Financial record, 2018

KYC Print¶

Page 1 of 16¶

DB PWM GLOBAL KYC/NCA: PART A¶

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

1. Relationship Details¶

Relationship Name:	SOUTHERN FINANCIAL RELATIONSHIP:	Booking Center:	New York
Relationship Manager:	Stewart Oldfield
Relationship to PWM:	□ New PWM Relationship	✓ Existing PWM Relationship
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: 2018 Periodic Review
How Was the Client(s) Introduced? How long has the RM personally known the client?	☑ Client Referral	☐ RM Prospect	☐ Intermediary/FIM
Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein met with Stew Oldfield on 3/7/17 to open new acct for other entity. RM has known this client for 4 years. Previously approved KYC#01704382
Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship?	☐ Yes	✓ No
(If Yes, describe):

List all existing and new accounts involved in this relationship¶

Legal Entity Account(s)	Account Name / Number	Opening Date (intended/actual)
1	Prytanee, LLC - Deposit	1/20/2017

Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.):¶

| Darren Indyke | Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): |¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000310¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

USAO 001273 7/11/2019¶

EFTA_00019183¶

EFTA00168930¶

KYC Print¶

Page 2 of 16¶

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

2. Account Ownership Summary

Account Name:

Prytanee, LLC - Deposit

Acct. Number (if available).

Account Manager:

stewart oldfield

What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? the purpose of this account is to manage the monthly expenses of the company. Deposit account related to art purchases.

Indicate from where the assets are expected to arrive?

☑ DB Group: Same Booking Center (indicate account number):

☐ DB Group: Other Booking Center (indicate DB location and account details):

☐ Other Institution – (Indicate name & location):

☐ Physical Deposits (specify cash, securities, cheques, ...)

What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? 0-5 inflows/outflows between 100% to 500% 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 fill down to the alternate/unfilled Beneficial Owner(s).

☑

Prytanee LLC

☑

Limited PDA

Financial Intermediary (FBM)

Significant Shareholder (n=25%) Non-PIC entity (indicate ownership %)

Legal Representative

Grantor/Settler

Founding Donor

Other (please describe other roles and/or relationship between parties)

☑

Southern Trust Company, Inc.

☑

The Pierre Trust

☑

Jeffrey Epstein

☑

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000311¶

USAO 001274¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/2019¶

EFTA_00019184¶

EFTA00168931¶

KYC Print¶

Page 3 of 16¶

Etienne Pierre Jean Binant

✓

@Prytanee, LLC;Managing Member of Prytanee;

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000312¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/¶

USAO 001275 7/11/2019¶

EFTA_00019185¶

EFTA00168932¶

KYC Print¶

Page 4 of 16¶

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

3A. Individual Details (for all parties)
Individual's Name:	Jeffrey Epstein -		Date of Birth:		1/20/1953
Country of Residence:	Virgin Islands, U.S.		Country of Citizenship:		United States
Address of primary residence:	Little Saint James Saint Thomas VI 00802 United States		Has client resided outside of his/her country of nationality for 5 years or more?		□ Yes ☑ No
Profession/Occupation:	Self Empolyed		Tax ID / SSN:
Current Employer:	Southern Financial LLC		Position/Title/Rank:		President
Address of employer:	6100 Red Hook Quarter B3 St. Thomas VI 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) Mr Epstein maintains a close relationship with Bill Clinton and Prince Andrew, Duke of York (United Kingdom).				✓ 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 Domicle:	Client Place of Business:	Other Location (specify):	Date:
		□	□	□
		□	□	□
		□	□	□

3B. Wealth Details(Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:		Private investments
Primary Country of source of wealth/source of Funds?		United States
Primary industry of source of Wealth/Source of Funds?		High Risk Financial Institutions
Summarize Source of Wealth:		Business Owner Salary/Earnings Investment Inheritance/Gifts Other:
Further Describe Source of Wealth/Detail the history of wealth for each of the sources:(e.g. For trusts, how did settlor accumulate wealth?For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner in 1980.In 1982, Epstein founded his own financial management firm, J.Epstein & Co., managing the assets of clients with more than a billion in net worth.In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands.All of his clients were anonymous except for the very wealthy businessman Leslie Wexner.His wealth has come from his days at Bear Stearns and his financial management firms.Personal account balance-$4million.Financial Trust Company later merged into Southern Financial LLC.Refer last approved KYC case#01898372 for full SOW verification of Jeffrey Epstein.
Estimated Annual Income($):	10,000,000.00	Estimated amount of investable assets($):		$50 MM-100 MM
Estimated Net Worth($):	$500 MM+	Amount of assets planned to invest with PWM($):
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-0000313¶

USAO 001276¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

| EFTA_00019186 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019186”.¶

EFTA00168933¶

KYC Print¶

Page 5 of 16¶

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

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000314¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/20¶

USAO 001277 7/11/2019¶

EFTA_00019187¶

EFTA00168934¶

KYC Print¶

Page 6 of 16¶

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Darren Indykke	Date of Birth:
Country of Residence:	United States	Country of Citizenship:
Address of primary residence:		Has client resid outside of his/her country of nationality for 5 years or more?
Profession/Occupation:	Lawyer	Tax ID SSN:
Current Employer:	Southern Financial LLC	Position/Title/Rank:
Address of employer:	575 Lensington 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)¶

☐ 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 Domicle:	Client Place of Business	Date:
stewart oldfield	✓	□	□	12/23/2016
	□	□	□
	□	□	□

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

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

Nature of the Individual’s Business:¶

Primary Country of source of wealth/source of Funds?¶

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

Summarize Source of Wealth:¶

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

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:¶

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

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000315¶

USAO 001278¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e… 7/11¶

EFTA_00019188¶

EFTA00168935¶

KYC Print¶

Page 7 of 16¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000316¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… USAO_001279 7/11/2019 EFTA_00019189¶

EFTA00168936¶

KYC Print¶

Page 8 of 16¶

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Caroline Sophie Camille Lang -
Country of Residence:	France
Address of primary residence:
Profession/Occupation:	Contemporary Art
Current Employer:	Sotheby’s
Address of employer:	2, Rue Francis-Olday Geneva Switzerland 1204

Does the person work as senior executive of a DB-recognised 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 services)? (If Yes, describe)¶

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

☐ 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: Caroline Lang recognised for her indebtedness of market art & expertise in Impressionist, Modern & Contemporary art.¶

Primary Country of source of wealth/Source of Funds: Switzerland¶

Primary industry of source of Wealth/Source of Funds: Payment Processors / multi-level marketing companies¶

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, how much profitability? Indicate type of business, countries of major industries, important business partners. The source of wealth for Caroline Lang derives from her employment as Chairman of Sotheby’s Swissbank, Caroline Lang is internationally recognized for her in-depth knowledge of the art market and her longstanding expertise in Impressionist, Modern and Contemporary art. Appointed Chairman of the Swiss Department of Impressionism, Modem & Contemporary Art in 2012, this consummate polygraph has advised some of the most important collectors Switzerland and worldwide. In November 2011, he played a decisive role in the New York sale of Abstraction-Figuration, an exceptional private collection of abstract works by Gerhard Richter and Max Ernst which realized a world auction record for a work by Richter at the time. Caroline Lang has also conducted major marathon auctions in Switzerland, the UK and Germany, including the historic week-long sales of work of art from Monopros Castle in Ludwigburg in 2000 and the Royal House of Hanover in 2005. Mr Lang also served as an executive Warner Brothers Inc. her annual income is approx. 450k.¶

Estimated Annual Income($) | 450,00.00 | Estimated amount of investable assets($) | $1 MM - 2 MM¶

Estimated Net Worth($) | $1 MM - 2 MM | Amount of assets planned to invest with PWM($) |¶

Other Known Financial Institutions:¶

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

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000317¶

USAO 001280¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

| EFTA_00019190 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019190”.¶

EFTA00168937¶

KYC Print¶

Page 9 of 16¶

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

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000318¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e…¶

USAO 001281 7/11/2019¶

EFTA_00019191¶

EFTA00168938¶

KYC Print¶

Page 10 of 16¶

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Etienne Pierre Jean Binant	Date of Birth:
Country of Residence:	France	Country of Citizenship:
Address of primary residence:		Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:	Finance	Tax ID / SSN:
Current Employer:	Prytanee LLC	Position/Title/Rank:
Address of employer:	6100 Red Hook Quarter B3 St Thomas V1 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)¶

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)¶

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

Bank Office:	Client Private Domicle:	Client Place of Business:
□	□	□
□	□	□
□	□	□

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

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

Nature of the Individual’s Business:¶

Primary Country of source of wealth/Source of Funds?¶

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

Summarize Source of Wealth:¶

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

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

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

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

Other Known Financial Institutions:¶

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

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000319¶

USAO 001282¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e… 7/11/¶

EFTA_00019192¶

EFTA00168939¶

KYC Print¶

Page 11 of 16¶

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

3C. Legal Entity Details(For all Legal Entities)
Legal Entity Name:	Prytanee, LLC
Type of Entity:	Foundation/Association Trust Company Estate Partnership	Purpose of Entity:	Private Investment Philanthropic/Charitable Commercial
Type of Entity Other(specify):	LLC	Purpose of Entity Other(specify):
Country of incorporation/registration:	Virgin Islands, U.S.	Date of incorporation/registration:	7/22/2016
Volcker Status:	Identified on Customer Profile	Volcker Flag:	No
Address(city, street, post code):	6100 Red Hook Quarter B3 St Thomas VI 00802 United States	U.S. TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlement and beneficiaries,etc.This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners investing in artwork from up and coming artists together.They both invest equally in the purchases of the artwork.The signatories on this account will be:Jeffrey EpsteinDarren IndykeCaroline LangEtienne BinantPlease indicate how ownership of the legal entity is reflected:LLC Agreement
Special attention:Bearer Shares - Indicate where shares are custodied;Describe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same person).This entity is owned 50/50 by Southern TrustCompany Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork.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:	Engaging in the acquisition,ownership and management of artwork for investment purposes.Artwork and cash to purchase the artwork are the only assets.
Countries where business is transacted:	Virgin Islands,U.S.
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?	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):The source of wealth for this entity primarily comes from Jeffrey Epstein and Caroline Lang.Please revert to their individual sources of wealth for more details.
Estimated gross receipts($):	1,000,000.00
Estimated net profit($):	1,000,000.00
Estimated investable assets($):	$1MM-2MM
Potential Amount to be invested with PWM($):
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-0000320¶

USAO 001283¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/20¶

| EFTA_00019193 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019193”.¶

EFTA00168940¶

KYC Print¶

Page 12 of 16¶

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

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

Legal Entity Name:	Southern Trust Company, Inc.
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:	Virgin Islands, U.S.
Date of incorporation / registration:	11/18/2011
Volcker Status:	Identified on Customer Profile
Volcker Flag:	No
Address (city, street, post code):	6100 Red Hook Quarter B3 St Thomas VI 00802 United States
U.S. TIN/EIN:

Provide a description of the entity’s organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about renocularity, senior and beneficiaries/etc. Jeffrey Epstein is the sole shareholder at Southern Trust. Please indicate how ownership of the legal entity is reflected: Consent of Board of directors indicating merger between Financial Trust Company Inc and Southern Financial LLC.¶

Special attention: Bearer Shares - Indicate where shares are custodied.¶

Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). Jeffrey Epstein is the sole shareholder of Southern Trust.¶

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

Describe Nature of Entity’s Primary Business and Investment Activities¶

Nature of the business: Consult and invest client funds and gain revenue based on fees and returns¶

Countries where business is transacted: Virgin Islands, U.S.¶

Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):¶

Estimated gross receipts p.a.$$: Estimated net profit p.a.$$: Estimated investable assets$: Potential Amount to be invested with PWM$:¶

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:	The Pierre Trust
Type of Entity:	Foundation/Association Trust Company Estate Partnership

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000321¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/20¶

| EFTA_00019194 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text: “EFTA_00019194”.¶

EFTA00168941¶

KYC Print¶

Page 13 of 16¶

Type of Entity Other (specify):		Purpose of Entity Other (specify):
Country of incorporation/registration:	Virgin Islands, U.S.	Date of incorporation / registration:	11/21/2016
Volcker Status:	Identified in previous KYC	Volcker Flag:	No
Address(city, street, post code):		U.S. TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settor and beneficiaries, etc.Grantor/trustee/beneficiary: Caroline Lang residing atCaroline Lang is beneficiary during her lifetime.Upon her death, her children become the beneficiaries:andboth residing at
Please indicate how ownership of the legal entity is reflected: trust agreement
Special attention: Bearer Shares - Indicate where shares are custodied
Describe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same persons). Grantor/trustee/beneficiary: Caroline Lang residing atCaroline Lang is beneficiary during her lifetime.Upon her death, her children become the beneficiaries and both residing at
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank(e.g. external legal counsel, client referral source, supplier of goods or services)?		Yes No
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:	Investment in artwork of up & coming artists. Engaging in the acquisition, ownership and management of artwork for investment purposes. Artwork and cash to purchase the artwork are the only assets.
Countries where business is transacted:	Virgin Islands, U.S.
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):
Estimated gross receipts p.a.($):
Estimated net profit p.a.($):
Estimated investable assets($):
Potential Amount to be invested with PWM($):
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-0000322¶

USAO 001285 7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/1¶

EFTA_00019195¶

EFTA00168942¶

KYC Print¶

Page 14 of 16¶

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

Risk Rating Comments:
Booking Center	NY	NV/Offshore	Offshore	Moderate Risk	High Risk
(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 : GCIS#550868
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
D.	RDC searches complete	✔ Yes	No	negative results found	✔ Yes	No
E.	PCR checks complete	✔ Yes	No	negative results found	✔ Yes	No
F.	OFAC checks complete	✔ Yes	No	negative results found	✔ Yes	No
G.	BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B)	✔ Yes	No	negative results found	✔ Yes	No
H.	Denial Orders check complete	✔ Yes	No	negative results found	✔ Yes	No
I.	Martindale-Hubbell search (Lawyers/Law Firms only)	✔ Yes	No	negative results found	✔ Yes	No
J.	Please summarize any negative results from the database searches indicated above:	Negative BIS on Southern Trust Company Inc is non negative.
K.	2 criminal filings against Jeffrey E. Epstein, resulted in 6 month jail sentence. Attached to this case, previous AML approvals received in the past.
L.	Court cases against Richard Kahn are non negative since he is a counsel representing parties. Last court case discounted on the basis that it was filed in Massachusetts in 2004 and case has since been closed since 2005.
M.	Panama hit for Elene Binant, attached to the case
N.	To the best of your knowledge, has the client ever been convicted of a criminal offense?	✔ Yes □ No
O.	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 Agent. (LatAm/Intl) or the Regulatory Control Group and notify Compliance immediately)	✔ Yes □ No
P.	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
S.	Does the client or related party have any financial or other association / interactions within high risk countries?	✔ Yes □ No
T.	Corporate Documentation Attached (Legal Entities Only)	✔ Yes □ No Not Applicable
U.	Undisclosed Principal Form Complete (Intermediaries Only)	✔ Yes □ No Not Applicable
V.	If Lesis/Please Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/content of the non-English Documentation:
L.	Special Risk Factors
	Does the account have Nexus to Special Risk Countries?	✔ Yes □ No
	Is the account structure unusually complex?	✔ Yes □ No
	Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties?	✔ Yes □ No
	Is there any indication this could be a prohibited business relationship?	✔ Yes □ No
	Are the bearer shares identified subject to acceptable controls?	✔ Yes □ No

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

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000323¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

EFTA_00019196¶

EFTA00168943¶

KYC Print¶

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M. Case Comments
Created By	Date	Comments
Vijay-A Sawant	5/30/118 8:22 AM	No material changes to account as per email confirmation from Stewart Oldfield dtd 5/30/2018.
Kshitij Golani	9/10/118 2:40 PM	This KYC serves as a high risk update for Prytanee, LLC (herein referred to as "accountholder"). Below 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 accountholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors associated with the accountholder - SOW: One of the UBOs (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	6/7/2018
Office Director/Business Head:	ANdrew F Gallivan	(Signature) ANdrew F Gallivan	6/7/2018
Regional Office Director:		(Signature)
AML Business Risk:		(Signature)
AML Compliance:	Kshitij Golani	(Signature) Kshitij Golani	9/10/2018

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

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

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000324¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11¶

USAO 001287 7/11/2019¶

| EFTA_00019197 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text: “EFTA_00019197”.¶

EFTA00168944¶

KYC Print¶

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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.¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000325¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

USAO 001288 7/11/2019¶

EFTA_00019198¶

EFTA00168945¶

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

1. Relationship Details¶

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

3A. Individual Details (for all parties)¶

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

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

3A. Individual Details (for all parties)¶

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

3A. Individual Details (for all parties)¶

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

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

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