KYC Print

KYC Print Page I of 42 DB PWM GLOBAL KYC/NCA: PART A KYC Case R : 01804531 One sheet must be established per relationship - list all accounts Included In the relatlonshi 1. Relationship Details Relations* Name: EPSTEIN, JEFFREY RELATIONSHIP:00030483290 Booking Center New York Relations* Manager Stewart Olelfield O New PWM Relationship 121 Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship costs, provide reason for new profile and attach old profile: "'This KYC IS a periodic review for high risk remediabon"• Odra' KYC1121946 1 2 Client Referral O WI Prospect O Intermediary/FIN O Other Source (CIB, etc) How Was the Oent(s) Introduced? How long has the RM perscrially known the client? Please provide details (e.g. name of referral source, how many years PM personally ha known dent, etc.): Jeffrey Epstein reached out to Stew Creed on 3/7/17 to have a new acct evened under Zorro Management LLC and add two new signors to tts new acct only. Does Deutsche Bank pay a raccesszon or similar O Yes 12 No compensation to a third party for the introduction of this relationship? (if Yes desalbeA Ust all dating and new account involved in this relationship Legal Entity Acoaunt(s) Account Name) Number Opefrng Date (intended/actual) 1 2 The Haze Trust - Depost-42967287 2/27/2017 2 a Butterfly Trust - Deposit-44130552 1/24/2014 3 a The 2007 Jeffrey E. Epstein Insurance Trust 03 - Deposit-42953694 1011612013 Who Is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the amounts.): Darren indyke Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): Stabs : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000258 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e...UM92814221 EFIA_00019131 EFTA00168878 KYC Print Page 2 of 42 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: The Haze Trust - Deposit M. Number (X avat/0/74.): 42967287 Account Manager: stewed oldfeld What as the purpose of the account (e.g. portfeb management, advisory account, custody services, long-term investment, payment/expense account), this is a deposit account to kid cash for the trust Indicate from where the assets are expected to arrive? RI (36 Group: Same Booking Center (indicate account number): 42967287 O DB Group: Otter Booking Center (indicate DB location and acoount details): O Other Institution - (Indicate name & location): O Physical Deposits (speofy cash, securities, cheques. ...): What s the expected size and frequency of regular inflows and outflows for the account (mdicate estimated number and volume per month)?: collecting interest on anent balarce...no inflows/outflows What is the expected volume of assets and currency for the account agora 90 days after 121,063,409.16 opening? ICtrrency I USD vinat is the expected volume of assets and currency for the account approx. one year after I opening? 21,077711.01 ICixrency I USD Does/a the client have Assets Under Management (buM) within DB under Eur. 3M? O Yes 0 No Please list all parties related to the account. For each party: • Check if a source of wealth description s required for the party. • Check the appropriate box to describe the relationship of the party to this accouu (> 1 can be selected). • f none of the check boxes apply, describe the party's relation to the account in the 'Mier colunn. • Always describe the relationship between the parties in the last cairn. • Please drill down to the Stmateturderlying Beneficial Omer( ). _egal Entity Description -of Source of Wealth required Panes 'elated Xi this account AccountPIC Hader Owner Settler of rrust / Fourder &Owner Foundatlor Jltimate Beneficiakr Signatory Ful POA Limited POA Financial Intermediary (MM) Sirdiont Sharehdderleptesentative (>=25%) Non-PIC entity (indicate ownership %) _egal Grantor/Senior-minding Donor Other (please describe other roles and/or Indicate relationship between parties) 1 O El Jeffrey E. Epstein • • • El O • K O O O OTH:teneficiary of The Haze Trust; 2 2 2 The Haze Trust 2 O O O O O O O O O 3 O O Darren Indyke ri I—I K O O O E O O O O O Trustee:; CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB- 0 000259 -0 ? 000259 g9 2 84222 https://dbforcepb.rny.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U. EFTA_00019132 EFTA00168879 KYC Print Page 3 of 42 2. Account Ownership Summary Account Name: Butterfly Trust - Deposit scot Number (Kayoed*, 44130552 Account Manager: stewed oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense accotet)? This S a deposit account to hold funds for the trust. Indicate from where the assets are expected to arrive? g DB Group: Same Booking Center (indicate account number): 44130552 O DB Group: Other Booking Center (Indicate DB location and amount details): • Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What S the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: no I flows/outflows What is the expected volume of assets and currency for the account approx. 90 days after opening? 12.99 I Currency I usd What is the expected volume of assets and currency for the account approx. one year after opening? 2.99 'Currency I usd Does/ty■ the client have Assets Under Management (AuM) within DB under Eur. 3M? O yes ®No Please list all parties related to the account. FOr each patty: • Check If a source of wealth description u requeed for the patty. • Cneck the appropriate box to describe the relationship of the patty to this accost (> 1 can be selects). • f none of the check boxes apply, describe the pany's relation to the amount in the 'Other' coltrnn. • Always desalbe the relationship between the parties in the last mkrnn. • Please drill down to the tettnate/undedying Beneficial Owner(s). _egal 'Description inbtrof Source of Wealth required Panes related to this account Account:51C Holder OwnerTrust Settlor of / Founder of Foundation Jitimate iSignaton Beneficialor Owner Full POA trots POA Financial InterrnediaryShareteider (Tim) Significant (>=25%) ter-PIC entity (indicate ownership il6) _egal Representative Grantor/SetdorfoundingpOther Donor (please describe other roles and/or indicate relationship between names) IOU na (ary ak Sl hult O O O O O O • O ID O beneficiary of the butterfly trust; 2 O O M I O O O O O O O O O O beneficiary of the butterfly trust: O O R ch Kahad D. O O O O O O O • D • beneficiary of the butterfly trust; 4 O O O O O O O O O O CI O beneficiary of the butterfly trust; 5 O O Darren Indyke O O O O O O O D O O beneficiary bu m , tte trust; 6 O O O O O O O O O O CI D Beneficia of Butterfly Trust; 7 O O O O O • O O O ID CI D Beneficiary of Butterfly Trust; 8 O El 1 O LI El O O O O O O O Beneficiary of Butterfly Trust; 9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a DB-SDNY-0000260 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824223 EFIA_00019133 EFTA00168880 KYC Print Page 4 of 42 OO i O O O O O O O O O O Beneficiary of Butterfly Trull; 10 O O O O O O O O O O O O Beneficiary of Butterfly trust: 11 O El i O O O O O O O O O O Beneficiary 01 Butterfly rf ust: 12 O D SVetlana O O O O O O O O Beneficiary of Butteri* Trust: • • 13 p ri T eutiefly rust o O O O O O O O n • 14 O Ei <ellerhals O O O O e O O O O O Trustee:; 15 O n Br o o o o e o O O O O Trustee:; 16 O LI Epste jetfreY E. in O O 21 21 O OO O O O vantar; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0 DB-SONY-0000261 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92894224 EFTA_000 I 9134 EFTA00168881 KYC Print Page 5 of 42 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust 03 - Deposit Acct. Monter (by avadatbA 42953699 Account Manager: stew °Idled What 6 the purpose of tne account (e g. portfeho management, advisory account, custody services, long-term investment, payment/expense accoint)? Checking account to hold funds for tns trust. Indicate from where the assets are expected to arrive? 9 08 Group: Same Booking Center (indicate account number): 92953694 O DB Group: Other Booking Center (indicate DB location and amount details): O Other Insbtution - (Indicate name B. locaton): O Physical Deposits (specify cash, securities, cheques, ...): Mat is the expected size and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: no Mom/outflows Mat is the expects volume of assets and currency for the account approx. 90 days after opening? 1259.05 I Currency I usd Mat is the expected volume of assets and currency for the account approx. one year after opening? 1259.05 I Currency I usd Does/wA the client have Assets Under Management (AuM) within Del under Eur. 3M? ❑Oyes O No Please list all parties related to the account. For each party: • Check if a source of wealth description 15 requeed for the party. • Cneck the appropriate box to describe the relationship of the party to this account (> I can be selects). • (none of the check boxes apply, describe the party's relation to the account in the *Other column. • Always desabe the relationship between the parties in the last °knit • Please drill down to the tionote/urdedying Beneficial Owner(s). r egal 'Description : zribtrof Source of Wealth required ?woes 'elated to this account AccountoIC Holder OwnerTrust Senior of / Founder of Foundation Jitimate iSignaton Beneficialer Owner Full POA Lunteo POA Financial InterrnediaySharetcader (ELM) Significant (>=25%) 4co-PIC entity (indicate ownership %) _eget Representative Grantor/Settiorf-oundingpOther Donor (please describe other roles and/or indicate relationship between parties) 1 O O a O O O O O 7] E El El O Beneficiary of The 2007 Jeffrey E. Epstein Insurance Trust #3; 2 9 9 The 2007 Jeffrey E. Epstein Insurance Trust 03 Ell O O O O O O O O • 3 O 9 Epste Jeffrey E. in O O 5 21 D O O D O D grantor; 4 0 0 lndyke Darren 0 0 0 0 12 0 0 0 0 0 Trustee:; S O O Richard D. Cahn O O O O El O O O O O Trustee:; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(6) DB-SDNY-0000262 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824225 EFIA_00019135 EFTA00168882 KYC Print Page 6 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershln Summa 3A. Individual Details des all panes) Individual's Name: Date of Birth: County of Residence: USA Country of Citizenship: USA Address of primary residence: Has dent resided outside of hisMer country of nationality for 5 years or more? O Yes El No Professkm/Oo:upattn: Tax ID / SSN: Current Employer: Peration/Title/Rank: Address of employer: Does the person week as senior executive of a De-recognlzed regulated entity in the Mandel ndustry? a an entity rated on a DB-recognised exchange? (Not applicable fa operating ensiles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) Oyes 2 No To the best of your knowledge, is the individual related to an emptoyee of the DB group?(d Fami Y or Friendslip, desatbe) O Family O Friendship El Nebo To the best of your knowledge, is the irdivklual party to a non-banking relatkinship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)?O Of Yes,descnbe) w Yes ../ No If apple able Imitate Midi bankcaws have met the person: Indicate where mid viten the client meebng(s) took pace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Other &mess: Location (specify): Date: O • • O O O O O O O Wealth Details for this ineWidal are not filled in, because they are the same as for the fdlovAng person: 3B. Wealth Details (Orly for parties requiring sorra of wealth desaiption as indicated in Section 2) Nature of the Inebeickies Business: Primary Country of source of wealth/source of Fields? Primary Indusby of source of Wealth/SoLne of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Sauce of Wealth /Detail the history of wealth for each of the sources: (e.g. For truss, how did settler accumulate wealth? For inheritance, how did fan-Sy accumulate wealth?For business owners, how keg in business, how many employees, level of prelitallity? Indicate type of business, countres of major activeks, Important business partners.) Estimated Annual Income($): Estimated amount of investable assers($): Estimated Net Worth(5): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation c( the trolvklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000263 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... UM92894226 EFIA_00019136 EFTA00168883 KYC Print Page 7 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0 1 0002M https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM9284227 EFIA_00019137 EFTA00168884 KYC Print Page 8 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (fa all parties) Individual's Name: Karyna Sh., at. Date of Birth: County of Residence: USA Country of Citizenship: Slovakia Address of primary residence: Has dent resided outside of lusther country of natenaitty for S years or more? O yes No Professien/Occupatien: 1SC Interiors LLC Tax ID / SSN: Current Employer: JSC Interiors LLC Pea:Ion/Title/Rank: Interior Decorator Address of employer: 575 Lexington Ave 14th Fl New Yak NY United States 10022 Does the person week as senior executive of a DB-recognized regulated entity ii, the (Wendel ndustry? a an entity Isted on a DB-recognised exchange? (Not applicable fa operating entities O Yes 10 No Is the Individual a Politically Exposed Person (PEP)?(/ Yes, tote) Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(1 Fami Y or Friendslip, to te) O Family O Friendship El Woe To the best of your knowledge, is the in:WI:fuel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Of Yes,descnbe) Yes ../ No If applitabk, Indicate Midi bankafters have met the person: Indicate where and when the client meelang(s) took place: Bank Officer Name(s) Bank Office: ()lent Private Domicile: Cent Place of Bussness: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this incividal are not filled in, because they are the same as for the (aloe/mg person: 3B. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the IncIviduars Cosiness: Primary Country of source of wealth/source of Finds? Primary Industry of source of Wealth/Smrce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Invesbnent O Inheritance/Gifts • Other: Further Desalbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusis, how did settler accumulate wealth? For inheritance, how did fanuly accumulate wealth?For business owners, how keg in business, how many employees, level of en:Ability? Indicate type of business, countries of major actiwJes, important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known linancal Institutions: Institution: Country: Est. fnseS Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the irolvklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000265 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824228 EFIA_00019138 EFTA00168885 KYC Print Page 9 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000266 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824229 EFIA_00019139 EFTA00168886 KYC Print Page 10 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershln Summa 3A. Individual Details (fa all parties) Individual's Name: Date of Birth: County of Residence: USA Country of Citizenship: USA Address of primary residence: Has dent resided outside of his/her country of natenality for 5 years or more? O Yes El No Profession/Dean:alien: homemaker Tax ID / SSN: Current Employer: PostionfiltletRank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entry in the financial ndustry? a an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes 62INo Is the individual a Politically Exposed Person (PEP)?(+7 Yes, *tote) Oyes 2 No To the best of your knowledge, is the individual related to an employee of the C6 group?(if Fami Y or Friendslip, desatbe) O Family O Friendship Ei None To the best of your knowledge, is the in:WI:fuel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)?O Of Yes,descnbe) Yes ../ No If appleabk, Indicate which bankafters have met the person: Indicate where and viten the client meeting(s) took pace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of &mess: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this inelvidal are not filled in, because they are the same as for the (atoning person: 38. Wealth Details (Orly for parties requiring sorra of weaith desaiption as indicated in Section 2) Nature of the IncIviduars Business: Primary Country of source of wealth/source of Finds? Primary Industry of source of Wealth/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Saute of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusis, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of prelitabdity? Indicate type of business, countries of major activtles, important business partners.) Estimated Annual Income($): Estimated amount of investable assers($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institut:Kin: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation d the incIvklual (marital status, other family menders, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000267 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... UM92814230 EFIA_000 19140 EFTA00168887 KYC Print Page 11 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 8(a) DB-SONY-0000268 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814231 EFFA_00019141 EFTA00168888 KYC Print Page 12 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details (fcc all panes) Individual's Name: Date of Birth: County of Residence: USA County of Citizenship: Address of primary residence: Has dent resided outside of hisfher country of nationality for 5 years or more? O Yes El No Professkm/Oo:upattn: Tax ID / SSN: Current Employer: Peration/Title/Rank: Address of employer: Does the person week as senior executive of a DB-recognized regulated entity in the (Kendal ndustry? a an entity trued on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) Dyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(d Fame' Y or Friendslip, desatbe) O Family O Friendship El None To the best of your knowledge, is the in:WI:fuel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Of Yes,descnbe) Yes ../ No If apple able irkileate Midi bankafters have met the person: Indicate where and viten the client meeting(s) took dace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of &mess: Other Location (specify): Date: CI • • O O O O O O CI Wealth Details for this ineWidal are not filled in, because they are the same as for the fdlovAng person: 3B. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the Inebeickies Business: Primary Country of source of wealth/source of Fields? Primary Industry of source of Wealth/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Sauce of Wealth /Detail the history of wealth for each of the sources: (e.g. For bugs, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how keg in business, how many employees, level of prelitabdity? Indicate type of business, countres of major activeks, important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): Estimated Net Worth(5): Amount of assets planned to invest with PWM(S): Other Known linancel Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the indyklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000269 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824232 EFIA_000 19142 EFTA00168889 KYC Print Page 13 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000270 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814233 EFIA_00019143 EFTA00168890 KYC Print Page 14 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details des all parties) Individual's Name: Mary Date of Birth: County of Residence: USA Country of Citizenship: Address of primary residence: Has sent resided outside of honer country of nationality for s years or more? O Yes El No Professien/Ciaupation: Tax ID / SSN: Current Employer: Position/Title/Rank: Address of employer: Does the person week as senior executive of a DB-recognized regulated entty in the financial ndustry? a an emery rated on a DB-recognised exchange? (Not applicable fa operating entries O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(d Fami Y or Friendslip, desatbe) O Family O Friendship El None To the best of your knowledge, is the in:WI:fuel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Of Yes,descnbe) O Yes tr. No If appitabk, Indicate which bankafters have met the person: Indicate where and viten the client meebng(s) took pace: Bank Officer Name(s) Bank Office: Oient Private Domicile: Cent Place of Business: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this incividal are not filled in, because they are the same as for the (atoning person: 3B. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the IncIviduars Business: Primary Country of source of wealth/source of Finds? Primary Indusby of source of Wealth/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For truss, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how long In business, how many employees, level of prelitabdity? Indicate type of business, countres of major activeks, important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): atimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the irolvklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(o) DB-SONY-0000271 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814234 EFIA_000 19144 EFTA00168891 KYC Print Page 15 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000272 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814235 EFIA_000 19145 EFTA00168892 KYC Print Page 16 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershln Summa 3A. Individual Details Oa all parties) Individual's Name: Dated Birth: County of Residence: Country of Citizenship: Address of primary residate: fo Harsscle yeaMrsreorsidnizudn ou; side of hisMer country of natenalAy O yes RI No Professien/Ciaupattn: Tax ID / SSN: Current Employer: Poution/Title/Rank: Address of employer: Does the person week as senior executive of a DB-recognized regulated entity in the financial ndustry? a an entity aged on a DB-recognised exchange? (Not applicable fa operating ensiles O Yes I2INo Is the individual a Politically Exposed Person (PEP)?(/ Yes, *tote) Oyes 2 No To the best of your knowledge, is the individual related to an emptoyee of the DB group?(tie Fami Y or Friendslip, desatbe) O Family O Friendship El None To the best of your knowledge, is the in:WI:fuel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Of Yes,descnbe) O Yes n No If appitabk, Imitate which bankafters have met the person: Indicate where and viten the client meeting(s) took pace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of &unless: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this inelvidel are not filled in, because they are the same as for the (droving person: 3B. Wealth Details (Orly for parties requiring source of wealth description as indicated in Section 2) Nature of the Inekrickers Business: Primary Country of source of wealth/source of Finds? Primary industry of source of Wealth/Soiree of Funds? Summarize Source of Wealth: O Business Owner OSalary/Earnings O Investment O Inheritance/Gifts • Other: Further Desalbe Saute of Wealth /Detail the history of wealth for each of the sources: (e.g. For truss, how did settler accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of prelitabdity? Indicate type of business, countres of major activeks, important business partners.) atimated Annual Income($): Estimated amount of Investable assers($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Rnancel Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation c( the irolvklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000273 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814236 EFIA_000 19146 EFTA00168893 KYC Print Page 17 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000274 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814237 EFIA_000 19147 EFTA00168894 KYC Print Page 18 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details Oa all parties) IndMduars Name: Date of Birth: County of Residence: Country of Citizenship: Address of primary residence: Has dent resided outside of his/her country of natenality for 5 years a more? O yes El No Profession/Occupation: Tax ID / SSN: Current Employer: Peration/Title/Rank: Address of employer: Does the person week as senior executive of a DB-recognized regulated entity in the financial ndustry? a an entity rated on a DB-recognised exchange? (Not applicable fa operating entries O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) Oyes 2 No To the best of your knowledge, is the individual related to an emptoyee of the DB group?(d FamironFeendsliss, desatbe) O Family O Friendship El None To the best of your knowledge, is the in:WI:fuel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a servlo)? Of Yes,cleunbe) O Yes tr. No If appitabk, Imitate which bankafters have met the person: Indicate where and viten the client meeting(s) took dace: Bank Officer Name(s) Bank Office: Oient Private Domicile: Cent Place of &mess: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this ineWidal are not filled in, because they are the same as for the fdlovAng person: 3B. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the Indieldues Business: Primary Country of source of wealth/source of Finds? Primary indusoy of source of Wealth/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desalbe Saute of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of prelitabdity? Indicate type of business, countries of major activeks, important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): Estimated Net Worth(5): Amount of assets planned to invest with PWM(S): Other Known linancel Institutions: Institution: Country: Est. AsseS Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the indyklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(o) DB-SDNY-0000275 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814238 EFIA_00019148 EFTA00168895 KYC Print Page 19 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000276 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814239 EFIA_000 19149 EFTA00168896 KYC Print Page 20 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details des all panes) Individual's Name: Date of Birth: Country of Residence: USA Country of Citizenship: Address of primary residence: Has dent resided outside of hisMer country of nationality for 5 years or more? O Yes El No Professkm/Oo:upattn: Tax ID / SSN: Current Employer: Peration/Title/Rank: Address of employer: Does the person week as senior executive of a De-recognlzed regulated entity in the Mandel ndustry? a an entity rated on a DB-recognised exchange? (Not applicable fa operating ensiles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) Oyes 2 No To the best of your knowledge, is the individual related to an emptoyee of the DB group?(d Fami Y or Friendslip, desatbe) O Family O Friendship El None To the best of your knowledge, is the irdivklual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Of Yes,descnbe) O Yes tr. No If apple able Imitate Midi bankafters have met the person: Indicate where mid avian the client meelang(s) took dace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Other &Euless: Location (specify): Date: O • • O O O O O O O Wealth Details for this ineWidal are not filled in, because they are the same as for the fdlovAng person: 3B. Wealth Details (Orly for parties requiring sorra of wealth desaiption as indicated in Section 2) Nature of the Indielduars Business: Primary Country of source of wealth/source of Fields? Primary Indusby of source of Wealth/SoLne of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Saute of Wealth /Detail the history of wealth for each of the sources: (e.g. For bugs, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how keg in business, how many employees, level of prelitallity? Indicate type of business, countres of major actlyges, Important business partners.) Estimated Annual Income($): Estimated amount of investable assers($): Estimated Net Worth(5): Amount of assets planned to invest with PWM(S): Other Known linancel Institutions: Institution: Country: Est. Asseb Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the indyklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000277 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... UM92814240 EFIA_00019150 EFTA00168897 KYC Print Page 21 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 8(e) DB-SONY-0000278 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814241 EFIA_00019151 EFTA00168898 KYC Print Page 22 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details Oa all parties) Individual's Name: = Date of Birth: County of Residence: USA Country of Citizenship: ■ Address of primary residence: Has dent resided outside of heffier country of nationality O Yes El No for s years or more? Professen/Oaupaten: Tax ID / SSN: Current Employer: Paration/Title/Rank: Address of employer: Does the person week as senior executive of a De-recognlzed regulated entity in the Mandel ndustry? a an entity rated on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) Oyes 2 No To the best of your knowledge, is the individual related to an emptoyee of the DB group?(d Fami Y or Friendslip, desatbe) O Family O Friendship El None To the best of your knowledge, is the in:WI:fuel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Of Yes,descnbe) Yes ../ No If appitabk, Imitate Midi bankafters have met the person: Indicate where and viten the client meeting(s) took pace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Other Bussness: Location (specify): Date: O • • O O O O O O O Wealth Details for this inelvidel are not filled in, because they are the same as for the (atoning person: 3B. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the IncIviduars Business: Primary County of source of wealtb/source of Finds? Primary indusoy of source of Wealth/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For truss, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of prelitabdity? Indicate type of business, countries of major activeks, Important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Rnancel Institutions: Institution: Country: Est. twses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation d the irolvklual (marital status, other family menters, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000279 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... U§192824242 EFIA_00019152 EFTA00168899 KYC Print Page 23 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000280 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824243 EFIA_00019153 EFTA00168900 KYC Print Page 24 of 42 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summary 3A. Individual Details (fcc all parties) Individual's Name: Date of Birth: County of Residence: USA Country of Citizenship: Address of primary residence: Has dent resided outside of hisfher country of nationality for 5 years or more? O Yes El No Professtn/Ciaupattn: Tax ID / SSN: Current Employer: Position/Title/Rank: Address of employer: Does the person week as senior executive of a DB-recognized regulated entity in the Mandel ndustry? a an entity rated on a DB-recognised exchange? (Not appicable fa operating entries O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *noe) Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(d Fami Y or Friendslip, desatbe) O Family O Friendship El None To the best of your knowledge, is the in:WI:fuel party to a non-banNng relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)? Of Yes,descnbe) Yes ../ No If app cable Imitate Midi bank afters have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Bussness: Other Location (specify): Date: O • • O O O O O O O Wealth Details for this ineWidal are not filled in, because they are the same as for the (Wowing person: 3B. Wealth Details (Orly for parties requiring sorra of wealth desaiption as indicated in Section 2) Nature of the IncIviduars Business: Primary Country of source of wealth/source of Finds? Primary lndusby of source of Wealth/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Source of V/ealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of prelitabdity? Indicate type of business, countres of major activeks, important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): atimated Net Worth(5): Amount of assets planned to invest with PWM(S): Other Known linancel Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation d the irolvklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000287 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... /I/192814244 EFIA_00019154 EFTA00168901 KYC Print Page 25 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000282 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824245 EFIA_00019155 EFTA00168902 KYC Print Page 26 of 42 One sheet must be established tor EACH INDIVIDUAL PARTY in Section 2. Account OwnershlD Summa 3A. Individual Details Oa all parties) IndMduars Name: Darren Indyke Date of Birth: County of Residence: USA Country of Citizenship: USA Address of primary residence: Has dent resided outside of hisTher country of nationality for 5 years or more? O yes El No Profession/Occupation: Accountant Tax ID / SSN: Current Employer: Southern Financial LLC Positlonfiltle/Rank: Address of employer: 610D Red Hook Quarter B3 St Thanes 00802 Does the person week as senior executive of a DB-recognized regulated entity in the financial ndustry? a an entity Isted on a DB-recognised exchange? (Not applicable for operating entitles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, tote) Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(1 Fami Y or Friendslip, dote) O Family O Friendship El Nat 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 a services)?O (if Yes,desmt'e) Yes ../ No If applicable, Indicate which bankafters have met the person: Indicate where and viten the client meebng(s) took place: Bark Officer Name(s) Bank Office: Oient Private Domiale: Cent Place of Business: Other Location (specify): Date: Paul Mortis O @ 9/6/2013 • O O O O O O O Wealth Details for this ineWMal are not filled in, because they are the same as for the (atm./mg person: 38. Wealth Details (Only for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the Indvickies Business: Primary Country of source of wealth/source of Finds? Primary indusby of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalangarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Sauce of V/ealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of prelitabdity? Indicate type of business, countries of major activtles, Important business partners.) Estimated Annual Income($): Estimated amount of Investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known linancel Institutions: Instituter,: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the irolvklual (marital status, other family menters, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000283 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... U§192824246 EFIA_00019156 EFTA00168903 KYC Print Page 27 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000280 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814247 EFIA_00019157 EFTA00168904 KYC Print Page 28 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details des all panes) Individual's Name: Harry Bella - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has dent resided outside of hisffier country of nationality for 5 years or more? O Yes El No Profession/Occupaten: Accountant Tax ID / 55th: Current Employer: HBRK Asscoates, Inc Poution/Title/Rank: Address et employer: 575 Lexington Avenue, 4th Floor Mersey NY United States 10022 Does the person week as senior executive of a DB-recognized regulated entey in the (Wendel ndustry? a an entity listed on a DB-recognised exchange? (Not applicable fa operating entities oYes RI No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *sate) Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(1 Fami Y or Friends)* dote) O Family O Friendship El 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 a services)? Of Yes,clescnbe) O Yes tr. No If appitabk, Imitate which bankafters have met the person: Indicate where and viten the client meebng(s) took place: Bank Officer Name(s) Bank Office: Oient Private Domicile: Cent Place of Other &mess: Location (specify): Date: O • • O O O O O O O Wealth Details for this ineWidal are not filled in, because they are the same as for the (atoning person: 3B. Wealth Details (Orly for parties requiring soiree of wealth desaiption as indicated in Section 2) Nature of the Indviduars Business: Primary Country of source of wealth/source of Finds? Primary Indusby of source of Wealth/SoLvce of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Sauce of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did fan-Sy accumulate wealth?For business owners, how long in business, how many employees, level of prelitatdity? Indicate type of business, countries of major actlyges, Important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): Estimated Net Worth(5): Amount of assets planned to invest with PWM(S): Other Known linancel Institutions: Institution: Country: Est. Asseb Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation d the irolvklual (marital status, other family mentors, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000285 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... U§192824248 EFIA_00019158 EFTA00168905 KYC Print Page 29 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000286 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824249 EFIA_00019159 EFTA00168906 KYC Print Page 30 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershle Summa 3A. Individual Details (fu all parties) IndMduars Name: = Kellerhals Date of Birth: County of Residence: USA Country of Citizenship: USA Address of primary residence: HaS client resided outside of histher country of nationality for S years or more? O Yes El No Professien/Ocaspatien: Attorney Tax ID / SSN: Current Employer: Kelerhals Ferguson Krobln PLLC Position/Tide/Panic Address of employer: 9100 Port of Sale Mal, Ste IS St. Thomas VI United States 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(,f Yes, tote) Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(tie Fond Y or Friendslip, dote) O Family O Friendship El Nate To the best of your knowledge, is the irdivklual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)?O Of Yes,descnbe) Yes ../ No If applitabk, Indicate width bankafters have met the person: Indicate where and when the client meebng(s) took place: Bark Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Other Bussness: Location (specify): Date: O • • O O O O O O O Wealth Details for this inelvidel are not filled in, because they are the same as for the (droning person: 3B. Wealth Details (Orly for parties requiring sorra of wealth desaiption as indicated in Section 2) Nature of the Indvickers Business: Primary COuriby of source of wealth/source of Finds? Primary indusby of source of Wealth/Soiree of Funds? Summarize Source of Wealth: O Business Owner OSalary/Earnings O Investment O Inheritance/Gifts • Other: Further Desaibe Saute of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusis, how did settler accumulate wealth? For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of prelitabdity? Indicate type of business, countries of major activtles, Important business partners.) Estimated Annual Income($): Estimated amount of investable assers($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other KnOtal Rnancel Institutions: Institution: Country: Est. ASSES Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. ASSESS Under Mgt: Please indicate the family situation d the irolvklual (marital status, other family menters, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000287 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814250 EFIA_000 19160 EFTA00168907 KYC Print Page 31 of 42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000288 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824251 EFIA_00019161 EFTA00168908 KYC Print Page 32 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (ice all parties) Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth [DOB REDACTED] County of Residence: USVI County of Citizenship: USA Address of primary residence: Ude Saint Sant Thomas 00802 United States Has dent resided outside of hs/ber country of nationallyO for 5 years or more? yes El No Professkii/Occupation: Self Enipolyed Tax ID / SSN: Current Employer: Southern Financial LLC Postion/Tide/Rank President Address of employer: 6100 Red Hook Quarter B3 St. Thomas United States 00802 Does the person work as senior executive of a DB-recognized regulated entity n the (Wanda ndustry? ix an entity aged on a DB-recognised exchange? (Not applicable fox operating en s O Yes IgNo Is the individual a Politically Exposed Person (PEP)?(/ Yes, rfescrke) connection with Prince Andrew and BM Clinton 2 Yes O No To the best of your knowledge, is the individual related to an employee of the (36 group?(d ram* or Friendslip, desatbe) O Family O Friendship g 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 a services)?O Of Yes,descnbe) Yes ../ No If applicabk, Indicate Midi bankcaws have met the person: Indicate where and when the client meetang(s) took dace: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Other timeless: Location (specify): Date: O • • O O O O O O O Wealth Details for this IneWidual are not filled in, because they are the same as for the fdlowing person: 3B. Wealth Details (Only for parties requiring sowce of wealth desaiption as indicated in Section 2) Nature of the Inlykluars Business: Private investments Primary Country of source of wealth/source of Finds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: 2 Business Owner OSalarygarnings g Investment O Inheritance/Gifts O Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trsts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitabdity? Indicate type of business, counties of major actkntes, Important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career and then formed his own NMI. Epstein & Co. In 2008, Epstein was convicts of sooting an underage girl for prostitution, for which he served 13 months in prison. He lives in the US Vrgin Islands. Epstein taught cakulus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a sea of Man C. Greenberg, chairman of Bear Steams. In 1976, Epstein started work as an options trader at Bear Steams where he waked in the special products division, advising high-net-worth dents on tax strategies. Proving successful ri his financial career, in 1980 Epstein became a partner at Bear Steams. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managng the assets of clients with more than SI billion In net worth. In 1987, Linke Wexner, founder and chairman of ONo.based The Limited chain of women's doffing stores, became a well-known client Wexner acquired Abercrombie & Rich the following 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 part of Manhattan. In 1996, Epstein changed the name of his firm to the Firendal Trust Company and, for tax advantages, based ton the island of St. Thomas in the U.S. Virgin Wands. In 2003, Epstein bid to acquire New Yak magazine. Cther bidders were advert executive Donny Deutsch, Investor Nelson Pelt, mede mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were Stniately outbid by Elms Wasserstein, a longtime Wall Street investor, who paid 555 mean. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Meter Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as is editor.in-chief, retaned a smal ownership stake. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0) DB-SDNY-0000289 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92824252 EFIA_000 19162 EFTA00168909 KYC Print Page 33 of 42 Presently, PP. Epstein founded Southern Trust Company Inc, a private mnsulting company that Invests the assets of their chews and gets their revenue from the return of these invesimeris. Southern mist invests in different portfolios catered to their dents and makes their revenue based on the returns and the fees associated with managing their dents assets. Estmated Annual htome($): 10,000,000.00 Estimated amount of investable assets($): SSO MM - 100 MM Estmated Net WortI(S): SSOO MM + Amount of assets planned to invest with PWM(S): Other KAMM, I:Inertial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please mdlcate the family situation of the incivictual (marital status, other family numbers, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000290 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824253 EFIA_00019163 EFTA00168910 KYC Print Page 34 of 42 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (fa all parties) Individual's Name: Richard D. Kahn - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has dent resided outside of hisTher country of nationality for 5 years or more? O Yes El No Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Pester/Title/Rank: Address of employer: 575 Lexington Ave, 4th Ft New Yak NY Limed States 10022 Does the person week as senior executive of a 08-recognized regulated entity in the financial ndustry? a an entity Isted on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 10 No Is the individual a Politically Exposed Person (PEP)?(/ Yes, tote) ❑O yes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?0r Fami Y or Friends)* desatbe) O Family O Friendship El Nene To the best of your knowledge, is the irdivklual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods a services)?O Of Yes,descnbe) Yes ../ No If applitabk, Indicate which bankafloat have met the person: Indicate where and viten the client meebng(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Cent Place of Other Stemless: Location (specify): Date: O • • O O O O O O O Wealth Details for this inelvidal are not filled in, because they are the same as for the (dewing person: 38. Wealth Details (Orly for parties requiring soiree of wealth description as indicated in Section 2) Nature of the Inebeickers Business: Primary Country of source of weals /source of Finds? Primary indusby of source of Wealth/SoLree of Funds? Summarize Source of Wealth: O Business Owner OSalarygarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of ordeal:4W? Indicate type of business, countres of major ad:Ivies, important business partners.) Estimated Annual Income($): Estimated amount of Investable assers($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation d the inebeklual (marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000291 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814254 EFIA_000 19164 EFTA00168911 K\'( Print Page 35 of 42 I One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Somme 3C. Legal Entity Details (For at Legal Entities) Legal Entity Name: The Haze Trust - 03000486428 Type of Entity: O Foundation/Association g Trust O Partnership O Company • Estate Pirpose of Entity: EZ Pnvalm Investment • Philanthropc/Chantable OCommercial Type of Entity Other (specify): rpose Pu Other (s of Entity peofy): Canby of inxsporatbon/registration: United States Virgin Islands Date of Incorporation / registration: 2/9/1999 Volcker Status: Identified co CustomerProfile Wicker Flag: No Address (city, Preece post code): 6100 Red Hook Quarter B3 St, Thomas 00802 tinted Stites U.S. TIN/EIN: 13-7185414 Provide a description of the entity's organizational souctire, es ownership structure and Is Top Management. For trusts/foundations, include Inforrnatbon about renxabkty,settlix and benefoarles,etc.: Jeffrey Epstein: Grantor/Beneficiary Darren Indyke: Tnrstee Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Grantor Darren Ind Trustee O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner ((not Hue. ame persons) Jeffrey Epstein: GraMalBenefoary Darren Indyke: Trustee To the best of your knowledge, is the entity party to a non-banking retationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes O No g Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: The trust was nitiaIN funded with $100. The trust makes and holds investments and the gars it makes from those investment is its source of revenue. The trust, in Wm, puts these gains back into the trust and reinvests. Countries where busness is transacted: USA, USVI Number of employees: 2 3D. Wealth Profile (Only fa parties requiring source of wealth desaipton as indicated in Section 2) Primary Cowley of source of wealthrsoirce of Funds? Pnmary industry of source of INealth/Soirce of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asset,/liatlities): The mist was initially funded with $100 from Jeffrey Epstein. The mut makes and bads investemems and the gains I makes from those nves-tmeras s as source of revenue. The trust. in turn, outs these claim back Ito the trust and reinvests. Estmated gross receipt p.a.($): 300,000.00 Estimated net profit pa ($): 200,000.00 Estmated investable asset ($): $20 MM - SO MM Potential Amount to be invested vat MUM ($): 200,000.00 Other Known Financial Institutions: Institution. DB Casty: USA Est Assets Under Mgt: 23,000,000.00 InstItuton: Cousin: Est. Asset 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 al Legal Entities) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) I DB-SONY-0000292 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192824255 EFIA_000 19165 EFTA00168912 KYC Print Page 36 of 42 Legal Entity Name: Iktterfty Trust - 00000486426 of Type Enbty: tate O Foundagon/Assoclation O Trust O Company O Estate O Partnershi of Entity: RIPrivate Investment O Pliant', Charitable OCornmetlal Type of Entity Other (specify): Purpose of Entity Other (seedy): Country of inoxporation/regisbation: USA Date of incorporabon / registraton: 12/27/2006 Volcker Status: Identified on Customer Profit Wicker Flag: No Address (city, street, post code): 6100 Red Hook Quarter B3 St, Thomas 00802 United States U.S. TIN/EIN: Provide a description of the entity's revocatety,settior and benend This Is an Irrevocable trust set M Beller and Kellertals. IIIIIIIM <a Shuliak Richard Kahn a organizational structure, n ownership structure and n Top Management. For trusts/foundations, Include informabon about na,etc.: p by Jeffrey Epstein as the grantor. The the benefOaries for the trust are being updated by the current trustees. The trustees are The beneAclanes are: and the addition/deletion of beneficiary instrument to support this change. According to the original trust agreement, the lifetime of the Grantor to delete or add benefkarles under Amide 3 of the agreement Attached are the original bust agreement trustees have the right during the Please indicate how ownership of the legal entity Is reflected: - Indicate where sham are custodied: • Special attention: Bearer Shares Describe the chain from the direct owner of the May to the ultimate beneficial owner (dna the same personsA CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000293 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824256 EFIA_000 19166 EFTA00168913 KYC Print Page 37 of 42 To the best of your knowledge, is the entity party to a non-bankig reLatkaship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: I Yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Trust aCCCurit Countries where business Is transacted: USA. USVI Number of employees: N/A 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/soiree of Funds? Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asseWlialalities): trust account with Jeffrey Epstein as Grantor. babel $100 given to the account to fund. The funds for this trust account come from Investments made by Jeffrey Epstein. His wealth profile Is fled cut Estmated gross receipts p.a.(5): 4,500,000.00 Estmated net profit pa ($): 4,500,000.00 Estinated Investable asses (5): $5 Pr • 10 MM Potential Amount to be invested with MAN (5): Other Know, Hnancel Institutions: Institution: Canby: Es:. ASSetS Under Mgt: Institution: Country: Est. ASSetS Under Mgt: Institution: Ccultiy: 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 Entities) Legal Entity Name: The 2007 Jeffrey E. Epstein Insurance Trust #3 - 00000487199 Type of Entity: O Foundation/Association Fr Trust O Company O Estate Purpose of Entity: @Pnvate Investment O • lianthropc/Chantable OCommercial O Partnership Type of Entity Other (seedy): Purpose of Entity Other (seedy): Country of InomParation/registration: USVI Date of incorporation / registration: 11/1/2007 Wicker Status: Determination Required Volcker Flag: No Address (city, street, post cede): 575 Lexington Ave, 9th A New York NY 10022 United States U.S TIN/ UN: Provide a description of the entity's organizational structure, n ownership structure and as Top Management. For trusts/foundations, include Information about revocatrity,settior and benefcladon,etc.: Jeffrey Epstein: Grantor rren Indyke: Trustee 'chard Kahn: Trustee Please indicate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner Of not tie same assorts): To the best of your knowledge, is the entity party to a non.bankng reLatkoship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: I Trust account CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000294 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192824257 EFIA_000 19167 EFTA00168914 KYC Print Page 38 of 42 Countries where business Is transacted: USVI, USA Number of employees: 2 3D. Wealth Profile (Only fa dailies requiring source of wealth desaiption as indicated in Section 2) Primary Country of source of wealthisotrce of Funds? Primary Industry of source of liVealthiSotrce of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent The funds for this trust account come from coMributions mad summary of assets(Ilabilities): by the Grantor, Jeffrey Epstein. His source of wealth can be found In his wealth profile Estimated gross recelpis p.a.($): Estimated net profit p.a. (5): Estimated Investable assets (S): <51 MM PoteMlal Amount to be Invested vrith WM (5): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000295 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=0IN30000000D9Di&e... UM92814258 EFIA_00019168 EFTA00168915 KYC Print Page 39 of 42 DB PWM GLOBAL KYC/NCA: LIS/LatAm/Intil PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center 21 NY 0 NY/Offshore • Moderate r A High Risk YCOrhuri Chong • Offshore Risk (Compliance Sgnatue) D 136 Employee 0 DB managed PIC Tiusteeco.Trustee 0 Bearer Shares • DB s 4. Attachments A. Type of Photo ID Provided 2 Drivers license 2 Passport • National/State ID • Other B. Checklist of names (irdwiduals and/a entities) that were submitted for database searches is attached 2 Yes 0 No C. Please Indicate the results of the database searches performed ROC searches compete lill yes • No negative rest found Oyes n No PCR checks complete 2 Yes 0 No negative resins found Ekes 0 No OFAC checks complete Yes 0 No negative rest found Oyes 2 No BIS searches complete (Lexis/Nens, Factiva, Reuters, Dow Jones, D&B) yes 0 No negative rest found Oyes Eil No Denial Orders checks complete Si Yes 0 No negative rest found Oyes 2 No Martindale-Hubbell searched (Lanyers/Law Finns only) ayes RI No negative rest found OYes 0 No D. Please summarize any negative results from the database searches indicated above: BUTTERFLY TRUST: Negative Media: All negative media pertains to a company called the Butterfly Trust in Europe. This Is not our client Our client is an actual trust aerated by a Grantor and not a company. No court cases JEFFREY EPSTEIN: Previously approved KYC *:01082293 & 01121718 Al negative media pertains to coat cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed RDC alerts fa Richard Kahn came L9 but they were al false positives as the age and locations of the alerts did not match the age and address on Ale. HARRY BELLER: No negative media Court case 1st ern as a defendant for being chief of medical staff for Jackson Memorial Hospital. The court concluded that the plaintiff had no cognizable claim that his CNN rights has been violated, but refused to asmiss his complaint as to his antitrust claim Defendants' motion was thus panted In part and denied in part The defendants listed In this case have not committed any illegal ads of conduct in any way. The case was settled on 6/3011987. KELLERHAIS: No negative media Is an attorney and listed as legal counsel for several court case. Court case to appeal from a decision of the bankruptcy court. Appellee trustee moved to dismiss the appeal for failure to prosecute under Fed P. of the sty Poulis factors, five weighed in favor of dismissal and it was granted. Another court case for assaying of menage and property settlement. The case was concluded. but the case was dosed In May 21111111111111. Patna( nor a defendant and was not charoed with anythino. She does not pose a risk to the bank. Gledalne OVII court case v Memel for assault, tel & slander. was listed as a misce aneous party E. To the best of you knowledge, has the dent ever been convicted of a antral afense? e Yes 0 No F To the best of you knowledge, has the customer ever been involved ei any past litigation against Deutsche Bank AG or any of Its subsidiaries or s the customer threatening litigation against Deutsche n Bank AG or any of is sitsidiarles? (If Ken provide deaths betew and coma Quaky AVt u yes 2 No aatAtn/Inft i t or the Regulatory Catty! Group and notify Contoliance irnmediatelyl G. K Does the client or related party have any Mandel or other association / mteractions within males LJ n Yes @ No or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H Does the client ix related party have any financial or other association/ interactions within high risk n countnes? L_I Yes 2 No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000296 https://dbforcepb.my.salesforce.com/servletiserviet.Integration?lid=0IN30000000D9Di&e... U§192824259 EFIA_000 19169 EFTA00168916 KYC Print Page 40 of 42 I. Corporate Documentation Attached (Legal Entities Only) RI yes O No O Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) O yes LI No Fa Not Applicable K. If LexisMals Search Results, Corporate Dooments or Other Supporting Documentation is not in English, please provide an English summary of the nature/coMenis of the non-English Doarnentaton: L Special Risk Factors Does the amount have Nexus to Special Risk Countries? • Yes El No Is the cotton structure unusually complex? Oyes @ No Is there any indication the client set up a non opetatog company expressly for the purpose of transferring shares to third parties? Dyes ts, No Is there any indication this could be a prohibited busoess relatonship? Ekes 0 No We the bearer shares identified subject to acceptable controls? O Yes 12 No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000297 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92894260 EFTA_000 I 9170 EFTA00168917 KYC Print Page 41 of 42 M. Case Comments Created ByJ Data Comments Cynthia Rodriguez 9/6/117 12:05 AM recent research and googie searches for Kellertals can be found in approved case 0179()655. Cynthia Rodriguez 9/6/117 12:09 AM ID for ICelerhals can be found In approved case 01344537 KshlttJ Golan 9/6/117 3:22 PM This KYC serves as a high risk update for the below listed clients (together "accounthoklers") - l. The Haze Trust 2. Butterfly Trust 3. The 2007 Jeffrey E. Epstein Insurance Trust 03 Below are the reasons why we are comfortable with approving this KYC: • Information and supporting documents required by our MIL Poecy were provided and renewed; and as a result, we have an understanerng of the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors associated with the accountholders — SOW: The U80 (Jeffrey Epstein) Is the founder of Southern Trust Company Inc, which manages client's assets. SOW verification was obtained. Negative Media & PEP: There is some negative media against Mr Epstein and he Is also maintains a close relationship with 840 Clinton and Prince Andrew/. Please see risk calculator for more Information. Appropriate approval was cataned. • Our review chi not identify any red flags and thus there was no need to escalate this case father. • We performed due diligence searches on as parties and did not find the names searched to be on any sanctions fists. Cynthia Rodriguez 8/24/117 5:25 PM No material changes confirmed by the client via phone on 08/22/2017. No GBSA forms required as determination is already noted on the system. Benefoaries are al added as parties with DOB, SSN/Passport as, address & IDs ONSHORE APPROVALS alert Facing Professional (CFP): Chuck kSignattril Ow& 8/25/2017 Office Direaor/Eusness Head: Steven Matt us (Sgnattre) Steven Maths 8/29/2017 Regional Office Director: (Signature) MIL Business Risk: (Signattre) MIL Compliance: KshlU) Golan' Yconsun Chung (Signature) KOity} Golan Yconsun Chung 9/6/2017 9/6/2017 LATAM/INTERNATIONAL APPROVALS OierA Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Teal!, Head (GPITH)/Sub. M241(Ei Team Head (SMTH): (Signature) NIL Business Risk: (Signature) AML Compliance: (Signature) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e(e) DB-SONY-0000298 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 4'9,824261 EFIA_00019171 EFTA00168918 KYC Print Page 42 of 42 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT.• Deutsche Bank Private Wealth Management (PHI* worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(1) (CFP 's) should establish and maintain business relationships only with persons who satisfy 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. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. i confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000299 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... U§192824262 EFIA_00019172 EFTA00168919