EFTA01282494.pdf

Structured Products Agreement and Approval Form Please Complete Alt Sections Hviritni fitment Nam: G -023i,011 S:$14/.7 \--‘6'9_)J hpcIpti_ LL c_. Account Type Poi:m.OW amill Pm;cm IK I snne,nb isale:t &Poway Cu.ptomain Oat:, rsir.ci:d NOTE: IRA and ERISA accounts are prohibited from purchasing Structured Products. Account and Owner Information: Provide requested information for wricli beneticial account owner ("Client"). If momMannth: owner e%ists. the Structured Products Agreement and Approval Suppiontentary Form to this Agreeinerit may be required. four: Mune m r es:. Middle. Last Name M Imienclua Tre.tce m ElitCleall G s-c6- .).) 6i oeccf-f) l- co occtww,v.ez R2 , --11-)Ot/NoIS Pion? Illumbm 01 oviwittlinti US V‘Pz‘t. tsi,A.1.106 31.p T4-5- 2c)- 11-3- 1,4-int41 Sulits Xlirtheai,; - 1.11.410O/YY let C rnt)So,,P, RIAsIV.APII00.• "S\ 3CriCC. Nit° /17 53 sG6F 340-in -252,5 hwat, hickest Ncip\IC-, trre••If POSioon 11.)A k1O iNCoviCIK-s Own/e2- lid:ill:(S) O, D.:, :0640 oilierI n netouni OVir1:1(:, auil,ancd iaplace maws fa i he accome ?Mil-- ; DeateN) kwol)(6 Client(S) Financial Information Approximate Aggregate Sources of Income Approt:intaie Net Worth Appro.:intake Liquid Net Annual Income of Account (Approximate) Worth Excluding Principal Owner(s) from All Sources Residence Less than $50,000 Salary/Bonus 94 Less than $50,000 Less than 550.000 550,000 - S99,999 550.000 - S99.999 550.000 - 599.999 Inierest/Divid:mds IGO % .9100,000 - 5249.999 S100,000 - 5249.999 5100.000 - 5249.999 5250,000 - Se99,999 Other (specify): 6250.000 - $499,999 5250.000 - 9499.999 5500.000 - S999.999 $500,000 - S999.999 S500.000 - 5999.999 51,000,000 - S2.499,999 $1,000,000 - 52.499.999 S1.000.000 - S2.499.999 52.500.000 - $4,999.999 52 50n 9 999 S2,500.000 - S4.999.999 [500.000 and °very S5.000,000 and eve' wr:i rime SPN, 0MR oi I017.0330I7 ISMS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000830 EFTA_OOI 486 I 5 EFTA01282494  Investment Experience of Account Owner(s) Year Average a Trades Average Size of Types of Previous DAtion Traded Per Year trades In Is Experience Options So Covered Call Writing Equities Sc) R Purchased Options Fixed Income J. Option Spreads Commodities and Futures iC tit Uncovered Put Writing Structured Products 2sz:. d Uncovered Call Writing OTC Derivatives icrt None Foreign Currency 1 94 co Alternative Investments (Hedge Funds. Private Equity) 199 \ Investment Objectives for the Client Account (Select up to two adjacent objectives): Capital Preservation Income Growth Os Aggressive Gm-vth Representations Relating to Qualification of the Client Check all that apply. At least one category must iaa I:flecked. I represent that Client qualities as an "Accredited Investor" as defined in Regulation O tinder the Securities Act of 1933 because Client is: • a natural persori with individual income exceeding. 5200,000 iiieach o: the two most recent years or joint income with a spouse exceeding 5300,000 in each ol those years and a Ieasoriable expectation of the same income luyel in the current year: a natural person individual net worth, or joint net worth with a spouse, OW!, 53,000,000. excluding INinwry reside,ice: a trust with assets in excess ol S5,000,000. not formed for the special: ern pose ol acquiring the securities altered, whose purchases are directed by a sophisticated person: a revocable trust that may be amanded or revoked ai any time by th“gianites and whet e alt of the grantors are accredited investors; a charitable organization, corporation or partnership wills assets exceeding 55.000.000: ttc a business in which all the equity owners arc accredited investors: a bank, savings and loan association, registered broker or dealer, instil slice company, registeied onottslmoni company, business development Company or licensed smell business investment company; an employee beneiii plan, within the meaning of ERISA, if a plan fiduciary that is a bank. insurance company • egistared di investment adviser makes the investment decisions, or ii the plan has over 1.5,000.1.00 in total cISSCiS or a selkhretied plan with investment decisions made solely by accredited investors: a plan established and maintained lay a state, its political subdivisions or any agency or mstrumeolohly thereoL lot du benefit of its employees with total assets in excess of 55,000,000: or a director. executive officer or general partner of ihe issuer of the secvnties Wing odiaed. 1"/.11P41)1: v.PAA I MlS1an till 7 I / SDNY_GM_00038007 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED R GRIM. P. 6(e) DB-SDNY-0000831 EFTA_0O1486 I 6 EFTA01282495  Representations Relating to Qualification of the Client (Cont inued) I represent that Client qualifies as a "Quakfied Purchaser" as dearer' lathe Investm ent Company Act of 1940, because Carer Is' a natural person (including any person who holds a joint, commi tin e y property, or lathy sinYfar silo. ed ownei ship iriellIbt in an issuer that is excepted under section 3(c)(7) with that pet soi cofiddled puiChaSei spouse) whO Ow is lie: th. fa S5.000.000 in investments; any person, ;reline ;or its own account or the accounts of other iambiied purchaser;. who in the aggregate WAIN ZOO heelers nn n discrationan; basis. not less than 325.000.000 in investm ent:. 'V a company that owns not less than $5,000,000 in investm (neural persons who are Mated as siblings ents and that is owned directly or indirectly by or for 2 nr aims, or spouse (IndUding (miner spouses), or direci fetal descendants by twin or adoption. spouses of such persons. the estates of such petsons. or ioundatione charitable organizations, or mists established by or for the benefit of such persons; or a trust Mel is not covered by any daiinition above, and that was Mil fanned (in the SSICcifiC thelhne of securities offered, as to which the trustee or other person nutlet ing the authors'.it to make decisions with cosi era to the Rusk:est or settler Other person who has contributed assets to each the trust. is . 'teflon described in any dela Slier is above. Client(s) Strategy Requests. Please check as many el the following strategies rStructuied _products, as May apply. With rill Structured Products, in the event of earlyliquidation. there may not I .• a liquid market, and 110 I I.11Vaglfli due to costs involved with unwinding the investment. li•CS Furthermore, fit vStuis are e.IpoSed to the credit risk of the issuing which in the case of a default, may result in a signiticant, or erode. total, hiss Ilk the investor. 0( I. Principal Protected Structured Notes and Certificates Of Deposit- '4M-100% Principal Protection which flay result in lower returns than a direct investment in the underlying. Investor riegiess lands that principal is protected only it held to maturity anti that FDIC insurance applies only to Mark:it-Linked Certific ates of Deposit up to the statutory hook. ky 2. Buffered Notes—Partial pnncipal protection (usually protect ion from tlx: first l0cr2flt decline at the weledwocaWill..h5liveS as a but he. to loss. Investors participate in die downSide.eithe t On a 1-fre-1 or leweagal hasis, in the annum deClineSbeyOnd the predalelIindeed butler level. Uppde p3 11c1pol theunderNile io(In lite ulster h ilei may belevaaged and es sornetimas canoed klc 3. Contingently Protected (including Reverse Conver tible and Callable Yield) Notes—Full Principal Protecteel only if a imp-set harrier is not breached. If a barrier is breached. investors would lose ihe level of protection and pal trcipate in am :tickle in the underlying, ii any, ah maturity. Structures include bur are not limited to those that pay investors a fixed coupon payment, participation in upside if are underlying peribmis positively. a both. The investor acknowledges dint settleme at maturity may be In the torn of cash or physical delivery nt of the underlying. K 4. Market Participation Notes and Warrants—Zero principal protect ion. Full downside participation. MPNs may be linked to one or more underlyings in the form of a weighted basket or overlay and may be customized to offer suaight 1 for 1. varying degrees of upside participation, leverage or a fixed or coupon. Investors in MPNS seel: tiCCOSs to an underlying is generally complex and which may be inaccessible to them which in the market. DB and third parry proprietary indices we typically used as an underlying. Warrants may be lirezed to hedge funds. mutual fundn, basket of funds as wall ifs obtlividu stocks and may lose full value or all premium paid if the al price of the underlying asset does not r ise. The following representations are applicable for an individual account. II this is a met. I rust. partnership. Company, corporate or other type of accoun limited liability t, the word .1- in the following paragraphs shall mean joint account or the authorized signatory making each owner in the crhe of a represent atitiriS On beliall of the tiust. partnership, limited other entity in the case of such account habilily company or type. as the case may be. I represent that the purchase of Structured Products is suitable for my account in light op my investm experience, financial situation and risk tolerance. ent objectives and I have made my own decision to uuti2e Structured Produc based upon my own judgment, adequate Informa ts for my err:is:int tion I have independently obtained (from sources regarding Structured Products and consultation other than Deutsche: Bank) with my own advisors to the extent I have deemed regulatory, lax, business. financial, accounting and related necessary as to the legal. Structured Products may contain a derivative compo aspects of my purchase ul Structured Products I undo' stand nent in the form of one or more embedded options that may have the result of reducing the gains cii interes , and that such option(s) t income, or incieasing the tosses (which may include the Situciteed Products. whether held to maturit a loss of principal) on y or sold prior to maturity, to a greater extent than Structured Products did not contain such a derivat would be the case if the ive component. I also understand nut Streamed capital preservation features if sold prior to Products may lose their maturity. Finally, I understand the investment risks Products. including but not limited to issuer associated web Structured credit risk, market risk and liquidity risk. l0 hie extent permitted by applicable law and rules, t tor my Account. I acknowledge and agree author ere Deutsche Bank to acquire and dispose of that when Structured Products' arelitila Shinto, ed Ploducis 0) Atom, : in to lie' Ir J : I pay Dill ;the tt\rip W fur my account Deutsche Bali. 'boy I 311/lit i:•11•41•si leo rolvia 'nut 1, 4 1 ''P ar wen (i)).• • .4. hoot r...: ' .hip.liend I 5.•Ittl .4 Ile • h.louni /Nth's, 0.1 ,4Di 1 01:84111.1•:•ip• L. Is* • issI Wilts.1O Psis, a lir •is .1 nl 1 :•111!. - •lidMint • ji; lAYbAIWAIIIIII*1 I 'E..). I .30NT_GM_00038008 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0000832 EFTA_00148617 EFTA01282496  I ages: that I will read catelully any pinspectt s. 'et m sheet and tray timer olio, lag do eintiedt (any :40,11100NrCips. WIIII sheet or oNericrg rtocuirient. an "Offering Document') that I may lett sve in connection with tile acquisition of Joy SIfLiClUff:CI Product Inr my Account, including disclosures in any such ONering k destribing the lees I may pay el COIll ket:11011 WW1 tlx: Structured Product as well as representations and warranties line: t vnll be eleernial to have made in conner.iioc twit the acquisition of the Structured Product. Qualified Institutional Buyer represent dial Client qualifies as a "Qualified Institutional Buyer as rle(ined below. R(i) Any of the following entities, acting fot its own account or Ilw accounts of other teethlied mstutiiiinnal bier:es that in 11w aggregate owns and invests on a discretionary basis at least ar ft& IMMO.. in securities of issuers tint ate not °Whaled with the entity e (A) Corporation. etc. A rot:caration (either than.: hank, savings ir id Wait tic sinhen iiistitiitioit relcrncd win (ii) below). partnership, Massachusetts or similar business trust. organizzionii descrWed m Settee 501(cX3) of the Interact Revenue rate, Smell Business Development Company licensed by the: I S. Small Business Admingsualton undo, Section 301(e) or (d) o1 the Small Business Investment Act of 1953. or business development company as defined in SOCIi011.1020)(22) of the investment Advisors Act of !940: or (B) Insurance Company. An Insurance Company as defined in Scction 2(13) of the Act: or (C) ERISA Plan. An employee benefit plan within the meaning of f Ne I of the Employee Retirement IncomeSecurity Act of 1974: or (0) State or Local Plan. A plan established and maintained be a matt:, its political subdivisions. cm any agency a' instructediality of a state or its political subdivisions. for the bete ii; of us ernitinYccs:ol (E) Trust Fund. A trust fund, whose trustee is a hank or trust. whose participants are exi.kis' vely plans speciftedet subparagraph (C) or (0) above (but not 'petering Trust funds havaig IRAs or Keogh plans as Isar ocipants). (F) Investment Company. An investment company registered wide, the investment Company Act of 1940 a. any tiotanni.s development company as defined in SeCti011 2(a)(48)ol that ALL 04 (G) Investment Advisor. An investment advisor registered uncles the Investment Advisors Act of 1940 (ii) Bank or Savings and Loan. We area ban:: defined in Section 3(a)(2) of the Act. a savings and Wan associatioti or other institution refet enced in Section 3(aX5XA) of the Act, or a foreign bent. ni savings and loan association or equivalent institution that in the aggregate owned and Invested on a discietionai r basis, for out own account and the er.courtis of ()the' persons, at lease the amount of securities specified below (nor less Mail ≥3.00 million), calculated as provided in Rule 1.14A, as of the date specified below and had an audited net worth of at least $25 million as of the end of nun most recent fiscal year. (This paragraph does riot include bank commingled funds, incept as noted in OXE) above.) (iii) One Of a Family of investment Companies. We are an investment company registered under the Investment Company Act of 1940 that s pan of a "amity of investment companies-. as defined in Rule 144A, that owned in the aggregate al least the amount of securities specilieci below (not less than 5100 million), calculated as provided in Rule 144A. as o: the date specified below. (iv) We ate a dealer registered under Section 1.5 of the Secerhies Exchange Act oi 1934. and we are cote tit the following (A) Dealer/QIB. We owned or invested on a discretional,/ basis. for our own account and the accounts of ollherpersos gm an least the amount of securities spot:died below (nut less than SIO oration), calculated lc as provided in Rule 4411 4/ its the date specified below. (B) Dealer/Riskless Principal or Agent. We are acting either on a tiskless principal basis fin simulteneous resale to a qualilied institutional buyer or as agent for one or more qualdied institutional buyers. Iv) Entity owned by Qualified Buyers. We are an entity, all of the equity owners of which ate qualified institutional buyers (each t satisfying one of O) thiough (iv) above including as applicable ilie $1(10 nutliou test). In calculating the amount of securities owned or invested:. Val/Well Sted.nesttil lel /IF Oil SDNY_GM_00038009 CONFIDENTIAL DB-SDNY-0000833 CONFIDENTIAL - PURSUANT TO FED R GRIM. P. 6(e) EFTA_001486I 8 EFTA01282497  By signing below, I hereby confirm that the representations made in this Structured Products Agreement and Approval Form are true to the best of my knowledge. Client signature block:* t act sf Axnast SIsAttitt .Sint.: fitriv Saris, Doe 9!I his is a joint account nli joint account holders mast sign The following signature block should be used for a Trust Partnership, limited Liability Company or Corporate client. pita GI ACCOult sou-r\-1E.ew BFI 1,3c.krAL L_Lc. Saytttzie 't tie Y% Y t 1° 111 }q Mims/ —3-C-cca•- - \\ e j :e sret If this is a trust account chedc anp:opriate 'Trustee Co-Trustee For Deutsche Office Use Only loves st Sianteues,-----.\\___ Date 0/2-3/(1- it\ \" ificc itnt tniestintits ' stNasisi "Sas HuAA StioskAA/ m3-NriAtip..sSana:uce Oste helm Mse...-otif Please submit all completed and fully executed forms to Compkance via NetX360. "Deutsche Batik" means Deutsche Bart. AG anti its afiliatvd conipanivi. Deutsche !lank Wealth Managementrepresents "Nardi management activities conduntect by Deutsche Bank AG or its stitisitheries. Brokerage services are altered through Dr.urscho Bank Securities Inc.. a isoket-dealer and registered investment adviser, which cohtlucts imiesiMent banking an sccurifoz activities in ti's: United States. Deuische Bank Securities Inc is a member of. FINRA. NYSE and SIPC. 2.): 7 Dirutsttio Wok AG SA istits hisso.est Vitil Min S9AA SOS: 0110:, .044017 SDNY_GM_00038010 CONFIDENTIAL DB-SDNY-0000834 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) EFTA_00I 48619 EFTA01282498