EFTA Document EFTA01299130

KYC Print Page 1 of' 19 DB PWM GLOBAL KYC/NCA: PART A Int KYC Case # : 01141308 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Moms Relationship to PWM: 17 New PWM Relationship F Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ONLY adding signers to account. All signers have already been approved in previous KYC's. Please rush as this is a simple update. Harry Beller was approved in KYC 01133624 How Was the Chent(s) Introduced? How long has the RM personally known the client? r Client Referral P . RM Prospect F Intermediary/FIN r Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JINIorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? F Yes r NO (If ye, tame). List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 r Southern Financial, LLC 8/19/2013 2 F Southern Financial, LLC 8/19/2013 3 r Southern Trust Company, Inc. 8/19/2013 4 F Southern Trust Company, Inc. 8/19/2013 5 r Jeffrey Epstein 9/11/2013 6 F Jeffrey Epstein 9/11/2013 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Jeffrey Epstein Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): Status : 6. Approved SDNY_GM_00064834 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. 'Pt) 1 `—' DB-SONY-0027659 PPR EW AC TOpE . . D9Di&eid=50060. 10/30/2013 EFTA_00175335 EFTA01299130 KYC Print Page 2 of 19 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Fnancial, LLC Acct. Number (If available): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market. To hold funds for the company. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Cents (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan, NYC F Physical Deposits (specify Cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month ranging from $1000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 150,000 Currency USD Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the -Other column. • Ahway describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Cuner(s). legabescription Entityof Source of Weakh required parties related to is account AccountfIC Holder OwnerTrust Settler of / Pounder of Poundation Jltimate Beneficiabr Owner Signatory-imitecEnancial Full POA POA IntermedlaryShareholder (FIM) Significant K>=25%) Non-P1C entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between 'parties) 1 F F Jeffrey Epstein F F F F r F F Sole shareholder of Southern Trust; 2 F F Southern Financial LLC F F F F r r p 3 F F Southern Trust Company, Inc. F F F F F F F 100 Southern Trust is the sole member of Southern Anancial and Jeffrey Epstein s the sole shareholder of Southern Trust; SDNY_GM_00064835 CONFIDENT AL - PURSUANT TO FED. s://na4.salesforce.com/servlet R. Ft) I 1-1 DB-SONY-0027660 htt RififfElifrIACL0D9Di&eid=50060... 10/30/2013 EFTA_00 175336 EFTA01299131 KYC Print Page 3 of 19 2. Account Ownership Summary Account Name: Southern Fnancial, LLC Acct. Number (ifavailable),I Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold funds for the company. Indicate from where the assets are expected to arrive? F DI3 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate 013 location and account details): F Other Institution (Indicate name & location): JPMorgan, NYC F Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to 410,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency LlSD What is the expected volume of assets and currency for the account approx. one year after openng? 100,000 Currency USD Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropnate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other' column. • Ahvay descnbe the relationship between the parties in the last column. • Please drill down to the ultimate/untie ying Beneficial Ovmer(s). Legal Entitrof Description Source of Weakh required Parties related to pis account AccountPlC Holder OwnerTrust Setttor of / Founder of Foundation Ultimate Beneficialor Owner Signatory Full POA imitedRnancial POA Intermediaryehareholder (FIM) I(>-25%) 4%) Significant Non-PIC entity (indicate ownership Other (please describe other roles and/or indicate relationship between oarbes) 1 F F Jeffrey Epstein F F F F F F F Sole shareholder of Southern Trust; 2 F F Southern Financial LLC F r F F F F 3 F F Southern Trust Cornpany, Inc. F F F F F F F 100 Southern Trust is the sole member of Southern Anancial and Jeffrey Epstein s the sole shareholder of Southern Trust; SDNY_GM_00064836 CONFIDENTIAL - PURSUANT TO FED. R. At..) DB-SDNY-0027661 hops://na4.salesforce.com/serelet PHEYENIVIkt 0D9Di&eid=50060... 10/30/2013 EFTA_00 175337 EFTA01299132 KYC Print Page 4 of 19 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct Number (if available'. Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account. To hold funds for company Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): 17 Other Insbtubon (Indicate name & location): JPMorgan, NYC F Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to 410,000 What is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100,000 Currency USD the account approx. one year after opening? 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. • Ahmy describe the relationship between the parties in the last column. • Please drill doom) to the ultimate/unde ying Beneficial Owner(s). Legal Description AaountPIC Settler of Ultimate Signatoryt:itedRnancial ignificant Entityof Source Holder OwnerTrust / Beneficialor Full • *A Intermedia hareholder of Weakh Founder of Owner POA (FIM) >-25%) required parties related to s account Foundation on-PIC City indicate ii) ership Other (please describe other roles and/or indicate relationship between Parbes) 1 F F Jeffrey Epstein r r r F r n r Sole shareholder of Southern Trust; 2 F F Southern Trust Company, Inc. F F F F r r r SDNY_GM_00064837 https://na4.salesforce.com/serelet CONFIDENTIAL - PURSUANT TO FED. R. Ft) 0D9Di&eid=50060... FIBEMPAL 10/30/2013 DB-SDNY-0027662 EFTA_00175338 EFTA01299133 KYC Print Page 5 of 19 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (ifavadable). Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account. To hold funds for the company. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate O8 location and account details): 17 Other Institution (Indicate name & location): .WMOrgan, NYC 7 Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month ranging from 41,000 to 410,000 what is the expected volume of assets and currency for Currency LSD the account approx. 90 days after opening? What Is the expected volume of assets and currency for 150,000 Currency USD the account approx. one year after opening? 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. • Ahvay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC SettSor of _Iltimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiatr Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) 0.25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate lesrelated to p i a s account ownership %) relationship between ,arbes) 1 F F Jeff Jeffrey Epstein r r r F F F F Sole shareholder of Southern Trust; 2 F F Southern Trust Company, Inc. F r r r r r r DB-SDNY-0027663 SDNY_GM_00064838 p CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/servle t R. Fi ' lut piiriEmpActoD,Di&eid=50060... 10/30/2013 EFTA_00I 75339 EFTA01299134 KYC Print Page 6 of 19 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (if available): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account for Jeffrey Epstein's personal daily use. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate 08 location and account details): F Other Insbtubon (Indicate name & location): JPMorgan Chase. New York, NY F Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 15 inflows and outflows per month r nging from 5100-510,000. What is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100,000 Currency USD the account approx. one year after opening? 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. • Ahmay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settfor of _Itimate Signatory_imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiakw Full °OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate p i ities related to s account ownership %) relationship between ,arbes) 1 F F Jeffrey Epstein F F F F F F F 2 r r Harry Beller F F F F r SONY GM_000648.39 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/servlet ciEwriAtoD,Di&eid=50066... 10/30/2013 DB-SDNY-0027664 EFTA_001 75340 EFTA01299135 KYC Print Page 7 of 19 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (ifavailable). Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account to hold Jeffrey Epstein's personal funds. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F7 Other Insbtubon (Indicate name & location): 3PMorgan Chase. New York, NY F Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-2 inflows and outflows per month ranging from $1,000 to $20,000 What is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What Is the expected volume of assets and currency for 200,000 Currency USD the account approx. one year after opeNng? 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. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settior of _Iltimate Signatory _imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate related to pis account I%) rtes ownership relabonship between oanoes) 1 r F Harry Beller r r r F F F F 2 r F Jeffrey Epstein F r r r- F r r SDNY_GM_00064840 p CONFIDENTIAL - PURSUANT TO FED. sfina4.salesforce.comiservle R. At) 11il'-' DB-SDNY-0027665 htt ppfEtt .. ntieD9Di&eid=50060. 10/30/2013 EFTA_00175341 EFTA01299136 K NIT Print Page 8 of 19 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Obzenship: USA Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands Profession/Occupation: Self Empolyed Tax ID / SSN: 3348 Current Employer: Southern Financial LLC Positionrfrde/Rank: President Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Fnendship, describe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship With Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) r Yes F No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Paul morns r r F 4/3/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parse requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investment 17 Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did famdy accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, ). Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial LLC. All of his clients were anonymous except for the very wealthy businessman Leslie Werner. His wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets(S): $50 MM • 100 MM (S): Estimated Net Worth($): ;100 MM - 500 MM Amount of assets planned to invest with PWM($): 10,000.00 SONY GM_00064841 CONFIDENTIAL - PURSUANT TO FED. R. lutps://na4.salesforce.com/sen/le AttleEte At0 p D9Di&eid=500601.. 10/30/2013 DB-SDNY-0027666 EFTA_00I 75342 EFTA01299137 KYC Print Page 9 of 19 Other Known Financial Institutions: Institution: WIlorgan Country: USA Est. Assets Under Mgt: 20,000,000.00 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.): Single SDNY_GM_00064842 hups://na4.salesforce.comiservle pliFIENSITMC09Diaceid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. lit) ' a-'.. DB-SDNY-0027667 EF1'A_00175343 EFTA01299138 KYC Print Page 10 of 19 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Harry Beller -_7202 Date of Birth: 11956 Country of Residence: USA Country of Obzenship: Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Posibon/Trde/Rank: r0727 Current Employer: HBRK Associates, Inc Address of employer: 575 Lexington Avenue, 4th Floor Mousey NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(,f Family a- From/ship, descnbe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) r Yes F No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client of Business: Place Other Location (specify): Date: Paul Moms v r r 10/21/2013 F r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parole requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts F Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated amount of investable assets(s): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00064843 CONFIDENpTIAL - PURSUANT TO FED. s://na4.salesforce.com/servlet R R. FiNtb) 1 '' DB-SONY-0027668 ho if?: EWFVACL0D9Di&eid=50060... 10/30/2013 EFTA_00175344 EFTA01299139 KYC Print Page 11 of 19 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00064844 CONFIDENTIAL -PURSUANT TO FED. R. ne) DB-SDNY-0027669 hus://na4.salesforce.com/servlet PlififfEtnin0D9Di&eid=50060... 10/30/2013 EFTA_00I 75345 EFTA01299140 KYC Print Page 12 of 19 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: Southern Financial LLC - 00000483882 Type of Entity: r Foundation/Association r Trust 17 Company r Estate r partnership Purpose of Entity: F Private Investment r Philanthropic/Charitable r commenial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: US Virgin Islands Date of incorporation / registration: 2/25/2013 Address (city, street, post code): 6100 Red Hook Quarter B3 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: 66-0799192 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabil ty,settlor and beneflciaries,etc.: Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: r Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same pawns). To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes r- No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This business is funded by Jeffrey Epstein's weakh. This company was formed to 'old W. Epstein's personal weakh and invest in different ventures. This company nests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein Countries where business is transacted: US Virgin Islands Number of employees: 3 3D. Wealth Profile (Only for parties requinng source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. ($): 1,500,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be invested with FM ($): 300,000.00 Other Known Financial Institutions: Institution: I lFtlorgan I Cou ry: Country: I USA I Est. Assets Under Mgt: 1,000,000.00 SDNY_GM_00064845 CONFIDENTIAL - PURSUANT TO FED. R. F lt) 1 '-' DB-SONY-0027670 https://na4.salesforce.com/servle Pji Fp ElfrotktoD9D i&eid=50060... 10/30/2013 EFTA_00 175346 EFTA01299141 KYC Print Page 13 of 19 !Institution: I 1Country: Institution: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: 1 SDNY_GM_00064846 Imps://na4.salesforce.com/servle AtteEtattAtD9Di&eid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027671 EFTA_00175347 EFTA01299142 K VC Print Page 14 of 19 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: Southern Trust Company, Inc. - 00000483883 Type of Entity: r Foundation/Association r Trust F Company F Estate F Partnership Purpose of Entity: F Private Investment r Philanthropic/Charitable r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: US Virgin Islands Date of incorporation / registration: 11/18/2011 Address (city, street, post code): 6100 Red Hook Quarter 63 St Thomas 00802 US Virgin islands U.S. TIN/EIN: 66-0779861 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabil ty,settlor and beneflcianes,etc.: Please indicate how ownership of the legal entity is reflected: F Special attention: Bearer Shares - Indicate where shares are custodial: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (or not the same pesons). To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: yes F No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consulting Services relying on Financial and Biomedical algorithms. Southern mist s a private consulting company that invests the assets of their clients and gets their revenue from the return of these Investments. Southern Trust invests In different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets Countries where business is transacted: US Virgin Islands Number of employees: 4 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. (j): 1,500,000.00 Estimated investable assets ($): $2 MM - 5 MM Potential Amount to be invested with PWM (S): 300,000.00 Other Known Financial Institutions: Institution: 3PMorgan Country: USA Est. Assets Under Mgt: 2,000,000.00 Institution: Country: Est. Assets Under Mgt: SONY GM_00064847 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/servle e e AttliCiEWRACED9Di&eid=50066... 10/ 30/2013 DB-SONY-0027672 EFTA_00 175348 EFTA01299143 KYC Print Page 15 of 19 insdtlitial: I CcluniTY: IEst. Asses Under Mgt I SDNY_GM_00064848 Imps://na4.salesforce.com/servle ntliDenTACE/D9Diateid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027673 EFTA_00175349 EFTA01299144 KYC Print Page 16 of 19 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center F NY F NY/Offshore 1-- Offshore ar-k it.: Moderate I- High Risk Jance Franklin (Compliance Signature) DB Employee DB Managed PIC 08 is Trustee/Co-Trustee 1— Bearer Shares 4. Attachments A. Type of Photo ID Provided F Drivers License F Passport I-- National/State ID 1- Other Checklist of names (individuals and/or entitles) that were submitted for database B. F Yes I— No searches is C. Please indicate the results of the database searches performed RDC searches complete r yes r No negative results found F Yes 1- No KR checks complete F Yes f- No negative results found F Yes F No OFAC checks complete F Yes r No negative results found 1— Yes F No 8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, iv r•-• D&B) Yes r No negative results found I— Yes F No Denial Orders checks complete 17 Yes r No negative results found r Yes F . No Martindale-Hubbell searched (Lawyers/Law Firms only) f-' Yes F No negative results found 1— yes f— No Please summarize any negative resuks from the database searches indicated above: HARRY BELLER: Approved In KYC #01133624 JEFFREY b.'s' tIN: ROC Alert #1 -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris KR Alert *I/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: D. No negative media Court Case -- Not our dent. FINANCIAL INFOMATICS INC: No negative media No court cases 1 Epstein &Co. All Negative Media is our client. He has been cleared of posing a reputabonal risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is aswiated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are dosed E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F Yes 1- No To the best of your knowledge, has the customer ever been involved in any past SONY GM_00064849 hups://na4.salesforce.com/servle r teEepAt0D9Di&eid=500601. . 10/30/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0027674 EFTA_00I 75350 EFTA01299145 KYC Print Page 17 of 19 litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, F. provide details below and contact (rtuahly Mot (Labirn/Intl) or the Regulatory Contra, F Yes F No Gaup and notify Compliance immediately) Does the client ar related party have any financial or other association / interactions F G' within countries or regimes sanctioned by the Office of Foreign Assets Control (CFAC)? F Yes No H. Does the client or related party have any financial or other associahoni interactions F within high rtsk counties?s? r Yes No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r No F Not Applicable K. If Lexis/Nexis Search Results, Corporate DOCurIleflU. or Other Supporting Documentation is not in English, please provide an Engksh summary of the nature/contents of the non-English Documentation: SDNY_GM_00064850 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servle R. t DB-SONY-0027675 htt s://na4 e e PIDENTIAt .. 0D9Di&eid=50060. 10/30/2013 EFTA_00 175351 EFTA01299146 K VC Print Page 18 of 19 M. Case Comments. Created By Date Comments Jacqueline ughtbody 10/25/2013 1A1 PM This was only an update to add a signer. No change in the nsk score so no need for a new nsk calculator. Please see let 1121718. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Moms :5 g atur iii, 'aul Morris 10/22/2": Office Director/Business Head: Brian M. Biggar ;Signature) 3nan M. Biggar 10/23/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lightbody Jance Franklin (Signature) Jacqueline Lightbody Jance Franklin 10/25/2013 10/28/2013 LATAM /INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GINTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) NIL Compliance: (Signature) SDNY_GM_00064851 CONFIDENTIAL -PURSUANT TO FED.l R. At R e) I 1-1 DB-SONY-0027676 htt s://na4.salesforce.com/serve ifilfEtropAtorsmi&eid=50060... 10/30/2013 EFTA (H) 175352 EFTA01299147 KYC Print Page 19 of 19 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(1) (CFPs) should establish and maintain business relationships only with persons who sail* our high standards qfsuitability, background and character. Due diligence obtained on the client must be appropriately documented by the CPR 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 1 have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (i) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00064852 hups://na4.salesforce.com/servle Att,,,Enimp,..eid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027677 EFTA_00175353 EFTA01299148