EFTA01282866.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 ENTITY O Managed Account • Discretionary Account O Other Name(s) of person's' other then account owner(s) a uthoroed to place orders for the account: Jeffrey Epstein, Harry Beller, Jeanne Brennan Account and Owner Information (Provide requested information for each account owner ("Chen'''. Attach supplement to this Agreement if necessary.) Name The Haze Trust Address 8100 Red Hook Quarter, 133, St. Thomas, 00802 Country Virgin Islands PhooJIIIIIIIIIII Number of Dependents NI A Marital Status NIA Ehrthdat Employer Business Phone Business Address Type of Business Position Years Held Present Brokerage Accounts with: JP99Organ Does the individual or entity that controls this account have the power to COM/04 any other Option Accounts) with Deutsche Bank Securities Inc.? O Yes O No If yes, ptease provide the account number(s)'. Will Provide List Client(s) Financial Information Approximate Aggregate Annual Income Sources of Income (Approximate) Approximate Aggregate Net Worth of Account Owner(s) from All Sources Aornrarneto KM Wall, . Less than $50.000 Salary/Bonus so % taind Nei Worn WormPrierOsi Resseirce a $50.000 - $99.999 Interest/Dividends r % O Less than 550,000 plass than $50,000 O $100.0®- $249,999 Other (specify): Q ❑ 550.000 - L99.999 O $50.000 - 599,999 (3 $250.000 - $499.999 ij 3100.000 - 5249.999 O sioo.coo - 5.249.999 O 5b00,000 - 5999.999 % O $250.000 - $499.999 0 3250.000 - $499,999 51.000.000 - $2.499.999 $2.500.000 - $4.999,999 0 35.000.000 and over --- % % S500.000 - 3999.999 31.000,000 52.499.999 H❑ 51.000.000- O $b00.000- $999.993 32.499.999 O $2.5C0.000 - 54,999,999 ❑52,500,000 - $4,999,999 ID $5.000.000 and war El $5,000.000 and over Investment Experience of Account Owner(s) Options I Year First Traded 1999 Amery I trades Per Year 10 Average Sire of Rados in S stook000.00 Asap Sue in Shares /Contracts 1,000 TYPO! of PreiAros OPOOrf &Wiwi) 0 Covered Call Writing Stocks 1999 10 31,000,000.00 1,000 CO' Purchased Options - Bonds 1999 t 10 $1,000,000.00 1,000 [2r Option Spreads Commodities 1909 SO 51,000,000.00 1,900 vf„Uncovered Put Writing Listed Stock Index 1999 10 $1AOO,OOO.OO 1,000 opi Uncovered Call Writing OTC Derivatives 1999 10 51,000,000.00 1,000 n Nene Suuctured Products 1999 to $1,000,000.00 1,000 Other (Specify) Deutsche Bank Lacunae* Inc.. a subsidies'', of Deutsche daa AG. conducts investment banking and secunties activities in the united States Itglill I I 1 09-P1MAOr 27 O1A 1 (05/I 1) 006404.052711 SONY mu nneutant CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0001255 EFTA_00 II 49040 EFTA01282866  J • . Option Objectives (check ALL that apply): 0 Income (covered cell wonting) 0 Portfolio Protection (protective puts) I:l Speculation (spreads & uncovered writing) Client(s) Strategy Requests (Please check as many of the following strategies sought to be employed) El 1. Covered Can Writing MogNalthsk, Calls fully covered by underlying stock. Stock may bo called at any time or at I:uptake/a. requiring owner to soil al strike price. CI 2. Purchasing Options litateS.Substantal Rig. Enure etroium ts at risk. Profit or lots usually (*termed by selling position it ()pelmet is not closed or exercised by expiration date, options will expire WOnNOSS. 0 3. ()Phan Spreads — Margin account required. Involyet SubstamistSisis. In addition to risk of puichasing puts or cals, if long side is closed out, leaving only a short position. the financial nsk becomes unlimited. Option assignments require purchase of the undedying stock in the ow meet to gifted delivery to purchaser of option. 0 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required. Involves Sul-melte/ Risk. If assigned. the client must purchase the underlying stock at the strike price, which may be substantially higher than the then-current market price. 12:1 S. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. lateglastantiat Risk. Writing uncovered cads involves unlimited financial risk Option assignments require purchase of the underlying stock in open masker to effect delivery to purchaser of option. I have read and understand all of the conditions and stipulations on the reverse side of this form in regard to trading in options and represent that trading in Options is suitable in light of my investment OtlenliveS. financial Milani), risk tolerance and knowledge. I hereby confirm that tam the source of and attest to the accuracy of the above information and authorize Deutsche Bank Securities Inc. (also referred to heroin as 'Deutsche Clank Alex. GrOwni to verify any representation contained therein, at its discretion. t will promptly notify Deutsche Bank Alex. Brown, in writing, of any material change in the abovestated information. f acknowledge that I may obtain an options tearing corporation prospectus upon request. I have received and read the Options Clearing Corporation Disclosure Document entitled "Characteristics and Risks of Standardized Options." $1"- gried; Pate) AV : 3/PS Signed Dale Print Client Advisor Name _in CA e S Client Advisor Signature Date 1-0, 2- 1 ROP Approval Date — ( 6 ---3. OPTION DEPT. APPROVAL: SROP DA* Comments. IA:Covered Call Writing tii3Purchasing Options --I---- -1-(971 -,- IIPOphon Spreads IWUncovered Put Writing 9 9Uncovered Call Writing 09-1:491.4.0127 OM 14 (0919 006404.051011 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0001256 EFTA_00I49041 EFTA01282867  Risks, Prohibitions and General Inf.:Welt)Oh Concerning Option Trading understand that options transactions sleeve a high degree of risk and offer no guarantee of gee or assurance against Ines. Accordingly. I understand that price to engages in any option transaction. t swig review my present financial situation and determine whether it Is advisable to incur the ink of Ins eSseCiated with dial panther Investment 1. I understand that Wen I engage in option trailing I expose myself to certain. potentially substantial finance fees in acicetion to those identified on the front step of ens form under the hording -Clireel Strategy Requests: including but not heeled to the learning — I wetland that l should not buy an option unless I am able to sustain a total lop of the gerniten and transseion ante — II I SC* (write) covered onlions. I undeetand that I may tedS parlirientel v capital gains teat retain risk cd participation in capital lobes In the underlying security. I understand that if an ckendla a ass geed to me. I may be forced to thicket my position in the endearing security al agna which may be unfavorable to me. t olio understand that I shout° not sell Motel a rewired call option unless 1 are prepared to teler the ',querying security (or a sects ity cowrie*. eneengeble. Or emereisable me such undedvieg security) upon the exercise or the option — m 1 sell (wee uncovered (naked) options. I risk Sublevel capital kiss ii. and to the extent thin., the market price ef thee matey increases above the strike price °lawn or deartees below etc strike price daps. II an exenise asegned to me. it vat Si all lithahopti be at a time Sti veil force me to assume such a capital loss. I understand put I ahatd not art (Yenta)APO option a an untested rap eptirn, sWectally en index option. unless I am able to sustain Potentially unbrieled lasses - I am aware that vanciaa firkins May affect the pee 04 an dPliOn °Oreille. fuel AS ue MlatiOnetlip Whew toe CateCise price and market pee d the ceded/Mg annalrilY, the time w ood remaining until the option teem and the price fluctuation or ogee charactenstiesef the underlying warty. — lam aware that tho respective option exchange ettichanortr) may, in thee discretion and from time to tire restrict transactions in particular options of the exercise of Caen contracts in the weed of reemerging a fair did orderly market in 01)600 cnitaas or in the %teething security, for the numeclien of investor* 1 eldeleand emu may not be safe to close a potation in the went eel a secant:My maket in the option ceases to exist or the ewe emerge Maine] a sex ounds trading Si the option. — I am aware that the Exchages have establielvd retritteets on curtain opening purctee and sale tranailions on the Exchange which we considered to be restricted oPlions 2. I understand and agree that my accoods) with Deutsche Bank Securities Inc. law related to hereto as "Deuteto Bank Alex. Brown-) wal be handled In .102.3111MOO with the gee or the Finance( industry Regulatory Authority eFINfteil aid the Exchanges on which listed options ate traded and of the Options Clearing Corponstinn ("OCC"). es traxessed in es prospodus.1am aware of and amen In be bound by sum met n accordance with such rasa: — 1 wvM not Warrior WI %quint al any tine, elmer by ninetieth concert with ethers. a rbe lien in excess of the limits presented kom time knone by the Extent" For the purpose of computing such knee I under,stand that total long call open and swat put options of the sane undedeng stock Moen be added to compute the ;orator, limit. Sirniarly, total long the Outions and short cal options of the sorrel endowing stoth nun be added In compute IM position knit. — I wil not attempt to exerree. Mabee by nye& or et COOCell YAM others. (keno any period of five cones tine betas clan, a quantity in excess of the limit fectscobe by the Exchanges. — I understand that if found in seinen of eller the position limit or the theme awe I may be suthect ro sections inward by nil EaChenge inyneted acid that these sanctions may include figuidation of IX ego* in sateen- 3. I understand Ow Deutsche Bank Alex. Wenn he pollee which may be more restrictive than or impose requirements in addition to those of the Eichanges. FINRA or the New York Sore Exchange. I agree to abide by such pokes ass trendhon of dating lawless with Deutsche Bark Nex. Brown I untkestand that these paces *etude but are not limited to tho knowing: — Settlement date or all option trades is the timeless day following trade date Notwithstanding this provisiett Dente Bank Alex. Brown awry. in is cfiscreton. elect riot to wow purchase orders In retinas unless cwsh equal to the OnecOnea pee has first been deposited it my COON. and may elect nonexempt °pestle sale orders in options unless nave first deposited in my account either the requited margin or unresuithe nee beak sere d the underlying stock In an DOWNY Spealied by Deutsche Bank Alex. &Oval. — Deutsche Bien Alex. Brown may neat ones to trade options in my *account thee ere resection keine my account Including rest s regarding trad.ng n the underlying security. or for any other reason. at its discretion. — Deutsche Bank Aka. Brown has set trading and excrete deadlines which cerement to deuceines exabehnd by do OCC and vett uoxpt no responsibility kw wmploot of orders entered by diems after such deacine. — Margin. Other in UllA Or a0CuMire. nMiled by me genet Mart Winn postbag. nab not be inducted in my miser accent lathe re interne COMOuleMICS. DOntSChe Bark Alex. Brown may, in tunt use these deposits to secure said short positions with the OCC. Option exercise notices assigned to Deutsche Bare Alex. Brown in respect eased position n option contracts in CuStOrne accents Shan be allocated to ameners of Deuloela Bank Alex. Brown on an automated randen basis I understand that inset assigned, the assigenent will be excessed th eses gn the case of a oath or a purchase On the case eared, setting two business days Iron the date of assignment (except for norewee egielar which Sea* for anti 0^ rho day of narrnon) and that I am obligated to deliver the emceeing stock or recited cash to Deutsche Bank Alex. Brown no later than settlement date. 4 I aserstand that margin requiremons exist in connection with within options arid I are to meet all margin calls as made by Deutsche Bank fifes. Brown. I understand that Deutsche Bank Nem Brown, in crewing the merge requirements fa option prosidone may impose a higher marten requesment for individual option positions than oder irevestrnem limn, and that Deutsche Bank Alex. Brown will inlaid+ me el its destine margin retirements lor crown positions Open request. In the owning no meet martin calls promptly. Deutsche Bank Abe. Brown is euthellect in its sole discretion end without notification to me to take any and all steps necessary to protect itself in connection with pre andet can transactions made for my amount inducting the right to buy armor soli shod, or al exempt for my account end risk any pail or an of the shores represented by Whore eneesed by Deutsche Bank Alex. Brown for my aware or to buy for my account and risk any Puts AndiO, eau as Deutsche Bank Alex Brown nay deem necessary for its prorection. I hither wee that eery and all expenses inflated by Dwelt Sink Aix. Brawn in this connection will be nirnoursed by me. k nes agreement shall apply to all option ode's to my/out account. whether or not such news are executed. 6 I understand that options may be fisted on one a more Exchanges and thane Exchange es specified by me, Deutsche Rink Atha. Grown will use its dispatch in routing my aerie 7. lean athlete you in your sple discretion and with notiresten to me (or in the event of my death without notification to representatives of my estate or In my heirs) whenever you deem It necessary lot your protection. to take suet action, including. %wheat uneaten, to buy. sell or tel short for my acceuM(s1 and ffel risk. outs, cads. or Other lone Of Optima tut to buy, sell, or sell short any pad or all of the underlying securities represented by options endorsed by you for my accounts,. Any and as expenses, itheitesing "Aleut brinnatiOn enilneYS. fees and tor reasonable disbursements, infused by you in OanneCtiOn with such transactions veil be reimbursed by me c by my estate. 8. You ere under no obligation to homey to me any information relating to the underlyeng securities covered by an option or any secvdta reefed teen or any infestation shag In aeons Metes sixth intertnetton is then or Mamer known or owasble Any intonation. Waal' Or notification in repent to any option or any undelOng SeWritiin or securities relating thereto which you may give me and which sou are not required to give by the tenns of this agownyant or any other agreement. expressed or mete. shall riot be construed as creating an implied agreement or Woe e eating between us and shell ram impale the provisions of this or any abet at:Cement between us. 9. 1he agreement and its enforcement shall be governed by the laws of tee State of New York and its provisions shall be COMMuOUS; stuff cover all onions transactions hereunder. whether YOu are acang as urea a principal. and an accounts, Mcaodually and collectively. wen I may open or re-wen with you; Shan nun to the benefit Of Ws present argent:oboe its SuCCeSSOrS and assigns: and sham be binding upon MP and my estate. exacter:el, administrators and assists, but no asegenent shall teem me from any of my obligations rentunicke. Written notice of revocations of the, agreement see not release either of us from any obligations hemendet arising price to the actual receipt of such notice by the other. IO Whether any law or ohlthallon is adopted which affects a is inconsistent with any gevision heave. such provision she be downed Modified or superseded, as the case may be. by such law or regulation. and teen nrOviSinnb as so modified or superseded end all other produces hereof shall in all mecca continue in eel fore and eke. AU other agreements existing between us or length made which. by their provisions apply to any of ery transactions std accounts with you, shell be awlicable to Sly of my options transactions and accounts were they are net in conflict with this agrournont. Should fixed tonna ads1 it she be resolved in laver el MIS °gement Otherwise. the Provisions of each ageeemont shall be Meisel& 11 Ad used herein, 'E end 'me mar. to at IUXOUOI Owner,. "You" snit 'Your" relent to Deutsche Bank Alex. Brown. IM Nase Initial frkire; 0ta-Rwsi-oi 2? OM 14 (OSM I) 006404 051011 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0001257 EFIA_00149042 EFTA01282868  Special Statement for Deutsche Bank Alex.Brown Uncovered Option Writers A '.N. rsimen of novitche Pa* Sae IT.4.0* Int 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 can 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 price of the put sold less the premium received for that put. Such toss could be substantial if there 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 wntes 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 writing 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 investor's broker may request significant additional margin payments. It an investor does not make such margin payments, the broker may liquidate stock or options positions in the investor's account, with little 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 fie 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 read and-understand theebove statement regarding the special 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 I provided to you in determining whether to approve my account for the options strategies 1 ve elected an hereby certify the truth and accuracy of such statements. Signed Date 7°71.-1,4) Signed, Date Signed Date Signed Date Signed Date Approved for: Uncovered Call- tr covered Puts BOP/Manager Approvai7 Date 0.1.O11A8.0126 OM 14 A (2A431 SDNY_GM_00038434 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0001258 EFTA_00I 490,13 EFTA01282869  e's Joint Account Supplement to Option Deutsche Bank Alex.Brown Account Agreement and Approval Form Oan Ltilft.• 60. Account No. - — Arco...ant Name memit"I'w Second Account Owner Personal Information. Name 11.1" 0. 1 Joe,We IAA maw 8.0. I tome Address 610014e0.4;;On. a fmn.noaszt Ile I Phone Number of Dopenden% Marital Status _ Birthdate S - 1 cyrrsonx snore hemostsce °useless PhOne Business Addiess OM Red Hoak 00% stures.v..00002.tme type of Business flibia. Peahen Years Held Present Broke:we Accounts with: Does this owner have the power to control any other Option Acroun(s) with Deutsche Burk SOCU01011 GlYesONo It 'res. olorne °tootle the account numbans) vase" ski illesms Third Account Owner Petit:01M 10100110600: Name err SUIT/ ler Home Address ST6 ‘ 4010000A01. PI 4. M0froni. 10122.4110 Home Phone Numbed of Dependents Marital Status &MOH, Employ er *Sr finan00.1C Business Phone Business /to wn moms noesoes. a howls 00802.1340 lype el Business tan! Posinon _ Years Held . Present Brokerage Accounts with Does MN oven" have Ike POWCI to WiltrOl any Other OPuun ACCOSala with Deutsche Bank Scoot/es Inc" (Toll QNo if yes. please provide Inc account numbed') Monne* 'Nam* 10^ Fourth Account Owner Personal Information: Name PAIII•••••• Horne Address Home Phone Number of Dependents Marital Stews eirthdaie Employer Basin= Phone Business Address type of Business 00111000 Yeets Hold Present Brokeitigo Accounts with: Doss this owner haw the power to control any other Option Account's) web Deutsche Bank Seaflies Inc.? elYes QND lives. latrine provide the account number's) Fifth Account Owner Personal Information: Name Pn• te.en• wow I tome Address _ liOrmi Phone Number ol DePendOntS Marital Status Birthdate Lmployer Business Phone Business Address_ 'typo of Business Poseton Yeats Held Resent Wants Accounts with: Ofts this owner Iwo the power to creel any 011ie Opton Acceunt(s) with Deutsche Bonk Securest's Inc.? Efrell ONci lr yes, please picentle the account numbet(s) 00.30A0013104. IA 0 man CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P 6(e) CONFIDENTIAL DB-SDNY-0001259 EFTA_00I 49044 EFTA01282870