EFTA01284012.pdf

KYC Print Page I of 24
08 PWM GLOBAL KYC/NCA: PART A
KYC Case I : 01344537 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationshi
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY MIATIONSHIP:010004113290 Booking Center: New York
Relationship Manager: Paul Morris
O New KM Relationship O ExisUng PWM Relationship
RetationMip to PWM:
If editing, please indicate since when the relationship exists, provide reason for new profile and attach old prchle: Update of KYC
#01133113. Trustees have hanged
O Client Referral @ RM Prospect O Intermediary/NM O Other Source (CIB, etc.)
How Was the thongs)
introduced> How keg has the
RM personally inown the Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey
(Gent> Epstein/Butterfly Trust are current clients of the Bank.
LIZ
Does Deutsche Bank pay a O Yes No
retrocession or similar
compensation to a thrd party
for the introduction of this (1/ Yes, descrthe).
relationship>
list all existing and new accounts involved in the reLstionshg
legal Entity Account Name / Number Opening Date (intendedlactual)
Account(s)
1 5 Butterfly Trust -- Checking 10/9/2013
2 cl Butterfly Trust -• Money Market 10/9/2013
Who is he primary contact
person or the RM? (Note: This Ha wet Preferred method of contact
212 569 5900
person needs to have signatory nY (indicate phone no., fax no.,
rights and/or information right e-mail address, etc.):
for the accounts.):
37/30/2 _1J0039925
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002749
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EFTA01284012

KYC Print Page 2 of 24
One sheet must be established for each account to be
2. Account Ownership Summary
Account Nan*: Butterfly Trust -- Checking Acct. Number (if avadaAY).
Account Manager. Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody serykes, bng-term investment, payrnern/expense account)? This is a
checking account to hold funds for the trust.
Indicate from where the assets are expected to arrive?
O DB Grow: Same Booking Center (indicate account ranter):
O DB Group: Other Boot iii Colter (Indicate 08 location and account details):
El Cther Institution (Indicate name & kxation)c 10Morgan. New York NY
O Physical Deposits (specify calk securkies, cheques, — R
What is the expected size arid frequency of regular infkmis and outflows for the account (ndicate estimated number and volume pe month)': Roughly S-10
Inflows and outflows per month ranging from $1,000 to $20,000
What is the expected volume of assets and currency for the account approx. 90 days after I Currency I USD
opening?
What is the impeded volume of assets and currency for the account approx. one year after 5,000,030.00 'Currency I USD
opening?
OoesAvill the client have Assets Under Management (Aunt) within DB under Eta. 3Mi Oyes ®No
Please list all parties mated to the account.
For each party:
• Check if a source of wealth description Is required for the party.
• Check the appropriate box to descnbe the reLstionship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the palls rebtlon to the account In the Tiber' column.
• Always Oman the 'ebbe:whip between the parties in the last column.
• Please drill down to the ulUmate/underNing Beneficial Owner(s).
_egal Desulptbn AccounWIC 'Settler of _filtrate 5signatorwinnteci9nanclal Significant eget Grantor/Setriorkounding Other
Entityof Source Holder OwnesTrust / Benefxialor Full ROA IntennediaryShareholderlepresentative Jona. 'please
of Wealth Fowler of Dwner ?OA (FIM) (>...25%) lew*
requied Foundation Non PIC other roles
entity and/or
Parties (indicate wane
related to ownership relationship
his %) Sehwen
account wiles)
Jeffrey O O 2
3 O M Epstein O II O O O O D Grantor;
tterfly 5 O 5
2 El O TBruust • • O • • • •
q
3 O O BHeallneYr O O • O a O • O El El Trustee;
Erika
4 O O Ketbhals "❑n1 O • • .....a O • O • • Trustee::
s O • • O • • • O II • • • Beneficiary;
6 • O O • O O O OO O • O Benefklary;
7 M O O • ID O O O O CI CI O Benefit-Ray;
8 O O O El O D O DO I:l El O Beneflcory;
Chistallnle O • O
9 • O Maxwe El O OO O O O Benelk coy;
10 D O O O O El O O O O O O Beneficory;
SONY_GM_00034926
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002750
EFTA_00I 50535
EFTA01284013

KYC Print Page 3 of 24
2. Account Ownership Summary
Account Name: Butterfly Trust -. Money Market Acct. Number (I svailabl#
Account Manager. Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, kriglerm investment, payment/expense account)? Money
Market account. To hold cash for the triat to earn intent
Indicate from where the assets are expected to arrive,
O DB Grow: Same Booking Ceder (Indicate account number):
O DB Grow: Other Booking Center (Indicate 013 location and account details):
0 Cher Irtseution (Ind kale name & buition) Whiorgan. New York, NY
O Physical DeposAs (specify cash, securities, cheques, ...P
What is the expected size and frequency of regular irtflons and outflows for the mond (indicate estimated number and volume pe inonthp: Roughly 1.2 Nflows
and outflows per math ranging from $1,000 to 310.000
What is the expected volume of assets and currency for the account approx. 90 days after I Currency I 1.5D
opening' I
What IS the expected volume of assets and currency for the account approx. one year after 11,000,000.00 I Currency I USD
opening?
Owarill the client have Assets Under Management (AIM) within DB under Err. 3MT O Yes WI No
Please list all parties elated to the account.
for each party:
• heck a a source or wealth description is required for the party.
• Check the appropriate box to describe the relstionsNp of the party to this account (> Ian be selected).
• Iwo° of the check boxes apply, describe the partYs relation to the account in the 'CONY' column.
• Always describe the relationship between the parties in the last colorist
• Please drill down to the ultenate/underlying Beneficial Owner(s).
-egal Description AccounWIC Satiric of Jkimate SignatorilUmitedFlnancial Significant _egal Grantor/Setdor-founding Other
Enbtyof Source Holder OwerTrust / Beneficial:A Full PO* InterrnedorySharebolderRepresentative Donor 'please
N Weskil fonder of Owner PO* (FIM) (>=25%) describe
requeed foundation Non-PIC other roles
entity and/or
Parties (Indicate ndicate
*elated to ownership elationthip
this %) between
account footles)
2 O O 2 O O O O O O
1 O Ekpstefti'ent O Grantor;
2 B 12 M " IA te r*/ 0 O D O O O O O Ill O
3 O O B H e a lle n r v D ID O O O O O O O Trustee:,
4 O O O O kEenllkearhals O ❑O • OO O O O O O O O O O O O O Trstee:,
I O
f il o Beneficiary;
6 O O O O O O O O O O O O Benefici ary;
7 O • O O • • • O O N • O Beneficiary;
8 O O O O O O El O• O • O • O O O O • O O O • Beneficiary;
9 D N O MM G a m xw '' e ' Ol ' l " DE] O O O O II O O O Benellan;
10 Beneficiary;
SDNY_GM_00034927
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002751
EFTA_00I 50536
EFTA01284014

KYC Print Page 4 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all padres)
Individual's flame: Jeffrey Epstein . 00000983289 Date of Birth: 1/20/1953
Country of Residence: USN Country of Citizenshtr USA
Has client resided outside of
Address of primary residence: Lille Saint James Saint Thomas 00802 US Virgin Islands hist/hheerr country of natbnaky O Yes RI No
for 5 years or more)
Profess:30k( upaton: Self Ernpe4yed Tax ID / SSW
Current Employer Southern Financial LLC Position/Title/Rank: President
Address of empbyer. 6100 Red Hook Quarter 63 St. Thomas USV1 00802
Does the person work as senor xecutIve of a DEPrecognized regvtated entity in the financial O yes 2 No
nd ugly? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities
2
Is the individual a Politkaty Exposed Person (PEPy(,/ Yes, describe) O Yes No
To the best of your knowledge, Is the Ind Ind ual reeled to an employee of the DB grouP,(A IN Family O Fnendshlp rid None
Forney or Fields/bp, desmbe)
To the bat of your knowledge, is the individual party to a nom-baiting relationship with 2
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)'O Yes No
(I Yea, describe)
Indicate where and when the client meeting(s) took place:
If applicable, indkate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(%) Bank Office: Other location (specdy)c Date:
Domicile: Business:
Paul Morris O w 2 9/13/2013
• • •
• O O
0 Wealth Details for this individual are not filed in, because they are the same as for the (dewing person:
38. Wealth Detalb (Only for parties requiring source of wealth desolation as Indicated In Section 2)
Nature of the Individual's Business: Private investments
Primary Country of source of wealth/source of Funds?
Primary tidos* of source of Wealth/Source of Funds?
Surnnwire Source of Wealth: Ea Business Owner OSalary/Eamings a Investment O Inheritance/Gifts • Other:
Further Describe Source of Wealth Metal the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how
did fan* accumulate we.alth?for business owners, how long in business, how many employees, level of prolkabikly? Indicate type of business, countries or major
activities, important tininess partners) fasten began his financial career in 1976 as an options trader at Bear Steams and became a partnen n 1980. In 1982,
Epstein founded his own financial management firm, I. Epstein & Co., managing the assets of dents with more than a talon in net worth. In 1996, Epstein
changed the narne of his firm to The Financial Trust Company and based ton the Island of St. Thomas in the US Virgin Islands. Al of his dents were anonymous
except for the very wealthy businessman Leslie Worrier. His wealth has come from his days at Bear Steams and his financial management Brim
Estimated Annual Income(S): 10,000,000.00 Estimated amount of nwestable assets( $): 350 MM - 100 MM
Estimated Net Worth(3): $100 Mal - 500 MM Amoum of assets planned to kwest watt PivM($): 5,000,000.00
Other Known Financial Instilutirms:
Institutor,: Inei Country: USA Est. Assets Under Mgt: 120,000,000.00
Insttution: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00
SONY_GM_00039928
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002752
EFTA_00I 50537
EFTA01284015

KYC Print Page 5 of 24
I lnstkution: I 'Country: IEst Assets Under Mgt
Please indicate the tinily situatian of the individual (marital status, other familym, entors, set.):
SDNY_GM_00039929
Imps://dbforcepb.my.salesforcGC:tNEJIDEschiltiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002753
EF1'A_00150538
EFTA01284016

KYC Print Page 6 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: Ghislaine Maxwell - Date of Bath.
Country of Residence: Country of Citizenship
Has client resded outside of
Address of primary residence: c/o KBRK Assocatm he/her country of nationality D yes gib
for 5 years C. more?
ProteesnniOccupalon: Tat ID / SSN:
Current Employer: Position/Tide/Rank:
Address of employer.
D 2
Does the person work as senior xecutive of a DB.reccgnized regulated entity in the financial yes No
ndusby? or an entity listed on a DB'recognlsed exchange? Obit applicable for operating entities
D 2
Is the indMdual a Politkaly Exposed Person (PEPY (A Yes, describe) Yes No
To the best of your knowledge, Is the Individual related to an employee of the DB groupW O Family O Friendship ZA None
Fan$' or Frieedilep, desenbe)
To the best at your knowledge, is the individual patty to a no relationship with 21No
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or sservices)'O Yes
(A Yee, descnbe )
Indicate where and when the dent meeting(%) took place:
If applicable, Skate which bank officers have met the person:
dent Private Client Place of
Bank Officer Name(%) Bank Office: Other Location (specify) Date:
Domicile: Business:
O . O
• • •
• O O
O Wealth Details for this individual are not filed in, because they are the sane as for the folowing person:
38. wealth Details (Only (or parties requiring source of wealth description as Indicated In Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Some of Funds?
Summarize Source of Wealth: • liminess Owner OSalary/Eamings O Investment O Inheritance/Gifts • Other:
Further 0mnd? Source of Wee h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? fat inheritance, how
did (err* accumulate wealth?for business owners, how long in business, how many employees, level of meltability? Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Income(p): Estimated amount of investable assets($):
Estimated Net Worth($): Amount of assets planned to invest Mth PWM($):
Other Known Financial Insttudons:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the lankly situation of the individual (mantel status, other lankly mentors, etc.):
SDNY_GM_00039930
https://dbforcepb.my.salesforeCLINEIDEgialliAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002754
EFTA_OOI 50539
EFTA01284017

KYC Print Page 7 of 24
SDNY_GM_00039931
https://dbforcepb.my.salesforeCCINErillairdiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002755
EFTA_00 150540
EFTA01284018

K YC Print Page 8 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Indolduars Name: Date of Binh:
Country of Residence: Country of Citizenship:
Has client resided outside of
rio HPRK Associates
her/her matey of nalkonality O yes 0 No
Address of parnary residence:
for 5 years or more?
Profession/Occupation: Ter ID / SSN:
Current Employer: Position/Tile/Rank:
Address of employer.
Does the person wadi as senior executive of a Dffiretognized regulated entity in the financial
nd usby? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities O Yes a No
Is the lndMdual a Politkaly Exposed Person (PEPY(5/ Yes, *scribe) O Yes El No
To the best of your knowledge, is the Individual related to an employee of the DB group?(/ O Family • friendship None
Farm), or Friemiship, desmbe) Eli
To the best at your knowledge, is the individual party to a noebanking relationship with
Deutsche Bank (e.g., extemal legal <WOW, client referral source, supplier of goods or services)? O Yes 23 No
(I Yea describe)
Indictee where and when the dent meeting(s) took place:
If applicable, indkate which bank officers have met the person:
Client Private Client Place of
Bank Officer Haller(%) Bank Office: Domicile: Business: Other Location (specify) Date:
O O O
• O O
• O O
O Wealth Details for this individual are not flied in, because they are the same as for the following person:
3B. Wealth Details (Grits, for parties requnng source of wealth descnpuon as indicated on Section 2)
Nature of the Individual's Business:
Primary Country of source of wealthOotute of Funds?
Primary industry of source of Wealth/Source of Funds?
Summanze Source of Wealth: • aweless Owner OSalary/Eamings O Investment O Inheritance/Gifts • Other:
further Describe Source of Wee to (Petal 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 busHess, how many employees, level of profitability? Indicate type of business, countries of major
activities, important business porters.)
I' stir-noted Annual Income($): Estinvited amount of irwestable assets(s):
f uimated Net Worth($): Amount of assets planned to inveit with PWM($):
Other Known Financial InstkutIons:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Imblution: Country: Est. Assets Under Mgt:
Please indftate the lam`, sItuatno of the individual (mar till status, other family members, etc.)'.
SDNY_GM_00034932
https://dbforcepb.my.salesforeCCINErilDalridiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002756
EFTA_OOI 50541
EFTA01284019

KYC Print Page 9 of 24
SDNY_GM_00039933
t ps://dbforcepb.my.salesforcCLINEIDEJNIIIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002757
EFTA_00150542
EFTA01284020

K YC Print Page 10 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershb Summa
3A. Individual Details (for all parties)
Indwiduars flame: Date of Birth:
Country of Residence: Country of Citizenship:
Has client resided outside of
c/o HMI( Associates
Address of primary residence: his/her country 04 nationatily O Yes id No
for 5 years or more?
Profession/Occupation: Tax ID / SSW:
Current Employer: Posltbon/TKIWRank:
Address of employer:
Does the person work as senior executive of a DB•recogszed regulated entity in the financial
ndusby? or an entity listed on a DB.recognhed exchange? Mott applicable for operating entities Oyes 2 No
Oyes RI
Is the individual a Politkally Exposed Person (PEPY(r/ Yes, describe) No
To the best of your knowledge, h the Individual related to an employee of the DB group?(? • Family O EnendsNp El None
Farr* or Friedthip, desmbe)
To the best of your knowledge, is the Individual party to a non-banking relationship with El Yes 10
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? No
(?Yes, descnbe )
Indicate where and when the dent meeting(s) took place:
If appicable, indtate which bank officers have met the person:
Client Private Client Place of
Bank Officer Names) Bank Nike: Other location (specifyy Date:
Domicile: Business:
O O D
• O •
• D O
O Wealth Details for tNs Individrel are not filed 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 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 OSalary/Eamings O Investment O Inhailance/Gifts • Other:
I urther Descnbe Source of Wee h Metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? RN inheritance, how
did family accumulate wealth/for business owners, how long in business, how many employees, level of pmflability? Indicate type of business, countries of major
activities, important business partners)
Estimated Annual Income($): Estimated amount of investable assets(s):
Estimated Net Worth(3): Amount of assets planned to invert Mtn PWM($):
I
Other Known Financial Instkutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under ?lot:
Institution: Country: Est. Mints Under Mgt:
Please militate the lam`, situation of the individual (mental status, other family members, etc )
SDNY_GM_00034934
https://dbforcepb.my . sale sforeGONEril DalridiAL000000D9Di & e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002758
EFTA_00I50543
EFTA01284021

KYC Print Page 11 of 24
SDNY_GM_00039935
t ps://dbforcepb.my.salesforcCaNEJIDEgrbadiAL000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002759
EF1'A_00150544
EFTA01284022

KYC Print Page 12 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ovmership Summary
3A. Individual Details (for all parties)
Indroduats Plank?: Date of Birth:
Country of Residence: Country of Citizenship
Has client resided outside c4
r/o iatic Associates
Address of Drearyrre sidence: his/her country of nationality Dyes I2I No
for $ years or more?
Professbn/Occupaban: Tax ID I SSW:
Current Employer: Position/Ms/Rank:
Address of employer.
Does the person work as senior executive of a DB-recognized regulated entity in tlx: financial
ndustry? or an entity listed on a DB.recomised exchange? (Not applicable for operating entities ara ®No
is the individual a Politer* Exposed Person (PEPp(f Yes, describe) Ya 21No
To the best of your knowledge, is the Individual related to an employee of the DEI gnsupT(if • Family O Fnendsbp E None
Family cc Friendthip, describe)
To the best of your knowledge, b the Individual party to a non-banking relate:3,1.Np with No
Deutsche Bank (e.g., external legal camel, client referral source, supplier of goods or services)' O Yes El
Of Yes,descrt)
Indicate where and when the Rent meeting(%) took place:
If applicable, nthcate which bank officers have met the person:
Bank Officer Name(s) Bank office: client PrPeate Client Place of Other I iii oft m p{ if 1).,./..
[gonadic Business:
O O O
• O O
• O O
O Wealth Details for tbs Individual are not filed in, because they are the same as for the laming person:
3B. Wealth Details (Only for parties requiring source of wealth description as ideated In Settee 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary bdusby of source of Weathraource of Funds?
Surmrsirtze Source of Wealth: O Business Owner OSalery/Famings O Investment O InlwritanceiGifts Other:
I
further Describe Source of Wealth meta the history of wealth for each of the sources: (e.g. For ants, how did settler accumulate swath? For inheritance, how
did famty accumulate wealth?For business antlers, how brig in useless, how many eMplOytC6, legal of profitability? Indicate type or business, countries of major
activities, important business partners.)
I violated Annual Income($): Estimated amount of investable assets($):
Rimmed Net Worth($): Amount of assets planned to flat with PWM($):
Other Known Financial InstAutIons:
Institution: County: Est. Assets Under Mgt:
Institution: County: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the remit situation of the indiv tot (mental status, other family mentors, etc.):
SONY_GM_00039936
ps://dbforcepb.my.salesforcaNtaioaLT,IAL000000D9Di&e... 7/30/2019
ht t
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002760
EFTA_00150545
EFTA01284023

KYC Print Page 13 of 24
SONY_GM_00039937
Imps://dbforcepb.my.salesforcalNEIDEgriNTAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002761
EFTA_00150546
EFTA01284024

KYC Print Page 14 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all patties)
Individual's flanks: Date of Birth:
Country of Residence: Country of Citizenship
Has client reseed outside of
r/o HERR Associates.
lather country of nationality O yes I21N o
Address of Denaryr owe:
for 5 years or more?
Profession/Occupation: Tax ID I SSW:
Current Employer: Poston/TRW/Rant
Address of empbyer:
Does the person wadi as senior executive of a DB-recognized regulated entity in tlx: financial
ndustry? or an entity listed on a DELrecognised exchange? (Not applicable for operating entities Ova garb
Is the individual a Politically Exposed Person (PEPp(f Yes, describe) • Ye 10 No
To the best of your knowledge, is the Individual rebted to an employee of the DEs gnwpT(X • Family O Friendship El None
Fans* or Riendthip, describe)
To the best of your knowledge, k the Individual party to relationship vali No
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or serviCesr E3 yes El
(I Yes,descrtbe)
Indicate where and when the dent meeting(%) took place:
If applicable, waste which bank officers have met the person:
Bank Oflker Names) Bank Office: client Praia'. Client Place of Dow! l,.,.. .4 dyj D.:tr.
Domicile: Business:
O O O
• O O
• O •
O Wealth Details for this Individual are not fried in, because they are the same as for the blowing person:
38. Wealth Detalb (Only for parties requiring source of wealth desolation as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary bdusby of source of Wealth/Source of funds?
Summarize Source of Wealth: O Business Owner OSatery/Famings O Investment O Inheritance/Gifts O Other:
I urther Describe Source of Wealth metal the history of swath for each of the sources: (e.g. For Mists, how did senior accumulate swath? For inheritance. how
did family accumulate we,alth?For business anglers, how brig in usbess, how many employees, le el of profitability? Indicate type of business, countries of major
activities, important business partners.)
I violated Annual Inconie($): Estknated amount of investable assets(g):
Estimated Net Wort (ft Amount of assets planned to invest wth PWI4($):
Other Known 191180Cial InstautIons:
Ins-Minion: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the Iambi situation of the way sal (marital status, other tangly mentors, etc.):
SONY_GM_00039938
ps://dbforcepb.my.salesforcaNtaioagt,IAL000000D9Di&e... 7/30/2019
ht t
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002762
EFTA_00150547
EFTA01284025

KYC Print Page 15 of 24
SDNY_GM_00039939
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CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002763
EF1'A_00150548
EFTA01284026

KYC Print Page 16 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhb Stemma
3A. Individual Detslls (for all parties)
Individual's Name: Date of Birth:
Country of Residence: Country of Citizenship
Has client resded outside of
cio MINK Associates
hislher country of nationality O yes El No
Address of p ryrre sidence:
for 5 years or more?
Profession/Occupation: Tax ID I SSN:
Current Employer: Position/Tide/Rank:
Address et entbyer.
Does the person work as senor executive of a DB-recognized regulated entity in the financial
ndustry? or an entity listed on a DNrecognised exchange? (Not applicable for operating entitles Ova ga NO
Is the indrndual a Polak* Exposed Person (PEPppf Yes, describe) • Ye 10 No
To the best of your knowledge, is the Individual related to an employee of the fall gniupT(ar • Family O Fnendship El None
Fame/yew Mend:bap, describe)
To the best of your knowledge, k the individual party to a non-baSting relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier et goods or serviCesr E3 yes El No
(I Yes,descrt)
Indicate where and when the client meetlit(s) took place:
If applicable, telltale Minh bank officers have met the person:
Bank Officer Name(s) Bank Office: Clerk Client Place of Oth....f I 4, .. .4 a Ode.
Domicile: Business:
O O O
• O O
• O •
O Wealth Details for this Individual are rot filled in, because they are the same as for the blowing person:
38. Wealth Detaib (Only for parties requiring source of wealth desolation as Indicated in Sedlon 2)
Nature of the India:Nes Business:
Primary Country of source of wealth/source of Funds?
Primary odusby of source of Wealth/Sainte of Funds?
Surnmwtre Source of Wealth: O Business Owner OSalary/Eamings O Investment O Inheritance/Gifts O Other:
I urtlwr Detente Source of Wealth metal the history of swath for each of the sources: (e.g. For trusts, how did settler accumulate swath? For inheritance, how
did famly accumulate we,alUffor business anglers, how brig in Lobes, how many employees, level of profitability? Indicate type of business, countries of major
activities, important business partners)
I violated Annual Inconie($): Estimated amount of investable assets(g):
Estimated Net Wortb(g): Amount of assets planned to invest with PWI4($):
Other Known Filleleadi Institutions:
Instrtution: County: Est. Assets Under Mat:
Institution: County: Est. assets Under Mgt:
Institution: Country: Fst. Assets Under Mgt:
Please indicate the faint situation of the indtv col (marital status, ether family mentors, etc.):
SDNY_GM_00039940
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002764
EF'FA_00150549
EFTA01284027

KYC Print Page 17 of 24
I I
SDNY_GM_00039941
https://dbforeepb.my.salesforeCLINErilElFgAIIIIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002765
EFTA_00I 50550
EFTA01284028

KYC Print Page 18 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershb Stemma
3A. Individual Details (for all patties)
Indolduars Name: Harry Seller - 0000343720? Date of Birth: 5/9119%
Country of Residence: USA Country of °Wong*: USA
Has client resided outside of
0ra
his/her country of nationality O yeg, a
Address of primary residence:
for 5 years or mare'
ProfessbrgOccupatign: ACC011fildllt Tax ID/ SSN:
Current Employer: HBRK Associates, Inc PosboryTtle/Rank:
Address of emMoYer.
O ycs sa
Does the person work as senior executive of a DB-recognized regulated entity in tlx: financial No
ndustry? or an entity listed on a DB-recognised exchange' (Not applicable for operating entities
21No
Is the indMdual a Politkaly Exposed Person (PEPY(r/ Yes, describe) O Yes
To the best of your knowledge, is the Individual rested to an employee of the DB group?(, O Family • friendship El None
Fame), or Frieldship, describe)
To the best of your knowledge, is the Ind leklual patty to a non-banking relatignship WM 121No
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? • Yet
(/ Yes,detate)
Indicate where and when the dent meeting(s) took plate:
If applicable, Skate whkh bank officers have met the person:
Client Private Client Mace of
Bank Officer Name(%) Bank Office: Other Location (specify) Date:
['onions: Business:
O O O
• O •
• O O
L.]
Wealth DetaNs for tics MM.-Wiwi are not filed in, because they are the same as for the folcAving person:
3e. Wealth Detail, (Only for parties requiring source of wealth description as Indkated In Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summanre Source of Wealth: O Business Owner OSalary/Eamings O Investment O Inheritance/Gifts • Other:
i unher Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how
did fan* accumulate wealthTFor business owners, how long in business, how many employees, level of probability' Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Income(j) Estimated amount of investable assets(s):
[striated Net Worth($) Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: Country: Ed. Assets Under Mgt:
Institution: Country: Est. Assets Under Slot:
Institution: Country: Est. Assets Under Mgt:
Meese inditate the lOril`j sakotron of the individual (mental status, other family nximberS, etc.):
SDNY_GM_00034942
https://dbforeepb.my.salesforeCCINErilEatidiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002766
EFTA_OOI 50551
EFTA01284029

KYC Print Page 19 of 24
SDNY_GM_00034943
https://dbforeepb.my.salesforeCLINEIDEgrlardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002767
EFTA (H) 150552
EFTA01284030

KYC Print Page 20 of 24
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa
3A. Individual Details (for all parties)
Indwidual's Name: Erika Kellerhals - 00000499664 Date of Birth- 10/13/1974
Country of Residence: USA Country of CatitenshiP: USA
Has client resided outside of
Address of pnmary residence: hik/her country of nationality O Yes O No
for S years or more,
ProfessoniOssupation- Attorney Tax ID / SW
Current Employer: Keberhals Ferguson Kroblln PLLC Posbonfilie/Ranic
Address of employer:
2 ,40
Does the person work as senior executive of a DB-recognised regulated &tidy in the financial O va
Musty> or an entity listed on a DEPrecognsed exchange? (riot applicable for operating entries
2
Is the individual a Polnicalty Exposed Person (PEPr(f Yes, describe) • Ye No
To the best of your knowledge, is the individual related to an employee of the DB group,(d • Family O FnendsNp lone
Pan* or Friendthip, describe)
To the best of your knowledge, h the individual patty to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)' O Yes El No
(A Yes,desat)
Indicate where and when the Rent meeting(%) took place:
If applicable, nthcate Muth bank officers have met the person:
Bank Officer Name(s) Bank Office: CClliieenntt Private Client Place of I c, it si if ri.,i,i.
Domicile: Business:
O O O
• O O
• O •
0 Wealth Details for this individual are not thee in, because they are the same as for the Mowing person:
38. Wealth Details (Only for parties requiring source of wealth deselption as indkated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary indusby of source of Wealt/VSoufte of Funds?
Summarize Source of Wealth: OBusiness Owner OSalary/Famings O Investrnent O Inheritance/Gifts • Other:
further Describe Source of Weal, Metal the history of wealth for each of the sources: (e.g. For busts, haw did settler accumulate wealth? For inheritance, how
did fan* accumulate wealth?For business amens, how bng In tisktoss, how many employees, level of prontabiler Indicate type of business, counties of major
activities, important business partners.)
I united Annual Income($): Estimated amount of investable assets(3):
Tumated Net Worth($): Amount of assets planned to invest wth PW14(3):
Other Known Financial InstkutIons:
institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the lamly situation of the 'nary nal (marital status, other fanWy members, etc.):
SONY_GM_00039944
https://dbforcepb.my.salesforCCaNtaliardiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002768
EFTA_00150553
EFTA01284031

KYC Print Page 21 of 24
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entitles)
Legal Entity Na Butterfly Trust - 0000)486426
• FoundatIon/A.nociatkin RI Trust O Corrpany O Estate Private Investment O
Type of Entity Purpose of Entity:
• Partnership PhlaMhroplc/Charitabk OCorrirnenial
Purpose of Emily
Type of EnUty Other (specify):
Other (SpeCifY7
Country of USA Date of incorporation / 12/27/2006
incorpixation/regigratim regbtration:
Volcker Stand: Vokker Flag:
Address (city, street, post 6100 Red Hook Quarter 83 St, Thorned 00802 USVI U.S. TIN/EIN:
role):
Provide a description of the enters organizational structure, its ownership structure and its Top Management. For trusts/foundatkms, Mclude information about
revocadlity,settior and beneflamlessetc.:
Grantor: Jeffrey Epstein
Trustees: Darien K. Indyke, Richard Kahn
Please indicate how ownership of the legal entity is reflected: 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) GrantOr. Jeffrey Epstein
Trustees: Owen 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 services)?: yes O No RI
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: Trust account
Countries where business is transacted: USA, USVI
Hunter of errployees: N/A
30. Wealth Profile (Only for parties requiring source of wealth description as Indicated In Section 2)
Primary Country of source of wealth/source of Funds?
Printery industry of source of Wealth/source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assednlablities):
Trust account with Jeffrey Epstein as Grantor. Initial $100 given to the account to fund. The funds for this trust account come horn invesbnents made by Jeffrey
pstein. His wealth profile is filed out. The trust d for the benefit of the 6 named Individuals
Estimated gross receipts p.a.($):
Estimated net profit pa. (S):
Estimated investable assets (S): S5 JIM - 10 14M
Potential Amount to be kwested with WM ($): 9,500,000.00
Other Known Financial Institutions:
Institution: JPHorgan Country: USA EM. Assets Under Mgt: 9,500,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: EM. Assets Under Mgt:
SDNY_GM_00039945
https://dbforcepb.my.salesforeCCINErilDEgrlardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002769
EFTA_00150554
EFTA01284032

KYC Print Page 22 of 24
DB PWM GLOBAL KYC/NCA: US/LatAm/Intil PART B
Relatimshp Name EPSTEIN, JEFFREY RELATIONSHIP
Arsk Rating Comments:
Booking Center g NY Irv, 0Offshore IR° berate g High Risk iGwen Hill
/Offshore isk
(Compliance Signature)
• DO Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares
4. Attachment
A. Type of Photo ID Provided 74 Drivers License 0 Passport • Natkpal/State 10 • Other
8. Checklist of names (individuals and/or entities) that were submitted for database searches is attached ®Yes O No
C. Please ndicate the results of the database searches performed
RDC searches complete TA Ws O No negative results found )Yes ONo
PCR checks complete Ryes O No negative results found )Yes ONo
OFAC checks complete 2 Yes ONo negative results found O 'fa )No
BIS searches complete (lecisMexis, FaCtiva, Reuters, Dew /ones, D&B) 12 yes ONo negative results found )Yes O No
Denial Orders chmI t corrpkte ®Yes ONo negative results found • Yes Os
MarOndae-Hubbell searched (Lavryers/Law Ferns only) Oyes 21 No negative results found Dyes Ow
Please sunrnarize any negative results from the database searches Indicated above: BUTTERFLY TRUST:
Negative Media: All negative media pertains to a company called the Butterfly Trust in Europe This is not our client. Our client is an actual trust created by a
Grantor and not a company.
No court cases
JEFFREY EPSTEIN:
Previously approved KYC *:01082293 fli 01121718
MI negative media pertains to court cases sinich have been previously approved in the above mentioned KYCs.
Court Cases have been closed
HARRY SELLER:
No negative media
No court cases
ERIKA KRLERHALS:
No negative media
D. No court cases
GHLSIAINE MAXWELL:
No PCR or RDC alert
No PCR or RDC alerts
No PCR or ROC alerts
Attached Ali Clearance
Attached Mi. Clearance
No PCR or RDC Alert
E. To the best of you knowledge, has the client ever been convicted of a criminal offense? g Yes O No
F. O RN,
Yes
To the best of your 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 litigation against Deutsche
Bank AG or any of its subsidiaries' at Yes, pm. details bebn, andcontact QvaXy Mgt.
SDNY_GM_00039946
https://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002770
EFTA_00150555
EFTA01284033

KYC Print Page 23 of 24
(LatAinfint1) or b Regulabary Confrol Group and notify Compliance immediately)
Does the client or related party have any financial or other association / interactions within countries
G. or regimes sanctioned by the Office or Foreign Assets Control (CfAC)T O Yes El No
Does the client or related party have any financial or other association/ Interactians within high risk en
It. LJ Yes Pi No
I. Corporate Documentation Attached (Legal Entitles Only) ®Yes El No • Not Applicable
I. gni:leaned principal rum Complete (Intermediaries Only) O Yes • No ?PA Not Applicabk
K. If texts/Alexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English wrrrnary of the
nature/contents of the non-English Documentation:
I. Special Risk Factors
Does the account have Nexus to Special Rink Countrkss, O Yes Z No
Is the account structure unusually coneles7 O Yes rA No
cut
Is there any Indication the set up a non operating cOnlianY exiansfslY ri ON.
for the purpose of transferring shares to third parties? L..; yes
Is there any indkation this mold be a prohtrited business rdatiortshipt Dyes Ono
Are the bearer shares identified subject to acceptable controls' O Yes 121N o
SDNY_GM_00039947
Imps://dbforcepb.my.salesforCQUE1111Egi4rdiA10000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002771
EF1'A_00150556
EFTA01284034

KYC Print Page 24 of 24
M. Case Comments
No records to display.
ONSHORE APPROVALS
Client Facing Professional (CEP): Paul Morris 'Signature) 2/10/2015
Paul Morris
Office Director/Business Head: Kimberly Haft ,Signature) 2/10/2015
iCitiberly Hart
Regional Office Director: Signature)
AML Bushes Risk
(Sienattme)
Alit Compliance:
(S9nattre)
YCOIISUil (rung Yoonsun Chung 23112015
(own Hal Gwen Hill 2,111701S
LATAM/1NTERNATIONAL APPROVALS
Client Facing Professional (CFP) (Signature)
Account Manager: (Signature)
Global Market Team Head (GMTH)/Sub. (Signature)
Market Team Head (SM110:
AML Business Risk:
(Signature)
AK Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENTP OLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM)
worldwide is committed to professionally serve the interests ofi ts clients. To do so, Client Facing ProfessionalsI(I)
(CFP 's) should establish and maintain business relationships only with persons who sane 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 1 have no suspicions relating to the money laundering or unethical activities on
the part oft he client(s) and that I have followed all the procedures relating to account opening as described in the PIM
Americas Procedures and the PIM 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
SONY_GM_0003994 8
https://dbforcepb.my.salesforCCINEJIDEgrhiLIJIA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002772
EF1'A_00150557
EFTA01284035