EFTA01297577.pdf

KYC Print Page I of 17
DB PWM GLOBAL KYC/NCA: PART A
KYC Case # : 01704382 Status : 6. Approved
One sheet must be established relationshi - list all accounts included in the relationshi
1. Relationship Details
I
SOUTHERN FINANCIAL
Relationship Name: Booking Center: New York
RELATIONSHIP:000004832SO
Relationship Manager: Stewart OldfieId
El New PWM Relationship R Existing PWM Relationship
Relationship to PWM:
If existing, please indicate since when the relationship exists, provide reason for new profile and attach
old profile:
Li Client Referral O RM Prospect O Intermediary/FIM Li Other Source (Cm, etc.)
How Was the Client(s)
Introduced? How long Please provide details e.g. name of referra source, how many years RM personally has known client,
has the RM personally etc.): Jeffrey Epsten President of Gratitude America) is a current client of the bank. He and Darren
known the client? Indyke reached out to Stew Oldfield on 12/23/2016 to open a checking account for Its newest entity,
Prytanee LLC
Does Deutsche Bank pay Ell Yes I W No
a retrocession or similar
compensation to a third
party for the introduction (If yes, desenbo
of this relationship?
List all existing and new accounts involved in this relationship
1
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 R Prytanee, LLC - Deposit 1/6/2017
Who is the primary
contact person for the Preferred method of
RM? (Note: This person Darren Indyke contact(indicate phone
needs to have signatory no., fax no., e-mail
rights and/or information address, etc.):
right for the accounts.):
SDNY_GM_00060918
https://dbforcepb.my.salesforce o rtietriS epclifirtfAtl N30000000D9Di... 5/23/2018
CONFIDENTIAL — PURSUANT TO FED. 0B-SDNY-0023743
EFTA_0017I430
EFTA01297577

KYC Print Page 2 of 17
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Prytanee, LLC - Deposit Acct. Number (if available):
Account Manager: stewart oldfleld
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? the purpose of this account is to managing the monthly expenses of the company
Indicate from where the assets are expected to arrive?
SA DB Group: Same Booking Center (indicate account number): 35269691
[1 DB Group: Other Booking Center (indicate DB location and account details):
0 Other Institution - (Indicate name & location):
0 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)?: 0-5 inflows/outflows between 100k to 500k on a monthly basis
What is the expected volume of assets and currency for the account approx. SO 1000000 I Currency I usd
days after opening?
What is the expected volume of assets and currency for the account approx. 1000000 I Currency I usd
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 patty 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.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
..egal Description AccountPIC Settlor of Jltimate Signatory _imitedr-inancial Significant
Iintitytif Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder
of Wealth Founder of Owner DOA (FIM) (>=25%) Other (please
required Foundation Non-PIC describe other
entity roles and/or
Parties (indicate ndicate
related to ownership relationship
this account %) between patties)
LPLrCytanee, r [--,
1 EA & Ri. 0 0 0 0
Southern
2 R. M C Tr o u m st p any, E E --- - l ' El q 0 0 0 50
Inc.
Nee Pierre L i i. i-
3 2
st
L!. IS 0 0 0 so
sole shareholder
of Southern Trust
Company,
Jeffrey q q nc.;UBO of
4 0 R Epstein 0 0 0 2 2 0 0 Southern Trust
Company, Inc.
which owns 50%
of account holder;
Ddykarren 0 0 0
5 0 0 • 2 0
In e
Grantor/Trustee
of The Pierre
Caroline
TruSt;Grantor/UBO
Sophi e
6 D & Camil le 0 0 0 2 2 0 O o w f h T ic h h e o P w ie n r s r e 5 T 0 r % us t
Lang
of the account
holder;
atifri rAt
SDNY_GM_00060919
https://dbforcepb.my.salesforce tio N30000000D9Di 5/23/2018
CONFIDENTIAL — PURSUANT TO FED. DB-SDNY-0023744
EFTA_00171431
EFTA01297578

KYC Print Page 3 of 17
I I I
BP7inere admnnTt ean PP lo IR ID
loop Eept irmt SONY_GM_00060920
https://dbforcepb.my.salesforce o N30000000D9Di... 5/23/2018
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0023745
EFTA_00171432
EFTA01297579

KYC Print Page 4 of 17
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 Obzenship: USA
utte
Address of primary Saint James Saint Thomas 00802
residence:
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Financial LIG Position/Tide/Rank: President
Address of employer: 6100 Red Hook Quarter B3 St. Thomas United States 00802
Is the individual a Politically Exposed Person (PEP)?(// Yes desente) Oyes R No
To the best of your knowledge, is the individual related to an employee of the O Family O Friendship R None
DB group?(ifF amily or Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking
R
relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes NO
source, supplier of goods or services)?(if Ye4desenbe)
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
diem Place
Bank Officer Name(s) Bank Office: Private Other Location (specify): Date:
of Business:
Domicile:
---, n ii
c
"J O
O O L.J
r--,
Li Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
Eli
Business Owner 1.1S alary/Eamings II Investment O Inheritance/Gifts
Summarize Source of Wealth:
L_) Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate
wealth? For inheritance, how did family accumulate 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 Steams and became a partneri n 1980. In 1982, Epstein founded his own financial
management firm, 3. Epstein & Co., managing the assets of clients 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 his days at Bear
Stearns and his financial management firms
Estimated Annual Income
10,000,000.00 Estimated amount of investable assets(g): S50 MM - 100 MM
(S):
Estimated Net Worth($): 5500 MM + Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
EttwAti SDNY_GM_00060921
W)
https://dbforcepb.my.salesforce N30000000D9Di 5/23/2018
CONFIDENTIAL — PURSUANT TO FED. OB-SDNY-0023746
EFTA _00171433
EFTA01297580

KYC Print Page 5 of 17
Institution: Country:
Est. Assets Under Mgt:
Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
oi SDNY_GPil_00060922
Imps://dbforceph my.salesforcerhatatp
taDENTIN_
N30000000D9Di 5/23/2018
CONFIDENTIAL - PURSUANT TO FED. R-kClI CA!Pr!e(e, DB-SDNY-0023747
EFTA2 )0171434
EFTA01297581

KYC Print Page 6 of 17
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Darren Indyke • 00000486405 Date of Birth:
Country of Residence: USA Country of Obzenship: USA
Address of primary
residence:
Profession/Occupation: Lawyer Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Tide/Rank:
Address of employer: 575 Lexington Ave, 4th A Livingston NY United States 10022
O yes R
Is the individual a Poltically Exposed Person (PEP)?(if Yes. describe) No
To the best of your knowledge, is the individual related to an employee Of the O Family O Friendship RI None
DB group?(ifF amily or Fnendship, descnbe)
To the best of your knowledge, is the individual party to a non•banldng
relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes R NO
source, supplier of goods or services)?(i/ Yes elescnbe)
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Client Place
Bank Officer Name(s) Bank Office: Private Other Location (specify): Date:
of Business:
Domicile:
O n
stewart oldfield ilj 12/23/2016
-I O _1
ED O _I
i
.r... .; Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Li O
Business Owner Salary/Eamings O Investment 1.1I nheritance/Gifts
Summarize Source of Wealth:
L...r Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, 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.)
Estimated Annual Income
Estimated amount of investable assets(s):
(5):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00060923
https://dbforcepb.my. esforce o rrittrnEeptirrAt N30000000D9Di... 5/23/2018
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0023748
EFTA_00171435
EFTA01297582

KYC Print Page 7 of 17
I Institution: I )Country: 1 Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
SDNY_GM_00060924
https://dbforcepb.my.salesforce WIEepilfirfAt N30000000D9Di... 5/23/2018
CONFIDENTIAL - PURSUANT TO FED. =Pei 1-•° DB-SDNY-0023749
EFTA_00171436
EFTA01297583

KYC Print Page 8 of 17
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Caroline Sophie Camille Lang • Date of Birth:
Country of Residence: France Country of Citizenship: France
Address of primary
residence:
Profession/Occupation: Contemporary Art Tax ID / SSN:
Current Employer: Sothebys Position/Tide/Rank: Chairman
Address of employer: United States
1: Yes R
Is the individual a Politically Exposed Person (PEP)?(if Ye$ describe) No
To the hest of your knowledge, is the individual related to an employee of the 0 Family 0 Friendship R None
DB group?(ifF amily or Fnendskp, desaibe)
To the best of your knowledge, is the individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral 0 Yes R No
source, supplier of goods or services)?(i/ Ye4c/escribe)
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client Client mace
Bank Officer Name(s) Bank Office: Private Other Location (specify): Date:
of Business:
Domicile:
7 n ri
"3 0 _I
0 LI ....1
'Wealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Attorney
El
Business Owner M Salary/Earnings 66Investment 0 Inheritance/Gifts
Summarize Source of Wealth:
Li Other:
/Detail the sources:
Further Describe Source of Wealth the history of wealth for each of (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.) The source of wealth for
Caroline Lang derives from her employment as Chairman of Sotheby's Switzerland. Caroline Lang is internationally recognized for
her In-depth knowledge of the art market and her longstanding expertise in Impressionist, Modem and Contemporary art.
Appointed Chairman of the Swiss Department of Impressionist, Modern & Contemporary Art in 2012, this consummate polyglot has
advised some of the most important collectors in Switzerland and worldwide. In November 2011, she played a decisive role in the
New York sale of Abstraction-Figuration, an exceptional private collection of abstract works by Gerhard Richter and Max Ernst
which realized a world auction record for a work by Richter at the time. Caroline Lang has also conducted major marathon auctions
in Switzerland, the UK and Germany, including the historic week-long sales of works of art from Monrepos Castle in Ludwigsburg in
2000 and the Royal House of Hanover in 2005. Ms Lang also serves as an executive for Warner Brothers Inc,.Her annual income is
approx.
450k.
Estimated Annual Inco
950,000.00 Estimated amount of investable assets(s): $1 MM - 2 MM
(5):
Estimated Net Worth($): $1 MM - 2 MM Amount of assets planned to invest with PWM(5):
SDNY_GM_00060925
https://dbforeepb.my.salesforce eptirrAti N30000000D9Di 5/23/2018
CONFIDENTIAL — PURSUANT TO FED. DB-SONY-0023750
EFTA_00171437
EFTA01297584

KYC Print Page 9 of 17
I I I
Other Known Financial Institubons:
Institution: Country: Bt. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
SONY_GM_00060926
littps://dbforcepb.my.salesforcear 1N30000000D9Di... 5/23/2018
TIDENtiffAt
CONFIDENTIAL - PURSUANT TO FED. . DB-SDNY-0023751
EFI'A_00171438
EFTA01297585

KYC Print Page 10 of 17
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Etienne Pierre Jean Binant • Date of Birth:
Country of Residence: France Country of abzenship: France
Address of primary
residence:
Profession/Occupation: Finance Tax ID / SSN:
Current Employer: Prytanee LLC Position/Tide/Rank: Manager
Address of employer: 6100 Red Hook Quarter B3 St ThomasUSVI United States
Is the individual a Politically Exposed Person (PEP)?(if Yes. describe) Thies Ii NO
TO the best of your knowledge, is the individual related to an employee Of the 0 Family 0 Friendship R None
DB group?(ifF amily or Fnendship, desctibe )
To the best of your knowledge, is the individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral 0 Yes R NO
source, supplier of goods or services)?(if Ye4descnbe)
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Client Place
Bank Officer Name(s) Bank Office: Private Other Location (specify): Date:
of Business:
Donde:
-1 n ri
_.) 0
_3
_1 0 Li
.. i Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Li LI
Business Owner 0 Salary/Eamings U Investment Inheritance/Gifts
Summarize Source of Wealth:
E Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, 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.)
Estimated Annual Income
Estimated amount of investable assets(s):
(S):
Estimated Net Worth(S): Amount of assets planned to invest with PWM(S):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00060927
https://dbforcepb.my.salesforce MD E CNITITAtl N30000000D9Di 5/23/2018
CONFIDENTIAL — PURSUANT TO FED. 0B-SDNY-0023752
EFTA_00171439
EFTA01297586

KYC Print Page 11 of 17
jrsbtution: I Country: IEst. Assets Under Mgt: 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 Summa
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Prytanee, LLC - 00000550868
: L .- . - 1 , F oundabon/Assoctation - Trust J Company Private Investment n
Type of Entity: ,...., Purpose of Entity: Philanthropic/Charitable 111
0 Estate LJ Partnership
Commercial
Type of Entity Other LLC Purpose of Entity
(specify): Other (specify):
Date of
Country of USVI 7/22/2016
Incorporation /
iinnccoorrppoorraattiioonn//rreeggiissttrraattiioonn::
registration:
Determinabon Required No
%tacker Status: Volcker Flag:
6100 Red Hook Quarter 83 St Thomas 00802
Address (city, street, post U.S. 11N/EIN:
United States
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For
trusts/foundations, include information about revocability,settJor and beneficiaries,etc.:
This entity is owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang
is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinrty for art and decided to
become partners investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork.
The signatories on this account will be:
Jeffrey Epstein
Darren Indyke
Caroline Lang
Etienne Binant
Please indicate how ownership of the legal entity is reflected: LLC Agreement
fEll
Special attention: Bearer Shares - Indicate where shares are custodied:
Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same persons). This entity is
owned 50/50 by Southern Trust Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang is the grantor.
Etienne Binant is the manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners
investing in artwork from up and coming artists together. They both invest equally in the purchases of the artwork.
The signatories on this account will be:
Jeffrey Epstein
Darren Indyke
Caroline Lang
Etienne Binant
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 yes Lill No 1;11
source, supplier of goods or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: investment in artwork of up and coming artists
Countries where business is transacted: USVI;Global
Number of employees: 3+
3D. Wealth Profile (Only for parties equinng source of wealth description as indicated in Section 2)
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/habilkies):
SDNY_GM_00060928
https://dbforcepb.my.salesforce N30000000D9Di 5/23/2018
CONFIDENTIAL — PURSUANT TO FED. 0B-SDNY-0023753
EFTA_0O17144O
EFTA01297587

KYC Print Page 12 of 17
The source of wealth for this entity primarily comes from Jeffrey Epstein and Caroline Lang. Please revert to their individual sources
of wealth for more details.
Estimated gross receipts p.a.($): 1,000,000.00
Estimated net profit p.a. (s): 1,000,000.00
Estimated investable assets ($): 51 MM - 2 MM
Potential Amount to be invested with PWM (5):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Accoun Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Trust Company, Inc. - 00000483883
Eil U
Private Investment
0 Foundation/Association E Trust Se Company
Type of Entity: 0 Purpose of Entity: Philanthropic/Chartable U
Estate [l] Partnership
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of US Virgin Islands 11/18/2011
incorporation /
incorporation/registration:
registra tion:
Determination Required No
Woke, Status: Volcker Flag:
..„. 6100 Red Hook Quarter B3 St Thomas, USVI 00802
Address (city, street, In" United States U.S. TIN/EIN: 66-0779861
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For
trusts/foundations, include information about revorabihty,settior and beneficlaries,etc.:
Jeffrey Epstein is the sole shareholder of Southern Trust
Please indicate how ownership of the legal entity is reflected:
El Special attention: Bearer Shares - Indicate where shares are custothed:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same persons). Jeffrey Epstein is
the sole shareholder of Southern Trust
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 yes 0 NO CZ
source, supplier of goods or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: Consult and invest client funds and gain revenue based on fees and returns
Countries where business is transacted: US Virgin Islands
Number of employees: 4
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):
SDNY_GM_00060929
https://dbforcepb.my.salesforce EtkilfirliAt N30000000D9Di 5/23/2018
CONFIDENTIAL — PURSUANT TO FED. 0B-SDNY-00237S4
EFTA_0017 1441
EFTA01297588

KYC Print Page 13 of 17
Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the
assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios
catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets
Estimated gross receipts p.a.($): 2,000,000.00
Estimated net profit pa. ($): 1,500,000.00
Estimated investable assets (g): $2 MM - 5 MM
Potential Amount to be invested with PWM (g):
Other Known Financial Institutions:
Institution: db Country: usa Est. Assets Under Mgt:
Institution: Country: Est. assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Ent ies)
Legal Entity Name: The Pierre Trust -
D
0 0 PI Private Investment
Foundation/Association ZC Trust Company
Type of Entity: of Entity:
PuiP°se Philanthroplc/Charitable 0
0 Estate ❑Partnership
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USVI 11/21/2016
incorporation /
incorporation/registration:
registration:
Determination Required No
Volcker Status: Volcker Flag:
Address (city, street, post 3 rue du View Colombier, Paris 75006 France U.S. TIN/EIN:
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For
trusts/foundations, include information about revocabikty,settior and beneficiaries,etc.:
Grantor/trustee/beneficiary: Caroline Lang residing at 3 Rue Du Vieux Colombier 75006 Paris 06 France.
Caroline Lang is beneficiary during her lifetime. Upon her death, her children become the beneficiaries:Anna Lea Elvire Laik and
Rebecca Zoe Berthe Laik both residing at 3 Rue Du Vieux Colombier 75006 Pans 06 France.
Please indicate how ownership of the legal entity is reflected: trust agreement
0 Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same
persons). Grantor/trustee/beneficiary: Caroline Lang residing at 3 Rue Du Vieux Colombier 75006 Paris 06 France.
Caroline Lang is beneficiary during her lifetime. Upon her death, her children become the beneficiaries:Anna Lea Elvire talk and
Rebecca Zoe Berthe Laik both residing at 3 Rue Du Vieux Colombier 75006 Paris 06 France.
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 yes El No RI
source, supplier of goods or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: trust
Countries where business is transacted: USVI;Globai
Number of employees: 0
SDNY_GM_00060930
https://dbforcepb.my.salesforce o fragripEtclifirtfAt N30000000D9Di... 5/23/2018
CONFIDENTIAL - PURSUANT TO FED. 0B-SDNY-0023755
EFTA 00171442
EFTA01297589

KYC Print Page 14 of 17
•
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Provide Evidence of Corporate Assets (e.g. balan e sheet or equivalent summary of assets/liabilities):
The source of wealth for this trust derives from Ca cline tang. Please revert to her source of wealth for more details.
Estimated gross receipts p.a.($): 1,000,000.00
Estimated net profit p.a. ($): 1,000,000.00
Estimated investable assets ($): $1 MM - 2 MM
Potential Amount to be invested with PWM ($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
iiiittgEep4fri rAt
SDNY_GM_00060931
https://dbforcepb.my.salesforce o N30000000D9Di... 5/23/2018
CONFIDENTIAL - PURSUANT TO FED. OB-SDNY-0023756
EFTA_00171443
EFTA01297590

KYC Print Page 15 of 17
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
NY i ,1 O High
Booking Center Eel L____O ffshore Moderate - Yoonsun Chung
NY/Offshore Risk
Risk
(Compbance Signature)
O
U DB Employee _._.j DB Managed PIC Li DB is Trustee/Co-Trustee Bearer Shares
4. Attachments
A. Type of Photo ID Provided O Drivers License g Passport O National/State ID O other
Checklist of names (individuals and/or entities) that were submitted for database ra
B. searches is attached oc Yes• No
C. Please indicate the results of the database searches performed
RDC searches complete g yes O No negative results found O Yes g No
KR checks complete R Yes O No negative results found Dyes Eli No
OFAC checks complete R Yes O No negative results found O Yes g No
J 6 o 1 n $ e s s e , a D rc & h B e ) s complete (Lexis/Nexis, Facbva, Reuters, Dow D r - IA 2 Yes D No negative results found D Yes k.±.1 N o
Denial Orders checks complete g Yes Ow negative results found O Yes k No
Fz O 'AND
Martindale-Hubbell searched (Lawyers/Law Arms only) O yes No negative results found No
D. Please summarize any negative results from the database searches indicated above:
your
E To the best of knowledge, has the client ever been convicted of a criminal r )
offense? l_J Yes ECA No
has
To the best of your knowledge, 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 subsidiaries? (If Y4 O Yes g No
provide details below and o'nfact Quality Mgt (LatAm/Int?) or the Regulatory
Conte,/ &pup andn otify Compoance anniethately)
party
Does the client or related have any financial or other association /
G. interactions within Countries or regimes sanctioned by the Office of Foreign Assets rj Yes tli No
Control (OFAC)?
Does the client or related party have any financial or other association/
interactions within high risk countries? O Yes U No
1. Corporate Documentation Attached (Legal Entities Only) EZ Yes I No q Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes • No tri Not Applicable
K. If Lexls/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not In English, please provide an
English summary of the nature/contents of the non-English Documentation:
SDNY_GM_00060932
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EFTA_00171444
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M. Case Comments
Created By Date Comments
1/10/117 11:42 Southern Trust Company is an existing client at DB. Their entity documents can be found in
Cynthia Rodriguez
PM previously approved case 01082293.
1/10/117 11:31 The Pierre Trust was incorporated in USVI but the grantor/b-ustee/bene is a foreign
Cynthia Rodriguez
PM national. Therefore there is no tax ID.
Per 08 internal tax team, the Pierre Trust would not require a tax ID because this trust has
Cynthia Rodriguez 1/19/117 3:29 AM
a foreign grantor owner. See attached email from Rich larossi.
1/10/117 10:34
Cynthia Rodriguez Recent research for Darren Indyke and Jeffrey Epstein can be found in case 01651789.
PM
1/10/117 11:33
Cynthia Rodriguez pm Resolution for signing authority has been attached.
Cynthia Rodriguez 1/11/117 2:25 MI See attached response from Darren Indyke regarding the TIN on the trust.
ONSHORE APPROVALS
Client Facing Professional tern sohrab (Signature) 1/6/2017
(CFP): tern sohrab
Office Director/Business Head: Armen Brash (Signature) 1/6/2017
Armen Brash
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Gwen Hill Gwen Hill 1/19/2017
Yoonsun Chung Yoonsun Chung 1/19/2017
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (Signature)
(CFP):
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
SDNY_GM_00060933
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PRIVATE WEALTHM ANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth
Management (PWM) worldwide is committed to professionally serve the interests ofi ts clients. To
do so, Client Facing Professionals)( I) (GP's) should establish and maintain business
relationships only with persons who satisfy ourour high standards ofs uitabiliO4 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
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 of the client(s) and that I have followed
the procedures relating to account opening as described in the PWM Americas 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_00060934
https://dbforcepb.my.salesforce WIEepcifirfAt N30000000D9Di... 5/23/2018
CONFIDENTIAL - PURSUANT TO FED. atniti 1-•° DB-SDNY-0023759
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