EFTA00168946

KYC Print Page I of 20 DB P1A/N1 GLOBAL KYC/NCA: PART A rA KYC Case # : 01977694 Status : 6. Approved ne sheet must be established per relationship - list all accounts Included In the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL REIATIONSNIP:00000483290 Booking Cater: New York Relationship Manager: Stewart Wiled O New PWM Relatenship la edging PWPI Relationship If existing, please Indicate since when the relationship esists, provide reason for new work and attach old prolle. m • m 2018 Periodic Relationship to %W14: Review - KR Overdue KYC -•, Last Approved KYC 8 Plan D LLC - 1790820; NES LLC - 1790739; The 2007 Jerre/ E Epstein Insurance Trust & The Haze Trust - 1804531. IDs foe. Damn froyea a Richard Kahn can be found in 'Repository' of GCIS r 486405. O Client Referral O RP1 Prospect • Intemediwy/FIM O Other Son (CB, a.) How Was the Client(s) Introduced? How long has the Rm Kev3KaKK m own the * Kw Please provide details (e.g. name of referral sate, how many yews RI4 wsonally has known dent, etc.): Jeffrey Epstein reached out to Stew Cildield on 3/7/17 to have a new acct opened under this relationship.. Ooes Deutsche Bank pay a O Yes No retrocession or similar I l° compensation to a third pay for the introduction of the arras, desolbei relationsNp? List all existing and new accounts Involved in this relationship Legs Entity Account Name / Weber Opening Date (ntendediacual) Acecungs) I O Its LLC - 42953758 - DDA-42953758 11/8/2013 2 21 Plan D LLC - 42953467 - DDA-42953467 10/18/2013 3 g The Haze Trust - 77000949 - DOA-7701:0949 2/21/2017 4 RI The Haze Trust - N4G024943 - DESI-N413024943 9/23/2013 5 0 The Haze trust - 42967297 - DDA-42967287 7/27/2 17 'Ate 6 he primary contact poison or the Stal? (Note: This Darren K. inchte Preferred method of contact prison needs to have signatory (Indicate phone no., fax no., I opts and/or Inforwatkin right e-mail adtress, etc.): roe the accounts.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000326 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=0 I N30000000D9Di&e... U§192824289 EFIA_00019199 EFTA00168946 KYC Print Page 2 of 20 One sheet must be established for each account to be 2. Account Ownership Summary Account Name: Nes LLC - 92953758 - ODA Acct. !timber (iI evadable): 92953758 Accown Manager: Stewart Criteld What is the purpose of the account (e.g. portfolio management, Weary account, custody smites, long-term Investment, payMentiesPense account)? TM Is a sine* checking account to take care of the expenses associated with running Jeffrey Epstein's NY home Indicate from where the assets are expected to arrive? rr ..4 DB Group: Sane Backing Center (Indicate account nuttier): Eesting O DB Grow: Mt Booking Center (Indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques....): What is the copected axe and frequency of regular Mims aid outflows (or the accowit (Indicate estimated number and volume per month)?: ••• 10-20/month; $30 - S20K What is the expected yr:tome of assets and currency for the ao:ount approx. 90 days anis 252,347.66 I ardency I USD °Penne? What is the copected volume of assets and currency for the account apprce. one year after 254347.65 I ardency I USD opening? Ooesfwill the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes lil No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Cried( the appropriate box to desaite the relationship of the party to this account (> I can be selected). • U none of the check boxes apply, dew be the party's relation to the account In the "Other mann. • Always desalbe the relationship between the parties in the last column. • Please drill down to the ultimaWundedying Beneficial Owner(s). agar Desolation AccountPIC Senior of Lttimate Signatay‘imitedFirandal Significant Legal Grantor/Seale:founding Enfityof Smote ridder CnvnerTruSt / Benelkial or Full ?OA ntemeciaryStarehorder Representative Donor of Wealth Founder of Owner POA FIM) >=2514) Cther (please tan- ed Foundation ;Ion-PIC describe other entity roles and/or Parties inchcate ndicate dated to ownership relationship Ns account % between I g 51 NES, LLC 15 O O D O DO O O O O O Darren K. O O O O O O O O O Auth Sena; 2 Inoyte O 3 O O Haw Beier O OO O I21 O O O O O Atrch Sena; Beneficiary;Sole Member:Primary 4 O 0 Jeffrey E. O O O O O O O ix O O O Decision Epstein alaker;Sole Owner; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000327 UM92814290 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_00019200 EFTA00168947 KYC Print Page 3 of 20 2. Account Ownership Summary Account Plane: Plan D LLC - 42953467 - DDA Acct. Number Ofavailable: 42953467 Account Manager: Stewart Oldieki What Is the purpose of the account (e.g. portfolio management, adhscry account, custody services, long-tam investment, payment/expense account)? 11% Is a simple checking axowit for pay for costs associated for Jeffrey Epstein's airplanes Indicate Iran where the assets we expected to anive? 0 DB Group: Sane Backing Center (Indicate account nLenber): 06sting • DB Group: Cther Booking Center (Indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques....): What Is the expected size and frequency of regular Inflows and outflows for the ao:owit (indicate estimated number and vane per month)?: ..., 1-$/month, $100 - $500K What Is the copected volume of assets and currency for the account approx. 90 days after 1 790,453.14 1Cwyercy 1 USD opening? What Is the expected volume of asses and currency for the account appiox. one year after 1 790,453.14 'Gummy 1 USD opening? Does/will the ctent have Assets Under Management (AuM) %thin DB under Eur. 3M? O YcsEa No Please list all parties related to the account. For each party: • Died( if a source of wealth descr1tion is required for the party. • Check the appropriate box to describe the relationship d the party to this account (> 1can be selected). • U none of the check boxes apply, desc, be the party's rdation to the account In the 'Mee coin. • Always desc,lbe the notatenship between the parties In the last column. • Please drill down o the ulUrnaWunderlying Benefidal Owner(s). egs bee:notion AccountPIC Senior of litimate Bgnatcry‘Imitectirandal tgnificant Legal toantor/SetUcerFouncling EnUtyof Saute KV. de OrrnerTrust / Beneficial or Full POA nterniectaryShareholder Ftepresentatna Donor of Wealth rounder of Owner POA ,FIM) >=25%) Geier (please requeed roundaUcri Yon-PIC desc,lbe other entity roles and/or Partes inckate ndicate related to )wnership relationship this account %) between pates) I M EI Mai D, LLC O O O O O O O O O O Beneficiaty;Scte 2 El Mernber;PrImary O a EPstein O O O a a • O O O Dedsion Maker; 3 O O Indyre Dwen IC O O O O a O O O O O Aunt Signor; 4 O O 1*M Beier O OO O a O O O O O Auth Signor; Lawrence 5 O O Pall Visoeld O O O O O O O 12 O O Manager: Jr CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000328 UM92814291 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_000 19201 EFTA00168948 KYC Print Page 4 of 20 2. Account Ownership Summary Account Nam: The Haze Trust - 77000949 - ODA Acct. Number (Java/able). 77000949 Accown Manager: Stewart OWNS What is the purpose of the account (e.g. portfolio management, adhsory account, custody services, longterm investment, paymaniexpense account)? INS San interest bearing cheddng account for costs (taxes, etc.) related to the Trust Indicate from where the assets are expected to wive? El DB Group: Same Backing Center (Indicate account number): EXeting • DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): • Phyrical Deposits (specify cash, securities, cheques, ...): What is the ("peeled size aid frequency of regular Inflows aid outflows for the acicowit (indicate estimated number and volzme per month)?: ..- I-3/month; Sink - MIMI What is the opected volume of assets and currency for the account approx. 90 days after 17,707,707.25 larrency °Penne? I USD What is the expected volume of asses and currency for the account approx. one year after 17,707,707.25 'aplenty I USD opening? Ooes/will the ctent have Assets Under Management (Ault) within DB under Eur. 3M? annO tao Please list all parties related to the account. For eadi party: • Oiedc if a source of wealth (description is required for the party. • C,eck the appropriate box to describe the telationshi of the party to this account (> I can be selected). • U none &the check boxes apply, describe the party's Mallon to the account In the "Other column. • Always describe the relationship between the parties n the last column. • Please drill down to the ulUrnaWundetlying BenetIdal Onner(s). cgs besalption AccounIPIC Sella of Illitknate 5Ignatoty;rniteC Financial tignificaM Legal Giantor/Setto,Founding Enntyof Scarce Holder Owns Trust / Beneficial/or Full POA IntornediaryShareholder Reptesentatiw Donor of Wealth Founder of Omer POA (Fill) (>=25%) reseed Foundation tion-PIC Other (please Parties entity desert* other roles related (Indicate and/a lnlcate to this ownership relationship between account %) Nunes) The I 2• haze 5 O D O O O El O O O Trust Damn 2 O • K. O O O O 5 • 2 O O O Trustee:Trustee;Auth I richece Slone, as Trustee: Senior:Beneficiary; Jeffrey Trustee:Trustee;Auth O5 E. O O 15 B O DO O O 2 Sigmaas Trustee & Epstein Primary Decision 'taker: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000329 U§192824292 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... EFIA_00019202 EFTA00168949 KYC Print Page 5 of 20 2. Account Ownership Summary Account Plane: The Haze that - N4G024943 - OBSI Patt. Number (ifareatleA N4G024943 Account Manager: Stewart Ordeal What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm Investment, paymentiopense account)? TNs Is a brokerage account for the Dust to hod and make investments in marketable securdes Is the purpose of the axmot. Indicate from where the assets are expected to anlye? 0 DB Grow: Same Booking Center (ndcate account number): EX6Ung O DB Grow: Other Booking Center (Indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected site aid frequency of regular Inflows aid outflows for the xcoLMt (indicate estimated number and vaunt per month)?: -- 3-10/month; $10- $2MM What is the demoted volume of assets and currency for the account approx. 90 days after 120,355,143.12 I Currency USD °Perlin? I What is the expected volume of assets and currency for the account approx. one year after 120,355,143.12 I Currency I USD opening? Does/will the denthave Assets Under Management (NM) within DB under Eur. 3M? ❑O yes 0 No Please Ust all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Chock the appropriate box to describe the dationship of the party to this account (> 1 can be selected). • U none of the check boxes apply, describe the partyY relation to the account In the "Other column. • Always describe the nalatenship between the parties I the last column. • Please drill down to the ulUrnaWunderlying Beneficial Owner(s). _egal besalption Accountant Senior of ideate Signatory _imtedinancial Sgnificant _egal `3rantor/Settlart-ounding EnUtyflowte Holder OwnerTrust/ Benerbaer Full POA Interneda eateholdeneprosentabve Donor of Wealth Founder of Owner POA ',FIN) (>-25%) required Foundation Non.PIC Other (pease Parties allay describe other roles related to (Indicate and/or inch:ate tNs ownership relationsNp between account %) Duties) The I 2 s Haze 0 O O O O LI O O O O Trust Settlor;Bencliciary; Trustee:Trustee;Aurn 2 O O jeffiel E. Epstein O O 2 O o o o . O o Signor as TIUStee & Primary Decision Maker: Darren 3 O O O Trustee:Trustee;Aurn K. Indywe O O O O O O O O O Senor as Trustee; Pail has Limited Trading 4 O • Paul Barrett O O O O O O • O • • /wthotization for Brokerage account; POA In Bickelage O O B" am O O O O 0 O O O O O Account; Jean Anne POA In Brokerage 6 ID Li r—rl Brenran "❑ O O O O O O O • O Account; Webrach CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000330 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824293 EFIA_00019203 EFTA00168950 KYC Print Page 6 of 20 2. Account Ownership Summary Account Nam: The Naze trust - 92967287 - WA Acct Number (travailed/0: 42967287 Accost Manager: Stewart Oldfield What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The a a simple checking account for costs (taxes, etc) related to this Trust Indicate from where the assets are expected to arrive? El DB Group: Sane Backing Center (Indicate account number): Fasting • DB Group: Other Booking Caller (Indicate DB location and account details): O Other Instihtlon — (Indicate name & location): • Physical Deposits (specify cash, securities, cheques....): What is the wetted size aid frequency of regular Inflows and outflows for the accowit (Whale estimated number and vcaime per month)?: There are regular transactions in The Maze brokerage acccunt, whet) is where most of the activity is. The deposit cocure Just herds cash to earn the interest. Wouldn't apect many transactions there. What is the expected volume of assets and currency for the account approx. 90 days after 12,5D3,667.84 I Currency I USD Opening? What is the expected volume of assets and currency for the account approx. one year after 12,5D3,667.84 I Currency 'wring? I USD Ooesfwill the dent have Assets Under Management (AuM) %OUP DB under Eur. 3M? O Yes @ No Please list all parties related to the account For each party: • Cried( if a source of wealth description is reciLited for the party. • a led( the appropelate box to describe the relationshi of the party to this account (> I can be selected). • f 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 n the last column. • Please drill down to the ul mate/underlyi eeneria Owner(s). .9 Legal Desoiption AocounUNC Settler of (Ultimate ISigratonn..inuteC Financial Significant Legal Cy/error/Sett°,Founding Entity)f Source Holder Ovine Trust) Benelidalor Full POA IntermediarySharehokter Representative Domr of Wealth Founder ore...vier POA (FIN) (>=25%) requited ccundation Non-PIC Other (please Parties entty descrbe other roles related (Indicate ,idler indicate to this ownership iNationship between account %) )arties) The I O 0 Haze a O O O O O O O O O Trust Setidor:Benefleary; Jeffrey Trustee:Trustee;Auth 2 O • E. O O El El D • O D O O Wry as Trustee & Epstein Primary Decision Maker: Damen 3 O • K. O O O El 5 O O O O O Trustee:Trustee;Auth I S et as Trustee' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000331 UM92814294 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFTA_000 19204 EFTA00168951 KYC Print Page 7 of 20 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ovmershl Summary 3/3/4. Individual Details (tor all pates) Individual's Name: Jeffrey E. Epstein - 00000483289 Dated Birth: 1/20/1953 Country of Residence: Virgin Islands, U.S Country of OUzenship: United States Has dent resided outside of Little Saint lames Salt Thomas 00802 Virgin Islands, U.S. his/Mr countryof nationality fa O yes ®No Adctess of plenary residence: 5 yeas or more? Profession/Occupation: Self Ernpolyed Tax ID! SSN: I Current Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Islands, US. 00802 Does the person wok as senior executive of a CO-recognized regulated entity in the Mandel Industry? or an entity listed on a DB-reel:gilded exchange? (Not applicable for operating entities 0 Yes 0 No Is the mew/dual a politically Exposed Person (PEP)?(/ Yes, despite) Comectlon with Prince Andrew 2 Yes D No and Bill Clinton To the best of your knowledge, is the individual related to an employee of the DB group?(YFatra), Or O Family O Friendship g Now FrivaArtez descnbe) N/A To the best of your knowledge, is the individual party to a non-banking relatlonsNp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(a Oyes 2 No Yesdesothe) NA Indicate where and when the died meeting(s) took place: If applicable, notate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: other incadon (specify): Date: Client e: &Hitless: Stewart geoid 0 0 0 6/29/2017 0 O O O O D 0 Wealth Details fa this individual are not filled in, because they we the same as for the following person: 36. wealth Details (Only for parties requiring sows of wealth description as indicated in Section 2) Nature of the Individual's Busness: Private investments thimay Country of sows of wealth/soiree of Funs? Unted States thimay industry of source of Wealth/Source of Funs? High Rid Financial Institutions Summarize Source of Wealth: 5 Business Owner • Salary/Earnngs ril Investment O Inheritance/Oils O0ther: Further Desote Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For Create, how cid senior accumulate wealth? For Obedience, how did farnly acurmulate weath?For business owners, how long in busness, how many employees, level of prentability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (ban January 20, 1953) is an American (bander and registered sex offender in the united States. He waked at Bear Stearns early in his career and then formed his own firm, 1. Epstein & Co. He Wes in the US Virgin islands. Epstein taught calculus and physics at the Dalton Schad in Manhattan from 1973 to 1975. Among Ns students was awn 0 Alan C. Greenberg, chairman of Bear Steams. In 1976, Epstein started week as an options nada at Bear Stearns where he waked in the special products dedrion, advising high-net-worth dents co tax strategies. Provng successful in his financial career, n 1980 Epstein became a partner at tear Stearns. In 1982, Epsten founded his own firancal management firm, 1. Epstein & Co, managing the assets d dents with more than $1 Son in net worth. In 1987, Leslie Werner, founder and chairman of Ohio-based The Limited than of woolen's clothing stores, became a well-known client. Wooer a:quiree Abercrombie & Fitch the folowing year. In 1992 he converted a private school on the Upper East Sole into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of InS firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising exec love Donny Deutsch, investor Nelson Pet, media mogul and publeher Malmo Zuckerman, who had the New York Daily News, and film producer Haney Weinstein. They were ultimately outbid by Duce Wasserstein, a longtime Wall Street investor. who paid $55 minion. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal patties in the venture. Restart, as its editor-In-chief, retained a wall ownership stake. Presently, W. Epstein founded Southern Trust Company Inc, a private consoling company that invests the assets of thew clients and gels their revenue from the return of these Invetmens. Seuthern Trust Invests In afferent port/dos catered to their dents and makes their revenue based on the returns and the fees associated with managing their dent's assets Estimated Annual Indine(S): 110,000,000.00 I Estimated amount of invstable asseu,($): I $501M1 - 100 MM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000332 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... / I/192814 295 EFIA_000 19205 EFTA00168952 KYC Print Page 8 of 20 Estimated Net Wort1($): $500 MM + I Arrant of assets pained to invest with INVI4($): 2,300,000.00 Other Known Mandel Instautbns: InsUtutico: Country: Est Assets Under MA: InsUtutico: Canby: Est Assets Under Mgt InsUtutico: Cotritry: Est Assets Under Mgt Please Indicate the family situation of the Individual (marital status, other fanely members, etc.): N/A CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000333 4492824296 https://dbforcepb.my.salesforce.com/servlethervlet.Integration?lid=0IN30000000D9Di&e... EFIA_000 19206 EFTA00168953 KYC Print Page 9 of 20 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ownershl Summary 3k Individual Details (lor all pates) Individual's Name: Darren K. Indyke - Dated Birth: Country of Residence: Untal States Country of Otizenship: United States Has trent resided outside of Adtress of plenary his/her country of nationality faO yes ®No 5 yeas or more? Profession/Occupation: Accountant Tax ID i SSN: Current Employer: Southern Financial I1C Position/Tele/Rank: Accountwit Address of employer: 6100 Red Hook Quarter B3 LiVingston Virgin Islands, U.S. 00E:02 Does the person work as senior executhe of a CB-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognael exchange? (Not applicable for operating entities 0 Yes 0 No Is the incfMclual a Politically Exposed Pence (PEP)?0, Yes, tote) N/A O yes Ica No To the best of your knowledge, a the inchAdual related to an employee of the DB group/tit an/P.71, 0r O Family O Friendship g None Fnc.413.47, desmbe) N/A To the best of your knowledge, a the inchAdual party to a min-barking relationship with Deutsche Bank (e.g., external legal counsel, diem referral source, supplier of goods or sentes)?Or Oyes 2 No ves,deso-ibe) N/A Indicate where and when the client meeting(s) took place: if applicable, indicate which balk officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Offke: Other Locatbn (specify): Date: Derriere: Business: Stewart adfield 0 0 0 12/12/2016 0 O O O O CI 0 Wealth Details fa this individual are not filled in, because they are the same as for the following person: 3B. wealth Details (Only for parties requiring plate of math description as imitated in Seek.) 2) Nature of the IndNiduars &mines: Prepay Country of palate of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Desete Source of Wealth /Detail the history of wealth fa each of the sources: (e.g. For trusts, how Ad senior accumulate wealth? For inheritance, how did Vanity accumulate wealh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important Cosines panties.) Estimated Annual Incane(S): Estimated amount &investable assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PWM($) Other Known Randal Instiutbns: Insttturion: Country: Est. Assets Under Mgt Insttturion: Country: Est Assets Under Mgt Insbtution: Country: Est. Assets Under Mgt Please indicate the family situation of the InciNidual (renal stabs, other tan/ members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000334 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192814297 EFIA_00019207 EFTA00168954 KYC Print Page 10 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershi Summary 3k Individual Details (for all pates) Individual's Pin: Harry Beier - Date of Earth: Country of Residence: United Stabs Country of Otter hip: United States Has tient resided outside of his/her countryof nationallyfe O yes ®No Adtress of plenary residence: 5 yeas a more? Profession/Occupation: Accountant Tax ID ISSN: Current Employer: HBRK Assodates, Inc Postbagitle/Rat Accountant Address of employer: 575 teengton Avenue, 4th Hoot Matey NY United States 10022 Does the person wet as senior executive 04 a DO-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognsel exchange? (Not applicable for operating entities 0 Yes Iii No Is the ince/dual a Politically Exposed Pencil (PEP)7(lYes, tote) N/A Oyes Ica No To the best of your knowledge, is the inclyidual related to an employee of the DB group?(rfFat* Or O Family O Friendship g None Flic...bhp, ctsmbe) N/A To the best of your knoMedge, is the inclyidual party to a non-barking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or serykes)?(t 0 Yes 12 No YeS,62SOthe) NA Indicate where and when the client meeling(s) took place: If applicable, indicate which balk officers have met tie person: Client Private Diet Place of Bark 0mcer Name(s) Bank Cake' Oilier Locatbn (specify): Date: ' Donde: Business: 0 O 0 0 O O 0 Wealth Details fa this individual are not filled in, because they are the same as for the following person: 3B. wealth Details (Only for parties requiring soiree of wealth description as imitated in Seiko 2) Nature of the Inclividuars Business: Pitney Country of solace of wealth/source of Funds? ',limey industry of source of Wealth/Source of Funds? Summarize Source of Wealth: OBusiness Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Describe Source &Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how id setUor accumulate wealth? For inheritance, how did famly accumulate weallh?For business owners, how long in business, how many employees, level of prontability? Indicate type of business, woollies of major beanies, important Wines partners.) Estimated Annual Income(S): Estimated amount of investatle assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PW14($) Other Known Financial Institutions: InstRurico: Counby: Est. Assets Under Mgt InstRurico: Country: Est Assets Under Mgt InsUtutico: Country: Est. Assets Under Mgt Please indicate the family situation of the Indeldual (natal status, other Yana members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000335 UM92814298 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... EFIA_00019208 EFTA00168955 KYC Print Page 11 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershl Summary 3k Individual Details (for all pates) Individual's Nave, Paul Barrett Date of Earth: Country of Residence: United Sates Country of Otizenship: United States Has dent resided outside of his/her country of nationality fa O yes ®No Adiess of plenary residence: 5 yeas or more? Profession/Occupation: Investment Adis& Tax ID! 5511: Current Employer: JP. Morgan Seaulties LLC Positioncritle/Rank: Investment Advisor Address of employer: 277 Pak Ave New York NY United States 10172 Does the person work as senior executive of a 06-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognsel exchange? (Not applicable for operating entities 0 Yes Iii No Is the incanclual a Politically Exposed Person (PEP)7(// Yes, despite) N/A ❑O yes g No To the best of your knowledge, is the individual related to an employee of the DB group?(ifFat* Or O Family O Friendship g None Frivabh0, desmbe) N/A To the best of your knoMedge, is the individual party to a non-barking relationshe with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or sentes)?(l Oyes I2 No vesdeso-ibe) N/A Indicate where and when the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client Private Client Place of Bark Officer Name(s) Bank Other Locatbn 0ffke: wide: Cosiness: (specify): Date: 0 O 0 0 O O 0 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 soiree of wealth description as imitated in Section 2) Nature of the IndMduars &skies: Primary Country of solace of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Desolbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how id setUor accumulate wealth? For nhentance, how did Vanity accumulate weallh?For business owners, how long in business, how many &helmets, level of profitability? Indicate type of business, countries of major activities, inmate/It bushes partners.) Estimated MEM& Incane(S): Estimated amount &investable assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PW14($) Other Known Financial Instiutbns: Insteurion: Country: Est. Assets Under Mgt Insteurion: Country: Est Assets Under Mgt InsUtution: Country: Est. Assets Under Mgt Please indicate the family situation of the individual (maital stabs, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000336 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192824299 EFIA_00019209 EFTA00168956 KYC Print Page 12 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershl Summary 3k Individual Details (lor all pates) Individual's Name: Jean Anne Brennan Wiebracht - Date of Earth: Country of Residence: Virgin Islands, U.S. Country of Otizenship: Virgin Islands, U.S. Has dent resided outside of his/her country of nationality fa O yes ®No Adcaess of plenary residence: 5 yeas or more? Profession/Occupation: Novice Tax ID i SSD: Current Employer: Southern Financial I1C Position/Title/Rank: Finance Address of employer: 6100 Red Hook Quarter, B3 St, Thomas Virgin Islands, U.S. 00802 Does the person wait as senior executhe of a CO-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognsel exchange? (Not applicable for operating entities 0 Yes Iii No Is the inert/dual a Politically Exposed Person (PEP)?(A. Yes, desoibe) N/A O yes g No To the best of your knowledge, S the inclyidual related to an employee of the DB group?&FatrWor O Family O Friendship g None Frivabh0, desmbe) N/A To the best of your knoMedge, S the inclyidual party to a non-barking relationshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or sentespOr Oyes I2 No ves,desothe) N/A Iodate where and when the dieM meeting(s) took place: If applicable, instate which balk officers have met the person: Client Private Client Place of (fly) . Bark Officer Name(s) Bank Cake' Other location Date: ' Dorricie: Business: 0 O 0 0 O O 0 Wealth Details fa this individual are not filled in, because they are the same as for the following person: 311. wealth Details (Only for parties requiring soiree of wealth description as imitated in Section 2) Nature of the Indhiduars &sines: Airway Canby of solace of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Desete Source of Wealth /Detail the history of wealth fa each of the sources: (e.g. For trusts, how old senior accumulate wealth? For nhallance, how did rawly accumulate weallh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activitks, important bushes partners.) Estimated Annual Incane(5): Estimated amount of investable assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PW14($) Other Known Mandel Instiutbns: Institution: Canby: Est. Assets Under Mgt Institution: Country: Est Assets Under Mgt InsUtution: Country: Est. Assets Under Mgt Please indicate the family situation of the Individual (Marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000337 UM92814300 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019210 EFTA00168957 KYC Print Page 13 of 20 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ovmershl Summary 3k Individual Details (lor all pates) Individual's Name: Lawrence Paul Viscid Jr - Date of Eirth: Country of Residence: United States Country of Otizenship: United States Has dent resided outside of Address of plenary residence: his/her country of nationality for O yes ©No 5 years or more? Profession/Occupation: Manager Tax ID / SSW Current Employer: Plan D LLC Poston/Title,/Rank: Manager Address of employer: 6100 Red Hook, Quarter B3 St, Thomas Wgln Islands, U.S. 00802 Does the person work as senior executive of a 08-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognsel exchange? (Not applicable for operating entities El Yes Ii3 No Is the inctiVidual a Politically Exposed Person(PEP)?(if Yes, despite) N/A ❑O Yes Ica No To the best of your knowledge, is the individual related to an employee of the DB group?&Farna), or O Family O Friendship g None Flicvabb0, ctsmbe) N/A To the best of your knowledge, is the individual party to a non-barking relationsNp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or serykes)?(if O Yes I2 No Yes,desoitie) N/A Indicate where and when the client meeting(s) took place: If applicable, indicate which balk officers have met the person: Client Private Get Place of Bark Officer Name(s) Bank 0ffke: Other Location (specify): Date: Don de: Ebsiness: O O O O O O O O O O Wealth Details fa' this Individual are not filled in, because they are the same as for the following person: 311. wealth Details (Only for parties requiring mate of wealth description as imitated In Section 2) Nature of the Indloduars Eusines: Repay Country of opiate of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: OBuriness Owner O Salary/Earings O Investment O Inheritance/GIs O Other: Further Desosbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how id senior accumulate wealth? For inheritance, how did famly accumulate weallh?For business owners, how long in business, how many employees, level of prontability? Indicate type of business, countries of major &intim, impatant bistros partners.) Estimated Annual Incane(S): Estimated amount &investable assets(s): Estimated Net WOrtIXO: Amount of assets planned to invest with PWM($) Other Known Mandel Instiutbns: Insttturicet Country: Est. Assets Under Mgt Insttturicn: Country: Est Assets Under Mgt InsbtuUcet Country: Est. Assets Under Mgt Please Indicate the family situation of the InclNidual (natal slabs, other randy members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000338 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/1928143°1 EFIA_00019211 EFTA00168958 KYC Print Page 14 of 20 One sheet must be established for EACH LEGAL ENTITY In Section 2 Account Summary 3C. Legal Entity Details (Fee al Legal Entities) Legal Entity Name: The Haze Trust - 00000486428 O Fourglabon/Association ®Trust O Company O Estate O purpose of Entity: ga Private Investment O Type of Entity: Partnership Mantle Charitable ['Commercial Purposed Entity Other Type d Entity Other (specify): (sPeetv): Comity of United States Date of inarporaten / 2/9/1999 Magadan:in/registration: regatration: Identified on Customer ProNe No Vokker Status: Volcker Rag: 6100 Red Hook Quarter B3 St, Thomas 00802 Virgin Islands, U.S. U.S. TIN/EIN: Actress (city, street, post code): Provide a description of the entity's organizational structure, Ls ownership savage and its Top Management. For trusts/foundations, inside informagan about reocabllity,settr and benenciariesatc.: This Is a Revocable Trust. Jeffrey Epstein: GrantralTrustee/Benefioary Darren Indyke: Trustee Please Indicate how ownership of the legal entity is reflected: Trust Agreement O SpecIal attention: Bearer Stares - Indicate where Males are custodied: Describe the d ain from the direct owner of file entity to the ultimate bendkal owner (ifnot the game persons) Jeffrey Epstein: GrantorrfrusteelBeneadary Darren [We: Trustee To the best of your knowledge, Is the entity party to a non-banldng relationship nth Deutsche Bank (e.g. eternal legal counsel, client referral source, suppler of goods or services)?: Yes O No N/A Describe Nature of Entity's Primary Business and Investment Activities The trust was initially funded with $100. The trust makes and holds imastements are the gains it Nature of the business: makes from those invariants is its soiree of rewsnue. The trust, in turn, pas these gains back into the trust and reinvests. Counties where business is trartssaed: United States Number of employees: 2 3D. Wealth Profile (Only rot pa ties requiring source of wealth description as Indicated in Section 2) thinwy Country of son of %earth/since of Funds? United States Primary industry of source of Wealth/Source of Funds? high Rea Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equ Arent summary of assaglIabilitses): The trust was mealy raided %Rh $100 from Jeffrey Epstein. The trust makes and hods Investements and the gains It makes from those nvestments Is its source of e,enue. The trust, Si turn. puts these gains back into the bust and tekivests. Estimated gross receipts p.a.(3): 300,000.00 Estimated net profit p.a. ($): 200,000.00 Estimated investable assets ($): $20 MM - SO MM Potential Amount to be Invested with PWPI ($): 200,000.00 Other Known Firandal Institutions: Institution: County: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For al Legal Entitles) Legal Entity Name: Plan D, LLC 00000487219 Type of Entity: Purpose of Entity: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000339 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/JP/28143°2 EFFA_00019212 EFTA00168959 KYC Print Page 15 of 20 O Fourdation/Assooaten . Trust 2Company . Estate D @Private Investment O Partnership Phlarehropir./Charitable OCommercial Purpose of Entity Other Type of Entity Other (specify): (seedy): Country of Virgin Islands, U.S. Date of incorporation / 10/19/2012 incorecretbn/regiroation: retie:salon: Identified on Customer Roble No Vetter SLatus: Wicker Rag: 6100 Red Hook, Quarter 03 A, Thomas 00802 Virgin Islands, US U.S. TIN/EIN: Adcress (city, street, Post code): ProAde a description of the entity's organizational structure, ts ownership struaLre and its Top Management For trusts/fouidaUctis, include nformatem about revocabikty,setIce and beneficial mete.: Snare member LLC. Sole member is Jeffrey Emhart. The signers on this account are Jeffrey EDStall. Harry Beller and Darren Indyke Please indicate how ownership of the legal entity Is reflected: Operating Agreement D Special attention: Bearer Shares - Inctcate where shares are custodled: Describe the chain from the direct owner of the entity to the ulUmate beneficial owner (loot the same pgiSi9(6). Single member LW. Sole member Is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry BelIer and Danen Indite Lawrence Pad Visoskl Jr is the manager. To the best of your knowledge, Is the entity party to a non-banWng relationship Web Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services)?: Yes O No WA Describe Nature of Entity's Primary Business and Invesbnent Activities LW created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes. Personal Nature of the business: airplanes are er rd leased cult° others when the owner is not uslnq the pane. Countries where business is transacted: United States Number of employees: 1 3D. Wealth Profile (Only for parties requiting source of wealth description as indicated In Section 2) Primary Country of soLete of wealth/source of Funs? UMW States Primary industry of source d Wealth/Soiree of Funs? High Risk Financial Ingham Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent airman/ of asses/liabilities): J.0 mated to hold funds to pay for costs associated with one of Jeffrey Epsten's planes. Initial contribution d $1000 from Jeffrey Epstein and all source of funds come ran Jeffrey Epstein. An airplane Is equipment. Personal airplanes are generally leased oil to others when the ovals, Is not using the plane. Estimated gross receipts p.a.(5): 1,000,000.00 Estimated net pont pa. ($): 500,000.00 Estimated investable asses ($): <$1 MM Potential Amour to be invested with PYfli (5): 200,000.00 Other Known Financial Institutions: Institution: County: BE. Assets Under Mgt: Institution: County: BL Assets Under Mgt: InsteLtico. Country: Est. Assets Under Mgt: ne sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (Fa an Legal Entities) Legal Entity Mame: NES, LLC - 00000487265 Type of Entity: O Fourglaflon/Associatka ❑O Trust @ Company ❑O Btate ❑O pumps. of Enuty: a Private Investment O Partnership Phlanthropic/Charitable OCommerdal Purpose of Entity Other Type d Entity Other (specify): (SecifY): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000340 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/JP/28243°3 EFFA_00019213 EFTA00168960 KYC Print Page 16 of 20 United States 8/13/1998 Country of Date of Inv:mower:in / incorporation/registration: regStrabon: Identified co Customer Profile No Volker Status: Wicks Rag: 6100 Red Hook Quarter, B3 St, Thomas 00802 Virgin Islands, US U.S. TIN/E1N: Access (city, stree( post code): Provide a description of the entity's organizational structure, as ownership struaLre and Its Top Management For trusts/foundaUces, Include information about revocability,settle and beneficiar es,etc.: Single member LLC. Jeffrey Eostein is the sole member. The signors on tNs account we Jeffrey Epste n, Darren Indyke and Hany Beller Please incicate how ownershp or the legal entity Is reflected: Operating Agreement • Special attention: Bearer Shares - Incbeate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (Float the same persons). Single member LLC. Jeffrey Epstein is the sole reenter. The signors on tNs account we Jeffrey Epstein, Darren Indyke and Hany Bele To the best of your knowledge, Is the entity party to a non-banWng relationship veil Deursche Bank (e.g. external legal counsel, client referral source, suppler of goods or senAces)?: yeS IMI No 5 WA Describe Nature of Entity's Primary Business and Invesbnent Activities Nature o The boimess: NES, LLC was famed to take care of the expenses annealed with running one of Jeffrey Epstein's homes Countries where business is transacted. United States Number or employees: 1 3D. Wealth Profile (Ony for parties requiring son of wealth descrther as indicated in Secher 2) Primly Country of source of wealth/scarce of Funs? United States Primary industry of source of Wealth/Source of Funds? Nigh Risk Wendel Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or eo II/Went summary of assetsfilablInS): All funds come from Jeffrey Epstein. who has been KYCd previousN Estimated gross receipts p.a.(S): 1.000.000.00 Estimated net wilt p.a. (5): 503,000.00 Estimated nyestable asses (5): <S1 Mal Potential MioLMt to be Invested with OWN (5): 15%000.00 Other Known Randal Institutions: InsUturion: Country: Est. ASS Under Mgt InsUhtJam Country: Est. Assets Under Mgt InstItuUctm Country: Est. Assets Under Mgt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000341 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/1928143°4 EFIA_00019214 EFTA00168961 KYC Print Page 17 of 20 DB PWM GLOBAL KYC/NCA: US/LatArnfinti PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP The Haze-Ovena-HIGH,EnUty-HIGH,Industry-HIGH,Countiy-MEDIUM,Produa-HGH.The 2007 Jeffrey-Cnerarl-HIGH,EntIty. Risk Rating Garments: HIGH,Industry-li GH,Country-MEDIUMProduct-HIGH.PLan D & NES LLC- Overall-HIGH Entity-MEDIUM,Inclusay-HIGH,Country- MEDIUM,Product HIGH. Booking Center 0 Moderate Gm @ NY O NY/Offshore O Offshore mi High Risk Risk (Compliance Signalise) O DB Employee O Gs Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 0 Drivers Ucense ®Passport O rt aucoaustate ID O Other B. Checklist of names (individuals andbx (Mites) that were submitted for database searches is attached gives El No C. Please indicate the results of the database searches performed RDC searches compete .1 ! Yes O No negative resits found O Yes ID No PCR checks complete !d Yes O No negative rests found 0 Yes O No OFAC checks amplete 2 Yes O No negative rests found Dyes 12 No BIS searches amplete (Lexls/Nexis, FacUva, Reuters, Dow Jones, DEB) Fe. Yes O he negative resift found 2 Yes O No Denial Orders chedd complete 2 Yes Ell No negative resters found 0 Yes M No Martindale-Hubbell searched (Lawyers/Law Firms only) • Yes 171No negative resters found O Yes O No D. Please suwnante any negative results from the database searches indicated above: Plan D: - No negative media - No court cases The Hate Trust: - No negative media - No MLitt cases The 2007 Jeffrey E. Epstein Insurance Trust 13: - No negative mead - No court cases NES LLC: - No negative mesa, - Court case was sled way back in 4/5/2005 which pertains to NES LLC that is InvoNed in doing tuskless as National Educational Service and the status of the use stands dosed. This doesnot pertain to our entity as our airily is not into educational service. Rally Beller: - No negative mesa - Harry Beller is the plaintiff in the court case, also it has been disposed. Jeffrey Edward Epstein: - Adverse results in Google relates to Jeffrtys Sex offence in the past which are cleared already. Attached clearances in the case - Negative meda reviles to the sex offence in the past vAsich are already cleared. (KYC K - 01790655) - Court cases relates to Jeffreys sex offence in the past vAsich is already cleared, another (Gerber El Al V. The Financial Trust Corrpany Et a) is a recent ongoing civil lawsuit pertaining to hard which has been dismissed (attached document), but part of normal business operations for this client. And in one of the case he's nether defendant nor plaintiff. Hes Just named as a respondent and the case is immaterial in nature - Criminal Filings relates to sex offence which is already cleared in the past - RDC alert found - Sec offences in the past which has been dears - Clearance attached Darren Indyke: - Negative news in Google relates to Jeffrey Epslein's Foundation and are net material in nature. - Court case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past wNch has been cleared already. Darren is just an attorney for Jeffrey In the case. - Fircosoft alert has been cleated by AML Compliance. Clearance attached. Richard Kiln: - No negative meda - Court case was dismissed and he was not barred from NYSE Arca and was dears in the previous KYC5. Attached clearances - RDC alert found - realates to violation of NYSE Arca Egalks Rule - Clearance attached. .• - No negative meda - No court cases Pad S Barrett : CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000342 https://dbforcepb.rny.salesforce.com/servlet/servlet.integration?lid=01N30000000D9Di&e... ITt928c43°5 EFTA_00019215 EFTA00168962 KYC Print Page 18 of 20 - No negative mead - NO court cases - RDC art found - False positives, does not pertain to our diet Clearance attached. Jean Mne Brennan Wietracht: - No negative media - No MLitt cases Lawrence Paul Vlsoski Jr: - No negative mode - No MLitt cases Southern TIUSt Company Inc: - No negative mead - No court cases The Randal Trust Company: - Negative news In research is false positive and immaterial in nature. The hit is on IRA Financial Trust Company and not our SOW catty The Mendel Trust Company. - Court case pertains to Fest Wendel Trust Company and not our SOW entity The Finandal Trust Company E. To the best of your knowledge, has the diem ever been corniced of a criminal offense? ®yes O No To the best of your knowledge, has the customer ever been Involve:litany past litigation against Deutsche Bank AG Cr any of t subsidiaries or is the customer threatening litigadon against Deutsche I—I _ D i F. Bank AG or any of its subsidiaries? (ft Yes, provide Odd ham erosr=Oct Quately Mgt (fin/MT) or '—' ' es No the Reattetoty Control Group onorhenry Comaence aromas(*) Does the dlent or related party have any firencial or other association (interactions vAthin countries or Llr-i G. regimes sanctioned by the Office of Foreign Asses Control (OFAC)? Ya 2 No Does the dent or related pasty have any financial or other assodation/ interactions within high risk H. Own ga No °contra? I. Corporate Doamentation Attached (Legal Entities Only) LIF4 Yes • No O Not Applicable J. Undisclosed PrOdpal Fern Complete (Intemedaries Cory) O Yes O No 0 Not Applicable K. If Las/axis Search Results, Corporate Documents or Other Supporting Documentation Is not in Engleh, please provide an Engash summary of the natureicoreets of the non-English Documentation: I. Speoal Risk Factors Does the account have Nexus to Special Risk Cambia? O Yes O No Is the account structure unusualy complex? Oyes O No Is there any indcation the client set up a non operating company expressly for r--i the purpose of trwslerring Mares to third parties? Li Yes O No Is thee any indication tints could be a prohibited business relatbnship? Oyes O No Are the bearer shares identified suthect to acceptable controls? Oyes O No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000343 UM92814306 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFFA_00019216 EFTA00168963 KYC Print Page 19 of 20 M. Case Comments Created By Date Comments Aka Bab 11/5/116 4:18 AM Daman Indere on 10/22/18 confirmed that there are no material charges. Vaunts) Chung 11/16/118 L32 PM Ftll CoMmied that the diet via be deang the accounts before the end of the year. Case Si be dosed. 11/16/18 This KYC serves as Periodic Review for the 'elbowing °Astir* teens: (I) Nes I1C (2) Flan D LLC (3) The Haze Trust Risk factors Include: • Source of Wealth (SOW) Industry: Financial Management (managing client assets) • PEP/RCA: Jeffrey Epstein, U60 8 SOW, is conedered an RCA based on Ns dose relationship with Bill anton (Fenner US President) aid Prime Mdrew (BOUM Royal Family) Dutra Manley 11/19111811:42 AM • Media: NegatNe media related to Jeffrey Epsbain has been previously reviewed aid escalated for reputations risk concerns. Evidence of pile approval to proceed with the reatonship Is attached to this case, Including a stipulation to review fuller If new media Is identified. Accordingly, approval from the Divisional Control Officer is attached to Ns KYC in regards to a recency filed (and dismissed) court case. (Please see clearances for more details) We are comfortable signing-off on the KYC for the 'glowing reasons: • Information and supporting documents required by ow, API_ Polley were provided and reviewed. As a result, we have a reasonable understandng of the purpose of the account and expected transaction activity. • The source of wealth was sufficiently detailed and appears plausible. • We performed due diligence searches on all parties and did not Md the names searched to be on any sanctions lists. Yowsun Chung 11/16/118 4:45 PM 'Me ally acoaunt clasIng is the issuance Wig, Atca Bab 8/24/116 5:48 AM No material changes confirmation serail' attached in the case ONSHORE APPROVALS Cent Facing Professional (CFP): Bradley Gain (Sgnature) 10/5/2018 Bradley Galin Office Director/Business Head: Andrew F Gallivan (Signature) 10/9/2018 Mdrew F Galilean Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) Dimity.) Manley CU-ultra Manley 11/19/2018 LATAM/INTERNATIONAL APPROVALS Dreg Ming Professional (CFP): (Signature) Accout Manager: (Signature) Global Market Team Head (GMTH)/Sub- (Signature) tarket Team Head (SSITH): AML Business Risk: (Signature) AML Compliance (Signature) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e(a) DB-SDNY-0000344 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/1928143°7 EFIA_00019217 EFTA00168964 KYC Print Page 20 of 20 PRIVATE WEALTH MANAGEMENTPOLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed toprofessionally serve the interests ofits clients. To do so, Client Facing Professionals!(!) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATIONFOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information is correct and up to date. I confirm that! have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowed all 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 rA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0) DB-SONY-0000345 https://dbforcepb.my.salesforce.com/servletiservletintegration?lid=0 IN30000000D9Di&e... 11MP/28143°8 EFFA_00019218 EFTA00168965