EFTA01390374.pdf

4. "Branch Supervisor" means the manager of the brareih office at which Client's Account(s) is/are maintained. 5. "Cash Sweep Options' means the program through which certain uninvested cash balances in eligible Accounts) ' will be deposited automatically each day into interest-bearing, FDIC-Insured fiflpOSit0O/ accounts through DBSI's IDP Of into an available money market mutual fund until Client invests these balances or balances are otherwise needed to satisfy obligations arising in connection with Client's Account(s). The Cash Sweep Options arc described more fully in the Cash Sweep Options Disclosure Statement. which will be provided to Client under separate cover after the Account is opened. 6. "DBSI Privacy Statement' means the statement of DBSI's policies pertaining to gathering, protecting and maintaining the confidentiality of Client information and, in certain limited situations, providing Client information outside of DEiSl. 7. 'Party' or 'Parties" means Cliem(s) and DRS', together with its affiliates, collectNely. 8. "Restricted Securities" means securities of a corporation of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person or insider. or securities that are subject to any restrictions on resale (whether by Applicable Law, contract or legend on the security), or are not traded on or through a national securities exchange, automated quotation system or other nationally recognized published interdealer quotation system. 9. 'Securities and Other Property" means, but is not limited to. money. securities, financial instruments end commodities of every kind and nature and related contracts and options (whether for present or future delivery). distributions, proceeds, products and accessions of all property owned by the Client or in which the Client has an interest. (THIS SPACE INTENTIONALLY LEFT BLANK) 13.AWM.0196 10 012145 032813 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0094863 CONFIDENTIAL SDNY_GM_00241047 EFTA01390374