreys sex offence in the past which is already cleared, another (Gerber Et Al V. The Rnanciat Trust Company Et Al) is a recent ongoing civil lawsuk pertaining to fraud which has been dismissed (attached document), but part of normal business operations for this (Bent. And in one of the case he's neither defendant nor plaintiff. He's Just named as a respondent and the casein immaterial in nature - Criminal Filings relates to sex offence which is already cleared in the past SDNY_GM_00064345 Imps://dbforcepb.my.salesforce.ct MadsgyleEttpAti30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. n'orP. (b) ' DB-SONY-0027170 EFTA_00 174848 EFTA01298952 KYC Print Page 24 of 27 - RDC alert found • Sex offences in the past which has been cleared - Clearance attached 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 is just an attorney for Jeffrey in the case. - Fircosofc alert has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Arca and was cleared In the previous KYCs. Attached clearances • RDC alert found • realates to violation of NYSE Arca Equities Rule - Clearance attached. Mr ga ve media • No court cases Paul S Barrett : - No negative media • No court cases - RDC alert found - False positives, does not pertain to our client Clearance attached. Jean Anne Brennan Wiebracht: • No negative media - No court cases Lawrence Paul Visoski Jr: • No negative media - No court cases Southern Trust Company Inc: - No negative media - No court cases The Financial Trust 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 • rtains to First Financial Trust Corn and not our SOW en; The Financial Trust Com• an To the best of your knowledge, has the client ever been convicted of a aiminal E. offense? 12 Yes Ono To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes pogo* details below and contact Quality Mgt (Lat4m/Intl) or the Regulatory Control Group and no* Compliance immolate))) O Yes 0No Does the client or related party have any financial or other association / interactions G. within countries or regimes sanctioned by the Office of Foreign Assets Control No (OFAC)? Does the client or related party have any financial or other association/ interactions r--1 within high risk countries? Li Yes No I. Corporate Documentation Attached (Legal Entities Only) E0 Yes C3 No O Not Applicable 1 Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No g.16 Not Applicable K. If Lexe./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? Di Yes CZ No Is the account structure unusually complex? E3 Yes Fq I No SDNY_GM_00064346 littps://dbforcepb.my.salesforce.ccrifMktogvIDENTMOL130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. Ileta) I DB-SDNY-0027171 EFTA_O0174849 EFTA01298953 KYC Print Page 25 of 27 Is there any Indication the client set up a non operating company expressty for the purpose of transferring shares to third parties? Is there any Indication this could be a prohibited business relationship? Ores RiNo Ores rg No Are the bearer shares identified subject to acceptable controls? Oyes 1 No SDNY_GM_00064347 littps://dbforeepb.my.salesforce.c‘4171‘aVIDIENMAt N30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0027172 EFTA_00I74.850 EFTA01298954 KYC Print Page 26 of 27 M. Case Comments Created By Date Comments Alla Babu 11/5/118 4:18 AM Dan-en Indyke on 10/22/18 confirmed that there are no material charges. Yoonsun Chung 11/16/118 1:32 PM RM Confirmed that the clients will be closing the accounts before the end of the year. Case will be closed. 11/16/18 Dimitra Manley 11/19/118 11:42 AM This KYC serves as Periodic Review for the follovang existing clients: (I) Nes LLC (2) Plan D LLC (3) The Haze Trust Risk factors include: • Source of Wealth (SOW) Industry: Financial Management (managing client assets) • PEP/RCA: Jeffrey Epstein, UBO & SOW, is considered an RCA based on his dose relationship with Bill Clinton (Former US President) and Prince Andrew (Bntish Royal Family) • Media: Negative media related to Jeffrey Epstein has been previously reviewed and escalated for reputational risk concerns. Evidence of prior approval to proceed with the relationship is attached to this case, 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 plausible. • We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists. Yoonsun Chung 11/16/118 4:45 PM The only account closing is the insurance trust, Alka Babu 8/24/118 5:48 AM No material changes confirmation "email" attached in the case ONSHORE APPROVALS Client Facing Professional (CFP): Bradley &lin (Signature) Bradley Gillin 10/5/2018 Office Director/Business Head: Andrew F Gallivan (Signature) Andrew F Gallivan 10/9/2018 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Dimitra Manley (Signature) Dimitra Manley 11/19/2018 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Account Manager: (Signature) (Signature) SDNY_GM_00064348 littps://dbforcepb.my.salesforce.c fmstwviErEmopAti 30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. (b) I DB-SONY-0027173 EFTA_00I74.851 EFTA01298955 KYC Print Page 27 of 27 Global Market Team Head (GMTH)/Sub.Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) ANL Compliance: (Signature) 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 Professionals1(1) (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 confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the clients) and that I have followed all the procedures relating to account opening as described in the PWA1 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 Bonk Americas New York SDNY_GM_00064349 littps://dbforcepb.my.salesforcesSelf I eWr ti iAti3°°°®°°D9DiSc... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R.VR0orrit DB—SDNY-0027174 EFTA_00174852 EFTA01298956