EFTA Document EFTA01481288

USCG Due Diligence Report - Corporation DDR Name: EMMCAC, LLC - DDR Status: Awaiting Senior Manager Approval Banker Information Banker: Mary Rieth/JPMCHASE LE/OU: Banker SID: Banker BAC: Banker FNEN: Banker History: DM ID Link Information NO DMID Information in this DDR Corporation Name/Contact Information 99/31167 00000043917 4149--FINANCIAL MARKETS 01 Only Select •New Client" if this entity will be a PCN. Full Legal Corporate Name: EMMCAC, LLC (No P.O. Box address. Must be a physical address.) Primary Corporate Address Name: Attention: Address Line 1: Address Line 2: City: State: Province: Postal/Zip Code: Country: Tax ID I : Business Phone: JPMC Internal Use Only 10022 USA 111111111 Remember to collect W-8's or other applicable tax forms for each jurisdiction. ()EMMCAC, LLC C/o Eric Gany 457 Madison Avenue 4th Floor New York EFTA01481288 State of Domicile: Where is the Company Incorporated? What document did you obtain to evidence state of domicile? Articles of Incorporation, Partnership Agreement, etc Introduction / Financial Information Introduction Type: Specific Information: Met with Principal? Name Of Principal: Legal Structure: Part of the Epstein relationship (Please identify Client, Type of Account etc.) Jeffrey Epstein Principal Beneficial Owner(s) Identify the principal beneficial owner(s). If the entity is owned by an intermediate legal structur e (e.g. LLC or Partnership), please list the ultimate individual beneficial owner. A beneficial owner is any person on behalf of whom the account is maintained. Last Name: First Name: % of Ownership: What form of identification document did you obtain for the files? Other If Other ,Please Describe: Passport Please Describe: Corporation's Net Worth: Sales: Total Assets: Total Debt: Specific Information Are the controlling Shareholders the same as the beneficial owners ? Controlling Shareholder(s): Jeffrey Epstein Industry Code: The Business Type is the industry in which the client derives the majority of its income. Investors (Misc.) NAIC Code: information already on file NA investments $ 1.00 (USD millions) $ (USD millions) $ 1.00 (USD millions) $ (USD millions) account documentation Tax ID DOB Transaction Profile/Expected Account Activity What is the purpose/intended use of this account? Please check the types of account and expected activity for this legal entity (inflows and outflows of securities and cash) - check ALL that apply: Activity Level: Account DDA/MMIA: SDI: Low (1-5 transactions/month) Medium (6-12 trs/month) High (over 12 trs/month) EFTA01481289 Investment Management: Funds: Other: Transaction Profile/Expected Account Activity Checking account Required Security Services Checks Security Search Type: Note for Security Services: Please list any specific search requests/instructions to Security Services here Security Services Information A Security Services Check is REQUIRED for New Clients and Prospects This section to be completed by the Security Services Group: List Individuals and Corporate Entities Investigated: Attachment: Search Type Is Further Review by Banker Require d? Company Information Corporate Records Other Database Searches (RDC/CDC/MIS) Civil Court Action Federal a State Court Action Personal Particulars Publications Regulatory Sanctions No No No No No No No OFAC/Control List Search No Not requested. Not requested. Not requested. Not requested. Not requested. Nothing derogatory was found. No records were found. Reference page 2 of the attached document to view the results of OFAC search. No matches were found. Has this been identified as a Red Dot DDR? : Security Service Details: Banker Response: Expense No.: Total Costs: $0.00 Signed by: Dated: Anthony AJ Johnson 06/06/2004 12:19:30 PM Corporation Checks Background Check Date (Required If Check Carried Out) 04/10/2003 Comments (Required If Check Carried Out) EMMCAC, LLC is a new entity for the Jeffrey Epstein relationship EFTA01481290 Controlling Shareholder Checks Background Check Date (Required If Check Carried Out) 04/10/2003 Comments Jeffrey Epstein has been researched already. He has a long-standing relationship with Morgan through the Leslie Wexner relationship, which is now extended personally relationship and professionally. Summary Summary Of Findings: EMMCAC is the new entity for the Epstein relationship. This DDA/MMIA account will be used for the cash operations and management of the company. Anticipated Product(s) Account is urgently needed, tax id will be provided asap!! Deposits; MMIA Client Hierarchy Assignments GRAY SHADED AREA CONTAINS SPN/CAS ID ASSIGNMENT INFORMATION Banker SID Banker BAC: FNEN: 4149--FINANCIAL MARKETS 01 Does the DDR have Multiple Entities? Client Hierarchy and Additional Entity Assignment: Name EMMCAC, LLC Linked to DM Name Tax ID 000000000 SPN No Existing CAS Id Linking to DM Id 9710670708 CAS ID EFTA01481291 EPSTEIN JEFFREY E 5593247 Contact Information for each entity named within the Client Hierarchy Table: Associated Entity Date of Birth EMMCAC, LLC Do any of the above entities require a joint SPN? Select fee, if multiple entities will share the same account (OMNI, CASII or Olympic) Goverment issued I.D Obtained Tax ID 4 000000000 0127900808 Citizenship Does the DDR have Multiple Owners? Name Goverment issued I.D Obtained Tax ID I Date of Birth Attention Address Line 1 State Citizenship Zip Address Line 2 Province City Country Approval Information Public/High Profile Figure No High Risk Jurisdiction High Risk Business Is this a Foreign Bank? "Foreign Bank" as defined in the USA PATRIOT Act. Banker: LE/OU: Senior Manager: Mary Rieth/JPMCHASE 99/31167 Tad C Smith No No No Annual / Periodic Review Information Annual/Periodic Review Due in: 36 months Temporary Waiver Information Waiver Status: Reason for Waiver: Waiver Requested By: Date of Waiver Request: Approver for Waiver: Waiver Approved On: Banker Approval Information Waiver Complete - DDR Pending Security Services is still performing the client background check. Doreen X Hewitt-Dunn 07/12/2004 David M Tarrio 07/12/2004 EFTA01481292 (Not Yet Determined) Senior Manager Approval Information (Not Yet Determined) Admin Comments Admin Comments: By: Date: Admin Comments History : Document History Created: 07/12/2004 Last Modified: 08/11/2004 09:14:55 AM Submitted: 07/12/2004 Recorded: 08/11/2004 09:20:16 AM Audit History Converted Tracking Document History: By: Doreen X Hewitt-Dunn By: Mary Rieth By: Doreen X Hewitt-Dunn By: Tad C Smith EFTA01481293