EFTA Document EFTA01417521

7/15/2019 KYC Print DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01804531 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Stewart Oldfield New PWM Relationship Relationship to PWM: Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ***This KYC is a periodic review for high risk remediation*** Original KYC1121946 Client Referral How Was the Client(s) Introduced? How long has the RM personally known the client? Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? RM Prospect Intermediary/FIM Other Source (CIB, etc.) 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 Zorro Management LLC and add two new signors to this new acct only. Yes (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 2 3 Account Name / Number The Haze Trust - Deposit- Butterfly Trust - Deposit- The 2007 Jeffrey E. Epstein Insurance Trust #3 - Deposit- Who is the primary contact person for the RM? (Note: This person needs to have signatory EFTA01417521 rights and/or information right for the accounts.): Opening Date (intended/actual) 2/27/2017 1/24/2014 10/16/2013 Darren Indyke Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): No Booking Center: New York Status : 6. Approved 212-971-1307 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T1m 1/43 EFTA01417522 7/15/2019 KYC Print One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Account Manager: The Haze Trust - Deposit 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 deposit account to hold cash for the trust Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: collecting interest on current balance...no inflows/outflows What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 21,063,409.16 21,077711.01 Yes 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). Legal Entity Description of Source of Wealth required Account Holder Parties related to this account EFTA01417523 Jeffrey 1 2 3 E. Epstein The Haze Trust Darren Indyke Trustee:; PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Currency Currency USD USD Acct. Number (if available): Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/Settlor Founding Donor Other (please describe other roles and/or indicate relationship between parties) EFTA01417524 OTH:beneficiary of The Haze Trust; https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T1... 2/43 EFTA01417525 7/15/2019 KYC Print 2. Account Ownership Summary Account Name: Account Manager: Butterfly Trust - Deposit 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 deposit account to hold funds for the trust. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: no inflows/- outflows What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 2.99 2.99 Yes 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). Legal Entity Description of Source of Wealth required Parties related to this account 1 Karyna Shuliak 2 EFTA01417526 3 Richard D. Kahn 4 5 6 7 Darren Indyke 8 Beneficiary of Butterfly Trust; https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T1... 3/43 Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Currency Currency usd EFTA01417527 usd Acct. Number (if available): Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/Settlor Founding Donor Other (please describe other roles and/or indicate relationship between parties) beneficiary of the butterfly trust; beneficiary of the butterfly trust; beneficiary of the butterfly trust; beneficiary of the butterfly trust; beneficiary of the butterfly trust; Beneficiary of Butterfly Trust; Beneficiary of Butterfly Trust; EFTA01417528 7/15/2019 9 KYC Print 10 11 12 13 14 15 16 Estocado Rabuyo Butterfly Trust Erika Kellerhals Harry Beller Jeffrey E. Epstein Beneficiary of Butterfly Trust; Beneficiary of Butterfly Trust; Beneficiary of Butterfly Trust; Beneficiary of Butterfly Trust; Trustee:; Trustee:; grantor; https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N3BOOGOOOD9Di&eid=5093200e01EHPpb&ic=1&linkToken=VmpFPSxNakF4T1... 4/43 EFTA01417529 7/15/2019 KYC Print 2. Account Ownership Summary Account Name: Account Manager: The 2007 Jeffrey E. Epstein Insurance Trust #3 - Deposit stew oldfield 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 this trust. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): 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)?: no inflows/- outflows What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 259.05 259.05 Yes 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). Legal Entity Description of Source of Wealth required Parties related to this account 1 The 2007 EFTA01417530 2 3 4 5 Jeffrey E. Epstein Insurance Trust #3 Jeffrey E. Epstein Darren Indyke Richard D. Kahn grantor; Trustee:; Trustee:; Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Currency Currency usd usd Acct. Number (if available): Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/Settlor Founding EFTA01417531 Donor Other (please describe other roles and/or indicate relationship between parties) Beneficiary of The 2007 Jeffrey E. Epstein Insurance Trust #3; https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T1m 5/43 EFTA01417532 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) - 00000565313 Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private EFTA01417533 Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T1m 6/43 EFTA01417534 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T1m 7/43 EFTA01417535 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Karyna Shuliak - 00000489504 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: EFTA01417536 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T1m 8/43 EFTA01417537 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T1m 9/43 EFTA01417538 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01417539 Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 10/43 EFTA01417540 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 11/43 EFTA01417541 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private EFTA01417542 Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 12/43 EFTA01417543 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 13/43 EFTA01417544 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: pplicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private EFTA01417545 Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 14/43 EFTA01417546 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 15/43 EFTA01417547 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: 7/25/1994 Switzerland Yes No X2488823 Yes No Yes Family No Friendship None Yes No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private EFTA01417548 Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 16/43 EFTA01417549 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 17/43 EFTA01417550 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private EFTA01417551 Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 18/43 EFTA01417552 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 19/43 EFTA01417553 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: EFTA01417554 Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 20/43 EFTA01417555 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 21/43 EFTA01417556 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private EFTA01417557 Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 22/43 EFTA01417558 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 23/43 EFTA01417559 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private EFTA01417560 Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 24/43 EFTA01417561 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 25/43 EFTA01417562 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Darren Indyke - 00000486405 USA Accountant Southern Financial LLC 6100 Red Hook Quarter B3 St Thomas 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01417563 Paul Morris Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: 9/6/2013 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 26/43 EFTA01417564 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 27/43 EFTA01417565 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Harry Beller - 00000487202 USA Accountant HBRK Associates, Inc 575 Lexington Avenue, 4th Floor Monsey NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01417566 Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 28/43 EFTA01417567 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 29/43 EFTA01417568 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Erika Kellerhals - 00000499664 USA 9100 Port of Sale Mall, Ste 15 St. Thomas 00802 United States Attorney Kellerhals Ferguson Kroblin PLLC 9100 Port of Sale Mall, Ste 15 St. Thomas VI United States 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01417569 Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 30/43 EFTA01417570 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 31/43 EFTA01417571 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Jeffrey E. Epstein - 00000483289 USVI Litte Saint James Saint Thomas 00802 United States Self Empolyed Southern Financial LLC 6100 Red Hook Quarter B3 St. Thomas United States 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 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) connection with Prince Andrew and Bill Clinton To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: 1/20/1953 USA Yes No President Yes EFTA01417572 No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Private investments Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) 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 & Co. In 2008, Epstein was convicted of soliciting an underage girl for prostitution, for which he served 13 months in prison. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Stearns 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 EFTA01417573 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 Peltz, 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 $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=l&linkToken=VmpFPSxNakF4T... 32/43 EFTA01417574 7/15/2019 KYC Print Zuckerman were equal partners in the venture. Roshan, as its editor-in- chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client's assets. Estimated Annual Income($): Estimated Net Worth($): 10,000,000.00 $500 MM + Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM - 100 MM Country: Est. Assets Under Mgt: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 33/43 EFTA01417575 7/15/2019 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Richard D. Kahn - 00000486407 USA Accountant HBRK Associates, Inc 575 Lexington Ave, 4th Fl New York NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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 ) Yes No Yes Family No Friendship None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01417576 Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Salary/Earnings Investment Inheritance/Gifts Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 34/43 EFTA01417577 7/15/2019 KYC Print Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 35/43 EFTA01417578 7/15/2019 KYC Print 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: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): United States Virgin Islands Identified on Customer Profile 6100 Red Hook Quarter B3 St, Thomas 00802 United States The Haze Trust - 00000486428 Foundation/Association Partnership Trust Company Estate Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: Volcker Flag: U.S. TIN/EIN: 2/9/1999 No 13-7185414 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Jeffrey Epstein: Grantor/Beneficiary Darren Indyke: Trustee Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Grantor Darren Indyke: Trustee Special attention: Bearer Shares Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): Jeffrey Epstein: Grantor/- 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)?: Yes EFTA01417579 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: USA, USVI 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? Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The trust was initially funded with $100 from Jeffrey Epstein. The trust makes and holds investements and the gains it makes from those investments is its source of revenue. The trust, in turn, puts these gains back into the trust and reinvests. Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: DB Institution: Institution: 300,000.00 200,000.00 $20 MM - 50 MM 200,000.00 No The trust was initially funded with $100. 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 trust and reinvests. Private Investment Philanthropic/Charitable Commercial Country: Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: 23,000,000.00 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T... 36/43 EFTA01417580 7/15/2019 KYC Print 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: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): USA Identified on Customer Profile 6100 Red Hook Quarter B3 St, Thomas 00802 United States Butterfly Trust - 00000486426 Foundation/Association Partnership Trust Company Estate Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: Volcker Flag: U.S. TIN/EIN: 12/27/2006 No 26-6639711 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: This is an irrevocable trust set up by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current trustees. The trustees are Harry Beller and Erika Kellerhals. The beneficiaries are: Darren Indyke Karyna Shuliak EFTA01417581 Attached are the original trust agreement and the addition/deletion of beneficiary instrument to support this change. According to the original trust agreement, the trustees have the right during the lifetime of the Grantor to delete or add beneficiaries under Article 3 of the agreement. Please indicate how ownership of the legal entity is reflected: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 37/43 Private Investment Philanthropic/Charitable Commercial EFTA01417582 7/15/2019 KYC Print 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): 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)?: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: USA, USVI N/A 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? Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Trust account with Jeffrey Epstein as Grantor. Initial $100 given to the account to fund. The funds for this trust account come from investments made by Jeffrey Epstein. His wealth profile is filled out. Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: Institution: Institution: 4,500,000.00 4,500,000.00 $5 MM - 10 MM Yes No Trust account Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T... 38/43 EFTA01417583 7/15/2019 KYC Print 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: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): USVI Determination Required 575 Lexington Ave, 4th Fl New York NY 10022 United States The 2007 Jeffrey E. Epstein Insurance Trust #3 - 00000487199 Foundation/Association Partnership Trust Company Estate Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: Volcker Flag: U.S. TIN/EIN: 11/1/2007 No 26-6387242 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Jeffrey Epstein: Grantor Darren Indyke: Trustee Richard Kahn: Trustee Please indicate how ownership of the legal entity is reflected: 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): 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)?: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: EFTA01417584 USVI, USA 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? Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The funds for this trust account come from contributions made by the Grantor, Jeffrey Epstein. His source of wealth can be found in his wealth profile Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: Institution: Institution: Yes No Private Investment Philanthropic/Charitable Commercial Trust account Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T... 39/43 EFTA01417585 7/15/2019 KYC Print DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name Risk Rating Comments: Booking Center EPSTEIN, JEFFREY RELATIONSHIP NY NY/Offshore Offshore Moderate Risk High Risk Yoonsun Chung (Compliance Signature) DB Employee DB Managed PIC DB is Trustee/Co-Trustee 4. Attachments A. Type of Photo ID Provided Drivers License B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached C. Please indicate the results of the database searches performed RDC searches complete PCR checks complete OFAC checks complete BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) Denial Orders checks complete Martindale-Hubbell searched (Lawyers/Law Firms only) Passport Yes National/State ID No Other Bearer Shares Yes Yes Yes Yes Yes Yes No No No No No No negative results found Yes negative results found negative results found negative results found EFTA01417586 negative results found negative results found Yes Yes Yes Yes Yes No No No No No No Please summarize any negative results from the database searches indicated above: BUTTERFLY TRUST: Negative Media: All negative media pertains to a company called the Butterfly Trust in Europe. This is not our client. Our client is an actual trust created by a Grantor and not a company. No court cases JEFFREY EPSTEIN: Previously approved KYC #:01082293 & 01121718 All negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed RDC alerts for Richard Kahn came up but they were all false positives as the age and locations of the alerts did not match the age and address on file. D HARRY BELLER: No negative media Court case lists him as a defendant for being chief of medical staff for Jackson Memorial Hospital The court concluded that the plaintiff had no cognizable claim that his civil rights has been violated, but refused to dismiss his complaint as to his antitrust claim Defendants' motion was thus granted in part and denied in part. The defendants listed in this case have not committed any illegal acts of conduct in any way. The case was settled on 6/30/1987. ERIKA KELLERHALS: No negative media Erika is an attorney and listed as legal counsel for several court case. Court case to appeal from a decision of the bankruptcy court. Appellee trustee moved to dismiss the appeal for failure to prosecute under Fed R. of the six Poulis factors, five weighed in favor of dismissal and it was granted. Another court case for dissolving of marriage and pro ert settlement. The case was concluded. Civil court case 1:15cv7433 v Ghislaine Maxwell for assault, libel & slander. was listed as a miscellaneous party but the case was closed in May 2017. She was not listed as a plaintiff nor a defendant, and EFTA01417587 was not charged with anything. She does not pose a risk to the bank. E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F 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 threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. (LatAm/Int'l) or the Regulatory Control Group and notify Compliance immediately) G H. Does the client or related party have any financial or other association/ interactions within high risk Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Yes No Yes No Yes Yes No No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 40/43 EFTA01417588 7/15/2019 KYC Print countries? I. Corporate Documentation Attached (Legal Entities Only) 3. Undisclosed Principal Form Complete (Intermediaries Only) Yes Yes No No Not Applicable Not Applicable K. If Lexis/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? Is the account structure unusually complex? Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? Is there any indication this could be a prohibited business relationship? Are the bearer shares identified subject to acceptable controls? Yes Yes Yes Yes Yes No No No No No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T... 41/43 EFTA01417589 7/15/2019 KYC Print M. Case Comments Created By Cynthia Rodriguez Cynthia Rodriguez Date 9/6/117 12:05 AM 9/6/117 12:09 AM Comments recent research and google searches for Erika Kellerhals can be found in approved case 01790655. ID for Erika Kellerhals can be found in approved case 01344537 This KYC serves as a high risk update for the below listed clients (together "accountholders") — Kshitij Golani 9/6/117 3:22 PM 1. The Haze Trust 2. Butterfly Trust 3. The 2007 Jeffrey E. Epstein Insurance Trust #3 Below are the reasons why we are comfortable with approving this KYC: • Information and supporting documents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors associated with the accountholders — (4 SOW: The UBO (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages client's assets. SOW verification was obtained. (4 Negative Media & PEP: There is some negative media against Mr Epstein and he is also maintains a close relationship with Bill Clinton and Prince Andrew. Please see risk calculator for more information. Appropriate approval was obtained. • Our review did not identify any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists. No material changes confirmed by the client via phone on 08/22/2017. Cynthia Rodriguez 8/24/117 5:25 PM No GBSA forms required as determination is already noted on the system. Beneficiaries are all added as parties with DOB, SSN/Passport #s, address & IDs ONSHORE APPROVALS Client Facing Professional (CFP): Office Director/Business Head: Regional Office Director: AML Business Risk: EFTA01417590 (Signature) Chuck Walker Steven Mattus (Signature) Chuck Walker (Signature) Steven Mattus (Signature) 8/25/2017 8/29/2017 AML Compliance: Kshitij Golani Yoonsun Chung (Signature) Kshitij Golani Yoonsun Chung LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Account Manager: Global Market Team Head (GMTH)/SubMarket Team Head (SMTH): AML Business Risk: (Signature) (Signature) (Signature) (Signature) 9/6/2017 9/6/2017 AML Compliance: (Signature) https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4Tm 42/43 EFTA01417591 7/15/2019 KYC Print 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 satisfy 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 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 (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=5003200001EHPpb&ic=lainkToken=VmpFPSxNakF4T... 43/43 EFTA01417592