EFTA01295555.pdf

KYC Print Page 1 of 13
DB PWM GLOBAL KYC/NCA: PART A
KYC Case # : 01346733 Status 6. Approved
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York
Relationship Manager: Paul Morris
F New PWM Relationship F Existing PWM Relationship
Relationship to PWM:
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old
profile:
F r-
P. Client Referral RM Prospect F Intermediary/FIM Other Source (06, etc.)
How Was the Client(s)
Introduced? How long has
the RM personally known Please provide details (e.g. name of referral source, how many years RM personally has known client,
the client? etc.): Jeffrey Epstein (President of Gratitude America) is a current client of the Dank
F Yes F No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the Introduction (lf Yes, descnbe)
of this relationship?
List all existing and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
I F Gratitude America, Ltd 2/18/2015
2 F Gratitude America, Ltd 2/18/2015
Who Is the pnmary ontact
person for the RM? (Note: Preferred method of
This person needs to have Darren Indyke contact(indicate phone 212 971 1314
signatory rights and/or no., fax no., email
information right for the address, etc.):
accounts.):
SDNY_GM_00056712
Imps://dbforeepb.iny.salesforcectAkisPinetTIKOL130000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PUR SUANT TO FED. R RoeP.I3M ' DB-SONY-0019536
EFTA _00167282
EFTA01295555

KYC Print Page 2 of 13
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Gratitude America, Ltd Acct. Number (if available):
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Money market account to hold funds and earn interest
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number): DB
F DB Group: Other Booking Center (indicate DB location and account details):
r
Other Institution — (Indicate name & location):
F Physical Deposits (specify Cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 1-3 inflows and outflows per month ranging from $10,000 to $100,000
What is the expected volume of assets and currency for 100000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100000 Currency USD
the account approx. one year after opening?
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 party's relation to the account in the 'Other column.
• Abney describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
legal Description AccoureIC Settlor of Ultimate Signatory..imitedFnancial Significant
Entitynf Source Holder OwnerTrust / Beneficraor Full POA ntermediary6harehoider
of Wealth =cinder of Owner POA ,FIM) K>=25%)
required l'ouridabon Non-piC Other (please
entity describe other roles
(indicate and/or indicate
parties related to ownership relationship between
s account %) parties)
1 F F Darren Indyke F F F F F F F
2 F F Jeffrey Epstein F F F F F F F
3 F F Gratitude America F F F r r r r
SDNY_GM_00056713
Intps://dbforcepb.my.saleRsforeeceeNbasPICetopAt130000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PUR SUANT TO FED. ReP.a(b) I DB-SONY-0019537
EFTA_0016 7283
EFTA01295556

KYC Print Page 3 of 13
2. Account Ownership Summary
Account Name: Gratitude America, Ltd Acct. Number (if available).
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio 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?
F DB Group: Same Booking Center (indicate account number): DB
7 DB Group: Other Booking Center (indicate DB location and account details):
F Other Insbtubon - (Indicate name & location):
7 Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 10-20 inflows and outflows per month ranging from $10,000 to $100,000
What is the expected volume of assets and currency for 100000 Currency LSD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each patty:
• 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 party's relation to the account in the 'Other column.
• Abney describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPlC Settior of Ultimate Signatory_imitedflnancial Significant
Entityof Source Holder OwnerTrust / Benefit:100r Full POA Intermediary6harehoider
of Weakh Founder of Owner POA (FIM) (>-25%)
required Foundation Non-pic Other (please
entity describe other roles
(indicate and/or indicate
parties related to ownership relationship between
s account %) parties)
1 7 F Darren Indyke r r r F F F F
2 r F Jeffrey Epstein F r F F F r r
3 F F Gratitude Amenca F r r F F F F
SDNY_GM_00056714
Intps://dbforeepb.my.salesforeecrhasPIDEopei30000000D9Di&ei... 7/3/2015
CONFIDENTIAL — PURSUANT TO FED. R. ItorP. ' DB-SDNY-0019538
EFTA 00167284
EFTA01295557

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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)
Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953
Country of Residence: USVI Country of Citizenship: USA
Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands
residence:
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Financial 11C Position/fide/Rank: President
Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802
F Yes 17 No
Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(If Family or Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship
r Yes Fo No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of
goods or services)?(if Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Chent Private Client Place
Bank Officer Name(s) Bank Office: Domi cile: of Businez: Other Location (specify): Date:
Paul moms r r F 2/4/2015
F r r
F r r
r Wealth Details for this individual 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 Individual's Business: Private investments
17 Business Owner F Salary/Eamings 7 Investment r— Inheritance/Gifts
Summarize Source of Wealth:
r— Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ?rugs, how did settlor accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, 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 of theft with more than a billion in net worth. In 1996, 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 his clients were anonymous except for the very wealthy
businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms
Estimated Annual Income
10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM
4):
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s):
Other Known Financial Institutions:
SDNY_GM_00056715
Intps://dbforeepb.my.salesforeectlbasPintENopp 14/0L130000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PUR SU ANT TOFED. R. IToeP. DB-SDNY-00 19539
EFTA_00I 67285
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Institution: De Country: USA Est. Assets Under Mgt: 330,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
SDNY_GM_00056716
littps://dbforeepb.my.salesforeecr OPIDETIAL130000000D9Di&ei... 7/3/2015
CONFIDENTIAL — PURSUANT TO FED. R. Itot!PAN ' DB-SDNY-00 19540
EFTA (()167286
EFTA01295559

KYC Print Page 6 of B
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (fix all parties)
Individual's Name: Darren Indyke - 0001)0486405 Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Address of primary
residence:
Profession/Occupation: Lawyer Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Tide/Rank:
Address of employer: 575 Lexington Avenue, 4th Fl Livingston NY USA 10022
F Yes 17 No
Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(If Family or Friendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r- Yes t'—o No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of '
goods or services)?(if Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Client Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
r r r
r r
r
F r r
F Wealth Details for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts
Summarize Source of Wealth:
F Cther:
Further Describe Source of Wealth /Detail the history of vealth 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 employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets(S):
($):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Instihmon: I 1Country: I I Est. Assets Under Mgt:
SDNY_GM_00056717
Imps://dbforcepb.my.salesFfEorDc.e RctAlbasPIDENTIAL30000000D9Di&ei
CONFIDENTIAL — PURSUANT TO Iliot!P. tb) ' DB-SDNY-0019541
EFTA_00I 67287
EFTA01295560

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'
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
SDNY_GM_00056718
littps://dbforcepb.tny.salesforeeceeNORDIENTIKOL130000000D9Di&ei... 7/3/2015
CONFIDENTIAL — PURSUANT TO FED. R. att. BM I DB-SDNY-00 19542
EFTA_00I 67288
EFTA01295561

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One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Gratitude America - 00000499760
F Private Investment
F Foundation/Association r Trust r Company
Type of Entity: Purpose of Entity: F Philanthropic/Charitable
F Estate F Partnership
r Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USVI 4/25/2012
incorporabon /
incorporation/registration:
registration:
Address (city, street, post 6100 Red Hook Quarter, B3 St. Thomas 00802 USVI U.S. TIN/E1N: 66-0789697
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocatil ty,settlor and beneficiaries,etc.:
501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer and Erika Kellerhals is Secretary
Please indicate how ownership of the legal entity is reflected: 501(c)3 foundation. Jeffrey Epstein is president, Darren Indyke is treasurer
and Erika Kellerhals is Secretary
F Special attention: Bearer Shares - Indicate where shares are custodied:
Desaibe the chain from the direct owner of the entity to the ukimate beneficial owner (ifn ot the same persons). 501(c)3 foundation.
Jeffrey Epstein S president, Darren Indyke is treasurer and Erika Kellerhals is Secretary
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, supplier of goods yes F No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
The foundation has not yet started distributing funds and is still determining what
Nature of the business: endeavors 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)
Provide Evidence of Corporate Assets (e g balance sheet or equivalent summary of assets/liabilities):
The foundation is to be funded by Jeffrey Epstein
Estimated gross receipts p.a.($):
Estimated net profit p.a. ($):
Estimated investable assets (5): 52 MM - 5 MM
Potenbal Amount to be invested with PWM (5): 200,000.00
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00056719
Intps://dbforeepb.my.salesforce.ctAlbasPlEettpA0L130000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PUR SUANT TO FED. R ItorP. DB-SONY-0019543
EFTA_00I 67289
EFTA01295562

KYC Print Page 9 of 13
SDNY_GM_00056720
http://dbforcepb.my.salesforce.aA N30000000D9Di&ei.•• 7/3/2015
CONFIDENTIAL - PURSUANT TO FED. R.15ReasCOEN31181/41- DB-SDNY-0019544
EFTA_00167290
EFTA01295563

KYC Print Page 10 of 13
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
elationship Name SOUTHERN FINANCIAL RELATIONSHIP
long Center F NY F NY/Offshore F Offshore si— k Moderate F High Risk Yoonsun Chung
(Compliance Signature)
7 D8 Employee F DB Managed PIC 7 DB is Trustee/Co-Trustee F Bearer Shares
4. Attachments
A. Type of Photo ID Provided F Drivers License F Passport F National/State ID 7 Other
Checklist of names (individuals and/or entitles) that were submitted for database
B. F Yes F No
searches s attached
C. Please indicate the results of the database searches performed
r-
RDC searches complete F Yes F No negative results found Yes F NO
PCR checks complete F yes F No negative results found E yes F No
OFAC checks complete F Yes 7 No negative results found F resF NO
r-
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes No
D82) negative results found F Yes F No
r r
Denial Orders checks complete F Yes No negative results found Yes I3 NO
Martindale-Hubbell searched (Lawyers/Law Firms only) F Yes F No negative results found F yes F No
Please summarize any negative results from the database searches indicated above: GRATITUDE AMERICA:
No negative media
No court cases
DARREN INDYKE:
Negative media mentions his name as an owner of a building. The negative media is not about him individually but about the others
D. mentioned.
No court cases
JEFFREY EPSTEIN:
Previously approved KYC 0:01082293 & 01121718
All negative media pertains to court cases which have been previously approved in the above mentioned KYCs.
Court Cases have been closed
E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? F Yes F No
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
F. threatening litigation against Deutsche Bank AG or any of Its subsidianes? (If Yes, F Yes F No
provide details below and contact Quality Mgt (tat4m/Intl) or be Regulatory Control
Group and notify Compliance immediately)
Does the client or related party have any financial or other association / interactions r.— yes F No
G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? '
„. Does the client or related party have any financial or other association/ interactions r- yes F No
" within high risk counties?
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Appiicable
SDNY_GM_00056721
Imps://dbforcepb.my.salesforeecrisPIDENorKts130000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PURSUANT TO FED. R. ItorP. kb) ' DB-SDNY-0019545
EFTA_00167291
EFTA01295564

KYC Print Page II of 13
r
1 Undisclosed Principal Form Complete (Intermediaries Only) Yes F.' No 17 Not Applicable
K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English
summary of the nature/content of the non-English Documentation:
SDNY_GM_00056722
littps://dbforeepb.my.salesforeeceNORIDETIKOLs130000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PURSUANT TO FED. R. RoeP. ' DB-SDNY-00 19546
EFTA ((1167292
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KYC Print Page 12 of 13
M. Case Comments
/4o records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 2/24/2015
Paul Morris
Office Director/Business Head: Kimberly Hart (Signature) 2/26/2015
Kimberly Hart
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
G. Hill o/b/o M. Crawford G. Hell o/b/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)
(GMTH)/Sub-Market Team Head
(St4TH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
PR/ VATE WEALTH MANAGEMENT POLICY STATEMENT: Ikuische Hank Private Weahh
SDNY_GM_00056723
Intps://dbforeepb.my.salesforeeceeNORDIENTIKOL130000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PUR SU ANT TO FED. R ItorP.B(b) I DB-SDNY-00 19547
EFTA_OOI 67293
EFTA01295566

KYC Print Page 13 of 13
Management (PWM) worldwide is committed top rofessionally serve the interests ofi ts clients. To do so,
Client Facing ProfessionalsI(I) (CFP's) should establish andm aintain business relationships only with
persons who satisfy our high standards ofs uitability, 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. I confirm that I have no suspicions relating to the money
laundering or unethical activities on the part of the chent(s) and that I have followeda ll the procedures
relating to account opening as described in the PWM Americas Procedures and the PWM GlobalK YC
Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product
Officers, Brokers. Client Mongers, etc.
Deutsche Bank Americas New York
SDNY_GM_00056724
https://dbforcepb.my salesforce.caA N30000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PURSUANT TO FED. R.VRIffeltirEPE DB-SDNY-0019548
EFTA_00167294
EFTA01295567