EFTA01282110
Dataset 10 · 33 pages · 1.8 MB · 11,181 words
Extracted Images (33) #
People (9) #
Extracted Text #
KYC l'rint Page 1 of 33 DB PWM GLOBAL KYC/NCA: PART A KYC Coy, : Status : 6. Approved One sheet must be established pr relationship - list all accounts Included In the retationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP. cooking Center: New Yak Relationship Manager: Stewart DIMS • New PWM Relationship 9 Existing PWM Relationship If costing, please indicate sate when the relationship exists, provide reason for new profde and attach old profile: ***This KYC Relationship to PWM: is a periodic review for high risk remediateni** Original o inb newcheclong account with account title as Zorro Management LLC(House Acct) and adding 2 new signets: Client Referral O RM Prospect O Intermediary/PIM O Other Source (GB, etc.) How Was the alent(s) Introduced How long has the RN personally known the Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein client? reached out to Stew Oldfleld co 3/7/17 to have a new acct opened elder Zorro Management LLC and add two new signors to this new acct ally. Dees Deutsche Bank pay a O Yes retrocession or driller empanel:ion to a third party for the introduction of this al Yes desotei relationship? List al existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) El Zorro Management, LLC - Deposit 12/20/2016 2 2 Zorro Management, LLC (House Acct 3/13/2017 3 A LSJE, LLC - Deposit 2/25/2015 4 9 Mort, Inc - Deposit 2/6/2015 5 Jeepers Inc- 8rokerage- 0/23/2013 6 9 Hyperion Ai; LLC - Deposit 10/18/2013 7 9 Plan D LLC - Deposits 10/18/2013 8 • LI JEGE LLC - Deposits 10/18/2013 9 in JEGE Inc- Deposes 10/18/2013 Who is the primary contact person for the RN? (Note: This Darien Indyke Preferred method of contact person needs to have signatory (indicate phone no., fax no., rights and/or infemation right e-mad address, etc.): for the accounts.): SDNY_GM_000373S9 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000213 EFTA_00148001 EFTA01282110 K17(.7 Print Page 2 of 33 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name. Zorro Management, LW - Deposit Acct. Number (deavarlaAW Account Manager: stewwt oldfield What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, keg-tern investment, payment/expense account)? the pispose of this account a to manage the daily expanses of the company Indicate from where the assets we expected to ainve? 0 DB Group: Same Booking Center (Indicate account number): O DB Group: Other Docking Center (indicate DB location and account details): O Other Institutran - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques...,: What is the expected sae and frequency of regular inflows and outflows for the account (radicate estimated number and volume per mordi)?: 0-10 inflows/outhows between 50k and 100k u a monthly basis what is the expected vokune of asset and currency for the account approx. 90 days after 1485559.78 I Currency opening? I usd what is the expected vokime of assets and currency for the account approx. one year after 1300500 opening? I al"ncY I usd Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes FA No Please list all parties related to the account. Ric each party: • Check if a source of ‘weith description is required for the party. • Check the approp ate box to describe the relationship of the party o this account (> I can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). _egal 7esalptio AccourtPIC Settle of Jitimate Signatory Andel Financial ISIgnifkant _egal Grantor/SetdorFoundingpther Enoty of Source bolder Owner trust! 3enefklalor Full ?OA IntermeckaryShareholderRepresentative Donor L,please of Wealth Founder of Dwner POA (FIM) (>=25%) describe equired foundation Non-P1C other roles entity andior (indicate nelleate dies ownership relationship dated to %) between s account oodles) ZOITO i 2 2 anagemet, n • O O O O O O O O It effrey E. O O • 2 M M Jpstein O O O O O Darren O O O 3 O O ndyke O 0 O O O O 71 SDNY_GM_00037390 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000214 EFTA 00148002 EFTA01282111 KYC Print Page 3 of 33 2. Account Ownership Summary Account Name: Zorro Management, LLC (House Acct) Acct. Number (iftisTagc.X Account Manager: stew °Wield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, Ictig.terrn investment, payment/expense account)? The propose of the account is to manage the monthly expenses of the company Indicate from where the assets ate expected to arrive? 0 DB Group: Same Booking Cater (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): ID Other Institution - (Indicate name & location): O Physcal Deposts (specify cash, securities, cheques....): What IS the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 0.10 infkiws/outflovrs of no more than 15k on a monthly bass What IS the expected volume of assets and currency for the account approx. 90 days after 19906.52 I Currency opening? I usd What IS the expected volume of assets and currency for the account approx. one year after 1 12000 I Currency opening? I usd Does/will the cleM have Assets Under Management (Aunt) within DB under Eur. 314? • Yes RI NO Please list all parties related to the account For each party: • Chedc If a source of wealth description I required for the party. • Cheick the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the check boxes apply, dose be the party's relation to the account in the 'Other column. • Always describe the relationshp between the parties In the last column. • Please Cal down o the ultimate/underlying Beneficial Owner(s). _egal Dasalptio AccountPIC Settles of Jltimate Signatory _memFinancial Significant _egal Grantor/SethorFoundingOther Emory of Source bolder Onner Trust / Benefeialor Full PCIA IntermectarA6hareholderttepresentattve Donor (please of Wealth Founder of Owner POA (FIN) (>=25%) describe equired Foundation Non-PIC other roles entity and/or (indicate indicate its ownership relationship elated to %) between s account parties) 2otro 1 2 2 anagemet, 2 O O O O O O O O O LC 2 O O Jeffrey E. . s O 21 El • • • O O pstein Darren Ill • X • • O M • • • • O ndyke 9 O O • El I: El 21 ID • O O O 5 O O O O O O 0 O O O O O SDNY_GM_00037391 CONFIDENTIAL - PURSUANT TO FED. R. t I O ht tps://db forcepb.my.sa lesforce.com/servlet/servlet.lntegration?lid=01N 30000000D9Di & e... 7/11/2019 DB-SONY-0000215 DSONY-0000215 EFTA_00148003 EFTA01282112 KYC Print Page 4 of 33 2. Account Ownership Summary Account Name: LSJE, LLC - Depost Acct. Number a I erveddble Aco3unt Manager: stewart oldfleld What is the purpose of the account (e.g. portfolio managemen , advisory account, custody services, long-term Immanent, payment/expense account)? The purpose of the account is to manage the monthly expenses of the company indicate from where the assets we expected to amve? a C6 Group: Same Booking Center (Indicate account number): • DB Group: Other Booking Center (Indicate DO location and account details): O Other Institution — (Indicate me & iccatka): O Physical Deposits (specify cash, secunties, cheques...,: What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per morith)?: 0.10 Inflowsioudlows of 50-$30k on a monthly basis What Is the expected vokime of assets and currency for the accorn approx. 90 days after 1 121165 I Currency opening? I usd What Is the expected vokime of assets and currency for the account approx. one year after 1350000 I Currency use opening? I Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes g No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this &roux (> 1 can be selected). • f none of the check boxes apply, describe the party's relation to the account In the 'ether' column. • Alway describe the relationship between the parties in the last column. • Please erd down to the ultim tefunclertylng Beneficial 0 mer(s). _eeal Xscription AccountP1C Senior of JIUmate Sgnat rote ono& Significant _egal Grantor/Settlorfoundnopther Entity Y Source Holder DemerTrust / 3eneficiake Ful ntennediaryShareholderitepresentative Donor (please YWealth Founder &Dan& POA 'ElM) (>=25%) describe -equired Foundation Yon-PIC other roles entity and/or Parties (.ndicate ndicate related to ownershp relationship tNs SS) r atween account aCCOU rties) 1 2 2 LelE, [SC O O O O O O O O O O Jeffrey E. O O O 2 MN Epstein 0 O O O O O O Darren O O O O O 3 O O indyke O El O O O SONY_GM_00037392 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSte... 7/11/2019 DB-SONY-0000216 EFTA_00148004 EFTA01282113 KYC Print Page 5 of 33 2. Account Ownership Summary Account Name: Mort, Inc - Deposit 'Acct. Number trfavant*/ I Account Manager: Stewart Oldfield What Is the purpose of the account (e.g. portfolio managemen , advisory account, custody servion, long.terrn inveimient, payment/expense account)? The purpose of the account is to manage the monthly expenses of the company Indicate from where the assets we expected to amve? a C6 Group: Same Booking Center (indicate account number): • DB Group: Other Booking Center (Indicate D8 location and account details): O Other Institution — (falcate me & location): O Physical Deposits (specify cash, senates, cheques....): What is the expected sae and frequency of regular Inflows and outflows for the account (ndicate estimated number and volume per month)?: 0.5 lams/outflows of less than 510k on monthly basis What is the expected vokime of assets and currency for the account approx. 90 days after 4853.12 I Currency opening? I usd What Is the expected vokune of assets and currency for the account approx. one year after 6500 I Currency opening? I usd Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? ❑O yes No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the check boxes apply, describe the partys relation to the account in the 'Other' column. • Always describe the relationshp between the parties in the last column. • Please Cal down o the ultim te/underlying Beneficial 0 iner(s). algal Desolation hccountPIC Senior of Jitimate Spriatorydnutecfrinanclal Significant _egal Grantor/Settlort-ounetrigOther Cray of Source Holder OwneeTrust / Beneficial: Ful POA IntevnedlaryShareholdertlepresentative Donor (please sf Wealth Founder oflOnner POA (FM) (>=25%) describe equlred Foundation Yon-PIC other roles entity and/or Parties (indicate ndicate related to ownership relationship this 5b) between PCCOUnt parties) I 2 2 Mort, Inc 21 O O O O O O O O O 2 MN Ejas efirel tern E. O O O 0 El O O O O O Darren 3 El O Inclyke O O ❑D O e O O O O O SDNY_GM_00037393 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000217 EFTA_00148005 EFTA01282114 KYC Print Page 6 of 33 2. Account Ownership Summary Account Name: )eepers Inc- Brokerage Acct. Number °lavas,lei Account Manager: stewart oldfeld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, keig.terrn investment, payment/expense account)? The purpose of the account is to manage the securities pt.rctases of the company Indicate from where the assets ate expected to arnve? ct DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): O Physcal Deposts (specify cash, securities, cheques....): What is the expected sae and frequency of regular inflows and outflows for the account tracheate estimated number and volume per month)?: 0/10 infkiws/outflows of less than S5k a month What is the expected volume of assets and currency for the account approx. 90 days after 13169993 Currency usd opening? I I What is the expected volume of assets and currency for the account approx. one year after 13149993 Currency opening? I I usd • yes A NO Does/will the client have Assets Under Management (AuM) within DB under Eur. 314? Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the check boxes apply, describe the partys relation to the account in the 'Other column. • Always describe the relationshp between the parties in the last column. • Please Gal down o the ulUm te/underlying Beneficial O alerts). _egal Description AccountPIC Settlor of Jltimate Signatory Unice? anti& Significant _egal Grantor/SettlorfoundngOther Entity g Source Holder Ownertrust / 3enefidake Ful POA ntennediaryStateholderPepresentative Donor (please sf Wealth Founder &Owner POA FIM) (>=25%) describe equired Foundation Son-PIC other roles entity and/or Parties tracheate nelicate related to ownership relationship this %) between account parties) I 2 2 leepers, 45. O • • O O O O O • Inc 2 O • Jeffrey E. • • • N O O • O O • Epstein Dar 3 O O Indykrene • El • • 2 O O O O • Jean Anne 4 O O Brennan O O O O 12 O O O O O Webracht S O O Harry O O O O 2 O O O O O Beller ONFIDENTIAL SDNY_GM_00037394 CONFIDENTIAL - PURSUANT TO FED. R. t DSDNY-0000218 B- I ht tps://db forcepb.my.sa lesforce.com/servlet/servlet.lntegration?lid=01N 30000000D9Di & e... 7/11/2019 EFTA_00148006 EFTA01282115 KYC Print Page 7 of 33 2. Account Ownership Summary Account Name: Hyperon Air, LLC - Deposit Acct. Number (1f amiable) Account Manager: stewart okifield What h the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Immanent, payment/expense account)? The purpose of the account is to manage the monthly expenses of the company Indicate from where the assets are waded to arnve? a DB Group: Same Boding Center (indicate amount number): • DB Group: Other Booking Center (Indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques....): What Is the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0.3 inflows/outflows on a d monthly basis of less than $5k What Is the expected vokime of assets and currency fa the acomot approx. 90 days after 1 100291.79 I Current-y opening? I usd What Is the expected vokime of assets and currency for the account approx. one year after 193500 I Currency opening? I L6d Does/will the cheM have Assets Under Management (AuM) within DB under Eur. 3M? I • Yes No Please list all parties related to the account. For each party. • Check if a source of wealth desaiption is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the cheat boxes apply, desaibe the pa's relation to the account in the 'Cther column. • Alnay describe the relationship between the parties in the last column. • Please as dorm to the ultim te/underlying Beneficial O mer(s). _egal )escription PccountPIC Senior of Jitimate Sonataydnute anclal Significant _egal Granta/Settiorfoundnopther Entty of Source Holder Owner-frost 1 3eneliclake Ful 'OA ntennediaryShareholdertlepresentativo Donor (please if Wealth Founder &Dana POA ElM) (>=25%) desaibe tqulred Foundation other roles entry and/or Parties (indicate ndicate related to ownershp relationship this lb) Ooetween Account ilarties) 1 2 2 Hyperion Air, LLC O ® O O O O O O O O 2 • • Ejpstee ffrq in E. O O O 0 El O O O O O 3 O • Darrel Indyke O • O • 2 O • O O O Ha O O O 4 O O ale O 2 O O O O O SDNY_GM_00037395 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000219 EFTA_00148007 EFTA01282116 KYC Print Page 8 of 33 2. Account Ownership Summary Account Name: Man D LLC - Deposits Act Number (ifamiable) Account Manager: Stewart &died What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Immanent, payment/expense account)? The appose of the account is to manage the monthly expenses of the company Indicate from where the assets are expected to amve? gli C43 Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (Indicate DB location and account details): • Other Institution — (Ireicate name & location): O Physical Deposits (specify cash, secunties, cheques.....: What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: 0.5 inflows/outflows between $10k and $150k on a monthly basis What Is the expected vokune of assets and currency for the account approx. 90 days after 1229030.92 I Currency I usd opening? What Is the expected vokune of assets and currency for the account approx. one year after 1160650.00 I Currency opening? I usd Does/will the *ern have Assets Undo Management (AuM) within DB under Eur. 3M? 1O yes ONo Please list all parties related to the account. For each party: • Check If a source of wealth desolation Is required for the party. • Check the appropriate box to describe the relationship of the party to this actinic (> 1 can be selected). • f none of the check boxes apply, desaibe the party's relation to the account in the naher column. • Alway describe the relationship between the parties in the last column. • Please CM down to the ultim tefunderlying eenehaal 0 tner(s). _egal )esuiptIon liccountPIC Settlor of _Pinnate Signatory „Mute anclal Significant _egal Granta/SettiorfouneincfrOther Entity Y Source Holder DemerTrust 1 Benefloakt Ful 'OA ntemhediarySharehokkrQepresentawe Donor (please oe Wealth Fander oflOnner POA ElM) (>=25%) desaibe tqulred Foundation Non-PIC other roles entity and/or Parties (,miclicate ndlcate related to ownership relationship tills 5b) een "CCOLIf1t rleS) Plan D, O O O 1 2 2 LLC O O O O O O O 2 • • Jeffrey E. Epstein O O O 0 ® O O O O O Darren O . O 3 O • Indyke • 2 O • O O O Ha 4 O O ale O O O O 2 O O O O O SDNY_GM_00037398 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000220 EFTA_00148008 EFTA01282117 KYC Print Page 9 of 33 2. Account Ownership Summary Account Name: JEGE LLC - Deposals Acct. Nurnber tif availebk9: Account Manager: SICYfalt oldfreld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long.terrn investment, payment/expense account)? The purpose of the account is to manage the monthly expenses o the company Indicate from where the assets ate expected to arnve? 0 DB Group: Same Booking Cuter (InOcate account number): O DB Group: Other Booking Center (Indicate DB location and account details): O Other Instituter, — (Inelcate name & location): O Physcal Deposts (specify cash, secuntes, cheques....): What is the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 0/10 infkv.vs/cuttlows of up to $100k on a monthly basis What is the expected volume of assets and currency for the account approx. 90 days after 1 176381.00 I Currency opening? I usd What is the expected volume of assets and currency for the account approx. one year after 1 130777 I Currency opening? I usd Dos/will the cleM have Assets Under Management (AuM) within DB under Eur. 314? 1O Yes 12 No Please list all parties related to the account For each party: • Check if a source of wean' description is required for the party. • Check the appropriate box to describe the relationship of the party to this accottt (> 1 can be selected). • f none of the check boxes apply, describe the party's relation to the account In the 'Other' column. • Ahvays describe the relationshp between the parties In the last column. • Please Cal down to the ultim to/underlying Beneficial Owner(s). _egal Desorption hccountalC Settlor of Jltimate Senataydnutee ancel Significant _egal Grantx/SettlorfoundngOther Entity of Source Holder Ownearust / kneficiate Ful POA ntennediaryShateholderVepresentative Donor (please of Wealth Founder &Owner POA FIM) (>=25%) describe equlred Foundation Yon-PIC other roles entity and/or Parties (indicate ndicate related to 3mership relationship this %) between account parties) 1 21 2 JEGE, LLC E • • • O O O O O • Jeffrey 2 O . Epstein E. • • • E O O • O O • Darren O O Indyke • • U . • 2 O O O O • Hairy 4 O O Beller • O O O 21 O O O O O SDNY_GM_00037397 CONFIDENTIAL - PURSUANT TO FED. R. t I ON TIAL ht tps://db forcepb.my.sa lesforce.com/servlet/servlet.lntegration?lid=01N 30000000D9Di & e... 7/11/2019 DSONY-0000221 DB-SONY-0000221 EFTA_00148009 EFTA01282118 KYC Print Page 10 of 33 2. Account Ownership Summary Account Name: JEGE Inc - Depots Acct. Number (if avaitabfei Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio manageme t, advisory account, custody services, teng.terrn investment, payment/expense account)? The purpose of the account is to manage the monthly expenses o the company Indicate from where the assets are expected to amve? 0 DB Group: Same Booking Center (Inelcate account number): O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): O Physcal Deposits (specify cash, secant es, cheques....): What IS the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 0.S inflows/outflows of less than SSk on a monthly basis What is the expected volume of assets and currency for the account approx. 90 days after 1963187.55 I Currency opening? I isd What IS the expected volume of assets and currency for the account approx. one year after 1950500 I Currency opening? I usd Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes 52 No Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none et the check boxes apply, describe the party's relation to the account In the 'Other column. • Always describe the relationshp between the parties in the last column. • Please Cal down o the ultim te/underlying Benefidal O mer(s). _egal Description PecountPIC Settlor of Jltimate SpnatcryJnatee ancial Significant _egal Grantor/SettlorfoundergOther Entity of Source Holder Ownearust / 3enefldatr Ful bOA ntennediaryShateholderitepresentative Decor (please of Wealth Fonder oflymer POA FIM) (>=25%) describe equired Forndatkin Yon-PIC other roles entity and/or Parties (indicate ndicate related to 3mership relationship this %) between account parties) I 21 O JEGE, Inc LE O • • O O O O O • Jeffrey E. 2 O . Ern • • • E O O • O O • Darren 3 O O Indyke • O NI • 21 O O O O • Ham 4 O O Boller • O O O 21 O O O O O ONFIDENTIAL SDNY_GM_00037398 CONFIDENTIAL - PURSUANT TO FED. R. t DSDNY-0000222 B- I ht tps://db forcepb.my.sa lesforce.com/servlet/servlet.lntegration?lid=01N 30000000D9 Di & e... 7/11/2019 EFTA_00148010 EFTA01282119 KYC Print Page 11 of 33 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Indivkluars Name: Darren lndyke Date of Bath: Country of Residence: Country of Otizenship: Has client resided outside of his/her cony of rationality O yes 2 No Address of primary residence: for 5 years a more? Profession/Occupation: Lawyer Tax ID/ SSN: Current Employer: Southern Financial LLC Postionfille/Rank: Address of employer: 575 Lexington Ave, 4th Fl Uvingston NY United Slates 10022 Does the person work as senior meative of a 08-recognized regulated entity in the (Vandal ndustry? or an entity listed oha DB-recognised exchange? (Not applicable for operating entities Oft; 2 No Is the Indvicktal a Poetically Exposed Person (PEP)?(O' Yes, describe) O Yes 2 No To the best of your knowledge, s the Individual related to an employee of the DB group, (if • Family • Friendship El None Pam* or Frimdshc, describe) To the best of your knowledge, s the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal coursel, client referral source, suppler of goods a services)? . Yes 2 No Of Vales/cube) Indicate where and when the dent rneetintXs) took place: if applicable, Inckate which bank officers have met the person: CleM Private Client Place of Bank Officer Name(s) Bank Office' Other Location (speofy): Date: ' Domicile: Business: Stewart Cellield .74 O O 12/12/2016 • • • O O O • Wealth Details for this individual are not MIS in, because they are the same as for the Soy/IN person: 38. Wealth Details (Only for parties requiring soiree of wealth dm:ration as indicated In Section 2) Nature of the Individual's Buwess: Primary Country of souse of wealth/source of Funds? Primary Industry of source of WealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalay/Earnings Ill Investment O Inherence/Gila O Other: Further Describe Soiree of Weal h /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did settior accumulate weaI1? For Inheritance, how did family accumulate weakh?For business owners, how long in business, how many employees, level of profitability? Indicate type of Dulness, countries of major activities, important business partners.) Estimated Annual income($): Estimated amount of investable assets($): Estimated Net Worth(5): Amount of assets planned to invest with PWN($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Indicate the family situation of the individual (marital status, othe family minters, etc.): SDNY_GM_00037399 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000223 EFTA_00148011 EFTA01282120 KYC Print Page 12 of 33 I I SDNY_GM_00037400 CONFIDENTIAL - PURSUANT TO FED. R. Ce I - ONFIDENTIAL DB-SOW-0000224 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_001480 I 2 EFTA01282121 KYC Print Page 13 of 33 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summ 3A. Individual Details ((cc all parties) Individual's Name: Date of Beth: Country of Residence: Country of Otizenship: Has client resided outside of hisper cannily of rationality O Yes 0 No Address of primary modence: fay years a more? Profession/Occupation: Manager Tax ID / SSN: Current Employer: Zorro Management Positen/Ttle/Rank: Manager Address of employer: St Thomas United States Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable foe operating entities O Yes 2 No Is the IncWidel a Poetically Exposed Person (PEP)?(d Yes clegribel O Yes O No To the best of your Imowedge, is the individual related to an employee of the DB group/it • Family O Friendship 0 None Family or friendshr, describe) To the best of your knowedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legs counsel, client referral source, suppler of goods a services)? O Yes 2 No Of Yesdescribe) Indicate where and when the dent meeting(s) took place: if applicable, incicate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location(speofy): Date: Domidle: Business: O O O O O • O O O O Wealth Details for this individual are not Ailed in, because they are the same as for the folio AN pawn: 38. Wealth Details (Only for parties requiring spine of wealth discretion as indicated In Section 2) Nature of the Individual's Bustess: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of WealtIVSoume of Funds? Summarize Source of Wealth: O Business Owner OSalaty/Earnings U Investment • inheritance/Gift O Other: Further Describe Soiree of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how did family accumulate ‘wetth 'For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business pa tners) Estimated Annual Inceme($): Estimated amount of Investable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PV/M($): Otter Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (mental status, of he family minters, etc.): SDNY_GM_00037401 CONFIDENTIAL- PURSUANT TO FED. n.CONFIDENTIAL DB-SONY-0000225 h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_001480 I 3 EFTA01282122 KYC Print Page 14 of 33 I i SONY_GM_00037402 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ONFIDENTIAL DB-SONY-0000226 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148014 EFTA01282123 KYC Print Page 15 of 33 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlu Summ 3A. Individual Details Oct' all parties) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Has client °sided outside of his/lwr cony of rationality O yes 0 No Address of primary residence: for S years or more? Profession/Occupation: Manager Tax ID/ SS/: Current Employer: Zorro Management LLC PositIonaile/Rank: Manager Address of employer: LEVI United States Does the person work as senior °receive of a DB-reccylized regulated entity m the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes 2 No Is the incivickal a Politically Exposed Person (PEP)?(d Yes, describe) • yes 12INo To the best of your knowledge, s the individual related to an employee of the DB group, (1 • Family • Friendship 0 None FamelyorA;‘,/i/airp, describe) To the best of your knowledge, s the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, wordier of goods a services)? . YES O No Of Vales:tee) Indicate where and when the dent meeting(s) took place: if applicable, Indicate which bank office's have met the person: Clent Private Client Place of Bank Officer Name(s) Bach Office: Other Location (seedy): Date: DornKilt Business: O O O O O • O O O • Wealth Details for this individual are not filled in, because they are the same as for the taming person: 38. Wealth Details (Only for parties requiring source of wealth domption as aldtcated in Secton 2) Male of the Individual's Business: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/ealtIVSoutte of Funds? Summarize Source of Wealth: O Business Owner OSalaty/Eamings U Investment O Inheritance/Gels O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For Inheritance, how did family acomiutate wealth?For business owners, how long in business, how many employees, levd cf profitabiltty? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Incane($): Estimated amount of invistable assets($): Estimated Net Worth(S): Amount of assets planned to Invest Wel PWII($): Cther Known Financial Institutions: Institutk:n: Country: Est. Assets Under Mgt: Institutk:n: Country: Est. Assets Under Mgt: Mu:Ruben: Country: Est. Assets Under Mgt: Please Indicate the family situation of the individual (mental status, tine family minters, etc.): SDNY_GM_00037403 CONFIDENTIAL- PURSUANT TO FED. R CONFIDENTIAL DB-SONY-0000227 h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_001480 I 5 EFTA01282124 KYC Print Page 16 of 33 I I SONY_GM_00037404 CONFIDENTIAL- PURSUANT TO FED. R. IA I - ONFIDENTIAL DB-SONY-0000228 https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148016 EFTA01282125 KYC l'ri nt Page 17 of 33 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Harry Beier Date of Birth: Country of Residence: Country of Otizenshlp: Has client resided outside of his/her comity of rationality O yes 0 No Address of primary residence: for S years or more? Professicti/Occupation: Accountant Tax ID / SSN: Current Employer: HEIRK Associates, Inc Positkinatle/Rank: Address of employer: 57S Ledngton Avenue, 4th Floor Horsey NY United States 10022 Does the person work as senior executive of a DB-reccwlized regulated entity in the (Vandal n yes O No ndustry? or an entity listed on a DB-recognised exchange? (Not applicable foe operating entitles '—' Is the IneWidual a Poitically Exposed Person (PEP)?(f yes, describe) Dyes O No To the best of your knowledge, s the individual related to an employee of the DB group(1 • Family • Friendship 0 None Family or Friendsh(, describe) To the best of your knowledge, s the individual party to a non-banking reiatonsnip with Deutsche Bank (e.g., external legal course, client referral source, supper of goods oe services)? . YES 2 No Of radescribe) Indicate where and when the client rneebng(s) took place: if applicable, Indicate which bank office's nave met the person: Client Private Client Place of Bank Officer Name(s) Bank Office' Other LOCat (specify). Date: ' Dona:lit Business: O O O O O • O Wealth Details for this individual are not filled in, because they are the same as for the taming person: 38. Wealth Details (Only for parties requiring wine of wealth clomphon as aldtcated in Section 2) Nature of the Individual's Business: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalayfEarrengs n Investment • Inheritance/Ws O Other: Further Describe SoLece of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For Inheritance, how did family accumulate weakh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual inocme($): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to Invest with PWN($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, othe family members, etc.): CONFIDENTIAL- PURSUANT TO FED. R.to ,NFIDENTIAL SDNY_GM_00037405 DB-SONY-0000229 h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148017 EFTA01282126 KYC Print Page 18 of 33 I I SDNY_GM_00037408 CONFIDENTIAL- PURSUANT TO FED. R. Ce I - ONFIDENTIAL DB-SONY-0000230 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_001480 I 8 EFTA01282127 KYC I'rint Page 19 of 33 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USV1 Country of Citizenship: USA Has client resided outside of Utte Saint James Sant Thomas 00802 his/her cony of rationality O yes 2 No Address of primary residence: for S years a more? ProfessiorVOccupation: Set Empolyed Tax ID/ SW Current Employer: Southern Financial LLC Postionfhtle/Rank: PresideM Address of employer: 6100 Red Hock Quarter B3 St. Thomas United States 00802 Does the person work as senior comative cf a DB-recognized regulated entity in the financial n yes 2 ndustry? or an entity listed on a DB-recognised exdrange? (Not applicable faoperating eMins ❑I—I No Is the IncWiekal a Politically Exposed Person (PEP)(d yes, de:ate) close relationship with Bill 2 yes O No (Pinta, and Prince Andrew. To the best of your knowledge, s the individual related to an employee of the DB group)(1 O Family • Friendship R None Fan* or friendship, &Tribe) To the best of your knowledge, s the Individual party to a non-tanking relationship with Deutsche Bank (e.g., edema' legs counsel, client referral source, wprier of goods a servics)? • Yes Er, No (if Yadescribe) Indicate where and when the dent sneer:1*s) took place: if applicable, Indeate wirth bank office's have met the penal: CileM Private Client Place of Bank Officer Name(s) Bank Office: Other Location (speofy): Date: Dornkile: Business: stew eddied O O O 612812017 O O • O O O • Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 3B. Wealth Details (Only for parties requiring source of wealth discretion 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 V/ealtiVSource of Funds? Summarize Source of Wealth: O Dustless Owner OSalaty/Earnings U Investment • inheritance/G(5 O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how do family acaimulate ‘wetth 'For business owners, how long in business, how many employees, level cf profitablitty? Indicate type of business, counties of major acavittes, important business partners.) Estimated Annual Incctne($): Estimated amount of Investable assets(6): Estimated Net Worth(S): Amount of assets planned to Invest Wel PVIM($): Other lemon Financial Institutions: Institutk:n: Country: Est. Assets Under Mgt: Institutk:n: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indeate the family situation of the individual (marital status, othe family members, etc.): SDNY_GM_00037407 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000231 EFTA_00148019 EFTA01282128 KYC Print Page 20 of 33 I I SONY_GM_00037408 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ONFIDENTIAL DB-SONY-0000232 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148020 EFTA01282129 KYC Print Page 21 of 33 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh1p Summ 3A. Individual Details Oct' all parties) Individual's Name: Jean Anne Brennan Webracht --Date ci Birth: Country of Residence: Country of Otizenship: Has client resided outside of his/he cony of nationality O Yes 2 No Address of primary residence: fay years cc more? Profession/Occupation: Finance Tax ID/ SSN: Current Employer: Southern Mandel, LLC Pontenaide/Rank: Address of employer: 6100 Red Hook Quarter, B3 St, Thomas United Slates 00802 Does the person work as senior exeacve cf a DB-recognized regulated entry h the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities El Yes 2 No Is the Indvidal a Politically Exposed Perste, (PEP)?(if Yes, *Strobl Dyes 2 No To the best of your loloy.tedge, Is the Individual related to an employee of the DB group, (1 • Family O Friendship El None Family or Filmdsl(o, cleribe) To the best of your knowedge, Is the Individual party to a non-tanking relationship wrth Deutsche Bank (e.g., external legs counsel, client referral source, suppler of goods a services)? O Yes 2 No Of racfesaibe) Indicate where and when the dent meeting(s) took place: if applicable, Indicate which bank officers have met the person: OeM Private Client Place of Bank Officer Name(s) Bank Office' Other Location (speofy): Date: ' Dombolle: Business: O • O O • • O O O • Wealth Details for this individual are not filled in, because they are the same as for the foeovang pawn: 3B. Wealth Details (Only for parties requiring soiree of wealth dm:notion as indicated In Section 2) MAUI* of the Individual's Bus less: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: . Business Owner OSalanyEarnings U Investment • Inhestance/Gils O Other: Further Describe Senate of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For Inheritance, how did family accumulate ‘weith 'For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major activities, important business pa tners.) Estimated Annual Income(S): Estimated amount of Invostable assets(S): Estimated Net Worth(S): Amount of assets planned to Invest Wel PWM(8): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Imitate the family situation of the individual (marital status, othe family members, etc.): SDNY_GM_00037409 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... DB-SONY-0000233 7/11/2019 EFTA_00148021 EFTA01282130 K C l'rint Page 22 of 33 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: Zorto Management, LLC - . Foundation/Asscoation . Trust 21Company O Estate 0Private Investment Type a Entry: Purpose of Enter O Partnership PNiantlycpic/Ctentable O Commercial Purpose of Entity Type of Entity Other (specify): LAC Other (specify): Counoy of USA Date of inaracittkm / 12/14/2016 Inv:toccata,/registration: remstraticn: Identified on Customer PrcAle No Volcker Status: Volcker Flag: 6100 Red Hook Quarter, 83 St. Thanes; USVI 00802 United us. mom: Address (city, street, post states code): Provide a description of the entity's organizational structure, its ownership structure and es Top Management For trusts/foundarns, Include information about revocability, senior and beneficianes.etc: Jeffrey Epsten is the sole manager and owner of thls entity. Signors on this axount will be: Jeffrey Epstein Darren Indyke Signors on the house acct are: Jeffrey Epstein Isease inlcate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Iretcate ntere shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (tfnot the same persons): Jeffrey Epstein IS the sole manager and owner of tris entity. Senors en this account will be: Jeffrey Epstein Darren Indyke S g_, tors en the house acct are: Jeffrey Epstein Darren) ke To the best of your knowledge, is the entity party to a non-banNng rebtlaship with Deutsche Bank (e.g. external legal counsel, diem referral source, supplier of goods or services)?: O No2 Describe Nature of Entity's Primary Business and Investment Activities a real estate holding company. It is a company famed to run and operate all actrvibes associated Nature of the business: with a property that Jeffrey Epstein owns In the US Virgin Islands. Countries More business is transacted: USA Number of employees: 1+ 3D. Wealth Profile (Only for parties requiring source of wealth desorption as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary Industry of source of Weatth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent sunmary of asseWliatdeles): nus company is funded by Jeffrey foster's personal wealth Estimated gross receipts p.a.(;): 1,000,000.00 Estimated net profit p.a. (5): 1,000,000.00 SDNY_GM_00037410 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000234 EFTA_00148022 EFTA01282131 KYC Print Page 23 of 33 Estimated investatie assets ($): SI MM - 2 MM Potential Amount to be invested with PWM (5): Other Known Financial Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must he mtablkhesi for EACH LEGAL ENTITY In Sect:inn 2. Account Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: LSJE, LLC - Type of Entity: • Foundation/Association O Trust 12 Company O Estate Purpose of Entity: WIPrivate Investment O O Partneship Philantivopic/Cteribee OCommercial Krpose of Entity Type of Entity Other (specify): Other (specify): Courtly of UM Date of ircorporaten / 10/27/2011 incoporationtreglention: regal:ration: Determination Required NO Volcker Status: Volcker Flag: Address (city, meet, post 6100 Red Hook Quarter, B3 St. Thomas 00802 United States US. TIN/EIN: code): provide a descnption of the entity's organizational so-ucture, Its ownership saucture and as Top Management. For trusistfoundabons, include information about revocability,settler and beneficiaries,etc: LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He oval 100% of the 100 shares Issued. The signors on the account are Jeffrey stein and Darren Indyke Please indicate how 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 beneficial owner (/ riot the same (ftersons): To the best of your knowledge, s the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, dent referral source, supplier of goods or senices)?: Yes O No gi Describe Nature of Entity's Primary Business and Investment Activities LSJE, LLC was established for purposes of mantainng payrol and maintenance related expenses Nature of the Maness: of Jeffrey Epstein's private residence. No business purpose Countries where business S transacted: USA Number of employees: 1 3D. Wealth Profile (Only for pates requiring source of wealth description as indicated in Section 2) Primary Country of smote of wealth/source of Funds? Primary industry of source of Weatth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liablatlia): Funds from Jeffrey Epstein. LSJE, LLC was established for purposes of maintaining payrol and maintenance related expenses of Jeffrey Epstein's private residence. No business purpose. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. (5): 100,000.00 Estimated investatie assets (5): $2 MM - S MM Potential Amount to be invested with PWM (5): Otter Known Financial Institutions: SDNY_GM_00037411 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000235 EFTA_00148023 EFTA01282132 KYC Print Page 24 of 33 Institution: DB Country: USA Est. Assets Under Mgt 200,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt one <hem* mHO ho mtahlkhael Mr PAM I MAI PICT, In Cartinn 1 llemsont Caimmaar 3C. Legal Entity Details (Far all Legal Entitles) Legal Entity Name: Mort, Inc - Tyre of Entity: O Foundation/Asscoaticn O Trost ❑ O Company O Estate Purpose of Entity: 0 Private Investment O • Partnership PNIanthroglo/Chantable O Commercial Purpose of Entity Type of Entity Other (specify): Other (specify): Country of USVI Date of incorporate(' / 4/12/2011 incorporatiotVregistration: registration: Detemeetion Require! No Volcker Status: Volcker Flag: Address (city, meet, post 6100 Red Hook Quarter, B3 St, Thomas 00802 United States US. TIN/EIN: code): Provide a desorption of the entity's organizatronal structure, its ownership structure and as Top Management. For trysts/foundations, include information about revocability,settlor and beneAdaries,etc: Corporation with 1000 Issued. Al issued shares are owned by Jeffrey Epstein. Jeffrey Epstein IS the President and sole shareholder and owner. The signers on this account are Jeffrey Fasten and Darren IncNke Please InOcate how 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 beneficial owner (I not the same persons). To the best of your knowledge, is the entity party to a non.banHng rebtionship with Deutsthe Bark (e.g. edema' legal counsel, dent referral source, supplier of goods or seMces)?: Yes • NoO Describe Nature of Entity's Primary Business and Investment Activities investment holding company. A prNate company that is used to hold investemenis that the sole Nature of the business: owner, Jeffrey, woSd like to keep separate from other investments Countries where business is transacted: USV1 Number of employees: 2 3D. Wealth Profile (0Ny for parties requiring source of wealth description as indicated in Section 2) Primary Country of smote of wealth/source of Funds? Primary industry of source of V/eatth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent stinmary of assels/liattlees): Capital contribution of 51000 from Jeffrey Epstein Estimated gross receipts p.a.(S): 100,000.00 Estimated net profit p.a. (S): 100,000.00 Estimated investabie assets ($): <$1 WI Potential Amount to be Invested with PWM (5): Other Knovm Financial Institutions: Institution: DB Country: USA at. Assets Under Mgt: 100,000.00 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 SDNY_GM_00037412 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000236 EFTA_00148024 EFTA01282133 KYC Print Page 25 of 33 3C. Legal Entity Details (Fa all Legal Entities) Legal Entity Name: Jeepers, Inc O Foundation/Association O mast @ Company O Estate @Private Investment O Type d Entry: Purpose of Enoty: O Partnership PNIantivopic/Cteritable OCommercial Ptrpose of Entity Type of Entity Other (specify): Other (specify): County of United States Virgin Island Date of ircorporation/ 8/1812003 incaporation/registration: registration: Determriation Required No Volcker Status: Volcker Flag: Address (city, street, post 6100 Red Hock Quarter 83 St, Thomas 00802 tined States US. TIN/EIN: code): Provide a description of the entity's organizational structure, its ownership structure and as Top Management. For trusts/founder:bons, include information about revocability,settke and benefroanesetc: Jeffrey Epstein is the sole shareholder of Jeeoers Inc_ The sonars on this account are Jeffrey Epstein, Jeanne Brennan, Harry Seller, and Darren Indyke Please indicate how ownershap of the legal entity is reflected: O Special attention: Bearer Shares - Indicate there shares are custodied: Describe the chain from the direct owner of the entity to the ultimate benetbal owner (Ofnot the sarne peesons) To the best of your knowledge, is the entity party to a non-banldng rebtionship with Deutsche Bank (e.g. external legal counsel, dent referral source, supplier of goods a services)?: Yes • No2 Describe Nature of Entity's Primary Business and Investment Activities Nature of the bones: Jeepers Inc is a private company that bads investments of Its owner, Jeffrey Epsten. Countries intere business s transacted: USA, USVI Number of employees: 3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated in Section 2) Primary Country of smote of wealth/source of Funds? Primary Industry of source of V/eakh/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asseWliabeties): Jeepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no par value. Its revenue comes from the gains of the investments it holds. Estimated gross receipts pa($): 400,000.00 Estimated net profit p.a. (5): 200,000.00 Estimated investable assets ($): <$1 PIM Potential Amount to be invested with MAIM (5): Other Knows Financial Institutions: Institution: OS Country: LISA Est. Assets Under Mgt: 200,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must he established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Hyperion Air, LLC O Foundation/Asscoation O Tnst 2 Company O Estate 2 Private Investment O Type of Entity: Purpose of Enoty: O Partnership PhilaMhropic/Ctentatte O Commercial SDNY_GM_00037413 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000237 EFTA_00148025 EFTA01282134 KYC Print Page 26 of 33 Purpose of Enbty Type of Enbty Other (specify): Other (sPetifY): County of US Virgin Islands Date of incorporation / 10/19/2012 incorporation/registration: registration: Detemanation Required No Vokker Status: Vokker Flag: Address (city, sweet, post 6100 Red Hook, Quarter B3 St, Thomas own U.S. TIN/EIN: code): Provide a description of the entity's organizational structure, is ownership structure and ties Top Management. For trust,/foundatons, include information about revocatillity,settior and beneficiariesortc: Single member LLC. Jeffrey Epstein is sde member/owner. The signors on this account are Jeffrey Epster, Harty Belle and Darren Indyke Please Indicate how owned* 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 beneficial owner (tenor Me same personA). To the best of your knowledge, is the entity party to a non.banHng relationship with Deutsdie Bank (e.g. external legal counsel, dent referral source, supplier of goods or seMces)?: I Yes O NO Describe Nature of Entity's Primary Business and Investment Act vibes This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's Nature of the business: airplanes. This LLC was formed to eventually take over payments for Hyperion An Inc. Hyperion Alf Inc will be dosed within a year Countries where business k tansacted: USA, USVI Number of employees: I 3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated in Section 2) Primary Country of son of weaen/source of Funds? Primary industry of source of WealtiVSource el Funds? Provide Evidence of Corporate ASSetS (e.g. balance sheet or equivalent summary of asseWhatilties): This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to eventualy take over payments for Hyperion Air Inc. Hyperon Air Inc will be dosed within a year. Initial capital contribution of $1,000 from Jeffrey Epstein. All hinds for this company cane from Jeffrey Eosteint sotrce of wealth. Estimated gross receipts pa(5): 1,000,000.00 Estimated net profit pa. (5): 500,000.00 Estimated investable assets (5): <51 MM Potential Amount to be invested with PWM (5): Otter Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: 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 (Fa all Legal Entitles) Legal Entity Name: Plan D, LLC - O Foundation/Assopation • Trust 1i Company O Estate 0 Private Investment O Type of Entity: Purpose of Enter O Partnership PniaMivopic/Cteritable OCommercial PLrpose of Entity Type of Entity Other (specify): Other (sPe (specify): US Virgin Wards 10/19/2012 SDNY_GM_00037414 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000238 EFTA_00148026 EFTA01282135 KYC Print Page 27 of 33 Country of Date of incorporatkm / oatmeal:km/registration: registration: Determinatkm Require! No Volcker Status: Volcker Flag: Address (city, meet, post 6100 Red Hook, Quarter B3 St. Thomas 00802 United States US. TIWEIN: code): Provide a descnption of the entity's agarmatlemal structure, its ownership structure and as Top Management. Fa 0usis/foundatons, include information about revocability,settlor and benericlemesetc: Single member LLC. Sole member a Jeffrey Epstein. The signors on this accormt are Jeffrey Epstein, Hairy Beller and Darrel Make Please indicate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Indicate where shares are custodled: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (it not the same pees** To the best of your know ledge, the entity party to a non-banking relaticeship with Deutsche Bank (e.g. external legal counsel, dent referral source, supplier of goods or services)?: Yes • No tra Describe Nature of Entity's Primary Business and Investment Activities Nature c( the business: LLC created to hold funds to pay for costs associated with one of Jeffrey Epsteires planes Countries where business k transacted: USA, USV1 Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of son of wealth/source of Funds? Primary Industry of source of Weakh/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assersillatatim): LLC created to hold funds to pay for cats associated with one of Jeffrey Epstein's planes. Initial conotubon of $1,000 from Jeffrey Epstein and all source of funds come from Jeffrey Epstein. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net wont pa. (5): 500,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be invested with PAM (5): Other Known Financial Institutions: institution: Catty: Est. Assets Under Mgt: Institution: Canby: 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 (Fa all Legal Entitles) Legal Entity Name: JEGE, LLC El Foundation/Assopaticn O Trust O Company O Estate 0 Private Investment O Type of Bay: Purpose of Ugly: • Partnership PNIanthroplc/CiertNe O Commerdal Pispose of Entity Type of Entity Other (specify): Other (specify): Country of USV1 Date of ircorporabon / 10/19/2012 incaporaticategistragon: regal:ratio,: Determinatkm Required No Volcker Status: Volcker Flag: 6100 Red Hook, Quarter 83 St. Thomas ocon United States US. TIN/E1N: SDNY_GM_00037415 CONFIDENTIAL— PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000239 EFTA_00148027 EFTA01282136 KYC Print Page 28 of 33 Address (city, street, post code): I I I Provide a desorption of the entity's eganzational structure, Its ownership structure and its Top Management. Fa trusts/foundations, include information about revocability,settld and benelidanes,etc: Single member LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Harry Seller, and Darren Indyke Please indicate how 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 beneficial owner (efoof the same (ersons): To the best of your knowledge, is the entity party to a non.bankIng relationship with Deutsdre Bank (e.g. external legal counsel, dent referral source, supplier of goods or services)?: Yes O No2 Describe Nature of Entity's Primary Business and Investment Activities This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's Nature of the timeless: airplanes. This LLC was formed to eventually take over payments for JEGE Inc. JEGE Inc will be dosed within a year Countries where business is transacted: USA, USVI Number of employees: 1 3D. Wealth Profile (Orgy for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary Industry of source of V/ealth/Sounce of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent sonmary of assets/Battles): Initial funding of $1,000 from sole member Jeffrey Epstein. MI corporate assets come from contributions made by the sole owner Estimated gross receipts p.a.($): 100,000.00 Estimated net profit p.a. (5): 100,000.00 Estimated investable assets ($): 451 MM Potential Amount to be invested with MAIM (5): Other Known Financial Institutions: Institution: CB Country: USA Est. ASsetS Under Mgt: 100,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: AGE,. Inc Type of Entity: • Foundation/Asscoation • Trust 2Company • Estate Purpose of Ermty: a Private Investment • • Partnership PhilaMtropic/Chantsble • Commercial 'hawse of Entity Type of Entity Other (specify): Other (specify): Country of USA Date of Incorporation / e/712000 inceporationtregistrabon: registration: Detemanabon Required No Vokker Status: Volcker Flag: Address (city, sweet, post 6100 Red Hook, Quarter B3 St. Thanes 00802 United States US. TIWEIN: code): Provide a description of the entity's eganizabonal structure, le ownership structure and es Top Management. For trusts,ffoundations, include information about revocability, setter and beneficiaries,etc: Jeffrey Epstein is the sole owner. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indylce Please indicate how ownership of the legal entity Is reflected: SDNY_GM_00037416 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000240 EFTA_00148028 EFTA01282137 KYC Print Page 29 of 33 El Special attention: Beam Shares - Indicate where shares are custodled: Describe the chain from the direct owner of the entity to the ultimate benthaal owner (I not the same persons): To the best of your knowledge, s the entity party to a non.banking relationship with Deutsdie Bank (e.g. external legs counsel, client referral source, suppler of goods or seiviceAr• Yes CI Nog Describe Nature of Entity's Primary Business and Investment Activities Nature et the Negress: Holds funds to pay for coos associated with an airplane owned by Jeffrey Epstein. Countries where business IS transacted: USa, USVI Numbs of employees: I 3D. Wealth Profile (Only for parties requiring source of wealth desaption as Indicated In Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of WeattIVSource ci Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent sunmary of assets/liatenes): All corporate fundshssets come from coMributions by the sole owner, Jeffrey Epstein and his source of wealth Estimated gross receipts pa($): 1,000,000.00 Estimated net wont p.a. (5): 1,000,000.00 Estimated iwestatte assets ($): <$1 MM Potential Amount to be Invested with PWM (5): Other !Crown Financial Institutors: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037417 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000241 EFTA_00148029 EFTA01282138 KYC Print Page 30 of 33 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center O O Moderate ra oa, Ho Risk Yoonsun Chung NY • Offshore NY/Offshore (Risk (Compliance Signature) O DB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 12IDrivers License O Passport O National/State ID O Other B. Chedist of names (indNiduals and/or entities) that were submitted for database searches is attached 2 Yes O No C. Please indlote the results of the database searches performed RDC searches complete RI Yes • No negattve results found a Yes O No PCR checks complete E Yes O No negative results found Dyes e No CfAC checks complete @Yes O No negative results found Dyes 12INo BIS searches complete (Lecis/Nexis, Factera, Reuters, Dow Jones, D&B) 2 Yes O No negative results found O yes Fr No Denial Orders checks complete Pi Yes O No negative results found Ekes 12 No Martindale-Hubbel searched (Lawyers/Law Firms only) O Yes gNo negative results found O Yes O No Please summanze any negatne results from the database searches indicated above: In the attached legal proceedings, one is a false positive for Jeffrey S. Epstein (not Jeffrey E. Epstein) and the other contains no new information. The case relates to Jurisdiction over disclosing correspondence from a previous Mal that was addressed in previous The named plaintiff for s referencing a resit In Los Angeles. CA and not residing in New Mexico. Same with the D. regarding of Detroit, Mchigan and chit sit from New Jersey. These are positives and not a match with the lilliin this kyc The Oil case fount in research is also a false positive as It Isis the defendant as n San ElemaOno CA and not from New Mexico that s noted i this KYC. E. To the best of your knowledge, has the client ever bean convicted of a animal offense, • Yes @ No To the best of your knowledge, has the customer ever teen involved in any past litigation aganst E Deutsche Bank AG or any of its subsidiaries or is the customer threatening legation against Deutche • 2 No Bank AG a any ails subsidenes' (If Yes. prowYfe defetc befow and contact Quaky Mgt. Yes gatArrtatVor theReguietotyControl group andnotify Complence immethaely) Does the client or related party have any financial or other association f nteractions wtNn counties o yes@ No G. or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Does the client or related party have any financial or other association,/ interactions within Ngh risk D yes 2 No H. countries? 1. Corporate Documentation Attached (Legal Entities Only) El Yes O No O Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No @Not Applicable K. If LedsMens Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the Wm/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Counties? ID Yes 71 No Is the account structure unusually complex? ['Yes @ No Is there any indication the client set up a non operating company expressly O No for the purpose of transfemng shares to tNrd pates? Yes ®No Is there any lildIC3b011 tic could be a prohibited business relationship? SDNY_GM_00037418 CONFIDENTIAL — PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000242 EFTA_00148030 EFTA01282139 KYC Print Page 31 of 33 Oyes No Are the bearer shares identeled subject to acceptable conixds? Oyes glee SONY_GM_00037419 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL DB-SONY-0000243 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_0014803 I EFTA01282140 KYC Print Page 32 of 33 M. Case Comments Created By Date Comments Cynthia Rodriguez 7/5/117 5:11 MI Client was contacted via phone on 6/28/2017 to confirm there are no material changes to his single member LIJ3 at D8 This KYC serves as a high rusk update for the below listed dials (together "accountholders') - I. Zorro Management, LLC 1. LSJE, LLC 3. Met, Inc 4. Jeepes Inc S. Hyperion At, LLC 6. Plan D LLC 7. JEGE LLC 8. JEGE Inc Below are the reasons My we are comfortable with appro./mg this KYC: • Information and supporting documents required by ow AML Policy were provided and reviewed; and as a result, Kshitg Golani 8;18/11/ 3:36 PM we have an understanding Cl the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction activity. • Thee are a few risk factors associated with the accountholders — SOW: The UBO (Jeffrey Epstein) is the founder of Southern Tryst Company Inc, which manages client's assets. SOW verificanon was obtained. Negative Media & PEP: There is some negative media agairst Mr Epstein and he Is also maintains a dose ,elaoonship worth Bill Clinton and Prince Andrew. Please see risk calculator for more Information. Appropriate approval was obtained. • Our review did not identify any red flags and thus there was no need to escalate this case Anther. • We performed due diligence searches on all parties and cad not And the names searched to be on any sanctions Isis ONSHORE APPROVALS Cent Faang Professional (CFP): stewart a:Meld (Swage) 6/29/2017 Stewart Oldfield Office Director/Business Head: Andrew F Gallivan (Signatire) 7/5/2017 Andrew F Gallivan Regional Office Director: (Surefire) AML Business Risk: (Signature) AML Compliance: (Signature) Kshitfl Golan' Kshie) Golan 8118/20/7 Yoonsun Ching Y0011510 Chung 8/18/2017 LATAM /INTERNATIONAL APPROVALS ORM Facing Professional (CFP): (S/nature) Account Manage: (Signature) Global Market Team Head (cmni)fsub. (5/nature) Market Tem Head (SMTH): AML Business Risk: (Signature) AML Complete: ;Signature) SDNY_GM_00037420 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000244 EFTA_00148032 EFTA01282141 KYC Print Page 33 of 33 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals!(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on thepan ofthe client(s) and that I havefollowed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Quicers, Broken. Client Managers, etc. Deutsche Bank Americas New York SONY_GM_00037421 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000245 EFTA_00148033 EFTA01282142