EFTA01284048.pdf

KYC Print Page I of 12
DB PWM GLOBAL KYC/NCA: PART A
KYC Case a : 01346733 Status : 6. Approved
One sheet must be established per relationship - list all accounts Included in the relationship
1. Relationship Details
Relationship Name: SW-DERN FINANCIAL RELATIONSHIP. Booking Center: New Tort
Relationship Manager: Paul Monis
O New OWN Relabonship O Existing PWM Relabonship
Relabonship to PWM:
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile:
12I Client Referral • km Prospect O Intennedury/FIM O Other Source (CIEs etc.)
How Was the Client(s)
Introduced' How long has the
RN personally known the Please provide details (e.g. name of referral source, ow many years RN personally has know, cent, etc.): Jeffrey Epstein
client' (President of Gratitude America) is a current client of the bank
IR
Does Deutsche Bank pay a • Yis No
retrocession or simibr
compensation to a third party
for the introduction of MS gives, desaibel.
reiabonship,
List all xisting and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intendedJactual)
Account(s)
e
1 Gratitude Amend, Ltd 2/18/2015
2 2 Gratitude America, Ltd 2/18/2015
Who Is the pnmary contact
person for the RH' (Note:
Preferred method of contact
This person needs to have Dairen Indyke
(ndicate phone no., fax no.,
signatory rights and/or
e-mail address, etc.):
information right for the
accounts.):
SDNV_GM_00039961
https://dbforcepb.my.salTesOfoF rCECDIR.N B. CIDRaIiMLIPJ. I.A 6L(e00) 0000D9Di&e... D7B/3-0S/2D01N9Y -0002785
CONFIDENTIAL - PURSUANT
Erl'A_00150570
EFTA01284048

KYC Print Page 2 of 12
One sheet must be established for each account to be
2. Actors* Ownership Summary
Account Name: Gratitude America, Ltd Acct. Number (twastire):
Account Manager: Paul Morris
What is the purposed the account (e.g. portfolio management, advisory account, custody services, longterm investment, paymenbexpense account)' Money
market account to hold funds and earn interest
Indicate from where the assets are expected to arrive'
2
DB Group: Same Booking Center (indicate account number): DB
O DB Group: Other Booking Center (Indicate DB location and account details):
• Other Institution - (Indicate name & location):
O physical Deports (Specify cash, securties, cheques, ...):
What is the expected size and frequency of regular inflows and outflows fa the account (Indicate estimated number and volume per month)': Roughly 1-3
infbws and outflows per month ranging from $10,000 to $100,000
I Currency I USD
What is the expected volume of assets and currency for the account approx. 90 days after opening' I 10C.3®
What Is the expected volume of assets and currency for the account approx. one year after opening? I 100°CCI I Currency I USD
Doeshsrill the client have Assets Under Management (AuM) within C6 under Eur. 3M' U Yes E No
Please list aN parties related to the account.
For each party:
• Check if a source of wealth description 6 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 parWs relation to the account in the "Other column.
• Always descnbe the relationship between the parties in the last olumn.
• Please dnt down to the ultimate/underlying Beneficial Owner(s).
_egal5eunpbon AccountPIC Settler d Jkirnate Signatory JnatedRnancial Significant -egal Grantor/Sethorfounding
Enbtrof Source Molder Owner Trust/ Benefit al or Full ?OA IntermediaryShareholderaitepresentabve Donor
of Wealth Founder of Dwner POA (EDI) (>=25%)
required Foundation taca-PIC
entity
Parties (indicate
related to ownership
this Sb)
account
~R~
~~
~0~
• O
1 CI CI W Da h rr i e n n r '— i ' • 2 O O O O •
2 063 Jeffry, r — i ED 0 U U 0 0 q
Epstein
• O
Graafia
2 21 Ea Amerka nL'--' O • O O O O O
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CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002786
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EFTA01284049

KYC Print Page 3 of 12
2 Account Ownership Summary
Account Name: Gratitude America, Ltd I Acct. Number (davadatt):
Account Manager: Paul Mans
What is the purposed the account (e.g. pordolio management advisory account, custody services, long-term investment, payment/expense
account)'' Checking account to deal with the day-to-day running of the foundation
Indicate from where the assets are expected to arrive>
10 DB Group: Same Booking Center (indicate account number): CO3
0 DB Group: Other Booking Center (indicate DB location and account defies):
• Other Institution - (Indicate name & location):
0 Physical Deposes (specify cash, saurties, cheques, ...):
What is the expected size and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)? Roughly 10-20
mfbws and outflows per month ranging from $10,000 to $100,000
1 100000 'Cunene), I USD
What is the expected volume d assets and currency fa the account approx. 90 days after opening'
I Currency
What is the expected volume ii asset and currency for the account approx. one year after opening' I 1°°°°° I US°
OcesMIN the client have Assets Under Management (AuM) within CO under Eur. 311' O Yes g No
Please list all parties related to the account.
For each party:
• Check Ile source of wealth deuriptbn is required for the arty.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
-other
• fun of the check boxes apply, describe the party's relation to the account in the column.
• Mays describe the relationship between the parties In the last olumn.
• Please drill down to the ultimate/underlying Beneficial Owner(s)
_eganeunpbcn AccountFIC Settior et /Renate Signatory -need Financial Sagmfxant _egal Grantor/Sedkrfounclung 3ther
Enbtpf Source Holder Owner Trust / kneficialor all >OA IntermediaryShareholderstepresentative Donor (please
of Wealth Founder of Owner POA (FIN) (>=25%) iesalbe
equired Foundation Non-PIC other roles
Nifty and/or
Parties (indicate ndicate
related to ownership relationship
this %) between
account Narks)
O
1 O O I D nd a y r r keen 1r—-i' O O A O O O • a
2 D a E J p ef s f te re in y t ri -. I O q O D O DD O O O
3 2 5 A G m r e a r t ic it a u de k i a r • • • 0 • • 0 • •
SONY_GM_00039963
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002787
EFTA_00I 50572
EFTA01284050

KYC Print Page 4 of 12
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Indhnduars Name: Jeffrey Epstein - Date of Bath: 1/20/1953
county of Residence: USVI Country of Citizenship: USA
Has dent reskled outside of
tote Saint James Saint Thomas 00802 US Virgin Islands his/her county of nationality Dyes ®no
Address of primary residence:
for 5 years or more?
PicifessioniOccupation: Self Empotyed Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Tee/Rank: President
Address of employer: 6100 Red Hook Quarter F13 St Thomas USVI 00802
Does the person work as senior executive of a DO-recognized regulated entity In the financial ri __ ce
ndustry' or an enbty listed on a CO-recognised exchange, (Not applicable for operating entities i--i Yes lz-I No
0
Is the individual a Politically Exposed Person (PEP)'(d Yes, de cube) InYes No
To the best of your knowledge, is the individual related to an employee of the DO group'(if [3 Family 0 Friendship 'TA None
rsfrub, or FnencWsp, describe)
T D o e u th ts e c h b e e s B t a o n f k y ( o e u .g r . k , n e o x w te l r e n d a g l e l , e i g s a t l h c e o u in n d s i e v l i , d c u l a i l e n p t a r r t e y fe t r o ra a l s n o a u v r l c a e n , k su in p g p l r e e r l a o t f io g n o s o h d ip s w or i th O Yes J No
servkes)?(d Yes,describe)
If applicable, indicate which bank officers have met the Indicate where and when the dent meebng(s) took place:
Person:
Client Private Client Place of
Bank Officer Names) Bank Office: Other Location (specify): Date:
Domicile: Business:
Paul Morris El • 0 2/4/2015
1-1 O
:.....: O
O iii O
0Wealth Details for this indwklual are not filled in, because they are the same as for the following person:
38. wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individuals Business: Private lii.vab,s.nb
Primary Country of source of wealth/soutce of Funds'
Primary indusby of source of Wealth/Source of Funds'
n
Summarize Source of Wealth: Vi Business Owner U Salarygamings 0Investment O Inheritance/Gets 00ther:
Further Describe Source of Wealth /Detail the history of wealth or each of the wawa: (e.g. For trusts, how did settor accumulate wealth, For Inheritance,
how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitatilty? Indicate type of business, countries
of mayor activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partneri n
1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets d clients with more than a billion in net worth. In
19%, Epstein changed the name of his firm to The Financial Trust Company and based It on the island of St Thomas in the US Virgin Islands. All of hi clients
were anonymous except for the very wealthy businessman Leslie Wexner. /Os wealth has come from his days at Bear Steams and his financial management
firms
Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): 550 WI • 100 MM
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to nest with PWM(S):
Other Known Financial Institutions:
Insbbibon: C43 Country: USA Est Assets Under Mgt: 330,000,000.00
SONY_GM_00039964
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002788
EFTA_00I 50573
EFTA01284051

KYC Print Page 5 of 12
Institution: Counby: Est. Assets Under ?Nt:
Institution: COUntly Est Assets Under INt
Pease indicate the family situation of the individual (marital status, other family members, etc.):
SDNY_GM_00039965
Imps://dbforcepb.my.salesforcCLINE110FerhiltiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002789
EF'FA_00150574
EFTA01284052

KYC Print Page 6 of 12
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summary
3A. Individual Details (for al parties)
Individual's Name: Darren Indyke Date of Birth: 2/19/1965
County of Residence: USA Country d Citizenship: USA
Has dent resided outside of
Address of primary residence: 2 Kean Court Lrvingston N) 07039 USA his/her country of nationality O Yes WI No
for 5 years or more'
ProfessioniOccupation: Lawyer Tax ID / 5511:
Current Employer: Southern Financial LIC PoritiOniTIOe/Rank
Address of employer: 575 lodngton Avenue, 4th Fl Livingston NY USA 10022
Does the person work as senior executive of a DB-recognized regulated entity In the financial n
ndustry' or an entity listed on D8-recognised exchange? (Not applicable for operating entitles Yes ONO
0
Is the individual a Polbcally Exposed Person (PEP)'(# Yes, describe) afes No
To the best of your knowledge, is the individual related to an employee of the D8 group(d Ollamlly O Friendship EA None
Fart or Friendship, desmbe)
To the best of your knowledge, is the individual party to a non-banking relationship with Ono
Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or OYes
servkes)'( tf Yesiesodfre I
If applicable, indicate which bank officers have met the Indicate where and when the c rent meeting(s) took place:
person:
Client Private Client Place of
Bank Officer Name(s) Bank Offke: Other Location (specify). Date:
Domidk: Business:
• • O
O O O
ri O O
O Wealth Details for this individual are not filled in, because they are the same as for the fdlowing person:
38. Wealth Details (Only for parties requiring source of vreakh 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 Weath/Source d Funds>
Summarize Source of Weath: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts 00ther:
Further Describe Source of Wealth /Detail the history of wealth or each el the scums: (e.g. For trusts, how did settSor accumulate weami' For inheritance,
how did ferrety accumulate wealth?For business owners, how long in business, how many employees, level of profltatelty? Indicate type of business, countries
of major activities, important business partners.)
Estimated Annual Income($): Estimated amount d Investable assets($):
Estimated Net Worth(S): Amount of assets planned to invest with PWN($):
Other Known Financial Institutions:
IndtbAion: Country: Est. Assets Under Mgt:
Institution: Country: Est Assets Under 14qt:
Institution: Counby. Est Assets Under Mgt.
SONY_GM_00039966
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ht t
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002790
EF'FA_00150575
EFTA01284053

KYC Print Page 7 of 12
I I I I
Please indicate the family situation of the individual (marital status, other family members, etc.):
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For at Legal Entities)
Legal Entity Name: Gratitude America
21F oundation/Association
O Trust O Company O Estate
O Private Investrnent EA
Type of Entity Purpose of Entity: El
O Philanthropic/Charitable
Partnership
ommercial
Purpose of Emory
of Entity Other (specify)
Other (specify)':
Date of
Country of USVI 4/25/2012
incorporati on i
incaporabon/registrabon
registration:
Volcker Stain: Volcker Rag:
Address (city, street, post 6100 Red Hook Quarter, 63 St. Thomas 00302 USVI US. TINAIN:
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trustsfioundabons, include nformanon about
revocability,settlor and beneficiaries,etc.:
501(c)3 foundation. Jeffrey Epstein is president, Darya, Indyke is treasurer and Erika Kellerhals is Secretary
Please indicate how ownership of the legal entity is reflected: 50t(c)3 foundation. Jeffrey Epstein is president, Darren Indyke s treasurer and Erika Kellerhals
is Secretary
O Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the Erect owner of the entity to the ultimate beneficial owner (ifn ot the same persons). 931(c)3 foundation. Jeffrey Epstein is
president, Darren Indyke rs treasurer and Erika Kellerhals is Secretary
To the best of your knowledge, s the entry party to a non-banking relationship with Deutsche
Bank (e.g. external legal counsel, client referral source, supplier of goods or services)? Yes O No
Describe Nature of Entity's Primary Business and Investment Activities
The foundation has not yet started distributing funds and is still determining what endeavors
Mature of the business: they will support. They hope to support a broad range of efforts including, but not limited to,
,education, science, research, etc.
Countries where business is transacted: USA, USVI
Number of employees: 3
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds'
Primary industry of source of Weath/Source of Funds'
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/lialMities):
The foundation Is to be funded by Jeffrey Epstein
Estimated gross receipts p.a.(5):
Estimated net profit PA. (5):
Estimated investable assets (5): 52 MM - 5 MM
Potential Amount to be invested with PWM (5): 200.000 00
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Asses Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SONY_GM_00039967
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002791
EF1'A_00150576
EFTA01284054

KYC Print Page 8 of 12
SONY_GM_00039968
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002792
EFTA_00150577
EFTA01284055

KYC Print Page 9 of 12
DB PWM GLOBAL KYC/NCA: US/LatAm/Inti PART B rA
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
e
•
Booking Center NY E Offshore El Moderate E High Risk voonsun Chung
NY/Offshore Risk
(Compliance Signature)
• DB Employee 1:1 C43 Managed PIC O DB is Trustee/Co-Trustee • Bearer Shares
4. Attachments
A. Type of Photo ID Provided 0Drivers License OP/aped ONallenal/State ID OOther
Checklist of names (Individuals and/or entities) that were submitted for database searches Is
B. attached ®Yes O No
C. Please Indicate the results of the database searches performed
RDC searches complete El Yes O No negative results land Mt El No
PCR checks complete 0 yes ON* negative results found Ova No
MC checks complete Ores O No negative results found Ores No
BIS Searches complete (Lecis/Nexis, Factiva, Reuters, Dow Jones, MB) 0 yes O No negative results found Ova 0 No
Denial Orders checks complete 0 Yes O No negative results found Oro FA No
Martindale-Hubbell searched (Lawyers/law RIMS only) Ora EN* negative results found Ova O No
Please summarize any negative results from the database searches indicated above: GRATITUDE AMERICA:
No negative media
No court cases
DARREN INDYKE:
D. Negative media mmeennttiioonnsshis name as an owner of a bulking. The negative media is not about him individually but about the others mentioned.
No court cases
JEFFREY EPSTEIN:
Previously approved KYC x:01082293 & 01121718
AI negabve thecae pertains to court cases which have been previously approved in the above menboned KYCs.
Court Cases have been closed
E. To the best of your know/edge, has the client ever been convicted of a criminal offense? IZ Yes • No
To the best of your knohadge, has the customer ever been involved in any past litigation against
Deutsche Bank AG or any of its subsidiaries a is the customer threatening litigation against
F.
Deutsche Bank AG or any of its subsidiaries' (lf Yes, p-avree details baba and contact Qualay Mgt.° Yes 2 No
(LaC4'n4nll) or the Regulatory Control Corms andI nobly Compliance immerastely)
Does the client or related party have any financial or other itSteab011 / Interactions within
G. countriesor regimes sanctioned by the Office of Foreign Assets Control (OFACP ■• Yes 2 No
H. Does the client or related party have any fnancial 04 other association/ interactions within high risk Dyes 2 No
countries?
I. Corporate Documentation Attached (Legal Entitles Only) El Yes O No ONot Applicable
J. Undisclosed Principal ram Complete (Intermediaries Only) O Yes O No ®Not Applicable
K. If Leas/Nals Search Results, Corporate Documents or Other Supporting Documentation S not In English, please provide an English summary of the
nature/contents of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries' Ora ENO
Is the account structure unusually complex' EN,
Ores
SONY_GM_00039969
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EFTA01284056

KYC Print Page 10 of 12
Is there any indication the client set up a non operating company expressly
for the purpose of transferring shares to third pat' 0 Yes g No
Is there any indication this could be a prohibited business relationship' O Yes No
Me the bearer shares Identified subject to acceptable controls' q Yes E No
SDNY_GM_00039970
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002794
EFTA_00I 50579
EFTA01284057

KYC Print Page 11 of 12
M. Cate Comments
tb reoxds ki display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 2 24 :015
Paul Monk
Office Director/Business Head: Kimberly Hart (Signature) '..26.'015
Kimberly Hart
Regional Office Director (Signature)
APIL Business Risk:
(Signature)
AML Camplw.ce
(Signature)
G. Hal oib/o M. Crawford G. PH orb/o M. Crawford 2/27/2015
Yoonsun Chung Yoonsun Chung 2/27/2015
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTM)/Sub-Market Team Head
(SMTH):
ANL Business RiSk:
(Signature)
ab. atnpliance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management
(NM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing
Professionals1(1) (CFP '5) should establish and maintain business relationships only with persons who satisfi, our high
standards ofsuitabili0i, background and character. Due diligence obtained on the client must be appropriately
documentedb y the CFP. It is the responsibility ofCFP's to demonstrate that they biow their client both at the
inception ofa relationship and on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above
information is correct and up to date. I confirm that i have no suspicions relating to the money laundering or unethical
activities on the part oft he client(s) and that I have followed all the procedures relating to account opening as
described in the PWMA mericas Procedures and the PWM Global KYC Policy
(I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers,
Client Managers, etc.
Deutsche Bank Americas New York
SDNY_GM_00039971
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KYC Print Page 12 of 12
SDNY_GM_00039972
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EFTA_00I 50581
EFTA01284059