EFTA Document EFTA01283935

KYC Print Page I of 20 DB PWM GLOBAL KYC/NCA: PART A KYC Case 8 : 01195100 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relation sh i 1. Relationship Details Relationship Name: EPSTEIN. JEFFREY REtATTONSIRP:00000013290 Booking Center: New York Relationship Manager: Pad Monis Ii1 New PWM Relationship I El Existing Paill Relationship Relationship to PWM: If existing, please indicate since when the relationship exists provide reason for new profile and attach old prone: ONLY adding signers to account. MI signers have already been approved ri previous KYCs. Please rush as this is a simple update. Darren Indyke was approved in KYC 01133377 Harty Beller was added in approved KYC 01141308 El Client Referral IR) RM Prospect I O Intermediary/Fill I • Other Source (O8, etc.) How Was the Client(s) Introduced, How long has the RM personally know the client, 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 chest of Paul's at A Morgan. Paul and Jeffrey Epstein had a mutual friend/coleague who introduced them while Paul was at Miliforgen. Over the course of a few meetings Paul was able to get Jeffrey to brag some of his funds over to Deutsche Bank Does Deutsche Bank pay a retrocession or similar Eves I O No compensation to a third party for the introduction of tha relationshOT (if Yes, dacnbc): List all existing and new accounts involved In this relationship legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 12 Southern Financial, LLC 9/19/2013 2 e Southern Financial, LLC 8/19/2013 3 21 Southern Trust Company, Inc. 8/19/2013 4 2 Southern Trust Company, Inc. 8/19/2013 5 2 Jeffrey Epstein 9/11/2013 6 2 Jeffrey Epstein 9/11/2013 Who is he primary contact person or the RMT (Note: This person tied% to have sronatory rights and/or informo ion rkiht for the a«ounrs.): Jeffrey Epstein Preferred method of contact (ndicate phone no., fax no, email address, etc.): SONY_GM_00039846 https://dbforcepb.my.salesforCQUErilDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002672 EF1'A_0O15O457 EFTA01283935 KYC Print Page 2 of 20 One sheet must be established for each account to be opened 2. Account Ovewnshlp Sonsery Account Name: Southern Financial, LLC Acct. Number (Iavailable). Account Manager: Paul MOMS What is the purpose of the account (e g. portfolio management, advisory account, custody senses, longterm investment, payment/expense account)/ Monet' Market. To hold funds for the company. Indkate from where the assets are expects to arrive? O D8 Group: Same Booking Center (iidkate account number): El DB Group: Other Booking Center (Indicate DB location and account details): Other hest/Won (Indicate name & location): JPMorgan, NYC O Physkal Deposits (specify cash, securities, cheques,...): Whet is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month?: Roughly 2 Inflows S outflows per month ranging from $1000 to $10,000. That is the expected vokone of assets and currency for the account approx. 90 days after opening? I I Currency I USD What b the expected volume of assets and currency for the account approx. one year after opening? 1150,1100 'Currency I Um Doe wit the client have Assets Under Management (AuM) within DB under Eur. 3M? OYeaga No Please list all parties related to the account. I or each party. • Check it a source of wealth des< hobo,' is required for the party. • Check the appropriate box t chic robe the relationship of the party to this account (> I can be selected). • t non of the check boxes pply, describe the party's relation t the accost in the "Other colorist • AMay descnbe the relation hip between t e parties in the la/ column. • Please drill down to the ultimate/underlying Beneficial Owner(s). egal C :m Source :mitred Deurction of Wealth required Parties related to this account AccountPIC h older Owner-Trust Settler of / Founder of Foundation Planate Beneficialor Owner Signatotedkinancial Fut POA Intermethas6hareholderfteptesentathe (FIN) Significant .> -25%) Non-PIC entity .indocate ownership %) opal 3rantor/Settlorfounding Either please describe other roles and/cc nclicate -relationship eretween ;sties) Sok of shareholder Southern Trust; Donor P A i O 2 Jeffrey Epstein n ' O O O e O O O El O 2 2 0 Southern Amadei LLC a a O El El rl El 11 11 El 3 IZI Southern Trust Company, Inc. • O O O O O O I00 O O O Southern Trust is the sole member of Southern Financia ondJeff l rey Epstein Is he sole shareholder of Southern Trust; 4 O • Dann Indyke O O O CI 5 D O • O O 5 O O Ka" Baer O O O O O O O O O O 6 O O Jeanne Brennan • O O • Pi O O O I O SONY_GM_00039849 ht tps://dbforcepb.my.salesforcCaNtalOalniliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002673 EF1'A_0O15O458 EFTA01283936 KYC Print Page 3 of 20 2. Account Ownership Summary Account Name: Southern Financial, LLC Aca. Number (f available) Account Manager. Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-tom investment, payment/expense account)? Chaddng account to hold funds for the company. Indicate from Wsere the assets are expected to Krim? O De Group: Same Booking Center (indicate account nuntier): O DO Group: Other Booking Center (Indicate DB location and account details): R Other InstAution (Indicate name & locationk 'Morgan, NYC O Physical Deposits (specify cask 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 °unions per month ranging from $1,000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening' I I Currency I USO What is the expected volume of assets and currency for the account approx. one year after opening? 1 100,000 I Currency I USD Does/will the client have Avels Under Management (Aunt) within Plunder Fur. 3M? Oyes gi No Please list all parties ,elated to the account For each party: • Check I a source of wealth description 6 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 t the meow* in the 'Other' column. • Ainsays describe the relationship between the parties in the last coltann. • Please dril down to the ultimate/underlying Beneficial Owner(s). -egallDescriptian Entityof Source of Wealth required Parties related to this account AccounbPIC DwnerTrust Senior of / Founder of Foundation JIM:nate ISignatorytimitectinancial 3endiciabr Owner Fug POA POA MermediarySharehoiderReprmentative ,Flail) Significant >=25%) Non.PIC entity ,indkate 3svnership %) .egal GrantortSettiorkounding Other please iescribe other roles and/or ndicate dationship >elV/5211 ganies) Donor Holder 1 • a Icifrey Epstein n " I O • O O OO O • O Sok shareholder of Southern Trust; 2 O fa Southern financial 111C la O n O O O O O O O 3 5 O squthein Trust Company, Inc. • O O O O O O too O O O Southern Trust is the sole member of Southem Financial and leffrey Faster, is the sole shareholder of Southern Tont 4 O CI " lCIndyke O O O O • O • O O O 5 O O Reny Beller u O O O O OO O O O 6 O O Manna Brennan • • O • 0 • O • O O SDNY_GM_00039850 https://dbforcepb.my.salesforcCuNErilE/EgriatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002674 EFTA_00150459 EFTA01283937 KYC Print Page 4 of 20 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number fit am:W.O. Account Manager: Paul Morris What is the purpose of the account (eq. portfolio mama ement, advisory account, custody services, long term Investment, payment/expense account), Checking account. To hold funds for company Indicate from %Mere the assets are expected to art Ste? O De Group: Same Booking Center (indicate account number): O DO Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & bcationk lPFlorgan, NYC O Physkal Deposits (specify cask securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume pe month)?: Roughly 10 inflows and 10 outlaws per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? I I Currency I USD What ir the expected volume of asses and currency for the account approx. one year after opening? 1100,000 I Currency I USD Dom/will the client have Assets under Management (AuM) within DO under Eur. 3Mo • Yes .,. No Please Net all parties related to the account. For each party: • Check I a source of wealth description Is required for the party. • Check the appropriate box to desert* the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation t the account in the 'Othercolurrn. • Always describe the relationship between the parties In the last column. • Please drill down to the ultimate/underlying Beneficial Owner( s). -egallDescriptbn [mayor Parties related to .hls account AccounOPIC DwnerTrust/ Settler of Founder &Owner Foundation Jitimate ISignatogsinutedr-Inancial 3eneficia r Ful POA IntermediaryShateholdereepresentative (FIM) 5Ignificant ,>•250/6) Non PIC entty ,Indicate smership %) _ego/ GrantonSettiorrounding Other please describe other roles and/or ndicate dationship oetween sorties) Source of Wealth required Donor Holder POA 1 W El Jeffrey Epstee m • O O 121 O O O O K O son shareholder of Southern Trust; 2 Icil 0 SOuthem Trust pany, Com kw. • ill O s O O O O • O O O Darren Indyke m '—' OK O 1 21 OO O O O 4 O O i" Beller • • • O }21 O O O • • O O Jeanne Brennan • • O • Ea O O O • O SDNY_GM_00039851 https://dbforeepb.my.salesforeCLINErilatiA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002675 EFTA_00 150460 EFTA01283938 KYC Print Page 5 of 20 2. Account Ownership Summary Account Nan*: Southern Trust Company, Inc. Acct. Number rdavadtbe Account Manager Paul Monis 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? O De Group: Same Booking Center (indicate account number): O DO Group: Other Booking Center (Indicate OB location and account details): R Other Institution (Indicate name & bcationk Inlorgan, NYC O 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 pe month)?: Roughly 2 inflows & outflows per month ranging from $1,000 to $10,0)0 YAM is the expected volume of assets and currency for the account approx. 90 days after opening? I I Currency I USD What 6 the expected volume of assets and currency for the account approx. one year after opening? 1150,000 I Currency I USD Does/will the client have Ands Under Management (AuM) within Do under Eur. 3M? • yes .,. No Please list all parties related to the account For each party: • Check I a source of wean 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 t the accowit in the 'Other column. • Akrays describe the relationship between the parties in the last coition. • Please did down to the ultimate/underlying Beneficial Owner(s). -egal Entityof Description Parties related to .hls 3CCOUIlt Accoun IC OwnerTrust Senior of / Founder of Foundation Jitimate ISignatorytimitectinancial 3enelkialor Owner Fut POA InterrnediaryShareholdertepresentative (FIM) Significant ,>=25%) Non.PIC entry ,indkate ownership %) _egal aantor/Settlor-ounding Zither please describe other roles rod/or ndxate dationship oetween sorties) Source of Wealth required Donor Holder POA I III El Jeffrey Erni& U • O O 21 O O O O O Sob shareholder of Southern TN* 2 I23 0 Southern Trust Company, Inc. t-7. L'Ll O O El O O O O U O O O Darren Indyke "❑m ' . . O 21 O O O O O 4 O O Belie, • OO O 121 Os • • • 500 Jeanne Brennan • • O • Ea O O O • O SONY_GM_00039852 https://dbforcepb.my.salesforeCLINErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002676 EFTA_00150461 EFTA01283939 KYC Print Page 6 of 20 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (If availitile): Account Manager Paul Morris What is the purpose of the account (e g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)' Checking account for killer Cpsteirds personal day 11'..!. Indicate from where the assets are expected to arrNel O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 2 Other Instkution (Indicate name & location): lPfdorgan Chase. New York, NY O Physical Deposits (specify cash, securities, cheques, ...): What is the everted size and frequency of regular inflows and outflows for the account (indicate estimated Slows and outflows per month ranging from $100410,000. number and volume per month)': Roughly 15 What is the expected volume of assets and currency for the account approx. 90 days after openng• I I Currency I USD What is the everted volume of assets and currency for the account approx. one year after opening? 1100,000 'Currency 1 USD Does,kvill the client have Assets under Ma nag ernent (AuM) within 06 under Eur. 3M? Il Yes (5 No Please list all parties related to the account for each party: • Check I a source of wealth description d required for the party. • Check the appropriate box to describe the relationship of the party to Vies account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other" column. • Mertes describe the relationship between the parties in the last coition. • Please drill down to the ultimatetunderlyam Beneficial Owner(s). -egailDescratbn Entityof Source of Wealth required Parties related to .hls account Account)IC Ownearust Settlor of / founder of inundation Arnett 3eneficialor Dwner SignatotwirnibeciFinarxial full POA ?OA Intermediary (f1M) Significant Shareholdeltepreentative >•25%) NonPIC entity Indicate ownership 46) _egal ‘.taantor/SeWor‘-i - ounding Jaw Other 'please describe sther roles and/or ndkate elationship 5etween sorties) Holder I O 2 _Jeffrey ;intern 2 O O O 2 O O O O O 2 O liter/ orf O O O O O a • • 5 • • 1 O O Damen -.dyke O O O O O O O O n r SONY_GM_00039853 https://dbforcepb.my.salesforcGONErilDEgrNiiliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002677 EFTA_00150462 EFTA01283940 KYC Print Page 7 of 20 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number Of evadable). Account Manager Paul Morris What is the purpose of the account (eg. pcdfollo management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account to hold Jeffrey Epsterris personal funds. Indicate from oboe the assets are expected to arrive? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (indicate DB location and account details): R Other Institution (Indicate name & location): 1PFlorgan Chase. New York, NY O Physkal Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated Slows and outflows per month ranging from $1,000 to $20,000 number and volume per month)?: Roughly 1.2 What is the expected volume of assets and currency for the account approx. 90 days after opening? I 'Currency I USD What is the expected volume of assets and cunency for the account approx. one year after opening? 1200,000 'Currency 1 USD Does/vi the client have Ames Under Management (AuM) within Do under Fur. 3M? 0 Yes 15 No Please Ilst all pardon related to the account For each party: • Check I 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 Sefton to the monad in the 'Other- coition. • Always describe the relationship between the parties In the last teflon. • Please dill down to the ultimate/underlying Beneficial Owner(s). -egallDescrotbn [mayor Source of Wealth required Parties related to .hls account &ccn nit PIC AvnefTrust Senior of / rounder of inundation Jitimate 3eneficialor Dwner Signatory‘imitedIFinancial Full NU Intermediary (MM) Significant Shareholdeltepresentathe >=25%) Non-PIC entity Indicate ownership %) _egal `.2.rantor/SeWorkunding Other 'please Jescnbe other roles and/or skate elationship teweeri ?aches) lair. ?OA Donor I O O Harry Beller O O O O III O O O O O 2 El Epst Jeffrey eis a O O O a . • 11 • • • 3 O O Danen sow O O O O El OO O O O SDNY_GM_00039854 https://dbforcepb.my.salesforeCLINErilEtairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002678 EFTA_00 150463 EFTA01283941 KYC Print Page 8 of 20 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 - Date of Birth: 1/20/1953 Country el Residence: USVI Country of Citizenship: USA Address of primary residence: Ube Saint James Saint Thomas 00802 US Virgin islands Has client resided outside of hisrihis/hacountry of nellonalty fa 5 years or more O yes FAN. Profession/Occupation: Self Empolyed Tax ID / SSN: 090443348 Current Employer: Southern financial LLC PoslUcriffille/Ranic President Address of entiloYer: Does the person work as senior executive of a 06-recognised regulated entity In the financial industry'/ or an entity listed on a DB-recognised exchange' (Not applicable for operating entities al Yes Melo Is the ndnldual a Politically Exposed Person (PEP)7(i/ Yes, desctibe) Oyes RIND To the best of your knowledge, is the Individual related to an employee of the D8 gioupY(i/ Family or Friendship, dewily) O Family O Friendship &None To the best of your knowledge, is the individual party to a non-banking rebtkunhb with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)7(Y Yes,describe) O Yes & No U applicable, indicate which bank officers have met the person: Indicate where and wt the client meeting(s) to* place: Bank Officer Names) Bank Office: Client Private Domicie: Client Place of Business Other Location (specify): Date: Paul Morris O O 21 4/312013 O O M O O 0 • 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) Nat ure of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds/ Pnrnary industry of source of WealdVSource of Funds' Summarize Source of Wealth: gl Business O Other: Owner • Salary/Earnings Pi Investment • Inheritance/Gifts Further Descrte Source of Wealth /Detail the history of weath for each did family accumulate weakh, For business owners, how long in business, major activities, important business partners.) Epstein began his financial 1982, Epstein founded his own financial rrilnagernent firm, J. Epstein & Epstein changed the name of his firm to The Financial Trust Company and Southern li nark ial U.C. Al of his dents were anonymous except for the Stearns and his financial manag mein firms of the sources: (e.g. For trusts, how how many wrployees, level of caner in 1976 as an options trader Co., managing the assets of dents based k on the island of St. Thomas dad senior accumulate wealth' For Inheritance, how profitability' Indicate type of business, countries of at Bear Stearns and became a partner) n 1980. In with more than a billion n net worth. In 1996, in the US Virgin Islands, which merged into Wexner. His wealth has cone from his days at Bear very wealthy buskiessman Labe Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets(5): 350 MM - 100 MM Estimated Net Worth(3): $100 MM - 500 MM Mount of assets planned to Invest with PV/M(y): 10,000.00 Other Known Financial Institutions: Institution: Obtingan Country: USA Est. Assets Under Mgt: 20,000,000.00 SON Y_G M_00039855 https://dbforcepb.111y.salesforeCCINErilDEgrardiA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002679 EFTA_00150464 EFTA01283942 KYC Print Page 9 of 20 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the ferrety situation of the indhldual (marital status, other family members, etc.): Single SDNY_GM_00039856 https://dbforcepb.my.salesforCCINtEllaciardiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002680 EFTA_OO15O465 EFTA01283943 KYC Print Page 10 of 20 mint be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Somme 3A. Individual Details (for all parties) Inclividuahs Name: Harry Beller - 00000487202 Date of Birth: Country of Residaice. USA Country of Citizenship: USA Address of pnmary residence: Has client resided outside of hisiher country of nationalty for 5 years or more? O yes 0 Ne ProfessiontOccupatron: Accountant Tax 1D/ SSN: Current Employer MURK Associates, Inc Posibonfillie/Rank: Address of employer: Does the person work as senior executive of a D8-recognised regulated entity In the financial industry? or an entity listed on a De-recognised exchange? (Not applicable for operating entities .. w, et sal Yes No Is the individual a Politically Exposed Person (PEP)'Of Yes, describe) O Yes O No To the best of your 'montage, Is the Individual related to an enwsoyee el the 013 group?br O Family O Friendship R NOne Famay or A.iabhip, ctscibe) To the best of your knowledge, Is the Individual party to a Dm-banking relationship vilth Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or senices)?(/ Yes,desathe ,I O Yes El No If applicable, indicate .fiich bank Indicate where and viten the client rneeting(s) took place: officers have met the person. Bank Officer Narne(s) Other Bank arm Client Private niche: Client Place of Business: Location (specify): Date: Paul Morris 12 I:I O 10/21/2013 0 N el 11:1 0 a • Wealth DetaRs for this Individual are not filled F. 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 Fund!? Primary industry of source of Wealth/Source of Funds> Summarize Source of Wealth: O Business Owner • Salary/Earnings E] Investment [.-.1 Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, tow did settler accumula e wealth' For inheritance, how did family accumulate istalth?For business ovmers, how long in business, how many errkilitrreeS, level of profitability' Indicate type of business, countries of moor activities, important business partners.) Estimated Annual Income($): Estimated amount of ineestabk assets(3): Estimated Net Worth(S): Mount of assets plarned to Invest with PWM(3): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00039857 https://dbforcepb.my.salesforCQUErlICalall IAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002681 EF1'A_00150466 EFTA01283944 KYC Print Page 11 of 20 I Please indKate the farroty situation of the indhadual (marital status, other family members, etcp SDNY_GM_00039858 t ps://dbforcepb.my.salesforcCaNtallaLKidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002682 EFTA_00150467 EFTA01283945 C Print Page 12 of 20 One sheet must he established for EACH INDIVIDUAL PARTY in Section 1. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of Ms/her country of natlonalty for 5 years or more, Oyes fci No Professlon/Occupation: Lawyer Tax 10 / SSN: Current Employer: Southern RnancMI LAC PoslUon/Trile/Rank: Address of employer: 575 Lexington Avenue, 4th A New York NY USA 10022 Does the person work as senior executive °feta-recognized regulated entity in the financial ndustry' or an entity listed on a DB.recognised esshangez (Not applicable for operating entities Yes • ION° Is the individual a Politically Exposed Person (PEP)E(if Yes, dcsaibe) O Yes WIND To the best of your knowledge, is the individual related to an employee of the DO giOupYat Family or Friendship, *soil" e ) O Family O friendship g 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)7(/ YeAderafbe) O Yes ':4 No U applicable, indicate sth bank Indicate where and when the client meeting(s) teak place: officers have met the person. Bank Officer Name(s) Bank Office: Client Private Dont*: Client Place of Business: Other location (specify): Date: O O O O O • O El I. ID Wealth Details for thks 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 WealtNSource of Funds' Summarize Source of Wealth: O Business Owner • Sabry/Earrings OInvestment • Inheritance/Gifts O Other: Further Descrte Source of Wee th /Detail the history of wealth for each of the soirees: (e.g. For trusts, how did seftbr accumulate wealth' For Inheritance, how did family accumulate neakh7For business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of flinger wanks, important business partners.) Estimated Annual Income($): Estimated amount of imestable assets($): Estimated Net Worth(S): Arnount of assets blamed to invest with PV/Fl(y): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: I ct Assets Under Mgt: SONY_GM_00039859 https://dbforcepb.my.salesforetaNErilEatIliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002683 EFTA_00 150468 EFTA01283946 KYC Print Page 13 of 20 L ease induate the family situation of the individual (marital status, other fam ty members, etc f' SONY_GM_000391360 Imps://dbforcepb.my.salesforcaINEJIDailidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002684 EFTA_00150469 EFTA01283947 KYC Print Page 14 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeanne Brennan • 0 Date of Birth: Country of Residence. USVI Country of Citizenship: Address of plenary residence: Has client resided outside of hisTher country of nationalitY ler 5 years or more' O Yes g No ProfessiontOccupatxon: Faience Tax ID I SSN: Current Employer: Southern NnancNI, LLC Position:Mlle/Rank: Address of employer 6100 Red Hook Quarter, 83 St, Thomas USW 00802 Does the person work as senior executive ale 08-recognized regulated entity in the financial Industry, or an entity listed on a C43-recognised exchange? (Not applicable for operating entitiesO Yes CJ No Is the indieldual a Politically Exposed Person (PEP)?(.Ye,describe) O Yes FO No To the best of your knot...kedge, is the individual related to an employee d the DB grow/Vt. Pansy or Frirndship, desaibe) O Faintly O Friendship Ea None To the best of your knoweeclge, is the individual party to a non-banking relatkmship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or setrices)?(/ Ves,desathe) • Yes IR1No Uapplicable, indicate which bank officers have met the person: Indicate where and %Oen the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Dorrizie: Client Place of Business: Other location (specify): oat, O O O O O MI O O a • Wealth Details (or this individual are not Aped In, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source e of Funds" Pnrnary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business ante/Gifts O Other Owner • Salary/Earnings ill Investment O In Further Describe Source of Wealth ;Detail the history of wealth for each of the sources: (e.g. For Dugs, how did settlor accumula e wealth' For Inherltarxe, how did family accumulate wealth"For business owners, how long in business, how many errOkrrees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income(a): Estimated mecum of Weestable assets(S): Estimated Net Vicelh(S): Amount of assets placated to Invest with PYR1(6): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_000391361 https://dbforcepb.my.salesforCQUEIDEgraIdiA110000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002685 EFTA_00150470 EFTA01283948 KYC Print Page 15 of 20 I Please indicate the farnly situation of the indMdual (mantalstatus, other fam ly members, etc)* One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Financial LLC - 00000483882 Type of Entity: • Foundabon/Associanon • Trust M Company CI IState O Partnership Purpose of mutt'. Winn-rate Investment El PhiLdnIhroplc/Chaltable O commercial Type of EnUty Other (specify): Purpose of Entity other (specify). Country of ricorporationfternstortion: US Virgin Islands Date of incorporation / registration: 2/25/2013 Vokker Status: Volcker Flag: Address (city, street, post code): 6100 Red Honk Quarter 63 St Thomas 00602 US Virgin Islands U.S. TIN/EIN: 66-0799192 Provide a description of the end y's organizational structure, its ownership structure and its Top Management. for trusts/ oundatIons, include Information about revocablity.sett1or and benefklarlesetc.: 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 Now ownership of the legal entity Is reflected: O Special attention: Bearer Shares' Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate benefkiel 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, suppler of goods or services)': Yes O No 2 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This busness Is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. on EPst ' s personal wealth and Invest in deferent ventures. This company Invests In real estate, equities, c onniod dies, etc and gets as revenue from the gains it makes in these investments. It is a company formed to invest the assets of It. Epstein Countries where business is transacted: US Virgin Islands Number of empkwees: 3 3D. Wealth Profile (Only for parties requiring source of weaRh deuription as indkated in Section 2) Primary Country of source of wealth/source of Funds) Primary industry of source of WealtNSourte of Funds> Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetslabilltles): The vital funding In February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross receipts pa.($): 2,000,000 00 tsurnated net profit pa. (5): 1,500,000.00 I. snmated investable assets ($): 'Si MM Potential Amount to be invented with PWM ($): 300,000.00 Other Known Finical Institutions: IllStittlh011. JPMorgan Country: USA Est. Assets Under Mgt: 1,000,000.00 Institution. Country: Est. Assets Under Mgt: Institution. Country. Est. Assets Under Mgt: One sheet mu t be established for EACH LEGAL ENTITY in Section 2. Account Summary SONY_GM_000391362 ht t ps://dbforcepb.my.salesforcaaNtaCtErlatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002686 EFTA_00150471 EFTA01283949 KYC Print Page 16 of 20 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00000183883 Type of Entity: Trust R1Company O [slate °"fpurposeof Ender 01994tte Inyegment • X FoundationtAssociatan O ftsibrithropk/Charitable O Convnerdal O Partnership Type of Entity Other (specify): Purpose of EntKy Ofhm (Wattle): Country of eicorporation:tegistration. liS Virgin Islands Date of incorporaUon / registration: 11/18/2011 Vokker Stalin: volcker Flag: Address (city, street, post code): 6100 Red Kook Quarter B3 St Thomas 00802 US Virgin Islands U.S. TINitlfh 66-0779861 Provide a description of me entity's organizational structure, Its ownership structure and its Top Management. For trusts' cundations, include information about revocability,settkir and beneficiariesetc.: Please indicate how ownership of the legal entity is reflected: X Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (tf 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, suppWr of goods or sevkes)?: yes O NO 2I Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consulting Services relying on Fnancial and Biomedical algorithms. Southern Trust 6 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 Menke of employees: 0 3D. Weakh Profile (Only for parties requiring source of wealth descnption as indicated in Section 2) Primary Country of source of wealthlsource of Funds' Primary industry of source of Wealth/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet of equivalent summary of assets(labilities): Consult and invest dent funds and gain revenue based on fees and tenons hzimated gross tecelpts pa.(8): 2,000,000.00 Estimated net profit p.a. (Sic 1,500,000.00 Esbmated investable assets ($): $2 NM - 5 MM Potential Amount to be invested with PWM ($): 300,000.00 Other Known Financial Institutions: Institution: )PMorgan Country: USA Est. Assets Under Mgt: 2.000,00060 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SONY_GM_00039863 11 t ps://dbforcepb.my.salesforcCLINEIDrlatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002687 EFTA 00150472 EFTA01283950 KYC Print Page 17 of 20 DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B rA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking center 12 NY NY/Offshore O ashore LO MOderate isk CA eu High Risk leek! Frankbe (Complianc Signature) O De Employee O OD Managed PIC O Dfl is Trustee/Co-Trustee O Bearer Shares 4. Attadunents A. Type of Photo ID Provided EnDrivers License R Passport O National/State ID O Other B. Checklist of names (indwiduals and/or entitles) that were submitted for database searches is attached 0 Yes ON, C. Please indkate the results of the database searches performed RDC searches complete Ryes O No negative results found 2 Yes O No PCR checks complete '4 Yes O No negative results found n yes O No OFAC checks complete gas ONO negative results found Oyes ®No BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, DNB) Ore ON* negative results found afes gl tie Dental Orders checks complete trA yes O No negative results found Oyes WI No Martindale-Hubbell searched (Lawyers/Law Arms oriy) Dyes R Ho negative results found • Yes O No D. Please summarize any negative results from the database searches indicated above: DARREN INDYKE: Approved er KYC /01133377 HARRY BELLER: Approved n KYC 101133624 JEANNE BRENNAN: Jeanne was previously approved In KYC *01141315 JEFFREY EPSTEIN: ROC Merl 11 - Cleared & APPROVED by Chip Packard, APL Compliance, and Pat Harris PCR Alert 11/2 -- Not our cileM Al Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our clkne FINANCIAL INFORATICS DC: No negative media No court cases J. Epstein tti Co. Al Negative Media Is our dent He has been cleared of posing a reputatbnal risk as sham by the ANL Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Allendale the company I merged into. This alert has been ideated by Compliance and is attached Court Cases are closed E. To the best of you knowledge, has the client ever been convicted of a criminal offense' 12 yes O No F. To the best of you knowledge, has the customer ever been Invoked in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against O yes 0 No Deutsche Bank AG or any of as tease:Hanes? (ff ya, provide &talk below and concoct Quality HA (LatAm/IneVor die Regulatory Coned &cup and nobly Compliance irnmedotdr) G. Oyes Ott SONY_GM_OOO39864 https://dbforcepb.my.salesforcCLINErilDnEgeNDAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002688 EFTA_00150473 EFTA01283951 KYC Print Page 18 of 20 Does the [bent a related party have any financial or other association / attractions Within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)' H. Does the tient or related party have any financial or other association/ Interactions within high risk D yes 2 do countries? I. Corporate Documentation Attached (Legal Entities Only) 10 yes Duo U Not Appkable I. Undhcbsed Principal Form Complete (Intermedkwies on*) ❑yes K No 2 Not Applicable K. If Levis/Weis 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' U Yes 2 No Is the account structure Laussually complex? ❑yes 0 No Is there any indication the client set up a non operating company expressly ■ yes aNO for the purpose of transferring shares to third parties' Is there any indication this could be a prohibited business relationship' Wits I% No Are the bearer shares irk/tiled subject to acceptable controls' Eyes 2 No SONY_GM_00039865 https://dbforcepb.my.salesforeCLINErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002689 EFTA_00 150474 EFTA01283952 KYC Print Page 19 of 20 M. Case Comments Created By Date Comments (wren Hit 3 28 II; In9S Alt i<r>1f dri i it Ina KVC £1082203. ONSHORE APPROVALS Client Facing Professional (CFP): Paul MOMS Signature) /at/ Heirs 2,20201.1 Office DirectegiBusInecks Head: Brian M. Biggar Signature) Scion M. Biggar Regional Office Director: Signature) APR. OusinOSS Risk (Signature) ANL Comploroce: Gwen HI Janice Franklin (Signature) Gwen 11,11 Janice Franklin 3.28 201 LATAM/INTERNATIONAL APPROVALS Client Facing Prolev.ional (CEP): (Signature) Account Manager. (Signature) Global Market Team Head GMILDISub-Market Team Head (SkIlli)'. (Signature) AML Business Risk: (Signature) Nil. Complmrii i. (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals) (I) (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 ofCFP'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 ofmy 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! have followed all the procedures relating to account opening as described in the FIRM Amencas Procedures and the PIM Global KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. SDNY_GM_00039866 Imps://dbforcepb.my.salesforcCLINEJIDEATJA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002690 EFTA_00150475 EFTA01283953 KYC Print Page 20 of 20 Deutsche Bank Americas New York SDNY_GM_00039867 https://dbforcepb.my.salesforcepNErilDrairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002691 EFTA_00I 50476 EFTA01283954