EFTA01252844

KYC Print Paige I in 41 DB PWM GLOBAL KYC/NCA: PART A rA KYC arse y : 01977698 Status : 6. Approved One sheet must be established per relationshi - list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 clang Center: New York Relationship Manager: Stewart Oldfield • New FWM Relationship 121 Usting PM Relationship Relatiorshp to PW?l: If misting, please indicate since when the relationship exists, provide reason for new profile and attach old profile: """ 2018 Periodic Review •"` 2 Client Referral O RM Prospect • Intermediary/PIM O Other Source (CIB, etc.) How Was the Clients) Introduced? How long has the Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein RN personally known the reached out to Stew Oldfleld on 3/7/17 to have a new acct opened under this relationship.. citent? Last Approved KYC 0 - 1790724; Butterfly Trust - Neptune, LW - Does Deutsche Bank pay a • Yes I WI No retrocession or similar compensation to a tNrd party for the inbcduclion of this (If Yes describe/ relationship? List all exisbng and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (Intended/actual) AccouM(s) 1 O & 12/13/2013 2 2 Butterfly Trust 1/24/2014 3 2 Neptune LLC - 10/18/2013 Who 6 the primary contact person or the RM? (Note: This Prefened method of contact person needs to have (Indicate phone no, fax no, email signatory ngNs and/or address, etc.): information right for the acccurios.): SDNY_GM_00037177 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... DB-SONY-0000001 7/11/2019 EFTA_00147790 EFTA01252844 KY( Print Page 2 of 41 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: & MS - DDA Acct. Number 0f avaictel Account Manager: Stewart Oldfiekl What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense account)? This k a checking account for Individuals. They use the funds for dairy expenses. Indicate from where the assets are expected to arrive? gl DB Group: Same Booking Center (indicate account number): Existing El DB Group: Other Booking Center (indicate DB location and account details): O Other Instrtubon - (Indicate name & baton): El Physical Deposits (spedfy cash, seances, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 2-6/month; SI - S2000 What is the expected volume of assets and currency for the account approx. 90 days 24,28199 I Currency I USD after opening? What is the expected volume of assets and currency for the account approx. one year 24,28199 I Currency I USD after opening? Does/will the client have Assets Under Management (AtM) within DB under Er. 3M? O YinI21No Please list all parties related to the account For each party: • Check if a source of wealth desorption is muted for the patty. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f mine 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 o the ultimate/underlying Beneficial Owner(s). r egal Desaipbcn AccountPIC Senior of Jltimate Signators °mite& wand& Significant Legal GrantoriSeulectoundingOther tnbtyof Source Holder Owner Trust / Senervaalor Full POA IntermediaryShareholdcr Representabve Donor (please of Wealth Founder ofr)wner POA (FIM) (>=25%) descnbe required Foundation Yon.PIC other roles entity and/or Parties (indicate indicate related to ownership relationship Mk %) between a:ount ,arbes) 1 O RI I . O YI 21 O O O O O IMI 2 O 121 21 O O El 21 O O 0 E El SDNY_GM_00037178 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000002 EFTA_00147791 EFTA01252845 KYC Print Page 3 of 41 2. Account Ownership Summary Account Name: Butterfly Trust mmBA Ace. Number (rfavaleAret III I Account Manager: Stewart Oldfeld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? This is a money market deposit account to pay all expenses/ disbursements related to the trust. Expenses are taxes, trust fee, etc Indicate from where the assets are expected to arrive? 0 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and amount details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, secunoes, cheques, ...): What is the expected sue and frequency of regular 'flows and outflows for the account (indicate estimated number and volume per month)?: 0.2/month; SO - S1000 What is the expected volume of assets and currency for the account approx. 90 days after 1704,736.63 Currency I USD opening? I What is the expected volume of assets and annoy for the account approx. one year after 704,736.63 Currency USD opening? Does/will the client have Assets Under Management (AiM) within DB under air. 3M? 0 Yes 2 No Please list all pestles related to the account For each party: • Check if a source of wealth description is requred for the patty. • Check the appropriate box to describe the relabonsNp of the party to this accent (> 1 can be selected). • f none of the check boxes apply, describe the peal's relation to the accent in the 'Other" column. • Always describe the relationship between the parties in the last column. • Please doll down to the ultimate/underlying Beneficial Owner(s). r egal Description AcoountPIC Senior of Janet° Sigratenimiteo Financial `Signdicant _egal ZraMor/Settlet-oundng Other intityof Source Holder Owner Rust / 3eneficialor Full 'OA ntermediayShareholderrtepresentative Donor (please of Wealth Founder °Owner POA FIN) >=25%) describe required Foundation Non-PIC other roles entity and/or Patties indicate ndicate related to ownership relationship this %) between account 'ernes) Butterfly 2 T O O Trust O O O O O O O O O Hairy S O • 2 O O Beier • El O O • O O Trustee:: 3 O • i • El • • 5 O O • • O Trustee:, Grantor of Jeffrey E. O O 0 4 O El Epstein O O O O O O O Butterfly Trust: 5 • O O O • 5 O O O O O O 6 O O O O • tr,i O O O • O O 7 O O • O O a O O O O O O 13 O O O O O 12 O O O O O O 0 O O O O O O O O O O O O io O O O O • 5 O O O • O O II • • • El • 5 • O O • • O 12 CONFIDENTIAL - PURSUANT TO FED. R. CC ONFIDENTIAL SDNY_GM_00037179 DB-SONY-0000003 ht tps://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA (H)147792 EFTA01252846 KYC Print Page 4 of 41 O O ODD El O DO O O O 13 MI O itr: K. • O • r O O O • O O 14 O 12 O O O El O O O O O O IS r• OO z O O O O O O 16 O 2 i • O • WO O O O ONFIDENTIAL SDNY_GM_00037180 CONFIDENTIAL - PURSUANT TO FED. R. t DSDNY-0000004 B- I ht tps://db forcepb.my.sa lesforce.corn/servlet/servlet.lntegration?lid=01N 300000001)9 Di & e... 7/11/2019 EFTA_00147793 EFTA01252847 KYC Print Page 5 of 41 2. Account Ownership Summary Account Name: Neptune LLC - 42953424 - DDA Acct. Number (At available). 42953424 Account Manager: Stewart OldfieNd What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? This is a checking account to pay for all expenses (i.e. cream, maintenance, cable, etc.) on Epstein's NYC Mme. Indicate from where the assets are expected to arrive? 0 DB Group: Same Rocking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and a:o3unt details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, seances, cheques, ...): What is the expected sue and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 15-20/month, $10 - $10000 What is the expected volume of assets and currency for the account approx. 90 days after 1207,814.91 I Currency opening? I USD What is the expected volume of assets and cusrency for the account approx. one year after 207,814.91 I Currency opening? I USD Does/will the client have Assets Under Management (Ala) within DB under Eur. 3M? 0 yes 2 No Please list all parties related to the account For each party: • Check if a source of wealth description is reared for the party. • Check the arixopnate box to describe the reladonshe of the party to this accorn (> 1 can be selected). • f none of the check boxes apply, describe the parties relation to the account in the 'Other' column. • Always describe the relatrcoship between the pates in the last column. • Please doll down to the ultenate/underNing Beneficial Owner(s). r egal Description AccountiDIC Setdor of Jldmate Signatory UnteaFirencial Significant Legal Srantor/Settlerl-oundincpther intityof Source Holder Owner Trust / Benehaalor Full POA IntermediaryShereholder Representative Donor (please of Wealth Founder of Owner POA (FIN) (>=25%) describe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate related to ownership relationship this %) between amount parties) Sole Jeffr E. O O • Member of T O 0 Epsteeiny MI 0 O O O O O Neptune LLC; Harry O O • 2 O O Beier • 9 O O O O O 0 0 Damen K. 0 00 0 El 0 0 0 0 0 3 Ineyke Neptune, 0 O O 4 9 9 LLC ❑ O O O O O O O Manager S O O Richard n O O ❑ O O O O O O O D. Kahn " 1 Neptune LLC; CONFIDENTIAL - PURSUANT TO FED. R. CC ONFIDENTIAL SDNY_GM_00037181 DB-SONY-0000005 ht tps://db forcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N300000001)9Di&e... 7/11/2019 EFTA_00147794 EFTA01252848 KYC Print Page 6 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all panes) Indwickurs Name: 0 Date of Birth: Country of Residence: Country of Citizenship: Has client resided outsde of his/her country of nationality Address of primary residence: for 5 yeas or more? Profession/Occupation: Tax ID/ SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: N/A Does the person work as senior extortive of a DB-recognized regulated entity in the Arundel Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles DWIS g No Is the individual a Polbcally Exposed Person (PEP)?(/ Yes, describe) N/A O yes @No To the best of your knowledge, is the individual related to an employee of the DB group?(d O Family • Friendship ?2 None Family or Frienosko, desaite) N/A To the best of your knowledge, is the individual party to a nen-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or arm @ No services)?(✓iesefesoibe) N/A Indicate where and when the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client PrNate Client Place of Bank Officer Name(s) Bank Office: Other Location (speofy): Date: Domicile: Business: O O O O • • • Wealth Details for this indwidual are not filled ri, because they we the sane as for the following person: 3B. Wealth Details (Only for pates requiring source of wealth descnpbon as indicated ri Section 2) Nacre of the IndMdues Business: Homemaker. Solely relies on income from her wife ntio IS a Interior Designer. Pnmary Country of soLrce of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Fords? Other Summarize Source of Wealth: a Bushes Owner OSalary/Earnings O Investment • Inheritance/Skis 2 Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how cid senor accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners how b in business how ma Estimated Annual Income(s): Estimated amount of inflatable assers($): <$1 MM Estimated Net Worth($): <$1 1.1%1 Amount of assets planned to invest wish PWM($): 20,000.00 Other Known Fmanclal Institutions: Insotudon: Country: Est. Assets Under Mgt: Insotudon: Country: Est. Assets Under Mgt: SDNY_GM_00037152 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-000000S EFI'A_00147795 EFTA01252849 KYC Print Page 7 of 41 I ICounty: Institution: at Assels Under Mgt: Please indicate the family situation of the individual (mental status, other family , etc): Married to ONFIDENTIAL SONY_GM_00037183 CONFIDENTIAL- PURSUANT TO FED. R. e DB-SONY-0000007 I https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147796 EFTA01252850 KYC Print Pap 8 of 41 one sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all pates) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Has client resided outsde of his/her country of nationality Address of primary residence: for 5 years or more? Profess on/Ocapation: Tax ID/ SSN: Current Employer: Position/Title/Rank: Address of employer: Does the person work as senior exeartive of a DB-recognized regulated entity in the financial ndusby? or an entity listed on a CO-recognised exchange? (Not applicable for operating entitles O Yes No Is the individual a Pole:tally Exposed Person (PEP)?(/ Yes, deocriee) N/A are @NO To the best of your knowledge, is the individual related to an employee of the DB group?(d El Family • Friendship ?2 None ',mayor Friends/go, dente) N/A To the best of your knowledge, is the individual party to a non-banking relabonshe with Deutsche Bank (e.g., external legal counsel, dent referral source, supplier of goods or O Yes @No services)?(/ Yescfesoibe) N/A Indicate where and Mien the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Gent Private Client Place of Bank Officer Name(s) Bar* Offir Other Location (speofy): Date: Domicile: Business: Stewart Oldfield O • @ 6/23/2017 O O O O • • O Wealth Details for this indrodual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnpbon as indicated in Section 2) Nature of the IndMduaFs Business: Intenor Desgn Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? Other Summarize Source of Wealth: a Bushes Owner OSalary/Earnings O Investment • Inhentance/Gifts O Other: Father Oescnbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how 6d sctdor accumulate wealth? For inheritance, how did family accumulate wealth?Fce business owners how Ion In business hard ma em s level of rofitabill Indicate of business countries of Estimated Annual Income(5): 150,000.00 Estimated amount of investable assers($): <$1 MM Estimated Net Worth($): <$1 Mel Amount of assets planned to invest with PW6I($): 2,000.00 Other Known Frencial Insotutions: Insbtution: Country: Esc Asses Under Mgt: Insttution: Country: Esc Asses Under Mgt: Insbtudon: Country: Esc Asses Under Mgt: SDNY_GM_00037184 CONFIDENTIAL— PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000008 EFTA_CIO147797 EFTA01252851 KYC Print Page 9 of 41 Please indicate the family situation of the mdMdual (mental status, other family members, etc.): Married to ONFIDENTIAL SDNY_GM_00037185 CONFIDENTIAL - PURSUANT TO FED. R. t DB-SDNY-0000009 I https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147798 EFTA01252852 l'rint Page 10 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all pales) lixlividual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: Virgin Islands, US. Country of Citizenship: United States Has client resided outs de of Little Sant Jams Sant Thomas 03802 Wgin Islands, U.S. his/her country of nationality • Ys No Address of primary residence: for 5 yeas or more? Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Trust Company Inc Poston/Title/Rank: President Address of employer: 6100 Red Hock Quarter B3 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the finardal r-i ,., ndusby? or an entity listed on a e 08-recognised (Not applicable for operating entitles L-I Ys ke No Is the individual a Poetically Exposed Person (PEP)?(d Yes, describe) Comecten with Prince 2 Yes O ND Andrew and BA Onton To the best of your knowledge, is the individual related to an employee of the 08 group?(d Fan*)' or Mends*, (*sate) N/A o Pansy In Friendship 74 None 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 source, supplier of goods or O Ys RI No services)?(d Vac/ego/be) 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 Bank Officer Name(s) Bank Office: Other Location (speofy): Date: Domicile: Business: Stewart Oldfield I • • 6/28/2017 O ❑ O • • • O Wealth Details for this indrodual are not filled n, because they are the sane as for the following person. 3B. Wealth Details (Only for parties requiring source of wealth descnpnon as indicated in Section 2) Nattre of the Individuals Business: Private investments Pommy Country of mice of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Fuels? High Risk Financial Institutions Summarize Source of Wealth: Business Owner O Salary/Eamings 0 Invesmient . Inhentance/Gifis O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusrs, how did senior accumulate wealth? For inhertance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of mayor activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American finanoer and registered sex offender in the United States. He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School Ill Manhattan from 1973 to 1975. Among his students was a son of Man C. Greenberg, chairman of Bear Steams. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advising high-net-worth clients on tax strategies. Proving suaessful ri his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his corn financial management firm, J. Epstein & Co., menacing the asses of dents with more than $1 eon in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of woment clothing stores, became a well-known client. Wexner acqured Abercrombie & Fitch the followrig year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the wealthiest pat of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based et on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bed to acquire New York magazine. Other bidders were adverting executive Donny Deutsch, investor Nelson Pelt, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million. In 2004, Epstein and Zuckerman committed up to $25 mean to finance Radar a celebrity and pop culture magazine founded by Meer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. SDNY_GM_00037186 CONFIDENTIAL — PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000010 EFTA_00147799 EFTA01252853 KYC Print Page 11 of 41 Presently, Mr. Epstein fancied Southern Trust Company In:, a private consulting company that invests the assets of their Rents and gets their revenue from the return of these investmenis. Southern Trust Invests in different portfolios catered to their clients and makes their revenue based cn the returns and the fees associated with managing their dent's assets. Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets($): SSO MM - 100 MM Estimated Net Worth($): SRO MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known Francis' Institutions: Institution: Country: Est Assets Under Mgt: Insotution: Country: Est Assets Under Mgt: Insttution: Country: Est Assets Under Mgt: Please indicate the family situation of the tridiwclual (mental status, other family , etc): N/A SONY_GM_000371S7 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000011 EFTA_00147800 EFTA01252854 KY(' Print Page 12 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlt, Summa 3A. Individual Details (for all pates) Indrockel's Name: Harry Belle: Date of Birth: Country of Residence: Country of Citizenship: Has client resided outside of his/her country of nationality Address of primary residence: for 5 years or more? Profession/Occtpation: ax ID / SSN: Current Employer: •• engine/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes g No Is the individual a Poll:tally Exposed Person (PEP)?()Y Yes, describe) N/A arm @NO To the best of your knowledge, is the indMdual related to an employee of the DB group?(r O Family • Friendship ?4 None 'amebic( Friendsko, desaite) N/A 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 source, supplier of goods or O Yes M No servlo)?(if Yesdescbbe ) N/A Indicate where and nten the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client PrNate Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O • O O ❑ O ❑ • ❑ • Wealth Details for this indwidual are not tilled ri, because they are the sane as for the fonvinng person: 3B. Wealth Details (Only for pates requiring source of wealth descnption as indicated .n Section 2) Nature of the IndMduS's Business: Pnmary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For mete, how rid settlor accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Amual Income(S): Estimated amount of inflatable assers($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Frondes Institutions: Institution: Country: at. Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: SDNY_GM_00037188 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000012 EFTA_00147801 EFTA01252855 KYC Print Page 13 of41 Please indicate the family stuaton of the rig:kw:Wel (mental status, other family members, etc): I SDNY_GM_00037159 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000013 EFTA_00147802 EFTA01252856 KY(' Print Page 14 of 41 one sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all pates) Individual's Name: Enka Kellerhals • Date of Birth: Canby of Residence: • nby of Citizenship: client resided outside of is/her country of nationality Address of primary tes ce: or 5 years or more? Profession/Ocapation: ax ID/ SSN: Current Employer: •• Wilde/Rank: Address of employer: 02 Does the person work as senior executive."( a DB-recognized regulated entry In the financial Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities El WIS g No Is the individual a Poldcally Exposed Person (PEP)?(/ Yes, describe) N/A O YeS g NO To the best of your knowledge, is the individual related to an employee et the DB group?(, O Family • Friendship 74 None Famlyor AnYnOsigo, desafte) N/A 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 nice, supplier of goods or • Yes ca No services)?(✓ Yadesoibe) N/A Indicate where and nten the client meeting(s) took place: if applicable, indicate which bank officers have met the person: Oent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (speofy): Date: Domicile: Business: O • O • • • • Wealth Details for this individual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for pates requiring source of wealth description as indicated in Section 2) NatLre of the IndMduars Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner O Salary/EarnIngs O investment O Inhentance/Gifts O Other: Father Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how rid setdor accumulate wealth? For mhentance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Amual Income(S): Estimated amount of Myra:table assers($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Fronde' Institutions: Instation: Country: at Asses Under Mgt: Insttution: Country: at. Asses Under Mgt: Institution: Country: at. Assets Under Mgt: SDNY_GM_00037190 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000014 EFTA_00147803 EFTA01252857 KYC Print Page 15 of 41 Please indicate the family situation of the rdivilual (mental status, other family members, etc): I SDNY_GM_00037191 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000015 EFTA_00147804 EFTA01252858 KYC Print Page 16 of 41 one sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all parties) Indivickers Name: Date of Birth: Country of Residence: Country of Citizenship: I Has client resided outsde of I his/her country of nationality Address of primary residence: for 5 years or more? Profession/Occupation: Tax ID/ SSN: I Current Employer: Position/Title/Rank: I Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial Mushy? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes n No Is the individual a Politically Exposed Person (PEP)?(/ Yes, describe) N/A O Yes 2 No To the best of your knowledge, is the individual related to an employee of the DS group?(r O Family • Friendshp ?2 None Task)i or Friends/go, desaite) N/A To the best of your knowledge, is the individual party to a nen-banking relabonship with Deutsche Bank (e.g., external legal counsel, dent referral source, supplier of goods or • Yes g No sennces)?(/ Yescfesoibe) N/A Indicate where and nten the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client PrNate Client Place of Bank Officer Name(s) Bar* Office: Other Location (speofy): Date: Dancile: Business: O O O • • • • Wealth Details for this midis/dual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for pates requiring source of wealth descnption as indicated tn Section 2) Nature of the IndMduals Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Sunvnarize Source of Wealth: a Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how rad 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 attMtles, important business partners.) Estimated Amual Inoome(S): Estimated amount of Investable assers($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Frontier bettutions: Insttution: Country: at Asset Under Mgt: Insttution: Country: at Asset Under Mgt: 'monition: Country: at. Asset Under Mgt: SDNY_GM_00037192 CONFIDENTIAL— PURSUANT TO FED. R. IA I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000016 EFTA_00147805 EFTA01252859 KYC Print Page 17 of 41 Please indicate the family situation of the ridIv4ual (marital status, other family members, etc.): I SDNY_GM_00037193 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000017 EFTA_00147806 EFTA01252860 KY( Print Page 18 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. ACCOMIT OWnershlo Summa 3A. Individual Details (for all parties) Inclwkluars Name: Date of Birth: Country of Residence: I Country of Otizenship: Has client resided outside of his/her country of nationality Address of primary residence for 5 years or more? Profession/Occupation: I Tax ID/ SSN: Current Employer: I Position/Title/Rank: Address of employer: Does the person work as senior executive of a 05-recognized regulated entity in tne financial ndustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating entities O es g No Is the individual a Poldcally Exposed Person (PEP)?(1YES, describe) N/A O Yes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(r 0 Family II Merida* 74 None Family or Friencisko, desaite) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Barg (e.g., external legal courser, client referral sane, supplier of goods or • Via ca No servlo)?(if Yesdesolbe) N/A Indicate where and Mien the client meetirg(s) took place: If applicable, indicate which bank officers have met the person: Clent Private Client Place of Bank Officer Name(s) Bank Ofkr Other Location (specify): Date: Domicile: Business: O • O O ❑ • • • Wealth Details for this indrodual are not filled n, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2) Nature of the IndMduals Business: Primary Country of source of wealth/source of Funds? Primary industry of sane of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Esther Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how 6c1 setdor accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major adMbes, important business partners.) Estimated Amual Income(S): Estimated amount of inflatable assers($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Frontal Insbtutions: Instation: Country: at Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: SDNY_GM_00037194 CONFIDENTIAL— PURSUANT TO FED. R. IA I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-000001S EFTA_DO147807 EFTA01252861 KYC Print Page 19 of 41 Please indicate the family situation of the ridiwlual (mental status, other family members, etc.): I SDNY_GM_00037195 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000019 EFTA_00147808 EFTA01252862 KY(' Print Page 20 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlo Summa 3A. Individual Details (for all parties) Indrackal's Name: Cote of Birth: Country of Residence: Country of Citizenship: Has client resided outsde of his/her country of nationality Address of primary residence: for 5 years or more? Profession/Occupation: Tax ID/ SSN: Current Employer: Positicagele/Rank: Address of employer: Does the person work as senior executive of a D8-recognized regulated entity In the finandal n c-n Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities i__, You ci No Is the individual a Politically Exposed Person (PEP)?(t Yes, describe) N/A O Yes @NO To the best of your knowledge, is the individual related to an employee of the DB group?(, O Family • Friendshp ?2 None Family or Friends*, desaite) N/A To the best of your knowledge, is the individual party to a ncei-banking relationship with Deursee Bank (e.g., external legal counsel, dent referral source, supplier of goods or are 12 No services)?(if Yesdesoibe) N/A Indicate where and nten the client meeting(s) took place: If applicable, indicate which bank offerers have met the person: (bent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O • O • • • • Wealth Details for this indrodual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2) Nature of the IndMduS's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Busbies Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Firther Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how (id settle accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Amual Income(s): Estimated amount of invistable assers($): Estimated Net Worth($): Amount of assets planned to invest with PVAM($): Other Known Fronde Irettutions: Institution: Country: at. Asses Under Mgt: Insotution: Country: at. Asses Under Mgt: Institution: Country: at. Asses Under Mgt: SDNY_GM_00037196 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... DB-SONY-0000020 7/11/2019 EFTA_00147809 EFTA01252863 KYC Print Page 21 of 41 Please indicate the family situation of the riclivglual (marital status, other family merntes, etc): I SDNY_G11,1_00037197 CONFIDENTIAL— PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000021 EFTA_00147810 EFTA01252864 KYC Print Page 22 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all pact ) Individual's Name: Date of Birth: Country of Residence: Country of Citizenship: Has client resided outsde of his/her country of nationality Address of primary residence foe 5 years or more? Profession/Occupation: Tax ID/ SSN: Current Employer: Posticngitle/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the finandal Mustry? or an entity listed on a C43-recognised exchange? (Not applicable for operating entitles 1:1 yeS g No Is the individual a Poldcally Exposed Person (PEP)?(1Yes, describe) N/A O yes gin° To the best of your knowledge, is the individual related to an employee of the DB group?(r 0 Family • Friendshp ?2 None fame)' or Friencisko, desaite) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal courses, client referral san e supplier of goods or • Yes EA No servlo)?(if resdesolbe) 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 Bank Officer Names) Bar* Office: Other Location (speo(y): Date: Domicile: Business: O O O • • • • Wealth Details for this indrodual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnpuon as indicated in Section 2) Nein of the Individuals Business: Pnmay Country of suede of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Busbies Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Rather Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how tad setdor accumulate wealth? For inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activibes, important business partners.) Estimated Annual Income(S): Estimated amount of invistable assers($): Estimated Net Worth($): Amount of assets planned to Invest with PWM($): Other Known Fronde Insbtutions: Institution: Country: at Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: SDNY_GM_00037198 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000022 EFIA_00147811 EFTA01252865 KYC Print Page 23 of 41 Please indicate the family situabon of the riclivolual (mantal status, other family merntes, etc): I SDNY_GM_00037199 CONFIDENTIAL - PURSUANT TO FED. R.IC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000023 EFTA_00147812 EFTA01252866 KYC Print Page 24 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershln Summa 3A. Individual Details (for all panes) Indwkluars Name: Date of Birth: Country of Residence: Country of Citizenship: Has client resided ouLede of his/her country of nationality Address of primary residence for 5 years or more? Profession/Ocapation: Tax ID/ SSN: Current Employer: Poseicagele/Rank: Address of employer: Does the person work as senior executive of a DS-recognized regulated entity in tne financial Mustry? or an entity listed on a 08-recognsed exchange? (Not applicable for operating entities afagNo Is the individual a Pokkally Exposed Person (PEP)?(/ Yes, desolbe) N/A O YeS 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(r, O Panay • Friendship ?2 None Family or Frienoshfo, (*sate) N/A To the best of your knowledge, is the individual path to a non-banking relationship with Deutsche Bait (e.g., external legal counsel, client referral source, supplier of goods or arm 12 No serolo)?(if ftulescibe) N/A Indicate where and Mien the client meeting(s) took place: If applicable, indicate which bank offerers have met the person: Clent Private Client Place Bank Officer Name(s) Bar* Offir of Other Location (specify): Date: Domicile: Business: O O O O ❑ • • • Wealth Details for this indrodual are not filled n, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2) NatLre of the IndMduats Business: Pnmay Country of soLrce of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For mum, how 6c1 minor accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Annual Income(S): Estimated amount of invaable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Fronde' Irettutions: Isolation: Country: at. Assets Under Mgt: Insbtution: Country: at. Assets Under Mgt: Insbtution: Country: at. Assets Under Mgt: SDNY_GM_00037200 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000024 EFTA_00147813 EFTA01252867 KYC Print Page 25 of 41 Please indicate the family situation of the individual (mental status, other family members, etc.): I SDNY_GM_00037201 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000025 EFTA_00147814 EFTA01252868 KYC Print Page 26 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OWnershlo Summa 3A. Individual Details (for all part) Individual's Name: Date of Birth: Country of Residence: Country of Odzenship: Has client resided outside of his/her country of nationality Address of primary residence: for 5 years or more? Profession/Occupation: Tax ID/ SSN: Current Employer: Position/Title/Rank: Address of employer: Does the person work as senior exenitive of a DB-recognized regulated entity in the finanoal ❑ ri ,., ndusby? or an entity listed on a CO-recognised exchange? (Not applicable for operating entities i_i yesi•A No Is the individual a Poldcally Exposed Person (PEP)?(/ Yes, describe) N/A af in 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(f O Farnity • Friendship ?2 None Fame)' or Friendsko, desaite) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal courser, client referral sower supplier of goods or •Yes ® No servlo)?(if Yesdesolbe) N/A Indicate where and Mien the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Office Name(s) Bank Office: Other Location (seedy): Date: Domicile: Business: O • O E • • • • Wealth Details for this indrodual are not filled ri, because they are the sane as for the following person. 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2) Nature of the IndMduS's Business: Pnmary Cotrivy of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Felber Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For amts, how (id sctdor 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 actMbes, important business partners.) Estimated Amual Income(S): Estimated amount of invistable assers($): Estimated Net Worth($): Amount of assets plamed to invest with PWM($): Other Known Fronde' Institutions: Instation: Country: Est Asses Under Mgt: Institution: Country: Est Asses Under Mgt: Institution: Country: Est Asses Under Mgt: SDNY_GM_00037202 CONFIDENTIAL— PURSUANT TO FED. R. IA I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000026 EFTA_001478 I 5 EFTA01252869 KYC Print Page 27 of 41 Please indicate the family stuatan of the ricliv4ual (mental status, other family members, etc): I SDNY_GM_00037203 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000027 EFTA_00147816 EFTA01252870 KY(' Print Page 28 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indwickars Name: I Date of Birth: Country of Residence: I Country of Citizenship: Has client resided outsde of his/her country of nationality Address of primary residence: for 5 years or more? Profession/Occupation: Tax ID/ SSN: Current Employer: I Poseicngele/Rank: Address of employer: Does the person work as senior executive of a De-recognized regulated entity in tne finance, Mustry? or an entity listed on a 08-recognsed exchange? (Not applicable for operating entities El Yes g No Is the individual a Politically Exposed Person (PEP)?(1Yes, (Scribe) N/A El yes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(, O Family • Friendshp ?2 None Family or Friend00, (*sate) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bard( (e.g., external legal counsel, client referral sane, supplier of goods or • Yea Ea No services)?(if fendescibe) N/A Indicate where and wren the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: El • El El • • ❑ • Wealth Details for this individual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated Li Seam 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: • Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For tra how &I senor accumulate wealth? For Inheritance, how did family accumulate wcalth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activibes, important business partners.) Estimated Amual Income(S): Estimated amount of invaable asseis($): Estimated Net Worth($): Amour of assets planned to invest with PVAM($): Other Known Frontier Install:ions: Institution: Country: at. Assets Under Mgt: Insbtution: Country: at. Assets Under Mgt: Institution: Country: at. Assets Under Mgt: SDNY_GM_00037200 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SOW-0000028 EFIA_00147817 EFTA01252871 KYC Print Page 29 of 41 Please indicate the family situation of the riclivolual (marital status, other family merntes, etc): I SONY_GM_00037205 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000029 EFTA_001478 I 8 EFTA01252872 KYC Print Page 30 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OWnershlo Summa 3A. Individual Details (for all parties) Indtackal's Name: Doren K. Indyse . 00000486405 Date of Birth: Country of Residence: Country of Citizenship: Has client resided outsde of his/her country of nationality Address of primary nrldence: for 5 years or more? Profess on/Ocapation: Tax ID / SSN: Current Employer. Position/Ode/Rank: Address of employer: Does the person work as senior extortive of a DB-recognized regulated entry In the financial Mustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating entities 1:1 'I'm @No Is the individual a Poldeally Exposed Person (PEP)?(/ Yes, describe) N/A El yes @No To the best of your knowledge, is the individual related to an employee of the DB group?(d 0 Fan* • Friendship 74 None Family or Friends/go, descend) N/A 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 soiree, supplier of goods or arra @No services)WeVescfesoibe) N/A Indicate where and kayo the client meetirg(s) took place: If applicable, indicate which bank officers have met the person: pent Private Client Place of Bank Officer Name(s) Bar* Offxr Other Location (speofy): Date: Domicile: Business: Stewart Oldfield • O 12112/2016 O O O • • • O Wealth Details for this individual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2) Nairn of the Individuat Business: Pnmay Country of source of wealth/source of Funds? Pnmay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner OSalary/Earnings O Investment • Inhentance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how rid senor accumulate wealth? For inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? IndicaW type of business, countries of major activibes, important business partners.) Estimated Amual Income(s): Estimated amount of Investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PVAM($): Other Known Fronde' Insztutions: Instation: Country: at. Assets Under Mgt: Insbtution: Country: at. Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: SDNY_GM_00037206 CONFIDENTIAL— PURSUANT TO FED. R. IA I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000030 EFTA_00147819 EFTA01252873 KYC Print Page 31 of 41 Please indicate the family situation of the tdMdual (marital status, other family merntes, etc): I SDNY_GM_00037207 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000031 EFTA_00147820 EFTA01252874 KYC Print Page 32 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all panes) Individual's Name: Richard D. Kahn • 00000486407 Date of Birth: Counby of Residence: Counby of Citizenship: Has client resided outsde of his/her country of nationality Address of primary residence: for 5 years or more? Profession/Occupation: Tax ID / SSN: Current Employer: PositerVIAle/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial n .., L -I Yes i•A No ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles Is the individual a Pokkally Exposed Person (PEP)?(/ Yes, describe) N/A arm @ No To the best of your knowledge, Is the individual related to an employee of the DB group?(an, O Family • Friendship 74 None Fame, or Friends*, reseed) N/A To the best of your knowledge, is the individual party to a non-baniang relabonship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes @ No sennces)?(/ Yescfesoibe) N/A Indicate where and nten the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (speofy): Date: Domicile: Business: O O O O ❑ • • • Wealth Details for this individual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnpbon as indicated in Section 2) NatLre of the IndMduars Business: Pnmay Country of soLrce of wealth/source of Funds? Pnmay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: • Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Father Describe Source of Wealth /Detail the history of weath for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Amual Income(S): Estimated amount of inviable assers($): Estimated Net Worth($): Amotrit of assets planned to invest with PWM($): Other Known Friancial Institutions: Inanition: Country: at Assets Under Mgt: Inanition: Country: at. Assets Under Mgt: Inanition: Country: at. Assets Under Mgt: SDNY_GM_00037208 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000032 EFTA_00147821 EFTA01252875 KYC Print Page 33 of41 Please indicate the family situation of the mdMdual (marital status, other family members, etc): I SDNY_GM_00037209 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000033 EFTA_00147822 EFTA01252876 KY(' Print Page 34 of 41 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OWnershln Summa 3A. Individual Details (for all pales) Indmokers Name: I Date of Birth: ■ Country of Residence: I Country of Citizenship: ■ Has client resided outsde of his/her country of nationality Address of primary redden for 5 years or more? Profession/Occipabon: I Tax ID/ SSN: ■ Current Employer: I Position aitle/Rank: ■ Address of employer: Does the person work as senior executive of a D5-recognized regulated entity in the Manual Mustry? or an entity listed on a OS-recognised exchange? (Not applicable for operating entities O yes E No Is the individual a Poll:ally Exposed Person (PEP)?(/ Yes, describe) N/A O Yea 2 No To the best of your knowledge, Is the indiedual related to an employee of the DB group?(f O Family • Friendship 74 None Task)i or Friends*, desaite) N/A To the best of your knowledge, is the individual party to a non-baniang relabonshe with Deutsche Bank (e.g., external legal counsel, diem referral source, supplier of goods or • Via ® No servlo)?(if Yesdesoibe) N/A Indicate where and nten the client meetirg(s) took place: If applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bar* Office: Other Location (seedy): : • Ile: Business: O • O O ❑ O • • ❑ • Wealth Details for this 'Manual are not filled ri, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated ..n Section 2) Nature of the IndMduars Business: Pnmay County of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how rad setdor accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of mayor actMbes, important business partners.) Estimated Amual Inoome(S): Estimated amount of inflatable assers($): Estimated Net Worth($): Amount of assets planned to invest with PWFI($): Other Known Fronde Institutions: Inanition: Country: at Assets Under Mgt: Inanition: Country: at. Assets Under Mgt: Instartion: Country: at. Assets Under Mgt: SDNY_GM_00037210 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000030 EFIA_00147823 EFTA01252877 KYC Print Page 35 of 41 Please indicate the family situation of the rdivAlual (mental status, other family members, etc.): I 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: Butterfly Trust - 03000486426 Private Invonbnent • O Foundation/Assooabon RI Trust O Company O Estate ,.. Type of Entity: Purpose of Entity: Philanthropic/Charitable O O Partnership Commerdal Purpose of Entity Type of Entity Other (speofy): Other (speafy): Country of Won Islands, U.S. Date of incorporation / 12/27/2006 incorpotabon/registrabon: reostrabon: Identified on Customer Profile No Volcker Status: Volcker Rag: Address c 6100 Red Hock Quarter 83 St, Thomas 00802 Virgin (ity, street, post Islands, U.S. T1N/EIN: 26-6639711 U.S. code): Provide a description of the entity's organizational structure, it ownership structure and es Top Management. For trusts/foundations, .dude informabon about revocablitysetdot and teneboaneAetc: This IS an irrevocable trust set Lp by )Hfrey Epstein as the grantor. The the benefioades for the trust we beng updated by the arrent trustees. The trustees Ilerhals. The beneficianes are: SDNY_GM_00037211 CONFIDENTIAL — PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000035 EFTA_00147824 EFTA01252878 KYC Print Page 36 of 41 ttached are the original trust agreernent and the addax:di/Web:di of beneficiary instrument to support this change. According to the original trust agreement, trustees have the right during the lifetime of the Grantor to delete or add beneficiaries under Article 3 of the agreement. Please indicate how ownership of the legal entity is reflected: Addition of Beneficranes attached O Special attention: Bearer Shares - Indicate where shares are custodial: Desaibe the chasi from the direct owner of the entity to the ultimate tenefioal owner Ofnot the same pasoreft. 'Ms is an irrevocable trust set up by Jeffrey Epstein as the grantee. The the beneboanes for the trust are bang updated by the current trustees. The trustees we Harry Beller and Enka Kellerhals. The beneficlades are: 1"7 .-117: 7 Richard Kahn To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Vow O No0 IA Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Tn.st account Countries where business is transacted: %/risen Islands, US. Number of employees: N/A 3D. Wealth Profile (Only for parties requiring source of wealth desorption as indicated in Section 2) Primary Country of source of wealth/source of Funds? United States Primary Industry of source of Wealth/Source of Funds? High Risk Financial Institutions Provide Evidence of Corporate Asset (e.g. balance sheet or equivalent summary of assetsAabilities): Trust account with Jeffrey Epstein as Grantor. Mel $100 given to the account to fund. The funds for this trust account come from investmenis made by Jeffrey Epstein. His wealth profile is filled out. Estimated gross receipts p.a.($): 4,500,000.00 Estimated net profit p.a. (5): 4,500,000.00 Estimated investable assets ($): $S MM - 10 MM Potential Amount to be Invested with PWM ($): 700,000.00 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. Account Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Neptune, LLC - 00000487264 0 Private Investment O • Foundation/Assooation O Trust OCompany O S tate ,,.. Type of Entity: rurimse of Entar Phdanthrop:c/Chantable O • Partnership Commercial Purpose of Entity Type of Entity Other (speofy): Other (specify): Country of United States Date of incorporation / 12/21/2011 Incorporation/registration: regstration: SDNY_GM_00037212 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000036 EFTA_00147825 EFTA01252879 KYC Print Page 37 of 41 Identified on Customer Profile No Volcker Status: Voider Flag: 6100 Red Hock, Quarter 83 St,. Thomas 00802 Virgin Islands Addrins (city, street, post ' U.S. TIN/UN: 45-4093384 .S. code): Provide a desaipbon of the entity's organizational structure, its ownership structure and is Top Management. For trusrs/foundabons, exude Information about revocablity,settlor and beneliciaties,etc: Single iiC. LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Harry Beier, Darren Indylce. Richard Kahn is the manager. Please indicate how ownership of the legal entity is reflected: Operating Agreement li Special attention: Bearer Shares - Indicate where shares are custodied: Describe the than from the direct owner of the entity to the ultimate teneficial owner (I not the same persons). Single member LLC. Jeffrey Epstein is the sole member. The signors on the account are Jeffrey Ea n Harry Beller, and Darren S In . Richard Kahn is manager. To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bark (e.g. external legal counsel, client referral source, supper of goods or services)?: Yes O Noe N/A Describe Nature of Entity's Primary Business and Investment Activities TNs LW was formed to hold the funds necessary to cover the Boss and taxes associated ivith Nature of the tosiness. 'Inning Jeffrey Epstein NYC home Countries where business is transacted: United States Number of employees: 3 3D. Wealth Profile (Only for panes requnng source of weath descnoon as indicated in Sei. 2) Primary Country of solace of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Rnancial Insttutions Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/babilities): This LLC is funded by contributions made by Jeffrey Epstein. Estimated gross receipts p.a.($): 1,000,000.00 Estimated net profit p.a. (5): 1,000,000.00 Estimated investable assets (5): <El MM Potential Amount to be invested with PWM (5): Other Known Fronde Irebtutions: Institution: Casty: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037213 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000037 EFTA_00147826 EFTA01252880 KYC Print Page 3S 0141 DB PWM GLOBAL KYC/NCA: US/1st/kin/Intl PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center 2 NY O Moderate O Offshore n 2 High Risk NY/Offshore Risk (Compliance Signature) O DB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 2 Covers License 2 Passport ONana-hal/State ID 00ther : Darren lndyke & Richard Kahn GCIS Checklist of names (individuals and/or entries) that were summed fordatabase searches is B. attached 2 Yes D No C. Please indicate the rcsuks of the database searches performed RDC searches complete In YES • No negative results found 74 Yes O No PCR checks complete In yes • No negative results found r; yes O No OFAC checks complete Eyes O No negative results found Ores ENO BIS searches compete (Leris/Nexis, Factrva, Reuters, Dow Jones, D&B) in YES O No negative results found n yes O No Denial Orders checks complete al yes • No negative results found • YES RI No Martindale-Hubbell searched (Lawyers/Law Firms only) n yes • No negative results found • YES g NO D. Please summanze any negative results from the database searches indicated above: Harry Beller: - No negative media . Hany Belter is the plaintiff in the court case, also it has been disposed. Butterfly Trust: - No negative mega Jeffrey Edward Epstein: - Negative media relates to the sex offence ri the past which are already cleared. (KYC 0 - 01790655) - Court cases relates to Jeffrey's sex offence in the past which is already cleared, another is a recent ongoing civil lawsuit pertaining to fraud, but part of normal business operations for this client. And in one of the case he's nether defendant nor plaintiff. His Just named as a respondent and the case is immaterial in nature. - Criminal Rings relates to sex offence which is already cleared in the past - RDC alert found - Sex offences In the past which has been cleared - Clearance attached. Darren Indyke: - Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature. - Court case mentioned in Google search relates to Jeffrey Epstan's sex offence in the past vitidi has been cleared already. Darren is Just an attorney for Jeffrey in the case. - Fircosoft alert has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Ara and was cleared in the pevicus KYCs. Attached clearances - RDC alert found - realates to violation of NYSE Arca Equities Rule - Clearance attached SDNY_GM_00037214 CONFIDENTIAL — PURSUANT TO FED. R. t I ONFIDENTIAL https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000038 EFTA_00147827 EFTA01252881 KYC Print Page 39 of 41 Enka Ketterha's: No negative media - No court cases Neptune LLC: No negative media No Court CASES JSC Interiors LLC: - No negative media - No coot cases Southern Trust Company Inc - No negative media - No court cases E. To the best of your knowledge, has the client ever been convicted of a criminal offense? @Yes O No To the best of your knowledge, has the customer ever been involved in any past litigation against E. Deutsche Bank AG or any of is subsidenes or is the customer threatening litigation against Deutsche Bank AG or any of ts subsidiaries? (If Yes, prow* *bob below and cvnwct Rusittrl'igt. ❑Yes 2 No (lablekaltl)0, toe Regulatory, Coned Groqo andnoleyComploweImmediately) Does the client or related party have any financial or other association / interactions within countries n ra G Yes mj No ' or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Does the client or Sated party have any finandal or other associabort/ interactions within high Ask H. Yes 12 No oountries? I. Corporate DoaollEllretkn Attached (Legal Entities Only) 2 Yes CI No CINot Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes El No 2 Not Applr_able K. If Lexis/Neds Search Results, Corporate Dxumenis or Other Supporting Documentabon is not in English, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? Dyes 2No Is the account structi.re unusually complex? at 2 to, Is there any Indication the client set up a non operating company expressly ❑yin No for the purpose of transferring shares to third parties? Is there any indication this could be a prohibited business relationship? Dyes ®No Are the bearer shares identified subject to acceptable controls? Oyu 2No SDNY_GM_00037215 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SOW-0000039 EFTA_00147828 EFTA01252882 KYC Print Page 40 of 41 M. Case Comments Created By Date Comments This KYC saves as a hi h risk u to for the below listed diets (together "accentholders") - I. & 2. Butterfly Trust 3. Neptune LLC Selow are the reasons why we are comfortable with approving this Mt: • Information and supporting documents required by our AML Policy were provided and reviewed; and as a -esult, we have an understanding of the structure of the accentholders, then purpose, the purpose of the accounts and emected transaction amity. • There are a few nsk factors associated with the accountholders — Ks!,itn Gdani 9/2$1118 10:04 AM SOW: The UBO (Jeffrey Epsten) is the founder of Southern Tnst Company Inc, which manages dent's assets. SOW venficaten was obtained. Negatwe Media & PEP: There is some negative media aganst Mr Epstein and he is also maintains a dose relationship with Bill Ointon and Ponce Andrew. Please see risk calculator for more information. Appropriate approval was obtained. • Our review did not identdy any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on all parties and did not find the names searched to be on any sanctions Ms Mayor Rathod 9., 3,' I IS 3:17 AM No material changes confirmation "email attached in the case. ONSHORE APPROVALS Ghent Facing Professoriat (CFP): Stewart Oldfied (Signature) 9/S/2018 Stewart old led Office DeectoriBusness Head: Steven Mattes (Signature) 9/6;2018 Steven Mattis Regional Office Director: (Signature) AML Brmness Risk: (Signature) AML Compliance: (Signature) iCshiti) Golan Kshitd Golani 9/25/2018 LATAM/INTERNATIONAL APPROVALS Glint Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (GHTH)/Sub-flerket Team Head (SMTH): AML Business Risk: (Signature) AML Camplia^c,, (Signature) SONY_GM_00037216 CONFIDENTIAL — PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000040 EFTA_00147829 EFTA01252883 KYC Print Page 41 of 41 PRIVATE WEALTHMANAGEMENTPOLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals1(1) (CFP's) should establish andmaintain business relationships only with persons who swish, our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP'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 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 ofthe client(s) and that I havefollowed all theprocedures relating to account opening as described in the PWMAmericas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CPR's) include: Relationship Managers, Wealth Advisors, Product Officers, Broken, Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00037217 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000041 EFTA_00147830 EFTA01252884