Draft: efta00168622

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

</st>

• 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($):					Estimated amount of investable asset($):		<st mia<="" td="">
Estimated Net WoRh(S):	<si mm<br="">Amount of assets planned to invest with PWM($): 20,00100</si>
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	•

</si>

• 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):	<si mm<="" td="">				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:¶

¶

I¶

To the test of your knowledge, s the entity party to a non.banking relationship with Deutsche Bank (e.g. external legal counsel, <bent goods="" of="" or="" referral="" services)?:<br="" source,="" supplier="">N/A</bent>	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...¶

Display truncated; use Text to download the complete prepared source.¶