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Financial record · 2017

Financial record, 2017

KYC Print

Page 1 of 16

DB PWM GLOBAL KYC/NCA: PART A

1. Relationship Details

Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP: Booking Center: New York

Relationship Manager: Stewart Oldfield

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:

  • [☑] Client Referral
  • [☐] RM Prospect
  • [☐] Intermediary/FIM
  • [☐] Other Source (CIB, etc.)

Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein (President of Gratitude America) is a current client of the bank. He and Darren Indyke reached out to Stew Oldfield on 12/23/2016 to open a checking account for its newest entity, Prytanee LLC.

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 / NumberOpening Date (intended/actual)
1Prytanee, LLC - Deposit1/6/2017

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.)

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e.. CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)

7/30/2019

DB-SDNY-0002833

EFTA_00016307

EFTA00167059

KYC Print

Page 2 of 16

One sheet must be established for each account to be opened

2. Account Ownership Summary
Account Name:Pytanee, LLC - DepositAcct. Number (if available)
Account Manager:stewart oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? the purpose of this account is to manage the monthly expenses of the company
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):
☐ 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)? 0-5 inflows/outflows between 100k to 500k on a monthly basis.
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? ☐ Yes ✓ No
Please list all parties related to the account.
For each party
• Check if source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other' column.
• Always describe the relationship between the parties in the last column.
• Please drift down to the ultimate/underly Beneficial Owner(s).
1✓✓Pytanee, LLCAccount HolderPIC OwnerSector of Trust Founder FoundationUltimate Beneficiary OwnerSignatory for Full POALimited POAFinancial Intermediator (FIM)Significant Shareholder (e=25%) Non-PIC entity (indicate ownership %)Legal RepresentativeGrantor/Settle DonorFounding DonorOther (please describe other roles and/or indicate relationship between parties)
2✓✓Southern Trust Company, Inc.Parties related to this account✓✓✓✓✓✓50✓✓✓
3✓✓The Pierre TrustParties related to this account✓✓✓✓✓50✓✓✓
4✓✓Jeffrey EpsteinParties related to this account✓✓✓✓✓✓✓✓✓sole shareholder of Southern Trust Company, Inc./UBO of Southern Trust Company, Inc., owns 50% of account holder;
5✓✓Darren IndykParties related to this account✓✓✓✓✓✓✓✓✓
6✓✓Caroline Sophie Camille LangParties related to this account✓✓✓✓✓✓✓✓✓Grantor/Trustee of The Pierre Trust/Granttee of The Pierre Trust which owns 50% of the account holder;
7✓✓Etienne Pierre Beau BruntParties related to this account✓✓✓✓✓✓✓✓✓

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/30/2019 CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-000283

EFTA_00016308

EFTA00167060

KYC Print

Page 3 of 16

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...7/30/2019
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)DB-SDNY-0002835

7/30/2019 DB-SDNY-0002835 EFTA_00016309

EFTA00167061

KYC Print

Page 4 of 16

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
Country of Residence:USVI
Address of primary residence:Lille Saint James Saint Thomas 00802
Profession/Occupation:Self Employed
Current Employer:Southern Financial LLC
Address of employer:6100 Red Hook Quarter B3 St. Thomas United States 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-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 domicile:Client Place of Business:Other Location (specify):Date:
□□□□□
□□□□□

Partly Describe Source of Wealth (Detail the history of wealth for each of the sources (e.g., for trusts, how did senior accumulate wealth)? For inheritance, how did family 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 S. Thomas in the US. Wipin Bahre, 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($): $500 MM + Amount of assets planned to invest with IWM($):

Other Known Financial Institutions:

Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...7/30/2019
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)DB-SDNY-0002836

EFTA_00016310

EFTA00167062

KYC Print

Page 5 of 16

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

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)DB-SDNY-0002837

7/30/2019 DB-SDNY-0002837 EFTA_00016311

EFTA00167063

KYC Print

Page 6 of 16

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 IndykkeDate of Birth:
Country of Residence:USACountry of Citizenship: USA
Address of primary residence:Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:LawyerTax ID / SSN:
Current Employer:Southern Financial LLCPosition/Title/Rank:

Address of employer: 575 Lexington Ave, 4th Fl Livingston NY United States 10022

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)

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

Bank Officer Name(s) | Bank Office: | Client Private Donoric: | Client Place of Business: | Other Location (specify): | Date: stewart oldfield | ✓ | □ | □ | | 12/23/2016 | □ | □ | □ | | | □ | □ | □ | |

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.

Partner 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 PWN($):

Other Known Financial Institutions:

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

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

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...7/30/2019
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)DB-SDNY-00

DB-SDNY-0002838

EFTA_00016312

EFTA00167064

KYC Print

Page 7 of 16

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...7/30/2019
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)DB-SDNY-0002839

7/30/2019 DB-SDNY-0002839 EFTA_00016313

EFTA00167065

KYC Print

Page 8 of 16

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

3A. Individual Details (for all parties)

Individual’s Name:

Caroline Sophie Camille Lang

Country of Residence:

France

Address of primary residence:

[ ] [ ]

Profession/Occupation:

Contemporary Art

Current Employer:

Sothelys

Address of employer:

United States

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

☐ Yes ☐ No

Is the individual a Politically Exposed Person (PEEP)? (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 Donate:Client Place of Business:Other Location (specify):Date:
Sweetland, important business partners. The source of wealth for Caroline Lang derives from her employment at Chaims of Goffey’s Switzerland. Caroline Lang is internationally recognized for her in-depth knowledge of the art market and her longstanding expertise in Impressionism, Modern and Contemporary art. Appointed Chairman of the Swiss Department of Impressionism, Modem & Contemporary Art in 2012, this consummate polygraph has advised some of the most important collectors of Switzerland and worldwide. In November 2011, she played a decisive role in the New York sale of Antozios Ferreira, an exceptional private collection of abstract works by Gerhard Richter and Max Emr which realized a world auction record for a work by Richter at the time. Caroline Lang has also conducted major marathon auctions in Switzerland, the UK and Germany, including the historic week-long sales of artwork from Moorpeos Castle in Ludwigburg in 2000 and the Royal House of Hanover in 2005. Ms. Lang also serves as an executive for Warmer Brothers Inc., her annual income is approx. 450k.
Summarte Source of Wealth:Business OwnerSalary/EarningsInvestmentInheritance/GiftsOther:

3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)

Nature of the Individual’s Business:

Attorney

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 was business, how many employees, level of profitability? Indicate type of business, countries of major cities, important business partners. The source of wealth for Caroline Lang derives from her employment at Chaims of Goffey’s Switzerland. Caroline Lang is internationally recognized for her in-depth knowledge of the art market and her longstanding expertise in Impressionism, Modern and Contemporary art. Appointed Chairman of the Swiss Department of Impressionism, Modem & Contemporary Art in 2012, this consummate polygraph has advised some of the most important collectors of Switzerland and worldwide. In November 2011, she played a decisive role in the New York sale of Antozios Ferreira, an exceptional private collection of abstract works by Gerhard Richter and Max Emr which realized a world auction record for a work by Richter at the time. Caroline Lang has also conducted major marathon auctions in Switzerland, the UK and Germany, including the historic week-long sales of artwork from Moorpeos Castle in Ludwigburg in 2000 and the Royal House of Hanover in 2005. Ms. Lang also serves as an executive for Warmer Brothers Inc., her annual income is approx. 450k.

Estimated Annual Income($):

450,000.00

Estimated Net Worth($):

$1 MM - 2 MM

Other known Financial Institutions:
  • Institution: Country: Est. Assets Under Mgt.
  • Institution: Country: Est. Assets Under Mgt.
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...7/30/2019
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)DB-SDNY-00028

EFTA_00016314

EFTA00167066

KYC Print

Page 9 of 16

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

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)

7/30/2019

DB-SDNY-0002841

EFTA_00016315

EFTA00167067

KYC Print

Page 10 of 16

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:Etienne Pierre Jean BinantDate of Birth:
Country of Residence:FranceCountry of Citizenship:
Address of primary residence:Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:FinanceTax ID / SSN:
Current Employer:Prytanee LLCPosition/Title/Rank:
Address of employer:6100 Red Hook Quarter B3 SK ThomasUSVI United States
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:Indicate where and when the client meeting(s) took place:
Bank Officer Name(s)Bank Office: Client Private Donoric: 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:

Partner 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($):Amount of assets planned to invest with PWN($):

Other Known Financial Institutions:

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

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

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...7/30/2019
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)DB-SDNY-00028

EFTA_00016316

EFTA00167068

KYC Print

Page 11 of 16

One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary

3C. Legal Entity Details(For all Legal Entities)
Legal Entity Name:Prytanee, LLC
Type of Entity:Foundation/Association Trust Company Estate PartnershipPurpose of Entity:Private Investment Philanthropic/Charitable Commercial
Type of Entity Other(specify):LLCPurpose of Entity Other(specify):
Country of incorporation/registration:USVIDate of incorporation/registration:7/22/2016
Volker Status:Determination RequiredVolker Flag:No
Address(city, street, post code):6100 Red Hook Quarter B3 St Thomas 00802 United StatesU.S. TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlement and beneficiaries,etc. This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork.

The signatories on this account will be: Jeffrey Epstein Darren Indykke Caroline Lang Etienne Binant

Please indicate how ownership of the legal entity is reflected: LLC Agreement

Special 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). This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork.

The signatories on this account will be: Jeffrey Epstein Darren Indykke Caroline Lang Etienne Binant

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

Describe Nature of Entity’s Primary Business and Investment Activities
Nature of the business:Investment in artwork of up and coming artists
Countries where business is transacted:USVI;Global
Number of employees:3+

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):The source of wealth for this entity primarily comes from Jeffrey Epstein and Caroline Lang.Please revert to their individual sources of wealth for more details.
Estimated gross receipts p.a.( $ ):1,000,000.00
Estimated net profit p.a.( $ ):1,000,000.00
Estimated investable assets( $ ):$1MM-2MM
Potential Amount to be invested with PWM( $ ):
Other Known Financial Institutions:
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...7/30/2019
CONFIDENTIAL-PURSUANT TO FED.R.CRIM.P.6(e)DB-SDNY-0002

DB-SDNY-0002843

EFTA_00016317

EFTA00167069

KYC Print

Page 12 of 16

Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
3C. Legal Entity Details(For all Legal Entities)
Legal Entity Name:Southern Trust Company, Inc.
Type of Entity:Foundation/Association Trust Company Estate PartnershipPurpose of Entity:Private Investment Philanthropic/Charitable Commercial
Type of Entity Other(specify):Purpose of Entity Other(specify):
Country of Incorporation/registration:US Virgin IslandsDate of incorporation/ registration:11/18/2011
Volker Status:Determination RequiredVolker Flag:No
Address(city, street, post code):6100 Red Hook Quarter B3 St Thomas, USVI 00802 United StatesU.S. TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability, settlor and beneficiaries, etc.Jeffrey Epstein is the sole shareholder of Southern Trust
Please indicate how ownership of the legal entity is reflected:
Special 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):Jeffrey Epstein is the sole shareholder of Southern Trust
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:Consult and invest client funds and gain revenue based on fees and returns
Countries where business is transacted:US Virgin Islands
Number of employees:4
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): Consulting Services relying on Financial and Biomedical algorithms.Southern Trust is a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments.Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets
Estimated gross receipts p.a($):2,000,000.00
Estimated net profit p.a($):1,500,000.00
Estimated investable assets($):$2MM-5MM
Potential Amount to be invested with PWM($):
Other Known Financial Institutions:
Institution:dbCountry:usaEst. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:

3C. Legal Entity Details (For all Legal Entities)

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...7/30/2019
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)DB-SDNY-0002844

EFTA_00016318

EFTA00167070

KYC Print

Page 13 of 16

Legal Entity Name:The Pierre Trust -
Type of Entity:☐ Foundation/Association ☑ Trust ☐ Company ☐ Estate ☐ PartnershipPurpose of Entity:☑ Private Investment ☐ Philantribic/Charitable ☐ Commercial
Type of Entity Other (specify):Purpose of Entity Other (specify):
Country of incorporation/registration:USVIDate of incorporation / registration:
Volker Status:Determination RequiredVolker Flag:
Address (city, street, post code):U.S. TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability, settler and beneficiaries, etc.:
Grantor/trustee/beneficiary: Caroline Lang residing at
Caroline Lang is beneficiary during her lifetime. Upon her death, her children become the beneficiaries and both residing at
Please indicate how ownership of the legal entity is reflected: trust agreement
☐ Special 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/trustee/beneficiary: Caroline Lang residing at
Caroline Lang is beneficiary during her lifetime. Upon her death, her children become the beneficiaries and both residing at
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)?
Describe Nature of Entity & Primary Business and Investment Activities
Nature of the business:trust
Countries where business is transacted:USVI,Global
Number of employees:0

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)

7/30/2019

DB-SDNY-0002845

EFTA_00016319

EFTA00167071

KYC Print

Page 14 of 16

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

Relationship NameSOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
Booking CenterNYNY/OffshoreOffshoreModerate RiskHigh RiskYoonsun Chung
(Compliance Signature)
DB EmployeeDB Managed PICDB is Trustee/Co-TrusteeBearer Shares
(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
B.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 ☐Nonegative results found ☐Yes ☐No
PCR checks complete☐Yes ☐Nonegative results found ☐Yes ☐No
OFAC checks complete☐Yes ☐Nonegative results found ☐Yes ☐No
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B)☐Yes ☐Nonegative results found ☐Yes ☐No
Denial Orders checks complete☐Yes ☐Nonegative results found ☐Yes ☐No
Martindale-Hubbell searched (Lawyers/Law Firms only)☐Yes ☐Nonegative results found ☐Yes ☐No
D.Please summarize any negative results from the database searches indicated above:
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 Mgt. (LabAm/Intl) or the Regulatory Control Group and notify Compliance immediately)☐Yes ☐No
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/content 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
Created ByDateComments
Cynthia Rodriguez1/10/117 1:12 PMSouthern Trust Company is an existing client at DB. Their entity documents can be found in previously approved case 01082293.
Cynthia Rodriguez1/10/117 1:01 PMThe Pierre Trust was incorporated in USVI but the grantor/trustee/bene is a foreign national. Therefore there is no tax ID.
Cynthia Rodriguez1/18/117 4:59 PMPer DB internal tax team, the Pierre Trust would not require a tax ID because this trust has a foreign grantor owner. See attached email from Rich Iarossi.
Cynthia Rodriguez1/10/117 12:04 AMRecent research for Darren Indyke and Jeffrey Epstein can be found in case 01651789.
Cynthia Rodriguez1/10/117 1:03 PMResolution for signing authority has been attached.
Cynthia Rodriguez1/10/117 3:55 PMSee attached response from Darren Indyke regarding the TIN on the trust.
ONSHORE APPROVALS
Client Facing Professional(CFP):terri sohrab(Signature)terri sohrab1/6/2017
Office Director/Business Head:Armen Brash(Signature)Armen Brash1/6/2017
Regional Office Director:(Signature)
AML Business Risk:(Signature)
AML Compliance:Gwen Hill(Signature)1/19/2017
Gwen Hill
Yoonsun ChungYoonsun Chung1/19/2017
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

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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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