EFTA01283858
Dataset 10 · 23 pages · 2.3 MB · 8,315 words
Extracted Images (23) #
People (5) #
Extracted Text #
KYC Print Page 1 of 23 DB PWM GL0BAL KYC/NCA: PART A KYC Case a : 01133624 Status : 6. Approved One sheet must be established perrelationshi - fist all accounts Included In the reladonsN 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: I New York Relationship Manager: Paul Norris 0 New PWM Relationship 10 Existing PWM Relabonshrp Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: 0 Client Referral 1121 RM Prospect 10 Intermediary/FIN 10 Other Source (CM, etc.) How Was the Client(s) Introduced? How long has the Please provide details (e.g. name of referral source, ow many years RM personally h s known cknt, etc.): Jeffrey Epstein is RM Personal* know, the a current client ci the Bank. Wants to open a new account. Introduction details of Pa I and Jeffrey: Jeffrey Epstein was a chat client> of Paurs at JP Morgan. Paul and Jeffrey Epstein had mutual friend/colleague who Introduced them while Paul was at 10Morgan. Over the course of a few meetings Paul was able to get Jeffrey to Orin some ci Ns funds over to Deutsche Bank Does Deutsche Bank pay a 0 Yes I2 No retrocession or similar cornpersabon to a third party for the introduction of this (It Yes, describe. relationship> List all existing and new accounts Involved n this relationship Legal Entity Account Name / Number Opening Date (Intended/actual) Account(s) 1 e Hyperion Ai Inc 10/16/2013 2 fir a Hyperion Air Inc — Money Market 10/16/2013 3 ri Hyperion At LLC 10/16/2013 4 2 Hyperion Ai LLC — Money Market 10/16/2013 S 2 JEGE Inc 10/16/2013 6 2 JEGE Inc -- Money Market 10/16/2013 7 5 JEGE LLC 10/16/2013 8 12 JEGE LLC -- Money Market 10/16/2013 9 ..%. Plan D, LLC 10/16/2013 10 5 Plan D, LLC -- Money Market 10/16/2013 Who Is the primary contact person cc the RN> (Note: Preferred method of cones This person needs to have Harry Beler phone no, . fax no., siratorf rights and/or e-mail address, etc.): nfamatice right for the accounts.): SDNY_GM_00039749 https://dbforcepb.my.salesforcCratNErilDnErlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002573 EFTA_00150358 EFTA01283858 KYC Print Page 2 of 23 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Hyperion Air Inc Acct. Number (it'avaloYel. Account Manager: Paul Morris What is the purposed the account (e.g. portfolio management advisory account, custody services, long-term Investment payment/expense account)) Checking account to hold the funds necessary for the costs associated imth owning/running one of Jeffrey Epstein's airplanes Indicate from where the assets are expected to aethte7 O 08 Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DO location and account deals): 10 Other Institution (Indicate name & locally"): JPMorgan. New York O Physical ClePlaa (Wetly cash, securtles, cheques, ...): V/hat is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': I/ought) 10 intkwes and outflows pet month ranging from $1,000 to $10000 1 50000 I Currency I USD What Is the expected volume d assets and currency fa the account approx. 90 days after opening' 1 100000 I Currency What Is the expected volume c( assets and currency for the account approx. one year after openings I USI) Don/Will the client have Assets Under Management (AuM) within 08 under Eur. 3/47 Dyes Rik Please list aN parties related to the account. For each party: • Check if a source cf wealth desorption os required for the party. • Check the appropriate box to describe the relationshi of the party to this account (> I can be selected). • It none of the check boxes apply, describe the party's relation to the account in the "Other column. • Always describe the relationship between he parties i the last olumn. • Please dril down to the ulimateitinclutring Beneficial Owner(s) _egalbescnptlen AccountOIC Settles of UNInate SignatotyUmitedi9nancial Significant I Grantor/Settbrf-oundingother Enbtyof Source Solder lOwnerTrusti Beneflcialor Full POA IntermediarySharehokle epresentatve Donor (please of Wealth Founder a/Omer POA (Fled) (>.=-25%) describe required Foundation tion-PIC other roles entity and/or Parties (indicate indicate related to ownership rebbomhic this between account parties) Hyperen I El g Alf, Iflf NJ • n u ED Ell El CI O • leffrey 2 0 63 Epstein — J Li k.1 LI L. j • 0 0 3 O O Harry r L---' 7 O r , El O -1 O O O Beller SDNY_GM_00039750 Ilttps://dbforcepb.my.salesforcOraNtErlICerhiltiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002574 EFFA_00150359 EFTA01283859 KYC Print Page 3 of 23 2. Account Ownership Summary Account Name: Hyperion Air Inc -- Money Market Acct. Number elnibble). Account Manager: Paul Morris What Is the purposed the account (e.g. poctiobo ma agement, advisory account, custody services, longterm investment, payment/expense account), Money account to hold the funds necessary for the costs associated wth owning/running one of Jeffrey Epstein's avplanes Indicate from where the assets are expected to arrive, O DB Group: Same Booking Center 0rickate account number): 0 DB Group: Other Booking Center (indkate DB location and account detals) g Ceier Institution (Indicate name & location): jritiorgan. New York MI Physical Deposits (specify cash, secureles, cheques, ...): What Is the expected size and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month), . Roughly 1.3 inflows and outfbws per month ranging from $1,000 to $10,000 What Is the expected volume of assets and cwrency for the account approx. 90 days after 1100000 'Currency I USD ofeolo9' What is the expected volume of assets and currency for the account approx. one year after 1200000 I Currency I USD opening' DoesAMII the client have Assets Under Management (AuM) within 06 under Eur. 314? Oyes til No Please 1St 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 relationshi ol the party to this account (> I can be selected). • !nen of the check boxes apply, describe the partys relation to the account in the 'Other* column. • Always describe the relationship between he parties i the last olurm,. • Please dril down to the ultimate/unckrtying Beneficial Owner(s) _egal5escnpbcn AccountPIC Senior of Ultmate Signatory UmrtecliFmancial Significant ...egal GrantorrSettlorFounding3ther .innty of Source Holder OwneeTrust/ Benefioalor Full POA IntermediarySilarehokleraepresentatNe Donor (please d Wealth Founder ciDEMner ?OA (9M) (>=25%) describe required Foundation Non-PIC other roles entity and/or Parties (indicate indicate related to ownership relationship this Yo) between account "allies) 1 O 1Z Jeffrey I—I . O El a DO El O • Epstein i--I ■ Hyperion 2 a El Mr, Inc rs c-i O O O • D • O O O 3 O O HanY Beier a • • a 5 D O O a a SDNY_GM_00039751 ht tps://dbforcepb.my.salesforcalNalaFerlailiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002675 EF1'A_00150360 EFTA01283860 KYC Print Page 4 of 23 2. Account Ownership Summary Account Name: Hyperion Air LLC Acct. Number (if atu,:bblet. Account Manager: Paul Morris What Is the purpose of the account (e.g. pordoho management advisory account, custody services, long.term investment, paymentiexpense account)' Checking account to hold the funds necessary for the costs associated wth ownirq/nmning one of Jeffrey Epsteies airplanes Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (inckate account number): 0 DB Group: Other Booking Center (indicate DB location and account detais): Ell Other Institution (Indicate name & location): WMorgan. New York ll Physical Deports (wetly cash, saurian, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)' Roughly 10 inflows and outflows per month ranging from 91000 to $L0,000 190000 I Currency I USD What is the expected volume et assets and currency for the account approx. 90 days after opening' I 10°°0° I Currency I USD What is the expected volume of assets and currency fix the account approx. one year after opening? DoesANIN the client have Assets Under Management (AuM) within DB under Eur. 3M? • Yes No Please list aN 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). • ! non of the check boxes apply, describe the party's relation to the account in the 'Other* column. • Always describe the relationship between he parties in the last olumn. • Please dril down to the ultimate/unckrtying Beneficial Owner(s) _egal npbcn Accou IC Settler of inmate signatory Unto:Financial Significant ..egal Grantor/SettlorFoundingOther .inbty of Source Holder Dwneenusti genenc eft,' Fun POA IntermediarySharehokkatepresentative Donor (please of Wealth Founder ciffMner PCA (9M) (>=25%) describe required Foundation Non•PIC other roles entity and/or Parties (indicate indicate related to xvnership relationship this vo) between account parties) HYPerloril a 0 0 Air, U.0 0 • • El El El El O El 2 O E?I kffen' O ❑ CI O Ej, El E O • O O Epstein 3 O O Ha" Beller • • • a 2 O U O a ini SDNY_GM_00039752 hit ps://dbforcepb.my.salesforCONEADEptadiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002576 EF1'A_00150361 EFTA01283861 KYC Print Page 5 of 23 2. Account Ownership Summary Account Name: Hyperkin Air LLC — Money Market Acct. Number (if avarArde) Account Manager: Paul Morris What Is the purpose ci the account (e.g. portfolio management, advisory account, custody services, long.term investment, payment/expense account)' Money account to held the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's arplanes Indicate from where the assets are expected to arrive? 0 DB Group: Same Bo:king Center (inckate account number): 0 DB Group: Other Booking Center (Indicate DB location and account detais): 5 Other Institution (Indicate name & location): )PMorgan. New York MI Physical Deports (specify cash, securties, cheques, ...): What Is the expected size and frequency of regular Inflows and outflows for the account (Indicate estimated number and volume per month),: Roughly 1-3 Inflows and outflows per month ranging from $1000 to $L0,000 What Is the emected volume of assets and currency for the account approx. 90 days after 1100000 I Currency I USD opening' What is the expected volume of assets and currency for the account approx. one year after 1200000 I Currency I USO opening, DcesAvill the client have Assets Under Management (AuM) within 08 under Eur. 3M, 10 yes 5 No Please list aN parties related to the account. For each party: • Check if a source of wealth descriptkm is required for the Party. • Check the appropriate box to describe the relationship ci the party to this account (> 1can be selected). • f non of the check boxes pply, describe the partys relation to the account In the 'Other' column. • Always describe the relationship between the parties in the last olumn. • Please drill down to the ultimate/underlying Beneficial Owner(s) _egal5eunpbon Accourt'IC Settlor of Ultimate Signatory UmitedPqnancial Significant -eget Grantor/SettlorFoundingOther Inbtpf Source Molder Dwrierrftust/ Peneficiabr Full POA IntennediaryShareholderRepresentabve Donor (please of Wealth Founder ceewner ?OA (FIM) (> =25%) describe equired Foundation Non-PIC other roles entity and/or Parties (Indicate indicate related to ownership relationship this %) between account parties) Hyperion in U m 1 PI g Air, LLC la 0 0 0 0 0 0 0 2 0 0 nY Bier 0 ❑0 0 0 9 0 0 0 0 0 Jeffrey a m m 3 0 5 Epstein 1"' 5 9 0 0 • I ini SONY_GM_00039753 https://dbforcepb.my.salesforeCLINErilEIFATIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002577 EFTA_00150362 EFTA01283862 KW Prior Page 6 of 23 2. Account Owners ip Summary Account Name: 3EGE Inc Acct. Number Yana:Wei Account Manager: Paul Mont What is the purpose ot the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)' Checking account to hoed the funds necessary for the costs associated with ownirighunning one of Jeffrey Epstein's airplanes Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (indicate account number): 0 DB Group: Other Booking Center (indicate DB location and account defies): itr other Institution (Indicate name 5 location): JI"Morgan. New York .4 O Physical Deports (specify cash, scourges, cheques, ...): What is the expected it and frequency of regular Inflows and outflows few the account (inch:ate estimated number and volume per month)," Roughly 10 inflows and outflows per month ranging from $1000 to $10000 150000 'Currency I USD What is the expected volume d assets and currency for the account approx. 90 days after opening' 1100000 'Currency I uSD What is the expected volume d assets and currency for the account approx. one year after opening' DcesnvIN the client have Assets Under Management (Ault) within C6 under Eur. 3M' I yes IA No Please Ilst al parties related to the account. For each party: • Check We source of wealth description is required for the Petty. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • f non of the Check hours 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 ultimate/underlying Beneficial Owner(s). eganescnpbcn AccountPIC Settlor of Jlimate Sagnatorydnxtedtinancial Significant _egal Srantor/Settkir sounding Other .intity )(Source Holder OwnerTrust / Beneficiala Full >OA Intermedary Shareladderttepresentative Donor (please of Wealth founder of Owner ?OA ;FIM) (> =25%) describe required Foundation Non-PIC other roles artily and/or Parties (indicate ndicate related ownership elabonship to this *) between account ?mks) 1 El 2 lEGE, D O ❑ D D DI O O D Inc Jeffrey ri O O 2 O 5 Epstein L—J 0 2 O O D O O 3 O • 'la"r Bek • • O O s• ka • • O II O SDNY_GM_00039754 Imps://dbforcepb.my.salesforeC6CINEIDEgrNicliA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002578 EFTA_00I 50363 EFTA01283863 KYC Print Page 7 of 23 2. Account Ownership Summary Account Name: JEGE Inc -- Money Market Acct. Number fr ava.itabk, Account Manager: Paul Morris What Is the purposed the account (e.g. portfolio management advisory account, custody services, long-term Investment, payment/expense account)' Money account to kid the funds necessary for the costs associated well owning/running one of Jeffrey Epstein's *planes Indicate from where the assets are expected to arrive' 0 DB Group: Same Booking Center (inckate account number): 0 DB Group: Other Booking Center (Indicate DB location and account Octets): J Other Institution (Indicate name 5 locatkri): )PMorgan. New York 0 Physical Deposes (specify cash, secureies, cheques, ...): What Is the expected it and frequency of regular Inflows and outflows fa the account (ina,cate estimated number and volume per month)? Roughly 1-3 inflows and outflows per month ranging from $1000 to $10,000 1100000 ICurrency 1 USO What is the expected volume d assets and currency for the account approx. 90 days after opening' What is the expected volume of assets and currency for the account approx. one year after 1 200000 (Currency USO opening' I Does/will the client have Assets Under Management (AuM) within C13 under Eur. 311' I • yes 5 No Please fist aN parties related to the account. For each party: • Check de source of wealth descriptkm Is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • f non of the check boxes apply, describe the party' relation to the account In the 'Other column. • Airways describe the relations* between the parties In the last colunvi. • Please dril down to the ultimate/underlying Eleneficia Owner(s). _eganescnpbon AccountPIC Settlor of amate Sagnatorydnutedtinancul Significant .t gal Siantor/Settkir rounding Other .intity 3( Source Holder OwnerTrust/ Ben/Ida:tor Full PO* Intermediary Shareladderftepresentattve Donor (please / Wealth Founder of Tyner ?OA ;FIM) (> =25%) describe required Foundation Non-PIC other roles entity and/or Parties (Skate ndicate related ownership elationship to this 46) account rl 1:71 se; lEGE, 0 D 0 1 2 2 Inc 0 0 0 II 0 0 0 Jeffrey ri Do 2 ID 'a Epstein l---i ❑ 0 2 0 0 0 0 0 3 0 • HanY Bekr • • • ❑ 0 .w4 • • ❑ 0 ill I SONY_GM_00039755 https://dbforcepb.my.salesforeCCINEIDERALTAL000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0002579 EFTA 00150364 EFTA01283864 KYC Print Page 8 of 23 2. Account Ownership Summary Account Name: JEGE LLC Acct Number (i1 available) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, ustody services, long-term investment, paymentexpense account), Checking account to hold the funds necessary for the costs associated with ownirg/nmning one of Jeffrey Epstern's airplanes Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (inciate account number): 0 DB Group: Other Booking Center (indicate DB location and account deals): 2 Other Institution (Incicate name & locatkn): JPMorgan. New York • Physical Deposits (specify cash, secureies. cheques. ...): What is the expected size and frequency of regular Inflows and outflows for the account (ends.ate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 91000 to $10,000 150000 I Currency I USD What is the expected volume d assets and currency for the account approx.90 days after opening' What is the expected volume of asses and currency for the account approx. one year after opening? 1 100000 I Currency I USD Does/WIN the client have Assets Under Management (AIM) within DB under Eur. 3M? • yes 5 No Please list al parties related to the account. For each party: • Check Ile source of wealth description is required for the O&M. • Check the appropriate box to describe the relationship or the party to this account (> 1can be selected). • (nen 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 ultimate/underlying Beneficial Owner(s). _egal5escnpbon AccountPIC Senior of Ultimate Signatory_invtedpinancial Significant Legal Srantor/Setticr Sounding Cebu .inbty of Source Holder OwnerTrust/ Beneficial, Full ?OA ntermedary Shareholdercepresentative Donor (please of Wealth Founder of Owner >OA ;FIM) (>=25%) describe required Foundation Non-PIC other felled entity and/or Parties 'indicate ndicate related ownership elabonship to this %) between account ?antes) 1 O O Beier ma "coo O E O O O O O leraE, [2] O O 2 E1 2 LLC O O • O O • O Jeffry 3 0 2 e -in Epstein • 0 El 5 Il 0 E s II SDNY_GM_00039756 ht t ps://dbforcepb.my.salesforCCINBICerbadiAL000000D9DiSice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002580 EF1'A_00150365 EFTA01283865 KYC Print Page 9 of 23 2. Account Ownership Summary Account Name: JEGE LLC -- Money Market Acct. Number (if avaruhre) Account Manager: Paul Morris What Is the purposed the account (e.g. paddle management, advisory account, custody services, longterm investment, payment/expense account)", Money account to hold the funds necessary for the costs associated nth owning/running one of Jeffrey Epstern's auplanes Indicate from where the assets are expected to alive O DB Group: Same Booking Center (inchoate account number): • DB Group: Other Booking Center (indicate DB location and account ride's) J Other Institution (Indicate name & location): 3PMorgan. New York O Physical Deposits (specify cash, murales, cheques, ...): What Is the expected size and frequency of regular Inflows and oullbws for the account (ma Kate estimated number and volume per month)," Roughly 1-3 inflows and outflows per month ranging from $1000 to $L0000 I 100000 I Currency I USD What is the expected volume d assets and currency forthe account approx. 90 days after openings What is the expected volume of assets and currency for the account approx. one year after 1200000 I Currency I USD opening' Doesflnli the client have Assets Under Management (AuM) within Cl3 under Eur. 3M? • Yes 15 No Please 1St al parties related to the account. For each party: • Check Ile source of wealth description is required for the party. • Check the appropriate box to describe the relationship or the party to this account (> 1can be selected). • Inca of the check boxes apply, describe the party relation to the account in the 'Other* column. • Always descrte the relationship between the parties 'n the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). eganescripbcn AccountlC Senior of Ultimate SignatoryJnytedpmanctal Significant Legal SraMor/Setdor coundingOther .inbty of Source Holder OwnerTrust/ Beneficial, Full ?OA ntermedury Sharehcidereepresentathe Donor (please d Wealth Founder of Owner >OA ;PIM) (>=25%) describe required Foundation Non-PIC ether roles entity and/or Parties 'indicate ndicate related ownership relatornhip to this N)) account eti et)n rtives ma, E O O 1 a 0 LLC O O O O C O O 2 O E?I jeffreY Ep stein O OO a E3 • O O O O nY • • O v. wil • 3 O O Bier O • O O O SDNY_GM_00039757 Imps://dbforcepb.my.salesforcGC:tNEJIDailidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002581 EFTA_00150366 EFTA01283866 KV(' Port Page 10 of 23 2. Account Ownership Summary Account Name; Plan D, LLC Acct. Number Of avadabky. Account Manager: Paul Morris What is the purpose et the account (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense account)'' Checking account to hot the funds necessary for the costs associated with owning/ninning one of Jeffrey Epstein's airplanes Indicate from where the asset are expected to arrive> O DB Group: Same Booking Center (bnckate account number): ED DB Group: Other Booking Center (indicate DB location and account defies): itr other Institution (Indicate name & location): JPMorgan. New York .4 II Physical Deports (specify cash, secureies, cheques, ...): What Is the expected size and frequency of regular Inflows and outflows fa the account (ma sate estimated number and volume per month)," Roughly 10 nfbws and outflows per month ranging from $1000 to $L0,00 150000 ICurvency What is the expected volume d assets and currency fce the account approx. 90 days after opening? I USD 1100000 I Currency What is the expected volume d asset and currency fce the account approx. one year after opening> I DSO Does/NIN the client have Assets Under Management (AuM) within C6 under Eur. 3/1> • yes 5 No Please list al parties related to the account. For each party: • Check If source of wealth description is required for the ant. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • f none of the check bares apply, describe the party relation to the account in the 'Other' column. • Always descnbe the relationship between the parties n the last column. • Please drill down to the ultmate/undertying Beneficial Owner(s). _eganescripbal AccountPIC Settlor of Jlbrnate Sagnatorydnutedtinancul Significant .t gal GraMor/Setbor Sounding Other Entity of Source Holder OwnerTrust / Beneficiallor Full PO* Intermediary Sharetaiderftepresentathe Donor (please / Wealth Founder of Tyner ?OA :EIM) (>=25%) describe required Foundation Non-PIC other roles entity and/or Parties (indicate ndicate related ovaxrship elabonship to this *) between account ?artles) Plan D, 0 O O I 2 2 LLC O O O a O O O Jeffrey Do 74 O O O O O Epstein riL—J 9 2 O a 3 0 • HanY • • • 0 e ta • • 0 II 0 Beller SDNY_GM_00039758 hops://dbforcepb.my.salesforeCLINEICalidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002582 EFTA_00150367 EFTA01283867 KYC Print Page 11 of 23 2. Account Ownership Summary Account Name: Plan D, LLC — Money Market Acct. Number (11available. Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, bng-term Mvestment, payment/expense account)' Money Market account to hold the funds necessary for the costs associsted with owning/running one of Jeffrey Epstein's airplanes Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (Indicate account number): 0 DB Group: Other Booking Center (indicate DB location and account defies): 14 Other Institution (Indcate name & location): 3PMorgan. New York O Physical Deports (specify cash, securties, cheques, ...): What is the expected size and frequency of regular Inflows and outflows fa the account (roc cate estimated number and volume per month)? Roughly 1-3 inflows and outflows per month ranging from $1000 to $10000 What is the expected volume of assets and currency for the account approx. 90 days after 1100000 ICunency opening' I USD What is the expected volume of assets and currency for the account approx. one year after 1200000 I Currency I WO opening' Does/wiN the client have Assets Under Management (AuM) within Ce under Eur. 3M' II Yes 8 No Please list all parties related to the account. For each party: • Check We source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • f none of the check boxes apply, describe the party relation to the account In the 'Other' column. • flays descnbe the relationship between the parties b the last colony,. • Please drill down to the ultimate/underlying Beneficia Owner(s). _eganescnpben AccountPIC Settlor of Jitirnate SagnatoryLinetedtinandal Significant .t gal Grantor/Settler Sounding Other Entity )(Source Holder OnnerTrust/ Beneficiallx Full PO* Intermedary ShareladderftepresentatNe Donor (please / Wealth Founder of Tyner ?OA :FIM) (>=25%) describe required Foundation Non-PIC other roles eddy and/or Parties (indicate ndicate related ownership elabonship to this *) between account ?arks) Plan D, 0 O O I IR 2 LLC O O O • O O O Jeffrey D o 2 D 74 ❑ Epstein ri L—J 0 E;?1 O O O O O 3 O • Ha" Bekr • • O O 5 • iii O • O SONY_GM_00039759 ps://db forcepbmiy .salesforeCLINErilEaliliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002583 EFTA_00 I 50368 EFTA01283868 KYC Print Page 12 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlp Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Has dent resided outside of lite Saint James Saint Thomas 03802 US Virgin Islands his/her county of nationality Dyes ®up Address of primary residence: for 5 years or more' Profession/Occupation: Self Empolyed Tax ID / 55N: Current Employer: Southern Financial LC Polltattallae/Rank: President Address of employer: St Thomas USVI 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial n ndustry' or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles "Ye. ONO Is the individual a Politically Exposed Person (PEP)>(f res, desrnbe) ElYes 0 No To the best of your knowledge, is the individual related to an employee of the DB group>(f DFarnly OFriendship None Rini!' or Friendship, descnbe) To the best of your knowledge, is the indnidual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, suppler of goods or O Yes El No servkes)'(i• Parksarte) If applicable, indicate which bank officers have met the Indicate where and when the c rent meeting(s) took place: person: Oient Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify). Date: Domicile: Business: • • O O O O ri O O O Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source or wealth dm:kirks, as Indicated in Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Suns ante Source of Wealth: 2 Business Owner O Salary/Earnings 0 investment O Inheritance/Gate 00ther: Further Describe Source of Wealth /Detail the history of wealth or each of the somas: (e.g. For trusts, how did settlor accumulate wealth' For inheritance, how did (amity accumulate wealth?For business OWnerS, how long in business, how many employees, level of profitabilty? Indicate type of business, countries of major activities, important business partners.) Epstein bega his financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., inanagng the assets of clients with more than a billion in net worth. In 19%, Epstein changed the name of ha firm to The Financial Trust Company and based it on the island of St Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. Its wealth has come from his days at Bear Steams and hs financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): 5100 MM - 500 Mal Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to Invest with PWM(S): Other Known Financial Institutions: Institution: JOMorgan County: USA Est. Assets tMder Mgt: 230,000,000.00 SONY_GM_00039760 t t ps://dbforcepb.my.salesforcCLINEJIDLIIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002584 EFFA_00150369 EFTA01283869 KYC Print Page 13 of 23 Institution: Canby: Est Assets Under Mot: Institution: Country: Est Assets Under Mot Please mdkate the family situation of the individual (marital status, other (amity members, etc.): SONY_GM_00039761 ps://dbforcepb.my.salesforcaINEJIDrlailiAL000000D9Di&e... 7/30/2019 ht t CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002585 EFTA_00150370 EFTA01283870 KYC Print Page 14 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Harry Beier - Date of Birth: Country of Residence: USA Country of Citizenship: USA Has dent resided outside of Monsey NY 10952 USA his/her country of nationality O Yes g6 No Address of primary residence: fee S years or more/ Profession/Occupation: Accountant Tax ID / SSN: Current Empbyer: HBRK Associates, Inc POSlikePlUeiltank: Address of employer: New York NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial n ndustrr or an entity hsted on a CB-recognised exchange' (Not smokable for operating entitles ❑ Yes OS Is the individual a Politically Exposed Person (PEP)?(d Yes, describe) OYes gal No To the best of your knovAedge, is the individual related to an employee of the DS groupW OF:amity O Friendship EA None IStrub, or Friend:hp, describe) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes 10 No SCIVICtS)7(0 Yetti rkfente) If applicable, indicate which bank officers have met the Indicate where and %%hen the c ent rreebng(s) took place: person: Cient Private Client Place of Bank Officer Name(s) Bank Office: Other Location (speedy): Date: Domicile: Business: Paul Morris E1 ID R 9/13/2013 O O O LI O O O wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wean description as indkated in Section 2) Nature of the Indivlduars Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Weakli/Source of Funds' Surnmarte Source of Wealth: O Business Owner O Salary/Earnings O investmem O Inheritance/Gifts 00ther: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance, how did fanly accumulate wealth?For business owners, how long in business, how many employees, level of prolitaterty? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Incoine(S): Estimated amount d Investable assets(S): Estimated Net Worth(S): Amount of assets planned to nvest with PV/M($): Other Known Financial Institutions: Institubon: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution: Countiy. Est. Assets Under Mgt. SDNY_GM_00039762 Imps://dbforcepb.my.salesforCCINElacchtirdiA10000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002586 EFTA_00150371 EFTA01283871 KYC Print Page 15 of 23 Please indicate the family sedation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Hyperion Air, LLC • O FoundatIon/Association O Trust Ed Company O Estate -A Private Investment O Type of Entity: Purpose Of Entry: phsanthropic/Ourilable 0 O Partnenlin Committee Purpose of Entity Type d Entity Other (specify): Other (specify): Date of County of US virgin Islands 10/19/2012 incorporation / Incorporation/registrabon: registration: Volcker Status: Vokker Flag: Address (city, street, post St Thomas 00802 USVI US. TIN/EIN: code): Provide a description of the entIlYs organizational structure, its ownership structure and its Top Management. For trusts/foundations, include inforrnatko about revocabeity,settlor and benefkiaries,etc.: Single member LLC. Jeffrey Epstein is sole member/owner Please rdkate how ownership of the legal entAy is reflected: Single member U.C. Jeffrey Epstein is sole member/owner. Initial capital contribution of $1,000 from Jeffrey Easter O Special attention: Bearer Shares • Indicate where shares are custodied: Describe the chain from the Sect owner of the entity to the ultimate beneficial owner (if of me same persons) Single member U.C. Jeffrey Epstein is sole member/owner To the best of your knowledge, is the entity party to a no banking relationship with Deutsche rn Bank (e.g. external legal counsel, client referral source, supplier of goods a services)* Yes L.1 No Describe Nature of Entity's Millar/ Business and Investment Activities This is a company famed to hold funds fa the taxes and payment of one of Jeffrey Epsteln's Nature of the business: airplanes. This U.0 as formed to eventually take over payment fa Hyperion Air Inc. Pt/Perim Alt Inc will be closed within a year Countries where business is transacted: USA, USVI Number of employees: 1 3D. Wealth Prete (Only for parties rowing source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Provide Evidence of Corporate Asset (e.g. balance sheet a equivalent summary of assets/habil:les): This is a company foamed to hold funds for the taxes and pa ment of one of Jeffrey Epstein's airplanes. This LLC was formed to eventually take over payments for Hyperion Air Inc. Hyperion Air Inc will be closed within a year. Initial capital contribution of $1,000 from Jeffrey Epstein. AN funds fa this company come croon Jeffrey Epstein's source of weattu. Estimated gross receipt pa.(5): Estimated net Profit P.a. (5): Estimated investable asset (5): <51 MM Potential Amount to be Invested With PWM (5): 300,000.00 Other Known Financial Institutions: Institution: JPMorgan County: USA Est Asses Under Mgt 300,000.00 Institution: Country: Est Assets Under mgt SDNY_GM_00039763 Imps://dbforcepb.my.salesforcartaNEJIDEschiltiA14000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002587 EFTA 00150372 EFTA01283872 KYC Print Page 16 of 23 Institution: I I County: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary I Est. Assets Under Mgt 3C. Legal Entity Details (For at Legal Entitles) Legal Entty Name: Plan 0, LLC - Prrvate Investment 0 Type of Entity:: 0 Foundation/Assiziation • Trust Company El Estate purposed Entity: Philantiropic/Chantable 0 0 Partnership Commercial Purpose of Emily Type of Entity Other (specify): Other (specify): Date of Country of US Virgin Islands 10/19/2012 reincorporatk / incorporation/registration: n gistration: Vokker Status: Vokker Rag: Address (city, street, post St, Thomas 00902 USVI US. TIN/EIN: code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundabons, include nformation about rewkabdiy,setlior and beneficiaries,etc.: Single member li.C. Sole member is Jeffrey Epstein Please indicate how ownership of the legal entity is reflected: Single member LLC. Sole member is Jeffrey Epstein. Initial capital contribution of $1,000 by Jeffrey Epstein 0 Special attention: Bearer Shares • Indicate where shares are custodied: Describe the chain from the Erect owner of the entity to the ultimate beneficial owner (ifnee die same persons) Single member U.C. Sole member n Jeffrey Epstein To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)? Yes • No 0 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: I1C created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes Countries where business Is transacted: USA, USVI Number of employees: 1 3D. Wealth Profile (Only 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 WeatIVSource of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asselowilabities): 11C created to hold funds to pay for costs associated with on of Jeffrey Epsteln's planes. Initial contribution of $1,000 from Jeffrey Epstein and all source of unds cane from Jeffrey Epstein. Estimated gross receipts p.a.($): Estimated net profit p.a. (5): Estimated investable assets ($): <$1 MM Potential Amount to be invested wit PINM (5): 300,000.00 Other Known Financial Insttutions: Institution: JPMorgan Country: USA Est Assets Under Mgt: 300,000.00 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 I SONY_GM_00039764 https://dbforcepb.my.salesforeCLINErilEatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002588 EFTA_00150373 EFTA01283873 KYC Print Page 17 of 23 3C. Legal Entity Details (For a Legal Entitles) Legal Entity Name: Hyperion Mr, Inc • Private Investment im Type of Entity: a Foundation/Association O Trust RI Company ❑O Estate Purpose of Entity: Philanthropic/Charitable O ❑ Partnership 0 Commercial Purpose of Entity Type of Entity Other (specify): Other (specify): Date of Country of USA 7/18/1991 incorporation / incapxation/regkstration: registratkn: Volcker Status: Volcker Rag: Address (city, street, post St, Thomas 00802 USVI US. TIN/EIN: cede): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusbrYoundabons, include information about revoreabillY,Setikir and beneficiarksetc.: Jeffrey Epstein is President and sole owner. Please Skate how ownership of the legal entity is reflected: Jeffrey Epstein is President and sole owner. Owns 100 shares 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 (ifnot me same persons) Jeffrey Epstein is President and sole owner. To the best of your knowledge, is the entity party to a non-banithig relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or sereices)i: yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Holds funds to pay for costs associated with an airplane owned by Jeffrey Epstein. Countries where business is transacted: USA, USVIrgin Island Number of employees: 1 3D. Wealth Profile (Only 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 Wealth/Source of Funds> Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/habil:les): MI funds foe ties LLC come from contributions of the president and sole owner, Jeffrey Epstein. Estimated gross receipts p.a.(S): Estimated net profit p.a. (5): Estimated investable assets (S): <S1 MM Potential Amount to be invested with PWM (5): 300,000.00 Other Known Financial Instibtions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 300,000.00 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 Somme 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: JEGE, Inc 00000487244 Type of Entity. Pun pose of Enbty: SONY_GM_00039765 https://dbforcepb.my.salesforeCLINErilDaatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002589 EFTA_00I 50374 EFTA01283874 KYC Print Page 18 of 23 O Foundation/Assopabon O Trust & Company El Estate n Private Investment El r Lj Partnershp Philanthropic/Charitable O Commercial Purpose of Entity Type of Entity Other (specify): Other (speedy): Date Country of USA 9/7/2000 incorpof oratson / incorporation/registration: registratlen: Vokker Status: Vokker Flag: Address (city. street, post St, Thomas 00802 USVI U.S. WEIN: code): Provide a description of the en ity's organizational structure, Its ownership structure and its Top Management. For trints/YoundatIons, include information shod revocainty.settior and beneficiaries,etc.: Jeffrey Epstein is the sole owner. Please ndicate how ownership d the legal only Is reflected: Jeffrey Epstein Is the sole owner. 100 shares have been Issued. All waled by Jeffrey Epstein C.1 Special attention: Bearer Shares - Indicate where shares are custodled: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (Jena me same persons). Jeffrey Epstein Is the sole owner. 100 shares have been issued. Ail owned by Jeffrey Epstein To the best of your knowledge, is the entity party to a non-bankng relationship with Deutsche ,—, Bank (e.g. external legal counsel, client referral source, supplier of goods or services)? Yes LJ No g] Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Holds funds to pay for costs associated with an airplane owned by Jeffrey Epstein. Countries where business is transacted: USa, USVI Number of efoolnYtts: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of nonce of wealth/source of Funds' Primary industry of source of Wealth/Source d Funds' Provide Evidence of Corporate Assets (e.g. balance sheet a equivalent summary d assetsiltabities): AN corporate funds/assets cane from contribution by the sole owner, Jeffrey Epstein and his source of wealth Estimated grass receipts pa.($): Estimated net profit pa. (5): Estimated investable assets ($): .: Si MM Potentml Amount to be invested worth PWM (5). 300,000.00 Other Known Financial Institutuns: Institution 3P1Morgan Counby: USA Est. Assets Under Mgt: 300,000.00 Institution: Country': Est. Assets Under Mgt: Institution: Country: Est. Assets Under hlgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: JEGE, LLC - O Foundation/Association E.] Trust EO company O Estate Typed Entity Purpose of Entity: O Partnership SDNY_GM_00039766 https://dbforcepb.my.salesforCQUEJIDEgrhtirdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002590 EF1'A_00150375 EFTA01283875 KYC Print Page 19 of 23 Purpose of Entity Type of Entity Other (specify): Other (specify): Date of Country of USVI 10/19/2012 incorporation / incerporation/registration: tegkitation- Vokker Status: Volcker Flag: Address (city, street, post St, Thomas 00802 USVI U.S. TIN/EIN: code): Provide a description of the entity's organizational structure, Its ownership structure and As Top Management. For trusis/foundatons, include informatics, about revocabdity,setdor and beneficiaries,etc.: Single member LLC. Jeffrey Epstein is the sole member Please indicate how ownership ci the legal ditty is reflected: Single member LLC. Jeffrey Epstein is the sole member. Initial capital contribution of $1,000 by Jeffrey Epstein 0 Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the drect owner of the entity to the ultimate beneficial owner (itnot the same persons): Single member U.C. Jeffrey Epstein is the sole member To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or sentices)>: Yes IN NO 74 Describe Nature of Entity's Primary Business and Investment Activities This is a company formed to hold funds fate taxes and payments of one of Jeffrey Epstein's Nature of the business: 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 (Only for parties requiring source of wealth description as indicated in Secton 2) Primary Country of source of wealth/source of Funds' Primary Industry of source of Wealth/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary ci assets/liatdtres): Initial funding of $1,000 from sole member Jeffrey Epstein. All corporate assets come from contributions made by the sole owner Estimated gross receipts pa.($): Estimated net profit p.a. ($): Estimated investabk assets ($): <$1MM Potential Amount to be invested with PWM (5): 300000.00 Other Known Financial Insteutions: Instils:ton: JPMorgan Country: USA Est. Asset Under Mgt 300,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00039767 https://dbforcepb.my.salesforcalNErilEaTIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002591 EFTA_OOI 50376 EFTA01283876 KYC Print Page 20 of 23 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: El E ceshore Risk0 Moderate Booldng Center El NY NY/ Offshore ©High Risk illcoluellne tightnollY (Complaint Signature) • DB Employee 0 DB Managed PIC 0 06 Is Trustee/Co-Trustee 0 Bearer Shares 4. Attachments A. Type of Photo ID Provided !FA Drivers License 0 Passport ONattnal/State ID 00ther Checldist of names (Individuals and/or entitles) that were submitted for database searches is B. r 0 No attached C. Please Indicate the results of the database searches performed MK searches complete 2 Yes ONO negative results found RlYes 0 No PCR checks complete 0 yes C No negative results found yes • No OFAC checks complete 5 yes C No negative results found Oyes 121 No BIS searches complete (Lesls/Neocis, Factiva, Reuters, Dow Jones, CAB) 5 yes Dew negative results found Dyes El No Denial Orders checks complete 2 Yes 0 NO negative results found Oyes El No Martindale-Hubbell searched (Lawyers/taw Firms only) Oyes R No negative results found 0Yes • No Please summarize any negative results from the database searches Wombed above: HYPERION MR DC: No negative media No court cases HYPERION AIR LLC: No negative media No court cases JEGE INC: No negative media No court cases JEGE LLC: No negative media D. No court cases PUN D LLC: No negative media No court cases Harry Beller: Negative Media: Not our client All negative media pertains to an emiraimental microbiologist Our clients an accountant Court Cases: II: Disposed In 1967 Al other cases are not our client. The other court cases refer to a Dr. Many Biller. Our dent is an accountant Jeffrey Epstein: Previously KYCd and approved hi: and E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 2 Yes 0 No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of Rs subsidiaries a is the customer threatening erlsation against F. Deutsche Bank AG or any of Is subsidiaries? (II Yes, provide Marls *Mar and contaa' ()wifely Mgt. 0 Yes ®No (LatWIntl) or the Regulatory Contra' &ow and notify Compianceimmediatey) Does the client or related party have any financial or other association / Interactions within G. 0 Yes @ No countries a regimes sanctioned by the Office of Foreign Assets Control (OFAC)? SDNY_GM_00039768 https://dbforcepb.my.salesforcaaNErilDnEglardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SONY-0002592 EFTA_00150377 EFTA01283877 KYC Print Page 21 of 23 H. Does the client or related party have any financial or other association/ interactions within high risk 0 yes RI No countries' I. Corporate Doc urnentabon Attached (Legal Entities Only) Ed Yes O No • Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No ®Not Applicable K. If Leds/Nexis Search Results, Corporate Documents or Other Supeatrng Documentation is not 4' English, please provide an English summary of the nature/contents Oft non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries' Dyes ENO Is the account structure unusualy maples' Oyes EZ No Is there any indication the client set up a non operating company expressly O yes g No for the purpose of transfening shares to third parties' Is there any indication this could be a prohibited business relationship' Oyes k2 No Are the bearer shares Identgled subject to acceptable controls' O Yes E No SDNY_GM_00039769 Itttps://dbforcepb.my.salesforcGCNEJIDEATML000000D9DiSice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002593 EFTA_00150378 EFTA01283878 KYC Print Page 22 of 23 M. Cate Comments Created By Date Comments Brian Biggar 10/4/109:560f See KYC fir Ink and research re leer/ Epstein ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris i(Signature) 10,3/2013 Paul Morns Office Diector/Business Head: Brian M. Biggar (Signature) 10/4;2013 Bean M. Biggar Regional Office Director. (Signature) MIL Business Risk: (Signature) MIL Compliance: (Signature) Janice Rankin Janice Frankln 10/17/2013 Jacqueline Ughtbody Jacqueline Ughtbody 10/17/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager (Signature) Global Market Team Head (Signature) (GkITH)JSubi Market Team Head .(SMT11): NIL Business Risk: (Signature) MIL Compliance: (Signature) 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)(l) (CFP's) should establish and maintain business relationships only with persons who sari* our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documentedby the CIT. 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 andbeliefthe above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowed all the procedures relating to account opening as described in the PWA4Americas Procedures and the PWMGlobal KYC Policy SDNY_GM_00039770 Imps://dbforcepb.my.salesforcaINEJIDWAIL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002594 EFTA_00150379 EFTA01283879 KYC Print Page 23 of 23 (I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche Bank Americas New York SONY_GM_00039771 https://dbforcepb.my.salesforCCINtErilDaiLIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002595 EFTA_00150380 EFTA01283880