EFTA01283834
Dataset 10 · 24 pages · 1.9 MB · 6,838 words
Extracted Images (24) #
People (6) #
Extracted Text #
KYC Print Page I of 24 DB PWM GLOBAL KYC/NCA: PART A KYC Cate I : 01133113 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RHATIONSHJP:00000463290 Booking Center: New York Relationship hanger: Paul Morris ❑ New MOM Relationship ❑ Existing PWM Relationship Retationship to PWM: If existing, please indicate voce when the relatIontJtio exists, provide reason for new profile and attach old profile: ❑ pent Referral 2 RM Prospect ❑ Intermediary/FTM ❑ Other Source (GIB, etc.) How Was the (longs) Introduced' How long hn the please provide details (e.g. name of referral source, how many years Rat personally has known client, etc.): Jeffrey Epstein Is a RM personaly known the current client et the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of client' Pouts at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced then while Paul was at lnlorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a ■ yes 12 No retrocession or similar compensation to a thrd party for the introduction of this (It Pet detente): relationship' list all existing and new moist involved in tha relationship legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 5 Butterfly Trust -- Checking 10/9/2013 2 5 Butterfly Trust -- Money Market 10/9/2013 Who ts he primary contact pence or the RM' (Note: This Darren innyke Preferred method of contact person needs to have signatory (indicate phone no., fax no., rights and/or information right e-mal address, etc.): for the accounts.): SDNY_GM_00039725 https://dbforcepb.my.salesforCCINErilDailIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002549 EF1'A_00150334 EFTA01283834 KYC Print Page 2 of 24 One sheet must be established for each account to be opened 2. Account Ownership Summary MCOunt Nan*: Butterfly Trust -- Checking Acct. Number (if avaiitAte). Account Manager. Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody strokes, long-term invesonent, pap-nerd/expense account)/ This is a checking account to hold funds for the trust. Indicate from where the assets are expected to arrive/ O DB Group: Same Booking Center (Indicate account number): O DB Grow: Other Bedbug Colter (Indicate DB location and account details): a Other Institution (Indicate name & hxation)e WMorgan. New York, NY O Physical Deposits (specify cash, securities, cheques, — h What is the expected sire arid frequency of regular Sows and outflows fog the account tnelicate estimated number and volume pe month)': Roughly S-10 inflows and outflows per month ranging from $1,000 to 520,000 What is the expected volume of assets and currency for the account approx. 90 days after 4,000,000.00 I Currency I USD opening, What is the expected volume of assets and currency for the account approx. one year after 5,000,0,0.00 'Currency I USD opening) Doesfivill the client have Assets Under Management (ADM) within DB under Etc 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 (> 1 can be selected). • If none of the check boxes apply, describe the palls retation to the account In the Titer coition. • Always describe the rebticnship between the parties in the last column. • Please drill down to the ultimate/under/Ong Beneficial Owner(s). _egal Description AccounWIC 'Settly of Jkinete 5ignatcrass.railtedt-inanclal Significant ..egal GranUir/Setdorkounding Other Entityof Source Holder OwneeTrust / Benteleiatx Full eCiA nterniediaryShareholderRepresentative )onor !please of Wealth Reinder of Dwner ?OA (FIM) (>•25%) inaibe *equeed Foindation Pion-PIC Other roles entity and/or attics (indicate ndkate bled to ownership reiationsNp is %) between count James) Jeffrey , D 2 O MI 1 O El paten ID O O O O Grantor; Butterfly El O • 2 El O nist • • O • • • • Rkhard 3 D O hn O O O O El O • O O O Trustee; Darren 4 O O ndyke O O • • ...i O II O • • Trustee:; 5 O • • O II • I O II I • • Beneficiary; b • O O illi O O O O O O • Oj Benelkiary; 7 0 0 • O O O O O O O O Beneficiary; 8 O O O O O O O O 9 Benefkrary; hniaine , O u O O O • O 9 • O Gtaxwell El 9 Befk wry; m 10 D O O O O O O O O O O O Beneficiary; SONY_GM_00039726 https://dbforcepb.my.salesforea-letNErilEagliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002550 EFTA_00150335 EFTA01283835 KYC Print Page 3 of 24 2. Account Ownership Summary Account Name: Butterfly Trust -- Money Market Acct. Number (rf wadable) Account Manager. Paul Morris What Is the purpose of the accourd (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense motet)? Money Market account. To hold cash for the trust to earn interest !Skate from where the ants are expected to arrive, CI 08 Group: Same Booking Center (Mdicate account nwnber): O DB Group: Other Bookng Center (Indicate DO location and account details): 0 Caw treautIon (Ind kale name & locatIon)c WMorgan. New York, NY O Physical Deposes (specify cash, securities, cheques, .4c What is the expected size and frequency at regular inflons and outflows for the (mown (indicate eslvnated number and volume pe month)': Roughly 1.2 ifflows and outflows per month ranging from $1,000 to $10000 What is the expected volume of assets and currency for the account apprwc. 90 days after 1500,000.00 'Currency I USD opening, What is the expected volume of assets and currency for the account approx. one year after 11,000,000.00 !Currency I USD opening, Doekacall the tie client have Assets Under Management (ALM) within DB under Eta. 3M7 O Yes 0 No Please list all parties related to the account. F or each party: • heck d a source 1 wealth description is required for the party. • heck the appropriate box to describe the relationship of the party to this account (> 1can be selected). • f none of the chi k boxes apply, describe die party's relation to the account In the 'COW column. • Always demnhe t e relationship between the parties n the last coluMn. • Please drill down to the usimate/underlying Benefklal Oivner(s). egal -ft-waxen AccounIPiC Settlor of Alfred, SignatonlUmItedrinanclal Significant _egal Crantor/Settiorf-ounclinobther --.ntitraf source Holder OemerTrust / Beneficial," Full POA IntermediaryShareholderlepresentaUve Donor Please al Wealth Founder of Owner POA (Flt) (>=25%) fearribe required Foundation Non-P1C sther mks entity vidlor ?antes (Indicate ndicate -elated to ownership elationship las %) $etween account ?weirs) 1 O 2 O O 2 O O O O O O O Grantor; pst Ek"e"in Butterfly ED O D 2 121 O MIA O O O O O li O likherd O • D 3 O O O O O O O O O Trustee:, Kahn Darren O O O 4 O O O O O O O O O Trustee:, OO O I O O O O O O • O Beuefleiery; ❑ ❑ ❑ ❑ 6 D O O • O O O O O O Benefkiwy; 7 O O O O • • O • • O Beneficiary; 8 O O O O • O • O • • O O Beneficiary; 5' ill • O • O O O O • O O D Beneficiary; 10 O O O O O O O O O O O O Beneficiary; SDNY_GM_00039727 https://dbforcepb.my.salesforCCINErilDaatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002551 EFTA_00150336 EFTA01283836 KY( Print Page 4 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Owne shb Stemma 3A. Individual Details (for all parties) IndnIduars Name: 6They Epstein - 00000183289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Clizenshb: USA Has client resided outside of Litte Saint James Saint Thomas 00802 US Virgin Islands irn/her crusty of nalbnally O yes 2 ti, Address of posy reside-roe: for 5 years or more? Profession/Occupation: Self Ernperyed Tax ID / SSN: Current Employer: Southern Financial LLC Postern/Ink/Rank: President Address of ernpbyer. 6100 Red Hook Quarter 63 St. Thomas USV1 00802 Does the person work as senior executive of a DB-recognized regulated entty in the financial nd ustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles Oyes a No Is the in a Politkally Exposed Person (PEPy(,y yesdescribe) Oyes 2 No To the best of your knowledge, Is the Individual related to an employee of the DB groupflif O Family O Enendship R i.l bane astrayor Friascalap, describe) lathe bet of your knoveledge, k the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal round, dent referral source, supplier of goods or services)' El Yes ® No (d Fes, *scree) Indicate where and when the dent meeting(s) took oboe: It applicable, Skate ankh bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris O O 2 9/13/2013 • O • • O O O Wealth Details for this individual are not flied in, because they are the same as for the following person: 38. Wealth Details (Only for parties rebuking sauce of wealth description as indicated h Section 2) Nature of the Individuars Business: Private investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Ea Business owner OSalary/Earnings a Investment O Inheritance/Gifts • Other: further Describe Source of Wealth /Detail the history of wealth for earn of the sources: (e.g. For trusts, how did setter accumulate swath? For inheritance, how did landy accumulate wealth?For business owners, how brig in business, how many employees, level of prolitabaly? Indicate type of business, countries of major activities, important business partners-) Epsten began his financial career in 1976 as an options trader at Bear Steams and became a partners n 1980. In 1982, Epstein founded his own financial nThegdnent firm, 1. Epstein & Co., managing the assets of dents with more than a been in net worth. In 1996, Epstein changed the narne of his firm to The Financial Trust Company and based it on the Island of St. Thomas in the US Virgin Islands. Al of Ns clients were anonymous except for the very wealtiry businessman Leslie Werner. His wealth has come horn his days at Bear Stearns and his financial management Mrs Estemated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(5): $50 MM - 100 MM Estirreted Net Worth(6): $100 MN - 500 MM Amount of assets blamed to Invest WO PV/M($): 5,000,000.00 Other Known Financial instkutions: limutution: liel Country: USA Est. Assets Under Mgt: 120,000,000.00 Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 SONY_GM_00039728 Int pa:11db forcepbmi y .salesforeGONEIDEgrNIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002552 EFTA_00I 50337 EFTA01283837 KYC Print Page 5 of 24 Institution 'Country: I Est. Moats Under Hgt Please indicate the lanai situatain of the individual (marital status, other fan* mantes, Mt): SONY_GM_00039729 Imps://dbforcepb.my.salesforcGC:tNEJIDEgehiltiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002553 EF1'A_00150338 EFTA01283838 KYC Print Page 6 of 24 One sheet mud be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa 3A. Individual Details (for all parties) Indtridualts flame: Darren Indyke - 00000486405 Dated Birth: Country of Residence: USA County of Citizenship: USA Has client resided outside of When (Om* of nationally O yasIRIH0 Address of pnrnary residence: for 5 years or mire? Prolessoetoupation. Attorney Tax ID / WM Current Empkwer: Southern Financial LLC PosNonfildet/Ranic Address of empbyer. 6100 Red Hook Quarter B3 Livingston USVI 00802 Does the person work as senor xecutfve of a Ceirecognirei regulated entity in tlx: financial Dui nrlusuy, or an entry listed on a DB'recognlsed exchange, (Not applicable for operating entities NO Is the individual a Politically Exposed Person (PEPPO yes, describe) U TIN @ No To the best of your knowledge, b the Individual nebtel to an employee of the DB group>(f O Family O Fnendship El None Pon* or Friendship, decal& ) To the bat of your knowledge, k the individual patty to a non-baiting relationship with Deutsche Bank (e.g., external legal coined, client referral source, supplier of goods or services)? O Yes 2 No be Yes,desabe ) Indicate where and when the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Bank 011icer Name(s) Bank Office: Pent PrIate Client Place of co,r. I c(.,I ( i iiii.e. Business: Paul Moms O O 2 o I )i • O O • O • O Weath Details for tNs individual are not flied in, because they are the same as for the folowIng pence: 38. Wealth Detail, (Only for parties requiring source of wealth desalption as indicated In Section 2) Nature of the Individual s Business: Primary Country of source of weaMVsource of Funds? Primary iglus* of source of Weah/Soutte of Funds? Summarize Source of Wealth: O Business Owner Chary/Earnings O Investment O Inheritance/Gifts O Other: Norther Descnbe Source of Wealth Metal the history of math for each of the sources: (e.g. For Mists, how did sailor accumulate wealth' For inheritance, how did fan* accumulate wealth?For business omen, how brig n busbess, how many enplcryees, level of profilabllep Indicate type on buena* countries of major activities, important business partners.) Estimated Annual Incorne($k Estimated amount of investable assets(3): Estimated Net Worth($): Annum of assets planned to fl at with PV/M(3): 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 fame situation of the indiv nal (mantel status, ether lankly members etc.): SDNY_GM_00039730 Ilttps://dbforcepb.my.salesforca:INEJIDschilidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002554 EFTA_00150339 EFTA01283839 KYC Print Page 7 of 24 SONY_GM_00039731 Imps://dbforcepb.my.salesforcaINEJIDXIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002555 EF1'A_00150340 EFTA01283840 KYC Print Page 8 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Richard Kahn - 00000486407 Date of Birth: Country of Residence: USA Country of OtizenshiP: USA Has client resided outside of Addreo. of primary residence: hother country 04 nationaMy O Yes 2 No for S years or mare? Prolmsiontrkcupalnn: Accountant Tax ID / SSA: Current Employer: Southern Financial, LLC Postam/Trtie/Rank: Address of employer. 6100 Red Hook, Quarter 83511hr/in& US Virgin Islands 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial o yes a No not ustry? or an entity listed on a DB.recognised exchange? (Not applcaWe for operating entities Is the individual a Politkaly Exposed Person (PEP)ag Yes, describe) • Yes g6 No To the best of your knowledge, is the individual related to an employee of the DB grouP?(f • Family • rnendsNp E None Farr* or Frieldthip, desmbe) To the bat of your knowledge, is the individual party to a nen-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? O yes 2 No (I Yes, credo-Abe) Indicate where end when the dent meeting(s) took place: If applicable, Skate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other location (specify)c Date: Domicile: Business: Paul Horns O w 2 9/13/2013 • • • • O O O Wealth Details for INs individual are not flied in, because they are the same as for the following person: 38. Wealth Details (Only for parties reputing source of wealth description as Indicated In Section 2) Nature of the Individuals (tuskless: Primary Country of source of wealthfsourte of Funds? POOMIly indusby of source of WeattuSource of Funds? Summarize Source of Wealth: • flatness Offilef OSalary/Famings O Investment C Inhatance/Gifts • Other: Further Describe Source of Wea h Metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?for business owners, how long in business, how many n,hjy level or meltability? Indicate type of business, countries of major ad/vibes, important business partners.) Estimated Annual Income(d): Estinvited amount of investable assets(s): Estimated Net Worth($2. Amount of assets planned to invert with PWM(3): Other Known Financial InstAutIons: Institution: Country: Ed. Assets Under Mgt: Institubon: Country: Est. Assets Under Mgt: Iminution: Country: Est. /resets Under Mgt: Please indicate the family situation of the individual (mental status, other fan* members, etc.): SONY_GM_00039732 https://dbforcepb.my.salesforcaINErilEaliliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002556 EFTA_OOI 50341 EFTA01283841 KYC Print Page 9 of 24 SDNY_GM_00039733 littps://dbforcepb.my.salesforcaINEJIDEXIIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002557 EF1'A_00150342 EFTA01283842 KYC Print Page 10 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for SI parties) Indkidual's Name Glikisine Maxwell Date et Birth: Country of Residence: Country et ClUzemillp: Nes client resided outside of rvo MAK Associates hother COL•Itly of nationality O yes El No Address of primary residence: 575 Lexington Avenue, 1th Fl New York NY 10022 USA for 5 years or more, Profession/Occupation: Tax ID / SSN: Current Employer Postbon/TelbRank: Address of empbyer. Does the person work as senior executive of a DB-recognized regulated entity in the nnancial ndusby? or an entity listed on a DB.recogneed exchange? (hot applicable for operating entitles O Yes a No Is the mdMdual a Politkaly Exposed Person (PEPY(,/ Yes, describe) O Yes RI No To the best of your knowledge, is the Individual rented to an employee of the DB group?(/ O Family • FnendsNp El None Falai), or Friemiship, desenbe) To the best of your knowledge, k the Individual patty to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? I: Yes El No (I Testi:fasciae) Indicate where and when the dent meeting(s) took place: If applicable, Skate which bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other Location (specify) Date: Domicile: Business: O O O • O O • O O O Wealth Delats for this indtvid ual are not filed in, because they are the same as for the (plowing person: 38. Wealth Details (Only (or parties requiring duce of wealth description as Indicated In Section 2) Nature of the Individuals Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: • Business Owner Chaim/Earnings O Investment O Inheritance/Gifts • Other: I urther Describe Source of Wealth metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' Inc inheritance, how did family accumulate wealth'/For business owners, how bag in business, how many mbloyees, level of profitability/ Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($) Estimated amount of itwestable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial InstkutIons: institution: Country: Ed. Assets Under Mgt: InstitUbn: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Illdllaie the torn`, sItuatron of the individual (mental status, other family nsemberS, etc.): SONY_GM_00039734 https://dbforeepb.my.salesforeCLINErilEaliliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002558 EFTA_00 I 50343 EFTA01283843 KYC Print Page 11 of 24 SONY_GM_00039735 littps://dbforcepb.my.salesforcCLINEJIDSIIIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002559 EF1'A_00150344 EFTA01283844 KYC Print Page 12 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa 3A. Individual Details (for all parties) Ind's:alters Name: Date of Birth- Country of ilewdence: Country of Citizenship HaS client resided outside of cis/ HOAK Associates hikther country of nationality u Yes P li Its Address of pnmary residence: 575 texington Avenue, 40 Fl Plow York NY 10022 USA for 5 years or more, ProtesrsorsOwupation: Tax ID/ Mt Current Employer: Position/7Itle/Flank: Address of employer. Does the person work es senior executive of a DB-recogtzed regulated entity in the financial o w. 2 No ndustry? or an entity listed on a DB.recognIsed exchange? (Not applicable for operating entities Is the individual a Polak.* Exposed Person (PEPp(d Yes, describe) as El No To the best of your knowledge, as the individual related to an employee of the DB group?(d O Family O FnendsNp E1None Fame/yew Rienddrip, desaftte) To the best of your knowledge, k the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services), Ore. RI No be Yes,desabe ) Indicate where and when the stint meeting(%) took place: If applicable, indicate Muth bank officers have met the person: Bank Officer Name(%) Bank Office: Pent PrIate Client Place of Other location (specify): ftise Domicile: Business: O O O • O O • O O O Wealth Details for this Individual are not filed in, because they are the same as for the foleming person: 3B. Wealth Details (Only for parties reguilng source of wealth desalpUon as Indicated in Section 2) Nature of the Individual's Huskies: Primary Country of source of wealthrsource of Funds? an:nary industry of source of 1Vealth,Soutte of Funds' Summanre Source of Wealth: OBusiness Owner OSalary/Earnings O linestwant OMN:chance/Gifts • Other: Further Descnbe Source of Wea h Metal the history of swath for earn of the sources: (e.g. For trusts, haw did settler accumulate wealth? For inheritance, how at did lankly accumulate wealth,la business enters, how long in ustess, how many employees, level of profitability/ Indicate type business, counties of major actentres, important trimness partners.) Estimated Annual Income(/): Estknated amount of attestable manta): Estimated Net Worth($): Amount of assets planned to That with PWN($): Other Known Filleleadi Institutions: Institution: County: Est. Assets Under Mgt: Institution: County: Est. MIS Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the fent situation of the individual (mental status, other family members, etc.): SONY_GM_00039736 ps://dbforcepb.my.salesforcCaNEJIDEArdiAL000000D9Di&e... 7/30/2019 ht t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002560 EFTA_00150345 EFTA01283845 KYC Print Page 13 of 24 SDNY_GM_00039737 https://dbforcepb.my.salesforCCINErilagrit\ridiA10000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002561 EFTA_00150346 EFTA01283846 KYC Print Page 14 of 24 One sheet mud be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa 3A. Individual Details (for all parties) Individuals Name: Date of Bath- Country of Residence: Country of Citizenship' Has client resded outside of clo Hen Associates Address of pnmary I'("XieS1(C' 575 Lexington Avenue, 1th Fl New York NY 10022 USA hiesrner country of nationality O Yes gin for 5 years cc more, Profession:On upation. Tax ID ISSN: Current Employer: PosItianattle(Rank: Address et endbyer: Does the person work as senior xecutive of a DB-recognized regulated entity in the financial o w. 2 No nd ustry? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEPr(f Yes, describe) • Y. 2 No To the best of your knowledge, is the Individual related to an employee of the DB group?(if • Family O Fnendship R i.l None Pam ly or Fiend:hip, deafer.) To the bat at your knowledge, e the individual party to a non-baiting relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services), E: Ye' E l No (5/ Yes,describe) Indicate where and when the cleric meeting(%) took place: If applicable, nthcate which bank erects have met the person: Bank Officer Names) Bank Office: Pent PrIate Client Place of Other Location (specify): 0.:te. Domicile: Business: O O O O O • . O O O Wealth Details for this individual are not filed in, because they are the same as for the Weaving person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated In Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Di/nary ndustry of source of Wealth'Sotute of Funds, Summarize Source of Wealth: O Business Owner OSalsry/Eamings O Investment pink:Mance/Gifts O Other: Further Descnbe Source of Wea h Metal the dam of wealth for each of the sources: (e.g. For busts, how did senior accumulate wealth, For inheritance, how did rangy accumulate wealth, ler business antlers, how brig in illness, how many employees, level of profitability, Indicate type of business, counties of major amities, important business partners.) Estimated Annual Income($): Estimated amount of investable assetHg): Estimated Net Wort (ft Amount of assets planned to That with PWI4($): Other Known Financial Institutions: Institution: County: 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, other family members, etc.): SONY_GM_00039738 ht t ps://dbforcepb.my.salesforCCaNEJIDairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002562 EFTA_00150347 EFTA01283847 KYC Print Page 15 of 24 SONY_GM_00039739 tps://dbforcepb.my.salesforCCINEJIDEJNIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002563 EF1'A_00150348 EFTA01283848 KYC Print Page 16 of 24 One sheet musk be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Date of Beth: Country of Residence: Country of Citizenship: FLis client resided outside of c/o ilBRK Associates Address of primary residence: 575 texington Avenue, nth El flew York lit 1002? USA his/hey country of natbnakty O yes 21d, for 5 years or more? Probes:30k( upon:in: Tax ID / SSN: Current Employer: P0SItkin/TitieMank: Address et employer: toes the person work as senior xecutive of a DB.reeegnized regulated entity In the financial D yes a No ridsofty? or an entity listed on a DB.recognned exchange? (hot applicable for operating entities Is the indMdual a Politkalty Exposed Person (PEPnif Yes, describe) O yes 2 No To the best of your knowledge, is the Ind Sid col related to an employee of the DB groupW • Family O FriendsNp MI None Forney or Friendship, desmbe) To the best of your knowledge, is the Individual party to a nee-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? O Yes R No (I Yes,desmbe) Indicate where and when the dent meeting(s) took pace: applicable, indkate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (ipecIfyk Date: Domicile: Business: O M O • • • • O O O Wealth DetaNs for this Individual are not Mid in, because they are the same as for the following person: 38. Wealth Details (Only for parties rebuking source of wealth description as Indicated in Section 2) Nature of the Individuals Rushee: PrIrnary Country of source of wealth/sourte of Funds? PrifIliry hdusby of source of Wealthraource of Funds? Summarize Source of Wealth: • flubricss Onner OSahry/Eamings O Investment O Inheritance/Gifts • 011ww: Further Detente Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For Mists, how did settler accumulate swath' For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level er profitability? Indicate type of business, countries of major activities, important hotness partners.) Estimated Annual Income($): Estinvred amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest sow PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Ed. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the lamb situation of the iodic ual (mantel status, ether family mentors, etc.): SDNY_GM_00039740 https://dbforeepb.my.salesforeCCINErilEtairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002564 EFTA_00I 50349 EFTA01283849 KYC Print Page 17 of 24 SONY_GM_00039741 Imps://dbforcepb.my.salesforcart:INEJEIEsMidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002565 EF1'A_00150350 EFTA01283850 KYC Print Page 18 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all pants) Indrviduars Name: Date of Birth: Country of Residence: Country of Citizenship: Kin client resided outside of c/o MIRK Associates Address of primary residence: 575 Lexington Avenue, 4th Fl New York NY 10022 USA his/her tasty of magnet* O yes 2 No for 5 years or more? Prolessian,baupaton: Tax ID / 591: Current Employer: POSItbrifTbartank: Address of entbyer. Does the person work as senior xecutIve of a DB.recebnized rebottled entity in the financial D yin a llo nd usby7 or an entity listed on a DB:recognised exchange? (fiat applicable for operating entitles Is the indMdual a Politkalty Exposed Person (PEPY(A Yes, describe) O Yes RINo To the best of your knowledge, Is the Ind tridLel 'Sited to an employee of the DB grouPP(F IN Family O Friendship ria None Fan$' or Feeldship, *scythe) To the best of your knowledge, h the IndMidis& party to a non -baiting relationship with Deutsche Bank (e.g., extent' legal counsel, client referral source, supplier of goods Of services)? Ores 2 No (A Yes,descrthe ) Indicate where and then the dent meeting(s) took place: If applicable, tdkate which bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other Location (specily): Date: Domicile: Business: O w O • • O • O O O Wealth DetaNs for this individual are not flied in, because they are the same as for the following person: 38. Wealth Details (Only (or parties rebuking source of wealth desalptlon as indicated in Section 2) Nature of the Individuals Business: Prknary Country of source of wealth/source of Funds? Primary Mosby of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Onner OSaLsry/Eamings O Investment C Inheritance/Gifts II Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For Mists, how did senior accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level ef profitability? Indicate type of business, countries of major activities, important business partners.) Fitimated Annual Income($)- Estimated amount of instable assets(s): [striated Net Worth($): Amount of assets planned to invest Mtn PWM($): Other Known Financial InstAutIons: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Fit. Assets Under Mgt: Please indicate the family situation of the indiv (al (mental status, other family mentors, etc.): SDNY_GM_00039742 https://dbforeepb.my.salesforeC5CINErilDaltiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002566 EFTA_00I 5035 I EFTA01283851 KYC Print Page 19 of 24 SONY_GM_00039743 Imps://dbforcepb.my.salesforcaINEJIDgiNDAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002567 EFTA 00150352 EFTA01283852 KYC Print Page 20 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indkiduars Nan*: Date or Beth: Country of Residence: Country of CitizenshiP: Has client resded outside d Co tiaRK Associates he/her country of nationality ED yes a it Address of puma ry residence' 5/S texington Avenue, ath IT New York WY 10077 USA for 5 years a more? ProfesseniOuupaton. Tax ID / SSA: Current Employer: Position/Tide/Rank: Address of empanel: Does the person work as senior executive of a DB.recegnized regulated essay in the financial O yes 2 No Mrs*+ or an entity listed on a DB.recognised exchange? Mot applicable for operating entities Is the indaidual a Politkaly Exposed Person (PEW/V. Yes, describe) Oyes Ed No To the best of your knowledge, is the individual related to an employee of the DB grouP, (Y • Family O Fnendship E None Pam* or Friendship, *scythe) To the best of your knowledge, is the individual patty to a neenanking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? fi Yes 2 No (A Yes,descnbe) Indicate where and neon the client meeting(s) took place: If applicable, eidicate which bank officers have met the person: Client Private Client Place of Bank Officer Names) Bank Office: Other Location (specify Date: Domicils: Business: O • O • • O • O O O Wealth Details for INs individual are not flied in, because they are the same as for the following person: 38. Wealth Details (Only (or parties requilng source of !math desolpUon as Indicated In Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary mlustry of source of Wealth/Source of Funds? Summarize Source of Wealth: O fmanoss Purser O58*y/famines O Investment C Inheritance/Gifts • Other: Further Desenbe Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth/for business owners, bow long in business, how many employees, level d profitability? Indicate type of business, countnes of major activities, important business partners.) Estimated Annual Income(3): Estimated amount of investabk assets(3): Estimated Net Worth($): Amount of assets planned to invest with PWtl($): Other Known Financial InsUutIons: Institution: Country: Est. Assets Under Mgt: Institution: Goolsby: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the lankly situation of the individual (mental status, other fan* members, etc.): SDNY_GM_00039744 https://dbforcepb.my.salesforeC5CINErilDEgialliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002568 EFTA_00I 50353 EFTA01283853 KYC Print Page 21 of 24 One sheet must be established for EACH LEGAL Mir( in Section 2. Account Summary 3C. Legal Entity Details (for all Legal Entities) legal Entity Name Butterfly Trust - 00000486426 • FoundatIon/Associatkin RI Trust O Company O Estate ®private Investment O Type of Entity: Purpose of Entity: • Partnership IshiaMhroisk/Chadtabk OCommercbl Purpose d Emily Type of Entity Other (specify): Other (SpeCifik Country of USA Date of incorporation / 12/27/2006 MoigickatIon/re9istraiko: registration: Volcker Status: Vokker Flag: Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00302 USVI U.S. TIN/EIN: code): Provide a description of the entSys organizational structure, its ownership structure and its Top Management. For trusts/foundations, isclude Mforrnation about revocabIlity,settlor and beneficiarlehetc.: Grantor: Jeffrey Epstein Oustees: Darien K. Indyke, Richard Kahn Please indicate how ownership of the legal entity is refketed: Grantor: Jeffrey Epstein Trustees: Darren K. Indyke, Richard Kahn 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 (dnot me same persons) GriatOr. Jeffrey Epstein Trustees: Darren K. Indyke, Richard Kahn 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 servlomr: Yes O No gil Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Trust account Countries where business is transacted: USA, USVI Number of errployees: NIA 30. Wealth Profile (Only for parties requiring source of wealth description as Inikated in Section 2) Primary Country of source of wealth/source of Funds? Primacy industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsillabities): Trust account with Jeffrey Epstein as Grantor. Initial $100 given to the account to fund. The funds for this trust account come from investments made by Jeffrey Epstein. His wealth profile is filed cut. The trusts for the benefit of the 6 named individuate Estimated gross receipts p.a.($): Estimated net profit pa. (S): Estimated investable assets ($): SS Wit - 10 MI Potential Amount to be invested with WM (Sr 4,500,000.00 Other Known Financial Institutions: institution: )(Morgan Country: USA Eg. Assets Under Mgt: 4,500,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00039745 https://dbforeepb.my.salesforcCLINErillaidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002569 EFTA_OOI 50354 EFTA01283854 KYC Print Page 22 of 24 DB PWM GLOBAL KYC/NCA: US/LatArn/Int'l PART Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center INT O offshore IRO Moderate ni t Andrew ION 0 W ❑ c.J High Risk /Offshore isk (Ctenpliante Shgnature) O DB Employee ODD Managed PK O D6 is Trustee/Co-Trustoe O Bearer Shares 4. Attachmenb A. Type of Photo ID Provided t'A Drives Lkeitse RI Passport • NatlenaUState ID • Other B. Checklist of names (individuals and/or entitles) that were submitted for database searches is attached ®yes O No C. Please ndicate the results of the database searches pedorrned RDC searches complete d Yes O No negative results found eves The PCR checks complete eyes Olio negative results found EZ1Yes O No OFAC checks complete Et Yes Ono meanie results found ElYes ®No BIS searches complete (lecis/Nexis, Factma, Reuters, Dow Jones, DM) 12 yes ONG negative results found E)Yes Otto Denial Orders checks corrpkte IR1 Ye. ONo negative results found • yes ®No Marondae.Hubbell searched (Levyerkkaw Fenn only) O Yes ONO negative results found • Yes O No Please sonnetize any negative resuks from the database searches Indicated above: BUTTERFLY TRUST: Negative Media: All negative media pertains to a company called the Butterfly Tryst in Europe This is not our client. Our client is an actual trust created by a Grantor and not a company. The other negative media does not peruse to 'Butterfly Tryst'. It Is only cited because the words 'butterfly" and trust* are next to each other Court Cases: 1. The is study material for a law class. The Butterfly Trust mentioned in this is not our client Jeffrey Epstein: Preciously approved KYC 8:01062293 & 01121718 DARREN ItiOYXE: No Negative Media No Court Cases KYC Approved: *1133377 Richard Kahn: See attached dearance from MIL D. Approved KYC: 901082293 and 1133377 GHISUUNE MAXWELL: No PCR or RDC alerts e e E. To the best of yam knowledge, has the client eve been enacted of a cnmnal offense, a Yes O No F. O Yes 0 No To the best of you knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening floater, against Deutsche Bank AG or any of is subsidiaries' (if Yes, brevet details below and contact Quality Mgt. SDNY_GM_00039746 https://dbforcepb.my.salesforCCINErlIDatiruJiA14000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002570 EFTA_00150355 EFTA01283855 KYC Print Page 23 of 24 (LgiAmfintI) or the Regtatuty Confrol Group and notify CompYance inmeditely) Does the client or related party have any financial or other association/Interactions wean countries o yes 0 No G. cc regimes sanctioned by the Office of Foreign Assets Control (CfAC)? Does the client or related party have any financial or other association/ interactions within high risk o yes EA No it. counties' I. Corporate Documentation Attached (Legal Entitles Only) Oyes • No • Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) Oy es • No ! PAI Not Applicable K. If LeckiNexh Saudi Results, Corporate Documents or Other Supporting Documentation Is not in English, please provide an English WITCTIMy of the nature/contents of the non-English Documentation: t. Special Risk Factors Does the account have Nexus to Special Risk Countries, O Yes Z No Is the account structure untriturey °ampler" • Yes r4 No Is there any indkation the chant set up a non operating company expressly O yes pi No for the purpose of transferring shares to third parties? Is there any indication this amid be a prohibits business relatkenhipl ID yes 2) No Are the bearer shares identified subject to acceptable controls) • yes 10 No SONY_GM_00039747 littps://dbforcepb.my.salesforCaNBIDEJNIIIIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002571 EFTA_00150356 EFTA01283856 KYC Print Page 24 of 24 M. Case Comments records to display. ONSHORE APPROVALS Client Eating Profeksional (CFPX Paul Morris 'Signature) 10/2/2013 Paul Morris Office Director/Business Head: Brian M. Biggar ‘'Signat we) . 10/3/2013 Brien M. Biggar Regional Mice Director Signature) AML Business Risk: (Signature) AML Compliance: (Signature) )acgtel.ne Lghtbody Jacqueline Light's:4y 1/23/2014 Andrew KISZ Andrew Kea I/23/2014 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP3 (Sqnature) Account Manager: (Signature) Caobal Market Team Head (GMTH)/Sub- (Signature) Market Team Head (SMTH): AML flusress Risk: (Signature) Pit Compliance: (Signature) PRIVATE WEALTH MANAGEMENTPOLICY STATEMENT: Deutsche Bank Private Wealth tIanagement (WM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals!(1) (CFP 's) should establish andmaintain 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 andup to date. confirm that have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that have followed all the procedures relating to account opening as describedin the POM Americas Procedures and the PWM GlobalKYC Policy 1) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Officers.. Brokers, Client Managers, etc. Deutsche Bank Americas New York VA SONY_GM_00039748 https://dbforcepb.my.salesforCCINErIlDaliTuJiA14000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002672 EF1'A_00150357 EFTA01283857