EFTA01373559.pdf

Deutsche Bank AG — Self-Disclosure Letter All answers should be made with respect to all non-centrally cleared ("uncleared') derivatives trading activity between counterparty and Deutsche Bank AG (-DBAG"). Where an agent or representative (for example an asset manager) is completing and executing this Self-Disclosure Letter on behalf of multiple underlying principals (for example a number of underlying funds), the agent or representative must complete and execute one separate copy of this Self- Disclosure Letter for each underlying principal for which it is acting. 1. Counterparty Legal Name: Address: Country of incorporation: Legal Entity Identifier: Contact details of person to discuss CSA negotiations: 2. If you trade with any entity in the DBAG group other than DBAG, please specify which DBAG group entit(y)(ies) you trade with: 3. If you are a multibranch entity, please specify the offices through which you are permitted to trade with DBAG: 4. You make the following representations to DBAG (tick as applicable): (a) You are an Exempt Entity (for the purposes of EMIR)/ (b) You are an Exempt Covered Bond Issuer (for the purposes of EMIR)3 (c) You are a financial counterparty (as such term is defined in EMIR)' (d) You are an entity established outside the European Union that, to the best of its knowledge and belief, having given due and proper consideration to its status, would constitute a financial counterparty (as defined in EMIR) if it were established in the European Union (e) You are a non-financial counterparty (as such term is defined in EMIR)5 and are subject to the clearing obligation for future contracts in accordance with Article 4 of EMIR if the rolling average position over 30 working days exceeds the clearing threshold (0 You are an entity established outside the European Union that, to the best of your knowledge and belief, having given due and proper consideration to its status, would constitute a non-financial counterparty (as such term is defined in EMIR) and would be subject to the clearing obligation referred to in paragraph (e) above if you were established in the European Union (g) You are a non-financial counterparty (as defined in EMIR); and the notional amounts of your relevant foreign exchange, credit, rates, equity, commodity and other derivative portfolios are lower than the thresholds for mandatory clearing stipulated in respect of EMIR "EMIR" means Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories. 2 "Exempt Entity" means an entity referred to in Article 1(4)(a), Article 1(4)(b), Article 1(4)(c), Article 1(5)(a), Article 1(5)(b), Article 1(5)(c) or an entity that is not an "undertaking" for the purposes of EMIR. "Exempt Covered Bond Issuer" means a covered bond issuer satisfying the conditions set out in the delegated regulation on margin requirements for uncleared derivatives adopted by the European Commission on 4 October 2016. 4 See attached Annex (EMIR Classification) for a further details on financial counterparties. 5 See attached Annex (EMIR Classification) for further details on non-financial counterparties. Template Date: April 10, 2017 - 1- CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067807 CONFIDENTIAL SDNY_GM_00213991 EFTA01373559