EFTA01378967.pdf

Important Please read this appendix (continued) 3. I understand that DBSI has policies which may be more restrictive than or Impose requirements in additionof to those Exchanges, FINRA or the New York Stock Exchange. I agree to abide by such policies as a condition doing of the business with DB51. I understand that these policies include but are not limited to the following: • Settlement date for all option trades is the business day following trade date. Notwithstanding this provision. DBSI may, in its discretion, elect not to accept purchase orders in options unless cash equal to the purchase price has first first deposited been deposited in my account end may elect not to accept opening sale orders in options unless I have amount in my account either the required margin or unrestricted negotiable shares of the underlying stock in an specified by 0BSI. • DBSI may refuse orders to trade options in my account if there are restrictions against my account including restrictions regarding trading in the underlying security, or for any other reason, at its discretion. will accept no • DBSI has set trading and exercise deadlines which correspond to deadlines established by the OM and responsibility for completion of orders entered by clients after such deadline. margin account • Margin, either in cash or securities, posted by me against short option positions, may not be included in my equity or interest computations. DBSI may, in turnf use these deposits to secure said short positions with the OCC. notices assigned to DBSI in respect of a short position in option contracts in customer accounts shall • Option exercise on an automated random basis. I understand that if I am assigned, the assignment be allocated to customers of DBSI 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 and that lam the date of assignment (except for non-equity options, which settle for cash on the day of assignment) obligated to deliver the underlying stock or required cash to DBSI no later than settlement date. margin calls as all 4. I understand that margin requirements exist in connection with certain options and I agree to meet impose a higher made by DEM I understand that DBSI, in computing the margin requirements for option positions, may me of its margin requirement for Individual option positions than other investment firms, and that DBSI will inform promptly, DBSI existing margin requirements for option positions upon request. In the event I do not meet margin calls and without notification to me, to take any and all steps necessary to protect itself in is authorized, in its sole discretion short. or short connection with put and/or call transactions made for my account including the right to buy and/or sell or all of the shares represented by options endorsed by DBSI for my account or exempt for my account and risk any part I further agree that to buy for my account and risk any puts and/or calls as DBSI may deem necessary for its protection. any and all expenses incurred by DBSI in this connection will be reimbursed by me. 5. This agreement shall apply to all option orders for my/our account whether or not such orders are executed. specified by me, DBSI will 6. I understand that options may be listed on one or more Exchanges and that if no Exchange is use its discretion in routing my order(s). notification to 7. I hereby authorize you in your sole discretion and with notification to me (or in the event of my death, without action, take including, representatives of my estate or to my heirs) whenever you deem it necessary for your protection, toof suchand/or to buy, without limitation, to buy, sell or sell short for my account(s) and my risk. puts, calls, or other forms options options endorsed by you for my account(s). Any and sell, or sell short any part or all of the underlying securities represented by you in connection all expenses, Including, without limitation attorneys' fees and their reasonable disbursemen ts, incurred by 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 or thereafter known any securities related thereto, or any information relating to options whether such information is then advice or notification in respect to any option or any underlying securities or securities relating or available. Any information, any otheragreement thereto which you may give me and which you are not required to give by the terms of this agreement or 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. its provisions shall be 9. This agreement and its enforcement shall be governed by the laws of the State of New York and principal, and all accounts, continuous; shall cover all options transactions hereunder, whether you are acting as broker or individually and collectively, which I may open or re-open with you; shall inure to the benefit of your present organization, its successors and assigns; and shall be binding upon me and my estate, executors, administrators and assigns, butshall no me from any of my obligations hereunder. Written notice of revocations of this agreement not assignment shall release release either of us from any obligations hereunder arising prior to the actual receipt of such notice by the other. provision shall 10. Whenever any law or regulation is adopted which affects or is inconsistent with any provision hereof, such modified or be deemed modified or superseded, as the case may be, by such law or regulation, and such provisions as so other provisions hereof shall In all respects continue in full force and effect All other agreements existing superseded and all be to any of my transactions and accounts with you, shall between us or hereafter made which, by their provisions apply Should such a applicable to any of my options transactions and accounts where they are not in conflict with this agreement. Otherwise, the provisions of each agreement shall be applicable conflict exist it shall be resolved in favor of this agreement. 11. As used herein, t and "me" refers to all account owners. 'You- and -Your refers to DBSI. Please Initial Here: O2018 Deutsche Rank AG. All rights reserved. WM189768 010721 051018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0076248 CONFIDENTIAL SDNY GM_00222432 EFTA01378967