EFTA01282246
Dataset 10 · 18 pages · 1.0 MB · 6,387 words
Extracted Images (18) #
People (9) #
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KYC Print Page 1 of 18 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01977705 Status : 6. Approved One sheet must be established oer relationshi • list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP Bookng Center. New York Relationship Manager: Stewart Oldfield • New PWM Relationship 0 Existing NM Relationship Relationship to PWM: If existing, please indicate since when the relatiorship exists, provide reason for new profile and attach old profile: ••• 2018 Periodic Review - HR Overdue KYC •" Last Approved KYC S • leepers Inc, lege Inc & lege LLC - 01790820 2 Dent Referral 10 RM Prospect I 0 IMermedery/FIN I Other Source (GB, etc.) How Was the dent(s) Introduced? How long has the RM person* known the Please provide details (e.g. name of referral source, ow many years RM personally has known client, etc): Jeffrey Epsten client? reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this relationship.. Does Deutsche Bank pay a • yes I 2 No retrocession or similar compensation to a third party for the introduction of this (If ys, &tabs): relationship? List all existing and new account involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 2 Jege Inc 10/18/2013 2 ! Jege LLC- 10/18/2013 3 2 Jeers Inc 9/23/2013 Who is the primary contact person for the RM? (Note: Preferred method of contact This person needs to have Darren K. Indyke orclicate I:6one no., fax no., signatory right and/or erred address, etc.): information right for the accounts.): SDNY_GM_00037634 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-000045S EF1'A_0O148246 EFTA01282246 KYC Print Page 2 of 18 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Jege Inc • DDA Acct Number (if dkabble). Account Manager: Stewart Oldfietd what a the pirpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to pay for costs associated to Jeffrey Epstein's airplanes. Indicate from where the assets are expected to arrive? l? DB Group: Same Booking Center (indicate account number): Existing • DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): O Plwskal Deposits (specify cash, searitim, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated ranter and volume per month)?: ..4 0-3(moned; $0 • SIK What is the expected volume of assets and currency for the account approx. 90 days after 126,795.55 I Currency I USD opening? What is the expected volume of assets and currency for the account approx. one year after opening? 126,795.55 I Currency I USD Does/will the client have Assets Under Management (MEl) within DB under Eur. 314? Ovine No Please list all parties related to the account. For each party: • Check d 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 party relation to the aoxunt in the "Other column. • Always dcsaibe the relationship between the parties ri the last column. • Please drill down to the ulbmatedunden0 g Beneficial Ownes . _egal Description AccountPIC Settor of Jltimate Ignatorh.imitedFinancial Significant _egal iStantalSetdaiFoundingOther Entity-ISource Hader Owrerfrust / Beneficia r Full POA MermediayShareholdelleepreseMadye Door "please of Wealth Founder of owner A ,FIM) (>-25%) describe required Foundation pon-PIC other roles entity and/or Pates (indicate indicate related ownership relationship to this 45) between amount parties) JEGE, I El 2 g O O O O O O O O O Inc Harry O O . 2 O O Beller ❑ O El O • O O • Je E. ffrey El 2 g 100 3 O g O • Li O O LI O Epsom Darer, 4 O • K. O El • O 21 O • O O • Indyke SONY_GM_00037615 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000459 EFTA_00148247 EFTA01282247 KYC Print Page 3 of 18 2. Account Ownership Summary Account Name: Jege LLC DOA Acct. Number ttraldilablei Account Manager: Stewart Oldfield What s the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is daily expense ncluirig taxes and payments for Jeffrey Epstein's *planes. Indicate from where the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number): Existing 0 DB Group: Other Booki-ig Center (indicate DB location and account details): O Other Institution — (Indicate name & location): . Physical Deposits (specify cash, sectritim, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: -, 14/month; $100 - $47K What is the expected volume of assets and currency for the account approx. 90 days after 1284,777.18 I Currency I t/SD opening? What is the expected volume of assets and currency for the account approx. one year after 284,777.18 1Currecy I t/SO opening? Does/will the client have Assets tinder Management (Aunt) within DB under Eur. 3M? 0 Yes ENO 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 accent (> 1can be selected). • f none of the check boxes apply, describe the party' relation to the account in the "Other column. • Always describe the relationship between the parties n the last column. • Please drill down to the ultimatedundeffinng Benefcial Owners . _egal Description Account PlC Set for of Jlbmate Senator tmitedFinancial Significant egal Srantor/SetdoifoundingOdier Entayaf Source Helder Ownerfrust/ Beneficialbr Full POA ntermediayShareholdeittepreseManve Donor (please of Wealth Founder of Owner ?OA ,FIM) (>=2.5%) describe squired Foundation Ion-PIC other roles entity and/or Pates (ncleate 'ndicate related ownership relationship to this %) between account parties) JEGE, 2 I P ra LIG DO O O OO O O O Jeffrey 2 O El E. O OD 0 w .4 OO O O O MSoleem ber, Epstein 3 OE 'Beller1 O OO O w .4 OD O O O Darren 4 O M K. O DO O w .4 OD O O O Indyke SONY_GM_00037636 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000460 EFTA_00148248 EFTA01282248 KYC Print Page 4 of 18 2. Account Ownership Summary Account Name: leepers Inc Acct Number (bravado/lei Account Manager: Stewart Oldie:id What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? The purpose of this account is to hold and make investmens in marketable securities. Indicate from where the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number): Existing 0 DB Group: Other Bookirig Center (indicate DB location and account details): O Other Institution - (Indicate name & location): • Physical Deposits (specify cash, scarifies, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per mouth)?: ••• 4-10/mcith; 52K • S40K What is the expected volume of assets and currency for the account approx. 90 days 13,269,297.20 Currency I USD after opening? I What is the expected volume of assets and currency for the account approx. one year 3,269,297.20 Currency USD after opening? Does/will the client have Assets Under Management (MM) within DB under Eur. 3M? Orme 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 accout (> 1can be selected). • f none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always describe the relation hip between the parties in the last column. • Please drill down to the ultimate/undedying Beneficial Owner(s). .gal Description Account PlC Setdor of Jltimate Signatory Limited inancel Significant .egal GrantalSetdorfounding Other Dittrof Source Helder Owneffrust/ Benerciabor Full POA ntermediaryphatehdderRepresentabve Donor (please of Wealth Founder of Owner POA NM) (>=25%) describe required Foundation Yon•PIC other rapes entity and/or Pares (ridcate nthcate related to ownership relatonship this %) between DOX411t parties) 1 e e Inc jeePersi g O O O • • • O O O Director & Darren 2 O O 72 M • O O ALttenzed K. Indyke • O O O O Signal:0'; 3 O • "wry gel et • • O • 2 O O O O O lean 4 0 • Annan • Br • 0 N 2 0 0 0 O O Wiebracht Jeffrey 5 O K E. Epstein O O O 2 El O O ioo O O O SONY_GM_00037637 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000461 EFTA_00148249 EFTA01282249 K Ye Print Page 5 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein Date of Birth: 1/20/1953 Country of Residence: Virgin Islands, U.S. Corny of Otizenship: United States Has client resided outside of Little Saint James Sant Thomas 00802 Vrgn Islands, U.S. his/her coLntry of nationality • yin No Address of primary residence: for 5 years a more? Profession/Occupation: Self Empolyed Tax ID I SSN: Current Employer: Southern Trust Company Inc Position/Title/Rank: President Adckess of employer: 6100 Red hook Quarter 83 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a D0remgnized regulated entity in the financial r-i industry? or an entity listed on a DEllecognisei exchange? (Not applicable for operating entities Li Yes 5 No Is the inckvidual a Politicaly Exposed Person (PEP)?OT Yes, desate) Connection with Prince ,74. Yes O No Andrew and Bill Calton To the best of yes knowledge, is the individual related to an employee of the DB group?, 0 Family • Friendship i None Family or Friends*, cfescnbe) N/A To the best of yes knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • sires 2 No services)?(d Yes,descrite) N/A If appkatle, indicate which bank officers have met the Indicate where and when the dent meeting(s) took place: person: Client Private Client Mace of Date: Bank Officer Name(s) Bank Office: Other Location (specify): panicile: Business: Stewart Oilfield 2 • O 6)2812017 . • O • • • 0 Wealth Details fa this individual are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated ri Section 2) Nature of the Individual's Busness: Private investment Pnmary Country of source of wealth/source of Funds? United States Pnmary industry of sane of Wealth/Source of Funds? High Risk Frontlet Institutions Summarize Sane of Wealth: 2 Business Owner 0 SaLary/Earnings 2 investment 0 Inhaitance/Gilis pother: Further Dearite Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trust, how did settlor accumulate wealth? Fa rtheitance, how did family acorn bate vrealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, Moon-ant business partners.) Jeffrey Edward Epstein (ban January 20, 1953) S an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein & Co. He Wes in the US Virgin Wands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advisng highnet•wath client on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Steams. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of client with more than $1 billion in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio•based The Limited chain of women's clothing stores, became a well4mown client. Wexner acquired Abercrombie & Fitch the folowing year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas ri the U.S Virgin Islands. In 2003, Epstein bed to acquire New York magazine. Other bidders were advertising executive Donny Deutch, investor Nelson Pa media mogul and publisher Matmer Zuckerman, who had the New York Daly News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 main. In 2004, Epstein and Zuckerman committed up to 525 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein arid SDNY_GM_00037638 CONFIDENTIAL - PURSUANT TO FED. R. Ce DENTIAL DB-SDNY-0000462 NJF I h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148250 EFTA01282250 KYC Print Page 6 of 18 Zuckerman were equal parthers in the venture. Roshan, as it editor-in-chief, retained a smal owners' slake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invest the asset of their client and gets their revenue from the return of thine investment Southern Trust invests ri different portfolios catered to their client and makes their revenue based on the returns and the fees associated with managing their client's asset Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM - 100 MM Estimated Net Worth($): $503 MM + Amount of asset planned to iwest with PWM(S): 2,300,000.00 Other Known Fruandal Institutiors: Institution: Country: S. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: Please indicate the family stuabon of the irekvidual (marital status, other family members, etc.): WA SONY_GM_00037639 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000463 EFTA_00148251 EFTA01282251 K Y ( ' Print Page 7 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Harry Beller • Date of Birth: CoLntry of Residence: United States Canby of Ctzenship: United States Has dient resided outside of hi/her country of nationality • yin No Address of primary residence: for 5 years a more? Profession/Occupation: Accountant Tax ID I SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Accountant Address of employer: 575 Ledngton Avenue, 9th Floor Monsey NY United States 10022 Does the person work as senior executive of a DB.recognized regulated entity in the financial 2 No industry? or an entity listed on a DB•recognised exchange? (Not applicable for operating entities " Yes 1 Is the individual a Pditicaly Exposed Person (PEP)?(/f Yes, describe) N/A • Yes 2 ND To the best of your knowledge, is the individual related to an employee of the DB groupW • Family • Friendship i None Family or Friendshio, descnbe) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal morel, client referral source, suppler of goods or ■• Yes 121No services)?(/ res,descrbe) N/A If appkatie, indicate which bank officers have met the Indicate where and when the dent meeting(s) took place: person: Client Private Client Mace of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O O • • • • • O O Wealth Details for this individual are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth desuiption as indicated in Section 2) Nature of the Individual's Business: Pnmary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Summarize Sake of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Gifd DOther: Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ousts, how did setdor accumulate wealth? For nheritance, how did family accumulate vrealth?For business owners, how long in business, how many employees, level of oral:al:Sy? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith(l): Amount of assets planned to meat with PV/f4($): Other Known Hnandal Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: Institution: Est. Assets Under Mgt: SDNY_GM_00037640 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000464 EFTA_00148252 EFTA01282252 KYC Print Page 8 of 18 Please indicate the farndy Srtuadon of the inovidual (manta) status, other family members, etc.): SDNY_GM_00037641 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000465 EFTA_00148253 EFTA01282253 K Y ( ' Print Page 9 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Darren K. Indyke • Date of Birth: Country of Ref:denim: United States Gantry of Otaenship: United States Has dient resided outside of hither country of nationality • yin No Address of primary residence: for 5 years a more? Profession/Occupation: Accountant Tax ID / SSN: 098.548596 Current Employer: Southern Frendal LLC Positionakle/Rank: Accarkant Address of employer: 6100 Red Hook Quarter B3 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB.recognized regulated entity in the financial n r, No industry? or an entity listed on a DB.recognisei exchange? (Not applicable for operating entities " Yes Is the individual a Politically Exposed Person (PEP)?(/f Yes, describe) WA O Yes @ No To the best of your knowledge, is the individual related to an employee of the DB group?(if • Family • Friendship i None Fam.ify or Friendshio, descnbe) WA To the best of yes knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dient referral source, suppber of goods or • Yes 2 No servkies)?(f resdesarbe) N/A If applicatie, I-ideate whidi bank officers have met the hi:kr-ate where and when the dent meeting(s) took place: person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: /Domicile: Business: Stewart Oldfield 121 • O 12/12/2016 ill • • • • O O Wealth Details fa this individual are not filed in, because they are the same as fa the following person: 38. Wealth Details (Only for parties requiring source of wealth desuipbon as indicated in Section 2) Nature of the Indmduars Easiness: Pnmary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Summarize Sane of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Gifts O Other: Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For nhentance, how did family accumulate vrealth?For business owners, how long in business, how many employer, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith(l): Amount of assets planned to overt with PV/M($): Other Known Hnandal Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: SDNY_GM_00037642 CONFIDENTIAL — PURSUANT TO FED. R. Ce I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000466 EFTA_00148254 EFTA01282254 KYC Print Page 10 of 18 Please indicate the farndy Srtuadon of the inovidual (manta) status, other family members, etc.): SDNY_GM_00037643 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000467 EFTA_00148255 EFTA01282255 KYC Print Page 11 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jean Anne Brennan W.ebracht Date of Birth: Country of Residence: Virgin Islands, U.S. Country of Otaenship: Vrgin Islands, U.S. Has dient resided outside of his/her country of nationality • yin No Address of pinery residence: for 5 years or more? Profession/Occupation: Finance Tax ID / 55W: Current Employer: Southern Frendal LLC Position/Title/Rank: Finance Address of employer: 6100 Red Hock Quarter, 83 St, Thomas VIrgri Wands, U.S. 00802 Does the person work as sale* executive of a DB•recognized regulated entity in the financial r-i mkt:say? or an entity listed on a DB.recognisei exchange? (Not applicable for operating enbbes Li Yes 5 No Is the indvidual a Politica/1y Exposed Person (PEP)?(/f Ye; desarbe) WA • Yes O No To the best of your knowledge, is the individual related to an employee of the DB groupW • Family • Friendship i None Family or Friendshoz descnbe) WA 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, suppber of goods or •Yes 2 No serviaes)?(f Yes descrite) N/A If appbcatie, richcate which bank officers have met the Irdcate where and when the dent meeting(s) took place: person: Client Private Client Mace of Bank Officer Name(s) Bank Office Location (specify): Date: : Domicile: Business: O O O • • 0 • • • O Wealth Details fa this individual are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth descripbon as indicated ri Section 2) Nature of the Individual's Business: Pnmary Country of source of wealth/source of Funds? Pnmary industry of saute of Wealth/Source of Funds? Summarize Soiree of Wealth: O BuRness Owner O SaLary/Eamings O Investment O Inhentance/Ofrs Dotter: Further Desate Source of Wealth /Detail the histay of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? Fa inhentance, how did family accumulate vrealth?For business owners, how long in business, how many employer, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith($): Amount of assets ',lamed to joint with PV/M($): Other Known Anandal Institutions: Institution: Catty: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: SDNY_GM_00037644 CONFIDENTIAL — PURSUANT TO FED. R. Ce I ONFIDENTIAL h tps://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000468 EFTA_00148256 EFTA01282256 KYC Print Page 12 of 18 Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Somme 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: JEGE, Inc ®Private Investment O O foundationtAssccation O Trust 2 Company • Estate Type of Entity: Purpose of Entity: phdanthropic/Chenable O O Partnership Commercial OPurpose of Entity Type of Entity Other (specify): ther (specify): Date of Gauntry of United States 91712000 incorporation f incorporation/registration: registraten: Identified on Customer Profile No Volcker Status: Volcker Flag: 6100 Red Hook, Quarter B3 St, Thomas 00802 virginWands Address (city, street, post ' U.S. TIN/EIN: U.S. code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For [ruse/foundations, include information about revocability,settle and beneficiaries,etc: Jeffrey Epstein is the sole owner. The signers on this account we Jeffrey Epstein, Hany Beier and Darren Indyke Please indicate how ownership of the legal entity is reflected: Share Certificate • Spedal attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate benefidal owner Ono( the someperson° Jeffrey Epstein is the sole owner. The signers on this account are Jeffrey Epstein, Harry Boller and Darren Indyke To the best of your knowledge, is the entity party to a nen-barking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services)?: Yes • No N/A Describe Nature of Entity's Primary Business and Investment Activities Nature of the tunness: Holds funds to pay for costs asscoated with an airplane owned by Jeffrey Epstein. Countries where business is transacted: United States Number of employees: 1 3D. Wealth Profile (Only for art es requiring source of wealth description as indicted in Section 2) Pnmary Country of source of wealth/source of Funds? United States Pnmary industry of saris of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Asses (e.g. balance sheet or equivalent summary of asset/liabities): All corporate funds/assers come from contributions by the sole owner, Jeffrey Epstein and his source of wean. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. ($): 1,000,000.00 Estimated investable assets ($)• c$1 MM Potential Amount to be nvested with PWN ($): Other Known Frendal Institutions: Institution: Ccguntry: Est. Asset Under Mgt: Institution: Ccguntry: Est. Assetr Under Mgt: Institution: Ccguntry: Est. Assets Under Mgt: SDNY_GM_00037645 CONFIDENTIAL — PURSUANT TO FED. R. Ce I ONFIDENTIAL h tps://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000469 EFTA_00148257 EFTA01282257 KYC I'rint Page 13 of 18 One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Somme 3C. Legal Entity Details (For au Legal Entioes) Legal Entity Name: AGE, LLC Prnste Investment El O Foundabon/Associabon O Trust RI Company O Estate Type of Entity: Purpose of Entity: ... mea nthropiciCharrtable O • Partnership Commercial Purpose of Enoty Type of Entity Other (specify): Other (specify): Date of Country of Virgin Islands, U.S. 10/19/2012 incorporatio / incorporation/registration: registration: Identified on Ostomer Profile No Volcker Status: 'Volcker Flag: 6100 Red Hook, Quarter B3 St, Thomas 00802 Virsin Islands, Address (oty, street, post U.S. TI : U.& code): Provide a description of the enbty's organizational structure, its ownership structure and its Top Management. For trusts/foundations, indude information about revocability,settkr and ber.eficianes,etc: Single member LLC Jeffrey Epstein is the sole member. The signets on this account are Jeffrey Epstein, Harry Beller, and Darren Indyke Please indicate how ownership of the legal entity is reflected: Operating Agreement O Special attention: Bearer Shares - Indicate where shares we custodied: Describe the chain from the direct owner of the entity to the ultimate benefidal owner Ono( the sane personsA Srigle member LLC Jeffrey Epsten is the sole member. The signers on this account are Jeffrey Epstein, Harry Bella, and Darren Indyke To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services)?: Yes O No 0 N/A Describe Nature of Entity's Primary Business and Investment Activities This is a company famed to hold funds fa the hum and payments of one of Jeffrey Epstein's Nature of the business: airplanes. This LLC was formed to eventually take over payments for AGE Inc. AGE Inc will be closed mthin a year CoLntries where business is transacted: Virgin Islands, U.S. Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Pnmary Country of source of weakh/source of Funds? United States Pnmary industry of sane of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assels/liabates): Initial funding of $1,000 from sole member Jeffrey Epstein. All corporate assets come from contributions made by the sole owner Estmated gross receipts p.a.($): 100,000.00 Estmated net profit ea. ($): 100,000.00 Estimated investable assets (8)* <S1 MM Potential Amount to be nested with FINN ($): Other Known Anandal Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For al Legal Entities I SDNY_GM_00037646 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000470 EFTA_00148258 EFTA01282258 KYC Print Page 14 of 18 Legal Entity Name: Jeepers, Inc • O Foundation/Association O Trust® Company O Estate 4 Priv-ate Investment • Type of Entity: Purpose of Entity: • Partnership philanthropic/Charitable O Commercial of Enoty Type of Entity Other (specify): Other (specify): Date of Country of Virgin Islands, U.S. 8/18/2003 incorporation / incorporation/registration: relistration: Identified on Customer Profile No Volcker Status: Volcker Flag: 6100 Red Hook Quarter B3 St, Thomas 00802 Virgin Islands, Address (oty, street, post us U.S. TIN/EIN: code): Provide a description of the entity's organizational stnichre, Its ownership structure and Its Top Management. For trustrifoundalkos, include information about revocability,settlor and benefidaries,etc: Jeffrey Epstein is the sole shareholder of Jeepers Inc. The egrets on this account are Jeffrey Epstein, Jean Mne Brennan, Harry Beller, and Darren Inclyke Please indicate how ownership of the legal entity is reflected: Shareholder Information Attached. • Spedal attention: Bearer Shares - Indicate where shares are custoched: Describe the chain from the direct owner of the entity to the ultimate benefidal owner (ifnot the sanepersortsx Jeffrey Epstein is the sole shareholder of Jeepers Inc The signors on this account are Jeffrey Epsten, Jean Anne Brennan, Harry Beller, and Darren Indyke 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, suppher of goods or services)?: Yes O No 121 N/A Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Jeepers Inc is a private company that holds investments of its owner, Jeffrey Epstein. Countries where business s transacted: Virgin Islands, U.S. Number of employees: 3 3D. Wealth Profile (Orly for parties require-9 source of wealth description as indicated in Seddon 2) Pnmary Country of source of wealth/source of Funds? United States Primary industry of sane of VVealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Assets (e.g. balarce sheet or equivalent summary of assets/liabilities): 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 nvestments it holds. Estimated gross receipts p.a.($): 400,000.00 Stinated net profit p.a. ($): 200,000.00 Etinatei investable assets ($)• <SI MM Potential Amount to be invested with PM ($): Other Known Frendal Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SONY_GM_00037647 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-0000471 EFTA_00148259 EFTA01282259 KYC Print Page 15 of 18 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center NY ❑ O Offshore O Moderate 5 High Risk Gwen Hill NY/Offshore Risk (Compliance Signature) DOB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Atizichmenb A. Type of Photo ID Provided @ Dr' - 2 P ffState ID O Other : Darren Indyke lean Anne Checklist of names (individuals and/or entities) that were sutmittei for database searches is 8. Yes O No attached C. Please indicate the results of the database searches performed RDC searches complete :Fr Yes O No negative results found Fr Yes O No PCR checks complete RI Yes O No negative results found 121Yes O No OFAC checks complete RI Yes O No negative results fend • Yes El No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, osa) E Yes O No negative results fend 7.4 Yes O No Denial Orders checks complete 2 Yes O No negative results fend Ekes 2 No Marbndale.Hubbel searched (Lawyes/Law Firms only) O Yes No negative results found O Yes O No Please summarize any negative results from the database searches indicated above: Jeepers Inc - Negative news does not pertain to our client also it is not material ri nature. - Court cases on Google does not pertain to our client. It is for Jeepers Inc of Illinois. Jege Inc - Negative news in Google relates to Jeffrey Epstein's sex offence in the past which has been cleared already. - No court cases. Jege LLC - Negative news in Google relates to Jeffrey Epstein's sex offence in the past which has been cleared already. - No court cases. Many Beller: - No negabve mecla - Harry Belle ts the plaintiff in the court case, also it has been disposed. Jeffrey Edward Epstein: - Negative media relates to the sex offence in the past which are already cleared. (KYC # - 01790655) D. - Court cases relates to Jeffrey's sex offence in the past which is already cleared, another is a recent ongoing cMl lawsuit pertaining to fraud, but part of normal business operations for this client. And in one of the case he's neither defendant nor plakitiff. He's just named as a respondent and the case is inrnaterial in nature. - Criminal Filings relates to sex offence which is akeady deared in the past - ROC alert found - Sex offences in the past which has been cleared - Clearance attached. Darren Inelyke: - Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature. - Court case mentioned in Google search relates to Jeffrey Epstein's sex offence ri the past which has been cleared akeady. Darren is just an attorney for Jeffrey in the case. - Hrcosoft alert has been cleared by AML Compliance. Clearance attached. Jean Anne Brennan Wiebracht: - No negabve mecla - No court cases Southern Trust Company Inc: - No negabve media - No court cases E. To the best of your knowledge, has the client ever been convicted of a aiminal offense? 2 Yes O No F. • Yes 2 No To the best of your knowledge, has the customer ever been involved in any past litigar agaket SDNY_GM_00037648 CONFIDENTIAL — PURSUANT TO FED. R. t I ONFIDENTIAL https://dbforcepb.my.salesforce.corn/servlet/servlet.Integration?lid=01N30000000D9Di&e... DB-SONY-0000472 7/11/2019 EFTA_00148260 EFTA01282260 KYC Print Page 16 of 18 Deutsche Bank AG or any of it subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of it subsideries? (if Yes pitwide details below and contact Qualdy Mot (LatAmfinel) or b7e Regulatory Canby/ Group andnotify Comp/Saxe immediately) Does the dent or related party have any financial or other association / interactions within G. counties or regimes sandioned by the Office of Foreign Assets Control (OFAC)? • Yes 2 No Does the dent or related party have any financial or other associatoV interactions within high risk 0 yiN 2 No countnes? I. Corporate Documentation Attached (Legal Entities Only) ®Yes O No • Not Applicable J. Unclsdosed Principal Form Complete (Intermediaries Only) OYis O No 2 Not Applicable K. If LexisfNexis Seath Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: L Spedal Risk Factors Does the account have Nexus to Special Risk Courerkti O Yes n No Is the account structure unusually complex? O Yes 2 No Is there any indication the dent set up a non operating company expressly ri for the purpose of transferring shares to thrd parties? LI Yes n No Is there any indication this could be a prohibited business relationship? O Yes 0 No Are the bearer shares identified subject to acoeptaNe controls? 0 Yes 2 No SONY_GM_00037649 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-0000473 EFTA_00148261 EFTA01282261 ICYC Print Page 17 of 18 H. Case Comments Created By Date Comments This KYC serves as a high risk review for 3EGE Inc, JEGE LLC and leepers Inc (herein referred to as 'accounthdders") - Bdow are the reasons why we are comfortable with approving this KYC: • Informal:Co and supporting decurnents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structwe of the aceowtholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors associated with the accountholders — SOW: The UBO (3effrey Epstein) is the founder of Southern Trust Company Inc, which manages client's asset. Gwen HA 10/15/118 3:03 PM SOW verification was obtained. -Negative Media & FED: There is some negative media against Mr. Epstein and he a also maintains a dose relationship with Bill Ointon and Prince Andrew. Please see risk calculate( for more information. Appropriate approval was obtained. • Ow review did not identify any red flags and thus there was no need to escalate this case further. • We performed due dddence searches on all parties and did not find the names searched to be on any sanctions lists. Alka Babu 8/24/118 5:52 AM No material changes confirmation "erred' attached ri the case ONSHORE APPROVALS Client Faring Professional (CFP): Stewart Oldfiekl (Signature) 9/28/2018 Stewart Otidfield Office Director/Busness Head: Andrew F Gallivan (Signature) 9/28/2018 Andrew F Gallivan Regional Office Crector: (Signature) AML Business Risk: (Signature) AML Compiance: (Signature) Sandra Timpone Sandra Timpone 10/15/2018 Gwen Hill Gwen Hill 10/15/2018 LATAM/INTERNATIONAL APPROVALS Client Facing Professions (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (GMTH)/Sub.Market Team Head (SMTH): AML Business Risk: (Signature) AML Compliance: (Signature) SONY_GM_00037650 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000474 EFTA_00148262 EFTA01282262 KYC Print Page 18 of 18 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing ProfessionalsI(I) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. i confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I havefollowed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Cyficers, Brokers, Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00037651 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL DB-SOW-0000475 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148263 EFTA01282263