EFTA01283834.pdf

KYC Print Page I of 24
DB PWM GLOBAL KYC/NCA: PART A
KYC Cate I : 01133113 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationshi
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RHATIONSHJP:00000463290 Booking Center: New York
Relationship hanger: Paul Morris
q New MOM Relationship q Existing PWM Relationship
Retationship to PWM:
If existing, please indicate voce when the relatIontJtio exists, provide reason for new profile and attach old profile:
q pent Referral 2 RM Prospect q Intermediary/FTM q Other Source (GIB, etc.)
How Was the (longs)
Introduced' How long hn the please provide details (e.g. name of referral source, how many years Rat personally has known client, etc.): Jeffrey Epstein Is a
RM personaly known the current client et the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of
client' Pouts at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced then while Paul was at lnlorgan.
Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank
Does Deutsche Bank pay a ■ yes 12 No
retrocession or similar
compensation to a thrd party
for the introduction of this (It Pet detente):
relationship'
list all existing and new moist involved in tha relationship
legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 5 Butterfly Trust -- Checking 10/9/2013
2 5 Butterfly Trust -- Money Market 10/9/2013
Who ts he primary contact
pence or the RM' (Note: This Darren innyke Preferred method of contact
person needs to have signatory (indicate phone no., fax no.,
rights and/or information right e-mal address, etc.):
for the accounts.):
SDNY_GM_00039725
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002549
EF1'A_00150334
EFTA01283834

KYC Print Page 2 of 24
One sheet must be established for each account to be opened
2. Account Ownership Summary
MCOunt Nan*: Butterfly Trust -- Checking Acct. Number (if avaiitAte).
Account Manager. Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody strokes, long-term invesonent, pap-nerd/expense account)/ This is a
checking account to hold funds for the trust.
Indicate from where the assets are expected to arrive/
O DB Group: Same Booking Center (Indicate account number):
O DB Grow: Other Bedbug Colter (Indicate DB location and account details):
a Other Institution (Indicate name & hxation)e WMorgan. New York, NY
O Physical Deposits (specify cash, securities, cheques, — h
What is the expected sire arid frequency of regular Sows and outflows fog the account tnelicate estimated number and volume pe month)': Roughly S-10
inflows and outflows per month ranging from $1,000 to 520,000
What is the expected volume of assets and currency for the account approx. 90 days after 4,000,000.00 I Currency I USD
opening,
What is the expected volume of assets and currency for the account approx. one year after 5,000,0,0.00 'Currency I USD
opening)
Doesfivill the client have Assets Under Management (ADM) within DB under Etc 3M' O Yes ®No
Please list all parties related to the account.
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the palls retation to the account In the Titer coition.
• Always describe the rebticnship between the parties in the last column.
• Please drill down to the ultimate/under/Ong Beneficial Owner(s).
_egal Description AccounWIC 'Settly of Jkinete 5ignatcrass.railtedt-inanclal Significant ..egal GranUir/Setdorkounding Other
Entityof Source Holder OwneeTrust / Benteleiatx Full eCiA nterniediaryShareholderRepresentative )onor !please
of Wealth Reinder of Dwner ?OA (FIM) (>•25%) inaibe
*equeed Foindation Pion-PIC Other roles
entity and/or
attics (indicate ndkate
bled to ownership reiationsNp
is %) between
count James)
, D 2
1 O El J p e a ff t r e e n y O MI ID O O O O Grantor;
2 El O B n u i s tt t e rfly El O • • • O • • • •
3 D O Rk h h n a rd O O O O El O • O O O Trustee;
4 O O D nd a y rr k e e n O O • • ....i O II O • • Trustee:;
5 O • • O II • I O II I • • Beneficiary;
b • O O illi O O O O O O • Oj Benelkiary;
7 0 0 • O O O O O O O O Beneficiary;
8 O O O O O O O O 9 Benefkrary;
, O u O O O •
9 • O hniaine El O 9 Bmefk wry;
Gtaxwell
10 D O O O O O O O O O O O Beneficiary;
SONY_GM_00039726
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002550
EFTA_0015 0335
EFTA01283835

KYC Print Page 3 of 24
2. Account Ownership Summary
Account Name: Butterfly Trust -- Money Market Acct. Number (rf wadable)
Account Manager. Paul Morris
What Is the purpose of the accourd (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense motet)? Money
Market account. To hold cash for the trust to earn interest
!Skate from where the ants are expected to arrive,
CI 08 Group: Same Booking Center (Mdicate account nwnber):
O DB Group: Other Bookng Center (Indicate DO location and account details):
0 Caw treautIon (Ind kale name & locatIon)c WMorgan. New York, NY
O Physical Deposes (specify cash, securities, cheques, .4c
What is the expected size and frequency at regular inflons and outflows for the (mown (indicate eslvnated number and volume pe month)': Roughly 1.2 ifflows
and outflows per month ranging from $1,000 to $10000
What is the expected volume of assets and currency for the account apprwc. 90 days after 1500,000.00 'Currency I USD
opening,
What is the expected volume of assets and currency for the account approx. one year after 11,000,000.00 !Currency I USD
opening,
Doekacall tthiee client have Assets Under Management (ALM) within DB under Eta. 3M7 O Yes 0 No
Please list all parties related to the account.
F or each party:
• heck d a source 1 wealth description is required for the party.
• heck the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• f none of the chi k boxes apply, describe die party's relation to the account In the 'COW column.
• Always dem nhe t e relationship between the parties n the last coluMn.
• Please drill down to the usimate/underlying Benefklal Oivner(s).
egal -ft-waxen AccounIPiC Settlor of Alfred, SignatonlUmItedrinanclal Significant _egal Crantor/Settiorf-ounclinobther
--.ntitraf source Holder OemerTrust / Beneficial," Full POA IntermediaryShareholderlepresentaUve Donor Please
al Wealth Founder of Owner POA (Flt) (>=25%) fearribe
required Foundation Non-P1C sther mks
entity vidlor
?antes (Indicate ndicate
-elated to ownership elationship
las %) $etween
account ?weirs)
1 O 2 Epks"et"in O O 2 O O O O O O O Grantor;
Butterfly ED O D
2 121 O MIA O O O O O li O
likherd O • D
3 O O Kahn O O O O O O O Trustee:,
Darren O O O
4 O O O O O O O O O Trustee:,
OO O I O O O O O O • O Beuefleiery;
6 D O O •
q
q
O O O q
q
O O O Benefkiwy;
7 O O O O • • O O Beneficiary;
• •
8 O O O O • O • O • • O O Beneficiary;
5' ill • O • O O O O • O O D Beneficiary;
10 O O O O O O O O O O O O Beneficiary;
SDNY_GM_00039727
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002551
EFTA_00150336
EFTA01283836

KY( Print Page 4 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Owne shb Stemma
3A. Individual Details (for all parties)
IndnIduars Name: 6They Epstein - 00000183289 Date of Birth: 1/20/1953
Country of Residence: USVI Country of Clizenshb: USA
Has client resided outside of
Litte Saint James Saint Thomas 00802 US Virgin Islands irn/her crusty of nalbnally O yes 2 ti,
Address of posy reside-roe:
for 5 years or more?
Profession/Occupation: Self Ernperyed Tax ID / SSN:
Current Employer: Southern Financial LLC Postern/Ink/Rank: President
Address of ernpbyer. 6100 Red Hook Quarter 63 St. Thomas USV1 00802
Does the person work as senior executive of a DB-recognized regulated entty in the financial
nd ustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles Oyes a No
Is the in a Politkally Exposed Person (PEPy(,y yesdescribe) Oyes 2 No
To the best of your knowledge, Is the Individual related to an employee of the DB groupflif O Family O Enendship Ri.l bane
astrayor Friascalap, describe)
lathe bet of your knoveledge, k the Individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal round, dent referral source, supplier of goods or services)' El Yes ®No
(d Fes, *scree)
Indicate where and when the dent meeting(s) took oboe:
It applicable, Skate ankh bank officers have met the person:
Client Private Client Place of
Bank Officer Name(%) Bank Office: Other Location (specify): Date:
Domicile: Business:
Paul Morris O O 2 9/13/2013
• O •
• O O
O Wealth Details for this individual are not flied in, because they are the same as for the following person:
38. Wealth Details (Only for parties rebuking sauce of wealth description as indicated h Section 2)
Nature of the Individuars Business: Private investments
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: Ea Business owner OSalary/Earnings a Investment O Inheritance/Gifts • Other:
further Describe Source of Wealth /Detail the history of wealth for earn of the sources: (e.g. For trusts, how did setter accumulate swath? For inheritance, how
did landy accumulate wealth?For business owners, how brig in business, how many employees, level of prolitabaly? Indicate type of business, countries of major
activities, important business partners-) Epsten began his financial career in 1976 as an options trader at Bear Steams and became a partners n 1980. In 1982,
Epstein founded his own financial nThegdnent firm, 1. Epstein & Co., managing the assets of dents with more than a been in net worth. In 1996, Epstein
changed the narne of his firm to The Financial Trust Company and based it on the Island of St. Thomas in the US Virgin Islands. Al of Ns clients were anonymous
except for the very wealtiry businessman Leslie Werner. His wealth has come horn his days at Bear Stearns and his financial management Mrs
Estemated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(5): $50 MM - 100 MM
Estirreted Net Worth(6): $100 MN - 500 MM Amount of assets blamed to Invest WO PV/M($): 5,000,000.00
Other Known Financial instkutions:
limutution: liel Country: USA Est. Assets Under Mgt: 120,000,000.00
Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00
SONY_GM_00039728
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002552
EFTA_00I 50337
EFTA01283837

KYC Print Page 5 of 24
Institution 'Country: I Est. Moats Under Hgt
Please indicate the lanai situatain of the individual (marital status, other fan* mantes, Mt):
SONY_GM_00039729
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CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002553
EF1'A_00150338
EFTA01283838

KYC Print Page 6 of 24
One sheet mud be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Sum ma
3A. Individual Details (for all parties)
Indtridualts flame: Darren Indyke - 00000486405 Dated Birth:
Country of Residence: USA County of Citizenship: USA
Has client resided outside of
When (Om* of nationally O yasIRIH0
Address of pnrnary residence:
for 5 years or mire?
Prolessoetoupation. Attorney Tax ID / WM
Current Empkwer: Southern Financial LLC PosNonfildet/Ranic
Address of empbyer. 6100 Red Hook Quarter B3 Livingston USVI 00802
Does the person work as senor xecutfve of a Ceirecognirei regulated entity in tlx: financial Dui
nrlusuy, or an entry listed on a DB'recognlsed exchange, (Not applicable for operating entities NO
Is the individual a Politically Exposed Person (PEPPO yes, describe) U TIN @ No
To the best of your knowledge, b the Individual nebtel to an employee of the DB group>(f O Family O Fnendship El None
Pon* or Friendship, decal& )
To the bat of your knowledge, k the individual patty to a non-baiting relationship with No
Deutsche Bank (e.g., external legal coined, client referral source, supplier of goods or services)? O Yes 2
be Yes,desabe )
Indicate where and when the client meeting(s) took place:
If applicable, indicate which bank officers have met the person:
Bank 011icer Name(s) Bank Office: Pent PrIate Client Place of co, r. I c(.,I ( i iiii.e.
Business:
Paul Moms O O 2 o I ) i
• O O
• O •
O Weath Details for tNs individual are not flied in, because they are the same as for the folowIng pence:
38. Wealth Detail, (Only for parties requiring source of wealth desalption as indicated In Section 2)
Nature of the Individual s Business:
Primary Country of source of weaMVsource of Funds?
Primary iglus* of source of Weah/Soutte of Funds?
Summarize Source of Wealth: O Business Owner Chary/Earnings O Investment O Inheritance/Gifts O Other:
Norther Descnbe Source of Wealth Metal the history of math for each of the sources: (e.g. For Mists, how did sailor accumulate wealth' For inheritance, how
did fan* accumulate wealth?For business omen, how brig n busbess, how many enplcryees, level of profilabllep Indicate type on buena* countries of major
activities, important business partners.)
Estimated Annual Incorne($k Estimated amount of investable assets(3):
Estimated Net Worth($): Annum of assets planned to flat with PV/M(3):
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 fame situation of the indiv nal (mantel status, ether lankly members etc.):
SDNY_GM_00039730
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002554
EFTA_00150339
EFTA01283839

KYC Print Page 7 of 24
SONY_GM_00039731
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CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002555
EF1'A_00150340
EFTA01283840

KYC Print Page 8 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Richard Kahn - 00000486407 Date of Birth:
Country of Residence: USA Country of OtizenshiP: USA
Has client resided outside of
Addreo. of primary residence: hother country 04 nationaMy O Yes 2 No
for S years or mare?
Prolmsiontrkcupalnn: Accountant Tax ID / SSA:
Current Employer: Southern Financial, LLC Postam/Trtie/Rank:
Address of employer. 6100 Red Hook, Quarter 83511hr/in& US Virgin Islands 00802
o
Does the person work as senior executive of a DB-recognized regulated entity in the financial yes a No
not ustry? or an entity listed on a DB.recognised exchange? (Not applcaWe for operating entities
Is the individual a Politkaly Exposed Person (PEP)ag Yes, describe) • Y es g6 No
To the best of your knowledge, is the individual related to an employee of the DB grouP?(f • Family • rnendsNp E None
Farr* or Frieldthip, desmbe)
To the bat of your knowledge, is the individual party to a nen-banking relationship with O yes 2
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? No
(I Yes, credo-Abe)
Indicate where end when the dent meeting(s) took place:
If applicable, Skate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other location (specify)c Date:
Domicile: Business:
Paul Horns O w 2 9/13/2013
• • •
• O O
O Wealth Details for INs individual are not flied in, because they are the same as for the following person:
38. Wealth Details (Only for parties reputing source of wealth description as Indicated In Section 2)
Nature of the Individuals (tuskless:
Primary Country of source of wealthfsourte of Funds?
POOMIly indusby of source of WeattuSource of Funds?
Summarize Source of Wealth: • flatness Offilef OSalary/Famings O Investment C Inhatance/Gifts • Other:
Further Describe Source of Wea h Metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how
did family accumulate wealth?for business owners, how long in business, how many n,hjy level or meltability? Indicate type of business, countries of major
ad/vibes, important business partners.)
Estimated Annual Income(d): Estinvited amount of investable assets(s):
Estimated Net Worth($2. Amount of assets planned to invert with PWM(3):
Other Known Financial InstAutIons:
Institution: Country: Ed. Assets Under Mgt:
Institubon: Country: Est. Assets Under Mgt:
Iminution: Country: Est. /resets Under Mgt:
Please indicate the family situation of the individual (mental status, other fan* members, etc.):
SONY_GM_00039732
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002556
EFTA_OOI 50341
EFTA01283841

KYC Print Page 9 of 24
SDNY_GM_00039733
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CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002557
EF1'A_00150342
EFTA01283842

KYC Print Page 10 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for SI parties)
Indkidual's Name Glikisine Maxwell Date et Birth:
Country of Residence: Country et ClUzemillp:
Nes client resided outside of
rvo MAK Associates
Address of primary residence: 575 Lexington Avenue, 1th Fl New York NY 10022 USA hoth er COL•Itly of nationality O yes El No
for 5 years or more,
Profession/Occupation: Tax ID / SSN:
Current Employer Postbon/TelbRank:
Address of empbyer.
Does the person work as senior executive of a DB-recognized regulated entity in the nnancial
ndusby? or an entity listed on a DB.recogneed exchange? (hot applicable for operating entitles O Yes a No
RI
Is the mdMdual a Politkaly Exposed Person (PEPY(,/ Yes, describe) O Yes No
To the best of your knowledge, is the Individual rented to an employee of the DB group?(/ O Family • FnendsNp El None
Falai), or Friemiship, desenbe)
To the best of your knowledge, k the Individual patty to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? I: Yes El No
(I Testi:fasciae)
Indicate where and when the dent meeting(s) took place:
If applicable, Skate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(%) Bank Office: Other Location (specify) Date:
Domicile: Business:
O O O
• O O
• O O
O Wealth Delats for this indtvid ual are not filed in, because they are the same as for the (plowing person:
38. Wealth Details (Only (or parties requiring duce of wealth description as Indicated In Section 2)
Nature of the Individuals 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 Chaim/Earnings O Investment O Inheritance/Gifts • Other:
I urther Describe Source of Wealth metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' Inc inheritance, how
did family accumulate wealth'/For business owners, how bag in business, how many mbloyees, level of profitability/ Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Income($) Estimated amount of itwestable assets($):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
Other Known Financial InstkutIons:
institution: Country: Ed. Assets Under Mgt:
InstitUbn: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please Illdllaie the torn`, sItuatron of the individual (mental status, other family nsemberS, etc.):
SONY_GM_00039734
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002558
EFTA_00 I 50343
EFTA01283843

KYC Print Page 11 of 24
SONY_GM_00039735
littps://dbforcepb.my.salesforcCLINEJIDSIIIA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002559
EF1'A_00150344
EFTA01283844

KYC Print Page 12 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa
3A. Individual Details (for all parties)
Ind's:alters Name: Date of Birth-
Country of ilewdence: Country of Citizenship
HaS client resided outside of
cis/ HOAK Associates u
hikther country of nationality Yes Pli Its
Address of pnmary residence: 575 texington Avenue, 40 Fl Plow York NY 10022 USA
for 5 years or more,
ProtesrsorsOwupation: Tax ID/ Mt
Current Employer: Position/7Itle/Flank:
Address of employer.
2
Does the person work es senior executive of a DB-recogtzed regulated entity in the financial o w. No
ndustry? or an entity listed on a DB.recognIsed exchange? (Not applicable for operating entities
as El
Is the individual a Polak.* Exposed Person (PEPp(d Yes, describe) No
To the best of your knowledge, as the individual related to an employee of the DB group?(d O Family O FnendsNp E1 N one
Fame/yew Rienddrip, desaftte)
To the best of your knowledge, k the Individual party to a non-banking relationship with Ore. RI
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services), No
be Yes,desab e )
Indicate where and when the stint meeting(%) took place:
If applicable, indicate Muth bank officers have met the person:
Bank Officer Name(%) Bank Office: Pent PrIate Client Place of Other location (specify): ftise
Domicile: Business:
O O O
• O O
• O O
O Wealth Details for this Individual are not filed in, because they are the same as for the foleming person:
3B. Wealth Details (Only for parties reguilng source of wealth desalpUon as Indicated in Section 2)
Nature of the Individual's Huskies:
Primary Country of source of wealthrsource of Funds?
an:nary industry of source of 1Vealth,Soutte of Funds'
Summanre Source of Wealth: OBusiness Owner OSalary/Earnings O linestwant OMN:chance/Gifts • Other:
Further Descnbe Source of Wea h Metal the history of swath for earn of the sources: (e.g. For trusts, haw did settler accumulate wealth? For inheritance, how
at
did lankly accumulate wealth,la business enters, how long in ustess, how many employees, level of profitability/ Indicate type business, counties of major
actentres, important trimness partners.)
Estimated Annual Income(/): Estknated amount of attestable manta):
Estimated Net Worth($): Amount of assets planned to That with PWN($):
Other Known Filleleadi Institutions:
Institution: County: Est. Assets Under Mgt:
Institution: County: Est. MIS Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the fent situation of the individual (mental status, other family members, etc.):
SONY_GM_00039736
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ht t
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002560
EFTA_00150345
EFTA01283845

KYC Print Page 13 of 24
SDNY_GM_00039737
https://dbforcepb.my.salesforCCINErilagrit\ridiA10000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002561
EFTA_00150346
EFTA01283846

KYC Print Page 14 of 24
One sheet mud be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa
3A. Individual Details (for all parties)
Individuals Name: Date of Bath-
Country of Residence: Country of Citizenship'
clo Hen Associates Has client resded outside of O
hiesrner country of nationality Yes gin
Address of pnmary I' ("XieS1(C' 575 Lexington Avenue, 1th Fl New York NY 10022 USA
for 5 ye ars cc more,
Profession:On upation. Tax ID ISSN:
Current Employer: PosItianattle(Rank:
Address et endbyer:
2
Does the person work as senior xecutive of a DB-recognized regulated entity in the financial o w. No
nd ustry? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities
2
Is the individual a Politically Exposed Person (PEPr(f Yes, describe) • Y. No
To the best of your knowledge, is the Individual related to an employee of the DB group?(if • Family O Fnendship Ri.l None
Pam ly or Fiend:hip, deafer.)
To the bat at your knowledge, e the individual party to a non-baiting relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services), E: Ye' E l No
(5/ Yes,describe)
Indicate where and when the cleric meeting(%) took place:
If applicable, nthcate which bank erects have met the person:
Bank Officer Names) Bank Office: Pent PrIate Client Place of Other Location (specify): 0.:te.
Domicile: Business:
O O O
O O •
. O O
O Wealth Details for this individual are not filed in, because they are the same as for the Weaving person:
38. Wealth Details (Only for parties requiring source of wealth description as indicated In Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Di/nary ndustry of source of Wealth'Sotute of Funds,
Summarize Source of Wealth: O Business Owner OSalsry/Eamings O Investment pink:Mance/Gifts O Other:
Further Descnbe Source of Wea h Metal the dam of wealth for each of the sources: (e.g. For busts, how did senior accumulate wealth, For inheritance, how
did rangy accumulate wealth,ler business antlers, how brig in illness, how many employees, level of profitability, Indicate type of business, counties of major
amities, important business partners.)
Estimated Annual Income($): Estimated amount of investable assetHg):
Estimated Net Wort (ft Amount of assets planned to That with PWI4($):
Other Known Financial Institutions:
Institution: County: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (mental status, other family members, etc.):
SONY_GM_00039738
ps://dbforcepb.my.salesforCCaNEJIDairdiAL000000D9Di&e... 7/30/2019
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SONY_GM_00039739
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One sheet musk be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Date of Beth:
Country of Residence: Country of Citizenship:
FLis client resided outside of
c/o ilBRK Associates 21d,
Address of primary residence: 575 texington Avenue, nth El flew York lit 1002? USA his/hey country of natbnakty O yes
for 5 years or more?
Probes:30k( upon:in: Tax ID / SSN:
Current Employer: P0SItkin/TitieMank:
Address et employer:
toes the person work as senior xecutive of a DB.reeegnized regulated entity In the financial D yes a No
ridsofty? or an entity listed on a DB.recognned exchange? (hot applicable for operating entities
2
Is the indMdual a Politkalty Exposed Person (PEPnif Yes, describe) O yes No
To the best of your knowledge, is the Ind Sid col related to an employee of the DB groupW • Family O FriendsNp MI None
Forney or Friendship, desmbe)
To the best of your knowledge, is the Individual party to a nee-banking relationship with R
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? O Yes No
(I Yes,desmbe)
Indicate where and when the dent meeting(s) took pace:
applicable, indkate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (ipecIfyk Date:
Domicile: Business:
O M O
• • •
• O O
O Wealth DetaNs for this Individual are not Mid in, because they are the same as for the following person:
38. Wealth Details (Only for parties rebuking source of wealth description as Indicated in Section 2)
Nature of the Individuals Rushee:
PrIrnary Country of source of wealth/sourte of Funds?
PrifIliry hdusby of source of Wealthraource of Funds?
Summarize Source of Wealth: • flubricss Onner OSahry/Eamings O Investment O Inheritance/Gifts • 011ww:
Further Detente Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For Mists, how did settler accumulate swath' For inheritance, how
did family accumulate wealth?For business owners, how long in business, how many employees, level er profitability? Indicate type of business, countries of major
activities, important hotness partners.)
Estimated Annual Income($): Estinvred amount of investable assets($):
Estimated Net Worth($): Amount of assets planned to invest sow PWM($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Ed. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the lamb situation of the iodic ual (mantel status, ether family mentors, etc.):
SDNY_GM_00039740
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SONY_GM_00039741
Imps://dbforcepb.my.salesforcart:INEJEIEsMidiAL000000D9Di&e... 7/30/2019
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EF1'A_00150350
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all pants)
Indrviduars Name: Date of Birth:
Country of Residence: Country of Citizenship:
Kin client resided outside of
c/o MIRK Associates 2
his/her tasty of magnet* O yes No
Address of primary residence: 575 Lexington Avenue, 4th Fl New York NY 10022 USA
for 5 years or more?
Prolessian,baupaton: Tax ID / 591:
Current Employer: POSItbrifTbartank:
Address of entbyer.
D
Does the person work as senior xecutIve of a DB.recebnized rebottled entity in the financial yin llo
nd usby7 or an entity listed on a DB:recognised exchange? (fiat applicable for operating entitles a
Is the indMdual a Politkalty Exposed Person (PEPY(A Yes, describe) O Yes RINo
To the best of your knowledge, Is the Ind trid Lel 'Sited to an employee of the DB grouPP(F IN Family O Friendship ria None
Fan$' or Feeldship, *scythe)
To the best of your knowledge, h the IndMidis& party to a no-nbaiting relationship with Ores 2
Deutsche Bank (e.g., extent' legal counsel, client referral source, supplier of goods Of services)? No
(A Yes, descrthe )
Indicate where and then the dent meeting(s) took place:
If applicable, tdkate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(%) Bank Office: Other Location (specily): Date:
Domicile: Business:
O w O
• • O
• O O
O Wealth DetaNs for this individual are not flied in, because they are the same as for the following person:
38. Wealth Details (Only (or parties rebuking source of wealth desalptlon as indicated in Section 2)
Nature of the Individuals Business:
Prknary Country of source of wealth/source of Funds?
Primary Mosby of source of Wealth/Source of Funds?
Summarize Source of Wealth: O Business Onner OSaLsry/Eamings O Investment C Inheritance/Gifts Other:
II
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For Mists, how did senior accumulate wealth? For inheritance, how
did fan* accumulate wealth?For business owners, how long in business, how many employees, level ef profitability? Indicate type of business, countries of major
activities, important business partners.)
Fitimated Annual Income($)- Estimated amount of instable assets(s):
[striated Net Worth($): Amount of assets planned to invest Mtn PWM($):
Other Known Financial InstAutIons:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Fit. Assets Under Mgt:
Please indicate the family situation of the indiv (al (mental status, other family mentors, etc.):
SDNY_GM_00039742
https://dbforeepb.my.salesforeC5CINErilDaltiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002566
EFTA_00I 5035 I
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SONY_GM_00039743
Imps://dbforcepb.my.salesforcaINEJIDgiNDAL000000D9Di&e... 7/30/2019
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EFTA 00150352
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Indkiduars Nan*: Date or Beth:
Country of Residence: Country of CitizenshiP:
Has client resded outside d
Co tiaRK Associates
he/her country of nationality ED yes a it
Address of puma ry residence' 5/S texington Avenue, ath IT New York WY 10077 USA
for 5 years a more?
ProfesseniOuupaton. Tax ID / SSA:
Current Employer: Position/Tide/Rank:
Address of empanel:
2
Does the person work as senior executive of a DB.recegnized regulated essay in the financial O yes No
Mrs*+ or an entity listed on a DB.recognised exchange? Mot applicable for operating entities
Is the indaidual a Politkaly Exposed Person (PEW/V. Yes, describe) Oyes Ed No
To the best of your knowledge, is the individual related to an employee of the DB grouP,(Y • Family O Fnendship E None
Pam* or Friendship, *scythe)
To the best of your knowledge, is the individual patty to a neenanking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? fi Yes 2 No
(A Yes,descnbe)
Indicate where and neon the client meeting(s) took place:
If applicable, eidicate which bank officers have met the person:
Clien t Private Client Place of
Bank Officer Names) Bank Office: OOtth er Location (specify Date:
Domicils: Business:
O • O
• • O
• O O
O Wealth Details for INs individual are not flied in, because they are the same as for the following person:
38. Wealth Details (Only (or parties requilng source of !math desolpUon as Indicated In Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary mlustry of source of Wealth/Source of Funds?
Summarize Source of Wealth: O fmanoss Purser O58*y/famines O Investment C Inheritance/Gifts • Other:
Further Desenbe Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how
did family accumulate wealth/for business owners, bow long in business, how many employees, level d profitability? Indicate type of business, countnes of major
activities, important business partners.)
Estimated Annual Income(3): Estimated amount of investabk assets(3):
Estimated Net Worth($): Amount of assets planned to invest with PWtl($):
Other Known Financial InsUutIons:
Institution: Country: Est. Assets Under Mgt:
Institution: Goolsby: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the lankly situation of the individual (mental status, other fan* members, etc.):
SDNY_GM_00039744
https://dbforcepb.my.salesforeC5CINErilDEgialliAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002568
EFTA_00I 50353
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One sheet must be established for EACH LEGAL Mir( in Section 2. Account Summary
3C. Legal Entity Details (for all Legal Entities)
legal Entity Name Butterfly Trust - 00000486426
• FoundatIon/Associatkin RI Trust O Company O Estate ®private Investment O
Type of Entity: Purpose of Entity:
• Partnership IshiaMhroisk/Chadtabk OCommercbl
Purpose d Emily
Type of Entity Other (specify):
Other (SpeCifik
Country of USA Date of incorporation / 12/27/2006
MoigickatIon/re9istraiko: registration:
Volcker Status: Vokker Flag:
Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00302 USVI U.S. TIN/EIN:
code):
Provide a description of the entSys organizational structure, its ownership structure and its Top Management. For trusts/foundations, isclude Mforrnation about
revocabIlity,settlor and beneficiarlehetc.:
Grantor: Jeffrey Epstein
Oustees: Darien K. Indyke, Richard Kahn
Please indicate how ownership of the legal entity is refketed: Grantor: Jeffrey Epstein
Trustees: Darren K. Indyke, Richard Kahn
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 (d not me same persons) GriatOr. Jeffrey Epstein
Trustees: Darren K. Indyke, Richard Kahn
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche
Bank (e.g. external legal counsel, client referral source, suppler of goods or servlomr: Yes O No gil
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: Trust account
Countries where business is transacted: USA, USVI
Number of errployees: NIA
30. Wealth Profile (Only for parties requiring source of wealth description as In ikated in Section 2)
Primary Country of source of wealth/source of Funds?
Primacy industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsillabities):
Trust account with Jeffrey Epstein as Grantor. Initial $100 given to the account to fund. The funds for this trust account come from investments made by Jeffrey
Epstein. His wealth profile is filed cut. The trusts for the benefit of the 6 named individuate
Estimated gross receipts p.a.($):
Estimated net profit pa. (S):
Estimated investable assets ($): SS Wit - 10 MI
Potential Amount to be invested with WM (Sr 4,500,000.00
Other Known Financial Institutions:
institution: )(Morgan Country: USA Eg. Assets Under Mgt: 4,500,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00039745
https://dbforeepb.my.salesforcCLINErillaidiAL000000D9Di&e... 7/30/2019
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DB PWM GLOBAL KYC/NCA: US/LatArn/Int'l PART
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking Center 0 W INT O q offshore IRO Moderate c ni .J t High Risk Andrew ION
/Offshore isk
(Ctenpliante Shgnature)
O DB Employee ODD Managed PK O D6 is Trustee/Co-Trustoe O Bearer Shares
4. Attachmenb
A. Type of Photo ID Provided t'A Drives Lkeitse RI Passport • NatlenaUState ID • Other
B. Checklist of names (individuals and/or entitles) that were submitted for database searches is attached ®yes O No
C. Please ndicate the results of the database searches pedorrned
RDC searches complete d Yes O No negative results found eves The
PCR checks complete eyes Olio negative results found EZ1Yes O No
OFAC checks complete Et Yes Ono meanie results found ElYes ®No
BIS searches complete (lecis/Nexis, Factma, Reuters, Dow Jones, DM) 12 yes ONG negative results found E)Yes Otto
Denial Orders checks corrpkte IR1 Ye. ONo negative results found • yes ®No
Marondae.Hubbell searched (Levyerkkaw Fenn only) O Yes ONO negative results found • Yes O No
Please sonnetize any negative resuks from the database searches Indicated above: BUTTERFLY TRUST:
Negative Media: All negative media pertains to a company called the Butterfly Tryst in Europe This is not our client. Our client is an actual trust created by a
Grantor and not a company. The other negative media does not peruse to 'Butterfly Tryst'. It Is only cited because the words 'butterfly" and trust* are next to
each other
Court Cases:
1. The is study material for a law class. The Butterfly Trust mentioned in this is not our client
JEFFREY EPSTEIN:
Preciously approved KYC 8:01062293 & 01121718
DARREN ItiOYXE:
No Negative Media
No Court Cases
KYC Approved: *1133377
RICHARD KAHN:
See attached dearance from MIL
D. Approved KYC: 901082293 and 1133377
GHISUUNE MAXWELL:
No PCR or RDC alerts
e
e
E. To the best of yam knowledge, has the client eve been enacted of a cnmnal offense, a Yes O No
F.
O Yes 0 No
To the best of you knowledge, has the customer ever been involved in any past litigation against
Deutsche Bank AG or any of its subsidiaries or is the customer threatening floater, against Deutsche
Bank AG or any of is subsidiaries' (if Yes, brevet details below and contact Quality Mgt.
SDNY_GM_00039746
https://dbforcepb.my.salesforCCINErlIDatiruJiA14000000D9Di&e... 7/30/2019
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(LgiAmfintI) or the Regtatuty Confrol Group and notify CompYance inmeditely)
Does the client or related party have any financial or other association/Interactions wean countries o yes 0 No
G.
cc regimes sanctioned by the Office of Foreign Assets Control (CfAC)?
Does the client or related party have any financial or other association/ interactions within high risk o yes EA No
it.
counties'
I. Corporate Documentation Attached (Legal Entitles Only) Oyes • No • Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) Oyes • No !API Not Applicable
K. If LeckiNexh Saudi Results, Corporate Documents or Other Supporting Documentation Is not in English, please provide an English WITCTIMy of the
nature/contents of the non-English Documentation:
t. Special Risk Factors
Does the account have Nexus to Special Risk Countries, O Yes Z No
Is the account structure untriturey °ampler" • Yes r4 No
Is there any indkation the chant set up a non operating company expressly O yes pi No
for the purpose of transferring shares to third parties?
Is there any indication this amid be a prohibits business relatkenhipl ID yes 2)No
Are the bearer shares identified subject to acceptable controls) • yes 10 No
SONY_GM_00039747
littps://dbforcepb.my.salesforCaNBIDEJNIIIIA10000000D9Di&e... 7/30/2019
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M. Case Comments
records to display.
ONSHORE APPROVALS
Client Eating Profeksional (CFPX Paul Morris 'Signature) 10/2/2013
Paul Morris
Office Director/Business Head: Brian M. Biggar ‘'Si.gnatwe) 10/3/2013
Brien M. Biggar
Regional Mice Director Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
)acgtel.ne Lghtbody Jacqueline Light's:4y 1/23/2014
Andrew KISZ Andrew Kea I/23/2014
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP3 (Sqnature)
Account Manager: (Signature)
Caobal Market Team Head (GMTH)/Sub- (Signature)
Market Team Head (SMTH):
AML flusress Risk:
(Signature)
Pit Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENTP OLICY STATEMENT: Deutsche Bank Private Wealth tIanagement (WM)
worldwide is committed to professionally serve the interests ofi ts 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 ofC FP'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 ofm y knowledge and belieft he above information
is correct and up to date. confirm that have no suspicions relating to the money laundering or unethical activities on
the part oft he client(s) and that have followed all the procedures relating to account opening as described in the POM
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 VA
SONY_GM_00039748
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002672
EF1'A_00150357
EFTA01283857