Deutsche Bank KYC file for Jeffrey Epstein's accounts, 2018 periodic review

KYC Print¶

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DB PWM GLOBAL KYC/NCA: PART A¶

1. Relationship Details¶

Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 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
Other Source (CIB, etc.)

Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new act opened under this relationship.¶

Last Approved KYC # - 1790724; Butterfly Trust - 1804531; Neptune, LLC - 1790739.¶

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		12/13/2013
2		1/24/2014
3		10/18/2013

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

Account Name / Number	Preferred method of contact (indicate phone no., fax no., e-mail address, etc.):

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

DB-SDNY-0000376¶

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

USAO 001339 7/11/2019¶

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

2. Account Ownership Summary
Account Name:			&					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)? This is a checking account for Individuals. They use the funds for daily expenses.
Indicate from where the assets are expected to arrive? ☑ DB Group: Same Booking Center (indicate account number): Existing ☐ 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)? 2-6/month; $1 - $2000
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(s).
Legal Entity	Description of Source of Wealth required	Parties related to this account	Account Holder	PIC Owner	Settler of Trust / Founder of Foundation	Ultimate Beneficiary Owner	Signatory or 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	□	✓		✓	□	□	✓	□	□	□	□	□	□
2	□	✓		✓	□	□	✓	□	□	□	□	□	□

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

DB-SDNY-0000377¶

USAO 001340 7/11/2019¶

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2. Account Ownership Summary¶

Account Name:	Butterfly Trust - 44130552	MMBIA	Acct. Number (if available):	44130552
Account Manager:	Stewart Oldfield

What is the purpose of the account (e.g., portfolio management, advisory account, custody services, long-term investment, payment/exercise account)? This is a money market deposit account to pay all expenses/disbursements related to the trust. Expenses are taxes, trust fee, etc.¶

Indicate from where the assets are expected to arrive?¶

☑ DB Group: Same Booking Center (indicate account number): Existing ☐ 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)?: 0-2/month; $0–$1000¶

What is the expected volume of assets and currency for the account approx. 90 days after opening?¶

704,736.63 | Currency | USD¶

What is the expected volume of assets and currency for the account approx. one year after opening?¶

704,736.63 | 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 edit down to the ultimate (underly Beneficial Owner).¶

Legal Entity Description Source of Wealth Required Parties related to this account¶

Butterfly Trust | ✓ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | | □ | Harry Beller | | | | | | | | | | | | | | | □ | Erika Gallahals | | | | | | | | | | | | | | | □ | Jeffrey E. Epstein | | | | | | | | | | | | | |¶

Grantee/Settler Founder Donor Other (please describe other roles and/or indicate relationship between parties)¶

1 | ✓ | ✓ | ✓ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | 2 | □ | Harry Beller | | | | | | | | | | | | | 3 | □ | Erika Gallahals | | | | | | | | | | | | | 4 | □ | Jeffrey E. Epstein | | | | | | | | | | | | |¶

Grantor of Butterfly Trust;¶

5 | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | 6 | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | 7 | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | 8 | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | 9 | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | 10 | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | 11 | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | 12 | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ |¶

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

DB-SDNY-0000378¶

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□

✓

□

Darren K. Indyke

□

✓

□

✓

□

✓

□

Richard D. Kahn

□

✓

□

✓

□

✓

□

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

DB-SDNY-0000379¶

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2. Account Ownership Summary
Account Name:			Neptune LLC - 42953424 - DDA					Acct. Number ( if available):			42953424
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)? This is a checking account to pay for all expenses (i.e. electric, maintenance, cable, etc.) on Epstein's NYC home.
Indicate from where the assets are expected to arrive?
☑ DB Group: Same Booking Center (indicate account number): Existing ☐ 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)?: 15-20/month; $10-$10000
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 checks leaves 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	Settor of Trust / Founder Foundation	Ultimate Beneficiary of Owner	Signatory or Full POA	Limited POA	Financial Intermediary (FIM)	Significant Shareholder (>=25%) No/NYC entity (indicate ownership %)	Legal Representative	Grantor/Settion Donor	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	□	✓	Jeffrey E. Epstein	□	□	✓	✓	□	□		□	□	□	Sole Member of Neptune LLC;
2	□	□	Harry Beller	□	□	□	✓	□	□		□	□	□
3	□	□	Darren K. Indyke	□	□	□	✓	□	□		□	□	□
4	✓	✓	Neptune, LLC	✓	□	□	□	□	□		□	□	□
5	□	□	Richard D. Kahn	□	□	□	□	□	□		□	□	□	Manager of Neptune LLC;

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

DB-SDNY-0000380¶

USAO 001343 7/11/2019¶

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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:	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:	N/A

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

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe) N/A ☐ Yes ☐ No¶

To the best of your knowledge, is the individual related to an employee of the DB group? (if Family or Friendship, describe) N/A ☐ Family ☐ Friendship ☐ None¶

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

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

Bank Office:	Client Private Domestic:	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 parts requiring source of wealth description as indicated in Section 2)¶

Nature of the Individual’s Business: Homemaker. Solely relies on income from her wife who is a Interior Designer.¶

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

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

Summarize Source of Wealth: ☐ Business Owner ☆ Salary/Earnings ☇ Investment ☐ Inheritance/Gifts ☉ Other:¶

Further Describe Source of Wealth/Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth?) For inheritance, how did family accumulate wealth? For business owners, how many employees, limit of capability? Indicate type of business, reasons of owner’s choice, important business entries:¶

Estimated Annual Income($): Estimated amount of investable assets($): <$1 MM¶

Estimated Net Worth($): <$1 MM Amount of assets planned to invest with PWM($): 20,000.00¶

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-0000381¶

USAO 001344¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e… 7/11/201¶

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

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

DB-SDNY-0000382¶

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

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Date of Birth:
Country of Residence:	Country of Citizenship:
Address of primary residence:	Has client resided outside of his/her country of nationality for 5 years or more? □ Yes ☑ No
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:

Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A □ Yes ☑ No¶

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

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

Bank Officer Name(s) | Bank Office: | Client Private Domestic: | Client Place of Business: | Other Location (specify): | Date: Stewart Oldfield | □ | □ | ✓ | | 6/23/2017 | □ | □ | □ | | | | □ | □ | □ | | | | □ | □ | □ | | |¶

☐ 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: Interior Design¶

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

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

Summarize Source of Wealth: ☐ Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

Further Describe Source of Wealth /Detail the history of wealth for each of the sources (e.g., for trusts, how did 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.) Kayna went to school for interior design and now works as an interior decorator for JSC Interiors LLC, a currently client of DB (kyc case 01305519). Her annual income is approximately $150k with salary, bonus, and commissions.¶

Estimated Annual Income($): 150,000.00 Estimated amount of investable assets($): <$1 MM¶

Estimated Net Worth($): <$1 MM Amount of assets planned to invest with PWM($): 2,000.00¶

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

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

DB-SDNY-0000383¶

USAO 001346¶

7/11/2019¶

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

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

DB-SDNY-0000384¶

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

3A. Individual Details (for all parties)
Individual's Name:	Jeffrey E. Epstein - 00000483289			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 00802 Virgin Islands, U.S.			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 Trust Company Inc			Position/Title/Rank:		President
Address of employer:	6100 Red Hook Quarter B3 St. Thomas Virgin Islands, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities)
Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) Connection with Prince Andrew and Bill Clinton
To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe) N/A
To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes, describe) N/A
If applicable, indicate which bank officers have met the person:		Indicate where and when the client meeting(s) took place:
Bank Officer Name(s)		Bank Office:	Client Private Domicile:	Client Place of Business:	Other Location (specify):	Date:
Stewart Oldfield		✓	□	□		28/2017
		□	□	□
		□	□	□

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 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.) Jeffrey Edward Epstein(born January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career and then formed his own firm.J. Epstein & Co.He lives in the US Virgin Islands.Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975.Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns.In 1976, Epstein started work as an options trader at Bear Stearns where he worked in the special products division, advising high-net-worth clients on tax strategies.Providing successful in his financial career, in 1980 Epstein became a partner at Bear Stearns.In 1982, Epstein founded his own financial management firm.J. Epstein & Co., managing the assets of clients with more than $1 billion in net worth.In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a well-known client.Wexner acquired Abercrombie & Fitch the following year.In 1992 he converted a private school on the Upper East Side into an enormous residence.Epstein later bought that property, in the wealthiest part of Manhattan.In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas in the U.S.Virgin Islands.In 2003, Epstein bid to acquire New York magazine.Other bidders were advertising executive Donny Deutsch, investor Nelson Peltz, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein.They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street Investor, who paid $55 million.In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan.Epstein and Zuckerman were equal partners in the venture.Roshan, as its editor-in-chief, retained a small ownership stake.

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

DB-SDNY-0000385¶

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Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client’s assets.¶

Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets($): $50 MM - 100 MM¶

Estimated Net Worth($): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00¶

Other Known Financial Institutions:¶

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

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

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

DB-SDNY-0000386¶

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

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Harry Beller
Country of Residence:	United States
Address of primary residence:
Profession/Occupation:	Accountant
Current Employer:	HBRK Associates, Inc
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)¶

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe) N/A¶

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

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

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

Bank Office:	Client Private Domestic:	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:¶

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:¶

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

DB-SDNY-0000387¶

USAO 001350¶

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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-0000388¶

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Erika Kellerhalts - 0000049964	Date of Birth:	10/13/1974
Country of Residence:	Virgin Islands, U.S.	Country of Citizenship:	United States
Address of primary residence:		Has resident resided outside of higher country of nationality for 5 years or more?	Yes ✓ No
Profession/Occupation:	Attorney	Tax ID / SSN:	074-72-9603
Current Employer:	Kellerhalts Ferguson Kroblin PLC	Position/Title/Rank:	Attorney
Address of employer:	9100 Port of Sale Mall, Ste 15 St. Thomas Virgin Islands, U.S. 00802

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

□ Yes ✓ No¶

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe) N/A¶

□ Yes ✓ No¶

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

□ Family ✓ Friendship ✓ None¶

□ Yes ✓ No¶

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

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

Bank Office:	Client Private Domestic:	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:¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

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

Other Known Financial Institutions:¶

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

DB-SDNY-0000389¶

USAO 001352¶

7/11/2019¶

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

EFTA_00019262¶

EFTA00169009¶

KYC Print¶

Page 15 of 41¶

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-0000390¶

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

USAO 001353 7/11/2019¶

EFTA_00019263¶

EFTA00169010¶

KYC Print¶

Page 16 of 41¶

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Date of Birth:
Country of Residence:	Country of Citizenship:
Address of primary residence:	Has client resided outside of his/her country of nationality for 5 years or more? □ Yes ☑ No
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:	N/A

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

Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A □ Yes ☑ No¶

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

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

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

Bank Office:	Client Private Domicile:	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:¶

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:¶

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

DB-SDNY-0000391¶

USAO 001354¶

7/11/2019¶

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

| EFTA_00019264 | | :--- | :--- |¶

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

EFTA00169011¶

KYC Print¶

Page 17 of 41¶

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

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

DB-SDNY-0000392¶

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

USAO 001355 7/11/2019¶

EFTA_00019265¶

EFTA00169012¶

KYC Print¶

Page 18 of 41¶

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? □ Yes ☑ No
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:	N/A

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe) N/A □ Yes ☑ No¶

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

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

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

□ □ □ □¶

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

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

Nature of the Individual’s Business:¶

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

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

Summarize Source of Wealth:¶

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

Further Describe Source of Wealth/Detail the history of wealth for each of the sources: (e.g. For trusts, how did 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:¶

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

DB-SDNY-0000393¶

USAO 001356¶

7/11/2019¶

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

EFTA_00019266¶

EFTA00169013¶

KYC Print¶

Page 19 of 41¶

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

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

DB-SDNY-0000394¶

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

USAO 001357 7/11/2019¶

EFTA_00019267¶

EFTA00169014¶

KYC Print¶

Page 20 of 41¶

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:	N/A

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe) N/A □ Yes ☑ No¶

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

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

Bank Office:	Client Private Domestic:	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:¶

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:¶

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

DB-SDNY-0000395¶

USAO 001358¶

7/11/2019¶

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

| EFTA_00019268 | | :--- | :--- |¶

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.¶

EFTA00169015¶

KYC Print¶

Page 21 of 41¶

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

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

DB-SDNY-0000396¶

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

USAO 001359 7/11/2019¶

EFTA_00019269¶

EFTA00169016¶

KYC Print¶

Page 22 of 41¶

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? □ Yes ☑ No
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:	N/A

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe) N/A □ Yes ☑ No¶

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

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

Bank Office:	Client Private Domicile:	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:¶

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:¶

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

DB-SDNY-0000397¶

USAO 001360¶

7/11/2019¶

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

EFTA_00019270¶

EFTA00169017¶

KYC Print¶

Page 23 of 41¶

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

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

DB-SDNY-0000398¶

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

USAO 001361 7/11/2019¶

EFTA_00019271¶

EFTA00169018¶

KYC Print¶

Page 24 of 41¶

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? □ Yes ☑ No
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:	N/A

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe) N/A □ Yes ☑ No¶

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

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

Bank Office:	Client Private Domicile:	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:¶

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:¶

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

DB-SDNY-0000399¶

USAO 001362¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/201¶

EFTA_00019272¶

EFTA00169019¶

KYC Print¶

Page 25 of 41¶

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

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

DB-SDNY-0000400¶

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

USAO 001363 7/11/2019¶

EFTA_00019273¶

EFTA00169020¶

KYC Print¶

Page 26 of 41¶

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? □ Yes ☑ No
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:	N/A

Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A □ Yes ☑ No¶

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

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

Bank Office:	Client Private Domicile:	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:¶

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:¶

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

DB-SDNY-0000401¶

USAO 001364¶

7/11/2019¶

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

EFTA_00019274¶

EFTA00169021¶

KYC Print¶

Page 27 of 41¶

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

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

DB-SDNY-0000402¶

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

USAO 001365 7/11/2019¶

EFTA_00019275¶

EFTA00169022¶

KYC Print¶

Page 28 of 41¶

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 halter country of nationality for 5 years or more? □ Yes ☑ No
Profession/Occupation:	N/A
Tax ID / SSN:	N/A
Current Employer:	Position/Title/Rank:
Address of employer:	N/A

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe) N/A □ Yes ☑ No¶

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

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

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

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

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

□ □ □ □¶

Summarize Source of Wealth: □ Business Owner □ Salary/Earnings □ Investment □ Inheritance/Gifts □ Other:¶

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:¶

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

DB-SDNY-0000403¶

USAO 001366¶

7/11/2019¶

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

EFTA_00019276¶

EFTA00169023¶

KYC Print¶

Page 29 of 41¶

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

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

DB-SDNY-0000404¶

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

USAO 001367 7/11/2019¶

EFTA_00019277¶

EFTA00169024¶

KYC Print¶

Page 30 of 41¶

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 K. Indykke - 00000486405	Date of Birth:
Country of Residence:	United States	Country of Citizenship: United States
Address of primary residence:	Has client resided outside of either country of nationality for 5 years or more? □ Yes ☑ No
Profession/Occupation:	Accountant	Tax ID / SSN:
Current Employer:	Southern Financial LLC	Position/Title/Rank: Accountant
Address of employer:	6100 Red Hook Quarter B3 St Thomas Virgin Islands, U.S. 00802

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

Is the individual a Politically Exposed Person (PEP)? ✓ If Yes, describe it) N/A¶

To the best of your knowledge, is the individual related to an employee of the DB group? ✓ Family or Friendship, describe it) N/A¶

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

Bank Officer Name(s)	Bank Office:	Client Private Domestic:	Client Place of Business:	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:¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

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

Other Known Financial Institutions:¶

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

DB-SDNY-0000405¶

USAO 001368¶

7/11/2019¶

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

EFTA_00019278¶

EFTA00169025¶

KYC Print¶

Page 31 of 41¶

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

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

DB-SDNY-0000406¶

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

USAO 001369 7/11/2019¶

EFTA_00019279¶

EFTA00169026¶

KYC Print¶

Page 32 of 41¶

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Richard D. Kahn
Country of Residence:	United States
Address of primary residence:	□
Profession/Occupation:	Accountant
Current Employer:	HRKR Associates, Inc
Address of employer:	575 Lexington Ave, 4th FI New York 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) N/A¶

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

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

Bank Office:	Client Private Domestic:	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:¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

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

Other Known Financial Institutions:¶

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

DB-SDNY-0000407¶

USAO 001370¶

7/11/2019¶

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

EFTA_00019280¶

EFTA00169027¶

KYC Print¶

Page of 41¶

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

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

DB-SDNY-0000408¶

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

USAO 001371 7/11/2019¶

EFTA_00019281¶

EFTA00169028¶

KYC Print¶

Page 34 of 41¶

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:	Russian Federation
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
Address of employer:	N/A

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

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe) N/A¶

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

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

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


□	□	□
□	□	□
□	□	□

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

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

Nature of the Individual’s Business:¶

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

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

Summarize Source of Wealth:¶

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

Further Describe Source of Wealth/Detail the history of wealth for each of the sources: (e.g. for trusts, how did 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($):¶

Country: Est. Assets Under Mgt:¶

Estimated Net Worth($):¶

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

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

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

DB-SDNY-0000409¶

USAO 001372¶

7/11/2019¶

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

EFTA_00019282¶

EFTA00169029¶

KYC Print¶

Page 35 of 41¶

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:	Butterfly Trust - 00000486426
Type of Entity:	☐ Foundation/Association ✔ Trust ☐ Company ☐ Estate ☐ Partnership
Type of Entity Other (specify):
Country of Incorporation/registration:	Virgin Islands, U.S.
Volcker Status:	Identified on Customer Profile
Address (city, street, post code):	6100 Red Hook Quarter B3 St, Thomas 00802 Virgin Islands, U.S.

Provide a description of the entity’s organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,author and beneficiaries,etc.¶

This is an immovable trust set up by Jeffrey Epstein as the grantor. The beneficiaries for the trust are being updated by the current trustees. The trustees are Harry Beller and Erika Kellerhals. The beneficiaries are:¶

Darren Indykke¶

Richard Kahn¶

H455 Nutmeg Tree Lane #a Boynton Beach, FL 33436¶

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

DB-SDNY-0000410¶

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

USAO 001373 7/11/2019¶

EFTA_00019283¶

EFTA00169030¶

KYC Print¶

Page 36 of 41¶

Please indicate how ownership of the legal entity is reflected: Addition of Beneficiaries attached
Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same persons): This is an irrevocable trust set up by Jeffrey Epstein as the grantor.The beneficiaries for the trust are being updated by the current trustees.The trustees are Harry Beller and Erika Kellerhals.The beneficiaries are:Darren IndykeRichard Kahn
To the best of your knowledge,is the entity party to a non-banking relationship with Deutsche Bank(e.g.external legal counsel,client referral source,supplier of goods or services)?N/A	Yes☐No✓
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:	Trust account
Countries where business is transacted:	Virgin Islands,U.S.
Number of employees:	N/A

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):Trust account with Jeffrey Epstein as Grantor.Initial $100 given to the account to fund.The funds for this trust account come from investments made by Jeffrey Epstein.His wealth profile is filled out.
Estimated gross receipts p.a.($):	4,500,000.00
Estimated net profit p.a.($):	4,500,000.00
Estimated investable assets($):	$5MM-10MM
Potential Amount to be invested with PWM($):	700,000.00
Other Known Financial Institutions:
Institution:	Country:	Est. Assets Under Mgt:
Institution:	Country:	Est. Assets Under Mgt:
Institution:	Country:	Est. Assets Under Mgt:

3C. Legal Entity Details(For all Legal Entities)
Legal Entity Name:	Neptune, LLC-00000487264
Type of Entity:	Foundation/Association Trust Company Estate Partnership	Purpose of Entity:	Private Investment Philanthropic/Charitable Commercial
Type of Entity Other(specify):		Purpose of Entity Other(specify):
Country of Incorporation/registration:	United States	Date of incorporation/ registration:	12/21/2011

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

DB-SDNY-0000411¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/201¶

| EFTA_00019284 | | :--- | :--- |¶

EFTA00169031¶

KYC Print¶

Page 37 of 41¶

Volcker Status:	Identified on Customer Profile		Volcker Flag:	No
Address(city, street, post code):	6100 Red Hook, Quarter B3 St, Thomas 00802 Virgin Islands, U.S.		U.S.TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settior and beneficiaries,etc.:Single member LLC. Jeffrey Epstein is the sole member.The signors on this account are Jeffrey Epstein,Harry Beller,Darren Indyke.Richard Kahn is the manager.
Please indicate how ownership of the legal entity is reflected:Operating Agreement
Special attention:Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same persons):Single member LLC. Jeffrey Epstein is the sole member.The signors on this account are Jeffrey Epstein,Harry Beller,and Darren Indyke.Richard Kahn is the manager.
To the best of your knowledge,is the entity party to a non-banking relationship with Deutsche Bank(e.g.external legal counsel,client referral source,supplier of goods or services)?N/A			Yes No
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:		This LLC was formed to hold the funds necessary to cover the costs and taxes associated with running Jeffrey Epstein's NYC home
Countries where business is transacted:		United States
Number of employees:		3

3D. Wealth Profile(Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?	United States
Primary industry of source of Wealth/Source of Funds?	High Risk Financial Institutions
Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):This LLC is funded by contributions made by Jeffrey Epstein.
Estimated gross receipts p.a.( $ ):	1,000,000.00
Estimated net profit p.a. ( $ ):	1,000,000.00
Estimated investable assets ( $ ):	<$1 MM
Potential Amount to be invested with PWM ( $ ):
Other Known Financial Institutions:
Institution:	Country:	Est. Assets Under Mgt:
Institution:	Country:	Est. Assets Under Mgt:
Institution:	Country:	Est. Assets Under Mgt:

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

DB-SDNY-0000412¶

USAO 001375 7/11/2019¶

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

EFTA_00019285¶

EFTA00169032¶

KYC Print¶

Page 38 of 41¶

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

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

Attachments

A. Type of Photo ID Provided¶

Drivers License Passport National/State ID Other - Darren Indyke & Richard Kahn GCIS # 486405 & 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, D&B) Yes No negative results found Yes No¶

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

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

D. Please summarize any negative results from the database searches indicated above: Harry Beller:¶

No negative media
Harry Beller is the plaintiff in the court case, also it has been disposed.

Butterfly Trust:¶

No negative media
No court cases

Jeffrey Edward Epstein:¶

Negative media relates to the sex offence in the past which are already cleared. (KYC # - 01790655)
Court cases relate to Jeffrey’s sex offence in the past which is already cleared, another is a recent ongoing civil lawsuit pertaining to fraud, but part of normal business operations for this client. And in one of the case he’s neither defendant nor plaintiff. He’s just named as a respondent and the case is immaterial in nature.
Criminal Filings relates to sex offence which is already cleared in the past
RDC alert found - Sex offences in the past which has been cleared - Clearance attached.

No negative media No court cases¶

Darren Indyke:¶

Negative news in Google relates to Jeffrey Epstein’s Foundation and are not material in nature.
Court case mentioned in Google search relates to Jeffrey Epstein’s sex offence in the past which has been cleared already. Darren is just an attorney for Jeffrey in the case.
Firesoft alert has been cleared by AML Compliance. Clearance attached.

Richard Kahn:¶

No negative media
Court case was dismissed and he was not barred from NYSE Arca and was cleared in the previous KYCs. Attached clearances
RDC alert found - realizes to violation of NYSE Arca Equities Rule - Clearance attached

No negative media No court cases¶

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

DB-SDNY-0000413¶

USAO 001376¶

7/11/2019¶

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

EFTA_00019286¶

EFTA00169033¶

KYC Print¶

Page 39 of 41¶

Erika Kallehals: - No negative media - No court cases
- No negative media - Court case is immaterial since she is not a defendant nor plaintiff. Her name is just mentioned as miscellaneous. Case is closed as well.
Neptune LLC: - No negative media - No court cases
- No negative media - No court cases
- No negative media - No court cases
- No negative media - No court cases
- No negative media - No court cases
- No negative media - No court cases
Southern Trust Company Inc: - No negative media - No court cases
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? ☑Yes ☐No
To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. (Laden/Intf) or the Regulatory Control Group and notify compliance immediately)
G. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OPAC)? ☑Yes ☐No
H. Does the client or related party have any financial or other association / interactions within high risk countries?
I. Corporate Documentation Attached (Legal Entities Only)	☑Yes ☐No ☐Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only)	☑Yes ☐No ☐Not Applicable
K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/content of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? ☑Yes ☐No
Is the account structure unusually complex? ☑Yes ☐No
Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? ☑Yes ☐No
Is there any indication this could be a prohibited business relationship? ☑Yes ☐No
Are the bearer shares identified subject to acceptable controls? ☑Yes ☐No

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

DB-SDNY-0000414¶

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

EFTA_00019287¶

EFTA00169034¶

KYC Print¶

Page 40 of 41¶

M. Case Comments
Created By	Date	Comments
Kshitij Golani	9/25/118 10:04 AM	This KYC serves as a high risk update for the below listed clients(together"accountholders")- 1. && 2. Butterfly Trust 3. Neptune LLC 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 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)是the founder of Southern Trust Company Inc,which manages client's assets.SOW verification was obtained.In addition, 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.
Mayur Rathod	9/3/118 3:17 AM	No material changes confirmation"email" attached in the case.

ONSHORE APPROVALS
Client Facing Professional(CFP):	Stewart Oldfield	(Signature) Stewart Oldfield	9/5/2018
Office Director/Business Head:	Steven Mattus	(Signature) Steven Mattus	9/6/2018
Regional Office Director:		(Signature)
AML Business Risk:		(Signature)
AML Compliance:	Kshitij Golani	(Signature) Kshitij Golani	9/25/2018

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)

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

DB-SDNY-0000415¶

USAO 001378 7/11/2019¶

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

EFTA_00019288¶

EFTA00169035¶

KYC Print¶

Page 41 of 41¶

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. (e)¶

DB-SDNY-0000416¶

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

USAO 001379 7/11/2019¶

EFTA_00019289¶

EFTA00169036¶

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Deutsche Bank KYC file for Jeffrey Epstein's accounts, 2018 periodic review

1. Relationship Details¶

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)¶

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

3A. Individual Details (for all parties)¶

38. 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)¶

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)¶

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

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)¶

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

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)¶

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

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 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)¶