EFTA01353531.pdf

Investment Experience of Account Owner(s) 'rear First AVellici.? Average Size of Average Size in Types of Precious Option 'Traded Trades Per Year Trades In S Shares i Contracts Expelwince (;p1,-)n, Covered Gall Writing Purchased Options Option Spreads Fixed ilICOMC kincoverixl Put Writing Commodities and it mires Uncovered CM Writing Exchange Trader' Funds (Errs) Alternative Investments (ifedge Funds, Private Equity) Option Objectives (check ALL that apply) income (covered call writing) Portfolio Protection (protective puts) Speculation (option buying, spreads and uncovered writing) Client(s) Strategy Requests (Please check as many of the following strategies sought to be employed) 1. Covered Call Writing Moderate Risk. Calls luny 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. It position is not closed or exercised by expiration date, options wil€ 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 under€ying stock in the open market to effect delivery to purchaser of option. 4. Uncovered PLR Writing—Margin account and special statement for uncovered option writers required. Involves EM3stantial Risk. Ir SISSig fled, the Oen% must purchase the underlying stock at the strike price. which may be substantialty nigher than tide then-current nierket price 5. Uncovered Cali Writing—Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Writing uncovered tars immtves unlimited financial risk. Option assignments require purchase of the underlying stook in open market to effect delivery to purchaser of option. I have read and understand all of die conditions and stipulations on the reverse side of this form tri regard to trading in options aver represent that trading in options is suitable in light of my investment objectives. financial situation. risk tVerence and knowledge. i hereby confirm that lam the source of and attest to the accuracy of the above Infatuation and authorize Deutsche Dank Seorities Inc. (DUST) to verify any representation contained therein. at its disesetion. l will promptly notify DWI, in writing, of any materia€ Otange in the above-stated information. l acknowledge that l nvhe obtain an options clearing tweporation prospectus upon request. I have receives and react the Options Clearing Corporation Disclosure Document entitled "Cforacteristics and Risks of Standardized Options." . Signature Signature Pont Ware Date (MMIDOTYYYY) Punt Nate Date (MMil)DIY"'YY) Client Adviser. Sign-Mute Give viiilr Print Client Advisor Name ROP Approval Signature Pont Mi.". . WM18,1768 010771.051018 Pape l cf 4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0037948 CONFIDENTIAL SDNY_GM_00184132 EFTA01353531