#### DB PWM GLOBAL KYC/NCA: PART A KYC Case N : 01977698 Status : U.Approved | | | | One sheet must be established per relationship - list all accounts Included in the relationsh I | | | | | | | | | | | ------------- | ---------------------------------------------------------------------------------------------------------------------------------------- | --- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------- | -------- | ------------------------------- | ---------- | ------------------------ | --- | --- | --- | --- | | | | | | 1. Relationship Details | | | | | | | | | | | Relationship Name: | | SOUTHERN FINANCIAL RELATIONSHIP:00000483290 | | New York | | | | | | | | | | Relationship Manager: | | Stewart Oldfleld | | | | | | | | | | | | | | O Nov PWM Relationship | 12 Existing MN Relationship | | | | | | | | | | | Relationship to PWM: | | If existing, please vacate since when the relationship tests, provide reason for net/ profile and attach old profile: •\*" 2018
Periodic Review \*\*\* | | | | | | | | | | | | | | El Client Referral | O RM Prospect | | O Intermediary/FIM | • | Other Source (CIB, etc.) | | | | | | client? | How Was the Clent(s)
Introduced? How keg has the
RN personaly known the | | Please provide details (e.g. name of referral source, how many years RN persona/I ha known client, etc.): Jeffrey Epstein
reached out to Stew Oldfieki on 3/7/17 to have a new acct opened under this relationship
Last Approved KYC a - M.
Butterfly Trust - 1804531: Neptune, LLC - 1790739. | | | | | | | | | | | | Does Deuische Bank pay a
retrocession or similar | | •
Yes | | | | | | | | | | | relationship? | compensation to a third party
far the .woductlon of this | | (if Ys, desatte) | | | | | | | | | | | | | | Lst all existing and new accounts involved in this reLabonship | | | | | | | | | | | | Legal Entity
Account(s) | | Account Name / Number | | | Opening Crate (intended/actual) | | | | | | | | 1 | • | | | | | | 12/13/2013 | | | | | | | 2 | 2 | | Butterfly Trust - 44130552 - NMB.4.44130552 | | | | 1/24/2014 | | | | | | | 3 | 2 | | Neptune LW - 42953429 - DDA.42953424 | | | | 10/18/2013 | | | | | | | accounts.): | Who is he primary contact
person or the RM? (Note: This
person needs to have
sgratory nghts and/or
information right for the | | | Preferred method of contact
(indicate phone no., fax no.,
e-mail address, etc.): | | | | | | | | | CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000001 https://dbforcepb.my.salesforce.com/serviet/servlet.Integration?lid=0 I N30000000D9Di&e... 4492828965 EFTA_000 18875 | One sheet must be established for each account to be opened | | | | | ----------------------------------------------------------- | --- | --- | --- | | one sheet must be established for each account to be opened
2. Account Ownership Summary | | | | | | | | | | | | | | | | ------------------------------------------------------------------------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------------- | --------------------- | --- | ------------------------------------------------------------- | ------------------ | -------------------------------------------- | --- | --------- | ---------------------------------------------------------------------------- | ------------------------------------------------ | ------------------------------ | ----- | ----------------------------------------------------------------------------------------------- | | | | | | | | | | | | | | | | | | | Account Name: | | | | ಿಗ | | | | | | | Acct. Number (if available): | | | | | Account Manager:
Stewart Oldfield | | | | | | | | | | | | | | | | What is the purpose of the account (e.g. portfollo 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, ): | | | | | | | | | | | | | | | \$2000 | What is the expected size and frequency of regular inflicate estimated number and volume per month)?: 2- month; \$1 - | | | | | | | | | | | | | | | after opening? | What is the expected volume of assets and currency for the account approx. 90 days | | | | | | | | 24,282.99 | | | Currency | USD | | | after opening? | What is the expected volume of assets and currency for the account approx. one year | | | | | | | | 24,282.99 | | | 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 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 Description
Entity of Source
of Wealth
required | Parties
related to
chis
account | Account PIC
Holder | | Settlor of
Owner Trust /
Founder of Owner
Foundation | Beneficiallor Full | Ultimate Signatory Limited Financial
POA | POA | (FIM) | Significant
(>=25%)
Non-PIC
entity
(indicate
ownership
46) | Legal
Intermediary Shareholder Representative | Grantor/Settlor Founding Other | Donor | (please
describe
other roles
and/or
Indicate
relationship
between
parties) | | 1 | > | | > | | | > | > | | | | | | | | | 2 | | | | | | V | | | | | | | | | CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000002 USAO289966 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... EFTA_00018876 | 2. Account Ownership Summary | | | | | | | | | | | | | | | | | | ---------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ---------------------------------------- | --------------------------------- | --- | -------------------------------------- | ---------------------------------------------------------------- | --------------------------------------- | --- | ----- | --- | ---------------------------------------------------------------------- | -------------------------------------------- | -------------------- | ----- | ----------------------------------------------------------------------------- | | | | Account Name: | | | | | Acct. Number (i fevadable):
Butterfly Trust - 94130552 - MMBA | | | | | | | | | | | | | Account Manager. | | | | Stewart Oldfield | | | | | | | | | | | | | What is the purpose of the account (e.g. portfolio management, advisory accoLrit, custody senAces, long-term investment, payment/expense account)? This IS a
money market deposit account to pay all expenses! disbursements related to the trust. Expenses are taxes, Dust fee, etc
Indicate from 'tore the assets are expected to arrive?
2 DB Group: Same Booking Center (indicate account number): Existing
O DB Group: Other Booking Center (indicate DB location and account details):
O Other Institution - (Indicate name & location):
O 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; SO -
51000
What is the expected vokime of assets and currency for the account approx. 90 days after
I CLrrency
I USD
1709,736.63
opening?
What is the expected volume of assets and currency for the account approx. one year after
I Curren cy
I USD
1709,736.63
opening?
°Yes El No
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? | | | | | | | | | | | | | | | | | | Legal
Entityof | Please 1St 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 descrte the relationship of the party to the account (> ton be selected).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other' column.
• Always descrte the relationship between the parties in the last column.
• Please drill down to the ultimateftriderlying Beneficial Otrner(s).
Desaiption
Source
of Wean.
mused | Parties
related to
this
account | AccountP1C
Holder CrimerTrust! | | Senior' of
Founder of
Foundation | Jltimate
Benefioabr
Saner | Signatorydrnitedhnancial
Full
POA | POA | (FIM) | | Rgnificant
(>., 25%)
Non-P1C
entity
(indicate
ownership | \_egal
Intermedaythareholderfaeprisentatne | Grantor/SettioSoundl | 3onor | her
,please
aascnbe
other roles
andfor
nd,cate
relatiorshop | | i | 2 | | trust Butter\* | 2 | | | | | | | | %) | | | | between
names) | | 2 | O O | | | | 2 | 2 | O | O | O | O | | | O | • | • | | | | | | Harry
Belle r | O | O | O | • | 9 | O | O | | | • | • | • | TIIISI44:: | | | | O O | Enka
Kelleals rh I—I 1-1 | | O | O | • | O | O | O | | | • | • | O | Trustee:: | | 4 | | O 9 | Jeffrey E.
Epgen | O | O | 9 | • | a | o | o | | | • | • | O | Grantor of
Butterfly
Trust; | | S | | O O | | | | | 5 | O | O | O | | | • | • | • | | | 6 | | O O | MO OO | O | O | El | | CI | O | O | | | • | • | • | | | 7 | | O O | | O | O | O | | O | O | O | | | • | • | O | | | 0 | | O O | | O | O | O | 2 | O | O | O | | | O | O | O | | | 9 | | O O | | O | O | O | 2 | O | O | O | | | O | O | O | | | | 10 O O | | | O | O | O | M | O | O | O | | | O | O | O | | | | 11 O O | | | O | O | O | 2 | O | O | O | | | O | O | O | | CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000003 https://dbforcepb.rny.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 4#928?8967 EFTA_000 1 8877 | | | | | J | | | | | | --- | --- | ------------------- | --- | ---- | --- | --- | --- | --- | | | | Darren K.
Indyke | | 1. A | | | | | | | | | | | | | | | | | | Richard D.
Kahn | | | | | | | | 16 | V | | | | | | | | CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000004 USAO289968 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... EFTA_00018878 | | 2. Account Ownership Summary | | | | | | | | | | | | | | | | --- | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ----------------------------------------------- | ----------------------------------------- | ------------------ | --- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------- | ---------- | ------- | --------- | --------------------------------------------------------------------------------------------------------- | ------------------------------------ | ----------------------- | -------- | ------------------------------------------------------------------------------------------- | | | Amount Name: | | | | | | Neptune LLC - 42953424 - DDA | | | | | Acct. Number (if aradaWe). | | 42953429 | | | | | Amount Manager. | | | | | Stewart Oldfleld | | | | | | | | | | | What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term 'moment, payment expense account)? This k 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 aMve? | | | | | | | | | | | | | | | | | 2 DB Group: Same Booking Center (Indicate account number): hiding | | | | | | | | | | | | | | | | • | DB Group: Other Booking Center (indicate DB location arid account details): | | | | | | | | | | | | | | | | | O Other Insotution — (Indicate name & location): | | | | | | | | | | | | | | | | | | | | | | O Physical Deposils (specify cash, securities, cheques, ): | | | | | | | | | | | | What is the expected Sze 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 fa the account approx. 90 days after
1207,814.91
I CLerency
I USD
opening? | | | | | | | | | | | | | | | | | opening? | | | | | What Is the expected volume of assets and currency fix the account approx. one year after | | | | | 1207,814.91 | | I Currency | USD | | | | | | | | | Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? | | | | | ario2No | | | | | | | For each party: | Please list all parties related to the account. | | | | • Check if a source of wealth descripbon Is required for the party.
• If none of the check boxes apply, describe the patty's relation to the account In the 'Other column.
• Always describe the relationship between the polies in the last column.
• Please drill down to the ultimatefteidedyng Beneficial Owner(s). | | | | | • Check the appropriate box to desate the relationship of the patty to the acme-it (> 1 can be selected). | | | | | | | Legal | Docripoon | | AccounUPIC | | Settle( of | Jlbmate | Signatory | Limited | Financial | Significant | egal | Granta/Settlorfounding• | | the | | | intrtrof | Source
of Wealth
requeed | Parties
related to
this
BCCOLMIt | Holder Onneffrust/ | | Founder of
Foundation | Beneficialor
Owner | Ful
POA | POA | (Flm) | (>=25%)
Nan-PIC
awry
(Indicate
ownership
%) | IntermedioyShareholderltexesentative | | Donor | (please
1escrte
other roles
and/or
ndicate
relationship
Setween
'otos) | | | 1 O | ID | Jeffrey E.
Epsten | O | O | O | 2 | 2 | O | O | | O | O | | Sole
Member of
Neptune
LLC: | | 2 | O | O | Hat ry
Beller | O | O | O | O | 2 | O | O | | O | O | • | | | 3 | O | O | Darren K.
Indyke | 0 | 00 | | 0 | e | o | O | | 0 | 0 | I | | | 4 | 2 | 2 | Neptune,
LLC | 2 | O | O | O | O | O | O | | O | O | • | | | 5 | O | O | Rkhard
D. Kahn | n
I—I | O | O | O | O | O | O | | O | O | • | Manager
Yeptune
\_LC; | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000005 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828969 EFTA_000 18879 #### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa | 3A. Individual Details (for all parties) | | | | | | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------- | ---------------------------- | --------------------------------------------------------------------------------------- | ------------ | ----------- | --- | --- | --- | --- | | indivedual's Name: | IM | | | Date of Bkth: | | | | | | | | Country of Residence: | | | | Country of Ottpenship: | | | | | | | | Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for S years or more? | | O Yes la No | | | | | | Profession/Ocorpatka: | | | | Tax ID / SSN: | | | | | | | | Current Employer: | N/A | | | Position/Tide/Rank: | | N/A | | | | | | Address of employer: | N/A | | | | | | | | | | | | Does the perste, work as serer executive of a DDreagnized regulated entity in the financial
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | in
al
Pb
"
YES | | | | | | | | | Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A | | | O Yes | O Na | | | | | | | Family once-iced:At describe) N/A | To the best of your knowledge, Is the Individual related to an employee of the i343 group?(if | | | • Family | • Friendship | O None | | | | | | To the best of your knowledge, is the kxlividual party to a non-banking relationship with
Dyes
O No
Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or
seivicm)?tif res,elemte) N/A | | | | | | | | | | | | If applicable, indicate wrath bar\* officers have met the person: | | | | Indcate where and when the client meetng(s) took place: | | | | | | | | Bank Officer Name(s) | Bank Office: | Cent Private
Domkoile: | Client Place of
Business: | Other Location (specify): | | Date: | | | | | | | | O | O | • | | | | | | | | | | O | O | O | | | | | | | | | | O | CI | O | | | | | | | | • Wealth Details for this indMdual are not filled in, because they we the same as for the following person: | | | | | | | | | | | | | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------ | -------------------------------- | ----- | --- | ---------------------------------------- | --------------------------------------------------------------------------- | -------------------------------- | --- | --- | --- | --- | | 3B. Wealth Details (Only for parties requinng source of wealth description as indlated In Seddon 2) | | | | | | | | | | | | | Homemaker. Solely relies on income from her Wit who is a monor Designer.
Nature of the Individual's Busrness: | | | | | | | | | | | | | Primary Country of source of wealth/source of Funds?
United States | | | | | | | | | | | | | Primary industry of source of Wealth/Source of Funds? | | | Other | | | | | | | | | | Summarae Source of Wealth: | | | | | | O Business Owner 2 Salary/Earnings O Investment • IMeritance/Gifts 2 Other. | | | | | | | Further Desate Source of Wealth
/Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate
wealth? For inheritance, how
rim
of business can
how .k n in
n
did family accumulate Weath 'For
I
tab::, ? Indicate
business ow
ma r activities, important busness
partners.) | | | | | | | | | | | | | Estimated Annual kicome(\$): | | | | | Estimated amount of investable asset(\$): | | \ | | | | | | Estimated Net WoRh(S): | \Amount of assets planned to invest with PWM(\$):
20,00100 | | | | | | | | | | | | Other Known Financial Institutions: | | | | | | | | | | | | | Insbtution: | | Catty:
Est. Assets Under Mgt: | | | | | | | | | | | monition: | | Catty:
Est. Assets Under Mgt: | | | | | | | | | | | | | | | | | | | | | | | CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000006 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM9282897° EFTA_000 18880 | Insbbition:
I | | I
Est. Assets Under Mgt: | | | | | | | | ------------------------------------------------------------------------------------------------------------------------------- | --- | --------------------------- | --- | --- | --- | --- | --- | --- | | I
Please indicate the (amity situation of the inclvidual (mantal status, other family members, etc): Marred to Karyna Shute\* | | | | | | | | | CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000007 https://dbforeepb.my.salesforce.com/servlethervlet.Integration?lid=0IN30000000D9Di&e... UM9282897I EFTA_00018881 #### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary | 3A. Individual Details (for all parties) | | | | | | | | | | | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ----------------------- | ---------------------------- | --------------------------------------------------------------------------------------- | ---- | --------- | -------- | --- | --- | | | | | | | | | | | | | Indowdual's Name: | | | | Date of Skth: | | | | | | | Country of Residence: | United Rates | | | Country of Otaenship: | | | | | | | Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for S years or more? | | O Yes ©No | | | | | Profession/Ocapatka: | | | | Tax ID / SSN: | | | | | | | Current Employer: | | | | Poston/Tide/Rank: | | | | | | | Address of envioyer: | | | | | | | | | | | | Does the person work as senor executive of a DB-recognized regulated entity in the finance'
ndustry? or an entity listed on a DEI.recoanised exchange? (Not applicable for operating entitles | | | i—iyes
g
Pb
" | | | | | | | Is the individual a Politically Exposed Person (PEP)?(if Yes, \*scree) N/A | | | | O yes | g No | | | | | | To the best of your knowledge, Is the individual related to an employee of the DB group?(if
Family once-Awash\*, describe) N/A | | | | • Family
• Friendship
g None | | | | | | | To the best of your knowledge, is the inclividual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or
servia)?(if res,clesmbe) N/A | | | Dyes | 121 Pb | | | | | | | If applicable, indicate ntch bar\* officers have met the person: | | | | Ind.cate where and when the client meetng(s) took place: | | | | | | | Bank Officer Name(s) | Bank Offkr ' | Cent Private
Domcie: | Client Place of
Business: | Other Location (specify): | | Date: | | | | | Stewart Oldrield | | O | O | RI | | | 123/2017 | | | | | | O | O | • | | | | | | | | | | | | | | | | | | • Wealth Details for dus indindual are not filled in because they we the same as for the following person: | | | | | | | | | | | ----------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------- | ------- | --- | --- | ----------------------------------------------- | --------------------------------------------------------------------------- | -------- | --- | --- | | 3B. Wealth Details (Only for parties requiring source of wealth description as rioted In Seddon 2) | | | | | | | | | | | Nature of the Individual's Business:
Interior Desgn | | | | | | | | | | | Primary County of source of wealth/source of Funds?
United States | | | | | | | | | | | | Primary ndustry of source of Wealth/Source of Funds?
Other | | | | | | | | | | Summarae Source of Wealth: | | | | | | O Business Owner OSalary/Earnings O Investment • Inheritance/Gifts • Other: | | | | | Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For mists, how did sector accumulate
wealth? For Inheritance, how | | | | | | | | | | | Estimated Annual Income(\$): | 150,000.00 | | | | Estimated amount of Investable assets(\$): | | \<51 MM | | | | Estimated Net Worth(S): | \Amount of assets planned to invest with PWM(\$):2,000.00 | | | | Amount of assets planned to invest with PWM(\$): | | 2,000.00 | | | | | Other Known Finance' Institutions: | | | | | | | | | | Insbtution: | | County: | | | | Est Assets Under Mgt | | | | | Insmution: | | Canby: | | | | Est. Assets Under Mgt: | | | | | Instiwtlon: | | Canby: | | | | Est. Assets Under Mgt: | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000008 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92829972 EFTA_00018882 Please indicate the family situation of the individual (marital status, other family members, etc.): Married to CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000009 Q973 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e.. EFTA_00018883 | One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary | | | | | | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------------------------------------------------------- | ---------------------------------------- | ------------------------------------------------------ | ------------------------- | ------------- | -------- | --- | --- | --- | | | | | 3A. Individual Details (for all parties) | | | | | | | | | Mew:lugs Name: | Jeffrey E. Epstein - 03000483289 | | | Date of Bath: | | 1/20/1953 | | | | | | Country of Residence: | Virgin Islands, US. | | | Country of Citizenship: | | tinted States | | | | | | Address of primary residence: | Uthe Saint James Saint Thomas 00802 Virgin Islands, US. | Has client resided outside of
his/her country of nationaltty
for 5 years or more? | | O yes ©No | | | | | | | | Profession/Ocapatkn: | Self Empolyed | | | Tax ID / SSN: | | | | | | | | Current Employer: | Southern Trust Company Inc | | | Positionifitle/Rank: | | President | | | | | | Address of employer: | 6100 Red Hook Quarter B3 St. Thomas Virgin Wands, US. 00802 | | | | | | | | | | | | Does the person work as sensor executive of a DB-recognized regulated entity in the financial
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | ri
2
Pb
Yes
" | | | | | | | | 2 yes
Is the indMdual a Politically Exposed Person (PEP)?(// Yes, \*sate) Correction with Prince
O Pb
Andrew and Bill Clinton | | | | | | | | | | | | Family oneriendS4), describe) N/A | To the best of your kncmledge, is the individual related to an empkryee of the 08 group?(d | | | O Family | Friendship | O None | | | | | | To the best of your knowledge, is the inclividel party to a non-banking relationship with
O Yes
O1 No
Deutsche Bank (e.g., external legal counsel, diet refetal source, supplier of goods or
servidr)?Of l'es,desmbe) N/A | | | | | | | | | | | | | If applicable, indicate Mich bank officers have met the person: | | | Indcate where and then the dent meeting(s) took place: | | | | | | | | Bank Officer Name(s)
Bank Office: | | | Client Private
Domcdle: | Client Place of
Business: | Other Location (specify): | | Date: | | | | | Stewart Oldfield | | O | O | • | | | 128/2017 | | | | | | | o | o | O | | | | | | | | | | O | CI | O | | | | | | | | O Wealth Details for this individual are not filled In, because they are the same as for the following person: | | | | | | | | -------------------------------------------------------------------------------------------------------------- | -------------------------------- | --- | --- | --- | --- | --- | | 3B. Wealth Details (Orgy for parties remaring source of wealth description as indicated In Section 2) | | | | | | | | Nature of the Individual's Business:
Pnvate investments | | | | | | | | Primary Ceundy of source of wealth/source of Funds? | United States | | | | | | | Primary ndustry of source of Wealth/Source of Funds? | High Risk Financial Institutions | | | | | | | 2 Business Owner O Salary/Eamings O Investment M INpritance/Gifts O Other:
Summarae Source of Wealth: | | | | | | | Further Desate Sauce of Wealth /Detail the history of wealth for did family accumulate wealth7For business owners, how long in major activities, important business partners.) Jeffrey Edward Epstein States. He worked at Bear Stearns early In Ns career and then formed and physics at the Dalton School in Manhattan from 1973 to 1975. In 1976, Epstein started work as an options trader at Bear Steams strategies. Proving successful in his financial career, ki 1980 Epstein each of the sources: (e.g. For trusts, how did senor axumulate wealth? For inheritance, how business, how many employer, level of creditability? Indicate type of business, countries of (born January 20, 1953) is an Amencan financier and registered sex offender in the United his oval firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus Among his students was a son of Alan C. Greenberg, charman of Bear Stearns. kMere he worked in the special products division, advising tagh-net-worth clients on tax became a partner at Bear Stearns. In 1982, Epstein founded his cam financial management firm, J. Leslie Wexner, founder and chairman of Ohm-based The Linked Fitch the following year. In 1992 he converted a private school on weehiest part of Manhattan. In 1996, Epstein changed the name St. Thomas in the U.S. Virgin Islands. Epstein & Co., managing the asses of clients with more than 51 billion n net woo. In 1987, chain of women's clothing stores, became a well-known dkent. Wexner acquired Abercrombie & the Upper East Side into an enormous residence. Epstein later bought that property, in the of his firm to the Financial Trust Company and, for tax advantages, based it on the island of In 2003, Epsten bid to acquwe New York magazine. Other bidders Mauler Zuckerman, who had the New York Daily News, and film Wag Street investet, 555 were advertrsing executive Denny Deutsch, Investor Nelson Peltz, media mogul and publisher producer Harvey Weinstein. They were ultimately putted by Bnce Wasserstein, a longtime vino pan mist. finance Radar a celebrity and pop culture magazine founded by Mae: Rcshan. Epstein and -In-chief, retained a small ownership stake. In 2004, Epstein and Zuckerman committed up to \$25 million to Zuckerman were equal partners in the venture. Roshan, as its editor CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000010 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92828974 EFTA_000 18884 EFTA00168631 | Presently, Mr. Epstein founded Southern Trust Company Inc, a private ca-isulting company that invests the assets of their diet and gets thew 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
assodated with managing their diet assets. | | | | | | | | | | | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --------- | ------ | ----------------------------------------- | ----------------------------------------------- | ---------------------- | ------------ | -------------- | --- | | Estimated Annual kicome(\$):
10,000,000.00 | | | | Estimated amount of Investable assets(\$): | | | | \$50 MN - WO MM | | | Estimated Net Worth(S): | | \$500 MM + | | | Amount of assets planned to invest with PWM(\$): | | 2,300,000.00 | | | | Other Known finandal Institutions: | | | | | | | | | | | insbtution: | | | Catty: | | | Est. Assets Under Mgt | | | | | Insbtution: | | | Catty: | | | Est. Assets Under Mgt: | | | | | Institution: | | | Catty: | | | Est. Assets Under Mgt: | | | | | Please indicate the family situation of the indvidual (marital status, other family members, etc): WA | | | | | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-000001 1 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92829975 EFTA_000 18885 | One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl
Summa | | | ----------------------------------------------------------------------------------------------- | --- | | | | | 3A. Individual Details (for all panes) | | | | | | | | | | | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------ | --------------------------- | ---------------------------------------------------------------------------------------- | --------------------------------------- | ---------- | ----- | --- | --- | | Individual's Name: | Harry Bever • | | | Date of Bird,: | | | | | | | Country of Residence: | United States | | | | Country of Ottaenship:
United States | | | | | | Address of primary residence: | | | | Has client resided outside of
his//her country of nationality
for S years or more? | | CI yes ©No | | | | | Profession/Ocaeatka: | Accountant | | | Tax ID / SSN: | | | | | | | Current Employer. | HBRK Associates, Inc | | | Posteri/Tele/Rank: | | newt:Rant | | | | | Address of employer: | 575 Lexington Avenue, 4th Roor Halsey NY United States 10022 | | | | | | | | | | | Does the person work as senior executive of a DBrecognlzed regulated entity in the Mandel
ndusby? or an entity listed on a DDreccgnised exchange? (Not applicalie for operating entitles | | | 2
in yes
Pb
I--I | | | | | | | Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A | | | | | O Yes
2 No | | | | | | To the best of your knowledge, Is the individual related to an employee of the DB group?(if
Family once-Awash\*, describe) N/A | | | | | • Family
• Friendship
g None | | | | | | To the best of your knowledge, is the kxlividual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or
servio)?(if res,demte) N/A | | | | O Yes
I21 No | | | | | | | | | | | | | | | | | | If applicable, indicate which bank officers have met the person: | Ind.cate where and viten the client meeting(s) took place: | | | | | | | | | | Bank Officer Name(s) | | Bank Office: | Client Private
Domicile: | Client Place of
Business: | Other Location (specify): | | Date: | | | | | O | O | • | | | | | | | | | | O | O | O | | | | | | | | O | | | | | | | | | | • Wealth Details for this individual are not filled in, because they we the same as for the following person: | | | | | | | | | | | ------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ----------------------------------------------------- | ---------------------- | --- | -------------------------------------------------------------------------- | ---------------------- | --- | --- | --- | | | 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Section 2) | | | | | | | | | | Nature of the Individual's Business: | | | | | | | | | | | Primary Country of source of wealth/sane of Funds? | | | | | | | | | | | | | Primary ndustry of source of Vieatth/Source of Funds? | | | | | | | | | Summarae Source of Wealth: | | | | | O Business Owner O Salary/EamIngs O Investment O Inhentance/Glfts O Other: | | | | | | | Further Descrte Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how
did family accumulate weath?For business owners, how brig in business, how many employees, level of prolitatety? Indicate type of business, countries of
major activities, important business partners.) | | | | | | | | | | Estimated Annual Income(\$): | | | | | Estimated amount of investable asset(\$): | | | | | | | Estimated Net Worth(5): | | | | Amount of assets premed to invest with FWM(\$): | | | | | | Other Known Financial Institutions: | | | | | | | | | | | Insbtution: | Country:
Est. Assets Under Mgt: | | | | | | | | | | Institution: | Country: | | Est. Assets Under Mgt: | | | | | | | | Institution: | Country: | | | | | Est. Assets Under Mgt: | | | | | | | | | | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000012 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828976 EFTA_000 18886 Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000013 0977 https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00018887 | One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl
Summa | | | | | | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ---------------------------------- | ---------------------------------------- | -------------------------------------------------------------------------------------- | ------------------------- | ------------- | ----- | --- | --- | --- | | | | | 3A. Individual Details (for all parties) | | | | | | | | | Individual's Name: | Erika Kellerhals - | | | Date of Birth: | | | | | | | | Country of Residence: | Virgin Islands, U.S. | | | Country of Citizenship: | | United States | | | | | | Addressor primary residence: | | | | Has client resided outside of
he/her country of nationality
for 5 years or more? | | O yes ©No | | | | | | Professlon/Ocaipatlon: | Attorney | | | Tax ID/ SSN: | | | | | | | | Current Employer. | Ketterhals Ferguson Kroblin PLLC | | | Postion/Title/Rank: | | Attorney | | | | | | Address of employer: | 9100 Port of Sale Mal, Ste 15 St. Thomas Virgin Islands, U.5.00802 | | | | | | | | | | | | Does the person work as senior executive of a DDrecognized regulated entity in the financial
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | ri yes2
lb
1-4 | | | | | | | | Is the individual a Politically Exposed Person (PEP)?(if Yes, cescree) N/A | | | | | O Yes
2 Pb | | | | | | | To the best of your knowledge, Is the Individual related to an employee of the DB group?(if
Family once-Awash\*, describe) N/A | | • Family
• Friendship
O 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 refeTal source, supplier of goods or
seivicm)?Of res,demte) N/A | | O Yes
I21 No | | | | | | | | | | If applicable, indicate wrath bank officers have met the person: | Indcate where and when the client meeting(s) took place: | | | | | | | | | | | Bank Officer Name(s) | | Bank Office: | Clent Private
Domiolle: | Client Place of
Business: | Other Location (specify): | | Date: | | | | | | O | O | • | | | | | | | | | | O | O | O | | | | | | | | | | CI | O | | | | | | | | | | • Wealth Details for tivs individual are not filled In, because they we the same as for the following person: | | | | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------------------------------------------------------------------------- | -------- | --- | --- | ---------------------- | --- | --- | --- | | 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Section 2) | | | | | | | | | | Nature of the Individual's Busness: | | | | | | | | | | Primary Counby of source of wealth/sane of Funds? | | | | | | | | | | | Primary ndustry of source of Weatth/Source of Funds? | | | | | | | | | | Summarae Source of Wealth:
O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: | | | | | | | | | Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how
did family accumulate weath?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 b-come(\$):
Estimated amount of investable asset(\$): | | | | | | | | | | Amount of assets premed to invest with PWM(\$):
Estimated Net Worth(S): | | | | | | | | | | Other Known Financial Institutions: | | | | | | | | | | Irebtution: | Country:
Est. Assets Under Mgt: | | | | | | | | | Institution: | Country: | | | | Est. Assets Under Mgt: | | | | | Institution: | | Country: | | | Est. Assets Under Mgt: | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000014 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828978 EFTA_00018888 I Please indicate the family situation of the inoviclual (mental status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000015 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92828979 EFTA_000 18889 #### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa | 3A. Individual Details (for all parties) | | | | | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------- | ---------------------------- | --------------------------------------------------------------------------------------- | --- | --------- | --- | --- | --- | | Individual's Name: | Date of Bit: | | | | | | | | | | Country of Resdence: | | | | Country of Ottaenship: | | | | | | | Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | O Yes ©No | | | | | Profession/Ocamatica: | N/A | | | Tax ID/ SSN: | | | | | | | Current Employer: | N/A | | | Position/Ttle/Rank: | | N/A | | | | | Address of employer: | N/A | | | | | | | | | | | Does the person work as serer executive of a DB-recognized regulated entity in the finandal
ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | in
am
"
YES •-11.5 | | | | | | | Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A | | | O Yes | 2 No | | | | | | | To the best."( your knovnedge, Is the individual rented to an employee of the Gl3 group?(if
Family once-Awash\*, describe) N/A | | • Family
• Friendship
O None | | | | | | | | | To the best of your knowledge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or
seivicm)?Of res,demte) N/A | | O Yes | I21 No | | | | | | | | Indcate where and when the client meeting(s) took place:
If applicable, indicate thud\[bank officers have met the person: | | | | | | | | | | | Bank Officer Name(s) | Bank Office: | Cent Private
Dommile: | Client Place of
Business: | Other Location (specify): | | Date: | | | | | | | O | O | • | | | | | | | | | O | O | O | | | | | | | | | O | CI | O | | | | | | | • Wealth Details for this indMdual are not flied in, because they we 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 Indlviduars Busness: | | | | | | | | | | | Primary Country of source of wealth/sane of Funds? | | | | | | | | | | | Primary ndustry of source of Weatth/Source of Funds? | | | | | | | | | | | | Summarae Source of Wealth:
O Business Owner O Salary/EamIngs O Investment O Inhentance/Glfts O Other: | | | | | | | | | | | Further Desate Source of We th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how
did family accumulate weath?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of
major activities, important bus mess partners.) | | | | | | | | | | | Estimated amount of investable asset(\$):
Estimated Annual Income(\$): | | | | | | | | | | | Amount of assets ',lamed to invest with FWM(\$):
Estimated Net Worth(5): | | | | | | | | | | | Other Known Finanaal Institutions: | | | | | | | | | | Insbtution: | Country:
Est. Assets Under Mgt: | | | | | | | | | | Institution: | Country: | | | | Est. Assets Under Mgt: | | | | | | Institution:
Country: | | | | | | Est. Assets Under Mgt: | | | | | | | | | | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SONY-0000016 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192828980 EFTA_000 18890 I Please Indicate the family situation of the inoviclual (mental status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e). DB-SDNY-0000017 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828981 EFTA_000 18891 #### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa 3A. Individual Details (for all parties) indiwival's Name: Date of Skth: Country of Residence: Country of Ottaership: Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O Yes la No Profession/Ocapatica: N/A Tax ID/ SSN: Current Employer: N/A PositianfTklefRank: N/A Address of employer: N/A Does the person work as serer executive of a DB-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in am " YES Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the bestial your knowledge, Is the Individual rested to an employee of the I313 group?(if Family once-Awash\*, describe) N/A • Family • Friendship O None To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A | If applicable, indicate wrath bank officers have met the person: | Indcate where and viten the dent meeting(s) took place: | | | | | | | ---------------------------------------------------------------- | ------------------------------------------------------- | ------------------------- | ---------------------------- | ------------------------- | ----- | --- | | Bank Officer Name(s) | Bank Offxr ' | Cent Private
Doma:die: | Client Place of
Business: | Other Location (specify): | Date: | | | | O | O | • | | | | | | O | O | O | | | | | | O | CI | O | | | | O Yes I21 No | • Wealth Details for this individual are not filled in because they we the same as for the following person: | | | | | | | | | | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------------------------------------------------------------------------- | -------- | --- | --- | ----------------------------------------------- | ---------------------- | --- | --- | | 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Seddon 2) | | | | | | | | | | Nature of the Individual's Busness: | | | | | | | | | | Primary Country of source of wealth/sane of Funds? | | | | | | | | | | | Primary ndustry of source of Weakh/Source of Funds? | | | | | | | | | | Summate Source of Wealth:
O Business Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other: | | | | | | | | | Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance how
did family accumulate weath?For business owners, how long in business, how many employees, level of proktatety? Indicate type of business, countries of
major activities, important business partners.) | | | | | | | | | | | Estimated amount of investable asset(\$):
Estimated Annual Income(\$): | | | | | | | | | | Estimated Net Worth(5): | | | | Amount of assets ',lamed to invest with FWM(\$): | | | | | Other Known Finanaal Institutions: | | | | | | | | | | Insbtution: | | Country: | | | | Est. Assets Under Mgt: | | | | Institution: | Country: | | | | Est. Asses Under Mgt: | | | | | Institution: | Country: | | | | | Est. Assets Under Mgt: | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000018 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92829982 EFTA_000 18892 Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000019 Q983 https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00018893 | One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl | Summa | | -------------------------------------------------------------------------------------- | ----- | | | | | 3A. Individual Details (for all parties) | | | | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------- | ------------------------- | ------------------------------------------------------------------------------------ | ------------------------- | ----------- | ----- | --- | | Individual's Name: | Date of Beth: | | | | | | | | | Country of Residence: | | | | Country of Ottaenship: | | | | | | Address of primary residence: | | | | Has client resided acme of
his/her country of nationality
for S years or more? | | O Yes la No | | | | Profession/Ocarpatica: | N/A | | | Tax ID / SSN: | | | | | | Current Employer: | N/A | | | Position/Tide/Rank: | | N/A | | | | Address of employer: | N/A | | | | | | | | | | Does the perste, work as senior executive of a DB-recognized regulated entity in the finandal
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | in
am
"
Yes --, No | | | | | | O Yes
Is the individual a Politically Exposed Person (PEP)?(if Yes, scree) N/A
2 No | | | | | | | | | | To the best of your knowledge, Is the Individual rented to an employee of the Cl3 group?(if
Family once-Awash\*, describe) N/A | | • Family
• Friendship
O None | | | | | | | | To the best of your knowledge, is the Individual party to a non-banking relationship with
Dyes
21 No
Deutsche Bank (e.g., external legal counsel, dient referral source, supplier of goods or
seivicm)?Of res,demte) N/A | | | | | | | | | | Indcate where and when the dent meeting(s) took place:
If applicable, indicate wrath bank officers have met the person: | | | | | | | | | | Bank Officer Name(s)
Bank Office: | | | Cent Private
Domiolle: | Client Place of
Business: | Other Location (specify): | | Date: | | | O | | | O | • | | | | | | | | O | O | | | | | | | | | O | | | | | | | | • Wealth Details for this individual are not filled in because they we the same as for the following person: | | | | | | | | | | ------------------------------------------------------------------------------------------------------------ | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --- | --- | ----------------------------------------------- | --- | --- | --- | | 3B. Wealth Details (Only for parties requinng source of wealth description as rioted In Seddon 2) | | | | | | | | | | Nature of the Individual's Busness: | | | | | | | | | | Primary Country of source of weakh/sairce of Funds? | | | | | | | | | | | Primary ndustry of source of Weakh/Source of Funds? | | | | | | | | | | Summarae Source of Wealth:
O Business Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other: | | | | | | | | | | Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how
did family accumulate weath?For business owners, how long in business, how many employees, level of proktatety? Indicate type of business, countries of
major activities, important business partners.) | | | | | | | | | Estimated Annual Income(\$): | | | | | Estimated amount of investable assed(\$): | | | | | Estimated Net Worth(S): | | | | | Amount of assets ',lamed to invest with FWM(\$): | | | | | Other Known Finanaal Institutions: | | | | | | | | | | Insdtution: | country:
Est. Assets Under Mgt: | | | | | | | | | Institution: | Country: | | | | Est. Assets Under Mgt: | | | | | Institution: | Est. Assets Under Mgt:
Country: | | | | | | | | | | | | | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000020 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828984 EFTA_000 18894 Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000021 0985 https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00018895 #### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa | 3A. Individual Details (for all parties) | | | | | | | | | | | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | ------------------------- | ---------------------------------------------------------------------------------------- | ------------------------- | ----------- | ----- | --- | --- | | Individual's Name: | | | | Date of Skth: | | | | | | | Country of Residence: | | | | Country of Ottaership: | | | | | | | Address of primary residence: | | | | Has client resided outside of
hisf her country of nationality
for 5 years or more? | | O yes la No | | | | | Profession/Ocapatica: | N/A | | | Tax ID/ SSN: | | | | | | | Current Employer: | N/A | | | PositianfTslefRank: | | N/A | | | | | Address of employer: | N/A | | | | | | | | | | ndustry? | Does the person work as serer executive of a DB-recognized regulated entity in the finandal
or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | in
YES ® No
" | | | | | | | Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A | | | | | O Yes
2 No | | | | | | To the bestial your knowledge, Is the Individual rested to an employee of the I313 group?(if
Family once-Awash\*, describe) N/A | | | | • Family
• Friendship
O None | | | | | | | To the best of your knowledge, is the inclividual party to a non-banlong relationship with
O Yes
I21 No
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or
seivicm)?Of res,demte) N/A | | | | | | | | | | | Indcate where and when the dent meeting(s) took place:
If applicable, indicate with bank officers have met the person: | | | | | | | | | | | Bank Offxr '
Bank Officer Name(s) | | | Cent Private
Domaolle: | Client Place of
Business: | Other Location (specify): | | Date: | | | | | | O | O | • | | | | | | | O
O | | | | | | | | | | | | | CI | O | | | | | | | | • Wealth Details for this individual are not filled in because they we the same as for the following person: | | | | | | | | | | | ------------------------------------------------------------------------------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | -------- | --- | --------------------------------------------------------------------------- | ---------------------- | --- | --- | --- | | 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Seddon 2) | | | | | | | | | | | Nature of the Individual's Busness: | | | | | | | | | | | Primary Country of source of weakly sane of Funds? | | | | | | | | | | | | Primary ndustry of source of Weatth/Source of Funds? | | | | | | | | | | Summate Source of Wealth: | | | | | O Business Owner O SalaryfEamings O Investment O Inheritance/Gifts O Other: | | | | | | | Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how
did family accumulate weath?For business owners, how brig in business, how many employees, level of prolitatety? Indicate type of business, countries of
major activities, important business partners.) | | | | | | | | | | Estimated Annual Income(\$): | | | | | Estimated amount of investable asset(\$): | | | | | | Estimated Net Worth(5): | | | | | Amours of assets planned to invest with FWM(\$): | | | | | | | Other Known Finanaal Institutions: | | | | | | | | | | Insdtution: | Est. Assets Under Mgt:
Country: | | | | | | | | | | Institution: | Est. Asses Under Mgt:
Country: | | | | | | | | | | Institution: | | | Country: | | | Est. Assets Under Mgt: | | | | | | | | | | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000022 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192828986 EFTA_000 18896 Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000023 Q987 https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00018897 | One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl
Summa | | | ------------------------------------------------------------------------------------------------- | --- | | ------------------------------------------------------------------------------------------------- | -- | 3A. Individual Details (for all parties) indiwival's Name: Date of Skth: Country of Residence: Country of Ottaenship: United States Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O Yes ©No Profession/Ocamatica: N/A Tax ID/ SSN: Current Employer: N/A PostionfTkle/Rank: N/A Address of employer: N/A • Does the person work as senior executive of a DEI-recognized regulated entity in the finandal ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles in al " YES ,-, Pb Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A O Yes 2 No To the best."( your knowledge, Is the Individual rented to an employee of the I313 group?(if Family once-Awash\*, describe) N/A • Family • Friendship O None To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or seivicm)?Of res,demte) N/A O Yes I21No If applicable, indicate wrath bank officers have met the person: Indcate where and viten the dent meeting(s) took place: Bank Officer Name(s) Bank Offxr ' Cent Private Dommile: Client Place of Business: Other Location (specify): Date: O O • O O O O CI O | • Wealth Details for this individual are not filled in because they we the same as for the following person: | | | | | | | | | | ------------------------------------------------------------------------------------------------------------ | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | ----------------------------------------------- | --- | --- | --- | --- | --- | | 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Seddon 2) | | | | | | | | | | Nature of the Individual's Busness: | | | | | | | | | | Primary Country of source of wealth/sane of Funds? | | | | | | | | | | | Primary ndustry of source of Weakh/Source of Funds? | | | | | | | | | Summarae Source of Wealth: | O Business Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other: | | | | | | | | | | Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how
did family accumulate weath?For business owners, how long in business, how many employees, level of probtatety? Indicate type of business, countries of
major activities, important busmess partners.) | | | | | | | | | Estimated Annual Income(\$): | | | Estimated amount of mvestable asset(\$): | | | | | | | Estimated Net Worth(5): | | | Amount of assets ',lamed to invest with FWM(\$): | | | | | | | Other Known Finanaal Institutions: | | | | | | | | | | Insbtution: | Est. Assets Under Mgt:
Country: | | | | | | | | | Institution: | Est. Assets Under Mgt:
Country: | | | | | | | | | Institution:
Country:
Est. Assets Under Mgt: | | | | | | | | | | | | | | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000024 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92829988 EFTA_000 18898 Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000025 0989 https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00018899 #### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa | 3A. Individual Details (for all parties) | | | | | | | | | | | | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ------------------------ | ------------------------------------------------------ | --------------------------------------------------------------------------------------- | ---------------------------------- | ------------- | --- | --- | --- | --- | | Indiwival's Name: | Date of Skth: | | | | | | | | | | | Country of Residence: | | | | Country of Ottaenship: | | United States | | | | | | Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | O yes ©No | | | | | | Profession/Ocamatica: | N/A | | | Tax ID/ SSN: | | | | | | | | Current Employer: | N/A | | | Positian/Ttle/Rank: | | N/A | | | | | | Address of employer: | N/A | | | | | | | | | | | | Does the person work as serer executive of a DEI-recognized regulated entity In the finandal
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | am
Pb
"
YES | in | | | | | | | Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A | | O Yes
2 No | | | | | | | | | | To the bestial your knew/ledge, Is the individual rented to an employee of the I313 group?(if
Family once-Awash\*, describe) N/A | | | | | • Family
• Friendship
O None | | | | | | | To the best of your knowledge, is the inclividual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or
seivicm)?Of res,demte) N/A | | O Yes | I21 No | | | | | | | | | If applicable, indicate wrath bank officers have met the person: | | | Indcate where and aten the dent meeting(s) took place: | | | | | | | | | Bank Officer Name(s) | Bank Offxr ' | Cent Private
Dommile: | Place of Other
Client
Business: | | (
Location specify): | Date: | | | | | | | O | O | • | | | | | | | | | | | O | O | O | | | | | | | | | | O | CI | O | | | | | | | | • Wealth Details for this individual are not filled in, because they we the same as for the following person: | | | | | | | | | | | ------------------------------------------------------------------------------------------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------------------- | --- | --- | --------------------------------------------------------------------------- | ---------------------- | --- | --- | --- | | 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Seddon 2) | | | | | | | | | | | | Nature of the Individual's Busness: | | | | | | | | | | Primary Country of source of wealth/sane of Funds? | | | | | | | | | | | | | Primary ndustry of source of Weakh/Source of Funds? | | | | | | | | | Summarae Source of Wealth: | | | | | O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: | | | | | | | Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance how
did family accumulate weath?For business owners, how long in business, how many employees, level of proktatety? Indicate type of business, countries of
major activities, important busmess partners.) | | | | | | | | | | Estimated Annual Income(\$): | | | | | Estimated amount of mvestable asset(\$): | | | | | | Estimated Net Worth(5): | | | | | Amount of assets premed to invest with FWM(\$): | | | | | | | Other Known Finanaal Institutions: | | | | | | | | | | Insbtution: | Country:
Est. Assets Under Mgt: | | | | | | | | | | Institution: | Country: | | | | Est. Assets Under Mgt: | | | | | | Institution: | Country: | | | | | Est. Assets Under Mgt: | | | | | | | | | | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000026 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM9282899° EFTA_000 18900 Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000027 daal https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00018901 | One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl | Summa | | | -------------------------------------------------------------------------------------- | ----- | --- | | | | | | 3A. Individual Details (for all parties) | | | | | | | | | | | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------ | ---------------------------- | ------------------------------------------------------------------------------------ | ---------------------------------- | ------------ | --- | --- | --- | | indivedual's Name: | | Date of Birth: | | | | | | | | | Country of Residence: | United States | | | Country of Ottaenship: | | tined States | | | | | Address of primary residence: | | | | Has client resided acme of
his/her country of nationality
for S years or more? | | O Yes la No | | | | | Profession/Ocamatica: | N/A | | | Tax ID / SSN: | | | | | | | Current Employer: | N/A | | | Position/Tele/Rank: | | N/A | | | | | Address of employer: | N/A | | | | | | | | | | | Does the person work as senior executive of a DEI-recognized regulated entity in the finandal
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | in
oni
Yes --, No
" | | | | | | | Is the individual a Politically Exposed Person (PEP)?(if Yes, Sate) N/A | | | | | O Yes
2 No | | | | | | To the best of your knowledge, Is the Individual rented to an employee of the Cl3 group?(if
Family once-Awash\*, describe) N/A | | | | | • Family
• Friendship
O None | | | | | | To the best of your knowledge, is the Individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, due referral source, supplier of goods or
servid)?(if res,demte) N/A | | | | Dyes
21 No | | | | | | | | | | | | | | | | | | Ind.cate where and viten the client meeting(s) took place:
If applicable, ndicate wrath bank officers have met the person: | | | | | | | | | | | Bank Officer Name(s) | Bank Office: | Cent Private
Dommile: | Client Place of
Business: | Other Location (specify): | | Date: | | | | | | O | O | • | | | | | | | | | | O | O | | | | | | | | | O | | | | | | | | | | • Wealth Details for this individual are not filled in because they we the same as for the following person: | | | | | | | | | | | | ------------------------------------------------------------------------------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ---------------------------------------------------- | --- | ---------------------- | --------------------------------------------------------------------------- | --- | --- | --- | --- | --- | | | 3B. Wealth Details (Only for parties repining source of wealth description as indicated In Seddon 2) | | | | | | | | | | | | Nature of the Individual's Busness: | | | | | | | | | | | Primary Country of source of wealth/sane of Funds? | | | | | | | | | | | | | | Primary ndustry of source of Weatth/Source of Funds? | | | | | | | | | | Summarae Source of Wealth: | | | | | O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: | | | | | | | | Further Desate Source of Wea tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how
did family accumulate wealth?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of
major activities, important busmess partners.) | | | | | | | | | | | Estimated Annual Income(\$): | | | | | Estimated amount of mvestable asset(\$): | | | | | | | Estimated Net Worth(S): | | | | | Amount of assets planned to invest with FWM(\$): | | | | | | | | Other Known Finanaal Institutions: | | | | | | | | | | | Insbtution: | Est. Assets Under Mgt:
Country: | | | | | | | | | | | Institution: | Country: | | | | Est. Assets Under Mgt: | | | | | | | Institution: | Country: | | | Est. Assets Under mgt: | | | | | | | | | | | | | | | | | | | CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000028 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828992 EFTA_00018902 Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000029 0993 https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00018903 | | 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 Otbaenship: | | tinted States | | | | | | | Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for S years or more? | | O Yes
No | | | | | | | Profession/Ocamatka: | Accountant | | | Tax ID / SSN: | | | | | | | | | Current Employer: | Southern Financial LLC | | | Pomba/Title/Rank: | | Accountant | | | | | | | Address of employer: | 6100 Red Hook Quarter B3 St Thomas Virgin Islands, US. 00802 | | | | | | | | | | | | Does the person work as senior executive of a DB-recognized regulated entity in the financial
ndustry? or an entity listed on a DB-recognised exchange? (Not applicalie for operating entitles | | | | in yes2
No
" | | | | | | | | | Is the individual a Politically Exposed Person (PEP)?(if lies, asserhe) N/A | | | | O Yes | 2 No | | | | | | | | Family once-Awash\*, describe) N/A | To the best of your knowledge, Is the Individual rented to an employee of the DB group?(if | | | | | 2 None
• Family
• Friendship | | | | | | | To the best of your knowledge, is the inclividual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, debt referral source, supplier."( goods or
seivicm)?Of res,desmbe) N/A | | O Yes | 2 No | | | | | | | | | | | Ind.cate where and when the client meeting(s) took place:
If applicable, indicate mtich bank offices have met the person: | | | | | | | | | | | | Bank Officer Name(s) | Cent Private
Dommile: | Client Place of
Business: | Other | (
Location specify): | Date: | | | | | | | | Stewart Dieted | 2 | CI | • | | | 12/12/2016 | | | | | | | | | o | O | O | | | | | | | | | | | O | | | | | | | | | | | • Wealth Details for this individual are not filled in, because they we the same as for the following person: | | | | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | --------------------------------------------------------------------------- | -------- | ---------------------- | ----------------------------------------------- | ---------------------- | --- | --- | --- | | 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Seddon 2) | | | | | | | | | | Nature of the Individual's Business: | | | | | | | | | | Primary Country of source of wealth/sauce of Funds? | | | | | | | | | | Primary ndustry of source of Vieakh/Source of Funds? | | | | | | | | | | Summarae Source of Wealth: | O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: | | | | | | | | | Further Desate Source of Wea th /Detail the history c4 wealth for each of the sources: (e.g. For trusts, how did settle accumulate wealth? For inheritance, how
did family accumulate wealth?For business owners, how long in business, how many employees, level of prolitadity? Indicate type of business, countries of
major activities, important busmess partners.) | | | | | | | | | | Estimated amount of mvestable asset(\$):
Estimated Annual Income(\$): | | | | | | | | | | Estimated Net Worth(S): | | | | Amours of assets planned to invest with FWM(\$): | | | | | | Other Known Finanztal Institutions: | | | | | | | | | | Insdtution:
Country: | | | | Est. Assets Under Mgt: | | | | | | Institution: | Country: | | Est. Assets Under Mgt: | | | | | | | Institution: | | Country: | | | Est. Assets Under Mgt: | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000030 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92828994 EFTA_000 18904 Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000031 0995 https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00018905 | | One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl | | | Summa | | | | | ---------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------ | ---------------------------------------- | ---------------------------- | -------------------------------------------------------------------------------------- | ----------------------- | ----- | | | | | 3A. Individual Details (for all parties) | | | | | | individual's Name: | Date of Ikth:
Richard D. Kahn | | | | | | | | Country of Residence: | United States | | | | Country of Ottaenship: | tinted States | | | Address of primary residence: | | | | | Has client resided outside of
Itiher country of nationality
for 5 years or more? | O Yes la No | | | Profession/Ocorpatka: | Accountant | | | Tax ID / SSN: | | | | | Current Employer. | HBRK Associates, Inc | | | Pomba/Tide/Rank: | | Accountant | | | Address of employer: | 575 Lexington Ave, 4th Fl New York NY United States 10022 | | | | | | | | | Does the person work as senior executive of a DB.recogNzed regulated entity in the finandal
ndusby? or an entity listed on a DB.recognised exchange? (Nat applicable for operating entitles | | | n yes2
lb
I--, | | | | | Is the individual a Politically Exposed Person (PEP)?(if Hes Sate) N/A | | | O Yes
2 Pb | | | | | | To the best of your knordedge, Is the individual related to an employee of the I313 group?(if
Family once-Awash\*, describe) N/A | | | 12 None
• Family
• Friendship | | | | | | seivicm)?Of res,demte) 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 | | | O Yes | I21 No | | | | Indicate where and when the dent meeting(s) took place:
If applicable, indicate which bar\* officers have met the person: | | | | | | | | | Bank Officer Name(s) | | Bank Office: | Cent Private
Domicie: | Client Place of
Business: | Other | (
Location specify): | Date: | | | | O | O | • | | | | | | | O | O | O | | | | | | | O | CI | O | | | | | • Wealth Details for this individual are not filled in, because they we the same as for the following person: | | | | | | | | | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------------------------------------------- | --- | ---------------------------------------------- | ---------------------- | --- | --- | --- | | 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Seddon 2) | | | | | | | | | Nature of the Individual's Busness: | | | | | | | | | Primary Counby of source of wealth /sane of Funds? | | | | | | | | | Primary ndustry of source of Vieakh/Source of Funds? | | | | | | | | | Summarae Source of Wealth: | O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts O Other: | | | | | | | | Further Des irte Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how
did family accumulate weath?For business owners, how king in business, how many employees, level of proktatety? Indicate type of business, countries of
major activities, important business partners.) | | | | | | | | | Estimated Annual b-come(\$): | | | Estimated amount of investable asset(\$): | | | | | | Estimated Net Worth(5): | | | Amount of assets premed to invest with FWM(\$): | | | | | | Other Known Financial Institutions: | | | | | | | | | Insbtution:
Country: | | | | Est. Assets Under Mgt: | | | | | Institution: | Country: | | | Est. Assets Under Mgt: | | | | | Institution: | Country: | | Est. Assets Under Mgt: | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000032 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92829996 EFTA_000 18906 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. (e). DB-SDNY-0000033 8997 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e.. EFTA_00018907 #### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa | | | | 3A. Individual Details (for all parties) | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------------------------------------------------------- | ---------------------------------------- | ---------------------------------- | ------------------------- | --- | ----- | --- | | Individual's Name: | | Date of Bit: | | | | | | | | Country of Resdence: | | Country of Ottaenship: | | | | | | | | Address of primary residence: | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | O Yes ©No | | | | | | Profession/Ocapatica: | N/A | Tax ID/ SSN: | | | | | | | | Current Employer: | N/A | Postion/Ttle/Rank: | | N/A | | | | | | Address of employer: | N/A | | | | | | | | | | Does the person work as serer executive of a DB-recognized regulated entity in the finandal
ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | in
am
"
YES •-11.5 | | | | | | Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A | | | O Yes
2 No | | | | | | | To the best."( your knovnedge, Is the individual rented to an employee of the Gl3 group?(if
Family once-Awash\*, describe) N/A | | | | • Family
• Friendship
O None | | | | | | To the best of your knowledge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or
seivicm)?Of res,demte) N/A | | | | O Yes
I21 No | | | | | | Indcate where and viten the dent meeting(s) took place:
If applicable, indicate %%Koh bank officers have met the person: | | | | | | | | | | Bank Officer Name(s) | | Bank Office: | Cent Private
Domiodle: | Client Place of
Business: | Other Location (specify): | | Date: | | | | | O | O | • | | | | | | | | O | O | O | | | | | | | | O | CI | O | | | | | | • Wealth Details for Curs indMdual are not filled in, because they we 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 Indlviduars Busness: | | | | | | | | | | | | Primary Country of source of wealth/sane of Funds? | | | | | | | | Primary ndustry of source of Weatth/Source of Funds? | | | | | | | | | | Summarae Source of Wealth:
O Business Owner O Salary/Eamings O Investment O Inhentance/Glfts O Other: | | | | | | | | | | Further Desate Source of We tit /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how
did family accumulate weath?For business owners, how long in business, how many employees, level of prolitatety? Indicate type of business, countries of
major activities, important business partners.) | | | | | | | | | | Estimated Annual Income(\$): | | | | Estimated amount of investable asset(\$): | | | | | | | Estimated Net Worth(5): | | | | Amount of assets ',lamed to invest with FWM(\$): | | | | | Other Known Arran:al Institutions: | | | | | | | | | | Insbtution:
Country: | | | | Est. Assets Under Mgt: | | | | | | Institution: | | | Country: | | | Est. Assets Under Mgt: | | | | Institution: | | | Country: | | | Est. Assets Under Mgt: | | | | | | | | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SONY-0000034 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92829998 EFTA_00018908 I \[Pease indicate the family situation of the Inevidual (mental status, other family members, etc.): | Legal Entity Name: | Butterfly Trust - 00000486926 | | | | ------------------------------------------------ | -------------------------------------------------------------------- | ---------------------------------------- | ------------------------------------------------------------------ | | Type Cl Entity: | O Foundation/Association 0 Trust O Company O Estate
O Partnership | Purpose of Entity: | WI Private Investment O
Philanthroplc/Chantable O
Commercial | | Type of Entity Other (specify): | | Depose of Entity
Other (specify): | | | Country of
incorporation/registration: | Virgin Islands, U.S. | Date of incorporation /
registration: | 12/27/2006 | | volcker
Status: | Idenafled on Customer Profile | Volcker Rag: | No | | Address (oty, street, post
code): | 6100 Red Hook Quarter 83 St, Thomas 00802 %Amin Islands,
U.S. | U.S. TINfEIN: | | | Darren Indyke
ISO
M
10F | | | | | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). | | | DB-SONY-0000035 | | Attached are the original trust agreement and the addition/deletion of beneficiary instrumeM to support this change. According to the original trust agreement, | | --------------------------------------------------------------------------------------------------------------------------------------------------------------- | | the trustees have the right during the lifetime of the Grantor to delete or add beneficianes trider &tide 3 of the agreement. | | | Please indicate how ownership of the legal entity Is reflected: Addition of Beneficianes attached O Special mentor,: Bearer Shares - Indicate where shares are aistoded: Describe the chain from the direct owner of the entity to the ultimate beneficial owner Of not the same persons): This 6 an trevocable trust set up by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current bvstees. The trustees are Harry Beller and Erika Kelerhals. The beneficiaries are: ![](_page_35_Figure_6.jpeg) I | To the test of your knowledge, s the entity party to a non.banking relationship with Deutsche
Bank (e.g. external legal counsel, \N/A | Yes O No e | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ---------- | | | | | Describe Nature of Entity's Primary Business and Investment Activitim | | | --- | --- | --- | --------------------------------------------------------------------- | --- | | | | | | | | Nature of the business: | Trust account | | --------------------------------------- | ------------------ | | Countries where Dustless is transacted: | Virgin Wands, U.S. | | Number ce employees: | N/A | | 3D. Wealth Profile (Only for pastes reposing source of .'eath descnoton as indicated A Section 2) | | | | | | | | | | | | ------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ----------------------------------------------------- | ------------- | -------------------------------------------------- | -------------------------------- | ---------------------- | ---------------------------- | ---------------------------------------------------------------- | --- | --- | | Primary Country of source of health/source of Funds? | | | United States | | | | | | | | | | | Primary industry of source of Wealth/Source of Funds? | | | High Risk Financial Institutions | | | | | | | | Provide Evidence of Corporate Assets (eg. balance sheet or equivalent summary of assets/liabilities):
Trust account with Jeffrey Epstein as Grantor. Initial \$103 gNen to the amount to fund. The funds for this trust account come from investments made by Jeffrey
EPsten. His wealth profile is filled out. | | | | | | | | | | | | Estimated gross receipts p.a.(S): | | | | 4,500,000.00 | | | | | | | Estimated net profit ea. (\$): | | | | 4,500,000.00 | | | | | | | | | Estimated investable assets (\$): | | | SS MM - 10 MM | | | | | | | | | Potential Amount to be invested woh PWM (S): | | | 703,003.00 | | | | | | | | | Other Known Financial Institutions: | | | | | | | | | | | Institution: | | | | Country: | | | Est. Asset Under Mgt: | | | | | Institution: | | | | Country: | | | Est. Asset Under Mgt: | | | | | Insawlion: | | | | Country: | | Est. Assets Under Mgt: | | | | | | One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa | | | | | | | | | | | | 3C. Legal Entity Details (Foe all Legal Entities) | | | | | | | | | | | | Legal Entity Name: | | Neptune, LLC - 00000487264 | | | | | | | | | | Type of Entity:
O Partnership | | | | O Foundation/Association O Tn.& 21Company O Estate | | n
rurP°secifEntity: | | 0 PrNate Investment O
Philanthropic/Chartable O
Commercial | | | | Type of Entity Other (spedfy): | | | | | | Pur
Other | pose of Entity
(specify): | | | | | Country of
United States
Incorporation/registration: | | | | | | regisbation: | Date of Incorporation / | 12/21/2011 | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P.1.). DB-SONY-0000036 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92824°°° EFTA_00018910 | | !dandled on Customer Profile | | | No | | | | | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------- | ------------------------ | ------------- | --- | --- | --- | --- | --- | | Volcker Stabs: | | | Vokker Flag: | | | | | | | Address (city, street, cost
code): | 100 Red Hook, Quarter 63 RonTh
S. | as 00602 Virgin Islands, | U.S. TIN/EIN: | | | | | | | Provide a descriptkn of the entitys organizational structure, its ownership structure and its Top Management. For buns/foundations, include Information about
rev.xability,sthdor and benefidarles,etc.:
Singe member LLC. Jeffrey Epstein ts the sole member. The signors on this account we Jeffrey pstein, Hany Beller, Darren Indyke. Richard Kahn Is the
manager. | | | | | | | | | | Please indicate how ownership of the legal entity is reflected: Operating Agreement | | | | | | | | | | O Speoal attention: Bearer Shares - Indicate where shares are custothed: | | | | | | | | | | Describe the chain from the direct owner of the entity to the ultimate benetiaal owner ('foot the some pawns): Single member LLC. Jeffrey Epstein is the sole
member. The signors on this account are Jeffrey Epstein, Harry Beier, and Darren Indyke. Richard Kahn is the manager. | | | | | | | | | | To the best of your knowledge, is the entity party to a non.bankano relationship with Deutsche
Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?:
Yes CI No El
WA | | | | | | | | | | Describe Nature of Entity's Primary Business and Investment Activities | | | | | | | | | | Nature of the business: | This LW was formed to hold the funds necessary to cover the costs and taxes assooated with
(Liming Jeffrey Epstein's NYC home | | | | | | | | | Countries where busness is transacted: | | United Stites | | | | | | | | Number of employees: | 3 | | | | | | | | | 3D. Wealth Profile (Orgy for parties rearing source of wealth description as indicated in Section 2) | | | | | | | | -------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------- | ------------------------------ | ----------------------- | --- | --- | --- | | Primary Country of source et neattlysource of Funds?
United States | | | | | | | | Primary industry of source of VYealtn/Source of Funds? | | High Risk Francis' InslibAlons | | | | | | Provide Evidence of Corporate Assets (e.g. balance sheet or equivaleM summary of asset/liabilities):
This LLC is funded by contributions made by Jeffrey Epstein. | | | | | | | | Estimated gross receipts p.a.(S): | | 1,000,000.00 | | | | | | Estimated net profit pa. (S): | | 1,000,000.00 | | | | | | Estimated investable assets (\$): | 4\$1 MM | | | | | | | Potential Amount to be invested with PM (s): | | | | | | | | Other Known Flnanoal Institutions: | | | | | | | | Institution: | Country: | | Esc Asse13 Under Mgt: | | | | | Insatution: | Country: | | Est. Assets Under Mgt: | | | | | MsbbAlon: | Country: | | Est. Asseith Under Mgt: | | | | CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SONY-0000037 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824 °°I EFIA_00018911 #### DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART, | Relationship Name | SOUTHERN FINANCIAL RELATIONSHIP | | | | | | | | | --------------------- | ------------------------------- | -------------- | ---------- | -------------------------- | ------------------ | ----------------- | --------------- | --- | | Risk Rating Comments: | | | | | | | | | | Boolung Center | 0
NY | LO
Offshore | • Offshore | | CI Mcdente
Risk | ra
ai Hgh Risk | | | | | (Compiance Signature) | | | | | | | | | 0 DB Employee | 0 DB Managed PIC | | | • DB is Trustee/Co-Trustee | | | 0 Bearer Shares | | | | | | | | | | | | | | | | | | 4. Attachments | | | | | A. | Divers License 2 Passport 0 National/State ID MI Other - Darren
Type of Photo ID ProIded
Intlyke & Richard Kahn GCIS * 486405 & | | | | | | | ------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ----------- | ---------------------- | ---------- | --- | --- | | •
m\* | theckltst of names (inctviduals and/or entities) that were submitted fa database seances6 hes
attached | | 2 Yes 0 No | | | | | | C. Please indicate the results of the database searches performed | | | | | | | | RDC searches complete | 2 Yes 0 No | negative results found | ®Yes 0 No | | | | | PCR checks complete | 2 Yes 0 No | negative results found | ®Yes • No | | | | | OFAC checks complete | 2 Yes 0 No | negatwe results found | Oyes
No | | | | | BIS searches complete (Lexis/Nexis, Facbva, Reuters, Dow Jones, •) | rd yes 0 No | negatwe results found | Ores • No | | | | | Denial Orders checks complete | 2 Yes 0 No | negatwe results found | Ores ONo | | | | | Martindale-Hubbell searched (Lawyers/Law Firms only) | 2 Yes • No | negatwe results found | 0 Yes 2 No | | | | | D. Please summarize any negative results from the database searches indicated above: Harry Belle:
- No negative media
- Harry Beller Is the plaintiff in the court case, also It has been disposed.
. •
- No negative media
- No court cases
Butterfly Trust
- No negairre media
- No court cases
=
- No negative media
- No court cases
Jeffrey Edward Epstein:
- Negative media relates to the sex offence In the past which are already cleared. (KYCO - 01790655)
- Court cases relates to Jeffrey's sex offence In the past which is already cleared, another is a recent ongoing ow lawsuit pertaining to fraud, but part of
normal busaness 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 s
Immatenal in nature.
- Criminal Filings relates to sex offence which is already cleared n the past
- RDC alert found - Sex offences in the past which has been cleared - Clearance attached.
Mary
•
- No negative media
- No court cases
Darren Indyke:
- Negative news El Google relates to Jeffrey Epsteln's Foundation and are not material in nature.
- Court case mentioned Irk Google search relates to Jeffrey Epsten's sex offence in the past which has been cleared already. Darren IS Just an attorney for | | | | | | | | - Fircosoft 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 Atte\] and was cleared in the previous KYCs. Attached clearances
- RDC alert found - realates to violation of NYSE Arca Equities Rule - Oearance attached
M
- No negative media
- No cart cases | | | | | | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le). DB-SDNY-0000038 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=01N30000000D9Di&e... UM92824°°2 EFFA_00018912 | | Enka Ketlerhals:
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 | | | | | Mi
- No negative media
- No can cases | | | | | - No negative media
- No can cases | | | | | \]SC Interiors LLC:
- No negative media
- No court cases | | | | | Southern Trust Company Inc:
- No negate media
- No court cases | | | | | E. To the best of your knowledge, has the dent ever been convicted of a criminal offense? | | RI Yes Ono | | | To the bet of yon knowledge, has the customer ever beer involved ri any past litigation against
Deutsche Bank AG or any c4 its subsidiaries or is the customer threatenng litigation against
F' Deutsche Bank AG or any."( its subsidiaries? (If Yes, pruvh
(Lattm/Intl)o r the Regulatory Control Croup and nobryConwhance immediett•ly) | cleats below and contact Quay Mgt. | O Yes RI No | | G. | Does the dent or rated party have any financial or other association interactions within countries ri
or retarna sanctioned by the Office of Foreign Assets Control (OFAC)? | | Yes 21 No | | H. | Does the dent or related party have any financial ix other association! interacbons within high risk I—I
countries? | Yes 2 No | | | | I. Corporate Documentation Attached (Legal Entities Only) | El Yes O No O Net Applicable | | | | 3. Undisclosed Principal Form Compiete (Intermediaries Orgy) | O Yes O No 2 Not Applicable | | | | IC If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation S not Ill English, please provide an English anmary of the
nattrefantents of the non-English Documentation: | | | | | L. Special Risk Factors | | | | | Does the account have Nexus to Special Risk Countries? | Oyes Mho | | | | Is the account structure unusual,/ complex? | O Yes 21 No | | | | Is there any indication the client set up a non operating company expressly
for the purpose of transferring shares to third parties? | Oyes El No | | | | Is there any indication this could be a notated business relationship? | Oyes Mho | | | | Are the bearer shares Identified subject to acceptable controls? | O Yes O No | | CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SONY-0000039 https://dbforcepb.my.salesforce.com/servlet/servlet. Integration?' id=01N30000000D9D &e... U§192824003 EFIA_00018913 | M. Case Comments | | | | | | | | ---------------- | ---------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --- | --- | --- | | Created By | Date | Comments | | | | | | Kshitij Golae | 9/25/11 10 04 AM | This KYC serves a
te for the below listed clients (together "accountholders" —
&
1.
2. Butterfly Trust
3. Neptune LLC
Below are the reasons why we are comfortable with approving tNs KYC:
• Information and supporting documents required by our AML Porky were provided and reviewed; and as a
result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the
accounts and expected transaction acbay.
• There are a few risk factors associated with the accountholders—
SOW: The U80 (Jeffrey Epstein) is the
SOW verification was obtained. In addition,
Negative Media & PEP: There is some negative media against Me Epstein and he is also maintains a close
relationship with all Ointon and Prime Andrew. Meese see risk calculator for more informabon. Appropriate
approval was °blamed.
• Our review did not identify any red flags and thus there was no need to escalate ttn case further.
• We performed due diligence seardies on all parties and did not find the names searched to be on any sanctions
lists. | | | | | | Mayur Rathod | 9/3/118 3:17 MI | No material changes confirmation "email" attached in the case. | | | | | | ONSHORE APPROVALS | | | | | | | ------------------------------- | -------------- | ------------------------------- | --------- | --- | --- | | Cent Facing Professional (CEP): | Stewam adfiekl | (Signature)
Stewart Oldfield | 9/5/2018 | | | | Office Director/Business Head: | Stever MattuS | (Signature)
Steven Mattis | 942018 | | | | Regional Office Director: | | (Signature) | | | | | AML Business Risk | | (Signature) | | | | | AML Compliance: | Kshmj Golam | (Signature)
Kstsbj Gerard | 9/25/2018 | | | | LATAM/1NTERNATIONAL APPROVALS | | | | | ------------------------------------------------------------------ | --- | ----------- | --- | | Cent Facing Professional (CFP): | | (Signature) | | | Account Manager. | | (Signature) | | | Global Market Team Head
(GMTH)/Sub-Markel Team Head
f511TH): | | (Signature) | | | AML Business Risk | | (Signature) | | | AML Comp&ance: | | (Signature) | | CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le). DB-SDNY-0000040 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824°°4 EFIA_00018914 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 Professionals! (I) (CFP's) should establish and maintain business relationships only with persons who sari\* 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 pan 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. I(e). DB-SDNY-0000041 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=0IN30000000D9Di&e... U§192824°°5 EFFA_00018915