EFTA01467752.pdf

Deutsche Bank Private Wealth Management Structured Products Agreement and Approval Form Please Complete All Sections Account No. Account Type: Individual Joint Trust Account Name Partnership Limited Liability Company Corporation IRA ERISA Other Account and Owner Information (Provide requested information for each account owner ("Client"). Attach supplement to this Agreement if necessary.) Name Address Phone Country Number of Dependents Employer Business Address Type of Business Position Name(s) of person(s) other than account owner(s) authorized to place orders for the account: Client(s) Financial Information Approximate Aggregate Annual Income of Account Owner(s) from All Sources Less than $50,000 $50,000 - $99,999 $100,000 - $249,999 $250,000 — $499,999 $500,000 — $999,999 $1,000,000 — $2,499,999 $2,500,000 — $4,999,999 $5,000,000 and over Investment Experience of Account Owner(s) Year First Traded Options Stocks Bonds Commodities OTC Derivatives Structured Products Alternative Investments Foreign Exchange Other (Specify) Investment Objectives for the Client Account: Deutsche Bank Alex. Brown (Select up to two adjacent objectives): EFTA01467752 Capital Preservation Income Deutsche Bank Private Bank: Reserve Cash Management Income Growth Maximum Growth Growth Aggressive Growth Fixed Income Growth and Income Client-Defined Objectives (specify below) Average # Trades Per Year Average Size of Trades In $ Types of Previous Option Experience Covered Call Writing Purchased Options Option Spreads Uncovered Put Writing Uncovered Call Writing None Sources of Income (Approximate) Salary/Bonus Interest/Dividends Other (specify): Approximate Aggregate Net Worth Liquid Net Worth Less than $50,000 $50,000 - $99,999 $100,000 - $249,999 $250,000 — $499,999 $500,000 — $999,999 $1,000,000 — $2,499,999 $2,500,000 — $4,999,999 $5,000,000 and over Approximate Net Worth Excluding Principal Residence Less than $50,000 $50,000 - $99,999 $100,000 - $249,999 $250,000 — $499,999 $500,000 — $999,999 $1,000,000 — $2,499,999 $2,500,000 — $4,999,999 $5,000,000 and over Marital Status EFTA01467753 Business Phone Years Held Birthdate 09-PWM-0128 (05/11) 006405b.051611 EFTA01467754 Representations Relating to Qualification of the Client Check all that apply. At least one category must be checked. I represent that Client qualifies as an "Accredited Investor" as defined in Regulation D under the Securities Act of 1933 because Client is: a natural person with individual income exceeding $200,000 in each of the two most recent years or joint income with a spouse exceeding $300,000 in each of those years and a reasonable expectation of the same income level in the current year; a natural person with individual net worth, or joint net worth with a spouse, over $1,000,000, excluding primary residence; a trust with assets in excess of $5,000,000, not formed for the specific purpose of acquiring the securities offered, whose purchases are directed by a sophisticated person; a revocable trust that may be amended or revoked at any time by the grantors and where all of the grantors are accredited investors; a charitable organization, corporation or partnership with assets exceeding $5,000,000; a business in which all the equity owners are accredited investors; a bank, savings and loan association, registered broker or dealer, insurance company, registered investment company, business development company or licensed small business investment company; an employee benefit plan, within the meaning of ERISA, if a plan fiduciary that is a bank, insurance company or registered investment adviser makes the investment decisions, or if the plan has over $5,000,000 in total assets or a self-directed plan with investment decisions made solely by accredited investors; a plan established and maintained by a state, its political subdivisions or any agency or instrumentality thereof, for the benefit of its employees with total assets in excess of $5,000,000; or a director, executive officer or general partner of the issuer of the securities being offered. I represent that Client qualifies as a "Qualified Purchaser" as defined in the Investment Company Act of 1940, because Client is: a natural person (including any person who holds a joint, community property, or other similar shared ownership interest in an issuer that is excepted under section 3(c)(7) with that person's qualified purchaser spouse) who owns not less than $5,000,000 in investments; any person, acting for its own account or the accounts of other qualified purchasers, who in the aggregate owns and invests on a discretionary basis, not less than $25,000,000 in investments; a company that owns not less than $5,000,000 in investments and that is owned directly or indirectly by or for 2 or more natural persons who are related as siblings or spouse (including former spouses), or direct lineal descendants by birth or adoption, spouses of such persons, the estates of such persons, or EFTA01467755 foundations, charitable organizations, or trusts established by or for the benefit of such persons; or a trust that is not covered by any definition above, and that was not formed for the specific purpose of acquiring the securities offered, as to which the trustee or other person authorized to make decisions with respect to the trust, and each settlor or other person who has contributed assets to the trust, is a person described in any definitions above. Client(s) Strategy Requests. Please check as many of the following strategies ("Structured Products") as may apply. With all Structured Products, in the event of early liquidation, there may not be a liquid market, and the investor may experience a loss due to costs involved with unwinding the investment. Furthermore, investors are exposed to the credit risk of the issuing entity, which in the case of a default, may result in a significant, or total, loss to the investor. 1. Principal Protected Structured Notes and Certificates of Deposit — 90%-100% Principal Protection which may result in lower returns than a direct investment in the underlying. Investor understands that principal is protected only if held to maturity and that FDIC insurance applies only to Market-Linked Certificates of Deposit up to the statutory limits. Buffered Notes — Partial principal protection (usually protection from the first 10%-2096 decline in the underlying) which serves as a buffer to loss. Investors participate in the downside, either on a 1-for-1 or leveraged basis, in the amount the underlying declines beyond the predetermined buffer level. Upside participation in the underlying may be leveraged and is sometimes capped. Contingently Protected (including Reverse Convertible and Callable Yield) Notes — Full Principal Protection only if a pre-set barrier is not breached. If a barrier is breached, investors would lose the level of protection and participate in any decline in the underlying, if any, at maturity. Structures include but are not limited to those that pay investors a fixed coupon payment, participation in upside if the underlying performs positively, or both. The investor acknowledges that settlement at maturity may be in the form of cash or physical delivery of the underlying. Market Participation Notes — Zero principal protection. 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 straight 1 for 1, or varying degrees of upside participation, leverage or a fixed coupon. Investors in MPNs seek access to an underlying which is generally complex and which may be inaccessible to them in the market. DB and third party proprietary indices are typically used as an underlying. 2 3. 4. The following representations are applicable for an individual account. If this is a joint, trust, partnership, limited liability company, corporate or other type of EFTA01467756 account, the word "I" in the following paragraphs shall mean each owner in the case of a joint account or the authorized signatory making representations on behalf of the trust, partnership, limited liability company or other entity in the case of such account type, as the case may be. I represent that the purchase of Structured Products is suitable for this account in light of my investment objectives, financial situation, risk tolerance and knowledge. I hereby confirm that I am the source of and attest to the accuracy of the above information and authorize Deutsche Bank and its subsidiaries to verify any representation contained therein, at their discretion. I have made my own decision to invest in Structured Products and have made the determination of the suitability of such an investment based upon my own judgment, adequate information I have independently obtained (from sources other than Deutsche Bank) about Structured Products and consultation with my own advisors as to the legal, regulatory, tax, business, financial, accounting and related aspects of my purchase of Structured Products to the extent I have deemed necessary. I have not relied on Deutsche Bank or any person or entity affiliated with Deutsche Bank in connection with my investigation of Structured Products, my decision to invest in Structured Products or my determination as to the suitability of such an investment; I will promptly notify Deutsche Bank, in writing, of any material change in the above-stated information. I understand that Structured Products may have a derivative component in the form of one or more embedded options, and that such option(s) may have the result of reducing the gains or interest income, or increasing the losses (which may include a loss of principal) on the Structured Products, whether held to maturity or sold prior to maturity, to a greater extent than would be the case if the Structured Products did not have such a derivative component. The representations in this paragraph only apply if Deutsche Bank exercises trading discretion over the assets in the Account. To the extent permitted by applicable law and rules, I authorize Deutsche Bank to purchase for my Account Structured Products underwritten, placed or issued by Deutsche Bank or in which Deutsche Bank is a dealer or market maker. I understand that when Deutsche Bank acts in transactions for my Account as my agent, as principal for its own account or as a counterparty, Deutsche Bank may charge me fees or receive from sources other than me profits or other benefits that will be in addition to the fees I pay Deutsche Bank for advice under any separate agreement with me. I agree that Deutsche Bank need not disclose to me its relationship with or EFTA01467757 interest in these issuers, investments or transactions, including the nature or amount of any profit, compensation or other benefit Deutsche Bank may receive. I agree that I will read carefully the prospectus, term sheet and any other offering document (any such prospectus, term sheet or offering document, an "Offering Document") that I may receive in connection with the acquisition of any Structured Product for my Account, including disclosures in any such Offering Document describing the fees I may pay in connection with the Structured Product as well as representations and warranties that I will be deemed to have made in connection with the acquisition of the Structured Product. 09-PWM-0128 (05/11) 006405b.051611 EFTA01467758 Clients with IRA or ERISA accounts The representations and warranties in this paragraph only apply to clients with IRA or ERISA accounts. Advisory IRA accounts and advisory accounts governed by the Employee Retirement Income Security Act of 1974, as amended ("ERISA") are prohibited from transacting in structured products. Clients with self-directed, non-advisory IRA / ERISA accounts who also maintain separate advisory accounts at Deutsche Bank may be permitted to purchase structured products; however, in such instances I understand that Deutsche Bank will not provide me with any investment advice with respect to any transactions relating to my acquisition or holding of any structured product. I understand that I must have an investment objective of Growth or Aggressive Growth and that I may be required to complete a purchaser's certificate for each transaction prior to order entry. I further understand that I may not acquire structured products unless such acquisition complies with the requirements of ERISA or the Internal Revenue Code of 1986, as amended (the "Code") or an exemption from such requirements is available to me. I understand that structured products may be illiquid and that resales of such products may not be possible or may be subject to significant delay. I further acknowledge that, notwithstanding any such potential or actual delay, I will be solely and fully responsible for ensuring that the distribution of minimum amounts required under the Code shall be timely made and for any liabilities, losses, penalties, taxes or other consequences arising from or relating to the failure to timely distribute any such amounts. Finally, I understand that in its capacity as selling agent Deutsche Bank will receive compensation from the issuer as a result of my acquisition of structured products, as will be described in the prospectus, offering memorandum or other offering document associated with each structured product. 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:* Title of Account Signature Name Date *If this is a joint account, all joint account holders must sign. The following signature block should be used for a Trust, Partnership, Limited Liability Company or Corporate client. Title of Account Signature Date Name If this is a trust account check as appropriate Required Deutsche Bank Signatures EFTA01467759 IA/CA Signature Print IA/CA Name Manager Approval Trustee Title Co-Trustee Signature Name Date Date IA/CA # Date "Deutsche Bank" means Deutsche Bank AG and its affiliated companies, including Deutsche Bank Trust Company Americas, Deutsche Bank Securities Inc., Deutsche Bank National Trust Company and Deutsche Bank Trust Company, N.A., as the context requires. Deutsche Bank Private Wealth Management refers to Deutsche Bank's wealth management activities for high - net-worth clients around the world. Deutsche Bank Alex. Brown is a division of Deutsche Bank Securities Inc. Please fax all completed and fully executed forms to the Structured Solutions Group Fax Number (212) 553-2389 09-PWM-0128 (05/11) 006405b.051611 Off Off Off Off Off Off 0 Off Off 0 0 0 0 Off Off Off Off Off Off Off Off Off EFTA01467760