EFTA01282195.pdf

KYC l'rint Page 1 of 30
DB PWM GLOBAL KYC/NCA: PART A
KYC Case N : 01977695 Status : 6. Approved
One sheet must be established per relationshi • list all accounts Included In the relatlonshi
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Cooking (enter. New York
Relationship Manager: Stewart Oldfidd
• New MK Relationship O Existing PWM Relationship
Relationship to PWM: If online, please indicate since when the relationship exists, provide reason for new profde and attadi old profile: •** 2018
Penodk Review - Overdue HR KYC ""
last Approved KYC X - Epstein, Jeffrey E. & Southern Trust Company, Inc. - kero Management, LLC -
7.1 Client Referral O RM Prospect O Intermediary/Pim O Other Source (GB, etc.)
Mow Was the Client(s)
Introduced? How long has the
RN personally known the Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein
client? readied out to Stew 0ldfleld on 3/7/17 to have a new acct opened order this relationship..
Does Deutsche Bank pay a O Yes
revocession or ender 10 No
compensation to a third party
for the introduction of this (If yes, descreei.
relationship?
Let an existing and new accounts involved in the relationship
Legal Entity Account Name / Number Opening Date (Intendediactuat)
Accounts)
1 O Jeffrey Epstein - 3/8/2016
2 • Jeffrey Epstein - 9/23/2013
3 • Jeffrey Epstein - 4/10/2014
Southern Trust Company Inc - 8/26/2013
Ei
5 9 Southern Trust Company Inc . 8/27/2013
9
6 Zorro Management LLC - 12/20/2016
i 9 Zorro Management LLC (House Account) - 3/13/2017
Who is the pray contact
person for the RM? (Note: This Indyke Preferred method of contact
Darren K. (indicate phone no., 971-1314
person needs to have signatory fax no.,
lights and/cr mfcemation right e-mat address, etc.):
for the accounts.):
SDNY_GM_00037522
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000346
I
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EFTA_00148134
EFTA01282195

KYC Print Page 2 of 30
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Jeffrey Epstein - • DIM Acct. Number (twat/O
Account Manager: Stewart OkMeld
What is the purpose of the account (e.g. portfolio management, advisory account, custody servion, kettemi Investment, payment/expense account)? The
purpose of this account is Jeffrey Epstein's personal daily use.
Indicate from where the assets we expected to arnve?
0 DB Group: Same Booking Center (Indicate account number): Existing
O
DB Group: Other Booking Center (indicate DB location and account details):
O
Other Institutbon — (Indicate name & location):
O Physical Depots (specify cash, secunoes, cheques...,:
What is the expected sae and frequency of regular Inflows and outflows for the account (vacate estimated number and volum per month)?: 30-55/month; $10 •
S1.5MM
what Is the expected volume of assets and currency for the accomt approx. 90 days 13,406,31224 'Currency I USD
after opening?
What is the expected vokune of asset and currency for the account approx. one year 13,406,31224 I Currency I USD
after opening?
toes/will the dent have Assets Under Management (AuM) within De under Eur. 3M? • Yes No
Please list all parties related to the account.
Fcr each paity.
• Check if a source of Wealth descnpaon is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> I can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other column.
• Atways describe the relationsIvp between the parties in the last column.
• Please dna down to the ultim te/underlying Belled& Onner(s).
_egal 7esalption Account71C Senior of Ultimate IS:gnatay „Mutat-mann& Significant .egal 'Granta/SettiorroundnoiCither
Entity of Source Holder awnearbst / fenelidake Ful OA IntennediaryShareholdernepresentabve Donor (rinse
of VVealth Fore-der of Owner POA (FIM) (>=25%) describe
equired Foundation Von-PIC other roles
enbty and/or
Partin (indicate ndicate
related to 3‘Nnerslap relationship
this lb) between
account Parties)
2 O O O
I • 5 Jeffrey E. a O O O LI O
Epstein
2 El • Harry O O • • 2 O O O O El
Belle/
3 El • IDndaykren "- O O O O El O O O O O
SONY_GM_00037523
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. Ce DB-SONY-0000347
I
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EFTA_00148135
EFTA01282196

KYC Print Page 3 of 30
2. Account Ownership Summary
Account Name: Jeffrey Epstein • - DeSI Acct. Number (IP ta vailable)
Amount Manager: Stewart ()WAS
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long.terrn irwrstment, payment/expense account)? The
purpose of this account is to hold marketabb securities and cash.
Indicate from where the assets are expected to arnve?
0 DB Group: Same Booking Center (incloate account number): basting
O DB Group: Other Booking Center (indicate DB location and account details):
O
Other Institution — (Indicate name & location):
O Physcal Deposats (specify cash, secant es, cheques....):
What IS the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 0 3/month; $0 -
$500
What is the expected volume of assets and currency for the account approx. 90 days 1669,126.30 I USD
after opening? I Currency
What IS the expected volume of assets and currency for the account approx. one year 1669,126.30 I USD
after opening? I Cu"ncY
O Yes 0 No
Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M?
Please list all parties related to the account
For each party:
• Chedc if a source of wealth description is required for the party.
• Chedc the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• f none of the check boxes apply, describe the party's relation to the account in the 'Other' column.
• Always describe the relationship between the parties in the last column.
• Please ckil down to the ultim tefunderlying Beneficial Owner(s).
_egal Desalption hccountPIC Settler of Jltimate Signatory Unite? anclal Significant _egal Grantor/SettiorfoundngOther
Entity of Source Holder Ormagrust / Senefidake Full POA ntennediaryShateholderVepresentatra Donor (please
of Wealth Founder or/rifler POA FIM) (>=25%) describe
equlred Foundation Yon.PIC other roles
entity and/or
Parties (indicate ndicate
related to 3mership relationship
this %) between
ccount Parties)
• O • • 2 O O O O •
O Jeffrey E.
1 O Ern
Hairy
2 El • Beller • • • • O O • O O •
O O D nd a y rr k e e n IC • O • • 2 O O O O •
SDNY_GM_00037524
ON
CONFIDENTIAL - PURSUANT TO FED. R. t DDBS-OSONNYY-0-0000000334488
I
ht tps://db forcepb.my.sa le sforce.com/servlet/servlet.lntegration?lid=01N 30000000O9 Di & e... 7/11/2019
EFTA_00148136
EFTA01282197

KYC Print Page 4 of 30
2. Account Ownership Summary
Account Name: Jeffrey Epsten - - Custody Acct. Number Of mailade)
Account Manager: Stewart CMOS
What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The
purpose of this account is to hold Fat cash deposes.
Indicate from where the assets we expected to amve?
121 DB Group: Same Booking Center (indicate account number): Existing
O DB Group: Other Booking Center (Indicate DB location and account details):
• Other Institielon — (Indicate name & location):
O Physical Deposits (specify cash, securities, cheques....):
What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volum per morith)?: S.10/month; SO -
S2SOK
What Is the expected vokime of assets and currency for the account approx. 90 days after 1112,690.70 I Currency
opening? I USD
What Is the expected vokime of assets and currency for the account approx. one year after' 112,690.70 I Currency
opening? I USD
Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O YesO No
Please list all parties related to the account.
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this accoint (> I can be selected).
• f none of the check boxes apply, describe the party's relation to the account In the 'ether column.
• Alway describe the relationship between the parties in the last column.
• Please CM down to the Latin, tefunderlying Beneficial 0 alerts).
_egal )esc ptlon AccountPIC Senior of JIUmate &rat mite anclal Significant _egal GrantodSettiorfouncincpther
Entity Y Source Holder OvmerTrust / Seneflciake Ful ntetTnedlaryShareholderitepresentatra Donor (please
af Wealth Fot derofNJimer POA FM) (>=25%) describe
-equired Foundation other roles
entity and/or
Parties 'ndicate ndicate
related to ownershp relationship
his lb) between
Moult parties)
2 2 O O O O O
1 O Ejpe sfftreeinY E O O O O
2 ME S 3e e llH ll a e r r ry O O O O 21 O O O O O
O Darren IC CI O El O O q O O
3 El ndyke • O
SDNY_GM_00037525
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000349
I
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EFTA_00148137
EFTA01282198

KYC Print Page 5 of 30
2. Account Ownership Summary
Account Name: Southern Trust Company Inc - - 0651 Acct. Number Of avarabfei
Account Manager: Stewart Oldfeld
What a the purpose of the account (e.g portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The
purpose of this account as to hold marketable securities and cash.
Indicate from where the assets are expected to amve?
0 DB Group: Same Booking Center (incicate account number): Existing
0 DB Group: Other Booking Center (indicate DB location and account details):
0 Other Institution — (Indcate name & location):
0 Ftyscal Deposts (specify cash, securities, cheques.....:
What a the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 2 10/month: $2K -
$ 2MM
What is the expected volume of assets and currency for the account approx. 90 days 12,550,527.% I Currency
after cpenrig? I USD
What a the expected volume of assets and currency for the account approx. one year 12,550,527.% I Currency
after opening? I USD
Does/will the deM have Assets Under Management (AuM) within DB under Eur. 3M?0 Yes g No
Please list all parties related to the account.
For each party:
• Cheick if a source of wealth desaiption is required for the party.
• Cheick the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• f none of the check boxes apply, describe he party's relation to the account in the *Other column.
• Always describe the relationshp between the parties in the last column.
• Please dal down to the ultimatefunderhring BeneflOal Crerner(s).
_e9al Description Account PlC Senior of Ulbrrate Sigratorw_imitecrinancial Significant £gal Grantor/Seek&o tridingOther (please
Entity of Source Molder Ormertrust / Benetb alor Full 00A Intemedaryetareholderoteptesenrstive Donor describe
of Wealth Founder °Meier POA (FIN) (>=25%) other rotes
equired Foundation Non.P1C and/or
Parties entity ndcate
related to (indicate relationship
this ownership between
account %) Dania)
Southern
Trust
1 21 0 • 13 0 0 0 0 0 • 0
Company,
Inc.
2 0 2 E J p e s ff t r e e n y E. = • • • 2 0 0 100 21 • 0 Drector:
Jean
Anne
0 0 Bren nan Irq--i ■• 0 0 2 0 0 0 0 0
Webracht
Darren K. 0 0 0 0 2 0 0 0 0 0
4 0 0 Dream':
Indyke
Richard
5 • 0 D. Kam M M • • 0 0 • 21 • 0 Director;
Trading
kuthonzabon
Paul S. Unwed to
6 0 0 Barrett 0 0 0 0 0 121 0 0 0 0 Purchases &
Sales of
Senates;
SDNY_GM_00037526
ON
CONFIDENTIAL - PURSUANT TO FED. R. t DDBS-OSONNYY-0-0000000335500
I
ht
tps://db forcepb.my.sa le sforce.com/servlet/servlet.lntegration?lid =01N 30000000D9Di & e... 7/11/2019
EFTA_00148138
EFTA01282199

KYC Print Page 6 of 30
2. Account Ownership Summary
Account Name: Southern Trust Company Inc - - MMBA Acct. Number Of arailablei
Amount Manager: Stewart °Meld
What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, keig.teirn investment, payment/expense account)? The
purpose of this account is to hold funds and earn high gelding interest.
Indicate from where the assets are expected to amve?
ct C43 Group: Same Booking Cater (in cafe account number): basting
O DB Group: Other Backing Center (indicate DB location and account details):
O
Other Institutor, — (Indicate name & location):
O Physcal Deposts (specify cash, secant es, cheques....):
What Is the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 8/month; $500 -
S SMM
What Is the expected volume of assets and currency for the account approx. 90 days 12,468,673.24 I Currency
after opening? I USD
What Is the expected volume of assets and currency for the account approx. one year 12,468,673.24 I Currency
after opening? I USD
❑O res El
No
Does/will the denthave Assets Under Management (AuM) within DB under Eur. 314?
Please list all parties related to the account
For each party:
• Check if a source of wean' description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• f none of the check boxes apply, describe the parts relation to the account in the 'Other' column.
• Always describe the relationship between the parties in the last column.
• Please Cal down to the ultim tefunderlying Beneficial 0 rner(s).
_egal Desalption AccountPIC Settlor of Jltimate Signatory Unite? ancial Significant _egal Grantor/SettiorfoundngOther
Entity of Source Holder OwnerTrust 1 3eneficiake Ful POA ntennediaryShateholderitepresentative Donor (please
of Wealth Founder &Owner POA FIM) (>=25%) describe
equlred Foundatnn Yon.PIC other roles
entity and/or
Parties (indicate ndicate
related to annershaa relationship
this %) between
account parties)
Southern
1 2 C Tr o u m st p any, • • O O O O O O O O
Inc.
2 O 2 Epste i in n E. O Oq O El 2 O O 100 El O O Director;
Jean An
0 0 Brennanne • El O O 9 O O O O O
Wiebracht
4 O O IDn d ayrrkeen K O O O O 9 O O El O O Director;
RicKard D. . . . 9 O O
5 • O • • O O Director;
Kahn
SDNY_GM_00037527
ON
CONFIDENTIAL - PURSUANT TO FED. R. t DDBS-OSONNYY-0-0000000335511
I
https://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00 I 48 I 39
EFTA01282200

KYC Print Page 7 of 30
2. Account Ownership Summary
Account Name: Zorro Management LLC - - DDA Acct. Number (iravaaratikA
A unt Manager: Stewart COMM
What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Immanent, payment/expense account)? The
ptspose of tNs account is to manage the daily expenses of the company
Indicate from where the assets ate expected to arnve?
121 C43 Group: Same Booking Center (indicate account number): Existing
O DB Group: Other Booking Center (indicate DB location and account details):
• Other Institutbon — (Indicate name & location):
O Physical Depots (specify cash, secunties, cheques....):
What Is the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per morch)?: 10- Sfmorch; S50 -
5200K
What Is the expected volume of assets and currency for the account approx. 90 days after 1254,944.25 I Currency
opening? I USD
What Is the expected volume of assets and currency for the account approx. one year after 1254,944.25 I Currency
opening? I USD
Does/will the dent have Assets under Management (AuM) within DB under Eur. 314? O Yes 2 No
Please list all parties related to the account.
For each party:
• Check if a source of wealth description I required for the party.
• Ched the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• f none of the chedc boxes apply, desa be the party's relation to the account in the Teter column.
• Always describe the relationship between the parties in the last column.
• Please dal down to the ultimate/underlying Beneficial Orrner(s).
_egal Description accountPIC Setts of Jltimate Signaterytimiteo Financial SIgnificalorkegal Grantor/SedorFoundingother
Enoty of Source Hodder Orme( trust / Bene-tdolor Full POA IntermedarytIMarehol• - • exesentattee Donor (please
of Wealth Founder of Owner POA (MM) (>=25%) describe
,equired Foundaticra Non-PIC other roles
entity andior
(Indicate indicate
Ries ownership relationship
elated to %) between
s amount parties)
Zotro
1 2 E anagemet, 2 O O O O O O O O O
LC
O mseoie :
2 El 7: 'dimin '. O O O 2 0 O O 100 O O
O O Darren IC O • O O O O
3 ndyke O 0 O O
SDNY_GM_00037528
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. Ce DB-SONY-0000352
I
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148140
EFTA01282201

KYC Print Page 8 of 30
2. Account Ownership Summary
Account Name: Zorro Management LLC (Noise Account) - - OOA Acct. Number (Aowirlibk)
Account Manager: Stewart Mlleid
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, tervg.terrn investment, payment/expense account)? The
purpose of this account is to manage the monthly expenses of the company
Indicate from where the assets are expected to amve?
0
De Group: Same Booking Cater (Inacate account number): Existing
O DB Group: Other Booking Center (indicate DB location and account details):
O
Other Instituter, - (Indcate name & location):
O Physcal Deposits (specify cash, securities, cheques....):
What is the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 5.15/month: S100 -
51K
What is the expected volume of assets and currency for the account approx. 90 days 112,766.17 I Currency
after opening? I USD
What is the expected volume of assets and arrency for the account approx. one year 112,766.17 I Currency
after opening? I USD
Does/will the client have Assets Under Management (Auf4) within DB under Eur. 314? O Yes ) No
Meese list all parties related to the account
For each party:
• Check if a source of wean' desaiption I required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• f none of the check boxes apply, desa be the partys relation to the account in the 'Other column.
• Always describe the relationshp between the parties in the last column.
• Please Cal down to the ultimate/underlying Beneliaal Owner(s).
_egal Description AccourrtPIC Settler of Jltimate Signatory _mealFinancial 9gnifkant _egal Grantot/SettiorFoundingOther
Emory of Source leader Owner Trust / Senetcla or Full ?OA Intermecta areholderitexesentatNe Donor (please
of Wealth Founder of Dwner POA (FIN) >=25%) describe
equlred Foundation on-PIC other roles
entity and/or
inacate indicate
Parties ownership relationship
related to %) between
dis account 11aMes)
Zorro
1 O 10 managemen-t 10 O O O O O O O O O
LLC
2 O 2 Epsteiinn . s . 21 0 • • 100 • O O Member:
3 Dairen IC
IN • Inclyke • • • O El • • • • O
O O • • O O O
4 O O O • O
5 O O O O O O 0 O O O O O
SDNY_GM_00037529
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. t DBS-DNY-0000353
I
ht tps://db forcepb.my.sa le sforce.com/servlet/servlet.lntegration?lid=01N 300000001)9 Di & e... 7/11/2019
EFTA_00148141
EFTA01282202

KYC Print Page 9 of 30
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh 1p Summ
3A. Individual Details (for all parties)
Individual's Name: Harry Baer . Date of Birth:
Country of Residence: United States Country of Citizenship: United States
Has client resided outside of
Address of primary residence: United Sues Ns/her cony of nationality O Yes 0 No
for 5 years or more?
Professen/Occupation: Accountant Tax ID / SSN:
Current Employer: HEIRK Associates, Inc Positen/Teg/Rank: Accountant
Address of employer: 575 Ledngton Avenue, 4th Floor Homey NY United States 10022
Does the person work as senior erearive cf a DB-recognized regulated entity in the (Vandal n yes O
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fct operating entitles '—' No
Is the lnthl&al a Poetically Exposed Person (PEP)?(1 Yes, tate) N/A Dyes O No
To the best of your knowledge, Is the individual related to an employee of the DB group?(?! El Family O Friendship 0 None
Family or A.'.ylchhip, describe) N/A
To the best of your knowiedge, Is the Individual party to a non-tanking relationship with
Deutsche Bank (e.g., edema' legal coursel, client referral source, suppler of goods or services)? O Yes 2 No
Of Vac/cps/be) WA
Indicate where and when the dent meeting(s) took place:
if applicable, incecate whith bank office's have met the person:
OleM Private Client Mace of
Bank Officer Name(s) Bank Office: Other Location (speofy): Date:
Donn:Ile Business:
O O O
O O •
O O O
In Wealth Details for this individual are not filled in, because they are the same as for the lefty/log person:
38. Wealth Details (Only for parties requiring soiree of wealth desccdon as indicated In Section 2)
Nature of the Individual's Busress:
Primary Country of smite of wealth/source of Funds?
Primary Industry of source of V/ealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalay/Earnings U Investment O Inherence/Gila O Other:
Further Describe Soiree of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance,. how
did family accumulate weakh?For business owners, how long in business, how many employees, level cf profeabiley? Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Inceme($): Estimated amount of investable assets(S):
Estimated Net Worth(S): Amount ci assets planned to Invest Wel PV/M($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indeate the family situation of the individual (mental status, of he family members, etc.):
ReciNFIC)ENTIAL
SDNY_GM_00037530
CONFIDENTIAL- PURSUANT TO FED. DB-SONY-0000350
h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148142
EFTA01282203

KYC Print Page 10 of 30
I I
SONY_GM_00037531
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. Ce DB-SONY-0000355
I -
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148143
EFTA01282204

K1 7C Print Page 11 of 30
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ
3A. Individual Details (for all parties)
Individual's Name: Darren K. Indyke - Dated Birth:
Country of Residence: United States Country of Citizenship: United States
Has client rimided outede of
Address of primary naudence: United States his/her cony of nationality O Yes 0 No
for s years a more?
Professicn/Occupation: Acaruntant Tax ID I SSN:
Current Employer: SotCtem Financial LLC Positionfille/Rank: Accountant
Address of employer: 6100 Red Hook Quarter B3 St Thomas Virgin Is ands, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity in the (Kendal n yes O No
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entities I—I
Is the indvickial a Politically Exposed Person (PEP)?(d Yes, *cote) WA O Yes O No
To the best of your knowledge, is the Individual related to an employee of the DB group,(1 • Family • Friendship 0 None
Family or P.;axish#, desaibe) N/A
To the best of your knowledge, is the Individual party to a non-tanking relationship with
Desische Bank (e.g., edema' legs counsel, client referral source, suppler of goods a services)? . Yes 2 No
(A Yescesaibe) WA
Indicate where and when the dent meetlrxXs) took place:
if applicable, Incicate whth bank office's have met the person:
CleM Private Client Placed
Bank Officer Name(s) Bank Office' Other Location (speofy): Date:
' Dormdlt Business:
Stewart Oldfield .74 O O 12/12/2016
• • •
O O O
. Wealth Details for this individual are not Ailed in, because they are the same as for the folovang person:
38. Wealth Details (Only for parties requiring suns of wealth dimmer:Ion as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of smite of wealth/source of Funds?
Primary Industry of source of WealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalary/Eamings IMI Investment O Inherence/CAM O Other:
Further Describe Source of weal h /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For Intiertance, how
do family accumulate weakh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major
actvibes, important business partners.)
Estimated Annual Inceme($): Estimated amount of investable assets(S):
Estimated Net Worth(s): Amount of assets planned to invest with PV/M($):
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, othe family members, etc.):
SDNY_GM_00037532
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CC DB-SONY-0000356
I
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148144
EFTA01282205

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SDNY_GM_00037533
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SONY-0000357
I -
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh 1p Summ
3A. Individual Details (for all parties)
Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953
Country of Residence: Wan Islands, U.S. Country of Otizenship: United States
Has client resided outside of
Address of primary residence: Lite Saint James Sac Thomas 00802 Wan Islands, U.S. his/her cony of rationality O yes 0 No
for 5 years or more?
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Emproyer: Southern Trust Company Inc Postionatle/Rank: PresideM
Address of employer: 6100 Red Hock Quarter B3 St Thomas Wan Islands, U.S. 00802
Does the person work as senior creed:We of a DB-recognized regulated entity in the Brander
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable foe operating entitles O Yes O No
n yes •
Is the indvidual a Politically Exposed Person (PEP)(d Yes, dernte) Connection with Prince No
Andrew and Bill Orion
To the best of your knowledge, is the individual related to an employee of the DB group?(AY O Family O Friendship 0 None
Family or friendship, describe) N/A
To the best of your knowledge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, wpplier of goods a services)? . Yes O No
Of YeAcescribe) WA
Indicate where and when the dent meetintas) took place:
if applicable, indcate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Office' Other Location (speofy): Date:
' Domicile: Business:
Stewart Oldfleld rf O O 6128;2017
• • •
O O O
El Wealth Details for this individual are not filled in, because they are the same as for the foaming person:
3B. Wealth Details (Only for parties requring sane of wealth dmcnpuon as axixated in Secton 2)
Natured the IndliAduars &Moss: Private investment
Primary Country a source a wealtiVsource of Funds? United States
Primary industry of source of V/ealtiVSource of Funds? High Risk Rranoal Institutions
Summarize Source of Wealth: O Business Owner OSalay/Earnings 5 Investment O Inherence/Gift O Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For inheritance,. how
do family accumulate wealth 'For business owners, how long in business, how many employees, level of profitability? Indcate type of business, countries of major
activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender in the United States.
He worked at Bear Stearns early in his career and then famed his own firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physks
at the Dakon School in Manhattan from 1973 to 1975. Among his students was a son of Man C. Greenberg, chairman of Bear Stearns.
In 1976, Epstein starts work as an options trader at Bear Steams where he worked in the special product &Son, advising high-net-worth clients on tax
strategies. Proving successful In his financial career, in 1980 Epstein became a partner at Bear Stearns.
In 1982, Epstein founded his own financial management firm, J. Epstein & Co., manaang the assets of dents with more than $1 eon in net worth. In 1987,
Lest* Weiner, founder and chairman of Ohlo-based The Limited chain of women's clothing stores, became a well-known client. Wearer acquired Aberaomble &
Etch the Sowing year. In 1992 he converted a private school on the Upper East Side Into an enormous residence. Epstein later bought that property, in the
wealtNest 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.
Thanes in the US. Virgin Islands.
In 2003, Epstein td to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, Investor Nelson Pelt, media mogul and publisher
Warner Zuckerman, who had the New York Daly News, and film producer Harvey Welaten. They were ultimately outbid by Bruce Wasserstein, a longtime Wall
Street investor, who paid $55 million.
In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Meer Roshan. Epstein and
Zuckerman were equal partners in the venture. Roshan, as 03 editor-In-chief, retained a smal ownership stake.
Presently, Mr. Epstein founds Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets titer revenue from the
SDNY_GM_00037534
ONF I D ENTIAL
CONFIDENTIAL— PURSUANT TO FED. R. It DB-SONY-0000358
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return of these invcstmen . Southern Trust Invests In different portfolios catered to their dents and makes their revenue based en the rettrns and the fees
associated with managing their client's assets.
Estimated Annual Inocme($): 10,000,000.00 Estimated amount of Investatte assets($): SS0 MM - 100 MM
Estimated Net Worth(S): 5500 MM + Amount of assets planned to invest trith PWM($): 2,300,000.00
Other lencv.vn Financial Institubcos:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please Inckate the family situation of the individual (mantel status, othe family members, etc.): NA
SONY_GM_00037535
ONFIDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000359
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One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh lu Summ
3A. Individual Details (fa all parties)
Individuall Name: Dated Beth:
Country of Residence: United sates Country of Citizenship: United States
Has client resided outside of
Address of primary nasdence: his/her countyoy of rationality O yes @ No
for S years a more?
ProfessiceVOccupation: Manager Tax ID/ SSW
Current Employer: Zorro Management LLC Positkin/Tide/Rank: Manager
Address of employer: 6100 Red Hook Quarter, B3 St Thomas Virgin Islands, U.S. 00802
Does the person work as senior eteartive cf a DB-recognized regulated entity in the financial
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes n No
Is the inoWickal a Poetically Exposed Person (PEP)?(d Yes, desoibe) WA O Yes O No
To the best of your know/edge, Is the indNidual related to an employee of the DB groupyi • Family O RieridsNp El None
Family or A.'.nchhip, desaibe) N/A
To the best of your knowledge, Is the Individual party to a nco-banking relationship with
Deursche Bank (e.g., external legal counsel, dent referral source, supplier of goods a services)? O Yes O No
Of Yescfesaibe) WA
Indicate where and when the dent meeting(s) took place:
If applicable, inacate whidi bank officers have met the person:
CleM Private Client Placed
Bank Officer Name(s) BatOffice': Other Location (speofy): Date:
Dornadit Business:
O O O
O O •
O O O
O wealth Details for this individual are not Ailed in, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring soiree of wealth dos:notion as indicated in Section 2)
Nature of the Individual's °useless:
Primary Country of smite of wealth/source of Funds?
Primary Indusoy of source of V/ealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalary/EamIngs n Investment • Inhestance/Gils O Other:
Further Describe Souse of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate weal,? For Inheritance, how
did family accumulate ‘wetth 'For business owners, how long in business, how many employees, level of prohablltty? Indicate type of business, countries of major
activities, importarc business pa tners)
Estimated Annual Inccene($): Estimated amount of Investable assets($):
Estimated Net Worth(S): Amount of assets planned to invest with PVIM($):
Other Known Financial Institutions:
Instituticn: Country: Est. Assets Under Mgt:
InsOtutk:n: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please in&ate the family situation of the individual (marital status, othe family members, etc.):
SDNY_GM_00037536
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. Ce DB-SONY-0000360
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SONY_GM_00037537
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. Ce DB-SONY-0000361
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One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ
3A. Individual Details (Ics all parties)
India:lust's Name: Date of Birth:
Country of Residence: United sates Country of Citizenship: United States
Has client resided outtde of
Address of primary residence: his/lwr cony of rationality O yes 0 No
for S years a more?
Profession/Occupation: Manager Tax ID / SS/:
Current Employer: Zorro Management LLC Position/nee/Rank: Manager
Address of employer: 6100 Red Hook Quarter, B3 St Thomas Yvan Islands, U.S. 00802
n D d o u e s s t r t y h ? e o p r e a rs n o e n n w ti o ty r k li s a t s e d s e o n n io a r m DB o -r t e i c v o e gn a is e a d D e B xc -r h e a c n o g g e n ? iz ( e N d o r t e a g p u p la li t c e a d b e le n f t a ity o in pe th ra e t i b n r g a e n n d ti s tl ' e s O Yes n No
Is the IncWidatal a Pollicalty Exposed Person (PEP)?(d Yes, describe) WA Dyes O No
To the best of your knowledge, Is the individual related to an employee of the DB group?(1 • Family O Friendship 0 None
Family or friendship, describe) WA
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 servicis)? . Yes 2 No
Of Yadescribe) WA
Indicate where and when the dent rneetinso) took place:
if applicable, Indicate which bank office's have met the person:
Clent Private Client PLace of
Bank Officer Name(s) Batik Office: Dorm:Ile: Business: Other Location (speofy): Date:
O O O
O O •
O O O
• Wealth Details for this individual are not filled in, because they are the same as for the fobovring pawn:
38. Wealth Details (Only for parties requiring space of wealth discriptIon as indicated In Section 2)
Nature of the Individual's Business:
Primary Country of space of wealth/source of Funds?
Primary Industry of source of V/ealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalayfEarnings U Investment • Inheritance/CAM O Other:
Further Describe Solace of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Intiertance, how
did family accumulate wealth 'For business owners, how long in business, how many employers, lewd a prohatilltty? Indicate type of business, countries of major
activities, importarc business pa tners.)
Estimated Annual Income($): Estimated amount of invistable assets($):
Estimated Net Worth(S): Amount of assets planned to Invest Wel PV/M($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
instituttn: country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (mantal status, mite family minters, etc.):
SDNY_GM_00037538
ONFIDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. CC DB-SONY-0000362
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SONY_GM_00037539
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SONY-0000363
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One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ
3A. Individual Details (for all parties)
MOM:Mars Name: Jean Anne Brennan yAebracht - Date cf Beth:
Country of Residence: Woin Islands, U.S. Country of Citizenship: Virgin Islands, US.
Has client resided outsde of
Address of primary residence: his/lwr annoy of nationality O yes @ No
for S years a more?
ProfessimVOccupation: Finance 'fax W I SSN:
Current Employer: Southern Financial LLC Postimatle/Rank: Finance
Address of employer: 6100 Red Hook Quarter, 83 St, Thomas Virgin Islands, US. 00802
Does the person work as senior emotive cf a DB-recognized regulated entity in the firendal
ndustry? or an entity listed an a DB-recognised exchange? (Not applicable for operating eMMes O Yes WI No
Is the inelvidual a Poetically Exposed Perscn (PEP)?/1 Yes, deseritie) WA O Yes 12I No
To the best of your knowledge, Is the individual related to an employee of the DB groupW • Family O Friendship El None
Family or Almdship, describe) WA
To the best of your Imowledge, Is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legs courser, client referral source, supplier of goods a servion)? • Yes Er,No
Of Yescfescribe) WA
Indicate where and when the dent meeting(s) took place:
if applicable, incicate whiz') bank office's have met the person:
ClieM Private Client Place of
Bank Officer Name(s) Bank Office: Dorm:Ile: Business: Other Location (speofy): Date:
O O O
O O •
O O O
• Wealth Details for this individual are not filled in, because they are the same as for the folk:Wing person:
38. Wealth Details (Only for parties requiring souls of wealth deso'Cdon as indicated in Section 2)
Nature d the Individual's Business:
Primary Country of souse of wealth/source of Funds?
Primary industry of source of VfealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalary/Eamings U Investment O inherence/Gib O Other:
Further Describe Smite of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how
did family accumubte wealth?For business owners, how long in business, how many employees, level of profitablitty? indicate type of business, counties of major
activities, important business partners.)
Esbmated Annual Income($): Estimated amount of investable assets(S):
Estimated Net Worth(S): Amount ci assets planned to Invest Wel PV/M($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please Int:Irate the family situation of the individual (marital status, othe family minters, etc.):
SDNY_GM_00037540
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CC DB-SONY-0000364
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SDNY_GM_00037541
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. Ce DB-SONY-0000365
I -
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One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh lu Summ
3A. Individual Details (for all parties)
Individuals Name: Richard D. Kahn Date of Beth:
Country of Residence: Unital States Country of Citizenship: United States
Has client resided outside of
Address of primary residence: United States his/her campy of rationality O Yes 0 No
for 5 years a more?
Profession/Occupation: Accountant Tax ID I SSN:
Current Employer: HEN( Associates, Inc Positkin/Ttlefitank: Accountant
Address of employer: 575 Langton Ave, 4th H New York NY United States 10022
Does the person work as senior °recur:he cf a DB-reagnized regulated entity in the finandal
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes O No
Is the inckylotal a Politically Exposed Posen (PEP)?(d Yes, describe) WA O Yes O No
To the best of your knowledge, Is the Individual related to an employee of the DB group,(1 • Family O Friendship 0 None
Family or friendship, descibe) N/A
To the best of your knowledge, Is the Individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or servicim)? Yes 2 No
Of Yesoescribe) WA
Indicate where and when the dent meetInc(s) took place:
if applicable, incicate which bank officers have met the person:
Client Private Client Piece of
Bank Officer Name(s) Bank Office Other Location (speofy): Date:
Donn:Ile: Business:
O O O
• O •
O O O
• Wealth Details for this individual are not filled in, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring spate of wealth dim:notion as indicated In Section 2)
Nature of the Individual's Business:
Primary Country of space of wealth/source of Funds?
Primary Industry of source of V/ealth/Source of Funds?
Summarize Source of Wealth: O Business Owner OSalay/EamIngs U Investment • Inheritance/Ws O Other:
Further Describe Soiree of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For Inheritance. how
04 family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major
activates, important business partners.)
Estimated Annual income($): Estimated amount of investable assets(S):
Estimated Net Worth(S): Amount of assets planned to invest with PV/M($):
Cther 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, othe family members, etc.):
ReciNFIDENTIAL
SDNY_GM_00037542
CONFIDENTIAL- PURSUANT TO FED. DB-SONY-0000366
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SDNY_GM_00037543
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SONY-0000367
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One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ
3A. Individual Details (for all parties)
Indhmlues Name: Paul S. Batten - Date of Birth:
Country of Residence: United States Country of Otizenship: United States
Has client resided outside of
Address of primary residence: Lin ted States his/hercony of nationality O yes 0 No
for S years a more?
Profession/Occupation: Investment AdOsor Tax ID/ SSN:
Current Employer: 3.P. Morgan Searldm LLC Postonitde/Rank: Investment Advisor
Address of employer: 277 Park Ave New York NY United States 10172
Does the person work as senior executive of a DB-reognized regulated entity In the Brenda'
ndust or an end listed on a used excha ? Not a seeable for o entitles O Yes O No
Is the inetviclual a Politically Exposed Person (PEP)(d Yes, describe) WA O Yes O No
To the best of your Imontedge, Is the Individual related to an employee of the DB group,(1 • Family • Friendship 0 None
Family or Alex/ship, describe) N/A
To the best of your knowledge, is the Individual party to a non-tanking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, wirier of goods a services)? O Yes 2 No
Of Yesofesaibe) WA
Indicate where and when the dent meeting(s) took place:
if applicable, Indicate whit bank officers have met the person:
CleM Private Client Piece of
Bank Officer Name(s) Bank Office: Dornbalt Business: Other Location (speofy) Date:
• O O
• O •
O O O
• Wealth Details for this individual are not filled in, because they are the same as for the SWAN person:
38. Wealth Details (Orily for parties requiring soiree of wealth dim:notion as indicated In Section 2)
Nature of the Individual's Bus less:
Primary Country of soiree of wealth/soume of Funds?
Primary Industry of source of V/ealtIVSoume of Funds?
Summarize Source of Wealth: O Business Owner OSalayfEarnings • Investment O Inherence/CAM O Other:
Further Describe Smite of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate weakh? For Inheritance, how
did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major
activities, rnportant business partners.)
Estimated Annual Income(S): Estimated amount of Investable assets(S):
Estimated Net Worth(S): Amount of assets planned to invest WO PWM($):
Other lencv.vn Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please Initiate the family situation of the individual (marital status, othe family minters, etc.):
SDNY_GM_00037544
CONFIDENTIAL— PURSUANT TO FED. R. CyN DENTIAL DB-SONY-000036S
F I
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One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Trust Company, Inc. -
2
Foundation/Assozetion M Trust Company U Estate 0Private Investment
Type of Entity: Purpose of Entity:
O Partnership PNianthroplo/Cteritable O Commerdal
Pirpose of Entity
Type of Entity Other (specify):
Other (specify):
Country of Wein Islands, U.S. Date of Ircorporaten/ 11/18/2011
incorporation/registration: registration:
Identified on Qigomer Profile No
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook Quarter B3 St Thomas 00802 Vrgin Islands, US. U.S. TIN/EIN:
code):
Provide a desmption of the entity's organizational structure, its ownership structure and es Top Management. For trysts/founds:ens, Include information about
revocability,setter and beneficlaries,etc:
Jeffrey Epstein is the sole shareholder of this company. The signors a this account are Jeffrey Epstein, Jean Anne Bremen, Darren Indyke & Pail Barrett.
Please indcate how ownership of the legal entity is reflected: Consent of Board of Directors
O Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ofn ot the same persons). Jeffrey Epstein is the sole shareholder of this
company. The signors on this account are Jeffrey Epstein, Jean Anne Brennan, Darren Indyke & Paul Barrett.
To the best of your knowledge, S the entity party to a non.banking rebtionship with Deutsthe
Bank (e.g. external legal counsel, dent referral source, supplier of goods or services)?: Yes O No 2
N/A
Describe Nature of Entity's Primary Business and Investment Activities
Consultng Services retying on Financial and Eaornedical algonthms. Southern Trust is a private
onsultng company that invests the assets of their clients and gets their revenue from the return
Nature of the busness: • these investment,. Southern Trust invests m different portfolios catered to their clients and
kes their revenue based on the retttrs and the fees associated with managing their dents
ssets
Countries where business is transacted: Wein Islands, U.S.
Number of employees: 3
3D. Wealth Profile (Only for parties requiring source of wealth descr 2tion as ircicated in Sector, 2)
Primary Country of source of wealdVsource of Funds? United Slates
Primary industry of source of Wealth/Source at Funds? High Risk Financial Institutions
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asseWlialaties):
Consult and invest client funds and gain revenue based on fees and returns
Estimated gross receipts p.a.(j): 2,000,000.00
Estimated net profit p.a. (5): 1,500,000.00
Estimated investable assets (5): S2 MM - 5 MN
Potential Amount to be invested with PWM (5): 300,000.00
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (Far all Legal Entitles)
I
SDNY_GM_00037545
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SONY-0000369
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Legal Entity Name: Zono Management, LLC -
O r,
Foundation/Association • Trust Company • Esttaattee 0Private Investment O
Type of Entity: of Entity:
O Partnership PNIaMhroplaCtantatie O Commode'
LLC Ptrpose of Entity
Type of Entity Other (specify):
Other (specify):
County of Wgin Islands, U.S. Date of Incorporabon/ 12/14/2016
incaporationfregistration: registration:
Identdied on Customer Profile No
Volcker Status: Volcker Flag:
6100 Red Hook Quarter, 83 St. Thomas 00802 Virgin Islands,
Addrons (city, sweet, post U.S. TIN/EIN: 090443348
code):
Provide a desmption of the entity's organizational structure, Its ownership stnicture and as Top Management. For trusWfoundattms, include information about
revocatilitty,settlor and benefklaties,etc:
Jeffrey Epstein is the sole member and owner of this entity.
Signors on this exeunt will be:
Jeffrey Epstein
Darren lndyke
Signors on the house acct are:
Jeffrey Epstein
Darter, Ind
Pease indicate how ownership of the legal entity is reflected: Operating Agreement
O Spedal attention: Bearer Shares - Indicate where shares ate custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (Atria the same persons): Jeffrey Epstein is the sole member and owner of
tns entity.
S rim an this account will be:
Jeffrey Epstein
Darren Indyke
Senors on the house acct are:
Jeffrey Epstein
Darren I ke
To the best of your knowledge, is the entity party to a non-banking rebtionship with Deutsche
Bank (eg. edema' legal counsel, client referral source, supplier of goods a seMces)?: Yes O No2
'VA
Describe Nature of Entity's Primary Business and Investment ActIvItles
A real estate holdng company. It Is a company formed to run and operate all activities associated
Nature of the business:
#4th a property that Jeffrey Epstein owns In the US Virgin islands.
Countries where business is transacted: Vegan Islands, U.S.
Number of employees: 1+
3D. Wealth Profile (Orly for parties requiring source of wealth desorption as indicated in Section 2)
Primary Country of source of wealth/source of Funds? United States
Primary industry of source of Vital/Source of Funds? High Risk Financial Institutions
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent sunmary of asseWliabities):
Ms company Is funded by Jeffrey Epstelds personal wealth
Estimated gross receipts p.a.(5): 1,750,000.00
Estimated net pent p.a. (5): 1,000,000.00
Estimated investable assets (5): SI MM - 2 WI
Potential Amount to be invested with PM (5): 300,000.00
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Other Knynon Financial Institutic6s:
Institutbo: Country: Est. Assets Under Mgt:
Institutbo: Country: Est Assets Under Mgt:
Institutbo: Country: Est Assets Under Mgt:
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking Center N NY Cloffshore I: Mderate 12 High Risk
NY/ Offshore Risk
(Complance Signature)
0 DB Employee 0 DB Managed PIC 0 Ce is Trustee/Co-Trustee 0 Bearer Shares
4. Attachments
21Dtivets 2
A. Type of Photo ID Provided License Pa ■• NatenaffState ID 0 Other : Darren &
Richard - 486405; Brice & - 55033I• Jean Anne - 487647
Eyes LI
B. Chedest of names (imink:Wats and/or entitles) that were submitted for database searches is attached No
C. Please radiate the results of the database searches performs
RDC searches complete T Yes • No negative results found I Yes 0 No
PCR checks complete 2 Yes 0 No negative results found lil Yes 0 No
Cf AC checks complete 2 Yes • No negative results found Oyes g No
BIS searches complete (Leos/Nees, Facbva, Reuters, Dow ones, O&B) FA Yes • No negative results found 2 YeS 0 No
Denial Orders checks complete 74 Yes • No negative results found • YeS WI No
Martindale-Hubbel searched (Lawyers/Law Firms only) • Yes 5 No negative results found 0 Yes 0 No
D. Please summanze any negative results from the database searches indicated above: Jeffrey Edward Epstein:
- Negative media relates to the sex offence in the past which are already cleared. (KYC 0 - 01790655)
- Court cases relates to Jeffrey's sex offence in the past which is already cleared, another (Gerber Et Al il. The Financial Trust Company Et Al) is a recent
ongeng civil lawsuit pertaining to fraud whkh has been dismissed (attached document), but part of normal business operations for this client. And in one of the
case hes nether defendant nor plaintiff. Hes Just named as a respondent and the case is immaterial in reture.nether defendant nor plaintiff. He's Just named
as a respondent and the case Is imrretenal in nature.
- Criminal Fangs relates to sex offence which is already clears in the past
- RDC alert found - Sex offences in the past which has been cleared - Clearance attached.
Zorro Management LLC:
- No negative media
- No court cases
Southern Trust Company Inc:
- No negative media
- No court cases
Financial Inromatics Inc
- No negative media
- No court cases
Brice II Gordon:
- No negative media
- No court Ones
Karen L Gordon:
- Negative media as for from Burlington and n one of the negative media her age mismatches. from our KYC is from New Mecis
- Court cases are for from Louisiana, Illinois Pennsylvania, Albany. In some cases is a Plaintiff from California and Washington.
These are false positives and not a match with the n this KYC
- RDC alert found - False postrre as the hit is on from Kentucky and our RP is from New Mexico. Oearance attached
Darren lndyke:
- Negative news in Google relates to Jeffrey Epsteln's Foundation and are not material In nature.
- Court case mentioned in Google search relates to Jeffrey Epsten's sex offence in the past which has been cleared already. Darren Is Just an attorney for
Jeffrey in the case.
- Fircosoft alert has been cleared by AML Compliance. Clearance attached.
Harry Beller:
- No negative media
- Harry Beller is the plaintiff in the court case, also it has been disposed.
Jean Anne Brennan Webractt:
- No negative meta
- No court cases
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Richard Kahn:
- No negative media
- Court case was dismissal and he was not barred from NYSE kca and was cleared in the previous KYCs. Attached dearanom
- RDC alert found - relates to violation of NYSE Na Equities Rule - Clearance attached
Paul S Barrett
- No negative meda
- No court cases
- RDC alert found - False posoves, does not certain to our dent. Clearance attached.
E. To the best of your knowledge, has the client ever teen convicted of a cmural offense? Elves O No
To the best of your knowledge, has the customer ever teen involved in any past litigation against
Deutsche Bank AG or any of its subsidanes or is the astomer threatening litigation against Deuirrile O yes O No
F' Bank AG or any of la subsidanes' (If Yes provkle Poleax below and coataa QuaRyI V.
(Lat4m/MO)or the Regulatory Control Group amI notify Complexe onmeo)ate/Y)
G. Does the client or related party have any (Kendal or other association! nteracrions within countries O yes RI No
or moms sanctioned by the Office of Foreign Assets Control (OFAC)?
H. Does the dient or related party have any financial or other association) Interactions vdthln Ngh risk O yes 0 No
countries?
I. Corporate Documentation Attached (Legal Entitles Only) 52 Yes O No O Not Applicable
3. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No S Not Applicable
K. If Lees/Nods Search Results, Corporate Documents or Other Supporting Documentation Is not In English, please provide an English summary of the
natt.rekoments of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? Oyes 0 No
Is the accotmt structure unusual*/ complex? O Yes 0 No
Is there any indication the client set up a non operating company expressly O 0 No
for the purpose of transfanng shares to third parties? Yes
Is there any mdication this could be a prohibited business relationship? D Yes 2 No
Are the bearer shares Identified subject to acceptable contrds? O Yes OND
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M. Case Comments
Created By Date Comments
Mayur RathOd 9/26/118 1:20 AM No material changes confirmation *emat attached in the case.
This KYC serves as a high risk update for the below listed dials (together •accountholders') -
l. Jeffrey Epstein
2. Southern Trust Company Inc
3. Zorro Management LLC
Below are the reasons vity we are comfortable with approving this KYC:
• Information and supporting documents required by our AML Policy were provided and reviewed; and as a result,
we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and
expected transaction activity.
Kshitij Golani 10/17/118 12:02 AM • There ate a few rig factors assodated with the accountholders —
SOW: The UBO (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages client's assets.
SOW verification was obtained.
Negative Media & PEP: There is some negative media against Mr Epstein and he is also mantairs a dose
relationship wrth Bill Clinton and Prince Andrew. Please see risk calculator for more Information. Appropriate
approval was obtained.
• Our review did not Identify any red flags and thus there was no need to escalate this case further.
• We performed due diligence searches on all parties and 61 not find the names searched to be on any sanctions
Isis ce ICI) Database.
Zorro Management LLC is using the address of Southern Trust Company Inc (for whet) I have the address
verification for) and given that both Zorro and Southern Trust IS owned by the same Individual, Jeffrey Epstein, It
Kshitli Gdanl 10/17/118 12:05 NI seals plausible that they share the same ass due to common ownership for both of those entities. In
addtion, we have obtained proof of existence for afro Management LLC, which proves that the entry S currently
n existence.
ONSHORE APPROVALS
Dent Facing Proftslonal (CFP): Stewart Oldfeld (Signattre) 9/26/2018
Stewart Oldfleld
Office Director/Business Head: Steven Mattis (Signattre) W27/2018
Steven MOM
Regional Office Drector (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
KshiO) Golani KShei) Golan, 10/17/2018
LATAM/INTERNATIONAL APPROVALS
CieM Eating Professional (CFP): (S.;na:ure)
Account Manager: (Signature)
Global Market Team Head (GM1H)/Suti- (Sgnature)
Market Tem Head (STITH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
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PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM)
worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing 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 of a relationship and
on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information
is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on
the pan of the client(s) and that I havef ollowed 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 Quicers, Brokers,
Client Managers, etc.
Deubche Bank Americas New York
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