EFTA01282044
Dataset 10 · 26 pages · 1.4 MB · 8,907 words
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People (7) #
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KYC Print Page 1 of 26 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case A : 01133377 Status : 6. Approved One sheet must be established per relationship • list all accounts included in the relationshi 1. Relationship Details Relatiorship Name: EPSTEIN, JEFFREY RELATIONSHIP. Booking Center: New York ReLatiorship Manager: Paul Moms w ia New MN Relationship O Existing PWM Relationship Relationship to PM: If edsting, please indicate since when the relationship costs, provide reason for new profile and attach old profile: RI alert Referral O RM Prospect O InterrnecharyfFIM O Other San (C18, etc) How Was the alent(s) Inunduced? How long has the Please prowde details (e.g. name of referral source, how many years RM personally has known client, etc): Darren Indyke is RM personally known the the in-house lawyer for Jeffrey Epstein, who Is a current client of the bank. Darren has worked extensively with Paul here at DB client? whde we've opened accounts for Jeffrey Epstein and he was a previous client of Paul's when he was at AIM:man. He met Paul at JPM through Jeffrey Epstein Does Deutsche Bard( pay a O Yes I2 No retrocession or similar compensation to a third party for the introduction of this (If Ye4 desmbe relationship? List all existing and new accounts involved in this relationship Legal Entity Account Name! Number Opening Date (Intended/actual) AccouM(s) I 2 The 2007 Jeffrey E. Epstein Insurance Trust 93 10/16,2013 2 2 FORK Associates, Inc 10/16/2013 3 2 HSRK Associates, Inc -- Money market 10/16/2013 4 W ..A Darren K. Irdyke PLLC 10/16/2013 5 ra Darren K. Irdyke PLLC -- Money Market 10/16/2013 6 7 Darren K. Irdyke PLLC-Attomey Trust Account 10/16/2013 7 2 Darren K. Irdyke PLLC-Attorney Trust Account -- Money Market 10/16/2013 a 2 New York Strategy Group, LLC 10/16/2013 9 FA New York Strategy Group, LLC — Money Market 10/16/2013 Who is the primary contact person for the RM? (Note: This Preferred method of contact person needs to have Darren Indyke (indicate phone no., fax no., signatory rights mite e-mail address, etc.): infcemation tight for the accounts.): SONY_GM_00037298 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB-SONY-0000122 7/11/2019 EFTA_00147910 EFTA01282044 KY(' Print Page 2 of 26 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust x3 Acct. limber Ofavai(bie): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Invesbnent, payment/expense account)? Chedcrig account to hold funds for this trust. Indicate from where the assets are expected to arrive? 0 DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): FO Other Institution (Indicate name Lk location): JPMorgan. New York, NY O Physical Deposits (specify cash, seances, 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 outflows 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 100030 Currency opening? I I USD What is the expected volume of assets and currency for the account approx. one year after 150030 Currency opening? I I USD Does/will the client have Asses Under Management (AiM) within Ce under Eut. 3M? •Yes ON° Please list all parties related to the account For each party: • Check if a source of wealth desorption is ratted for the patty. • Check the appropriate box to describe the relationsHp of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the paths relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). _egal Description AccountrIC Seek(' of Jitimate Signatory UmeeciFlrancial Significant Legal GrantoriSettloefoundingOther Intityof Source Holder Owner Trust/ 3enefiaalor Full POA IntermediaryShateholder Representative Donor (please of Wealth Founder ofr)wner PO* (FIM) (>=25%) describe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate rated to ownership donorship this -lb) etween po:ount names) The 2007 Jeffrey E. 1 El El Epstein 0 O El O O O O 0 0 O Insurance Trust 03 2 • g Jeffrey O Ei 2i O O O O LI O O Grantor; Epstein 3 • Da"n O O O O El O O 0 0 0 Trustee:; 0 Indyke Richard 4 O El Kahn • • D M El O El O O O Trustee:; SDNY_GM_00037299 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000123 EFTA_00147911 EFTA01282045 KYC Print Page 3 of 26 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust $3 — Money Market Acct. Number "available): Account Manager: Pad Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money market amount to hold funds for the insurance trust Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and amount details): 2 Other Institution (Indicate name B. location): JPMorgan. New York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected see and frequency of regular riflons and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-3 Inflows and outflows per month ranging from 51,000 to 510,000 What is the expected volume of assets and currency for the account approx. 90 days after 1200000 Currency opening? I I USD What is the expected volume of assets and currency for the account approx. one year 1250,000 Currency after opening? I I USD Does/will the client have Asses Under Management (AiM) within Ce under Eur. 3M? 0 Yes e No Please list all parties related to the account For each party: • Check If a source of wealth desorption is remind for the patty. • Check the appropriate box to describe the relationship of the party to this accoult (> 1 can be selected). • f mine of the check boxes apply, describe the palls relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimatefunderlying Beneficial Owner(s). _egal Description AccountPIC Setts of -Primate Signatory UmeedFiranaal Significant Legal ISrantor/SettioefoundingOtrier Intityof Source Holder Owner Trust/ Senernalor Full POA IntermediaryShareholdor Representanve Donor (please of Wealth Founder ofYiwner Pak (FIM) (>=25%) Jesonbe required Foundation Yon.PIC other roles entity and/or Parties (indicate nttcate related to ownership relationship Ns %) between ,account ?ernes) The 2037 Jeffrey E. I O WI Epstein i • O • O • O O El O Insurance Trust 03 effrey 2 O g EJpstein • O 0 • O O O O O O grantor; 3 O Ka Darren lndyke • • O • O O O O LI O Trustee:; Richard i: I: ci 4 . El Cahn O El O O O O O Trustee:: SDNY_GM_00037300 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000124 EFTA_00147912 EFTA01282046 KYC Print Page 4 of 26 2. Account Ownership Summary Account Name: HERK Associates, Inc Acct. Number Of avattatcre): Account Manager: Paul Moms What is the purpose of the account (e.g. portfolio management, advisory accant, custody services, long-term investment, payment/expense account)? Checking account to hold funds for daily use for the company. Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & location): WMorgan. New York, NY O Physical Deposits (specify cash, secuntes, 'Jacques, ...): What is the expected sue and frequency of regular salons and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 51,000 to $10,000 150000 lOirrency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening? 150000 ICLrrency I USD What is the expected volume of assets and currency for the account approx. one year after opening? Doesinill the dieM have Assets Under Management (ALM) within DB under Eur. 3M? • Yes J No Please list all parties related to the account Fat each party: • Check if a source of wealth description is rammed for the patty. • Check the appropriate box to describe the relationsNp of the party to this account (> I can be selected). • from of the check boxes apply, describe the palls relation to the account in the 'Other column. • Always describe the relationship between the pates in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). r egal Description AccountPIC Senior of Jitimate SignatorwlmitedFrencial 'Significant Legal Grantor/SettorPounding Other intityof Source Holder Owner Trust / Sena:labor Full 'OA IntermedwyShareholder Reptesentaave Donor (please of Wealth Founder orliviner POA (FIN) ..>=25%) describe required Foundation Non-PIC other roles entity and/or Parries 'indicate ndicate rated to ownership ..dationsNp Bits Yo) _.- teen account :..a rues) HBRK I a g Associates, 2 O O O O O O O F H Inc Richard O • O 2 O El 2 2 O O O I Kahn 3 O g jaser O OO 2 2 O O L H • SONY_GM_00037301 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB-SONY-0000125 7/11/2019 EFTA_00147913 EFTA01282047 KYC Print Page 5 of 26 2. Account Ownership Summary Account Name: HBRX Associates, Inc -- Money market Acct. Number ("available): Account Manager: Paul Morns 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 and earn interest Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & location): )PMorgan. new York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sae and frequency of regular riflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-3 inflows and outflows 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 1 100007 I Currency USO opening? I What is the expected volume of assets and culency for the account approx. one year after 1 150000 I Currency USO opening? I Does/will the client have Assets Under Management (ALM) within DB under Etc 3M? • Yes 0'w Please list all parties related to the account Far each party: • Check if a source of wealth description is rated for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the paitys relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). _egal Description AcccuntFIC Settor of Jltimate Signatorwimearrencial 'Significant Legal Grantor/SettorPoundng Other Intityof Source Holder Owner Trust / 3eneficelor Full 'OA IntermediaryShareholder Representaave Donor (please of Wealth Founder &Owner POA (Elm) ..>=25%) describe required Foundation Non-PIC other roles entity and/or Parties 'indicate indicate rated to ownership reationap this Ya) between account ?sorties) HBRK I 2 2 Assocetes, 2 O O O O O O O O O Inc 2 O 2 Richard O • O E E O O O O O Kam 3 O 2 HanY Beller O O O E E OO L O O SDNY_GM_00037302 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000126 EFTA_00147914 EFTA01282048 KYC Print Page 6 of 26 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC Acct. Number (flyable): 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 the daily use of the this law firm Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and ecoount details): 2 Other Institution (Indicate name & location): )PMorgan. New York, NY O Physical Deposits (specify cash, secunties, cheques, ...): What is the expected sue and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 51,000 to $10,000 150000 I Currency I USD 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 arrency for the account approx. one year after opening? I 7" Doesivnil the client have Assets Under Management (AM) within DB under Eur. 3M? ales @No Please list all parties related to the account Far each party: • Check if a source of wealth description is reqtred for the patty. • Check the appropriate box to describe the relationsNp of the party to this account (> I can be selected). • f none of the check boxes apply, describe the paths relation to the account in the 'Other" column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). regal Description AccountPIC Sailor of -Primate Signatory UmeeciFirancial Significant legal taantor/Settleti-oundinsiDther Intityof Source Holder Owner Trust / Benet-calor Full POA IntermediaryShareholduRepresentaave Donor (please of Wealth Founder oflOwner PCIA (FIN) (>=25%) descnbe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate related to ownership 'elatiorishp dins %) zetween account -,aites) I O 2 Darren ids O O O 5 O O O O O Darren K. 2 El 3 Indyke 2 D El O O O O O O O PLC SONY_GM_00037303 CONFIDENTIAL- PURSUANT TO FED. R. I IA ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000127 EFTA_00147915 EFTA01282049 KYC Print Page 7 of 26 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC -- Money Market Acct. Number Ofavailable) Account Manager: PS Morns What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/experse account)? Money market excite for the company to hold funds and earn interest Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): RI Other Institution (Indicate name & location): )PMorgan. New York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sae and frequency of regular nflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1.3 inflows and outflows per monthr anging from $1,000 to $10,000 What is the expected volume of assets and arrency for the account approx. 90 days after 1 100000 I USD opening? I CurrencY What is the expected volume of assets and arrency for the account approx. one year after 125000 I USD opening? I Currency Does/voll the client have Assets Under Management (Att4) within DB under Err. 3M? U Yes @ No Please list all parties related to the account Far each party: • Check if a source of wealth description is ranged for the patty. • Check the appropriate box to describe the relationsNp of the party to this accoin (> 1 can be selected). • f none of the check boxes apply, describe the palls relation to the empire in the 'Other" column. • Always describe the relationship between the pates in the last column. • Please drill down o the ulomate/underlying Beneficial Owner(s). .egal Description AccountPIC Setts of Jitimate SignatoriUmeedFirancial Significant Legal t.rantor/SettIcti-ounchrebther Intityof Source Holder Owner Trust/ Senefoalor Full POA IntermediaryShareholder Representahve Donor (please of Wealth Founder ofOwner Pak (F1M) (>.25%) descnbe required Foundation Yon-PIC other roles entity and/or Parties (indicate naccate related to ownership 'elaborate; this %) zetween account -,artes) I O 2 Damen O O O gl O O O O O indyke Darren K. 2 El 3 Indyke 2 D El O O O O O O O PC CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL SONY_GM_00037304 DB-SONY-0000128 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147916 EFTA01282050 KYC Print Page 8 of 26 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC-Attomey Trust Account Acct. Number Of ava,t3LW. Account Manage': Paul Monis What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checkng account for dents esoow. Finds are placed here to earn interest Indicate from where the asses are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): El Other Institution (Indicate name & location): WMorgan. New York, NY O Physical Deposits (spedfy cash, secuntes, cheques....): What is the expected sue and frequency of regular salons and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after 150000 Currency I USD opening? I What is the expected volume of assets and currency for the account approx. one year after 75000 I USD opening? I Currency Does/nil' the dieM have Assets Under Management (ALM) within DB under Err. 3M? El Yes 2 No Please list all parties related to the account Far each party: • Check if a source of wealth description is requred for the party. • Check the appropriate box to describe the relabonship of the party to this account (> 1 can be selected). • f rone of the check boxes apply, describe the parlys relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). regal Description AccountPIC Settles of Jitimate Signatory UmAeciFirendal Significant Legal trantor/Seniciefoundingratrie Entityof Source Holder Owner Trust / Benet-calor Full POA IntermediaryShareholdeRepresentahve Donor (please of Wealth Founder oflOwner PO* (FIN) (>=25%) Jescnbe required Foundation Yon-PIC >trier roles entity and/or Parties (indicate ndicate related to ownership relationship the %) betneen account 'aloes) Darren K. I O 2 Indyke 0 O O O O • O O 7 El Ric Darren 2 O 2 lndyke • O O 5 El O O O I ID SONY_GM_00037305 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000129 EFTA_00147917 EFTA01282051 KYC Print Page 9 of 26 2. Account Ownership Summary Account Name: Darren K. lndyke PLLC-Attomey Trust Account — Money Market 'Acct. Number idavadaNd Account Manager: Paul Mortis What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? Money market account fcc dents escrow. Funds are placed here to earn interest Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 1Z Other Institution (Indicate name & location): WMorgan. New York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sue and frequency of regular flows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1.3 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and arrency for the account approx. 90 days after 17500D opening? I aliTencY I UW What is the expected volume of assets and arrency for the account approx. one year 1 100000 Currency after opening? I I UW Does/will the client have Assets Under Management (AM) within DB under Eur. 3M? 0 Yes RI No Please list all parties related to the account For each party: • Check if a source of wealth description is ranged for the party. • Check the apixopnate box to describe the relabonslop of the party to this accoult (> 1 can be selected). • f none of the check boxes apply, describe the parties relation to the meant in the 'Other' column. • Always describe the relationship between the pates in the last column. • Please doll down to the ultimate/underhing Beneficial Owner(s). r egal Description AccountPIC Setter of Jldmate Signet meedFirencial Significant Legal `.;rantor/SettlotroundingOther intityof Source Holder Owner Trust/ 3enekelor Full , OA IntermediaryShareholder Representaave Donor (please of Wealth Founder oflOwner POA (FIM) (>=25%) describe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate related to ownership relationship this %) between account mares) I O 121 Darren O O O 2 121 O O O O O Indyke Darren K. 2 2 2 Indyke 0 O O O O OO O O O LC SDNY_GM_00037306 CONFIDENTIAL - PURSUANT TO FED. R. t I ON ht tps://db forcepb.my.sa lesforce.corn/servlet/servlet.lntegration?lid=01 N 30000000 D9Di & e... 7/11 /2019 DB-SONY-0000130 DSONY-0000130 EFTA_00147918 EFTA01282052 KYC Print Page 10 of 26 2. Account Ownership Summary Account Name: New York Strategy Group, LLC Acct. Number (Ifavaleab1O Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? Checlong account for the daily needs of the company Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB locatIon and account details): 2 Other Institution (Indicate name & location): WMorgan. New York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sae and frequency of regular flows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from $1,000 to 510,000 25000 I Currency I USD 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 arrency for the account approx. one year after 150300 I Currency I USD opening? Does/nill the titers have Assets Under Management (ALM) within DB under Err. 314? OymEIN0 Please list all parties related to the account For each party: • Check if a source of wealth description is requred for the patty. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the paths relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down o the ulomatefunderlying Beneficial Owner(s). _egal Description AccountPIC Settles of -Primate Signatory UmtedFinandal Significant Legal trantor/Settiorfoundingiatnd Intityof Source Holder Owner Trust / Benet-calor Full POA IntermediaryShareholdcr Representanve Donor ;please of Wealth Founder oflOwner PO* (FIM) (>=25%) describe required Foundation Yon-PIC other roles entity and/or Parties :indicate naccate related to ownership -donorship this %) between pennant pastes) New York Strategy 1 El R • • O El OO • 7 El Group, LLC Darren O O u 2 El E 2 El OD ri I El Indyke SDNY_GM_00037307 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000131 EFTA_00147919 EFTA01282053 KYC Print Page 11 of 26 2. Account Ownership Summary Account Name: New York Strategy Quip, LLC — Money Market Aca Number (IavaIDA Account Manager: Paul Marls What is the purpose of the account (e.g. portfolio management, advisory account, custody sermon, long-term investment, payment/expense account)? Money market account to hold hinds for the company and earn interest Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & location): )PMorgan. New York, NY O Physical Deposits (specify cash, secunties, cheques, ...): What is the expected sae and frequency of regular nflons and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-3 inflows and outflows per month ranging from 51,000 to 510,000 What is the expected volume of assets and arrency for the account approx. 90 days after MOOD I Currency I USD opening? What is the expected volume of assets and arrency for the account approx. one year after 75000 I Currency I USD opening? Does/will the dieM have Assets Under Management (ALM) within DB under Bur. 3H? Dyes 2 No Please list all parties related to the account FO' each party: • Check if a source of wealth description is reused for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the palls relation to the account in the 'Other column. • Always describe the relationship between the parties in the last column. • Please drill clown o the unmate/underlying Beneficial Owner(s). regal Description AccountPIC Settles of -Inmate Signatory UmtedFinandal Significant legal t:rantor/SettIctroundinsiCitner intityof Source Holder Owner Trust / 3enefidalor Full POA IntermediaryShareholderRepresentaave Donor 'please of Wealth Founder oflOwner POA (FIM) (>=25%) descnbe required Foundation Yon-PIC other roles entity and/or Denim Indicate naccate related to ownership HallOrtShic NIS %) between account 'aloes) New York Strategy El RI Group, • • E O O El ❑ 7 ❑ LLC Darren O RI Indyke • ❑ • 2 El CI El SONY_GM_00037308 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000132 EFTA_00147920 EFTA01282054 KYC Print Page 12 of 26 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indtekluars Name: Darren Indyke - 00000486405 Date of Birth: 2/19/1965 Canby of Residence: USA Country of Citizenship: USA Has client resided outside of 2 Kean Court Uvingston NJ 07039 USA his/her country of nationality • yes !i No Address of primary reldence: for 5 years or more? Profession/Occupabon: Lawyer Tax ID/ SSN: Current Employer: Southern Financial LLC Positicagttle/Rank: Address of employer: 6100 Red Hock Quarter B3 St Thomas USVI 03802 Does the person work as senior extortive of a D8-recognized regulated entity In the Mandel ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities El yes g No Is the individual a Politically Exposed Person (PEP)?(Y Yes, (Scribe) El 'IPS g No To the best of your knowledge, is the individual related to an employee of the DB group?(d O Family • Friendship 74 None Family or Friendslgo, des°fete ) 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 are @ No servlo)?(if Yadesoibe) Indicate where and nten the client meetirg(s) took place: If applicable, indicate which bank officers have met the person: Client Prwate Client Place of Bank Officer Name(s) Bark Office: Other Location (speo(y): Date: Donate: Business: Paul Morris O • @ 9/13/2013 O O O • • • • Wealth Details for this individual are not filled n, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the IndMdues Business: Attorney Primary Country of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner 2Salary/Earnings 0 Invesiment • Inhentance/Gifts O Other: Father Oescnbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how 6d settle accumulate wealth? For inhertance, how did family accumulate wealth?Fct business owners, how long in business, how many emptoyees, level of profitability? Indicate type of business, countries of mayor activities, important business partners.) Darren has been an in-house lawyer for Jeffrey Epstein at Southern Financhial LLC for over lOyrs, wherein his main source of income comes form (See KYC 011192293). He also owns a few of his own small companies (LiCs) for his private investments, and well his own law practice, Darren lndyke PLLC Estimated Annual Income(5): 300,000.00 Estimated amount of investable assers($): Si MM - 2 MM Estimated Net Worth($): 52 MM - 5 MM Amount of assets planned to invest with PWH($): 200,000.00 Cther Known Fronde Institutions: Institution: NoMorgan Country: USA EA. Assets Under Mgt: 10,000,000.00 Institution: County: Bt. Assets Under MO: SDNY_GM_00037309 CONFIDENTIAL— PURSUANT TO FED. R. IA I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000133 EFTA_00147921 EFTA01282055 KYC Print Page 13 of 26 Institution: I Country: Est AsseG Under Mgt: Please indicate the family situation of the individual (mental status, other family members, etc.): SDNY_GM_00037310 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000130 EFTA_00147922 EFTA01282056 KY(' Print Page 14 of 26 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all pates) Indwiduars Name: Harry Beller - 00000487202 Date of Birth: 5/9/1956 Country of Residence: USA Country of Citizenship: USA Has client resided outsde of 12 Gear Drive Homey NY 10952 USA his/her country of nationality O ye VIA No Address of primary residence: for 5 years or more? Profession/OcapatIon: Accountant Tax ID / SSN: Current Employer: HEM Associates, Inc Position/Title/Rank: Address of employer: 575 Lexington Avenue, 4th Fl New York NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Wm 0 No Is the individual a Pokkally Exposed Person (PEP)?(t Yes, clefolbe) El yes 121filo To the best of your knowledge, is the individual related to an employee of the DB group?(d O Family • Friendship 74 None Family or Frienoshfo, desafly ) To the best of your knowledge, is the individual party to a non-banking relationship with O Ye M No Deutsche Bank (e.g., external legal counsel, client referral sarce, suppler of goods or services)?(/ Yeufesdibe) Indicate where and then client meetirg(s) took place: If applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Offer Other Location (specify): Date: Domicile: Business: Paul Morris O • 0 9/13/2013 O O O O • O • Wealth Details for this individual are not filled n, because they are the sane as for the following person: 3B. Wealth Details (Only for pates requiring source of wealth descnpbon as indicated in Section 2) Name of the Individuals Business: Accounting Finn Primary Country of soiree of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: 74 Business Owner O Salary/Eamings 0 Inveslment • Inhentance/GNIs ElOther: Pettier Describe Source of Wealth /Detail the history of wet' for each of the sources: (e.g. For trusts, how de senior accumulate wealth? For inheritance, how did family accumulate wealth?Fct business owners, how brig in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Harry is an accountant and ems his own frm. He IS also the in-house accountant for Southern Financial LLC (KYC it:01082293). He has gained his wealth from his years as the in-house accountant and his own Arm Estimated Annual Income(5): 500,000.00 Estimated amount of Investable assers($): $1 MM - 2 MM Estimated Net Worth($): $2 MM - 5 MM Amotrit of assets planned to invest with PV,44($): Other Known Fronde Institutions: Institution: Ottoman Country: USA Est. Assets Under Mgt: 5,000,000.00 Inset:Won: Country: Est. Assets Under Mgt: Instlaition: Country: Est. Assets Under Mgt: SONY_GM_00037311 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000135 EFTA_00147923 EFTA01282057 KYC Print Page 15 of 26 Please Indicate the family situabon of the i -idl‘ndual (manta) status, other family , etc.): Married SDNY_GM_00037312 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000136 EFTA_00147924 EFTA01282058 KY(' Print Page 16 of 26 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Richard Kahn - 00000486407 Date of Birth: 12/6/1972 Canby of Residence: USA Country of Citizenship: USA Has client resided outsde of 130 E 75th St, r 7E New York NY 10021 USA his/her country of nationality El ye ?4No Address of primary naidence: for 5 years or more? Profession/Occupation: Accouniant Tax ID / SSN: Current Employer: HBRK Assoclate, Inc Position/Tee/Rant Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Does the person work as senior execitive of a DB-recognized regulated entity in the Mandel ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Ye @No Is the individual a Poldcally Exposed Person (PEP)?(Y Yes, clacribe) O Ym 2 NO To the best of your knowledge, is the individual related to an employee of the DB group?(d O Family ll Friendship 74 None Family or Frienosko, desafte) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, supplier of goods or O Yes @ No services)?(/ Yesdesdibe) Indicate where and when the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Cleat Private Client Place of Bank Officer Name(s) Bar* Office: Other Location (specify): Date: Dornicile: Business: Paul Morris O • @ W13/2013 O O O O • s • Wealth Details for this indrodual are not filled 111, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated 111 Section 2) Nettie of the IndSiduaFs Business: Accountant Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: n Business Owner @Salary/EarnIngs O Investment • Inhentance/Giffs O Other: Father Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For tries, how rid senor accumulate wealth? For inhertance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of mayor actaibes, important business partners.) Rchard arms HBRK Associates Inc with Harry Beller. He is also an in-house acme-rant for Southern Fronde', LLC (ICYC 01082293), for over °yrs. His wealth comes from his own km and bengal n house acme-rant Estimated Annual Income(S): 300,000.00 Estimated amount of Investable assers($): $1 MM - 2 MM Estimated Net Worth($): $2 MM - 5 MM Amot.rit of assets planned to invest with PWM($): Other Known Fronde Instigations: Insbtution: 1Pflorgan Country: USA Est. Assets Under Mgt: 1,000,000.00 Insbtution: Country: Est. Assets Under Mgt: Insbtution: Country: Est. Assets Under Mgt: SDNY_GM_00037313 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000137 EFTA_00147925 EFTA01282059 KYC Print Page 17 of 26 I Please Indicate the family situation of the i-dMdual (mental status, other family members, etc): I SDNY_GM_00037314 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SEN4Y-0000138 EFTA_00147926 EFTA01282060 KYC Print Page 18 of 26 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 - 00300483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country, of Citizenship: USA Has client resided outsde of Late Sant James Sant Thomas 00802 US Virgin Islands his/her country of nationality O ya tr. No Address of primary residence: for 5 years or more? Profession/Ocapation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Postai/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas USVI 00802 Does the person work as senior exearbve of a DB-recognized regulated entity in the financial n irn ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles r__, Yesci No Is the individual a Pole:tally Exposed Person (PEP)?(t yes, describe) atm 2 No To the best of your knowledge, is the Individual related to an employee of the DB group?(If O Family • Friendship 74 None Fa* or FnenOsigo, tate) 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 sowce, supplier of goods or •Yes OND services)?(/ Yescfesdibe) Indicate where and when the client meetirg(s) took place: If applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (speofy): Date: Domicile: Business: Paul Morris O • 0 9/13)2013 O O O • • s • Wealth Details for this indrvidual are not filled on, because they are the sane as for the following person. 3B. Wealth Details (Only for parties requlrrg source of wealth descnpuon as indicated r Section 2) Nature of the Individuals Business: Private investments Primary County of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Sunvnarize Source of Wealth: 62 Business Owner O Salary/Eamings 0 Investment O Inhentance/Gds El Other: Further Describe Source of Wealth /Detail the history of wet' for each of the sources: (e.g. For costs, how did setter accumulate wealth? For Inheritance, how did family accumulate wealth?Fot business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Epstein began Ns finanoal career in 1976 as an options trader at Bear Stearns and became a parbwri n 1980. In 1982, Epstein founded his own financial management firm, ). Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the reme of hi firm to The financial Trust Company and based rt on the island of St. Thomas in the US Virgin Wands. AI of Ns dents were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and Ns financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assers($): 550 MM - 100 WI Estimated Net Worth($): $100 MM - SOD MM Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Insbtubon: )(Morgan Country: USA EA. Assets Under Mgt: 120,000,000.00 hist:Won: Country: Est. Assets Under Mgt: SDNY_GM_00037315 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB-SONY-0000139 7/11/2019 EFTA_00147927 EFTA01282061 KYC Print Page 19 of 26 Institution: Country: at Assets Under Mgt: Please indicate the family stuaban of the indivedual (mental status, other family 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: New York Strategy Group, LLC - 0003003721S 0 Private Inymbnent • O Foundaten/Assooation O Tarn O Company O Estate a type Entity: ruirmse cif EntitY: Phlanthropc/Charitable O • Partnership Commercial Purpose of EMIty Type of Entity Other (speofy): Other (spedfy): Country of USA Dare of incorporation / 1/13/2000 incorpotabon/registraton: regstration: Volcker Status: Volcker Flag: Address (city, street, post 575 Lexington Ave, 4th Fl New York NY 10022 USA U.S. TIN/EN: code): Provide a description of the entity's organizational structure, it ownershp structure and is Top Management. For trush/foundabons, include information about revocablity,settla and benefloanes,etc: New York Strategy Group. LLC is a single iirci LLC owned by Darren K. Indyke. Please indicate how ownership of the legal entity is reflected: Darren K. Indyke is the sole member O Special attention: Bearer Shares - Indicate where shares are custodied: Desaibe the chain from the direct owner of the entity to the ultimate beneficial owner (If not tire sane persons); Darren K. Indyke is the sole member 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 • No Describe Nature of Entity's Primary Business and Investment Activities Pnvate LLC used for the personal invesbnents of Darren !Skye. The LLC holds funds and Nature of the business: itivesis in assets that Darren finds interesting Countries where business is transacted: USA Number of employees: I 3D. Wealth Profile (Only for parties requiring source of ‘wath desctiptdn as indicated in Section 2) Primary Country of soirce 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/babilities): New Yak Strategy Group, LLC Invests In different asset classes and owns its assets through the revenue it makes on the return uwesthiat Estimated gross receipts p.a.($): 100,000.00 Estimated net profit pa. (5): 25,000.00 Estimated investable assets (f): <$1MM Potential Amount to be invested with FWM (5): 50,000.00 Other Known Ft-andel Institutions: Institution: Whiorgan Country: USA Bt. Assets Under Mgt: 500,030.00 Institution: Canty: Bt. Assets Under Mgt: Institution: Country: Bt. Assets Under Mgt: SDNY_GM_00037316 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000140 EFTA_00147928 EFTA01282062 KY(' Print Page 20 of 26 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Lea! Entity Name: Darren K. Indyke PLC - 03000987220 0 Private Investment O • FoundationfAssooation O Trust 21 Company • Estate Purpose of EntitY: Phianthropc/Chantable O • Partnership Commercial Purpose of Entity Type of Entity Other (speofy): Other (specify): Country of USA Date of Incorporation/ 9)512008 incorpotabon/registranon: i egstration: Volcker Status: Volcker Rag: Address (city, street, post 575 Lexington Avenue New York NY 10322 USA U.S. TIN/EIN: code): Provide a description of the ercity's organizational structure, its ownership structure and is Top Management. For trusts/foundatkos, include Information about revocablity,settke and benefloaries,etc.: Single member PLLC with Darren K. Indyke as the sole member and owner Please indicate how ownership of the legal entity is reflected: Single member PLLC with Darren K. Indyke as the sole member arid owner O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner Ofnof the sane persons): Single member PLLC with Darren K. Indyke as the sole member and owner 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 • NO 21 Describe Nature of Entity's Primary Business and Investment Activities Natt.te of the business: taw practice. This is Darren Indyke's private law firm. Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth descnpaon as indicated in Se. i 2) Pnmary Country of solace of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): AssetS come from the rates he charges clients for his law services Estimated gross receipts p.a.($): 300,000.00 Estimated net profit p.a. (5): 200,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWM (5): 100,000.00 Other Known Financial Institutions: Institution: Morgan Country: USA Est. Assets Under Mgt: S00,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: HBRK Associates Inc - 00030987223 Type of Entity: I Purpose of Entity: SDNY_GM_00037317 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000141 EFTA_00147929 EFTA01282063 KYC Print Page 21 of 26 • Foundation/Assooabon O Trust R Company O Estate 0 Private Investment O O Partnership Philanthrope/Charitable O Commercial Purpose of EMIty Type of Entity Other (specify) Other (specify): Country of USA Date of incorporation / 8/2912008 incorporation/registration: i eostration: Volcker Status: Volcker Rag: Address (city, street, post 575 Lexington Avenue, 4th Fl New York NY 10022 USA U.S. TIN/EN: code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include Iriormation about revocablity,settlor and benefioanes,etc: Richard Kahn 50% owner Harry Beller 50% owner Please Indicate how ownership of the legal entity is reflected: Richard Kahn 50% owner Harry Beller 50% owner O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (tut the sane persons). Richard Kahn 50% owner Harry Beller 50% owner To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external kipt counsel, client referral source, supplier of goods or services)?: Yes O No2 Describe Nature of Entity's Printery Business and Investment Activities Nature of the business: Pi:counting f um Counbles where business is transacted: USA Number of employees: 2 3D. Wealth Profile (Only for parties requiring source of .‘eatn descript cn as indicated in Section 2) Pnmary County of soute of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities). Harry and Rich are both in-house accantant for Jeffrey Epstein. Their company's, HBRK, assets comes from the fees they charge for this service Estimated gross receipts p.a.(5): 400,00043 Estimated net profit pa. (5): 300,030.03 Estimated investable assets (5): <51 MM Potential Amount to be invested with PWM (5): 200,03043 Other Known Frontlet Insbtutions: Institution: 3Pleorgan Canby: USA Est. Assets Under Mgt 200,003.00 Insotution: Casty: Est. Assets Under Mgt: Institution: Catty: Est. Assets Under Mgt: One sheet mu t be established for EACH LEGAL ENTITY In Section 2 Account Summarr 3C. Legal Entity Details (For at Legal Entities) Legal Entity Name: The 2007 Jeffrey E. Epstein Insurance Trust 93 - 00000487199 Private Investment O ❑ Foundation/Association 21Trust O Company O state Type of Entity: Purpose of Entity: Phdanthroptc/Chantable O O Partnership Commercial SDNY_GM_00037318 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000142 EFTA_00147930 EFTA01282064 KYC Print Page 22 of 26 Type of Entity Other (specify): Purpose of Entity Other (specify): Country of USvi Date of Incorporation/ 11/1/2007 intorno/aeon/registration: regetrabon: Volcker Stabs: Volcker Rag: Address (city, street, post 57$ Lexington Ave, 4th Fl New York NY 10022 USA V.S. T1NfEIN: code): Provide a desapbon of the enoty's organizational structure, its ownershp structure and @LS Top Management. For trusts. oundabons, exlude information about revocatifity,settke and tenefioanes,etc: Jeffrey Epstein: Grantor Darren Indyke: Trustee Richard Kahn: Trustee Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Granby Darren Indyke: Trustee Rehard Kahn: Tnstee O Special attention: Bearer Shares - Indicate where shares are custcded: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (rf not the sane persons); Jeffrey Epstein: Grantor Darren Indyke: Trustee Rehard Kahn: Trustee To the best of your knowledge, is the entry party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services)?: Yin O No Describe Nature of Entity's Primary Business and Investment Activities Matte of the business: Trust account Countries where business is transacted: USVI, USA Number of employees: 2 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated In Secdon 2) Pnmay Country of soiree of wealth/source of Funds? Pnmay industry of source of Wealth/Source of Funds? Provide Evidence of Corporate ASSE4S (e.g. balance sheet or equivalent summary of assets/liabilities): The funds for ths trust account come from contributions made by the Grantor, Jeffrey Epstein. Its source of wealth can be found in his weakh profile Estimated gross receipts pa.($): Estimated net profit pa. ($): Estimated investable assets (f): c$1 MIl Potential Amount to be Invested with WM (3): 4C0,000.00 Other Known &angel Institutions: Inanition: JPNorgan Country: USA Est. Assets Under Mgt 4C0,000.00 insttution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037319 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000143 EFTA_0014793 I EFTA01282065 KYC Print Page 23 of 26 DB PWM GLOBAL KYC/NCA: US/1st/kin/Intl PART B VA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booiong Center O Offshore O Moderate Moderate® Ho Risk Janice Franklin NY NWOffshore O Risk I2 (Compliance Signature) O DB Employee D De Managed PIC O DB IS Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided El Drivers License O Passport O Nabctial/State ID O Other Checklist of names (individuals and/or mates) that were submitted for database searches IS B. attached 2 Yes El No C. Please indicate the results of the database scathes performed RDC searches complete R1l'eS O No negative results found O Yes F21 No PCR cheds complete In Yes • No negative results found O Yes RI No OFAC checks complete ..4 YOS • No negative results found Ores 2 No BIS searches complete (Lexis/Nexis, Fame, Reuters, Dow Jaws, MB) n let • No negative results found Ores 2 No Denial Orders checks complete PI l'eS O No negative results found O Yes kl1N0 Martindale-Hubbell searched (Lawyers/Law Firms only) Oyes IR1 No negative results found O Yes O No Please summarize any negatve results from the database searches indicated above: DARREN K. INDYKE: No negative Media No court cases NEW YORK STRATEGY GROUP, LLC: No negative media No court cases DARREN K. INDYKE PLLC: No negative media No court cases HBRK AttnNATES INC: No negative media No court cases D. Richard Kahn: Approved KYC X01082193 AM]. Clearance attached to this KYC Not barred from NYSE Area and he was cleared twice as seen in the attachments Harry Beller: Negative Media: Not our client. All negative media pertains to an environmental mcroblologist. Our client is an accountant Court Cases: #1: Disposed in 1987 All other cases are not our client. The other court cases refer to a Dr. Harry Seller. Our client is an accountant Jeffrey Epstein INSURANCE TRUST: No negative media No court cases Jeffrey Epstein: Previously KYC'd and approved in: 01082293 and 01121718 E. To the test of your knowledge, has the client ever been convicted of a cnminal offense? • Yes O No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of @LS subsidanes ct is the customer threatening litigation against F. Deutsche Bank AG or any of its subsidanes? (If Yes, provide details belay and contact Qualey Mgt. ❑ Yes E21No O (Lat4m/Int1)& the RegulatoryControl Group andnolityCompfance immeciakly) G. O Yes ®No SDNY_GM_00037320 CONFIDENTIAL — PURSUANT TO FED. R. t I ONFIDENTIAL https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000144 EFTA _0BI 47932 EFTA01282066 KYC Print Page 24 of 26 Does the client or related party have any financial or other associabon / interactiors within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the client or related party have any financial or other asscoation/ interactions within 'ugh risk ri countries? LJ Yes 0 No I. Corporate Documentation Attached (Legal Entities Only) @Yes O No • Not Apper_able J. Undisclosed Principal Form Complete (Intermediart Only) O Yes O No RINot Apper_able K. If Leds/Necis Search Rest, Corporate Dxumenis 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? OYin 12 re, Is the account struch.re unusually complex? ElYin 0 la Is there any indication the client set le a non operating company expressly LI❑r-a for the purpose of transferring shares to third parties? Yin 0 NO Is there any indicaton this could be a prohibited business relationship? O yin 2 Ito Are the bearer shares identified subject to acceptable controls? Dyes 0 No SONY_GM_00037321 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000145 EFTA_00147933 EFTA01282067 KYC Print Page 25 of 26 M. Case Comments Created By Date Comments Amanda Kirby 10/11/113 9:21 AM Need to done to make 2 new KYCs ONSHORE APPROVALS Cent Facing Professional (CFP): Paul Morris ;Signature) 10/3/2013 Paul Morris Office Director/Sunness Head: Bean M. Biggar ;Signature) 10/4/2013 Sean N. Biggar Regions Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) Jacqueline Lighd:ody Jacgue_ne lightboly 10/11/2013 Janice Franklin Janice Franklin 11/1/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) ;GMTH)/Sub-Market Team Head ;SMTH): AML Business Risk: (Signature) AML Compliance. (Signature; PRIVATE WEALTHMANAGEMENTPOLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals1(1) (CFP's) should establish andmaintain business relationships only with persons who swish, our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATIONFOR 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 ofthe client(s) and that I havefollowed all theprocedures relating to account opening as described in the PWMAmericas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. SONY_GM_00037322 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000146 EFTA_00147934 EFTA01282068 KYC Print Page 26 of 26 Deutsche BIM Amass New York In SDNY_GM_00037323 CONFIDENTIAL - PURSUANT TO FED. R. Ce I - ONFIDENTIAL DB-SONY-0000147 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147935 EFTA01282069