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Financial record · 2018

Deutsche Bank KYC file for Epstein's Virgin Islands Foundation, 2018 review

Deutsche Bank private wealth KYC review of Jeffrey Epstein's foundation account and an affiliated company, handled by a bank relationship manager with his attorney as primary contact.Machine-written summary

KYC Print

Page 1 of 20

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 RELATIONSHIPBooking 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 ****
Last Approved KYC # - J. Epstein Virgin Islands Foundation Inc - 1790655; Hyperion Air LLC - 1790820.
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 acct opened under this relationship.
Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship?□ Yes✓ No
(If Yes, describe):

List all existing and new accounts involved in this relationship

Legal Entity Account(s)Account Name / NumberOpening Date (intended/actual)
1J. Epstein Virgin Islands Foundation Inc - DBSI9/30/2013
2Hyperion Air LLC - DDA10/18/2013

| Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): | Darren K. 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-0000417

USAO 001380 7/11/2019

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

EFTA_00019290

EFTA00169037

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Page 2 of 20

One sheet must be established for each account to be opened

2. Account Ownership Summary
Account Name:1. Epstein Virgin Islands Foundation Inc -DBSIAcct. Number (& 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 foundation's securities and trade investments.
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)?: 0-5/month; $100 - $50K
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 Entity(s).
Legal Description Entity of Source of Wealth requiredParties related to this accountAccount HolderPIC OwnerSettler of Trust / Founder of FoundationUltimate Beneficiator Full POALimited POAFinancial Intermediary (FIM)Significant Shareholder (>=25%) Non-PIC entity (indicate ownership%)Legal RepresentativeGrantor/SettterFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1✓✓1. Epstein Virgin Islands Foundation, Inc✓□

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

DB-SDNY-0000418

USAO 001381 7/11/2019

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

| EFTA_00019291 | | :--- | :--- |

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

EFTA00169038

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Page 3 of 20

2. Account Ownership Summary
Account Name:Hyperion Air LLC - DDAAcct. 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 the account is to manage the monthly expenses of the company.
Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number): 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)?: 0-4/month; $100 - $150K
What is the expected volume of assets and currency for the account approx. 90 days after opening?

147,203.75 Currency USD
What is the expected volume of assets and currency for the account approx. one year after opening?

147,203.75 Currency USD
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?
☐ Yes ☐ No
Please list all parties related to the account.
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
If none of the check boxes apply, describe the party's relation to the account in the "Other" column.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying BeneficialOwner(s).
Legal EntityDescription of Source of Wealth RequiredParties related to this accountAccount HolderPIC OwnerSettler of Trust / Founder of FoundationUltimate Beneficiary of OwnerSignatory for Full POALimited POAFinancial Intermediary (FIM)Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %)Legal RepresentativeGrantor/SettterFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1☑☑Hyperion Air, LLC☑

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

DB-SDNY-0000419

USAO 001382 7/11/2019

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

EFTA_00019292

EFTA00169039

KYC Print

Page 4 of 20

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. EpsteinDate 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 EmployedTax IDSSN
Current Employer:Southern Trust Company IncPosition/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 entry listed on a DB-recognized exchange? (Not applicable for operating entities)

YesNo
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):
Stewart Oldfield
Stewart School
Daton School in Marsham from 1973 to 1975. Among his students was a son of Aline C. Greenberg, chairman of Bear Stearns.
Epsilon started work in an options trader at Bear Stearns where he worked in the special products division, advising high-net-worth clients on tax解答. He was a principal in his financial career in 1988. Epsilon became a partner at Bear Stearns.
Epsilon 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 Wesley, founder and chairman of Ohio-based The Limited chain of women’s clothing stores, became a well-known client. Weiner acquired Abercombie & Ritch the following year. In 1990 he converted a private school on the Upper East Side into an enormous residence. Epsilon later bought, in part, the island of St. Thomas in the U.S. Virgin Islands.
Epsilon had to acquire New York magazine, other bidders were advertising executive Danny Deutch, investor Nelson Pitt, media mogul and publisher Morton 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.

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?
Primary industry of source of wealth/Source of Funds?
Summares Source of Wealth:

Further Describe Source of Wealth (Detail the history of wealth for each of the sources: (e.g. for trusts, how did settler accumulate wealth?) Inheritance, how did family accumulate wealth? For business owners, how long in busines

DB-SDNY-0000420

USAO 001383

7/11/2019

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

| EFTA_00019293 | | :--- | :--- |

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019293”.

EFTA00169040

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Page 5 of 20

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($):10,000,000.00Estimated amount of investable assets($):$50 MM-100 MM
Estimated Net Worth($):$500 MM+Amount of assets planned to invest with PWM($):2,300,000.00
Other Known Financial Institutions:
Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
Please indicate the family situation of the individual(marital status, other family members, etc.):N/A

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

DB-SDNY-0000421

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

USAO 001384 7/11/2019

EFTA_00019294

EFTA00169041

KYC Print

Page 6 of 20

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. Indyke -
Date of Birth:
Country of Residence:United States
Country of Citizenship:United States
Address of primary residence:
Has client resided outside of higher 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) N/A

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

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

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

Bank Officer Name(s)Bank Office:Client Private Domestic:Client Place of Business:Other Location (specify):Date:
Stewart Oldfield✓□□12/12/2016
□□□
□□□

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

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

Nature of the Individual’s Business:

Primary Country of source of wealth/source of Funds?

Primary industry of source of Wealth/Source of Funds?

Summarize Source of Wealth:

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

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

Estimated Annual Income($):

Estimated amount of investable assets($):

Estimated Net Worth($):

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

Other Known Financial Institutions:

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

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

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

DB-SDNY-0000422

USAO 001385

7/11/2019

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

| EFTA_00019295 | | :--- | :--- |

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

EFTA00169042

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Page 7 of 20

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000423

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… USAO_001386 7/11/2019 EFTA_00019296

EFTA00169043

KYC Print

Page 8 of 20

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 Kellerhalis -Date of Birth:
Country of Residence:Virgin Islands, U.S.Country of Citizenship: United States
Address of primary residence:Has client resided outside of higher country of nationality for > 5 years or more? Yes ✓ No
Profession/Occupation:AttorneyTax ID / SSN:
Current Employer:Kellerhalis Ferguson Krobl PLCPosition/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

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

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

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:

Institution: Country: Est. Assets Under Mgt:

Institution: Country: Est. Assets Under Mgt:

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

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

DB-SDNY-0000424

USAO 001387

7/11/2019

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

| EFTA_00019297 | | :--- | :--- |

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

EFTA00169044

KYC Print

Page 9 of 20

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000425

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… USAO_001388 7/11/2019 EFTA_00019298

EFTA00169045

KYC Print

Page 10 of 20

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

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

3A. Individual Details (for all parties)

Individual’s Name:Harry Beller
Country of Residence: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 Officer Name(s)Bank Office:Client Private Domicile:Client Place of Business:Other Location (specify):Date:
□□□
□□□
□□□

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

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

Nature of the Individual’s Business:

Primary Country of source of wealth/source of Funds?

Primary industry of source of Wealth/Source of Funds?

Summarize Source of Wealth:

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

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

Estimated Annual Income($):

Estimated amount of investable assets($):

Estimated Net Worth($):

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

Other Known Financial Institutions:

Institution: Country: Est. Assets Under Mgt:

Institution: Country: Est. Assets Under Mgt:

Institution: Country: Est. Assets Under Mgt:

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

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

DB-SDNY-0000426

USAO 001389

7/11/2019

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

| EFTA_00019299 | | :--- | :--- |

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019299”.

EFTA00169046

KYC Print

Page 11 of 20

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000427

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… USAO_001390 7/11/2019 EFTA_00019300

EFTA00169047

KYC Print

Page 12 of 20

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:Paul S. BarrettDate of Birth:
Country of Residence:United StatesCountry of Citizenship:
Address of primary residence:Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:Investment AdvisorTax ID / SSN:
Current Employer:J.P. Morgan Securities LLCPosition/Title/Rank:
Address of employer:277 Park Ave New York NY United States 10172

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

Is the individual a Politically Exposed Person (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 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:

Institution: Country: Est. Assets Under Mgt:

Institution: Country: Est. Assets Under Mgt:

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

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

DB-SDNY-0000428

USAO 001391

7/11/2019

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

| EFTA_00019301 | | :--- | :--- |

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

EFTA00169048

KYC Print

Page 13 of 20

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

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

DB-SDNY-0000429

USAO_001392 7/11/2019

EFTA_00019302

EFTA00169049

KYC Print

Page 14 of 20

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:Lawrence Paul Vissoki Jr -
Country of Residence:United States
Address of primary residence:Manager
Profession/Occupation:Hyperion Air LLC
Current Employer:6100 Red Hook, Quarter B3 St, Thomas Virgin Islands, U.S. 00802
Address of employer:6100 Red Hook, Quarter B3 St, Thomas Virgin Islands, U.S. 00802

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

□ Yes □ No

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

□ Yes □ No

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

□ Family □ Friendship □ None

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

□ Yes □ No

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

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:

Institution: Country: Est. Assets Under Mgt:

Institution: Country: Est. Assets Under Mgt:

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

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

DB-SDNY-0000430

USAO 001393

7/11/2019

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

| EFTA_00019303 | | :--- | :--- |

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text: “EFTA_00019303”.

EFTA00169050

KYC Print

Page 15 of 20

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:3. Epstein Virgin Islands Foundation, 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:7/14/2000
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 trust/foundations, include information about revocability, setter and beneficiaries, etc. This is a 501 (c)3 foundation with Jeffrey Epstein serving as the President. Daren Indykie serves as VP and Erika Kellermahls as Secretary/Treasurer. The signors on this account are Jeffrey Epstein, Daren Indykie and Paul Barrett.

Please indicate how ownership of the legal entity is reflected: Articles of Incorporation

☐ 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 a 501 (c)3 foundation with Jeffrey Epstein serving as the President. Daren Indykie serves as VP and Erika Kellermahls as Secretary/Treasurer. The signors on this account are Jeffrey Epstein, Daren Indykie and Paul Barrett.

To the best of your knowledge, is the entity party to a non-bankary relationship with Deutsche Bank (e.g., external legal course, client referral source, supplier of goods or services)? N/A

Describe Nature of Entity’s Primary Business and Investment Activities

Nature of the business: 3. Epstein Virgin Islands Foundation Inc aka Enhanced Education is a private nonprofit foundation which is organized exclusively for charitable, educational and scientific purposes.

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

Number of employees: 5

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 initial donation came from Jeffrey Epstein’s personal funds. These funds have then been invested and reinvested as the source of income for the foundation. The profits the foundation gets from these investments are then reinvested or donated to charitable endeavors
Estimated gross receipts p.a. ($):400,000.00
Estimated net profit p.a. ($):250,000.00
Estimated investable assets ($):<$1 MM
Potential Amount to be invested with PWM ($):300,000.00

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)

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

DB-SDNY-0000431

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

EFTA_00019304

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Legal Entity Name:Hyperion Air, LLC -
Type of Entity:Foundation/AssociationTrustCompany
Estate PartnershipPhilanthropic/Charitable
Type of Entity Other (specify):
Country of incorporation/registration:Virgin Islands, U.S.Date of incorporation / registration: 10/19/2012
Volker Status:Identified on Customer ProfileVolker 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, settlement and beneficiaries, etc.: Single member LLC. Jeffrey Epstein is sole member/owner. The signers on this account are Jeffrey Epstein, Harry Beller and Darren Indyk
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 sole member/owner. The signers on this account are Jeffrey Epstein, Harry Beller and Darren Indyk
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
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to eventually take over payments for Hyperion Air Inc. Hyperion Air Inc will be closed within a year
Countries where business is transacted:Virgin Islands, U.S.
Number of employees:1

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

DB-SDNY-0000432

USAO 001395 7/11/2019

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

Relationship NameSOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:GCIS # Overall Risk-HIGH, Entity Risk-MEDIUM, Industry Risk-HIGH, Country Risk-MEDIUM, Product Risk-MEDIUM. GCIS # Overall Risk-HIGH, Entity Risk-MEDIUM, Industry Risk-HIGH, Country Risk-MEDIUM, Product Risk-HIGH.
Booking CenterNYNY/OffshoreOffshoreModerate RiskHigh Risk
(Compliance Signature)
DB EmployeeDB Managed PICDB is Trustee/Co-TrusteeBearer Shares

4. Attachments

A. Type of Photo ID Provided

  • Drivers License
  • Passport
  • National/State ID
  • Other : Darren Indyke - GCIS #

B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached

  • Yes
  • No

C. Please indicate the results of the database searches performed

  • RDC searches complete

    • Yes
    • No
    • negative results found
    • Yes
    • No

  • PCR checks complete

    • Yes
    • No
    • negative results found
    • Yes
    • No

  • OFAC checks complete

    • Yes
    • No
    • negative results found
    • Yes
    • No

  • BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, 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:

  • J. Epstein Virgin Islands Foundation Inc:

    • No adverse information in Google results for J. Epstein Virgin Islands Foundation Inc. News relates to tax return and nothing negative. Negative news relates to Jeffrey Epstein’s sex offense which are cleared already. Attached clearances in this case.
    • No court cases

  • Hyperton Air LLC:

    • No adverse information in Google media results. Hyperton Air LLC’s name is just mentioned in the Aircraft Newly Registered list on antonakis.co.uk website.
    • No negative media
    • No court cases

  • Jeffrey Edward Epstein:

    • Adverse results in Google relates to Jeffrey’s Sex offence in the past which are cleared already. Attached clearances in the case.
    • Negative media relates to the sex offence in the past which are already cleared, another (Garber E.A.V. The Financial Trust Company Et AI) is a recent ongoing civil lawsuit pertaining to fraud which has been dismissed (attached document), 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 immineral in nature.
    • Criminal Filings relates to sex offence which is already cleared in the past.
    • ROC alert found - Sex offences in the past which has been cleared - Clearance attached

  • Darren Indyke:

    • Negative news in Google does not pertain to Darren. It relates to Jeffrey Epstein’s Foundation and Jeffrey Epstein’s sex offence in the past which are already cleared.
    • 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.

  • Harry Beiler:

    • No adverse information in Google media results for our RP Harry Beiler. Hits are False positives - on a scientist and an UN Orthopedic doctor.
    • No negative media
    • Harry Beiler is the plaintiff in the court case, also it has been disposed.

  • Erika Kellerhals:

    • No negative media
    • No court cases

  • Southern Trust Company Inc:

    • No negative media
    • No court cases

  • The Financial Trust Company:

    • Negative news in research is false positive and immaterial in nature. The hit is on IRA Financial Trust Company and not our SOW entity The Financial Trust Company.
    • Court case pertains to First Financial Trust Company and not our SOW entity The Financial Trust Company

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

DB-SDNY-0000433

USAO 001396

7/11/2019

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

EFTA_00019306

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Paul S Barrett: - No negative media - No adverse results in Google search. Those are false hits. There's a match in one news, but he's just mentioned as an Investment advisor - No court cases - RDC alert found - False positives, does not pertain to our client. Age and location mismatch. Clearance attached.
Enhanced Education: - Hits on Google are on the term "Enhanced Education" and not on our entity's former name - Negative media hits are on the term "Enhanced Education" and not on our entity's former name - Court cases have term "Enhanced Education" included, the hit is not on our entity's former name
Lawrence Paul Visoski Jr: - 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
F.To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. (LatAm/Intl) or the Regulatory Control Group and notify Compliance immediately) ☑Yes ☐No
G.Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ☑Yes ☐No
H.Does the client or related party have any financial or other association/ interactions within high risk countries? ☑Yes ☐No
I.Corporate Documentation Attached (Legal Entities Only) ☑Yes ☐No ☐Not Applicable
J.Undisclosed Principal Form Complete (Intermediaries Only) ☑Yes ☐No ☐Not Applicable
K.If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/content of the non-English Documentation:
L.Special Risk Factors
Does the account have Nexus to Special Risk Countries? ☐Yes ☐No
Is the account structure unusually complex? ☐Yes ☐No
Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? ☐Yes ☐No
Is there any indication this could be a prohibited business relationship? ☐Yes ☐No
Are the bearer shares identified subject to acceptable controls? ☐Yes ☐No

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

DB-SDNY-0000434

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

USAO 001397 7/11/2019

EFTA_00019307

EFTA00169054

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M. Case Comments
Created ByDateComments
Mayur Rathod9/24/118 3:16 AMNo material changes confirmation "email" attached in the case.
Jeana Milligan11/14/118 3:16 PMThis KYC serves as Periodic Review for the following existing clients: (1) J. Epstein Virgin Islands Foundation Inc. (2) Hyperion Air LLC Risk factors include: • Source of Wealth(SOW) Industry: Financial Management • PEP/RCA: Jeffrey Epstein, UBO&SOW, is considered an RCA based on his close relationship with Bill Clinton and Prince Andrew. • Media: Negative media related to Jeffrey Epstein has been previously reviewed and escalated for reputational risk concerns. Prior approval to proceed with the relationship may be found under KYC 01082293, including a stipulation to review further if new media is identified. Accordingly, approval from the Divisional Control Officer is attached to this KYC in regards to a recently filed (and dismissed) court case. (Please see clearances for more details) We are comfortable signing-off on this KYC for the following reasons: • Information and supporting documents required by our AML Policy were provided and reviewed. As a result, we have a reasonable understanding of the purpose of the account and expected transaction activity. • The source of wealth was sufficiently detailed and appears plausible. • We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists.
Mayur Rathod11/13/118 8:20 AMBanker last spoke to Richard Kahn,CFO of Epstein's family office on 1st Nov 2018 confirming no material changes to this KYC.
ONSHORE APPROVALS
Client Facing Professional(CFP):Stewart Oldfield(Signature) Stewart Oldfield10/15/2018
Office Director/Business Head:Andrew F Gallivan(Signature) Andrew F Gallivan10/15/2018
Regional Office Director:(Signature)
AML Business Risk:(Signature)
AML Compliance:Jeana Milligan(Signature) Jeana Milligan11/14/2018
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional(CFP):(Signature)
Account Manager:(Signature)
Global Market Team Head(GMTH)/SubMarket Team Head(SMTH):(Signature)
AML Business Risk:(Signature)
AML Compliance:(Signature)

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

DB-SDNY-0000435

USAO 001398 7/11/2019

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

DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy

(1) Client Facing Professionals (CFP’s) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc.

Deutsche Bank Americas New York

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

DB-SDNY-0000436

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

USAO 001399 7/11/2019

EFTA_00019309

EFTA00169056

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