EFTA01378965.pdf

Investment Experience of Account Owner(s) : year Rat n. meters 1 pampa8thibt i Average $2616 I Typeset Previous Oaten i Traded , Trades Per veer I Trades In S 1 Shares r Convects 1 Expedeno• i I . ..... OPtlens i 1 ...4 U Covered CalWriting i L 1 i .0 opp.rcheis .nsNead ossic. Fixed Income I - -i j 0 Uncovered Put Writing Commode les and Futures 1 o uncovered can westing r- . Nom: Exchange Traded Fields (ETEe) jt alternative Investments (Hedge Funds. Private Equity) Option Objectives (check ALL that apply) Income (covered call writing) Portfolio Protection (protective puts) .1 Speculation (option buying, spreads and uncovered writing) Client(s) Strategy Requests (Please check as many of the following strategies sought to be employed) L., 1. Covered Call Writing Moderate Risk. Calls fully covered by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. -- 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a short position. the financial risk becomes unlimited. Option assignments require purchase of the underlying stock in the open market to effect delivery to purchaser of option. 0 4, Uncovered Put Writing—Margin account and special statement for uncovered option writers required. Involves Substantial Risk. If assigned, the client must purchase the underlying stock at the sbike price, which may be substantially higher than the then-current market price t..1] 5. Uncovered Call Writing—Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. I have read and understand all of the conditions and stipulations on the reverse side of this form in regard to trading in options and represent that trading in options is suitable in fight of my investment objectives. financial situation risk tolerance and knowledge. I hereby confirm that lam the source of and attest to the accuracy of the above information and authorize Deutsche Bank Securities Inc. (DBSI) to verify any reprenentation contained therein, at its discretion. I will promptly notify DBSI, in writing, of any matenal change in the above-stated information. I acknowledge that I may obtain an options clearing corporation prospectus upon request. I have received and e OptionsClear Corporation Disclosure Docrmientf;r entit aCharec eristics and Risks of Standardized Options." • Signature Print Name HAUS Bei et SPA• Dete (SehttOOKYYY) ENS /OhjZoilb Date (MMiDONYYt) Client Advisor Signature CM Date Print Client Advisor Name POP Approval Signature Print Name Gate WM189768 O1072L051018 Page2of4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0076246 CONFIDENTIAL SDNY GM_00222430 EFTA01378965