EFTA01461106.pdf

6. 'Branch Supervisor' means the manager of the branch office at which Client's Account(s) is/ere maintained. 6. 'Cash Sweep Options' means the program through which certain uninvested cash balances in eligible Account(s) will be deposited automatically each day into interest-bearing, FDIC-insured depository accounts through DEISI's IDP or into en available money market mutual fund until Client invests these balances or balances are otherwise needed to satisfy obligations arising in connection with Client's Accountbs). The Cash Sweep Options are described more fully in the Cash Sweep Options disclosure, ("Cash Sweep Options Disclosure"), which will be provided to Client under separate cover after the Account is opened. A copy of the Cash Sweep Options Disclosure is available at http://www.pwm.db.Corn/amencesien/CashSwenpOptions.Mml. 7. 'Client Advisor' means the DBSI professional assigned to Client's Account. 8. 'DBSI Privacy Statement' means the statement of °BSI's policies pertaining to gathering, protecting end maintaining the confidentiality of Client information and, in certain limited situations, providing Client information outside of OBSI. 9. -ERISA" means the Employee Retirement Income Security Act of 1974. 10. 'Immediate family member' means (a) a person's parent, stepparent, child, or stepchild; (Id a member of a person's household; (c) an individual to whom a person provides financial support of more than 50 percent of his or her annual income; or (d) a person who is claimed as a dependent for federal income tax purposes. 11. 'Party' or 'Parties' means Client(s) and 0851. together with its affiliates, collectively. 12. 'Restricted Securities' means securities of a corporation of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person or insider, or securities that are subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security), or are not traded on or through a national securities exchange, automated quotation system or other nationally recognized published inteniealer quotation system. 13. 'Securities and Other Property' means, but Is not limited to, money, securities, financial instruments end commodities of every kind and nature and related contracts end options (whether for present or future delivery), distributions, proceeds, products end accessions of all property owned by the Client or in which the Client has an interest. (THIS SPACE INTENTIONALLY LEFT BLANK) lesnA134716 9 016684.110614 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0122944 CONFIDENTIAL SONY GM_00269128 EFTA01461106