Financial record, 2013

KYC Print¶

Page 1 of 24¶

DB PWM GLOBAL KYC/NCA: PART A¶

One sheet must be established per relationship - list all accounts included in the relationship¶

1. Relationship Details¶

Relationship Name:	EPSTEIN, JEFFREY RELATIONSHIP:00000483290	Booking Center:	New York
Relationship Manager:	Paul Morris
Relationship to PWM:	□ New PWM Relationship	□ Existing PWM Relationship
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile:

How Was the Client(s) Introduced? How long has the RM personally known the client?	□ Client Referral	☑ RM Prospect	□ Intermediary/FIM	□ Other Source (CIB, etc.)
Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship?	□ Yes	☑ No
(If Yes, describe):

List all existing and new accounts involved in this relationship¶

Legal Entity Account(s)	Account Name / Number	Opening Date (intended/actual)
1	Butterfly Trust — Checking	10/9/2013
2	Butterfly Trust — Money Market	10/9/2013

| Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): | Darren Indyke | Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): | |¶

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7/30/2019¶

DB-SDNY-0002549¶

EFTA_00016023¶

EFTA00166775¶

KYC Print¶

Page 2 of 24¶

One sheet must be established for each account to be opened¶

2. Account Ownership Summary
Account Name:				Butterfly Trust -- Checking					Acct. Number (if available):
Account Manager:				Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a checking account to hold funds for the trust.
Indicate from where the assets are expected to arrive? □ DB Group: Same Booking Center (indicate account number); □ DB Group: Other Booking Center (indicate DB location and account details); ☑ Other Institution (Indicate name & location): JP Morgan, New York, NY □ Physical Deposits (specify cash, securities, cheques, ...)
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? Roughly 5-10 inflows and outflows per month ranging from $1,100 to $20,000
What is the expected volume of assets and currency for the account approx. 90 days after opening?						4,000,000.00				Currency	USD
What is the expected volume of assets and currency for the account approx. one year after opening?						5,000,000.00				Currency	USD
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3MP?						Yes No
Please list all parties related to the account. For each party: • Check if resource 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 party's relation to the account in the “Other” column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate underlying Beneficial Owner(s).
Legal Description Source of Wealth required	Parties related to this account	Account Holder	PC Owner	Seller of Trust / Founder of Foundation	Ultimate Beneficiary Owner	Separatory Full POA	Limited POA	Financial Intermediary FIM	Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %)	Legal Representative	Grantor/Settler	Founding Donor	Other please describe other roles used/or indicate relationship between partners)
1	☑	Jeff Epstein	☐	☐	☑	☐	☐	☐			☐	☐	Grantor;
2	☑	Butterfly Trust	☐	☐	☐	☐	☐	☐			☐	☐
3	☐	Richard Zahn	☐	☐	☐	☐	☐	☐			☐	☐	Trustee;
4	☐	Durren Indyke	☐	☐	☐	☐	☐	☐			☐	☐	Trustee;
5	☐		☐	☐	☐	☐	☐	☐			☐	☐	Beneficiary;
6	☐		☐	☐	☐	☐	☐	☐			☐	☐	Beneficiary;
7	☐		☐	☐	☐	☐	☐	☐			☐	☐	Beneficiary;
8	☐		☐	☐	☐	☐	☐	☐			☐	☐	Beneficiary;
9	☐	Omlame Maweil	☐	☐	☐	☐	☐	☐			☐	☐	Beneficiary;
10	☐		☐	☐	☐	☐	☐	☐			☐	☐	Beneficiary;

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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-0002550

EFTA_00016024¶

EFTA00166776¶

KYC Print¶

Page 3 of 24¶

2. Account Ownership Summary
Account Name:				Butterfly Trust – Money Market						Acct. Number (& available):
Account Manager:				Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account. To hold cash for the trust to earn interest.
Indicate from where the assets are expected to arrive? ☐ DB Group: Same Booking Center (indicate account number); ☐ DB Group: Other Booking Center (indicate DB location and account details); ☑ Other Institution (Indicate name & location): JP Morgan, New York, NY ☐ Physical Deposits (specify cash, securities, cheques, ...)
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? Roughly 1-2 inflows and outflows per month ranging from $1,000 to $10,000
What is the expected volume of assets and currency for the account approx. 90 days after opening?
What is the expected volume of assets and currency for the account approx. one year after opening?
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?
Please list all parties related to the account. For each party: • Check if sources of wealth description is required for the party. • Check the appropriate box to describe the relationship to this account (>1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the “Other” column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate underlying BeneficialOwner(s).
Legal Entity of Source of Wealth required	Description of Wealth required	Parties related to this account	Account Holder	PC Owner	Sector of Trust (Founder of Foundation)	Ultimate Beneficiary Full Owner	Signatory Full POA	Limited POA	Financial Intermediary (FIM)	Significant Shareholder (>=25%) Non-PIC笔位 (indicate ownership %)	Legal Representative	Grantor/Settler	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	☐	☑	Jeffrey Epstein	☐	☐	☑	☐	☐	☐		☐	☐	☐	Grantor;
2	☑	☑	Butterfly Trust	☐	☐	☐	☐	☐	☐		☐	☐	☐
3	☐	☐	Richard Akin	☐	☐	☐	☑	☐	☐		☐	☐	☐	Trustee;;
4	☐	☐	Darren Indykke	☐	☐	☐	☑	☐	☐		☐	☐	☐	Trustee;;
5	☐	☐		☐	☐	☐	☐	☐	☐		☐	☐	☐	Beneficiary;
6	☐	☐		☐	☐	☐	☐	☐	☐		☐	☐	☐	Beneficiary;
7	☐	☐		☐	☐	☐	☐	☐	☐		☐	☐	☐	Beneficiary;
8	☐	☐		☐	☐	☐	☐	☐	☐		☐	☐	☐	Beneficiary;
9	☐	☐	Grandeway Mawell	☐	☐	☐	☐	☐	☐		☐	☐	☐	Beneficiary;
10	☐	☐		☐	☐	☐	☐	☐	☐		☐	☐	☐	Beneficiary;

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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-000255

EFTA_00016025¶

EFTA00166777¶

KYC Print¶

Page 4 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:	Jeffrey Epstein - 00000483289			Date of Birth:		1/20/1953
Country of Residence:	USVI			Country of Citizenship:		USA
Address of primary residence:	Litte Saint James Saint Thomas 00802 US Virgin Islands			Has client resided outside of his/her country of nationality for 5 years or more?		□ Yes ✔ No
Profession/Occupation:	Self Empolyed			Tax ID / SSN:
Current Employer:	Southern Financial LLC			Position/Title/Rank:		President
Address of employer:	6100 Red Hook Quarter B3 St. Thomas USVI 00802
Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities)
Is the individual a Politically Exposed Person (PEP)? (if Yes, describe)
To the best of your knowledge, is the individual related to an employee of the DB group? (if Family or Friendship, 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, supplier of goods or services)? (if Yes, describe)
If applicable, indicate which bank officers have met the person:	Indicate where and when the client meeting(s) took place:
Bank Officer Name(s)	Bank Office:	Client Private Domicile:	Client Place of Business:	Other Location (specify):		Date:
Paul Morris	□	□	✔			9/13/2013
	□	□	□
	□	□	□

3B. Wealth Details(Only for parties requiring source of wealth description 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?
Summarize Source of Wealth:				Business Owner Salary/Earnings Investment Inheritance/Gifts Other:
Further Describe Source of Wealth/Detail the history of wealth for each of the sources:(e.g. For trusts, how did settlor accumulate wealth?For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner in 1980.In 1982, Epstein founded his own financial management firm,J.Epstein & Co.,managing the assets of clients with more than a billion in net worth.In 1996,Epstein changed the name of his 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.His wealth has come from his days at Bear Stearns and his financial management firms
Estimated Annual Income($):		10,000,000.00		Estimated amount of investable assets($):		$50 MM-100 MM
Estimated Net Worth($):		$100 MM-500 MM		Amount of assets planned to invest with PWM($):		5,000,000.00
Other Known Financial Institutions:
Institution:	JPM		Country:	USA	Est. Assets Under Mgt:		120,000,000.00
Institution:	Deutsche Bank		Country:	USA	Est. Assets Under Mgt:		70,000,000.00

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CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-000

DB-SDNY-0002552¶

EFTA_00016026¶

EFTA00166778¶

KYC Print¶

Page 5 of 24¶

Institution:		Country:		Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.)：

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CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-000

DB-SDNY-0002553¶

EFTA_00016027¶

EFTA00166779¶

KYC Print¶

Page 6 of 24¶

One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)¶

Individual’s Name:	Darren Indyke
Country of Residence:	USA
Address of primary residence:
Profession/Occupation:	Attorney
Current Employer:	Southern Financial LLC
Address of employer:	6100 Red Hook Quarter B3 Livingston USVI 00802

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities)¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe)¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, 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, supplier of goods or services)? (If Yes, describe)¶

If applicable, indicate which bank officers have met the person:¶

Bank Officer Name(s)¶

Bank Office:	Client Private domicile:	Client Place of business:	Other Location (specify):	Date:
Paul Morris	□	□	✓	9/13/2013
	□	□	□
	□	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

3B. 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?¶

Primary Industry of source of Wealth/Source of Funds?¶

Summary Source of Wealth:¶

Business Owner: ☐ Salary/Earnings: ☐ Investment: ☐ Inheritance/Gifts: ☐ Other:¶

Further Describe Source of Wealth (Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth? For business owners, how long in business, how many employees, level of profitability?) Indicate type of business, countries of major activities, important business partners.):¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: | Country: | Est. Assets Under Mgt: | Institution: | Country: | Est. Assets Under Mgt: | Institution: | Country: | Est. Assets Under Mgt: |¶

Please indicate the family situation of the individual (marital status, other family members, etc.):¶

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CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-0002554

EFTA_00016028¶

EFTA00166780¶

KYC Print¶

Page 7 of 24¶

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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-0002555
	FETA_000160

EFTA00166781¶

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:
Country of Residence:	USA
Address of primary residence:
Profession/Occupation:	Accountant
Current Employer:	Southern Financial, LLC
Address of employer:	6100 Red Hook, Quarter B3 St Thomas US Virgin Islands 00802

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities)¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe)¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, 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, supplier of goods or services)? (If Yes, describe)¶

If applicable, indicate which bank officers have met the person:¶

Bank Officer Name(s)¶

• Paul Morris
• □
• □
• □
• □

Other Location (specify):¶

• Date: 9/13/2013

Indicate where and when the client meeting(s) took place:¶

3B. 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?¶

Primary industry of source of Wealth/Source of Funds?¶

Summary Source of Wealth:¶

Business Owner: Salary/Earnings: Investment: Inheritance/Gifts: Other:¶

Further Describe Source of Wealth/Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth? For business owners, how long in business, how many employees, level of profitability?) Indicate type of business, countries of major activities, important business partners.¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Please indicate the family situation of the individual (marital status, other family members, etc.)¶

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CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-0002556

EFTA_00016030¶

EFTA00166782¶

KYC Print¶

Page 9 of 24¶

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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-0002557
	EFTA 000160

EFTA00166783¶

KYC Print¶

Page 10 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:	Ghislaine Maxwell -
Country of Residence:	Country of Citizenship:
Address of primary residence:	Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities) □ Yes ☑ No¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) □ Yes ☑ No¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe) □ Family ☑ Friendship ☑ None¶

To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (If Yes, describe) □ Yes ☑ No¶

If applicable, indicate which bank officers have met the person:¶

Bank Officer Name(s)	Bank Office:	Client Private Domestic:	Client Place of Business:	Other Location (specify):	Date:
	□	□	□
	□	□	□
	□	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

3B. 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?¶

Primary industry of source of Wealth/Source of Funds?¶

Summarize Source of Wealth:¶

Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

Further Describe Source of Wealth / Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth? For business owners, how long in business, how many employees, level of profitability?) Indicate type of business, countries of major activities, important business partners.¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Please indicate the family situation of the individual (marital status, other family members, etc.):¶

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CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-000

DB-SDNY-0002558¶

EFTA_00016032¶

EFTA00166784¶

KYC Print¶

Page 11 of 24¶

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CONFIDENTIAL- PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-0002559
	FETA. 000160

EFTA00166785¶

KYC Print¶

Page 12 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:	Date of Birth:
Country of Residence:	Country of Citizenship:
Address of primary residence:	Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognized exchange? (Not applicable for operating entities) □ Yes ☑ No¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) □ Yes ☑ No¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe) □ Family ☑ Friendship ☑ None¶

To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (If Yes, describe) □ Yes ☑ No¶

If applicable, indicate which bank officers have met the person:¶

Bank Officer Name(s)	Bank Office:	Client Private domicile:	Client Place of business:	Other Location (specify):	Date:
	□	□	□
	□	□	□
	□	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

3B. 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?¶

Primary industry of source of Wealth/Source of Funds?¶

Summary Source of Wealth:¶

Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

Further Describe Source of Wealth / Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth? For business owners, how long in business, how many employees, level of profitability?) Indicate type of business, countries of major activities, important business partners.¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Please indicate the family situation of the individual (marital status, other family members, etc.)：¶

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CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-000

DB-SDNY-0002560¶

EFTA_00016034¶

EFTA00166786¶

KYC Print¶

Page 13 of 24¶

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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-0002561
	FETA_000160

EFTA00166787¶

KYC Print¶

Page 14 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:	Date of Birth:
Country of Residence:	Country of Citizenship:
Address of primary residence:	Has client resided outside of haier country of nationality for 5 years or more?
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognized exchange? (Not applicable for operating entities)¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe)¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe)¶

To the best of your knowledge, is the individual party to a non-banking relationship with Databache Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (If Yes, describe)¶

If applicable, indicate which bank officers have met the person:¶

Bank Officer Name(s)	Bank Office:	Client Private domicile:	Client Place of business:	Other Location (specify):	Date:
	□	□	□
	□	□	□
	□	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

3B. 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?¶

Primary industry of source of Wealth/Source of Funds?¶

Summary Source of Wealth:¶

Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

Further Describe Source of Wealth/Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth? For business owners, how long in business, how many employees, level of profitability?) Indicate type of business, countries of major activities, important business partners.¶

Estimated Annual Income($): | Estimated amount of investable assets($): | Estimated Net Worth($): | Amount of assets planned to invest with PWM($): |¶

Other Known Financial Institutions:¶

Institution: | Country: | Est. Assets Under Mgt: | Institution: | Country: | Est. Assets Under Mgt: | Institution: | Country: | Est. Assets Under Mgt: |¶

Please indicate the family situation of the individual (marital status, other family members, etc.)¶

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CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-000

DB-SDNY-0002562¶

EFTA_00016036¶

EFTA00166788¶

KYC Print¶

Page 15 of 24¶

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)¶

Individual’s Name:	Date of Birth:
Country of Residence:	Country of Citizenship:
Address of primary residence:	Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognized exchange? (Not applicable for operating entities) □ Yes ☑ No¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) □ Yes ☑ No¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe) □ Family ☑ Friendship ☑ None¶

To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (If Yes, describe) □ Yes ☑ No¶

If applicable, indicate which bank officers have met the person:¶

Bank Officer Name(s)	Bank Office:	Client Private Donoricie:	Client Place of Business:	Other Location (specify):	Date:
	□	□	□
	□	□	□
	□	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

3B. 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?¶

Primary industry of source of Wealth/Source of Funds?¶

Summary Source of Wealth:¶

Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

Further Describe Source of Wealth / Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth? For business owners, how long in business, how many employees, level of profitability?) Indicate type of business, countries of major activities, important business partners.¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Please indicate the family situation of the individual (marital status, other family members, etc.):¶

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)¶

Individual’s Name:	Date of Birth:
Country of Residence:	Country of Citizenship:
Address of primary residence:	Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognized exchange? (Not applicable for operating entities) □ Yes ☑ No¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) □ Yes ☑ No¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe) □ Family ☑ Friendship ☑ None¶

To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (If Yes, describe) □ Yes ☑ No¶

If applicable, indicate which bank officers have met the person:¶

Bank Officer Name(s)	Bank Office:	Client Private Donoricie:	Client Place of Business:	Other Location (specify):	Date:
	□	□	□
	□	□	□
	□	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

3B. 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?¶

Primary industry of source of Wealth/Source of Funds?¶

Summary Source of Wealth:¶

Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

Further Describe Source of Wealth/Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth? For business owners, how long in business, how many employees, level of profitability?) Indicate type of business, countries of major activities, important business partners.¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Institution: Country: Est. Assets Under Mgt:¶

Please indicate the family situation of the individual (marital status, other family members, etc.)¶

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	EFTA_0001604

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)¶

Individual’s Name:	Date of Birth:
Country of Residence:	Country of Citizenship:
Address of primary residence:	Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognized exchange? (Not applicable for operating entities)¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe)¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, 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, supplier of goods or services)? (If Yes, describe)¶

If applicable, indicate which bank officers have met the person:¶

Bank Officer Name(s)	Bank Office:	Client Private Donorile:	Client Place of Business:	Other Location (specify):	Date:
	□	□	□
	□	□	□
	□	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

3B. 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?¶

Primary Industry of source of Wealth/Source of Funds?¶

Summarize Source of Wealth:¶

Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

Partly Describe Source of Wealth (Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth? For business owners, how long in business, how many employees, level of profitability?) Indicate type of business, countries of major activities, important business partners.)¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: | Country: | Est. Assets Under Mgt: | Institution: | Country: | Est. Assets Under Mgt: | Institution: | Country: | Est. Assets Under Mgt: |¶

Please indicate the family situation of the individual (marital status, other family members, etc.):¶

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DB-SDNY-0002568¶

EFTA_00016042¶

EFTA00166794¶

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3C. Legal Entity Details(For all Legal Entities)
Legal Entity Name:	Butterfly Trust - 00000486426
Type of Entity:	Foundation/Association√TrustCompanyEstatePartnership	Purpose of Entity:	Private InvestmentPhilanthropic/CharitableCommercial
Type of Entity Other(specify):			Purpose of EntityOther(specify):
Country of incorporation/registration:	USA		Date of incorporation/ registration:	12/27/2006
Volcker Status:			Volcker Flag:
Address(city, street, post code):	6100 Red Hook Quarter B3 St, Thomas 00802 USVI		U.S.TIN/EIN:	26-6639711
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability, settor and beneficiaries, etc.Grantor: Jeffrey EpsteinTrustees:Darren K. Indyke, Richard Kahn
Please indicate how ownership of the legal entity is reflected: Grantor: Jeffrey EpsteinTrustees:Darren K. Indyke, Richard KahnSpecial attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same persons): Grantor: Jeffrey EpsteinTrustees: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, supplier of goods or services)?YesNo
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 employees:		N/A

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/liabilities):Trust account with Jeffrey Epstein as Grantor.Initial $100 given to the account to fund.The funds for this trust account come from investments made by Jeffrey Epstein.His wealth profile is filled out.The trust is for the benefit of the 6 named individuals
Estimated gross receipts p.a.($):
Estimated net profit p.a.($):
Estimated investable assets($):			$5MM-10MM
Potential Amount to be invested with PWM($):			4,500,000.00
Other Known Financial Institutions:
Institution:	JPMorgan	Country:		USA	Est. Assets Under Mgt:	4,500,000.00
Institution:		Country:			Est. Assets Under Mgt:
Institution:		Country:			Est. Assets Under Mgt:

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DB PWM GLOBAL KYC/NCA: US/LatAm/Int’l PART¶

Relationship Name	EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking Center	NY	NY/Offshore	Offshore		Moderate Risk	High Risk	Andrew Kisz
(Compliance Signature)
DB Employee	DB Managed PIC			DB is Trustee/Co-Trustee				Bearer Shares

4. Attachments¶

A. Type of Photo ID Provided ☑ Drivers License ☑ Passport □ National/State ID □ Other¶

Checklist of names (individuals and/or entities) that were submitted for database searches is attached ☐ Yes □ No¶

C. Please indicate the results of the database searches performed¶

RDC searches complete ☑ Yes □ No negative results found ☑ Yes □ No¶

PCR checks complete ☑ Yes □ No negative results found ☑ Yes □ No¶

OFAC checks complete ☑ Yes □ No negative results found ☑ Yes □ No¶

BIS searches complete [Lexis/Nexis, Factiva, Reuters, Dow Jones] ☑ Yes □ No negative results found ☑ Yes □ No¶

Denial Orders checks complete ☑ Yes □ No negative results found ☑ Yes □ No¶

Martindale-Hubbell searched (Lawyers/Law Firms only) ☑ Yes □ No negative results found ☑ Yes □ No¶

Please summarize any negative results from the database searches indicated above: BUTTERFLY TRUST: Negative Media: All negative media pertains to a company called the Butterfly Trust 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 pertain to “Butterfly Trust”. It is only cited because the words “butterfly” and “trust” are next to each other.¶

Court Cases:¶

1. This is study material for a law class. The Butterfly Trust mentioned in this is not our client

JEFFREY EPSTEIN: Previously approved KYC #:01082293 & 01121718¶

DARREN INDYKE: No Negative Media No Court Cases KYC Approved: #113377¶

RICHARD KAHN: See attached clearance from AML¶

D. Approved KYC: #01082293 and 113377¶

GHISLAINE MAXWELL: No PCR or RDC alerts¶

No PCR or RDC alerts¶

No PCR or RDC alerts¶

Attached AML Clearance¶

Attached AML Clearance¶

No PCR or RDC Alert¶

E. To the best of your knowledge, has the client ever been convicted of a criminal offense? ☑ Yes □ No¶

F. To the best of your 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 litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mot.)¶

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(LabAm/Int1) or the Regulatory Control Group and notify Compliance immediately)
G.	Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Yes No
H.	Does the client or related party have any financial or other association/ interactions within high risk countries? Yes No
I.	Corporate Documentation Attached (Legal Entities Only) Yes No Not Applicable
J.	Undisclosed Principal Form Complete (Intermediaries Only) Yes No Not Applicable
K.	If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation:
L.	Special Risk Factors
	Does the account have Nexus to Special Risk Countries? Yes No
	Is the account structure unusually complex? Yes No
	Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? Yes No
	Is there any indication this could be a prohibited business relationship? Yes No
	Are the bearer shares identified subject to acceptable controls? Yes No

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M. Case Comments
No records to display.
ONSHORE APPROVALS
Client Facing Professional(CFP):	Paul Morris	(Signature) Paul Morris	10/2/2013
Office Director/Business Head:	Brian M. Biggar	(Signature) Brian M. Biggar	10/3/2013
Regional Office Director:		(Signature)
AML Business Risk:		(Signature)
AML Compliance:	Jacqueline Lightbody Andrew Kisz	(Signature)	1/23/20141/23/2014
		Jacqueline Lightbody
		Andrew Kisz

LATAM/INTERNATIONAL APPROVALS
Client Facing Professional(CFP):		(Signature)
Account Manager:		(Signature)
Global Market Team Head(GMTH)/Sub-Market Team Head(SMTH):		(Signature)
AML Business Risk:		(Signature)
AML Compliance:		(Signature)

PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(1) (CFP’s) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP’s to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis.¶

DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy¶

(1) Client Facing Professionals (CFP’s) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc.¶

Deutsche Bank Americas New York¶

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