EFTA01454017.pdf

Option Objectives (check ALL that apply): Income (covered call writing) E Portfolio Protection (protective puts) (ZI Speculation (spreads & 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 fully covered by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. O 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. ❑ 3.0ption 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. O 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required. Involves Substantial Risk II assigned, the client must purchase the underlying stock at the strike price, which may be substantially higher than the then-current market price. O 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Wnting 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 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 Securities Inc. (also referred to herein as "Deutsche Bank Alex. Brown") to verify any representation contained therein, at its discretion. I will promptly notify Deutsche Bank Alex. Brown, in writing, of any material change in the above-stated information. I acknowledge that I may obtain an options clearing corporation prospectus upon request. I have received and read the Options Clearing Corporation Disclosure Document entitled "Characteristics and Risks of Standardized Options." Soled Date Signed Date Print Client Advisor Name CA a Client Advisor Signature Date ROP Approval Date OPTION DEPT. APPROVAL: Sit()1, DATE Comments a LLI 0 Covered Call Writing alk z it p Purchasing Options 2 o.R. O 0 Option Spreads 2 8 0 Uncovered Put Writing O ." 0 Uncovered Call Writing 09-PWM-0127 OM 14 (0911) 006404.051011 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0111911 CONFIDENTIAL SDNY_GM_00258095 EFTA01454017