KYC Print Page | of 10 DB PWM GLOBAL KYC/NCA: PART A [7] KYC Case # : 01898372 Status : 6. Approved ints included in the relati 1. Relationship Details Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old proffe: Initial funding must take place by 02/13/2018 in order to purchase assets for the trust How Was the Client(s) 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 reached Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? List all existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) bh [2 | ‘The 2017 Caterpillar Trust - Deposit 2/13/2018 Who is the primary contact person for the RM? (Note: This Preferred method of contact person needs to have signatory (indicate phone no., fax no., rights and/or information right mail address, etc.): for the accounts.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000300 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US# PaGhs?e EFTA_00019173 EFTA00168920

--=PAGE_BREAK=--

KYC Print Page 2 of 10 One sheet must be established for each account to be ope 2. Account Ownership Summary Cd a What is the purpose of the account (e.9. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? the purpase of this account is to hold the member interest in IGO Company LLC Indicate from where the assets are expected to arrive? ©) 0 Group: Same Booking Center (indicate account number): OC os Group: Other Booking Center (indicate DB location and account details): CO other institution — (Indicate name & location): CO Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: bess than 2 distributions ‘on an annual basis between $0 and $100k fee ep tna eet merry erage: ttc pea vtec etme a dares et ayer treet [= | Doss/wll the cheng have Assets Under Mnagement (Ault) wan DB unde Eur. 36? Please list all parties related to the account. For each party: (heck if a source of wealth description is required for the party. * Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). Tf none of the check boxes apply, describe the party's relation to the account in the “Other* column. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). a7 aera] OSSD SO = = ER] pjojo tes fo jojo fo fe | CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000301 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh PoGlgre4 EFTA_00019174 EFTA00168921

--=PAGE_BREAK=--

KYC Print Page 3 of 10 Has chent resided outside of his/her country of nationality for |] yes Mo ss Does the person work as senior executive of a DB-recognized regulated entity in the financial o u industry? or an entity listed on @ DB-recognised exchange? (Not applicable for operating entities Yes MO.No Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) connection with Prince Andrew |] ves Ono ‘and Bal Clinton To the best of your knowledge, is the individual related to an employee of the DB group?/if Family ar |") Family Oo Friendship none Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche o Bank (e.g., external legal counsel, cient referral source, supplier of goods or services)? /i Yes Yes,describe ) If applicable, indicate which bank officers have met the person: | Nate where and when the client meeting(s) took place: Client Private | Client Place of 7 Jewwones: [orien fuarens [Ome cto cys foe: CO Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) ere cee Pecresanosonawamsenasy fi ee Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, haw long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, 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 firm, 3. Epstein & Co. In 2008, Epstein was convicted of soliciting an underage girl for prostitution, for which he Served 13 months in prison. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was 2 son of Alan C Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Stearns where he worked in the special products division, advising high-net-worth cients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of cients with more than $1 billion in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women’s clothing stores, became a well-known client. Wexner acquired Abercrombie & Fitch 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 Financial Trust Company and, for tax advantages, based it on the island of St. Thoenas in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Ne’son Peltz, 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 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southem Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client's assets. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000302 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh PaBO476> EFTA_00019175 EFTA00168922

--=PAGE_BREAK=--

KYC Print Page 4 of 10 Estimated Annual Incomne($): 10,000,000.00 Estimated amount of investable assets($): $50 MM - 100 MM eer Cc ee ‘Other Known Financial Institutions: ee es ee es ee ee Ce es ee ee ee ee Se ce Ce Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000303 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Palgree EFTA_00019176 EFTA00168923

--=PAGE_BREAK=--

KYC Print Page 5 of 10 To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, cient referral source, supplier of goods or services)? /i Yes,describe ) 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Citusiness owner CO) Salary/Earnings OD) tnvestment C1 inhertanceyarts C) other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Incomne($): Estimated Net Worth($): Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000304 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh PoG04?67 EFTA_00019177 EFTA00168924

--=PAGE_BREAK=--

KYC Print Page 6 of 10 To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, cient referral source, supplier of goods or services)? /i Yes,describe ) 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Citusiness owner CO) Salary/Earnings OD) tnvestment C1 inhertanceyarts C) other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Incomne($): Estimated Net Worth($): Please indicate the family situation of the individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000305 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh PaGO4768 EFTA_00019178 EFTA00168925

--=PAGE_BREAK=--

KYC Print Page 7 of 10 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) coro Type of Entity: Ciroundation/Assocation Mi trust C) company Clestate O | purpose . M private investment C) parnership Phianthropic/Charitable [_] Commercial rreememeimon | rine Country of Virgin Islands, U.S. incorporation) registr: Determination Required street, post code): 6100 Red Hook Quarter B3, St Thomas 00802 United States Provide a description of the entity's organizational structure, ts ownership structure and its Top Management. For trusts/foundations, include information about revocability,settior and beneficiaries,etc.: This is @ grantor retained annuity trust that holds membership interest in IGO Company LLC. This trust will terminate two years from the date of initial funding and Banual annuity distributions wil be paid to the grantor only. Upon termination, the membership interest will then transfer to the 2013 Butterfly Trust. rantor: Jeffrey Epstein ‘rustee: Lesley Groff and Daphne Wallace eficiaries: Jeffrey Epstein and The 2013 Butterfly Trust Please indicate how ownership of the legal entity is reflected: trust agreement oO ‘Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): Grantor: Jeffrey Epstein Trustee: Lesley Groff and Daphne Wallace Beneficiaries: Jeffrey Epstein and The 2013 8 To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank o 7] (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes No | jature of the business: This is @ grantor retained annuity trust that holds membership interest in IGO Company LLC F H i E a ; Number of employees: 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) 2/2 can ele aE aia i, 8|5 z |e Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): source of wealth for this trust derives from Jeffrey Epstein. Please revert to his source of wealth for more details. Estimated grass receipts p.a.($): 1,000,000.00 8 8 8 2) e)/8)e8 ali & i g\8 2/2 J g Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000306 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh PoGQ4769 EFTA_00019179 EFTA00168926

--=PAGE_BREAK=--

KYC Print Page 8 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B [7] SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: pour iter [avon] Clenne ermine |erennaa [romnenny | (Compliance Signature) (a A. Type of Photo ID Provided M rivers License MI passport (] national/state 10 J other B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached Wiyes C]no (C. Please indicate the results of the database searches performed RDC searches complete Mies Ono Dyes Mino PCR checks complete Mires Ono Dyes Mino OFAC checks complete Mies Ono Oves Mino BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) Mies Cio Dives Mino Denial Orders checks complete Mies Cnio Oves Mino Martindale-Hubbell searched (Lawyers/Law Firms only) Oves Mino Oves Ono . Please summarize any negative results from the database searches indicated above: To the best of your knowledge, has the client ever been convicted of a criminal offense? Myes Ono To the best of your knowledge, has the customer ever been involved in any past Imigation against Deutsche Bank AG or any of its subsidiaries of is the customer threatening litigation against Deutsche oO 7] * Bank AG oF any of its subsidiaries? (Jf Yes, provide details below and contact Quality Mgt. (LatAm/intl) or Yes S41 No the Regulatory Control Group and notify Campiiance immediately) Does the client or related party have any financial or other association / interactions within countries or oO a) * regimes sanctioned by the Office of Foreign Assets Cantral (OFAC)? Yes MINo Does the client or related party have any financial or other association, interactions within high risk oO 7] * countries? Yes BEINo Corporate Documentation Attached (Legal Entities Only) Miyes Ono CO not Applicable Undisclosed Principal Form Complete (Intermediaries Only) Oves Cio M ict applicable . If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: Spedal Risk Factors Does the account have Nexus to Special Risk Countries? Oves Mino Is the account structure unusually complex? Ores Mino Is there any indication the client set up @ non operating company expressly for oO 7] the purpose of transferring shares to third parties? Yes MI No Is there any indication this could be a prohibited business relationship? Oves Mino ‘Are the bearer shares identified subject to acceptable controls? Oves Mino CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000307 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US PoGle7? EFTA_00019180 EFTA00168927

--=PAGE_BREAK=--

KYC Print Page 9 of 10 | createdpy | date | Comments [Yeonsun crung | ‘316/118 10:52 AM ‘The dient Trust is registered in US VI, not USA. This KYC serves as @ high risk review for the new client The 2017 Caterpillar Trust (referred as “accountholder”) — z are the reasons why we are comfortable with approving this KYC: Information and supporting documents required by our AML Policy were provided and reviewed; and as a resuk, we lave an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected ity Matthew-J Purcell 2/13/1168 11:13 AM ‘SOW: The UBO (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages cients assets. SOW erification was obtained. Negative Media & PEP: There is some negative media against Mr Epstein and he is also maintains a close lationship with Bil Clinton and Prince Andrew. Please see risk calculator for more information. Appropriate approval obtained. Please Note: The 2013 Butterfly trust Is listed as a beneficiary only when the 2017 Caterpillar Trust terminates. Since (Cynthia Rodriguez 2/8/1128 10:59 AM this beneficiary does not receive the annual annuity payments, it was not added as a party. However, I have attached the trust agreement and list of beneficiaries for this trust as suppo (Chent Facing Professional (CFP): stewart oldfield Signature) 2/8/2018 btewart oldfield Office Director/Business Head: ‘Signature) 2/8/2018 d F Gallivan a AML Business Risk: (Signature) Matthew-) Purcell 2/13/2018 Yoonsun Chung 2/13/2018 LATAM/INTERNATIONAL APPROVALS a Global Market Team Head (GMTH)/Sub- arket Team Head (SMTH): _ oe PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals 1(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 of a relationship and on an ongoing basis. AML Cornpliance: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000308 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Pals?’ ! EFTA_00019181 EFTA00168928

--=PAGE_BREAK=--

KYC Print Page 10 of 10 DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. 1 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 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000309 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US# PGs??? EFTA_00019182 EFTA00168929