| 3B. Wealth Details(Only for parties requiring source of wealth description as indicated in Section 2) |
| Nature of the Individual's Business: | Homemaker.Solely relies on income from her wife who is a Interior Designer. |
| Primary Country of source of wealth/source of Funds? | United States |
| Primary industry of source of Wealth/Source of Funds? | Other |
| 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.) |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000047
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018921
EFTA00168668
KYC Print
Page 7 of 43
| 3A. Individual Details(for all parties) |
| Individual's Name: | | Date of Birth: | |
| Country of Residence: | United States | Country of Citizenship: | |
| Address of primary residence: | | Has client resided outside of his/her country of nationality for 5 years or more? | Yes No |
| 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)N/A | Yes No |
| To the best of your knowledge,is the individual related to an employee of the DB group?(if Family or Friendship,describe)N/A | 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)N/A | 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 Domicile: | Client Place of Business: | Other Location(specify): Date: |
| Stewart Oldfield | □ | □ | ✓ | | 6/23/2017 |
| □ | □ | □ | | |
| □ | □ | □ | | |
| 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? | United States |
| Primary industry of source of Wealth/Source of Funds? | Other |
| 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.) annual income is approximately $150k with salary,bonus,and commissions. |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000049
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018923
EFTA00168670
KYC Print
Page 9 of 43
| Wealth Details for this individual are not filled in, because they are the same as for the following person: |
| 3B. Wealth Details(Only for parties requiring source of wealth description as indicated in Section 2) |
| Nature of the Individual's Business: | |
| Primary Country of source of wealth/source of Funds? | |
| Primary industry of source of Wealth/Source of Funds? | |
| Summarize Source of Wealth: | □Business Owner □Salary/Earnings □Investment □Inheritance/Gifts □Other: |
| Further Describe Source of Wealth /Detail the history of wealth for each of the sources:(e.g.For trusts,how did settlor accumulate wealth?For inheritance,how did family accumulate wealth?For business owners,how long in business,how many employees,level of profitability?Indicate type of business,countries of major activities,important business partners.) |
| Estimated Annual Income($): | | Estimated amount of investable assets($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000053
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018927
EFTA00168674
KYC Print
Page 13 of 43
| Wealth Details for this individual are not filled in, because they are the same as for the following person: |
| 3B. Wealth Details(Only for parties requiring source of wealth description as indicated in Section 2) |
| Nature of the Individual's Business: | |
| Primary Country of source of wealth/source of Funds? | |
| Primary industry of source of Wealth/Source of Funds? | |
| Summarize Source of Wealth: | □Business Owner □Salary/Earnings □Investment □Inheritance/Gifts □Other: |
| Further Describe Source of Wealth /Detail the history of wealth for each of the sources:(e.g.For trusts,how did settlor accumulate wealth?For inheritance,how did family accumulate wealth?For business owners,how long in business,how many employees,level of profitability?Indicate type of business,countries of major activities,important business partners.) |
| Estimated Annual Income($): | | Estimated amount of investable assets($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000055
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&eid=5000e00001N... 7/10/2019
| EFTA_00018929 |
| :--- | :--- |
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text "EFTA_00018929".
EFTA00168676
KYC Print
Page 15 of 43
| 3A. Individual Details(for all parties) |
| Individual's Name: | | Date of Birth: | |
| Country of Residence: | United States | Country of Citizenship: | |
| Address of primary residence: | | Has client resided outside of his/her country of nationality for 5 years or more? | Yes No |
| Profession/Occupation: | N/A | Tax ID / SSN: | |
| Current Employer: | N/A | Position/Title/Rank: | N/A |
| Address of employer: | N/A |
| 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) N/A | Yes No |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe) N/A | 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) N/A | 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 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? | |
| 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($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000057
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018931
EFTA00168678
KYC Print
Page 17 of 43
| 3A. Individual Details(for all parties) |
| Individual's Name: | | Date of Birth: | |
| Country of Residence: | United States | Country of Citizenship: | |
| Address of primary residence: | | Has client resided outside of his/her country of nationality for 5 years or more? | Yes No |
| Profession/Occupation: | N/A | Tax ID / SSN: | |
| Current Employer: | N/A | Position/Title/Rank: | N/A |
| Address of employer: | N/A |
| 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) N/A | Yes No |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe) N/A | 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) N/A | 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 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? | |
| 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($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000059
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019
| EFTA_00018933 |
| :--- | :--- |
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.
EFTA00168680
KYC Print
Page 19 of 43
| 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? | Yes No |
| Profession/Occupation: | N/A | Tax ID / SSN: | |
| Current Employer: | N/A | Position/Title/Rank: | N/A |
| Address of employer: | N/A |
| 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) N/A | Yes No |
| To the best of your knowledge,is the individual related to an employee of the DB group?(if Family or Friendship,describe) N/A | 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) N/A | 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 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? | |
| 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($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000061
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019
| EFTA_00018935 |
| :--- | :--- |
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.
EFTA00168682
KYC Print
Page 21 of 43
| 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? | Yes No |
| Profession/Occupation: | N/A | Tax ID / SSN: | |
| Current Employer: | N/A | Position/Title/Rank: | N/A |
| Address of employer: | N/A |
| 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) N/A |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship,describe) N/A |
| 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) N/A |
| 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: |
| □ | □ | □ | |
| □ | □ | □ | |
| □ | □ | □ | |
| 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($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000063
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&eid=5000e00001N... 7/10/2019
| EFTA_00018937 |
| :--- | :--- |
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.
EFTA00168684
KYC Print
Page 23 of 43
| Wealth Details for this individual are not filled in, because they are the same as for the following person: |
| 3B. Wealth Details(Only for parties requiring source of wealth description as indicated in Section 2) |
| Nature of the Individual's Business: | |
| Primary Country of source of wealth/source of Funds? | |
| Primary industry of source of Wealth/Source of Funds? | |
| Summarize Source of Wealth: | □Business Owner □Salary/Earnings □Investment □Inheritance/Gifts □Other: |
| Further Describe Source of Wealth/Detail the history of wealth for each of the sources:(e.g.For trusts,how did settlor accumulate wealth?For inheritance,how did family accumulate wealth?For business owners,how long in business,how many employees,level of profitability?Indicate type of business,countries of major activities,important business partners.) |
| Estimated Annual Income($): | | Estimated amount of investable assets($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000065
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018939
EFTA00168686
KYC Print
Page 25 of 43
| 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? | Yes No |
| Profession/Occupation: | N/A | Tax ID / SSN: | |
| Current Employer: | N/A | Position/Title/Rank: | N/A |
| Address of employer: | N/A |
| 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) N/A |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship,describe) N/A |
| 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) N/A |
| 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? | |
| 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($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000067
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018941
EFTA00168688
KYC Print
Page 27 of 43
| 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? | Yes No |
| Profession/Occupation: | N/A | Tax ID / SSN: | |
| Current Employer: | N/A | Position/Title/Rank: | N/A |
| Address of employer: | N/A |
| 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) N/A |
| To the best of your knowledge,is the individual related to an employee of the DB group?(if Family or Friendship,describe) N/A |
| 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) N/A |
| 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: |
| □ | □ | □ | |
| □ | □ | □ | |
| □ | □ | □ | |
| 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($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000069
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019
| EFTA_00018943 |
| :--- | :--- |
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.
EFTA00168690
KYC Print
Page 29 of 43
| 3A. Individual Details(for all parties) |
| Individual's Name: | Darren K. Indyke | Date of Birth: | |
| Country of Residence: | United States | Country of Citizenship: | United States |
| Address of primary residence: | | Has client resided outside of his/her country of nationality for 5 years or more? | Yes No |
| Profession/Occupation: | Accountant | Tax ID / SSN: | |
| Current Employer: | Southern Financial LLC | Position/Title/Rank: | Accountant |
| Address of employer: | 6100 Red Hook Quarter B3 St Thomas Virgin Islands, U.S. 00802 |
| Does the person work as senior executive of a DB-recognized regulated entity in the financial 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)N/A | Yes No |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe)N/A | 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)N/A | 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 Domicile: | Client Place of Business: | Other Location(specify): Date: |
| Stewart Oldfield | √ | □ | □ | | 12/12/2016 |
| □ | □ | □ | | |
| □ | □ | □ | | |
| 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: |
| 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($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000071
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019
| EFTA_00018945 |
| :--- | :--- |
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text "EFTA_00018945".
EFTA00168692
KYC Print
Page 31 of 43
| Wealth Details for this individual are not filled in, because they are the same as for the following person: |
| 3B. Wealth Details(Only for parties requiring source of wealth description as indicated in Section 2) |
| Nature of the Individual's Business: | |
| Primary Country of source of wealth/source of Funds? | |
| Primary industry of source of Wealth/Source of Funds? | |
| Summarize Source of Wealth: | □Business Owner □Salary/Earnings □Investment □Inheritance/Gifts □Other: |
| Further Describe Source of Wealth /Detail the history of wealth for each of the sources:(e.g.For trusts,how did settlor accumulate wealth?For inheritance,how did family accumulate wealth?For business owners,how long in business,how many employees,level of profitability?Indicate type of business,countries of major activities,important business partners.) |
| Estimated Annual Income($): | | Estimated amount of investable assets($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000073
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&eid=5000e00001N... 7/10/2019
| EFTA_00018947 |
| :--- | :--- |
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text "EFTA_00018947".
EFTA00168694
KYC Print
Page 33 of 43
| 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? | Yes No |
| Profession/Occupation: | N/A | Tax ID / SSN: | |
| Current Employer: | N/A | Position/Title/Rank: | N/A |
| Address of employer: | N/A |
| 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) N/A | Yes No |
| To the best of your knowledge,is the individual related to an employee of the DB group?(if Family or Friendship,describe) N/A | 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) N/A | 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 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? | |
| 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($): | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000075
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018949
EFTA00168696
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| 3C. Legal Entity Details(For all Legal Entities) |
| Legal Entity Name: | Butterfly Trust - 00000486426 |
| Type of Entity: | Foundation/AssociationTrustCompanyEstatePartnership | Purpose of Entity: | Private InvestmentPhilanthropic/CharitableCommercial |
| Type of Entity Other(specify): | | Purpose of EntityOther(specify): | |
| Country of incorporation/registration: | Virgin Islands, U.S. | Date of incorporation/registration: | 12/27/2006 |
| Volcker Status: | Identified on Customer Profile | Volcker Flag: | No |
| Address(city, street, post code): | 6100 Red Hook Quarter B3 St, Thomas 00802 Virgin Islands,U.S. | 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 settlor and beneficiaries etc.:This is an irrevocable trust set up by Jeffrey Epstein as the grantor. The beneficiaries for the trust are being updated by the current trustees.The trustees are Harry Beller and Erika Kellerhals.The beneficiaries are: |
| Darren Indyke | | | |
| Richard Kahn | | | |
| Svetlana | | | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000076
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EFTA_00018950
EFTA00168697
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Attached are the original trust agreement and the addition/deletion of beneficiary instrument to support this change. According to the original trust agreement, the trustees have the right during the lifetime of the Grantor to delete or add beneficiaries under Article 3 of the agreement.
| Please indicate how ownership or the legal entity is reflected: Addition of Beneficiaries attached |
| 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 is an irrevocable trust set up by Jeffrey Epstein as the grantor.The beneficiaries for the trust are being updated by the current trustees.The trustees are Harry Beller and Kellerhals.The beneficiaries are:Darren IndykeRichard 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)?N/A | Yes☐No✓ |
| Describe Nature of Entity's Primary Business and Investment Activities |
| Nature of the business: | Trust account |
| Countries where business is transacted: | Virgin Islands,U.S. |
| Number of employees: | N/A |
| 3C. Legal Entity Details(For all Legal Entities) |
| Legal Entity Name: | Neptune, LLC - 00000487264 |
| Type of Entity: | Foundation/Association Trust Company Estate Partnership | Purpose of Entity: | Private Investment Philanthropic/Charitable Commercial |
| Type of Entity Other(specify): | | Purpose of Entity Other(specify): |
| Country of incorporation/registration: | United States | Date of incorporation/ registration:12/21/2011 |
| Volcker Status: | Identified on Customer Profile | Volcker Flag:No |
| Address(city, street, post code): | 6100 Red Hook, Quarter B3 St, Thomas 00802 Virgin Islands, U.S. | U.S. TIN/EIN:45-4093384 |
| 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.:Single member LLC. Jeffrey Epstein is the sole member.The signors on this account are Jeffrey Epstein,Harry Beller,Darren Indyke.Richard Kahn is the manager. |
| Please indicate how ownership of the legal entity is reflected:Operating 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). Single member LLC. Jeffrey Epstein is the sole member.The signors on this account are Jeffrey Epstein,Harry Beller,and Darren Indyke.Richard Kahn is the manager. |
| 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)?N/A | Yes No |
| Describe Nature of Entity's Primary Business and Investment Activities |
| Nature of the business: | This LLC was formed to hold the funds necessary to cover the costs and taxes associated with running Jeffrey Epstein's NYC home |
| Countries where business is transacted: | United States |
| Number of employees: | 3 |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000078
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018952
EFTA00168699
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| 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? | United States |
| Primary industry of source of Wealth/Source of Funds? | High Risk Financial Institutions |
| Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):This LLC is funded by contributions made by Jeffrey Epstein. |
| Estimated gross receipts p.a.( $ ): | 1,000,000.00 |
| Estimated net profit p.a. ($ ): | 1,000,000.00 |
| Estimated investable assets ($ ): | <$1 MM |
| Potential Amount to be invested with PWM ($ ): | |
| Other Known Financial Institutions: |
| Institution: | | Country: | | Est. Assets Under Mgt: | |
| Institution: | | Country: | | Est. Assets Under Mgt: | |
| Institution: | | Country: | | Est. Assets Under Mgt: | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000079
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018953
EFTA00168700
KYC Print
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B
| 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 Yes No |
| Is the account structure unusually complex? | Yes 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 Yes No |
| Is there any indication this could be a prohibited business relationship? | Yes Yes No |
| Are the bearer shares identified subject to acceptable controls? | Yes Yes No |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e).
DB-SDNY-0000082
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&eid=5000e00001N... 7/10/2019
EFTA_00018956
EFTA00168703
KYC Print
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