| ✓
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000217¶
USAO 001180
7/11/2019¶
EFTA_00019090¶
EFTA00168837¶
KYC Print¶
Page 6 of 33¶
2. Account Ownership Summary¶
| Account Name: | Jeepers Inc- Brokerage | Acct. Number (if available): | N4G024935 |
|---|
| 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 the account is to manage the securities purchases of the company.¶
Indicate from where the assets are expected to arrive?¶
☑ DB Group: Same Booking Center (indicate account number): N4G024935
☐ 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)?: 0/10 inflows/offlows of less than $5k a month.¶
What is the expected volume of assets and currency for the account approx. 90 days after opening? 3169993 Currency usd¶
What is the expected volume of assets and currency for the account approx. one year after opening? 3149993 Currency usd¶
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 a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the 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 Entity | Description of Source of Wealth required | Parties related to this account |
|---|
| Jeepers, Inc | □ | | Jeffrey E. Epstein | □ | | Darren Indykke | □ | | Jean Anne Rennan Mielbracht | □ | | Harry Beller | □ |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000218¶
USAO 001181
7/11/2019¶
| EFTA_00019091 |
| :--- | :--- |¶
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019091”.¶
EFTA00168838¶
KYC Print¶
Page 7 of 33¶
2. Account Ownership Summary¶
| Account Name: | Hyperion Air, LLC - Deposit | Acct. Number (if available): | 42953432 |
|---|
| 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 the 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): 42953432
- 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)?: 0-3 inflows/outflows on a bi-monthly basis of less than $5k¶
What is the expected volume of assets and currency for the account approx. 90 days after opening?¶
100291.79 Currency usd¶
What is the expected volume of assets and currency for the account approx. one year after opening?¶
93500 Currency usd¶
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 a source of wealth description is required for the party.
- Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
- If none of the check boxes apply, describe the 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 Entity | Description of Source of Wealth Required | Parties related to this account | Account Holder | PIC Owner | Settlor of Trust / Founder of Foundation | Ultimate Beneficiary Owner | Signatory or Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (≥ 25%) | Legal Representative | Grantor/Settler | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) |
| :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- |¶
- ✓ ✓ Hyperion Air, LLC ✓ □ □ □ □ □
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000219¶
USAO 001182
7/11/2019¶
EFTA_00019092¶
EFTA00168839¶
KYC Print¶
Page 8 of 33¶
| 2. Account Ownership Summary |
|---|
| Account Name: | Plan D LLC - Deposits | Acct. Number (if available): | 42953467 | | 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 the 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): 42953467
☐ 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 $10k and $150k on a monthly basis | | What is the expected volume of assets and currency for the account approx. 90 days after opening? | | What is the expected volume of assets and currency for the account approx. one year after opening? | Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?
☐ Yes No | Please list all parties related to the account.
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the “Other” column.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner($). | | Legal Entity | Description of Source of Wealth Required | Parties related to this account | Account Holder | PIC Owner | Settlor of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory for Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (≥ 25%) | Legal Representative | Grantor/Settler | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) | | 1 | ✓ | ✓ | Plan D, LLC | ✓ | □ | □ | □ | □ | □ | □ | □ | □ | □ | | | 2 | □ | □ | Jeffrey E. Epstein | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | | | 3 | □ | □ | Darren Indyk | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | | | 4 | □ | □ | Harry Beller | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000220¶
USAO 001183
7/11/2019¶
EFTA_00019093¶
EFTA00168840¶
KYC Print¶
Page 9 of 33¶
| 2. Account Ownership Summary |
|---|
| Account Name: | JEGE LLC - Deposits | Acct. Number (if available): | 42953475 | | 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 the 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): 42953475
☐ 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)?: 0/10 inflows/outflows of up to $100k on a monthly basis | | What is the expected volume of assets and currency for the account approx. 90 days after opening? | 176381.00 | Currency | usd | | What is the expected volume of assets and currency for the account approx. one year after opening? | 130777 | Currency | usd | | 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 a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the 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 Entity | Description of Source of Wealth Required | Parties related to this account | Account Holder | PIC Owner | Settlor of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory for 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 and/or indicate relationship between parties) | | 1 | ✓ | ✓ | JEGE, LLC | ✓ | □ | □ | □ | □ | □ | | □ | □ | □ | | | 2 | □ | □ | Jeffrey E. Epstein | □ | □ | □ | ✓ | □ | □ | | □ | □ | □ | | | 3 | □ | □ | Darren Indyk | □ | □ | □ | ✓ | □ | □ | | □ | □ | □ | | | 4 | □ | □ | Harry Beller | □ | □ | □ | ✓ | □ | □ | | □ | □ | □ | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000221¶
USAO 001184
7/11/2019¶
EFTA_00019094¶
EFTA00168841¶
KYC Print¶
Page 10 of 33¶
| 2. Account Ownership Summary |
|---|
| Account Name: | JEGE Inc - Deposits | Acct. Number (if available): | 42953459 | | 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 the 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): 42953459
☐ 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 of less than $5k on a monthly basis | | What is the expected volume of assets and currency for the account approx. 90 days after opening? | 963187.55 | Currency | usd | | What is the expected volume of assets and currency for the account approx. one year after opening? | 950500 | Currency | usd | | 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 a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (>1 can be selected).
• If none of the check boxes apply, describe the 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(5). | | Legal Entity | Description of Source of Wealth Required | Parties related to this account | Account Holder | PIC Owner | Settlor of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory for 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 and/or indicate relationship between parties) | | 1 | ✓ | ✓ | JEGE, Inc | ✓ | □ | □ | □ | □ | □ | | □ | □ | □ | | | 2 | □ | □ | Jeffrey E. Epstein | □ | □ | □ | ✓ | ✓ | □ | | □ | □ | □ | | | 3 | □ | □ | Darren Indyk | □ | □ | □ | ✓ | □ | □ | | □ | □ | □ | | | 4 | □ | □ | Harry Beller | □ | □ | □ | ✓ | □ | □ | | □ | □ | □ | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000222¶
USAO 001185
7/11/2019¶
EFTA_00019095¶
EFTA00168842¶
KYC Print¶
Page 11 of 33¶
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: | Daren Indykke |
|---|
| Country of Residence: | USA | | Address of primary residence: | | | Profession/Occupation: | Lawyer | | Current Employer: | Southern Financial LLC | | 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-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: |
|---|
| 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 settle 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 investible 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.):¶
DB-SDNY-0000223¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001186
7/11/2019¶
EFTA_00019096¶
EFTA00168843¶
KYC Print¶
Page 12 of 33¶
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000224¶
USAO_001187
7/11/2019¶
EFTA_00019097¶
EFTA00168844¶
KYC Print¶
Page 13 of 33¶
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 higher country of nationality for 5 years or more? | | Profession/Occupation: | Tax ID / SSN: | | Current Employer: | Position/Title/Rank: | | Address of employer: | St Thomas 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-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 Friendships, 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: |
|---|
| □ | □ | □ | | | | □ | □ | □ | | | | □ | □ | □ | | |
☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶
38. Wealth Details (Only for parties requiring source of 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 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.):¶
DB-SDNY-0000225¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001188
7/11/2019¶
| EFTA_00019098 |
| :--- | :--- |¶
This is a simple Markdown representation of the provided image, preserving the original layout with headings, paragraphs, and formulas as they appear. No additional content has been added or removed.¶
EFTA00168845¶
KYC Print¶
Page 14 of 33¶
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000226¶
USAO_001189
7/11/2019
EFTA_00019099¶
KYC Print¶
Page 15 of 33¶
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 resid outside of higher country of nationality for 5 years or more? | | Profession/Occupation: | Tax ID / SSN: | | Current Employer: | Position/Title/Rank: | | Address of employer: | USVI 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-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 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:¶
38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶
Nature of the Individual’s Business:
Primary Country of source of wealth/source of Funds?
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 truds, 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.):¶
DB-SDNY-0000227¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001190
7/11/2019¶
EFTA_00019100¶
EFTA00168847¶
KYC Print¶
Page 16 of 33¶
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000228¶
USAO_001191
7/11/2019¶
EFTA_00019101¶
KYC Print¶
Page 17 of 33¶
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: | Harry Beller |
|---|
| Country of Residence: | USA | | Address of primary residence: | | | Profession/Occupation: | Accountant | | Current Employer: | HRRK Associates, Inc |
| Date of Birth: | |
|---|
| Country of Citizenship: | USA | | Has client resided outside of higher country of nationality for 3 years or more? | Yes ✓ No | | Tax ID / SSN: | | | Position/Title/Rank: | |
| Address of employer: | 575 Lexington Avenue, 4th Floor Monsey 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-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: | 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 truth, 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: |
|---|
| Institution: | Country: | | Institution: | Country: |
Please indicate the family situation of the individual (marital status, other family members, etc.):¶
DB-SDNY-0000229¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001192
7/11/2019¶
EFTA_00019102¶
EFTA00168849¶
KYC Print¶
Page 18 of 33¶
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000230¶
USAO_001193
7/11/2019¶
EFTA_00019103¶
KYC Print¶
Page 19 of 33¶
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: | Jeffrey E. Epstein - 00000483289 | Date of Birth: | 1/20/1953 |
|---|
| Country of Residence: | USVI | Country of Citizenship: | USA | | Address of primary residence: | Littie Saint James Saint Thomas 00802 | Has client resided outside of his/her country of nationality for 5 years or more? | Yes ✓ No | | Profession/Occupation: | Self Employed | Tax ID / SSN: | | | Current Employer: | Southern Financial LLC | Position/Title/Rank: | President | | 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-recognised exchange? (Not applicable for operating entities)¶
☐ Yes ☑ No¶
Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) close relationship with Bill Clinton and Prince Andrew.¶
☑ 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 Domicile: Client Place of Business: Other Location (specify): Date:¶
stew oldelf¶
☐ □ □ □¶
6/28/2017¶
☐ □ □ □¶
☐ □ □ □¶
Summarize Source of Wealth:¶
Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶
☐ 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. 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.):¶
DB-SDNY-0000231¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001194
7/11/2019¶
EFTA_00019104¶
EFTA00168851¶
KYC Print¶
Page 20 of 33¶
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000232¶
USAO 001195
7/11/2019¶
EFTA_00019105¶
EFTA00168852¶
KYC Print¶
Page 21 of 33¶
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: | Jean Anne Brennan Wiebracht | Date of Birth: | 9/2/1960 |
|---|
| Country of Residence: | USVI | Country of Citizenship: | USA | | Address of primary residence: | | Has client resided outside of higher country of nationality for 5 years or more? | □ Yes ☑ No | | Profession/Occupation: | Finance | Tax ID / SSN: | □ | | Current Employer: | Southern Financial, LLC | Position/Title/Rank: | |
| 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-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: | 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 trust, 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.):¶
DB-SDNY-0000233¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001196
7/11/2019¶
EFTA_00019106¶
EFTA00168853¶
KYC Print¶
Page 22 of 33¶
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: | Zorro Management, LLC - 00000505303 |
|---|
| Type of Entity: | Foundation/Association Trust Company Estate Partnership | | Type of Entity Other (specify): | LLC | | Country of incorporation/registration: | USA | | Volcker Status: | Identified on Customer Profile | | Address (city, street, post code): | 6100 Red Hook Quarter, B3 St. Thomas; USVI 00802 United States | | 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.; Jeffrey Epstein is the sole manager and owner of this entity. | | | Signors on this account will be: Jeffrey Epstein Darren Indykke | | | Signors on the house act are: Jeffrey Epstein Darren Indykke | | | Signors on the house act are: Jeffrey Epstein Darren Indykke | | | 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)? | |
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 manager and owner of this entity.¶
Signors on this account will be:
Jeffrey Epstein Darren Indykke
Signors on the house act are:
Jeffrey Epstein Darren Indykke
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’s Primary Business and Investment Activities¶
Nature of the business: a real estate holding company. It is a company formed to run and operate all activities associated with a property that Jeffrey Epstein owns in the US Virgin Islands.¶
Countries where business is transacted: USA¶
Number of employees: 1+¶
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)¶
| Primary Country of source of wealth/source of Funds? | |
|---|
| Primary industry of source of Wealth/Source of Funds? | | | Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): This company is funded by Jeffrey Epstein’s personal wealth | | | Estimated gross receipts ($): | 1,000,000.00 | | Estimated net profit ($): | 1,000,000.00 |
DB-SDNY-0000234¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001197
7/11/2019¶
| EFTA_00019107 |
| :--- | :--- |¶
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text: “EFTA_00019107”.¶
EFTA00168854¶
KYC Print¶
Page 23 of 33¶
| Estimated investable assets ($): | $1 MM - 2 MM | | Potential Amount to be invested with PVM ($): | | | Other Known Financial Institutions: | | Institution: | | Country: | | Est. Assets Under Mgt: | | | Institution: | | Country: | | Est. Assets Under Mgt: | | | Institution: | | Country: | | Est. Assets Under Mgt: | | | One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary3C. Legal Entity Details(For all Legal Entities) | | Legal Entity Name: | LSJE, LLC - 00000499733 | | Type of Entity: | Foundation/Association Trust Company EstatePartnership | Purpose of Entity: | Private InvestmentPhilanthropic/CharitableCommercial | | Type of Entity Other(specify): | | Purpose of EntityOther(specify): | | | Country of incorporation/registration: | USA | Date of incorporation/ registration: | 10/27/2011 | | Volcker Status: | Determination Required | Volcker Flag: | No | | Address(city, street, post code): | 6100 Red Hook Quarter,B3 St. Thomas 00802 United States | U.S. TIN/EIN: | 66-077615 | | 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.LSJE is a single member LLC.Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued.The signors on this account are Jeffrey Epstein and Darren Indyk | | Please indicate how ownership of the legal entity is reflected:Special attention:Bearer Shares - Indicate where shares are custodiedDescribe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same persons):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: | LSJE, LLC was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private residence.No business purpose. | | Countries where business is transacted: | USA | | Number of employees: | 1 |
| 3D. Wealth Profile(Only for parties requiring source of wealth description as indicated in Section 2) | | Primary Country of source of wealth/source of Funds? | | | Primary industry of source of Wealth/Source of Funds? | | | Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):Funds from Jeffrey Epstein,LSJE,LLC was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private residence.No business purpose. | | Estimated gross receipts($): | 1,000,000.00 | | Estimated net profit($): | 100,000.00 | | Estimated investable assets($): | $2MM-5MM | | Potential Amount to be invested with PWM($): | | | Other Known Financial Institutions: |
DB-SDNY-0000235¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001198
7/11/2019¶
EFTA_00019108¶
EFTA00168855¶
KYC Print¶
Page 24 of 33¶
| Institution: | DB | Country: | USA | Est. Assets Under Mgt: | 200,000.00 | | Institution: | | Country: | | Est. Assets Under Mgt: | | | Institution: | | Country: | | Est. Assets Under Mgt: | |
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary¶
3C. Legal Entity Details (For all Legal Entities)¶
| Legal Entity Name: | Mort, Inc - 00000487266 |
|---|
| 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: | USVI | | Date of incorporation / registration: | 4/12/2011 | | Volcker Status: | Determination Required | | Volcker Flag: | No | | Address (city, street, post code): | 6100 Red Hook Quarter, B3 St, Thomas 00802 United States | | U.S. TIN/EIN: | 66-0765963 |
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):¶
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 holding company. A private company that is used to hold investments that the sole owner, Jeffrey, would like to keep separate from other investments.¶
Countries where business is transacted: USVI¶
Number of employees: 2¶
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); Capital contribution of $1000 from Jeffrey Epstein | | | Estimated gross receipts ($): | 100,000.00 | | Estimated net profit ($): | 100,000.00 | | Estimated investable assets ($): | <$1 MM | | Potential Amount to be invested with PWM ($): | |
Other Known Financial Institutions:¶
| Institution: | DB | Country: | USA | Est. Assets Under Mgt: | 100,000.00 |
|---|
| Institution: | | Country: | | Est. Assets Under Mgt: | | | Institution: | | Country: | | Est. Assets Under Mgt: | |
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary¶
DB-SDNY-0000236¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001199
7/11/2019¶
| EFTA_00019109 |
| :--- | :--- |¶
This is a simple Markdown document with no headings or paragraphs. It contains a single line of text: “EFTA_00019109”. No other formatting is present.¶
| EFTA00168856 |
| :--- | :--- |¶
This is a simple Markdown document with no headings or paragraphs. It contains a single line of text.¶
KYC Print¶
Page 25 of 33¶
3C. Legal Entity Details (For all Legal Entities)¶
Legal Entity Name: Jeepers, Inc - 00000486423¶
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 Virgin Island¶
Date of incorporation / registration: 8/18/2003¶
Volcker Status: Determination Required¶
Volcker Flag: No¶
Address (city, street, post code): 6100 Red Hook Quarter B3 St, Thomas 00802 United States U.S. TIN/EIN: 66-0629193¶
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).¶
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: Jeepers Inc is a private company that holds investments of its owner, Jeffrey Epstein.¶
Countries where business is transacted: USA, USVI¶
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? Jeepers Inc is a private company that holds investments of its owner, Jeffrey Epstein.¶
Primary industry of source of Wealth/Source of Funds?¶
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Jeepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no par value. Its revenue comes from the gains of the investments it holds.¶
Estimated gross receipts ($): 400,000.00¶
Estimated net profit ($): 200,000.00¶
Estimated investable assets ($): <$1 MM¶
Potential Amount to be invested with PVM ($):¶
Other Known Financial Institutions:¶
Institution: DB Country: USA Est. Assets Under Mgt.: 200,000.00¶
Institution: Country: Est. Assets Under Mgt.: []¶
Institution: Country: Est. Assets Under Mgt.: |¶
One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary¶
3C. Legal Entity Details (For all Legal Entities)¶
Legal Entity Name: Hyperion Air, LLC - 00000487225¶
Type of Entity: □ Foundation/Association □ Trust □ Company □ Estate □ Partnership¶
Purpose of Entity: □ Private Investment □ Philanthropic/Charitable □ Commercial¶
DB-SDNY-0000237¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001200
7/11/2019¶
EFTA_00019110¶
EFTA00168857¶
KYC Print¶
Page 26 of 33¶
| Type of Entity Other (specify): | | Purpose of Entity Other (specify): |
|---|
| Country of incorporation/registration: | US Virgin Islands | Date of incorporation / registration: 10/19/2012 | | Volcker Status: | Determination Required | Volcker Flag: No | | Address (city, street, post code) | 6100 Red Hook, Quarter B3 St, Thomas 00802 | U.S. TIN/EIN: 66-0795359 | 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.
Single member LLC Jeffrey Epstein is sole member/owner. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyk | | 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). | | 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: This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to eventually take over payments for Hyperion Air Inc. Hyperion Air Inc will be closed within a year. | | Countries where business is transacted: USA, USVI | | Number of employees: 1 |
DB-SDNY-0000238¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001201
7/11/2019¶
| EFTA_00019111 |
| :--- | :--- |¶
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019111”.¶
EFTA00168858¶
KYC Print¶
Page 27 of 33¶
| incorporation/registration: | Registration / registration |
|---|
| Volcker Status: | Determination Required | Volcker Flag: No | | Address (city, street, post code): | 6100 Red Hook, Quarter B3 St, Thomas 00802 United States | U.S. TIN/EIN: 66-0795246 | | Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,seller and beneficiaries,etc.; Single member LLC. Sole member is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry Beiler and Darren Indyk. | | 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): | | 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: | LCC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes | | Countries where business is transacted: | USA, USVI | | Number of employees: | 1 | | | 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) | | Primary Country of source of wealth/source of Funds? | | | Primary industry of source of Wealth/Source of Funds? | | | Provide Evidence of Corporate Assets (e.g., balance sheet or equivalent summary of assets/labilities); LLC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes. Initial contribution of $1,000 from Jeffrey Epstein and all source of funds come from Jeffrey Epstein. | | Estimated gross receipts ($): | 1,000,000.00 | | Estimated net profit ($): | 500,000.00 | | Estimated investable assets ($): | <$1 MM | | Potential Amount to be invested with PWM ($): | | | Other Known Financial Institutions: | | Institution: | Country: | Est. Assets Under Mgt: | | Institution: | Country: | Est. Assets Under Mgt: | | Institution: | Country: | Est. Assets Under Mgt: | | 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: JEGE, LLC - 00000487216 | | 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: USVI Date of incorporation / registration: 10/19/2012 | | | Volcker Status: Determination Required Volcker Flag: No | | 6100 Red Hook, Quarter B3 St, Thomas 00802 United States U.S. TIN/EIN: 66-0795442 |
DB-SDNY-0000239¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001202
7/11/2019¶
EFTA_00019112¶
EFTA00168859¶
KYC Print¶
Page 28 of 33¶
| Address (city, street, post code): | | | |
|---|
| 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. | | Single member LLC, Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Harry Beller, and Darren Indyke | | 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). | | To the best of your knowledge, 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 Entity of Entity's Primary Business and Investment Activities | | Nature of the business: | This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to eventually take over payments for JEGE Inc. JEGE Inc will be closed within a year. | | Countries where business is transacted: | USA, USVI | | Number of employees: | 1 | | | 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in 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); initial funding of $1,000 from sole member Jeffrey Epstein. All corporate assets come from contributions made by the sole owner | | Estimated gross receipts ($): | 100,000.00 | | Estimated net profit ($): | 100,000.00 | | Estimated investable assets ($): | <$1 MM | | Potential Amount to be invested with PWM ($): | | | Other Known Financial Institutions: | | Institution: | DB | Country: | USA Est. Assets Under Mgt: 100,000.00 | | Institution: | | Country: | Est. Assets Under Mgt: | | Institution: | | Country: | Est. Assets Under Mgt: | | One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary | | 3C. Legal Entity Details (For all Legal Entities) | | Legal Entity Name: | JEGE, Inc - 00000487244 | | Type of Entity: | Foundation/Association Trust Company Estate Partnership | Purpose of Entity: Private Investment Philanthropic/Chartable Commercial | | Type of Entity Other (specify): | USA | Date of incorporation / registration: 9/7/2000 | | Valker Status: | Determination Required | Valker Flag: No | | Address (city, street, post code): | 6100 Red Hook, Quarter B3 St, Thomas 00802 United States | U.S. TIN/EIN: 51-0405649 | | 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.; Jeffrey Epstein is the sole owner. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyke Please indicate how ownership of the legal entity is reflected: |
DB-SDNY-0000240¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001203
7/11/2019¶
EFTA_00019113¶
EFTA00168860¶
KYC Print¶
Page 29 of 33¶
| 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): | | 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: | Holds funds to pay for costs associated with an airplane owned by Jeffrey Epstein. | | Countries where business is transacted: | USa, USVI | | Number of employees: | 1 |
| 3D. Wealth Profile(Only for parties requiring source of wealth description as indicated in Section 2) | | Primary Country of source of wealth/source of Funds? | | | Primary Industry of source of Wealth/Source of Funds? | | | Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):All corporate funds/assets come from contributions by the sole owner,Jeffrey Epstein and his source of wealth | | Estimated gross receipts($): | 1,000,000.00 | | Estimated net profit($): | 1,000,000.00 | | Estimated investable assets($): | <$1MM | | Potential Amount to be invested with PWM($): | | | 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-0000241¶
USAO 001204
7/11/2019¶
EFTA_00019114¶
EFTA00168861¶
KYC Print¶
Page 30 of 33¶
DB PWM GLOBAL KYC/NCA: US/LatAm/Int’l PART B¶
| Relationship Name | SOUTHERN FINANCIAL RELATIONSHIP |
|---|
| Risk Rating Comments: | |
|---|
| Booking Center | ✓ NY | ☐ NY/Offshore | ☐ Offshore | ☐ Moderate Risk | ✓ High Risk | Yoonsun Chung |
|---|
| (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 ☐ 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 | | Martinade-Hubbell searched (Lawyers/Laws only) | ✓ Yes ☐ No | negative results found ✓ Yes ☐ No | | Please summarize any negative results from the database searches indicated above. In the attached legal proceedings, one is a false positive for Jeffrey S. Epstein (not, Jeffrey E. Epstein) and the other contains no new information. The case relates to jurisdiction over disclosing correspondence from a previous trial that was addressed in previous KVC case 01790655. | | D. The named plaintiff for which is referenced is residing in Los Angeles, CA and not residing in New Mexico. Same with the court cases regarding the Detroit, Michigan and civil suit from New Jersey. These are false positives and not a match with the in this kyc. | residing in Los Angeles, CA and not residing in New Mexico. Same with the court cases regarding the Detroit, Michigan and civil suit from New Jersey. These are false positives and not a match with the in this kyc. | | The civil case found in research is also a false positive as it lists the defendant as Gordon Brice of San Bernadino CA and not Brice M. Gordon from New Mexico that is noted in this KYC. | | | 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 Mgmt. (Leiden/Fent) or the Regulatory 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? | |
DB-SDNY-0000242¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
USAO 001205
7/11/2019¶
EFTA_00019115¶
EFTA00168862¶
KYC Print¶
Page 31 of 33¶
| □Yes | ☑No | | Are the bearer shares identified subject to acceptable controls? | □Yes | ☑No |
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000243¶
USAO 001206
7/11/2019¶
EFTA_00019116¶
EFTA00168863¶
KYC Print¶
Page 32 of 33¶
| M. Case Comments | | Created By | Date | Comments | | Cynthia Rodriguez | 7/5/117 5:11 PM | Client was contacted via phone on 6/28/2017 to confirm there are no material changes to his single member LLCs at DB | | Kshitij Golani | 8/18/117 3:36 PM | This KYC serves as a high risk update for the below listed clients(together "accountholders")-1.Zorro Management,LLC2.LSJE,LLC3.Mort,Inc4.Jeepers Inc5.Hyperion Air,LLC6.Plan D LLC7.JEGE LLC8.JEGE IncBelow are the reasons why we are comfortable with approving this KYC:Information and supporting documents required by our AML Policy were provided and reviewed;and as a result,we have an understanding of the structure of the account holders,their purpose,the purpose of the accounts and expected transaction activity.There are a few risk factors associated with the account holders-SOW:The UBO(Jeffrey Epstein) is the founder of Southern Trust Company Inc,which manages client's assets.SOW verification was obtained.Negative Media&PEP:There is some negative media against Mr Epstein and he is also maintains a close relationship with Bill Clinton and Prince Andrew.Please see risk calculator for more information.Appropriate approval was obtained.Our review did not identify any red flags and thus there was no need to escalate this case further.We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists |
| ONSHORE APPROVALS | | Client Facing Professional(CFP): | stewart oldfield | (Signature) stewart oldfield | 6/29/2017 | | Office Director/Business Head: | Andrew F Gallivan | (Signature) Andrew F Gallivan | 7/5/2017 | | Regional Office Director: | | (Signature) | | | AML Business Risk: | | (Signature) | | | AML Compliance: | | (Signature) | | | Kshitij Golani | Kshitij Golani | 8/18/2017 | | Yoonsun Chung | Yoonsun Chung | 8/18/2017 |
| 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) | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000244¶
USAO 001207
7/11/2019¶
EFTA_00019117¶
EFTA00168864¶
KYC Print¶
Page 33 of 33¶
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¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000245¶
USAO 001208
7/11/2019¶
EFTA_00019118¶
EFTA00168865¶ |