EFTA00169822.pdf

• Deutsche Bank Private Wealth Management Option Agreement and Approval Form Please Complete All Sections Account No. Account Name The Haze Trust Account Type Cash Account Registration EMT" 0 Managed Account ❑ Discretionary Account 0 Other Name(s) of person(s) other than account owner(s) authonied to place orders for the account: Jeffrey Epstein, Harry Boner, Jeanne Brennan Account and Owner Inforrnaben (Provide requested information for each account owner ("Client,. Attach supplement to this Agreement it necessary I Name The Haze Trust Address 8100 Red Hook Quarter, 83, St. Thomas, 00802 Country Virgin Islands Phone Number of Dependents NIA Marital Status NIA Birthdate 02W 19. 11 Employer Business Phone Business Address Type of Business Position Years Held Present Brokerage Accounts with: JPIllorgan Does the individual or entity that controls this account have the power to control any other Option Account) with Deutsche Bank Securities Inc.? Yes 0 No If yes, please provide the account number(s)1 Will Provide List Client(s) Financial Information Approximate Aggregate Annual Income Sources of Income (Approximate) Approximate Aggregate Net Worth of Account Owner(sl from All Sources AWOWIS Wt Warr, II less than $50.000 Salary/Bonus gg % pied lietWurth Gcludnq Punapii Rosa:once 0 $50.000 - $99.999 InteresVOividend5 r rya 0 Less than $50.000 0 Less than 350.000 $100,000-$249.999 Other (specify). QI 550,000 -$99.999 0 $50,000 -$99.999 8 $250.000 - $499.999 0 5100.000 - $249999 0 $100,000 - 5249.999 SUXMXY0 - $999.999 % 0 $250.000 - $499.999 0 3250.000 - $499,999 $1.000,000 - $2,499999 % Li $soct000- 3999.999 0 $500.003- $999.999 52.500000 - $4.999.999 0 $1,000.000 32.499.999 O 31.000.000 - 32.499.999 0 $5.000,000 and (WO ---.-*- --' % 0 32.500.000- $4.999.999 0 $2,500.000-$4,999.999 0 35.000.000 and over 0 35.000.030 and over Investment Experience of Account Owneris) Yes, FM Average a ltad.z Average Size of Average Sue in ;On c4 Previous Dom Everfance Traded Par Year node-: in $ Shares /Contracts Opoons 1999 10 $1.000.000.00 1,000 0 Covers Call %Wong Stocks 1999 10 $1,000,000.00 1.000 fa Purchased Options Bonds - 1899 10 51.000.000.00 1,000 -- cd,, omPOFI Spreads COMMOditift 1999 10 31.000.000.00 1,D00 Lik, Uncovered Put Writing Listed Stock Index 1998 10 $1,000,000.00 1,000 a Uncovered Can Writing OTC DerwatiwS 1999 10 $1,000,000.00 1.000 n None Structured Products 1999 10 51,000,000.00 1,000 Other (Specify) J deutsche Dart Securities Inc. a subsidiary el Deutsche Bank AG. Conducts neurnent banking and securities activities in the United States. 11111110,11I I 09-PV410127 Ole 14 (OSA 1) 004.401.062711 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) WAt941255 EFTA_00020125 EFTA00169822  ii...) ' Option Objectives (check ALL that apply): a Income (covered caN writing) Portfolio Protection (protective puts) 2 Speculation (spreads & uncovered writing) U Olefins) Strategy Requests (Please cheek as many of the following strategies sought to be employed) a 1. Covered Celt Writing Moderate Risk Calls fully covered by underlying stock. Stock may be called at any time ur at expiration. requiring owner to sell at strike price. a Z. Purchasing Options Wayes.Substanthd RAc Entire premium is at risk. Profit or loss usually determined by selling position if Positron is not closed or exercised by expiration date. options will expire wonhloss. 0 3. Option Spreads — Margin account required. Involves .Stinitafiliat_Bisk. hi addition to risk of purchasing puts or calls, it long side is dosed out, leaving only a short position, the financial nsk becomes unlimited. Option assignments require purchase of the underlying stock in the open market to effect delivery to purchaser of option [11 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required. Involves Substantial Risk. If assigned. the client roust purchase the underlying stock at the strike price, %nation may be substantially higher than the then-current market pace. El 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. IrtSubstargial Risk. Writing uncovered calls involves unlimited financial risk Option assignments require purchase of the underlying stock in oisen market to effect delivery to purchaser of option. I have read and understand allot the conditions end stipulations on the reverse side of this form in regard to trading in options and represent that tracing in options is suitable in light of my IIIVOSIMOM obreotives, financial situation, risk tolerance and knowledge. I hereby confirm that I ern the solace of and attest to the accuracy of the above information and authorize Deutsche Bank Securities Inc. (atso referred to herein as 'Deutsche Clank Mex. Etrown- 1 to verify any renresentation contained therem, at its discretion. I wia 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 uptin request. I have received and read the Options Clearing Corporation Disclosure Document entitled "Characteristics and Risks of Standardized Options." $iitted; Date) A t7 :2 34 -S Signed Date Print Client AdviSot Name CAD 5 Client Advisor Signature Date t ei 2- ROP Approval Othe 4 .....M OPTION DEPT. APPROVAL: SHOP UniF Coamoner. WCovered Can Writing — s 4 " rChesing Options -7 —.-44 9 74 ;Pi Option Spreads r.' Uncovered Put Writing r Uncovered Call Writing osatiAlLiatiss Our to leant) 004404.0:0011 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ili-qiy9M)(3256 EFTA_00020126 EFTA00169823  .2" Risks. 'Prohibitions and General Information Concerning Option Trading I understand that open ussaCtions involve a high Spine of risk and ogler no guarantee M gain or adamants. *Meet Ins Atasordintsly, I understand that poor to engaging in any option transaction. t should review my present financial situation and determine whether 4 Is advisathe In incur the tek of lots associated with the particular investment. 1. I underillonel that when 1 engage in option flannel/ethos myself to certain. potentially substantial firuncial males in addition to those idencled on the Imre side of this form under the heath* 'Clientql Strategy Requests.' including but not aniust to the &allowing" — I uttleistand that I should not buy an option ova:esteem able to sustain a total loth of the premium and transaction costs. — III Sell twee) covered onion I understand that I may forfeit participation wi ranked oaks hui foam ask of paniopation in capital kismet in the underlyirg sew*. understand that if an exercise is Seethed to me. I may be anon to tifluidlee my position in the ockirlyind security al • time which may be unfavorable to mu also understand tut I altar. not sea (write) a waved call option unless I ant Vedette, le deliver the underlying Weeny fa a socially convertible. entengeable, Or erocksable into such undertying security) upon the exercise of the option. — gl I s t (webs) uncovered (naked, options. I risk SubSlentel ca pital loss if, and to the extent that, the market PIM of the Uoderhia•I strait), oterreaSes SOYe the grate pure of • call or demotes below the strike print of • put. • an monis* is assigned lore, it volt in all liktehoprl. OR Mahn,. witch will face ma to assures SW1a caOlai loss. I understand that t should not sal (Write) a put option a an uncovered call Wiwi, eSposlay an index option, unless I am able to sustain poternisry unsuited loss — lam aware Vaal various factors may sled the price of an dpfion easect. sus /pile relationship been*/ to exocise pice and market prison* underlying warty. or lime coned remaining gins the option spires. And the pike fluctuation or other cheradensfics est the underlying security. — jam swore that thy respective option exchanges. I-Exchanges") may in their discranon and from time to tins. restrict transactions in particular options a the exercise of option contracts in the interest of resale/Sing a fair end orderly market in option conga= a in the undething security, for an ^monad" of clanged I undenorson that may not be able to close a position in the event that a sec relay masks in the option cease to exist or the listing exchnner reslratsw suspend* trading in this option. — lam aware that the Exchanges have stablishod restrictions on curtain opening purchase end sale transactions on the Exchanges which are considered to be restricted options 2. I understand and askew that my oonounthl with Dewy-hefts* Securities Inc. (So mlotol to herein as 'Deutsche 6a* Aker &own") will be handled Iona:ordains with the Rules of the financial industry Regulatory Authority I-FINRA") and the Exchanges on vithich listed options are traded and of the Options Hearing Corporation rCCC- ). as ewresaed in its sospectus lam Renee eland anise) be bound by such ales es anCordanCe with such tie: — twin not airs-nut to Wake at any into, Mese by seinif or in concert with nthas. a position in sines of the CMS preatoDed from time to tune by the Enlarges. For the purpose of corseting suet' ands. I understand that total tong call option and short pul options of the sane uncle:two stock moo on added to compute the potation link. Simiarty, total loop put notions and Slat sag OpeOnS oldie SOTO enderrying stock must be added In sense, the position lied. — 1 will net attempt to extmalse, either by mysed or in CO/Men with others. thong any period el few consecutive business days a quantity in excess of the limit piesaibed by the ExeJsarept. — I understand that if found in worths of either the position limit or the exercian ion I may be subject ro sanctions imposed by Me &chess Sinned awl that these someone may include Squidnion of lbe Sods* in violet/On 3 I understand that Drenthe Hank Alex. Brown nal policies which may be mot Seen* than or spree requirements in addition to those of the Exchanges, FINRA a the Now York Stott Exchange. I agree to abide by such pokies as it esincelion of Sing busress with Deutsche Oa* Alex Brown. I understand that these policies include but am not limited to the following. — Stormont date for all option trades is the business day following bode data Notwitintanring this prcmiinn. Deutsche Sank Mn. Brown Aviv Ni La discretion, Sect not to writ* purChher) ordem In optima unless cash equal to the pitethese price hal first been deposited in my account, and may era not to accept opening sale orders in options unless I have first deposited in my account either the required margin a unrestricted negotiable shares of the underlying stoat in an amount specified by Deutsche Bank Aker Brow,. - Deutsche Bath Ala. Brown may refuse Cleft" 10 trade options in my eccOunt if there restricts* against my aCCOUnt, including restecions reporting trad rig n the underlying security. dr for any other reason. at its doczeben. - Deutsche Bank Alex. Blown has set tracing and metes deadliness which comspend to deans estabrished by the 0CC and Will °papa no esponsJbauy tor oompiction of onkvs unkind by clients after such deaden°. — Margin, tether in oath a Narratr e. posted by me *end snarl slam pasition env not be inducied in my mar scant odere nr internal comoutednos Decade Bank Ales Brown may, n twit tan three deposits to store sad then positions Wth the OCC. — Option exercise notices assigned to Deutsch Bonk Ales. Brown in respect Sashed positional option coders in customer accounts shell be dictated to customers of Penni* Bask Alex. Blown on an automated random baths. I understand that it assigned. the assignment we be processed as a sale 111 the case d a cal or a purchase fin the we d a put. settling two business days from the date of assignment rasa for nOreequity options. which settle for heel on the pry of assignment) and that I am obligated to deliver Me uererlying stock a required cash to Deutsche Bank Alex. *rem no later than setttement date. 4 I understand that margin requinsions mop in connection with wean options and I agree to meet all margin calls as mode by DeUtSehe Bank Na. &Oran. I underhand ChM Deutsche Bank Ark. Brown, In computing the MD*, requirements la option pilSilkires, may irrip06e a higher margin requirement for aitevidual option positions than other investment firms and that Deutsche Bark Alex Breen will intone, meet its chiding margin reqiirernentS lea emir' petition Open request. In the Mont I do not Meet margin Calls promptly, Deutsche Batt Ales Bream is SallhOrinad In its and: ditcreCOn and without notification to me, to take any and all steps momgory to protect then In coineaion with put midge cal (regatta:OS made for my accost, including the nglit le buy land/or set short, a idlest uterepi, lex my account and risk any part a all or the shores represents by options endorsed by Deutsche Bank Alec Brown lot my account, a to buy for my account and risk any puts andlor ads as Deutsche Bonk Ads Brown may deem necessary for in proncilort I lone agree tel Sy and si expanses inured by Deutsche Sark Apex. Worm in xis connection wel tie reiresoursed by net S. This agreement shalt apply to sr option orders lot mylour accost, whether or not such orders anexecuted. 6 I understand that options may be tided on or a emote Exchanges and that if no Exchange is specified by mcs Deutsche Rank Ales Brown will use its *solution in routing may ordalal. 2. i hereby authorit y you in yos spite discretion and with notification to me (or In the event of my death. without notification to representatives of my estate or In my heirs) whenever you dean h neCeaSery fox your prOteCenn. le take Such action, including. Widget enithitin to buy. sell or boll tkOrt for my accouSs) and nai risk ass, cals. or other torn* of options andior to buy. sell, or sell short any part or all of the underlying etiodrigies represented by shoo endorsed by you for my accnunkst. Any and all expensed. including. without lintiortiOn antioleyt fees and their reasonable disburse-nous, insured by you n corinectis with such transactions will be nimbi/rad by me or by my estate. B. You are ceder no obligation to convey to roe arecirdormatinn relating to the underlying Securities wend by at ntalsan a and Satins heed Mcrae. or any infaillation relating In onions whorls such inlennalon is then a thereafter known a *Sabin Any intormationl ohne or notification in respect to any option or any underlying rookies or secunties relating therein which you may pee me and which you are not requited to WOO by the tenth of trio egalement or any other elfacment. estheasse speed. shall not le construed as coating an implied agreement a mune of dealing between us and shoe real impair the amnions of this or any Other agreement beniettri us. A This agreement deed its enforcement shall be governed by the lain of the Slate of New York end its provisions shall be rentinuous, shall cake, all options tramacions hereunder, whether you are Kling as beaker or pasipel. and all accounts, irdividually and colones*, whit/limey open a ro-neon with you she inure to the benefit of your present agienualion, its successors and assigns; and shall be landing upon me and my estate, execute* administrators and assigns, but no despises shell release me from any of my obligations hereunder. Written notes of revocation of this agreement shalt not release either ol us from any obligations hereunds swing prior to the actual receipt of axis notice by the other. 10. Whenever any law a regulation is edepted which affect or is inconOstent with any provision *roof. such provision ante be downed metalled or superseded, as the Cant may be. by such law or regtilellon, and wail rrovision as so modified or sup reds and all other provisions hereof shall n all tappets continue in fill form and effect. All other agreements existing between us or hereafter made which. by their provisions Scaly In say of my *Manion° and accounts with you. dell be applicable to any nl my options tremors,* and Leant, ober° they are not in coMect with this agreement Should such a conflict exist it shall be resolved in laver ol this agreement. Othente, the provisions of each agnsemem shoe oe applicable. 11 As used Seem, -r and "me- refers to all nixess owners. -You- as -Your- refers to Deutsche Bank Nes Brown. Plesoe Initia!pere:. a_ 01)-PYMI4127 OM 14 (05/11) 006404 051011 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) aegt9R0)1257 EFTA_00020127 EFTA00169824  Special Statement for Deutsche Bank Alex.Brown Uncovered Option Writers ♦ .,..am float oche tarda SMwnn+ me Account No. _ Account Name The Haze Trust There are special risks associated with uncovered option writing which expose the investor to potentially significant loss. I understand that this type of strategy may not be suitable for all customers approved for options transactions. I also understand each of the following: 1. The potential loss of uncovered call writing is unlimited since there is no upper limit on a stock's price and the loss to a writer of an uncovered call equals the stock price minus the exercise price. The writer of an uncovered call is in an extremely risky position, and may incur large losses if the value of the underlying instrument increases above the exercise price. Such a loss can exceed the equity in the call writer's account. 2. The potential loss from writing uncovered put options is also substantial. The writer of an uncovered put option bears a risk of loss if the value of the underlying instrument declines below the exercise price. However, since stock prices cannot be lower than zero, the maximum loss is equal to the strike prke of the put sold less the premium received for that put. Such loss could be substantial if them is a significant decline in the value of the underlying instrument and can exceed the equity in the put writer's account. 3. For combination writing, where the investor writes both a put and a call on the same underlying instrument, the potential risk is unlimited and can exceed the equity in the option writer's account. 4. Uncovered option wining is thus suitable only for the knowledgeable investor who understands the risks. has the financial capacity and willingness to incur potentially substantial losses, and has sufficient liquid assets to meet applicable margin requirements. In this regard, if the value of the underlying instrument moves against an uncovered writer's options position, the investors broker may request significant additional margin payments. tt an investor does not make such margin payments. the broker may liquidate stock or options positions in the investor's account, with litho or no prior notice in accordance with the investor's margin agreement. b. The option writer may not be able to rely on the secondary market. If a secondary market in options were to become unavailable, investors could not engage in closing transactions, and an option writer would remain obligated until expiration or assignment. 6. The writer of an American-style option is subject to being assigned an exercise at any time after he has written the option until the option expires. By contrast. the writer of a European-style option is subject to exercise assignment only during the exercise period. NOTE: It is expected that the person's) signing below will read the booklet entitled Characteristics and Risks of Standardized Options available from your broker. Particular attention is directed to the chapter entitled "Risks of Buying and Writing Options." This statement is not intended to enumerate all of the risks entailed in writing uncovered options. I have reati.and.understand the'above statement -regarding the spacial risks associated with uncovered option writing and represent that such trading is suitable in light of my investment objectives, which include speculation, as well as my financial situation, risk tolerance and knowledge. I understand that you will rely on the representations I have made herein and in the Option A remnant and Approval Form / provided to you in determining whether to approve my account for the options strategies I ye elected an hereby certify the truth and accuracy of such statements. Signed Date Signed Date Signed Data Signed Date Signed Date Approved for. r• Uncovered Call Ctt neovered Puts ROP/Manager vab. Date: f ¢ 2t( 17 06-DeASAI26 Om 14 A UWI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ili-SD9M)1258 EFTA_00020 128 EFTA00169825  Joint Account Supplement to Option Deutsche Bank Alex.Brown Account Agreement and Approval Form Account No • _ _ Account Nome Th. urn Second Account Owner Persona) In lOallatien• Name Or" ^" Wee Awe k• • WWI* %VIII ; tome Am f ess awe ite 'yak 0021. Sh ThOeS. e‘ucen Sie Home Phone Number of Dependents Mental Status — Binhdate Up plow, were Irma* Llt Business Phone Dams, Address ow OW nook OWL I; Morass V1.031M24341 type of Business Fin"" POSinon Years Held ___ Present Brokerage Accounts with: Does the owner have the paver to mead any other Option Accnunt(s) with Deutsche Bonk Saturates Inc? laYee OH* If yes, please provide the account numbed* "min" 'on "' Third Account Owner Personal Information: Name ewer Harr/ Home Address 575 laaspOrArt R41. Mir Yak. 10022evie Rome Phew- Humbert el Deteltdems Mental Status _ Birthdate En d ow, flOilMtll ILC Business Phone Business Address 'too Red leaf* On. II Thaw. VI. 001102.13411 - -- - - Type of Business Huta Position _ Years Hued Present Brokerage Accounts with Does this owner haw the power to control any othei Option Atone's) with Deutsche Bank Si:tenets Inc.) Dues O No "Yet please Ohs* tre account numbegp: Rai" sea sass* in Fourth Account Own.. Personal OMIIINOM Name I•4 ow. Homo Address Home PhOne Number of Dependents Marital Status Birthdale Empbser Business Phone Business AdtkeSS Type of Business Rieder Years Held Peen Brokerage Accounts with: Does the owner have the pans to control any other Option Account's) with Deutsthe Bank Semites Inc.? ©Yes O No II yes, please provide the account number's) Filth Account Owner Personal Information: Name / Wire Address Hein) Phone Hunter of Dependents Mantel Status eathame trnployer Business Phone _ Business Address Type of Business Poston Years Held Present Brokerage Accounts with: Goes this owner have the power to control any other Open Accounts) with Deutsche Bank Se:unties Inc.? °Yes O No If WS. MOHO PrOwde the actOunt numbent). _ OPT) lit-anail 01131 OM 14 5 fltalt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ili aat9M)1259 EFTA_00020129 EFTA00169826