#### DB PWM GLOBAL KYC/NCA: PART A
| KYC Print | |
| ----------- | --- |
| ----------- | -- |
KYC Case R : 01804531
Status : 6. Approved
| | | One sheet must be established per relationship - list all accounts Included In the relationshi | | | | | | | | | |
| ------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------ | ----------------------- | ---------- | ------------------- | ------------------------------- | --- | ----------------------------------------------------------------------------------------------------------------------------- | --- | --- | --- |
| | | | 1. Relationship Details | | | | | | | | |
| | Relationship Name: | EPSTEIN, JEFFREY RELATIONSHIP:0000048329D | | New York | | | | | | | |
| | Relationsivp Manager. | Stewart OleMeki | | | | | | | | | |
| | | O New PWM Relationship | | | | I 12) Existing PWM Relationship | | | | | |
| | Relationship to PWM: | IS a periodic review for high risk remediationn•
Original KYC1121946 | | | | | | If existing, please ndicate since when the relationship exists, provide reason foe new profile and attach old pronit ant% KYC | | | |
| | | alert Referral | O RN Prospect | | 1O Intermediacy/SIM | | | I O Other Source (08, etc) | | | |
| client? | HOW Was the Oent(s)
Introduced? How long has the
RI4 personally blown the | Please provide details (e.g. name of referral source, how many years PM personally ha known dent, etc.): Jeffrey Epstein
new acct only. | | | | | | reached out to Stew OfdrieM on 3/7/17 to hre a new acct opened under &fro Management LLC and add hvo new signors to this | | | |
| | Does Deutsche Bank pay a
retrocession or similar | O Yes | | | | | | | | | |
| relationship? | compensation to a third party
for the introduction of this | (If Ye\$ desalbeA | | | | | | | | | |
| | | list all existing and new account involved in this relationship | | | | | | | | | |
| | Legal Entity
Acoount(s) | ACCOLIIII Name / Number | | | | | | Opening Date (Intended/actual) | | | |
| | 21 | The Haze Trust - Depost | | 2/27/2017 | | | | | | | |
| 2 | a | Butterfly Trust- De | | 1/24/2014 | | | | | | | |
| 3 | le | The 2007 Jeffrey E. Epstein Instance Trust ;3 - Deposit-42953694 | | 10/16/ 013 | | | | | | | |
| | Who is the primary contact
person for the RM? (Note: This
person needs to have signatory
rights and/or information right
for the amounts.): | Darren wore
Preferred method of contact
(indicate phone no., fax no.
e-mail address, etc.): | | | | | | | | | |
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000258
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EFFA_00019131
| | One sheet must be established for each account to be opened | | | | | | | | | | | | | | |
| --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ---------------------------------------------- | ------------------------ | ------ | ------ | ------------------------------------------------------------------------------------------------------------------------------------------------- | --- | ------------------------ | ----- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------ | --- | -------------------------- | --- | --------------------------------------- |
| | 2. Account Ownership Summary | | | | | | | | | | | | | | |
| | Account Name: | | | | | | | The Haze Trust - Deposit | | | | | Acct. Number 6/4valetrir0: | | |
| | stewed oldfeld
ACCOuGt Manager: | | | | | | | | | | | | | | |
| | Vitiat 6 the purpose of the account (e.g. portfcba management, advisory account, custody services, longterm investment, payment/expense account), this e a
deposit account to kid cash for the trust | | | | | | | | | | | | | | |
| | Indicate from where the assets are expected to arrive? | | | | | | | | | | | | | | |
| | 138 Group: Same Booking Center (indicate account number): 42967287 | | | | | | | | | | | | | | |
| | O 08 Group: Other Booking Center (indicate DB location and account details): | | | | | | | | | | | | | | |
| | O Other Institution - (Indicate name & location): | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| | O Physical Deposits (specify cash, securities, cheques. ):
Mat s the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: collecting interest on
current balarceno inflows/outflows | | | | | | | | | | | | | | |
| | What is the expected volume of assets aril currency for the account approx. 90 days after
121,063,409.16
'Currency
I USD
opening? | | | | | | | | | | | | | | |
| | opening? | | | | | Vinat 6 the expected volume of assets and currency for the account approx. cne year after | | | | I | 21,077711.01 | | I Currency | | I USD |
| | | | | | | Dceskei the client have Assets Under Management (AuM) within 08 under Eur. 3M? | | | | | O yes g No | | | | |
| • | For each party: | Please list all parties related to the account | | | | • Check if a source of wealth description is required for the party.
• Always clesate the relationship between the parties in the last column. | | | | • Check the appropriate box to describe the relaticaship of the party to this account (> 1 can be selected).
trate of the check boxes apply, describe the party's relation to the account in the Other column. | | | | | |
| • Please drill down to the tromate/underlyng Bene6dal Omer( ).
Legal
Settler of
Description
AccountrIC
Jltimate
Signatory
Finanoal
Limited
Significant
\_egal
trust /
Ful
ntity-if
Fickler Omer
loptesentative
Source
Beneficialor
Intermediary
Shareholder
POA
Founder &Owner
(FIN)
(>=25%)
of Wealth
POA
required
Fourxiatior
Non-PIC
entity
P2etiGs
related
(indicate
o this
ownership
%)
account | | | | | | | | Grantor/Settioritounding | Donor | Other (please
describe other
roles and/or
indicate
relationship
between parties) | | | | | |
| 1 | O | El | Jeffrey
E.
Epstein | • | O | 5 | O | O | • | ❑ | | O | O | O | OTH:beneficiary
of The Haze
Trust |
| 2 | O | 0 | The
Haze
Trust | 2 | O | O | O | O | O | O | | O | O | O | |
| 3 | O | O | Darren
lndyke | m
■ | O
❑ | O | O | El | O | O | | O | O | O | Trustee:; |
SDNY-0 000259
y
.g9 https://dbforeepb.rny.salesforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e... U
2 84222 EFTA_00019132
| 2. Account Ownership Summary | | | | | | | | | | | | | | | |
| -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | -------------------------------------------------------------- | ----------------------------------------------------------------------------------------- | -------------------------------- | --- | ------------------------------------------ | --------------------- | ---------------------------------- | ------------- | ----------------- | ------------------------------------------------------------------------------------------------------ | ---------------------- | -------------------- | ----- | ------------------------------------------------------------------------------------------ |
| | Butterfly Trust - Deposit
Acct Number (lavalabie)
Account Name: | | | | | | | | | | | | | | |
| | stewed oldfeld
Account Manager: | | | | | | | | | | | | | | |
| | What s the purpose of the account (e.g. portfolio management, advisory account, custody savior., longterm Investment, paymentfexpense account)? This Is a
deposit account to hold finds for the trust.
Indicate from where the assets are expected to wive?
g 06
Group: Same Booking Center (ndicate account number): 44130552 | | | | | | | | | | | | | | |
| O DB Group: Other Booking Center (indicate DB location and account details): | | | | | | | | | | | | | | | |
| Other Institution - (Indicate name & location):
•
Physical Deposits (specify cash, securities, cheques, ):
• | | | | | | | | | | | | | | | |
| | What S the expected size and frequency of regular Inflows and outflows for the account (indicate estimated number and vane per month)?: no Inflows/outflows | | | | | | | | | | | | | | |
| | cloning? | | What is the expected volume of assets and currency for the account approx. 90 days after | | | | | | | | 12.99 | | I Currency | | I usd |
| | cloning? | | What Is the expected volume of assets and currency for the account approx. one year after | | | | | | | | 2.99 | | 'Currency | | I usd |
| | | | Methyl. the client have Assets Under Management (AuM) within DB under Eur. 3M? | | | | | | | | :hes ®No | | | | |
| Please list all parties related to the account
For each party:
• Check if a source of wealth description Is req ted for the party.
• Cneck the appropriate box to esate the relationship of the party to this accotnt (> 1 can be selected).
• (none of the check boxes apply, describe th party s relation to the amount in the \*Other column.
• Always desalbe the relaticash p between the parties in the last column.
• Please drill down to the tlornate/unie lyng Beneficial Owner(s). | | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| | | : egal.)escription
Lribtrof Source
of Wealth
required | Pates
related to
this | Accountt,IC
Holder OwnerTrust | | Seal', of
/
Founder of
Foundation | Beneficiahar
Owner | -fitimate isignaton
Full
Pon | Urreec
POA | Finanoal
(ELM) | Significant
InterrnediaryShareholder
(>=25%)
Yon-PIC
entity
indicate
ownership
%) | -mai
3apresentative | Grantor/Setdorfoundi | Donor | her
(please
describe
other roles
andior
indicate
relationship
between |
| I | IJ | LI | account
Shulok etyria | O | O | | O | O | O | • | | O | O | O | parties)
beneficiary
of the
butterfly |
| 2 | O | O | a | O | O | O | O | O | O | O | | O | O | O | beneficiary
of the
butterfly
vista |
| | O | O | D.
Richard
Kahn | • | O | • | O | O | O | • | | O | O | • | beneficiary
of the
butterfly
vast; |
| 4 | O | Ei | | O | O | O | O | O | OO | | | O | O | O | beneficiary
of the
butterfly
oust; |
| 5 | O | O | Darien
Indyke | • | O | | O | O | O | O | | O | O | O | beneficiary
4 the butterfly
vest; |
| 6 | O | O | | O | O | O | O | O | OO | | | O | O | CI | Beneficia
of Butterfly |
| 7 | O | O | li | O | O | O | O | O | OO | | | O | O | CI | Trust;
Beneficiary
of Butterfly
Trust; |
| 9 | BOO | | | O | O | O | O | O | O | O | | O | O | O | Beneficiary
of Butterfly
Trust; |
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EFFA_00019133 EFTA00168880
| | | O O | i | O | O | O | | O | O | O | O | O | Ei | Beneficiary
ct Butterfly
Trust: |
| ---- | --- | --- | ---------------- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | ------------------------------------- |
| 10 O | | O | | O | O | O | O | O | O | O | O | O | O | Beneficia
of Butterfly
Trust: |
| 11 O | | O | | O | O | O | O | O | il | O | O | O | O | Beneficiary
o/ Butterfly
Trust: |
| 12 O | | O | | O | O | O | O | O | O | • | O | O | O | Beneficiary
of Butterfly
Trust: |
| 13 | 99 | | Butterfly Trust | © | o o | | o | o | o | o | o | o | o | |
| 14 O | | O | Erika Rallerhals | O | O | O | O | e | O | O | O | O | O | TNT:: |
| 15 O | | O | eliae lirrYer | O | O | O | O | e | O | O | O | O | O | Trustet; |
| 16 O | | a | Epstein jeffren. | O | O | 121 | O | O | O | O | O | O | O | grantor; |
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EFIA_00019134
| | 2. Account Ownership Summary | | | | | | | | | | | | | | |
| --- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------ | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------ | --- | -------------------------------------------------------- | --------------------- | ------------------ | ------ | -------------------------------- | ------------------------------------------------------------ | ------------- | ----------------------------- | ----- | ----------------------------------------------------------------------------------------------- |
| | Account Name: | | | | | The 2007 Jeffrey E. Epstein Insurance Trust 03 - Deposit | | | | | | | Acct. Number (by evadable) | | |
| | stew oldfield
Account Manager: | | | | | | | | | | | | | | |
| | Vinat is the purpose of the account (e g. portfolio management, advisory account, custody savior., longterm Investment, paymetemense accotnt)? Checking
account to hold funds for ths trust. | | | | | | | | | | | | | | |
| | Indicate from where the assets are expected to arrive? | | | | | | | | | | | | | | |
| | 9
08 Group: Same Booking Center (indicate account number): 42953694 | | | | | | | | | | | | | | |
| | O DB Group: Other Booking Center (Indicate DB location and amount details): | | | | | | | | | | | | | | |
| | O Other Insbtution - (Indicate name & location): | | | | | | | | | | | | | | |
| | O Physical Deposits (specify casli, securities, cheques, ): | | | | | | | | | | | | | | |
| | What S the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: no inflows/outflows | | | | | | | | | | | | | | |
| | What S the expected volume of assets and currency for the account approx. 90 days
1259.05
I Currency
I usd
after opening? | | | | | | | | | | | | | | |
| | Vinat S the expected volume of assets and currency for the account approx. one year
1259.05
I Currency
I usd
after opening? | | | | | | | | | | | | | | |
| | Does/iya the client have Assets Under Management (AuM) within 08 under Eur. 3M? Oyes O 1'10 | | | | | | | | | | | | | | |
| | For each party. | | Please list all parties related to the account
• Check if a source of wealth description Is requred for the party.
• Check the appropriate box to describe the relationship of the party to this accotnt (> I can be selected).
• (none of the check boxes apply, describe the party s re anon to the amount 0 the 'Ocher column.
• Atviays clesate the relationship between the parties in the last colon.
• Please drill down to the Sornate/urderlying Beneficial Owner(s). | | | | | | | | | | | | |
| | | : egarlesciption | | Account'IC | | Settler of | | Jltimate iSignaton | Urreec | Finance' | Significant | -egal | Grantor/Settiorf-oundirg3ther | | |
| | | Mtn( Source
of Wealth
required | Parties
'elated to
his
account | Holder DivnerTrust | | /
Founder of
Foundation | Beneficiahar
Owner | Full
POA | POA | InterrnediaySharehoider
(FIN) | (>=25%)
Yon-PIC
entity
(indicate
ownership
%) | tamesentative | | Donor | (please
describe
other roles
andior
indicate
relationship
between
Parties) |
| 1 | O | O | a | O | O | O | O | O | O | O | | O | O | O | Beneficiary
of The
2007
Jeffrey E.
Epstein
Inswance
Trust 03; |
| 2 | 9 | 9 | The 2007
Jeffrey E.
Epstein
Insurance
Trust 03 | 9 | O | O | O | O | O | O | | O | O | O | |
| 3 | O | 9 | Jeffrey E. O
Epstrem | | O | 5 | i1 | 0 | O | O | | O | • | O | grantor; |
| 4 | IL) ID | | (Darren | O | O | O | O | ® | 0 | 0 | | 0 | 0 | 0 | Trustee:: |
| 5 | O | O | \hn | O | O | O | O | O | O | O | | O | O | O | Trustee:: |
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EFIA_00019135
| One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary | |
| ------------------------------------------------------------------------------------------------- | --- |
| ------------------------------------------------------------------------------------------------- | -- |
| 3A. Individual Details (for all parties) | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --------------------------- | --------------------------------------------------------------------------------------- | ------------------------- | ------ | ----- |
| Individual's Name: | | | | Date of Birth: | | | |
| Country of Residence: | USA | | | Country of Citizenship:
USA | | | |
| Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | Yes No | |
| Profession/Occupation: | | | | Tax ID / SSN: | | | |
| Current Employer: | | | | Position/Title/Rank: | | | |
| Address of employer: | | | | | | | |
| | Does the person work as senior executive of a DB-recognized regulated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | | Yes No | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | | | No
Yes | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?/if
Family or Friendship, describe ) | | | | None
Friendship
Family | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
No
Yes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes, describe ) | | | | | | | |
| Indicate where and when the dient meeting(s) took place:
If applicable, indicate which bank officers have met the person: | | | | | | | |
| Bank Officer Name(s)
Bank Office: | | | Client Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: |
| | | | | | | | |
| | | | | | | | |
| | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | | |
| ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------ | --- | -------- | ----------------------------------------------- | -------------- | ---------------------------------------------- | --- | ------ | --- |
| | 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | |
| | Primary industry of source of Wealth/Source of Funds? | | | | | | | | |
| Summarize Source of Wealth: | | | | | Business Owner | Salary/Earnings Investment I Inheritance/Gifts | | Other: | |
| Further Describe Source of Wealth (Detal the history of wath for each of the sources; (e.g. For trusts, how did settler accumulate weath? For inhertance, how
did family accumulate weath?For business, how long in business, how nany engloyees, level of profitability? Indicate type of business, countries of major
activities, important business partners.) | | | | | | | | | |
| | Estimated Annual Income(\$):
Estimated amount of investable assets(\$): | | | | | | | | |
| Estimated Net Worth(\$): | | | | Amount of assets planned to invest with PWM(\$): | | | | | |
| Other Known Financial Institutions: | | | | | | | | | |
| Institution: | | | Country: | Est. Assets Under Mgt: | | | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | |
| Institution: | Est. Assets Under Mgt:
Country: | | | | | | | | |
| Please indicate the family situation of the individual (marital status, other family members, etc.): | | | | | | | | | |
DB-SDNY-0000263
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000DD9Di&e...
USAO2891226
EFTA_00019136
0002M
1
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM9284227
EFIA_00019137
| One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary |
| ------------------------------------------------------------------------------------------------- |
| ------------------------------------------------------------------------------------------------- |
| 3A. Individual Details (for all parties) | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --------------------------- | --------------------------------------------------------------------------------------- | ------------------------- | ------------------ | ----- | --- |
| Individual's Name: | Karyna Shulliak | | | Date of Birth: | | | | |
| Country of Residence: | USA | | | Country of Citizenship: | | Slovakia | | |
| Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | Yes No | | |
| Profession/Occupation: | JSC Interiors LLC | | | Tax ID / SSN: | | | | |
| Current Employer: | JSC Interiors LLC | | | Position/Title/Rank: | | Interior Decorator | | |
| Address of employer: | 575 Lexington Ave 14th Fl New York NY United States 10022 | | | | | | | |
| | Does the person work as senior executive of a DB-recognized regulated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | | Yes No | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | | | No
Yes | | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if
Family or Friendship, describe ) | | | | None
Family
Friendship | | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
No
Yes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes,describe ) | | | | | | | | |
| Indicate where and when the dient meeting(s) took place:
If applicable, indicate which bank officers have met the person: | | | | | | | | |
| Bank Officer Name(s)
Bank Office: | | | Client Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | |
| | | | | | | | | |
| | | | | | | | | |
| | | | | | | | | |
| | Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | |
| ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------ | --- | -------- | ---------------------- | ------------------------------------------------------------------------------------------------------ | ---------------------------------------------- | --- | ------ | --- |
| | | | | | 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | |
| Nature of the Individual's Business: | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | |
| | Primary industry of source of Wealth/Source of Funds? | | | | | | | | |
| Summarize Source of Wealth: | | | | | Business Owner | Salary/Earnings Investment I Inheritance/Gifts | | Other: | |
| Further Describe Source of Wealth (Detal the history of weath of the sources: (e.g. For trusts, how did settior accumulate weath? For inhertance, how
did family accumulate weath?For business, how long in business, how nany engloyees, level of profitability? Indicate type of major
activities, important business partners.) | | | | | | | | | |
| Estimated Annual Income(\$): | | | | | Estimated amount of investable assets(\$): | | | | |
| | Estimated Net Worth(\$):
Amount of assets planned to invest with PWM(\$): | | | | | | | | |
| | Other Known Financial Institutions: | | | | | | | | |
| Institution: | | | Country: | Est. Assets Under Mgt: | | | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | |
| Institution: | Country:
Est. Assets Under Mgt: | | | | | | | | |
| Please indicate the family situation of the individual (marital status, other family members, etc.); | | | | | | | | | |
atus, other family members, etc.): (man
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000265
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USAO2891228 EFTA_00019138
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EFIA_00019139
| One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Owners., | Summa |
| ---------------------------------------------------------------------------------------- | ------- |
| ---------------------------------------------------------------------------------------- | ------- |
| 3A. Individual Details (for all parties) | | | | | | | | | |
| -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --- | ---------------------------------------------------------------------------------- | ------------------------- | ---------- | ----- | --- | --- |
| Individual's Name: | M | | | Date of Birth: | | | | | |
| County of Rebdence: | USA | | | County of Citizenship: | | USA | | | |
| Address of primary residence: | | | | Has sent resided outside of
hisMer country of natenalny
for 5 years or more? | | O YesEl No | | | |
| Profession/Ocarpatica: | homemaker | | | Tax ID / SSN: | | | | | |
| Current Employer: | | | | Poston/Tide/Rank: | | | | | |
| Address of employer: | | | | | | | | | |
| | Does the person week as senior executive of a DB-recognized regulated entity n the (Wendel
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles | | | O Yes 10 No | | | | | |
| | Is the individual a Politically Exposed Person (PEP)?(If Yes, describe) | | | O Yes | ON° | | | | |
| To the best of your knowledge, Is the indivdual related to an employee of the DB group?(f
remi Y es Friendsb.12, describe) | El Neat
O Friendship
O Family | | | | | | | | |
| To the best of your Mowledge, is the indiwival party to a non.banlong relationship with
El Tes
Deutsche Bank (e.g., external legal counsel, dent referral soace, suppler of goods a services)?
'!A No
(I Ye4descnbe) | | | | | | | | | |
| | indicate where and Men the client meeting(s) took puce:
If applicable, Indicate which bank officers have met the person: | | | | | | | | |
| Gent Private
Bank Officer Name(s)
Bank Office:
Domicile: | | | | Cent Place of
Busress: | Other Location (specify): | | Date: | | |
| | | O | O | O | | | | | |
| | | O | O | • | | | | | |
| | • | O | | | | | | | |
| O Wealth Details for this inewidual are not Wed in, because they are the same as for the (plowing person: | | | | | | | | | |
| --------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --- | --- | ----------------------------------------------- | --------------------- | --- | --- | --- |
| 38. Wealth Details (Only for parties requiring soLvce of weakh description as indicated n Section 2) | | | | | | | | | |
| Nature of the Inividuats Business: | | | | | | | | | |
| Primary County of source of wealth/source of Funds? | | | | | | | | | |
| | Primary industry of source of Wealth/Source of Funds? | | | | | | | | |
| | Summarize Source of Wealth:
O Business Owner OSalary/Earnings O Invesbnent O Inheritance/Gifts O Other: | | | | | | | | |
| | Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how
cad family accumulate vrealth?For busness owners, how long in business, how many employees, level of prelitatety? Imilcate type of business, countries of major
act:knees, important business partners.) | | | | | | | | |
| Estimated Annual Income(S): | | | | | Estimated amount of Investable assets(\$): | | | | |
| Estimated Net Worth(S): | | | | | Amount of assets planned to invest with PWM(S): | | | | |
| | Other Known linancel Institutions: | | | | | | | | |
| Institutan: | Country:
Est. Asses Under Mgt: | | | | | | | | |
| Institution: | Country: | | | | | Est. Asses Under Mgt: | | | |
| Institution: | Est. Assets Under Mgt:
Country: | | | | | | | | |
| | | | | | | | | | |
Please indicate the fanuly situation c4 the inebeickal (marital status, the family members, etc.):
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000267
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... UM92814230
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM9 281423 1
EFFA_00019141
| | One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------- | ---------------------------------------- | --------------------------------------------------------------------------------------- | ---------- | ------ | --- | --- | --- |
| | | | 3A. Individual Details (for all parties) | | | | | | |
| Individual's Name: | | | | Date of Birth: | | | | | |
| Country of Residence: | USA | | | Country of Citizenship: | | | | | |
| Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | Yes No | | | |
| Profession/Occupation: | | | | Tax ID / SSN: | | | | | |
| Current Employer: | | | | Position/Title/Rank: | | | | | |
| Address of employer: | | | | | | | | | |
| | Does the person work as senior executive of a DB-recognized regulated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | | Yes No | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | | | Yes | No | | | | |
| Family or Friendship, describe ) | To the best of your knowledge, is the individual related to an employee of the DB group?(if | | | Family | Friendship | None | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
No
Yes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes,describe ) | | | | | | | | | |
| Indicate where and when the dient meeting(s) took place:
If applicable, indicate which bank officers have met the person: | | | | | | | | | |
| Bank Officer Name(s) | Olent Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --- | --- | ----------------------------------------------- | -------------------------------------------- | --- | ------ | --- |
| 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | |
| | Primary industry of source of Wealth/Source of Funds? | | | | | | | | |
| Summarize Source of Wealth: | | | | | Business Owner | Salary/Earnings Investment Inheritance/Gifts | | Other: | |
| | Further Describe Source of Wealth (Detal the history of wath for each of the sources: (e.g. For trusts, how did settior accumulate weath? For inheritance, how
did family accumulate weath?For business, how long in business, how nany employees, level of profitability? Indicate type of major
activities, important business partners.) | | | | | | | | |
| Estimated Annual Income(\$): | | | | | Estimated amount of investable assets(\$): | | | | |
| Estimated Net Worth(\$): | | | | | Amount of assets planned to invest with PWM(\$): | | | | |
| | Other Known Financial Institutions: | | | | | | | | |
| Institution: | Country:
Est. Assets Under Mgt: | | | | | | | | |
| Institution: | Country: | | | | | Est. Assets Under Mgt: | | | |
| Institution: | Est. Assets Under Mgt:
Country: | | | | | | | | |
| Blease indicate the family situation of the individual (marital status, other family members, etc. It | | | | | | | | | |
DB-SDNY-0000269
https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N30000000D9Di&e..
232
EFTA_00019142
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814233
EFIA_00019143
#### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
| A SIP STILING AS SERVICIAL CONSULTURE FRANCE LUCCALL PLUS AND POLICIAL SELUCIAL SELUCIAL SELUCIAL
3A. Individual Details (for all parties) | | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------------- | --- | --------------------------------------------------------------------------------------- | ------------------------- | ------ | ----- | --- | --- | --- |
| Individual's Name: | Date of Birth: | | | | | | | | | |
| Country of Residence: | USA | | | Country of Citizenship: | | | | | | |
| Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | Yes No | | | | |
| Profession/Occupation: | | | | Tax ID / SSN: | | | | | | |
| Current Employer: | | Position/Title/Rank: | | | | | | | | |
| Address of employer: | | | | | | | | | | |
| | Does the person work as senior executive of a DB-recognized regulated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | | Yes No | | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | | | Yes | No | | | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if
Family or Friendship, describe ) | | | | | Friendship | None | | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
No
Yes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes, describe ) | | | | | | | | | | |
| Indicate where and when the dient meeting(s) took place:
If applicable, indicate which bank officers have met the person: | | | | | | | | | | |
| Client Private
Bank Officer Name(s)
Bank Office:
Domicile: | | | | | Other Location (specify): | | Date: | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------ | -------- | ----------------------------------------------- | ----------------------------------------- | ---------------------- | ---------------------- | --- | --- | --- | --- |
| | 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | | |
| Primary industry of source of Wealth/Source of Funds? | | | | | | | | | | |
| Summarize Source of Wealth:
Salary/Earnings Investment Inheritance/Gifts
Other:
Business Owner | | | | | | | | | | |
| Further Describe Source of Wealth (Detal the history of wath for each of the sources: (e.g. For trusts, how did settior accumulate weath? For inheritance, how
did family accumulate weath?For business, how long in business, how nany employees, level of profitability? Indicate type of major
activities, important business partners.) | | | | | | | | | | |
| Estimated Annual Income(\$): | | | | Estimated amount of investable assets(\$): | | | | | | |
| Estimated Net Worth(\$): | | | Amount of assets planned to invest with PWM(\$): | | | | | | | |
| Other Known Financial Institutions: | | | | | | | | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | | |
| Institution: | | Country: | | | | Est. Assets Under Mgt: | | | | |
| Institution: | | | Country: | | Est. Assets Under Mgt: | | | | | |
| Please indicate the family situation of the individual (marital status, other family members, etc.); | | | | | | | | | | |
atus, other family members, etc.): (man
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000271
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000DD9Di&e...
AP289234
EFTA00168891
EFTA_00019144
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814235
EFIA_000 19145
| One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary |
| ------------------------------------------------------------------------------------------------- |
| ------------------------------------------------------------------------------------------------- |
| 3A. Individual Details (for all parties) | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------- | --------------------------------------------------------------------------------------- | ------------------------- | ------ | ----- | --- | --- | --- |
| Individual's Name: | | Date of Birth: | | | | | | | |
| Country of Residence: | | | | Country of Citizenship: | | | | | |
| Address of primary residence: | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | Yes No | | | | |
| Profession/Occupation: | | | | Tax ID / SSN: | | | | | |
| Current Employer: | | Position/Title/Rank: | | | | | | | |
| Address of employer: | | | | | | | | | |
| | Does the person work as senior executive of a DB-recognized regulated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | Yes No | | | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | Yes | No | | | | | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if
Family or Friendship, describe ) | Family | Friendship | None | | | | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
No
Yes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes, describe ) | | | | | | | | | |
| If applicable, indicate which bank officers have met the person: | Indicate where and when the dient meeting(s) took place: | | | | | | | | |
| Bank Officer Name(s) | Bank Office: | Client Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------ | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | -------- | ----------------------------------------------- | --- | ---------------------- | --- | --- | --- |
| 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | |
| Primary industry of source of Wealth/Source of Funds? | | | | | | | | | |
| | Summarize Source of Wealth:
Other:
Salary/Earnings Investment I Inheritance/Gifts
Business Owner | | | | | | | | |
| | Further Describe Source of Wealth (Detal the history of wath for each of the sources: (e.g. For trusts, how did settior accumulate weath? For inheritance, how
did family accumulate weath?For business, how long in business, how nany employees, level of profitability? Indicate type of major
activities, Important business partners, ) | | | | | | | | |
| Estimated Annual Income(\$): | | | | Estimated amount of investable assets(\$): | | | | | |
| Estimated Net Worth(\$): | | | | Amount of assets planned to invest with PWM(\$): | | | | | |
| Other Known Financial Institutions: | | | | | | | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | |
| Institution: | | | Country: | Est. Assets Under Mgt: | | | | | |
| Please indicate the family situation of the individual (marital status, other family members, etc.); | | | | | | | | | |
DB-SDNY-0000273
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000DD9Di&e...
236 EFTA_00019146
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814237
EFIA_000 19147
| One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary |
| ------------------------------------------------------------------------------------------------- |
| ------------------------------------------------------------------------------------------------- |
| 3A. Individual Details (for all parties) | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------------------------------------------------------- | --------------------------- | ---------------------------- | ------------------------- | ---------- | ------ | --- | --- |
| Individual's Name: | | | | Date of Birth: | | | | |
| Country of Residence: | | | | Country of Citizenship: | | | | |
| Address of primary residence: | Has client resided outside of
his/her country of nationality
for 5 years or more? | | | | | Yes No | | |
| Profession/Occupation: | | | | Tax ID / SSN: | | | | |
| Current Employer: | | | Position/Title/Rank: | | | | | |
| Address of employer: | | | | | | | | |
| Does the person work as senior executive of a DB-recognized regulated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | Yes No | | | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | | | | No | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if
Family or Friendship, describe ) | | | | | Friendship | None | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
No
Yes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes, describe ) | | | | | | | | |
| If applicable, indicate which bank officers have met the person: | Indicate where and when the dient meeting(s) took place: | | | | | | | |
| Bank Officer Name(s) | Bank Office: | Client Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | | |
| | | | | | | | | |
| | | | | | | | | |
| | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ----------------------------------------------------- | -------- | ---------------------- | ----------------------------------------------- | ---------------------------------------------- | --- | ------ | --- |
| 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | |
| | | Primary industry of source of Wealth/Source of Funds? | | | | | | | |
| Summarize Source of Wealth: | | | | | Business Owner | Salary/Earnings Investment I Inheritance/Gifts | | Other: | |
| | Further Describe Source of Wealth (Detal the history of wath for each of the sources: (e.g. For trusts, how did settior accumulate weath? For inheritance, how
did family accumulate weath?For business, how long in business, how nany employees, level of profitability? Indicate type of major
activities, Important business partners.) | | | | | | | | |
| Estimated Annual Income(\$): | | | | | Estimated amount of investable assets(\$): | | | | |
| | Estimated Net Worth(\$): | | | | Amount of assets planned to invest with PWM(\$): | | | | |
| | Other Known Financial Institutions: | | | | | | | | |
| Institution: | Country: | | | | | Est. Assets Under Mgt: | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | |
| Institution:
Country: | | | | Est. Assets Under Mgt: | | | | | |
| Blease indicate the family situation of the individual (marital status, other family members, etc.); | | | | | | | | | |
DB-SDNY-0000275
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000DD9Di&e...
238
EFTA_00019148
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814239
EFIA_000 19149
| One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary |
| ------------------------------------------------------------------------------------------------- |
| ------------------------------------------------------------------------------------------------- |
| 3A. Individual Details (for all parties) | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------- | --------------------------- | ---------------------------- | --------------------------------------------------------------------------------------- | ------ | ----- | --- | --- |
| Individual's Name: | | | | Date of Birth: | | | | | |
| Country of Residence: | USA | | | Country of Citizenship: | | | | | |
| Address of primary residence: | | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | Yes No | | | |
| Profession/Occupation: | | | | Tax ID / SSN: | | | | | |
| Current Employer: | | | | | Position/Title/Rank: | | | | |
| Address of employer: | | | | | | | | | |
| | Does the person work as senior executive of a DB-recognized requlated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | | Yes No | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | | Yes | No | | | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?//?
Family or Friendship, describe ) | | None
Friendship
Family | | | | | | | |
| (if Yes, describe ) | To the best of your knowledge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? | | | Yes | No | | | | |
| Indicate where and when the dient meeting(s) took place:
If applicable, indicate which bank officers have met the person: | | | | | | | | | |
| Bank Officer Name(s) | | Bank Office: | Client Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | | |
| | | | | | | | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ----------------------------------------------------- | -------- | ---------------------- | ----------------------------------------------- | ---------------------------------------------- | --- | ------ | --- |
| 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | |
| | | Primary industry of source of Wealth/Source of Funds? | | | | | | | |
| Summarize Source of Wealth: | | | | | Business Owner | Salary/Earnings Investment I Inheritance/Gifts | | Other: | |
| | Further Describe Source of Wealth (Detal the history of wath for each of the sources: (e.g. For trusts, how did settior accumulate weath? For inheritance, how
did family accumulate weath?For business, how long in business, how nany employees, level of profitability? Indicate type of major
activities, Important business partners.) | | | | | | | | |
| Estimated Annual Income(\$): | | | | | Estimated amount of investable assets(\$): | | | | |
| Estimated Net Worth(\$): | | | | | Amount of assets planned to invest with PWM(\$): | | | | |
| | Other Known Financial Institutions: | | | | | | | | |
| Institution: | Country: | | | | | Est. Assets Under Mgt: | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | |
| Institution:
Country: | | | | Est. Assets Under Mgt: | | | | | |
| Please indicate the family situation of the individual (marital status, other family members, etc. It | | | | | | | | | |
DB-SDNY-0000277
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000DD9Di&e...
AP/289240
EFTA00168897
EFTA_00019150
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 8(e) DB-SONY-0000278 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814241
EFFA_00019151
#### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
| 11 11 10 11 11 11 0 0 0 1 11 0 1 0 1 0 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
3A. Individual Details (for all parties) | | | | | | | | | |
| -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------- | --------------------------- | ---------------------------- | --------------------------------------------------------------------------------------- | ------ | ----- | --- | --- |
| Individual's Name: | | | | Date of Birth: | | | | | |
| Country of Residence: | USA | | | Country of Citizenship: | | | | | |
| Address of primary residence: | | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | Yes No | | | |
| Profession/Occupation: | | | | Tax ID / SSN: | | | | | |
| Current Employer: | | | | Position/Title/Rank: | | | | | |
| Address of employer: | | | | | | | | | |
| | Does the person work as senior executive of a DB-recognized regulated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | | Yes No | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | Yes | No | | | | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?/if
Family or Friendship, describe ) | | None
Friendship
Family | | | | | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes, describe ) | | Yes | No | | | | | | |
| Indicate where and when the dient meeting(s) took place:
If applicable, indicate which bank officers have met the person: | | | | | | | | | |
| Bank Officer Name(s) | | Bank Office: | Client Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | | |
| | | | | | | | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ----------------------------------------------------- | -------- | ---------------------- | ----------------------------------------------- | ---------------------------- | ----------------- | ------ | --- | --- |
| 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | | |
| | | Primary industry of source of Wealth/Source of Funds? | | | | | | | | |
| Summarize Source of Wealth: | | | | | Business Owner | Salary/Earnings Investment L | Inheritance/Gifts | Other: | | |
| | Further Describe Source of Vealth (Detal the history of wath for each of the sources: (e.g. For trusts, how did settiv accumulate weath? For inheritance, how
did family accumulate weath?For business, how long in business, how nany employees, level of profitability? Indicate type of major
activities, important business partners.) | | | | | | | | | |
| Estimated Annual Income(\$): | | | | | Estimated amount of investable assets(\$): | | | | | |
| Estimated Net Worth(\$): | | | | | Amount of assets planned to invest with PWM(\$): | | | | | |
| | Other Known Financial Institutions: | | | | | | | | | |
| Institution: | Country: | | | | | Est. Assets Under Mgt: | | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | | |
| Institution:
Country: | | | | Est. Assets Under Mgt: | | | | | | |
| Blases indicata the family city of the individual (marital charge other family mombore, atc.); | | | | | | | | | | |
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000279
https://dbforcepb.my.salesforce.com/servlet.Integration?lid=01N3000000DD9Di&e...
USAO289242 EFTA_00019152
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824243
EFFA_00019153
#### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
| | | | 3A. Individual Details (for all parties) | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------- | -------------------------------------------------------- | ------------------------------------------------------------------------------------------------- | ---------- | ----- | --- | --- | --- |
| Individual's Name: | | | | Date of Birth: | | | | | |
| Country of Residence: | USA | | | Country of Citizenship: | | | | | |
| Address of primary residence: | | | | Has client resided outside of
Yes No
his/her country of nationality
for 5 years or more? | | | | | |
| Profession/Occupation: | | | | Tax ID / SSN: | | | | | |
| Current Employer: | | Position/Title/Rank: | | | | | | | |
| Address of employer: | | | | | | | | | |
| | Does the person work as senior executive of a DB-recognized regulated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | | Yes No | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | | Yes | No | | | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?//
Family or Friendship, describe ) | | | | Family | Friendship | None | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes, describe ) | Yes | | | No | | | | | |
| | | | | | | | | | |
| If applicable, indicate which bank officers have met the person: | | | Indicate where and when the dient meeting(s) took place: | | | | | | |
| Bank Officer Name(s) | Bank Office: | Client Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | --- | --- | --- | ----------------------------------------------- | ---------------------------------------------- | --- | ------ | --- | --- |
| 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | | |
| | Primary industry of source of Wealth/Source of Funds? | | | | | | | | | |
| Summarize Source of Wealth: | | | | | Business Owner | Salary/Earnings Investment I Inheritance/Gifts | | Other: | | |
| | Further Describe Source of Wealth (Detal the history of wath for each of the sources: (e.g. For trusts, how did settior accumulate weath? For inheritance, how
did family accumulate weath?For business, how long in business, how nany employees, level of profitability? Indicate type of business, countries of major
activities, important business partners.) | | | | | | | | | |
| Estimated Annual Income(\$): | | | | | Estimated amount of investable assets(\$): | | | | | |
| Estimated Net Worth(\$): | | | | | Amount of assets planned to invest with PWM(\$): | | | | | |
| | Other Known Financial Institutions: | | | | | | | | | |
| Institution: | Est. Assets Under Mgt:
Country: | | | | | | | | | |
| Institution: | Country:
Est. Assets Under Mgt: | | | | | | | | | |
| Institution: | Est. Assets Under Mgt:
Country: | | | | | | | | | |
| Please indicate the family situation of the individual (marital status, other family members, etc.): | | | | | | | | | | |
the individual (marital status, other family members,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
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EFTA_00019154
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EFIA_00019155
| One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa | |
| ----------------------------------------------------------------------------------------------- | --- |
| ----------------------------------------------------------------------------------------------- | -- |
| 3A. Individual Details (for all parties) | | | | | | | | | | | |
| -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------------- | -------------------------------- | ------------------------------------------------------------------------------------- | ------------------- | ---------- | -------- | --- | --- | --- | --- |
| Individual's Name: | Darren Indyke | Date of Birth: | | | | | | | | | |
| Country of Residence: | USA | | | Country of Citizenship: | | USA | | | | | |
| Address of primary residence: | | | | Has sent resided outside of
hisTher country of nationality
for 5 years or more? | | O YesEl No | | | | | |
| Professon/Occupaten: | Accountant | | | Tax ID / SSN: | | | | | | | |
| Current Employer: | Southern Financial LLC | | | Positen/Title/Rank: | | | | | | | |
| Address of employer: | | 6100 Red Hook Quarter B3 St Thomas 00802 | | | | | | | | | |
| | Does the person week as senior execubve of a DB-recognized regulated entty in the firenaal
ndustry? or an entity kited on a DB-recognised exchange? (Not appkcable fa operating entitles | | | O Yes I2INo | | | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(iY Yes, clescrrtle) | | | | Oyes | ON° | | | | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?(it
remirerFriendshp, . describe) | | El None
O Family
O Friendship | | | | | | | | | |
| To the best of your knowledge, is the individual party to a non.banlong relationship with
El Yes
Deutsche Bank (e.g., external legal counsel, client referral soace, supplier of goods a services)?
'!A No
(if Ye4descnbe) | | | | | | | | | | | |
| Indicate where and Wen the client meebng(s) took pace:
If applicable,. Indicate which bank officers have met the person: | | | | | | | | | | | |
| Bank Officer Name(s) | Bank Office: | Gent Private
/Domicile: | Cent Place of Other
Business: | | Location (specify): | Date: | | | | | |
| Paul Moms | | O | O | RI | | | 9/6/2013 | | | | |
| | O | • | | | | | | | | | |
| | • | O | | | | | | | | | |
| O Wealth Details for this individual are not Wed in, because they are the same as for the folowing person: | | | | | | | | | | |
| ---------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --- | --- | ---------------------------------------------- | --- | --------------------------------------------------------------------------- | --- | --- | --- |
| 38. Wealth Details (Only for parties requiring source of wealth desaiption as indicated in Section 2) | | | | | | | | | | |
| Nature of the Inebeduars Business: | | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | | |
| | Primary industly of source of Wealth/Source of Funds? | | | | | | | | | |
| Summarize Source of Wealth: | | | | | | | O Business Owner OSalary/Earnings O Invesbnent O Inheritance/Gifts O Other: | | | |
| | Further Desaite Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler acctrnulate wealth? For inheritance, how
did family accumulate vrealth?For busness owners, how tag in business, how many employees, level of prditatety? Indicate type of business, countries of major
al:Unties, important business partners.) | | | | | | | | | |
| Estimated Annual Income(S): | | | | | Estimated amount of investable assets(S): | | | | | |
| Estimated Net Worth(S): | | | | | Mount of assets planned to invest with PWM(S): | | | | | |
| | Other Known Anne al Institutions: | | | | | | | | | |
| Institution: | Country:
Est. Asses Under Mgt: | | | | | | | | | |
| Institution: | Est. Asses Under Mgt:
Country: | | | | | | | | | |
| Institution: | Est. Assets Under Mgt:
Country: | | | | | | | | | |
| Please indicate the fanuly situation c4 the In .:Wicket (marital status, othe family members, etc.): | | | | | | | | | | |
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EFIA_00019156
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EFIA_00019157
#### One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
| 3A. Individual Details (for all parties) | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------- | ---------------------------- | --------------------------------------------------------------------------------------- | --- | ------ | --- | --- | --- |
| Individual's Name: | Harry Beller - | | | Date of Birth: | | | | | |
| Country of Residence: | USA | | | Country of Citizenship: | | USA | | | |
| Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | Yes No | | | |
| Profession/Occupation: | Accountant | | | Tax ID / SSN: | | | | | |
| Current Employer: | HBRK Associates, Inc | | | Position/Title/Rank: | | | | | |
| Address of employer: | 575 Lexington Avenue, 4th Floor Monsey NY United States 10022 | | | | | | | | |
| | Does the person work as senior executive of a DB-recognized requlated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | | Yes No | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | | | No
Yes | | | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?/if
Family or Friendship, describe ) | | None
Friendship
Family | | | | | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
No
Yes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes describe ) | | | | | | | | | |
| Indicate where and when the dient meeting(s) took place:
If applicable, indicate which bank officers have met the person: | | | | | | | | | |
| Bank Officer Name(s) | Bank Office: | Client Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | ----------------------------------------------- | ---------------------- | ------------------------------------------------------------------------ | --- | ---------------------- | --- | --- |
| 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | |
| Primary industry of source of Wealth/Source of Funds? | | | | | | | | |
| Summarize Source of Wealth: | | | | Salary/Earnings Investment Inheritance/Gifts
Other:
Business Owner | | | | |
| Further Describe Source of Wealth (Detal the history of wath for each of the sources: (e.g. For trusts, how did settior accumulate weath? For inheritance, how
did family accumulate weath?For business, how long in business, how nany engloyees, level of profitability? Indicate type of major
activities, important business partners.) | | | | | | | | |
| Estimated Annual Income(\$): | | Estimated amount of investable assets(\$): | | | | | | |
| Estimated Net Worth(\$): | | Amount of assets planned to invest with PWM(\$): | | | | | | |
| Other Known Financial Institutions: | | | | | | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | |
| Institution: | | | Country: | Est. Assets Under Mgt: | | | | |
| Institution: | | Country: | Est. Assets Under Mgt: | | | | | |
| Please indicate the family situation of the individual (marital status, other family members, etc.): | | | | | | | | |
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000285
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EFTA_00019158
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EFIA_00019159
| Ine sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary | | | | | |
| ----------------------------------------------------------------------------------------------- | ---------------------------------------- | --- | --- | --- | --- |
| | 3A. Individual Details (for all parties) | | | | |
| | | | | | |
| Individual's Name: | Erika Kellerhals - | | | Date of Birth: | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------------------------------------- | --------------------------- | ---------------------------- | ------------------------------------------------------------------------------------------------- | --- | ----- | --- | --- |
| Country of Residence: | USA | | | Country of Citizenship: | USA | | | |
| Address of primary residence: | | | | Has client resided outside of
Yes No
his/her country of nationality
for 5 years or more? | | | | |
| Profession/Occupation: | Attorney | | | Tax ID / SSN: | | | | |
| Current Employer: | Kellerhals Ferguson Kroblin PLLC | | | Position/Title/Rank: | | | | |
| Address of employer: | 9100 Port of Sale Mall, Ste 15 St. Thomas VI United States 00802 | | | | | | | |
| Does the person work as senior executive of a DB-recognized requlated entity in the financial
Yes No
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | | | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | V No
Yes | | | | | | | |
| To the best of your knowledge, is the individual related to an employee of the DB group?(if
Family or Friendship, describe ) | None
Family
Friendship | | | | | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
Yes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes, describe ) | | | | | No | | | |
| Indicate where and when the dient meeting(s) took place:
If applicable, indicate which bank officers have met the person: | | | | | | | | |
| Bank Officer Name(s) | Bank Office: | Client Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | | |
| | | | | | | | | |
| | | | | | | | | |
| | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ------------------------------------------------------------------------------------------------------ | ----------------------------------------------- | -------- | ----------------------------------------- | --------------------------------------------------------------------------- | ---------------------- | --- | --- | --- |
| | 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | | |
| Primary industry of source of Wealth/Source of Funds? | | | | | | | | | |
| Summarize Source of Wealth: | | | | | Inheritance/Gifts
Other:
Salary/Earnings Investment
Business Owner | | | | |
| Firther Describe Source of Veath (Detal the history of weath for each of the sources; (e.g. For trusts, how did settior accumulate weath? For intertance, how
did family accumulate weath?For business, how long in business, how nany employees, level of profitability? Indicate type of major
activities, important business partners.) | | | | | | | | | |
| Estimated Annual Income(\$): | | | | Estimated amount of investable assets(\$): | | | | | |
| Estimated Net Worth(\$): | | Amount of assets planned to invest with PWM(\$): | | | | | | | |
| Other Known Financial Institutions: | | | | | | | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | | |
| Institution: | | Country: | | | Est. Assets Under Mgt: | | | | |
| Blease indicate the family situation of the individual (marital status, other family members, otc.); | | | | | | | | | |
DB-SDNY-0000287
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USAO2801250 EFTA_00019160
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824251
EFFA_00019161
| One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa | |
| ----------------------------------------------------------------------------------------------- | --- |
| ----------------------------------------------------------------------------------------------- | -- |
3A. Individual Details (fct all parties) Individual's Name: Jeffrey E. Epstein - Date of Birth: County of Residence: USVI Country of Citizenship: USA Address of primary residence: Ude Saint James Saint Thomas 00802 United States Has dent resided outside of his/her country of natenality for 5 years or more? O yes El No Professicn/Occupatkm: Self Ernpolyed Tax ID / SSW Current Employer: Southern Financial LLC Patton/Tide/Rant President Address of employer: 6100 Red Hook Quarter B3 St. Thomas United States 00802 Does the person work as senior executive of a DB-recognized regulated may in the financial ndustry? a an entity listed on a DB-recognised exchange? (Not appbcable for operating entities O Yes 10 No Is the individual a Polecally Exposed Person (PEP)?(/ Yes, !farce/be) connection vath Prince Andrew and &II Clinton Yes • No To the best of your knowledge, is the individual related to an employee of the DB group?(d remd Y or Friendslip, describe) • Family O Friendship Ei None To the best of your knowledge, is the individual party to a non.banlong relationship with Deutsche Bank (e.g., external legal counsel, client referral smite, supplier of goods a services)? (if Ye4descnbe) El Yes '!A No If applicable, Indicate wtich bank officers have met the person: Indicate where and viten the client meeting(s) took pace: Bank Officer Name(s) Bank Office: /Domicile: Gent Private Cent Place of Other Busress: Location (specify): Date: O O O O O •
| O Wealth Details for this ineWiclual are not Wed in, because they are the same as for the (plowing person: | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | -------------------------------------------------------------------------- | --- | --- | --- | --- |
| 38. Wealth Details (Only for potes requiring soiree of wealth desaiption as indicated in Section 2) | | | | | |
| Nature of the Ineiviciars Business: | Private investments | | | | |
| Primary County of source of wealth/source of Funds? | | | | | |
| Primary industry of source of Wealth/Source of Funds? | | | | | |
| Summarize Source of Wealth: | O Business Cromer OSalarygarnigs g Investment O Inheritance/Gifts O Other: | | | | |
| Further Desaite Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trues, how did settler accumulate wealth? For inheritance, how
did family accumulate wealth?For business owners, how long in business, how many employer., level of prolitabety? Indicate type of business, countries of major
ad:Nees, Important business partners.) Jeffrey Edward Epstein (tom January 20, 1953) is an American financier and registered sex offender in the United Stier.
He worked at Bear Steatns early in hs career and then formed his own firm, J. Epstein & Co. In 2008, Epstein was convicted of sacking an underage gill for
prostitutico, for which he served 13 months in prison. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from
1973 to 1975. Among Ns students was a son of Nan C. Greenberg, chairman of Beat Stearns.
In 1976, Epstein started work as an options trader at Bear Stearns where he waked in the special products division, advising high-net-worth dents on tax
strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Steams.
In 1982, Epstein founded his own financial management firm, J. Epstein & Co., manaang the assets of clients wth more than \$1 billion in net worth. In 1987,
Link Wexner, famder and chairman of Ohio based The Limited chain of women's dothing stores, became a well-known client. Weimer acqtered Abercrombie &
Meth the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the
wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St.
Thomas in the U.S. Virgin Islands.
In 2003, Epstein bid to acquire New Yak magazine. Other adders were advertising executive Donny Deutsch. investor Nelson Pelt, mede mogul and atlisher
Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were arnately °Abe by Bruce Wasserstein, a longtime Wall
Street investor, who paid \$55 men.
In 2009, Epstein and Zuckerman committed up to \$25 million to finance Radar a celebrity and pop culture magazine founded by Meer Roshan. Epstein and
Zuckerman were equal partners in the venture. Roshan, as etS editor-in-chief, retained a smal ownership stake. | | | | | |
O • O
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0000289
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| Presently, PP. Epstein founded Southern Trim Company Inc, a private constSng canpany that invest the assets of their chews and gets their revenue from the
return of these laves-alerts Southern Trust invests in afferent portfolios catered to their dents and makes their revenue based on the returns and the fees
associated with managing their dent's assets. | | | | | | | | | |
| -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------- | -------- | --- | --- | ---------------------- | --- | --- | --- | --- |
| SSO MM - 100 MM
Estimated amount of intestate assets(\$):
Estmated Annual blcome(\$):
10,000,000.00 | | | | | | | | | |
| \$500 MM +
Arnamt of assets planned to moat with PWM(S):
Estimated Net Worti(S): | | | | | | | | | |
| Other Knorr Pinata& Institutions: | | | | | | | | | |
| Institution: | Country:
Est. Assets Under Mgt: | | | | | | | | |
| Institution: | | Country: | | | Est. Assets Under Mgt: | | | | |
| Institution: | | Country: | | | Est. Assets Under Mgt: | | | | |
| Please mdicate the fanuly situation of the Inavidual (marital status, other family members, etc.): | | | | | | | | | |
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EFIA_00019163
| One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary | |
| ------------------------------------------------------------------------------------------------- | --- |
| ------------------------------------------------------------------------------------------------- | -- |
| 3A. Individual Details (for all parties) | | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------- | -------------- | --------------------------- | --------------------------------------------------------------------------------------- | ------------------------- | ------ | ----- | --- | --- |
| Individual's Name: | | Date of Birth: | | | | | | | |
| Country of Residence: | USA | | | Country of Citizenship:
USA | | | | | |
| Address of primary residence: | | | | Has client resided outside of
his/her country of nationality
for 5 years or more? | | Yes No | | | |
| Profession/Occupation: | Accountant | | | Tax ID / SSN: | | | | | |
| Current Employer: | HBRK Associates, Inc | | | Position/Title/Rank: | | | | | |
| Address of employer: | 575 Lexington Ave, 4th FI New York NY United States 10022 | | | | | | | | |
| Does the person work as senior executive of a DB-recognized requilated entity in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities | | Yes No | | | | | | | |
| Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) | | No
Yes | | | | | | | |
| Family or Friendship, describe ) | To the best of your knowledge, is the individual related to an employee of the DB group?(if | | Family | Friendship | None | | | | |
| To the best of your knowledge, is the individual party to a non-banking relationship with
No
Yes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?
(if Yes, describe ) | | | | | | | | | |
| Indicate where and when the dient meeting(s) took place:
If applicable, indicate which bank officers have met the person: | | | | | | | | | |
| Bank Officer Name(s) | | Bank Office: | Ollent Private
Domicile: | Ollent Place of
Business: | Other Location (specify): | | Date: | | |
| | | | | | | | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| Wealth Details for this individual are not filled in, because they are the same as for the following person: | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------ | --- | -------- | --- | ----------------------------------------- | ---------------------- | --- | --- |
| 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | |
| Nature of the Individual's Business: | | | | | | | | |
| Primary Country of source of wealth/source of Funds? | | | | | | | | |
| Primary industry of source of Wealth/Source of Funds? | | | | | | | | |
| | Summarize Source of Wealth:
Investment I Inheritance/Gifts
Other:
Business Owner
Salary/Earnings | | | | | | | |
| Further Describe Source of Wealth (Detal the history of wath for each of the sources: (e.g. For trusts, how did settior accumulate weath? For inheritance, how
did family accumulate weath?For business, how long in business, how nany engloyees, level of profitability? Indicate type of major
activities, important business partners.) | | | | | | | | |
| Estimated Annual Income(\$): | | | | | Estimated amount of investable assets(\$): | | | |
| | Estimated Net Worth(\$):
Amount of assets planned to invest with PWM(\$): | | | | | | | |
| Other Known Financial Institutions: | | | | | | | | |
| Institution: | Country: | | | | | Est. Assets Under Mgt: | | |
| Institution: | | | Country: | | | Est. Assets Under Mgt: | | |
| Institution: | Est. Assets Under Mgt:
Country: | | | | | | | |
| Please indicate the family situation of the individual (marital status, other family members, etc.); | | | | | | | | |
(man
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000291
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882254 EFTA_00019164
| One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa | | | | | | | | |
| --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | ---------------------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --- | --- | --- |
| 3C. Legal Entity Details (For all Legal Entities) | | | | | | | | |
| The Haze Trust - 00000486928
Legal Entity Name: | | | | | | | | |
| O Foundation/Association 2
®Private ®Private Investment O
Trust O Company • Estate
Type of Entity:
Purpose of Entity:
O Partnership
Philandroptc/Chantable OCommerdal | | | | | | | | |
| Purpose of Entity
Type of Entity Other (seed
y):
Other (seedy): | | | | | | | | |
| Counby of
ircorporabon/registration: | United States Vrgin Islands | | Date of incorporation /
registration: | 2/9/1999 | | | | |
| Identified an Customer Profile
Volcker Status: | | | Voteker Flag: | No | | | | |
| Address (city, street,. post
code): | 6100 Red Hook Quarter B3 St, Thomas 00802 United States | | U.S. TIN/E1N: | 13-7185914 | | | | |
| renxabeity,settior and beneficearn,etc.:
Jeffrey Epstein: Grantot/Benenciary
Darren Indyke: Trustee | | | | Provide a description of the entitys organizational structire, is ownership structure and as Top Management For trusts/foundations, tide Information about | | | | |
| Darren Indyke: Trustee | Please indicate how ownership of the legal entry is reflected: Jeffrey Epstein: Grantor | | | | | | | |
| | O Special attention: Bearer Shares - Indicate where shares are custodied: | | | | | | | |
| Darren Indyke: Trustee | Describe the chain from the direct owner of the entity to the utmate beneficial owner ((not the same person4 Jeffrey Epstein: GraMalBeneficery | | | | | | | |
| | To the best of your knowledge, is the entity party to a non-balong relationship with Deutsche
Bank (e.g. external legal counsel, client referral source, supplier of goon or services).: | | Yes O No Rd | | | | | |
| Describe Nature of Entity's Primary Business and Investment Activities | | | | | | | | |
| The trust was initially funded with \$100. The trust makes and holds investements and the gains it
Nature of the business:
makes from those invesbnents is its source of revenue. The trust, in Wm, puts these gains back
into the trust and reinvests. | | | | | | | | |
| Counties where busress is transacted:
USA, USVI | | | | | | | | |
| Number of employees:
2 | | | | | | | | |
| | | | | | | | | |
| 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | |
| Primary County of source of wealth/soiree of Finds? | | | | | | | | |
| ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ---------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------- | ------------- | --- | --- | --- | --- |
| Primary industry of source of Wealth/Source of Funds? | | | | | | | | |
| Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
revenue. The trust. in turn. puts these claim back into the trust and reinvests. | | The wust was inlay funded with \$100 from Jeffrey Epstein. The trust makes and beide investemems and the gains it makes from those investments is its source of | | | | | | |
| Estmated gross receipls p.a.(\$): | | 300,000.00 | | | | | | |
| Estmated net profit pa. (3): | | 200,000.00 | | | | | | |
| Estimated investable assets (\$): | | \$20 MM - SO MM | | | | | | |
| Potential Amount to be invested with PV/M (\$): | 200,000.00 | | | | | | | |
| Other Known Financial Institutions: | | | | | | | | |
| Institution:
DB | Country: | USA | Est. Assets Under Mgt: | 23,000,000.00 | | | | |
| Institution: | Cointry: | | Est. Assets Under Mgt: | | | | | |
| Institution: | Country: | | Est. Assets Under Mgt: | | | | | |
| One sheet must be established for EACH LEGAL ENTITY M Section 2. Account Summa | | | | | | | | |
| | | 3C. Legal Entity Details (For all Legal Entities) | | | | | | |
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192824255
| Legal Entity Name: | Butterfly Trust | | |
| --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------- | ---------------------------------------------------------- |
| Type of Erety: | O Foundation/Association RI Trust Li Company O Estate
O Partnership | Purpose of Entity: | ® Private Investment O
Philandwopc/Chantable OCommerdal |
| Type of Entity Other (seed
y): | | Purpose of Entity
Other (seedy): | |
| Country of
Incorporation/registration: | USA | Date of incorporabon /
registration: | 12/27/2006 |
| Volcker Status: | Identified al Customer Profile | \\kicker Flag: | No |
| Address (city, Orem, past
code): | 6100 Red Hook Quarter B3 St, Thomas 00802 United Slates | U.S. TIN/EIN: | |
| Provide a description of the entity's
revocateity,setbor and benefid
This Is an Irrevocable bust set
',
Beller and Erika Kellertals.
IlliM
Shull\*
\Richard Kahn
Attached are the original bust agreement\ | organizational structure, as ownesNe structure and a Top Management For busts/foundations, include informaton about
dre,etc.:
p by Jeffrey Epstein as the grantor. The the beneficiaries for the mist are being updated by the current bustees. The bustees are
The beneficiaries are:
and the addition/deletion of beneficiary instrument to support this change. According to the °Annal trust agreement, the | | |
| trustees have the right during the | lifetime of the Granbx to delete a add benefbarles under Amide 3 of the agreement | | |
| Please indicate how ownership of the legal entity Is reflected: | O Special attention: Bearer Shares - Indicate where shares are custodied: | | |
| | Describe the chain from the direct owner of the May to the utirrete bmencial owner (dna the same persons) | | |
| | | | |
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824256
| Yes O No g6
To the best of your knowledge, Is the entity party to a non.bwkng relationship with Deutsdie
I
Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: | | | | | | | | | |
| ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------------------- | ------------------------------------------------------------------------------------------ | --- | ------------------------------------------------------------------------------------------------------------------------------------------------------------ | ------------------ | ----------------------- | ----------------------- | --------------------------------- | --- |
| Describe Nature of Entity's Primary Business and Investment Activities | | | | | | | | | |
| Nature of the business: | | | | Trust account | | | | | |
| Counties where busaness is transacted: | | | | USA, USYI | | | | | |
| Number of employees: | | | N/A | | | | | --1 | |
| | | | | | | | | | |
| 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) | | | | | | | | | |
| | | Primary Cowley of source of wealth/soiree of Funds? | | | | | | | |
| | | Primary 'platy of source of Wealth/Source of Funds? | | | | | | | |
| Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asset,/liadlities):
trust account with Jeffrey Epstein as Grantor. Initial \$100 given to the account to fund. The funds fee this mist amount come from investments made by Jeffrey
Epstein. His wealth profile Is Mad cut | | | | | | | | | |
| | Estimated gross receipts p.a.(\$): | | | 4,500,000.00 | | | | | |
| Estmated net profit p.a. (5): | | | | 4,500,000.00 | | | | | |
| | Estmated investable assets (5): | | | \$51M - 10 MM | | | | | |
| | Potential Amount to be invested imth PV/M (5): | | | | | | | | |
| | Other Know, Financial Institutions: | | | | | | | | |
| Institution: | Country: | | | | | Est. Assets Under Mgt: | | | |
| Institution: | Country: | | | | | Est. Assets Under Mgt: | | | |
| Institution: | Country: | | | | | Est. Assets Under Mgt: | | | |
| One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary | | | | | | | | | |
| 3C. Legal Entity Details (For all Legal Entities) | | | | | | | | | |
| Legal Entity Name:
The 2007 Jeffrey E. Epstein Insurance Trust A: | | | | | | | | | |
| | | | | | | | | | |
| Type of Entity: | | O Partnership | | O Foundation/Association @Trust O Company O Estate | | Ptrpose of Edgy: | 121Private Investment O | • ilandroptc/Chantable OCommerdal | |
| Type of Entity Other (specify): | | | | | Purpose
Oder (s | of Entity
(specify): | | | |
| Country of
ingirPoration/registration: | | USVI | | | registration: | Date of incorporation / | 11/1/2007 | | |
| Vcidoor Status: | | Determination Required | | | VoSzker Flag: | | No | | |
| Address (city, greet, post
code): | | | | 575 Lexington Ave, 9th A New York NY 10022 United States | U.S. TIN/EIN | | | | |
| Jeffrey Epstein: Grantor
Darien Indyke: Trustee
Richard Kahn: Trustee | revocalrity,settior and benefidarion,etc.: | | | Provide a description of the entity's organizational a:ochre, As ownership structure and n Top Management. For trusts/foundations, include information about | | | | | |
| | | Please indicate how ownership of the legal entty is reflected: | | | | | | | |
| | | O Special attention: Bearer Shares - Indicate where shares are custodied: | | | | | | | |
| | | | | Describe the chan from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). | | | | | |
| | | Bank (e.g. external legal counsd, client referral source, supplier of goods or services)?: | | To the best of your knowledge, is the entity party to a non-banking reLationship with Deutsche | | Yon O No @ | | | |
| | | Describe Nature of Entity's Primary Busbies and Investment Activities | | | | | | | |
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192824257
| Counoles where business is transacted: | | USV1, USA | | | | | |
| ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | -------- | ---------------------- | ---------------------- | --- | --- | --- | --- |
| Number of employees: | 2 | | | | | | |
| | | | | | | | |
| 3D. Wealth Prof le (Only for parties requiring source of wealth desciption as indicated in Section 2) | | | | | | | |
| Primary Camay of source of wealth/sane of Finds? | | | | | | | |
| Primary Industry of source of Wealth/Source of Funds? | | | | | | | |
| summary of asset /liabilities):
Proide Evidence of Corporate Assets (e.g. balance sheet or equivalent
by the Grantor Jeffrey Epstein. His source of wealth can be found In his weal. profile
the funds for this trust account come from contribution mad | | | | | | | |
| Estmated gross receipa p.a.(\$): | | | | | | | |
| Estimated net profit p.a. (S): | | | | | | | |
| Estmated investable assets (5): | | \ | | | | | |
| Potential Amount to be Invested wth PWM (\$): | | | | | | | |
| Other Known Fmanoal Institutions: | | | | | | | |
| Institution: | Country: | | Est. Assets Under Mgt: | | | | |
| Institution:
Country: | | | Est. Assets Under Mgt: | | | | |
| Institution: | Country: | | Est. Assets Under Mgt: | | | | |
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814258
EFIA_00019168
#### DB PWM GLOBAL KYC/NCA: US/Latin/Intl PART B
| Relationship Name
EPSTEIN, JEFFREY RELATIONSHIP | | | | | | | | | | | | |
| -------------------------------------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------ | -------------------------------------------- | --- | -------------- | --- | ---- | ----------------------- | ----------- | ---------- | --- |
| Rig Rating Comments: | | | | | | | | | | | | |
| 0
• offshore
Booking Center
21NY
NY/Offshore | | | 0 Moderate
Risk | cu High Risk | | Yoonsun Chung | | | | | | |
| | | | | | | | | | (Compliance Signati.re) | | | |
| 0 013 Employee
0 DB Managed PIC | | | | 0 Bearer ShWeS
• DB is Trustee/Co-Trustee | | | | | | | | |
| | | | | | | 4. Attachments | | | | | | |
| | A. Type of Photo ID Provided | 0 Drivers License 21Passport • Natonal/Srate ID • Other | | | | | | | | | | |
| | B. Checklist of names (irdmigals and/or entities) that were submitted for database searches is attached g Yes 0 No | | | | | | | | | | | |
| | C. Please Indicate the results of the database searches performed | | | | | | | | | | | |
| | ROC searches complete | | | | | 2 Yes • No | | | negative mutts found | 0 Yes 'A No | | |
| | POt checks complete | | | | | Yes 0 No | | | negative resins found | )Yes 0 No | | |
| | OFAC checks complete | | | | | g Yes 0 No | | | negative results found | | Oyes 121No | |
| | BIS searches complete (Legs/Nets, FactIva, Reuters, Dow Jones, 0&B) | | | | | 21 Yes 0 No | | | negative results found | | Oyes 121No | |
| | Denial Orders checks complete | | | | | g Yes 0 No | | | negative resters found | | Oyes WI No | |
| | Matindale-Hubbell searched (Lawyers/Law Fimis only) | | | | | 0 Yes RI No | | | negative resters found | | 0 Yes 0 No | |
| D. | No court Casa
JEFFREY EPSTEIN:
Previously approved KYC
Al negative media pertains to court cases which have been previously approved In the above mentioned KYCs.
Court Cases have been closed
ROC alerts for Richard Kahn came up but they were all false positives as the age and locations of the alert did not match the age and address on tile.
HARRY BELLER:
No negative media
Court case 1st ten as a defendant for being chief of medical staff for Jackson Memorial Hospital The court CON:Judea that the planar( had no cognizable claim
that his aril rights has been violated, but refused to dismiss his complaInt as to Ns antitrust claim Dekndarits' motion was thus granted in part and denied in
part The defendants listed in this case have not committed any illegal acts of conduct in any way. The case was settled on 6/30/1987.
KEUERHMS:
No negative media
Erika Is an attorney and listed as legal counsel for several court case. Court case to appeal from a decision of the bankruptcy tout. Appellee trustee moved to
dismiss the appeal for failure to prosecute under Fed R. of the six Poulls factors, five weighed in favor of dismissal and it was granted. Mother tout case for
dissolving of marriage and property settlement. The case was concluded.
v Ghinaine Maxwell for assault, Ibel & slander.
OW court case
was listed as a miscellaneous party but the case was | | | | | | | | | | | |
| | dosed In May 21.111.1.a | plaintiff nor a defendant, and was not charged with anything. She does not pose a risk to the bank.
7.4 Yes 0 No
E. To the best of you knowledge, has the dent ever been convicted of a criminal offense? | | | | | | | | | | |
| F | To the best of you knowledge, has the customer ever been involved in any past litigation against
Deuudie Bank AG or any of its subediaries or is the customer threateMng Ilingaton against Deutsche n LI yes g No
Bank AG or any of is subsidiaries? (If ye; nide detat& below and awract @al Mt
aatArrtant19 or the Retadatctly Contra Group are notly Contolianceirnmediatele | | | | | | | | | | | |
| | G. Does the client cr related party have any financial or other association / mteractions withcountries o
or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? | | | | | | | yes | mo
g | | | |
| H | Does the client or related party have any financial or other association/ interactions within high risk
countries? | | | | | | | LJri | Yes g No | | | |
| | | | | | | | | | | | | |
#### CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(6) DB-SDNY-0000296
https://dbforcepb.my.salesforce.com/servletiserviet.Integration?lid=0IN30000000D9Di&e... U§192824259
| | I. Corporate Documentation Attached (Legal Entitles ONy) | RI Yes El No El Not Applicable | | | |
| --- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | ------------------------------ | --- | --- | --- |
| | 3. Undisclosed Principal Form Complete (Intermediaries Only) | ID Yes El No FA Not Applicable | | | |
| | K. U Le:Os/Nem Search Results, Corporate Dooments or Other Supporting Documentation is not in English, please provide an EN:ash summary of the
nature/coMent of the non-English Docimentaton: | | | | |
| L | Special Risk Factors | | | | |
| | Does the coon have Nexus to Special Risk Countries? | arras 10 No | | | |
| | Is the amount structure unusually complex? | Oyes 12 No | | | |
| | Is there any indication the client set up a non operating ccnpany expressly
for the purpose of transferring shares to third parties? | O yes 7,
No | | | |
| | Is there any indication this could be a proNbted business relationship? | arras 211,Jo | | | |
| | Are the bearer shares Identified subject to acceptable controls? | arras ? No | | | |
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814260
EFIA_00019170
| M. Case Comments | | | | | |
| ----------------- | ---------------- | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | --- | --- | --- |
| Created By | Date | Comments | | | |
| Cynthia Rodriguez | 9/6/117 12:05 NI | recent research and google searches for
Kellerials can be found in approved | | | |
| Cynthia Rodnguez | 9/6/117 12:09 NI | ID for Enka Kellerhals can be found In approved case | | | |
| KshlttJ Golan | 9/6/117 3:22 PM | This KYC serves as a high rek update for the below listed dente (together "accountholders") -
1. The Haze Trust
2. Butterfly mist
3. The 2007 Jeffrey E. Epstein Insurance Trust 03
Below are the reasons why we are comfortable wan approving this KYC:
• information and supporting docwrients required by our NIL Pokey were provided and reviewed; and as a result,
we have an understanclng cf the structure of the acoduMbalders, their purpose, the purpose of the accounts and
evected transaction actlyty.
• There are a fee, risk factors associated with the accountholders —
SOW: The U80 (Jeffrey Epstein) Is the founder of Southern Trust Company Inc, which manages clients assets.
SOW venfication was obtained.
Negative Media & PEP: mere Is some negative mesa against Mr Epstein and he is also maintains a close
relationship with 841 ainton and Prince Andrew. Please see risk calculator for more Information. Approprate
approval was obtained.
• Our review dcl not identify any red flags and thus there was no need to escalate this case hurter.
• We performed due diligence searches on al parties and did not find the names searched to be on any sanctions
ists. | | | |
| Cynthia Rodriguez | 8/24/117 5:25 PM | No material changes confirmed by the client via phone on 08/22/2017.
No GBSA forms required as determination is already noted on the system.
Benefoaries are al added as parties whit DOB, SSN/Passport Xs, address & !Ds | | | |
| ONSHORE APPROVALS | | | | |
| -------------------------------- | ------------- | --------------------------- | --------- | --- |
| alert Facing Professional (CFP): | Chuck Water | (Signature)
Cluck Walker | 8/25/2017 | |
| Office Director/Business Head: | Steven Mattus | (Signature)
Steven MUMS | 8/29/2017 | |
| Regional Office Director: | | (Signature) | | |
| AML Business Risk: | | (Sanative) | | |
| MIL Compliance: | | (Sanative) | | |
| | 'CORI) Gam | Mkt)) Golan' | 9/6,2017 | |
| | Yconsun Chung | Yoonsun Chung | 9/6,2017 | |
| LATAM/INTERHATIONAL APPROVALS | | | | | |
| ---------------------------------------------------------------- | --- | ----------- | --- | --- | --- |
| Chem Facing Professional (CFP): | | (Signature) | | | |
| Account Manager: | | (Signature) | | | |
| Global Market Team Head (GPITH)/Sub.
Market Team Head (SMTH): | | (Signature) | | | |
| NIL Business Risk: | | (Signature) | | | |
| NIL Compliance: | | (Signature) | | | |
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§I92894261
EFFA_00019171
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) (1) (CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. it is the responsibility of CFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. i confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers. Brokers, Client Managers, etc.
Deutsche Bank Americas New York
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000299
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=0IN30000000D9Di&e... U§192824262
EFIA_00019172