EFTA01283100.pdf

Deutsche Bank Wealth Management CSR rGi PO- 6#, Option Agreement and Approval Form Please Complete All Sections Account Nunmer Account Name Jeffrey Epstein Account Type Account Registrat on Cash Individual Managed Account Discretionary Account V. Other account: NarnefS) of Dersonfs) other Man account owner(s) authorized to place orcers for the to this Agreement if necessary). Account any Owner Information (Provide requested info,mationyor each account owner (Client), Attach supplement Harry Beller, Darren Indyke No a.e Jeffrey Epstein Country Address , Virgin Islands, US Lithe Saint James, St. Thomas Number of Dependents Marital Status Beihdate Pnone Nuninc• 0 Single 01/20/1953 Business Phone Numoer Employer Southern Financial LLC Business Address 4100 Red Hook Quarter, B3, St. Thomas, Virgin Islands, USVI 00802 Post on Years Held hae of Business President 5 Finance Present Brokerage Accounts with 17!) 4-eteitleAdev_Th4eA 4aNt SeokeAs with Deutscne Bank Securities Inc.? Does the individual or entity that controls this account have the power to control any other Option Account(s) attached list or Yes No If yes, please provide the account number(s): see Client(s) Financial Information Approximate Aggregate Annual Income I Sources of Income (APPrOxsmate) i Approximate Aggregate Net Worth Of Account Owners) from All Sources ! Salary/Bonus 50 % Approximate Net Worth Less than 550.000 Excluding Principal Residence 50 , Liquid Net Wonh 550.000 - 599.999 Interest/Dividends . Less I non 550.000 less than $.50.000 5100.000 - 5249.999 Other (specify), : $50.000 - 599.999 $50000 - 599.999 5250.000 - $49%999 $100.000 - 5249.999 % 5109,000- 5249,999 5500.000 - 5999.999 $250.000 - 5499.999 5250.000 - $499.999 51.000.000 - 52.499.999 5500000 - 5999.999 5500.000 - $999.999 52.500.000 - 54,99%999 , $Looa000 - $2,499.999 S1.000.000 - 52.499.999 V 55.000.000 and over $2.500000 - 54.999.999 52.500.000 - 54.999.999 V 55.000000 and over 9, $8000.000 and over represents the wealth management activities conducted "Deutsche Bank" means Deutsche Bank AG and its affiliated comparees Deutsche Bank Wealth Management or services oy one or more legal entities that are identified by Deutsche Bank AG or its subsdar es Clients are provided Deutsche Bank Wealth Management products Or servCeaBtOkerage services are offered truckegh to dents pursuant to the contracts. agreements, offerry; materials or other documentation relevant to soy, products conducts securities actMtes in the United States. Deutsche Bark Securities Inc. Deutsche Bank Securities Inc. a brOkepdealet and registered investment adviser. which Americas member FDIC, end aver members Is a center of FINRA NYSE and SWC. Banking and lending servicesare offered InrOugh fkiutsche Bank Trust Company of the Deutsche Bank Croak SDNY GM 000387g8— Thar- 1 of 4 CONFIDENTIAL W51189768 010721.051018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001622 EFTA_00 I 49407 EFTA01283100  Investment Experience of Account Owner(s) Year i'ifst Average AI Average Size of Average Size in Types of Previous Option Pried Trades Pe, Yea. Trades In S Snares / Contracts Experience Options 1988 10 $1,000,000.00 1,000 V. Covered Call Writing V Purchased Options Equities 1988 10 $1,000,000.00 1,000 V Option Spreads Fixed Income 1988 10 $1,000,000.00 1,000 V Uncovered Put Writing Uncovered Cad Writing Commodities and Futures 1988 10 $1,000,000.00 1,000 None Exchange Traded Funds I ETEs) 1988 10 $1,000,000.00 1,000 Alteinauve investments (Hedge Funds. 10 $1,000,000.00 1,000 1988 Private Equity) Option Objectives (check ALL that apply) writing) ✓ Income (covered call writing) V Portfolio Protection (protective puts) V Speculation (option buying, spreads and uncovered Client(s) Strategy Requests (Please check as many of the following strategies sought to be employed) ✓ 1. Covered Call Writing at expiration. requiring owner to sell at Moderate Risk. Calls fully covered by underlying stock. Stock may be called at any time or strike price. ✓ 2. Purchasing Options If position is not closed Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. or exercised by expiration date. options will expire worthless. ./ 3. Option Spreads-Margin account required. leaving only a short position, Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, stock in the open market to effect the financial risk becomes unlimited. Option assignments require purchase of the underlying delivery to purchaser of option. option writers required. Involves Substantial Risk. z" 4. Uncovered Put Writing—Margin account and special statement for uncovered If assigned, the client must purchase the underlying Stock at the strike price, which may be substantially higher than the then-current market price required. hwolves Substantial Risk. ✓ S. Uncovered Call Writing—Margin account and special statement for uncovered option writers involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market Writing uncovered calls to effect delivery to purchaser of option. that I have read and ui of the conditions and stipulationson the reverse side of this form in regard to trading in options and represent suitable in ht of my investment objectives, financial situation. risk tolerance and knowledge. I hereby confirm that I am trading in opt is Inc. (DBSI) to verify any representation the source o nd attest to the conracy of the above information and authorize Deutsche Bank Securities the above-stated information. I acknowledge contained t ereint at its discr ion. I will promptly notify 0851, in writing. of any material change in that I may lain an option leafing corporation prospectus upon request. Options." I have received he Options Clearing Corporation Disclosure Document entitled "Characteristics arid Risks of Standardized Signature Signature T icidz,om Date (MM/DDEVYYY) Print Name Date (MWDOEYYYY) tot I\ t CAw Data ieril Advisor Signature cv ti 4 2-evna Print Client Advisor Name ROP Approval Signature SDNY,Gn09038799 CONFIDENTIAL WM189768 010771.051018 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0001623 EFTA_00 I 49408 EFTA01283101  OPTION DEPT. PPROVAL ROSTP Date Comments: O. 0. Ww ow Covered Call Writing Purchasing Options O CI- -, M O Option Spreads O OI Uncovered Put Writing LL - Uncovered Call Writing Risks, Prohibitions and General Information Concerning Option Trading Important: Please read this appendix assurance against loss. I understand that options transactions involve a high degree of risk and offer no guarantee of gain or that prior to engaging in any option transaction, I should review my present financial situation and Accordingly, I understand determine whether it is advisable to incur the risk of loss associated with that particular investment. financial risks in 1. I understand that when I engage in option trading I expose myself to certain, potentially substantial Requests: including but addition to those identified on the front side of this form under the heading "Client(s) Strategy not limited to the following: premium and transaction costs. • I understand that I should not buy an option unless I am able to sustain a total loss of the may forfeit participation in capital gains but retain risk of • If I sell (write) covered options, I understand that I in capital losses in the underlying security. I understand that if an exercise is assigned to me, I may be participation underlying security at a time which may be unfavorable to me. I also understand forced to liquidate my position in the security (or a security that I should not sell (write) a covered call option unless I am prepared to deliver the underlying e, or exercisable into such underlying security) upon the exercise of the option. convertible, exchangeabl capital loss if, and to the extent that, the market price • If I sell (write) uncovered (naked) options, I risk substantial security increases above the strike price of a call or decreases below the strike price of a put. of the underlying to assume such a capital loss. If an exercise is assigned to me, it will, in all likelihood, be at a time which will force me an index option, unless I understand that I should not sell (write) a put option or an uncovered call option, especially I am able to sustain potentially unlimited losses. relationship between the • I am aware that various factors may affect the price of an option contract, such as the exercise price and market price of the underlying security, the time period remaining until the option expires, and the price fluctuation or other characteristics of the underlying security. time to time, restrict • I am aware that the respective option exchanges (Exchanges) may, in their discretion and from the exercise of option contracts in the interest of maintaining a fair and orderly transactions in particular options or that I may not market in option contracts or in the underlying security, for the protection of investors. I understand in the event that a secondary market in the option ceases to exist or the listing exchange be able to close a position restricts or suspends trading in the option. sale transactions on the • I am aware that the Exchanges have established restrictions on certain opening purchase and Exchanges which are considered to be restricted options. the Rules of the Financial 2. I understand and agree that my account(s) with DESSI will be handled in accordance with and the Exchanges on which listed options are traded and of the Options Clearing Industry Regulatory Authority (FINRA) such rules. In accordance Corporation (OCC), as expressed in its prospectus. I am aware of and agree to be bound by with such rules: in excess of the limits • I will not attempt to acquire at any time, either by myself or in concert with others, a position For the purpose of computing such limits, I understand that total long prescribed from time to time by the Exchanges. position limit. Similarly, call options and short put options of the same underlying stock must be added to compute the the position limit. total long put options and short call options of the same underlying stock must be added to compute business others, during any period of five consecutive • I will not attempt to exercise, either by myself or in concert with days, a quantity in excess of the limit prescribed by the Exchanges. to sanctions • I understand that if found in violation of either the position limit or the exercise limit I may be subject in violation. imposed by the Exchange involved and that these sanctions may include liquidation of the positions SDNY GM 00038800 T'aotr3 of 4 CONFIDENTIAL WM189768 010721.051018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001624 EFTA_00I 49409 EFTA01283102  Important: Please read this appendix (continued) in addition to those 3. 1 understand that DBSI has policies which may be more restrictive than or impose requirements Exchanges, FINRA or the New York Stock Exchange. I agree to abide by such policies as a condition of doing of the business with OBSI. I understand that these policies include but are not limited to the following: ing this provision, DBSI • Settlement date for all option trades is the business day following trade date. Notwithstand options unless cash equal to the purchase price has first may, in its discretion, elect not to accept purchase orders in in my account and may elect not to accept opening sale orders in options unless I have first deposited been deposited in my account either the required margin or unrestricted negotiable shares of the underlying stock in an amount specified by DBSI. including • OBSI may refuse orders to trade options in my account if there are restrictions against my account, restrictions regarding trading in the underlying security, or for any other reason, at its discretion. the OCC and will accept no • OBSI has set trading and exercise deadlines which correspond to deadlines established by responsibility for completion of orders entered by clients after such deadline. in my margin account • Margin, either in cash or securities, posted by me against short option positions, may not be included turn, use these deposits to secure said short positions with the OCC. equity or interest computations. 0BS1 may, in customer accounts shall • Option exercise notices assigned to DBSI in respect of a short position in option contracts in the assignment be allocated to customers of DBSI on an automated random basis. I understand that if I am assigned, days from will be processed as a sale (in the case of a call) or a purchase (in the case of a put), settling two business for non -equity options, which settle for cash on the day of assignment) and that I am the date of assignment (except obligated to deliver the underlying stock or required cash to DBSI no later than settlement date. all margin calls as 4. I understand that margin requirements exist in connection with certain options and I agree to meet made by DBSI. I understand that D851 in computing the margin requirements for option positions, may impose a higher me of its margin requirement for individual option positions than other investment firms, and that DBSI will inform positions upon request. In the event I do not meet margin calls promptly, DBSI existing margin requirements for option to protect itself in is authorized, in its sole discretion and without notification to me, to take any and all steps necessary and/or sell short, or short connection with put and/or call transactions made for my account, including the right to buy shares represented by options endorsed by DBSI for my account, or exempt, for my account and risk any part or all of the my account and risk any puts and/or calls as DBSI may deem necessary for its protection. I further agree that to buy for any and all expenses incurred by DBSI in this connection will be reimbursed by me. executed. 5. This agreement shall apply to all option orders for my/our account, whether or not such orders are be listed on one or more Exchanges and that if no Exchange is specified by me, DBSI will 6. I understand that options may use its discretion in routing my order(s). without notification to 7. I hereby authorize you in your sole discretion and with notification to me (or in the event of my death, representatives of my estate or to my heirs) whenever you deem it necessary for your protection, to take such action, including, limitation, to buy, sell or sell short for my account(s) and my risk, puts, calls, or other forms of options and/or to buy, without my account(s). Any and selt or sell short any part or all of the underlying securities represented by options endorsed by you for in connection all expenses, including, without limitation attorneys fees and their reasonable disbursements, incurred by you with such transactions will be reimbursed by me or by my estate. covered by an option or 8. You are under no obligation to convey to me any information relating to the underlying securities any securities related thereto, or any information relating to options whether such information is then or thereafter known or available. Any information, advice or notification in respect to any option or any underlying securities or securities relating other agreement, thereto which you may give me and which you are not required to give by the terms of this agreement or any not be construed as creating an implied agreement or course of dealing between us and shall not expressed or implied, shall impair the provisions of this or any other agreement between us. shall be 9. This agreement and its enforcement shall be governed by the laws of the State of New York and its provisions all accounts. continuous; shall cover all options transactions hereunder, whether you are acting as broker or principal, and organization, individually and collectively, which I may open or re-open with you; shall inure to the benefit of your present upon me and my estate, executors, administrator s and assigns, but no its successors and assigns; and shall be binding shall not assignment shall release me from any of my obligations hereunder. Written notice of revocations of this agreement obligations hereunder arising prior to the actual receipt of such notice by the other. release either of us from any hereof, such provision shall 10. Whenever any law or regulation is adopted which affects or is inconsistent with any provision modified or superseded, as the case may be, by such law or regulation, and such provisions as so modified or be deemed superseded and all other provisions hereof shall in all respects continue in full force and effect. All other agreements existing you, shall be between us or hereafter made which, by their provisions apply to any of my transactions and accounts with transactions and accounts where they are not in conflict with this agreement. Should such a applicable to any of my options conflict exist it shall be resolved in favor of this agreement. Otherwise, the provisions of each agreement shall be applicable. 11. As used herein, "r and "me refers to all account owners. "You" and "Your" refers to DBSI. Please Initial Here: SDNY_GM_00038801 CONFIDENTIAL 2018 Deutsche Bank AG. All rights reserved. CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0001625 EFTA_00I 49410 EFTA01283103