EFTA01282416.pdf

Deutsche Asset & Wealth Management Account Agreement AN6- 61, 3F0c, Southern Financial LLC Clinics) Address 6100 Red Hook Quarter 83 St Thomas 00802 City State op Code Nctfil 01.38oci Account Title (Complete if Efferent from the Client above) Account Numbed') IMPORTANT PLEASE SIGN AND RETURN THIS ACCOUNT AGREEMENT •. This is the account agreement (Account Agreement) between Client and Deutsche Bank Securities Inc. (referred to herein as "DBSI'). It includes the terms and conditions and is the contract that controls each brokerage account in which Client has an interest (each an "Account"). Client agrees to read this Account Agreement and the Appendix to this Account Agreement: Disclosures and Definitions ("Appendix") carefully. If Client is not willing to be bound by these terms and conditions, Client should not sign this Account Agreement. Clients signature confirms that Client has read and agrees to the terms of this Account Agreement and the Appendix annexed hereto. I. CUENT REPRESENTATIONS Client certifies that all of the information provided by Client in this Account Agreement is accurate and complete and that each of the following statements is accurate as to Client and Clients Account: a. Where Client is a natural person, Client is of legal age; b. For all accounts: (a) no one except the person(s) named on the Account(s), or, if signed in a representative capacity, then no one except the beneficial owner(s). has any interest in the Account(s), (b) Client is and will remain compliant with all Applicable Laws, (c) Client is financially capable of satisfying any obligations undertaken through Client's Account(s), (d) Client acknowledges that the purchase and sale of securities entails substantial economic risk, and represents knowingly and willingly that Client can assume such risk and (a) Client has read and understands the terms set forth in this Account Agreement and those agreements or supplements incorporated by reference and understands that Client is bound by such terms; c. Client agrees to notify us in writing if: (a) Client is or becomes an employee, member or immediate family member of any securities exchange for corporation of which any exchange owns a majority of the capital stock). Financial Industry Regulatory Authority, Inc. (FINRAkor of any broker-dealer, (b) Client is or becomes a senior officer or immediate family member of such a person of any bank. savings and loan institution, insurance company, investment company, investment advisory firm or institution that purchases securities, or other employer whose consent is required to open and maintain this Account by regulation or otherwise, unless such consent has been provided to DBSI. Client will promptly notify DBSI in writing if any of the above circumstances change. II. TERMS AND CONDITIONS THAT APPLY TO CLIENTS ACCOUNTS) The following tonne end conditions govern Client's Account(s): 1. Rights of DBSI. All rights granted to DBSI under this Account Agreement are granted with the understanding that it shall be within the sole discretion of DBSI whether, andiin what manner, to exercise such rights. The failure of DBSI to exercise any right granted under this Account Agreement shaft not be deemed a waiver of such right or any other right granted hereunder. DB51 retains the right to delegate to its agent, including its clearing agent. Pershing LLC (Pershing), one or more of DBSI's rights or obligations under this Agreement without notice to Client. 2. Cash Account. DBSI will classify each Account as a cash brokerage account. DBSI mum separately approve the opening of a margin account (Margin Account) and Client must separately sign the Margin Agreement. 3. Order Execution. Orders for the purchase or sale of assets may be routed to or executed through any exchange, market or broker that D851 selects. 4. Rules and Regulations. All transactions in Account(s) shall be conducted in accordance wth and subject to Applicable Law. IIIiiiuilllllll D5 13-AWM-0196 012145.032$13 SDNY_GM_00037901 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000725 EFTA_00148510 EFTA01282416  5. Purchase of Securities. DBSI requires that cash accounts contain sufficient funds to settle a transaction, but has the right to accept an order without sufficient funds with the understanding that Client will submit payment on or before settlement date for each security purchased. DB51 retains the right to cancel or liquidate any order accepted and/or executed without prior notice to Client, it DBSI does not receive payment by settlement date. Alternatively, upon Client's failure to pay for purchased and settled securities, DBSI has the right to sell Securities and Other Property held in any of Client's Account(s), and charge to Chant any loss resulting therefrom. 6. Sale of Securities. Client artless that in a cash account: (a) Client will not sell any Security before it is paid for, (b) Client will own each security sold at the time of sale, (chinless such security is already held in the Account, Client will promptly deliver such security thereto on or before settlement date, (d) Client will promptly make full cash payment of ony amnunt which may become due in order in meet necessary requests for additional deposits and (e) with respect to any Securities and Other Property sold, Client will satisfy any mark to the market deficiencies. Client must affect all Short Sales in a margin account and designate these sales as "short." All other sales will be designated as "long" end will be deemed to he owned by Client. In the event.that DBSI enters an brder to sell Securities and Other Property that Client represents Client owns, but which are not held in the Account at the time of sale, and Client fails to make delivery by settlement date, DBSI has the right to purchase or borrow any Securities end Other Property necessary to make the required deli''ary. Client. swans to compensate DBSI far any loss or cost. including interest, commission or fees sustained as a result of the foregoing. DBSI charges interest on unpaid balances in cash accounts from the close of business on settlement date. See the Annual Disclosure Statement at http://Www.pwm.db.ocm/arnericas/en/annualoisclosinestatementhtml far additional information on iatersst chars:tee. 7. Restrictions on Trading. OBSI has the right to prohibit or restrict Client's ability to trade Securities and Other Property. or to substitute securities in Client's Account. 8. Restricted Seeuritiee. Client will not buy, sell or pledge any Restricted Securities without DBSI's prior written approval. Prior to placing any order for Restricted Securities subject to Rule 144 or 145 of the Securities Act of 1933, Client must identify the status of the securities and furnish DBSI with the necessary documents (including opinions 'of legal counsel, if requested) to obtain approval to transfer and register tneue securities. DBSI will not be liable for any delays in the processing of these securities or for any losses caused by those delays. DBSI has the right to decline to accept an order for these securities until the transfer and registration of such securities has been approved. 9. Order Placement and Canoellation/Modification Requests. When Client verbally places a trade witlt a Client Advisor. Client will be bound to the oral confirmation repeated back to Client, unless Client objects at the time of the order. Client understands that requests to cancel/modify an order that DBSI accepts are on a best efforts basis only. 10. Aggregation df Orders and Average Prices. Client authorizes DWI to aggregate orders for Cliedt Account(s) with other orders. Client recognizes that in so doing, Client may receive an average price for orders that may differ from the price(s) Client may have received had the orders not been aggregated. Client understands that this practice may also result in orders boing only partially oomploted. 11. Transmission of Instructions. Client understands and accepts responsibility for the transmission of instructions to 0851 and will bear the risk of loss arising from the method of transmission used in thn event of transmission errors. misunderstandings, Impersonations, transmission by unauthorized persons, forgery nr intercepts. Except in the case of gross negligence, Client agrees to release and indemnify DB51, its affiliates, employees and directors from any and all liability arising from the execution of transactions based on such instructions. 12. Role of Certain Third Parties. DRS( engages a third-party clearing agent:Pershing. Client understands that Pershing is the custodian of Client's assets. dears and settles all transactions. and extends credit on any margin purchases, where applicable. Client further understands mat Pershing may accept from OBSI, without inquiry or investigation: (I) orders for the purchase or sale of Securities and Other Property on margin or otherwise, and lip any other instructions concerning Account(s). Client further understands that the contract between DBSI and Pershing, and the services rendered thereunder, are not io:ended to create a joint venture, partnership or other form of business organization of any kind. Pershing shall not be responsible or liable to Client for any aots or omissions of DBSI or its employees. Pershing does not provide investment advice, nor offer any opinion on the suitability of any transaction or order. DBSI is not acting as the agont of Pershing. Client cannot hold Pershing. itk affiliates and its Officers, directors and agents liable for any trading losses that Client incurs. 13. Liens. Client hereby grants to DBSI and its Affiliates a security interest in and lien upon all Securities and Other Property in the possession or control of DBSI, any of its Affiliates or Pershing, in which Client has an interest (held jointly or otherwise) (collectively all such Securities and Other Property are referred to herein as 'Collateral') in order to secure any and all indebtedness or any other obligation of Client to DBSI and its Affiliates or Pershing (collectively. all such obligations are referred to heroin as the 'Obligations"). Clients who are joint accountholders (Joint Accountholders) acknowledge and agree that pursuant to the lien to DBSI and Affiliates, the Collateral shall include Securities and Other Property held in the Account or any other account held by either Joint Accountholder with DBSI or its Affiliates or Persning (Whether individually, jointly or otherwise) and snail secure any and as Obligations of each Joint Accountholder to 0651 and its Affiliates or Pershing. With respect to the lien granted to DB51 and its Affiliates, DBSI (or Pershing, at DBSI's instruction) may, at any time and without prior notice, sell, transfer, release, exchange, settle or otherwise dispuse dt or deal witn any or all such Collateral in order to satisfy any Obligations. In enforcing this lien, 0851 shall have the discretion to determine what and how much Collateral to apply for the purposes of the foregoing. Notwithstanding the foregoing, nothing herein shall be deemed to gram an interest in any Account or assets that would give rise toe prohibited transaction under Seotion 4975(01) (B) of the Internal Revenue Code of 1986, as amended,. or Seotion 406(a)fikEl) of the Employee Retirement Income Security Act of 1974, as amended. Securities and Other Property held in Client's retirement account(s) maintained by ()BSI. which may include IRAs or qualified plans, are not subject tothis lien and such Securities and Other Property may only be used to satisfy Client's indentedness or other obligations related to Client's retirement account(s). 13.AWM.0196 2 012145.022813 SDNY_GM_00037902 CONFIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000726 EFTA _00 I 485 I I EFTA01282417  14. Satisfaction of Indebtedness and Assignment of Rights. Client agrees to satisfy, upon demand, any indebtedness. including any interest and commission charges and to pay the reasonable costs and expenses of collection of any amount Client owes to DB51. including reasonable attorneys' fees and court costs. Client agrees that 0851 or Pershing may execute or assign to nob ether or any third body any rights or obligations Client granted under this Account Agreement, including but not limited to the right to collect any Obligations, or liquidate any Securities and Other Property held in Account(s). 15. Fees. Client enderstarios that DBSI charges on Annual Account Fee for certain ateounts end may charge service fees, processing fees and/or other fees or commissions, for the transactions and other services provided, more fully described in the Annual Disclosure Statement, at http://www.pwm.db.comiamericas/en/annualdisclosurestatement. html. Client understands that theee fees will be charged to Account(s) and authorizes DBSI to deduct such fees from Client's Account(s). 16. No FDIC Insurance, Not Obligations of Any Bank. Chant understands that the assets in Client's Account are subject to the risk of partial or total lose dole to market fluctuations or the insulveney of the iseuer(s). The assets in Client s Account (including all related cash balances and shares of any Mutual Fund) are not deposits or other obligations of DBSI, Deutsche Bank AG, Pershing or any other bank, ere not guaranteed by DB51, Deutsche Bank AG, Administrator, Back or any other bank, and ate not insured bythe Federal Deposit Insurance Corporation (FDIC). Monies held in the Insured Deposit Program (IDP) may be FDIC insured while those monies are held in a depository account at a participating bank as described in the IDP Terms and Conditions. Client may from time to time be offered investment nreducts for which DBSI or Deutsche Bank AG is an obligor. These products may be complex, may not provide for the return of the full amount of principal invested or for the payment of a fixed rate of interest lot any interest) and will not usually be covered by FDIC insurance, unless otherwise disclosed in the written offering documents toi such products. 17. Cash Sweep Selection. Client agrees to contact DBSI regarding the selection of Cash Sweep Options and understands that Client's choice of Cash Sweep Options may be limited to money market mutual funds or deposit products that are unaffiliated with DBSI if Clenta Account is an individual rentement account or an ERISA account, or if DEISI is acting as Chant's investment adviser. Client understands that any funds Client has on deposit with the banks participating in MP will be allocated among such banks in a manner described in the IDP Terms and Conditions. 18. Credit Information and Investigation. Client authorizes 0851 and Pershing to obtain reports concerning Client's credit standing and business conduct at their discretion without notifying Client. Client also authorizes D8S1 to share among service providers las set forth herein) and DEIS1 Affiliates such credit-reloind and business conduct information and any other confidential information DBSI. Deutsche Bank AG and such Affiliate(s) may have about Client and Client's Account, in accordance with DBSI's Privacy Policy and Applicable Law. DBSI and Pershing will provide Client with a copy of each of tbeir Privacy Paliciee anortly after execution by Client of this Aereement. Client may request a copy of Client's credit report, and upon request, 0851 will identity the name and address of the consumer reporting agency that furnished it. 19. Confirmations, Statementh and Othor Comthunicattone. Client agrees to notify DBSI in writing, vathin ten 110) days after transmittal to Client of a confirmation, of any objection Client has to any transaction in Client's Account(s). In the absence of such written notification, Client agrees that all transactions in Client's Accounts) will be final and binding. Client understands pbjectons must be directbd to the Branch Supervisor in writing, et the address on Client's account statement or confirm. For more information on how confirmations and account statements are delivered, please refer to the Appendix to this Account Agreement. 20. Recording Conversations. Client consents to DBSI teconling any or all teterinono cells with Client. 21. Joint Accounts. a. Unless Clients specify -tenants in common" or 'community property.' Clients authorize DBSI to designate a joint account as 'joint ten airs with right of survivorshin.' or as "tarants by the entireties' if Clients are married and reside in a state that recognizes said designation for personal property. Clients agree that joint accounts will be carried by ()BSI on Pershing's books In the form reflected by the Account name appearing on the account statement. In the en tent that the Account is a joint teneacy with right of survivorship or a tenanoy by the entireties, the entire interest in the joint Account shall be vested in the survivor or survivors on the same terms and conditions as before the death. The survivors and the estate of the deceased Accountholder will indemnify DBSI for any loss incurred through treatment of the Account es provided herein. b. Clients agree that each party to the joint account shall have authority to deal with DBSI as it each were the sole Account owner, all without notice to the other Account owner(s). Clients agree that notice to any Account owner shall be deemed to be notice to oil account owners. Each Aocnunt owner shah be jointly and sevoraily liable for this Account. 0851 may follow the instructions of any owner concerning this Account and make deliveries to any owner, of any or all property and payment, even if such deliveries and/or payments shall be made to one owner personally and not to all of the Account owners. DBSI shall be under so obligation to inware into the purnoss cf any such demand for delivery of securities or payment and shall not be bound to see to the application or disposition of the securities and/or monies so delivered or paid to any Account owner. Notwithstanding the foregoing. DBSI may require joist action by all accosor owners with rampant to any mailer ocoteming the account, including the giving or cancellation of orders and the withdrawal of monies. Securities and Other Property. In the event D85I receives conflicting instructions from any owner. it may in its sole discretion: (a) follow any sash instruolions, lb) require written or verbal authorization of both, all dr any owner before acting on the instructions from any one owner, (cl send the assets of the Account to the address of the account, or (d) file an interpleader action in an appropriate covet to let the coott decide the dispute. 134V/Vm-0196 3 012145 032813 SDNY_GM_00037903 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000727 EFTA 0014851? EFTA01282418  c. In the event of the death of any owner, the survivals) shall immediately give D8S1 written notice thereof. DBSI may, before or after receiving such notice, take such action, require such documents, retain such secunties and/ or restrict transactions in the Account as necessary for its protection against any tax, liability, penalty or loss under any present or future taws nr otherwise. Any cost resulting from the oeath of any owner, or Mrough the exercise by any decedent's estate, survivors (including other Account owners) or representatives of any rights in the Account shall be chewable against the interestbf the survivor(s) as well as against the interest of the estate of the decode it. The estate of the decedent and each surviver (including other Account owners) shall continue to be jointly and severally liable to DBSI for any obligation of the joint account or net debit balance or loss in said account until such time as DBSI distributes the assets in accordance with Clients' instructions. 22. Non-disclosure of Confidential and Material, Non-public Information. During the course of business, employees of 0851 may come ioto possession pf confidential and materiel non-public information. Under AppIambi" Law, such employees are prohibited from improperly disclosing or using such information for their personal benefit or for the benefit of any other person, regardless Of whether such other person is a Client of DBSI. Client understands that under Applicable law. DBSI employees are prohibited from communicating such information to Client and that 0BSI shall have no responsibility or liability to Client for failing to disclose such information. 23. Third Party Authorization; No Agency. Client agrees that if Client authorizes third party(ies) (including. without limitation, any inyastment advisor or money manager) t$ act on Client's Account, such third pany(ies) shall be bound by the Terms and Conditions of this Account Agreement. Client further agrees that unless otherwise agreed to in writing by DBSI, third party(ies) authorized by Client to act for Client, whether or not referred to Client by DBSI, is/are not, and shall not he deemed agents of 13BS1 and DBSI shall have no responsibility or liability to Client fot ary acts or omissions of such third party, or any officers, employees or agents thereof. 24. No Legal, Tax Or Accounting Advice. Client acknowledges and agrees that: (a) neither DBSI, nor Pershing, provide any legal, tax ur accounting advice, (b) neither DB51 nor, Pershing employees are authorized to give any such advice and (c) Client will not solicit such advice or rely upon such advice given in error, whether or not in connection with transactions in or for any of Client's Accountls). In making legal, tax or accounting decisions with respect to transactions in or for Client's Account(s) Or any other matter, Client will consult with and rely upon Client's own advisers, and not DBSI. Client acknowledges that DBSI shall have no liability therefore. 25. Limitation of Liability. Client agrees that, unless otherwise provided in any other agreement between Client and DBSI or under Applicable Law. 0851 shalt net be. liable for any loss to Client except in the case of 1365I's gross negligence or willful misconduct. DBSI shall not be liable for loss caused directly or indirectly by government restrictions, exchange or market rulings. suspension of trading, war, strikes, act of foreign or domestic terrorism or other conditions beyond 0851's conffol. 0651 shelf not be liable for any damages caused by equipment failure, communications line failure, unauthorized access, theft. Systems failure and other occurrences beyond DELSI's control. 26. Customer Inquiries/Customer Complaints. For general inquiries. Client will contact the Client Advisor or Branch Supervisor assigned to Client's Account(s) for questions or assistance on any matter relating to these Account(s). Client must direct all formal complaints against DBSI or, any of its employees to Deutsche Bank Securities Inc., Compliance Department - Client Inquiries. 60 Wall Street, 23rd Floor, Mail Stop NYC60.2330, New York. NY 10005-2836 or Client may call (212) 260.1085. 27. Entire Understanding. This Account Agreement contains the entire understanding between Client and DBSI concerning the subject matter of this Account Agreement and there are no oral or other agreements in conflict herewith. The Terms end Cnnditions of this Accouot Agreement shhhapply to each and every account and, collectively, any and all funds, money, Securities and Other Property that Client has with D8S1 and supersedes any prior Account Agreement Client may have signed with MI. Client acknowledges that Client may be required to enter into separate agreements with respect to products or services offered by or through DBSI or its affiliates. 28. Right to Terminate or Amend. Client agrees that DBSI has the right to terminate this Account Agreement and close any related accounts or amend the Terms and Conditions of this Account Agreement at any time and for any reason by sending written notice of such termination or amendment to Client. Any such terminotice nr emendment shall be effective as of the date that 0851 establishes. Client cannot waive, alter, modify or amend this Account Agreement unless agreed In writing and signed by DBSI. No failure or delay on the part of DBSI to exercise any right or power hereunder or to Insist at apy time upon strict compliance with any term contained in this Account Agreement. shall operate as a waiver of that right or power or term. 29. Controlling Law. This Account Agreement shall be datelined to have been made in the State of New York and shall be construed, and the rights of the parties determined, in accordance with the laws of the State of New York and the United States, as amended, without giving effect to the choice of law or conflict•of-laws provisions thereof. 30. Headings. Paragraph headings are for convenience only and shall not affect the meaning or interpretation of any provision of this Account Agreement. 31. Assignment Separability, Survivability. This Account Agreement shall be binding upon Client's heirs, executors, administrators, personal representatives and permitted assigns. It shall inure to the benefit of ()BSI's successors and assigns, or any successor cleating broker, to whom DBSI may transfer Client's Account(s). 0651 may, without notice to Client, assign the rights and duties under this Account Agreement to any of its Affiliates, or to any other non- affiliate entity upon written notice to Client. If any provision dr oondition of this Account Agreement shall bo hold to be invalid or unenforceable by any court, administrative agency or regulatory or self-regulatory agency or body. such invalidity or unenforceability shall attach only to such provision or condition. The validity of the remaining provisions and conditions shell not toe affected thereby and this Account Agreement shall be earned out as if any such invalid or unepforceable provision or condition wore not contained heroin. 32. The provisions of this Account Agreement governing arbitration (Section III), controlling law (Section 11.29) and limitation of liability (Section 11.25) will survive the termination of this Account Agreement. 13.815%50M 4 012145.032813 SDNY_GM_00037904 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P 6(e) DB-SDNY-0000728 EFTAJ10148513 EFTA01282419  111. ARBITRATION 'I. This section of the Account Agreement contains the pre-dispute arbitration agreement between Client and DBSI and Pershing. as applicable, who agree as follows: a. All parties to this Account Agreement (being Client, DBSI and Pershing) are giving up the right to sue each other in court, including me right to a rrial by jury, except as provided by the rules of the arbitration forum in which a claim is filed, or as prohibited by Applicable Law: b. Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited: e. The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings: d. The arbitrators do not have to explain the reecon(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date: e. The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry; I. The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitratier may be brought in court; end g. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this Account Agreement. 2. Subject to the preceding disclosure, Client agreee to arbitrate any controversies or disputes that may arise with DBSI or Pershing, whether based on events occurring prior to, on or subsequent to the date of this Account Agreement, and including any controversy arising out of or relating to any Account with ()BSI, the construction. performance or breach of any agreement, or any duty arising from any agreement or other relabenship with DWI. to transactions with or through DBSI, or any controversy as to whether any issue is arbitrable. Any arbitration under this Account Agreement shall be determined only before an arbitration panel set up by FINRA in accordance with its arbitration procedures or an exchange of which DB51 is member in accordance with the rules of that particular regulatory agency then in effect. Client may elect in thebrst instance whether titbit:abet', shell be by FINRA or a specific national securities exchange of which DBSI is a member, but failure to make such election by registered letter to Deutsche Bank Securities Inc., Compliance Department - Attention: Director of Compliance, 60 Wall Street, 23rd Floor, Mail Stop NYC60-2330, New York. NY 10005-2836 within five days after receipt of a written request from OBS, for such election, gives OBS, the right to elect the arbitration forum that will have jurisdiction over the dispute. Judgnient upon arbitration awards may be entered in any court, state or federal, having jurisdiction. Any arbitration under this Account Agreement will be conducted pursuant to the Federal Arbitration Act and the laws of the State of New York. 3. Neither DBSI, Pershing nor Client(s) waive any right to seek equitable relief pending arbitration. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration agreement against any person who has initiated in court a putative class action or whd is a member of a putative class who hat not opted out of the class with respect to any claims encompassed by the putative Glass action until: (al the class certification is denied, or (b) the class is decertified. or (c) the Client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this egteoineat except to the extent stated herein. (THIS SPACE INTENTIONALLY LEFT BLANK) 13.AVOA-0196 5 0:2145 032813 SDNY_GM_00037905 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000729 EFTA 00148514 EFTA01282420  Form (Rim De:enter 2019 W-9 Request for Taxpayer owe Form to the requester. Do not peparenent et Os Treasure Identification Number and Certification sand to the IRS. Inns' Pawn.* Smite Nature fp . 110001 on your rcorne to return) Southern Trust Company, Inc. ' Burins rernerolevosrds0 tett rerra a dreier* born More See Specific Instructions on pegs 2. Southern Financial LLC mut anansprlaie Om for Werra tax dessetown. 0 eallybutoe amanita 0 C Corporation or e Corporation 0 Partrintlip El Tnat/esuile Prints typo el Weed eabay company. Error me tax classtrcation (C=C coporstion,S.S corpolmon. Ocsennershej 0 0 berret Payee 0 other /ere nstructiond e memo' earnber. Area and apt. or •A• no) Rion& ease at as lopfentili 6100 Red Hook Quarter 83 City. state. sat ZIP code St. Thomas. USVI 00802 Lie account OUntelp NM14 / 0140M Taxpayer Iddntlfitation Number (TIN) Enter you TIN In the appropriate box. The TIN padded mint match the name given at the 'Name' Ina I Sear secenty number to avoid backup mericiading. For incfMcluala thle n yeast:dal security number C3SN). However. for a resident elm, sole pi/apnea, or disregarded entity. See the PM I Instructions on page 3. Fa' other smiles. It is your employer identlficalon WOW: (SINS. V you do not have 77N on page 3. See Mow to got 17-11-DJ - Note. tf the account is in more than one nettle see the deal at page 4 for guidelines at whose emplane !orations' number to enter. I elkancalkmb r - 0 7 9 9 1 9 21 liala_lerUfIcation Under penalties of pegray, testify that • 1. The number shown on yes form is My COMIC! taxpayer Idantrricalion minter (orlon waiting for a number to be hued to ma),and 2. I am not subject to backup withholding because: (a)I am *awns( tan backup withholding, a (b) I have not been notified by the Internal Revenue Servos (iRS) that I am subject to backup wIthholdng as a result of a faauro to upon Si Interest or candlinelk or (c tne IRS het notibed me thill I am no laver suNect to backup vntIhNerng. and 3. I am a U.S. citizen or other U.S. person (defined betow). Certification Instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because year have failed IC report all interest and deridende on your tax return. For real estate transactions, item 2 does nol apply. For mortgage Interest paid, •OPAS0ico a abandon .ant seated OroPortY. circulation d debt, contributions lo an individual retirement arrangement ORA), and generany. payments other thanIntent and WdOndli, you We not r - • Liked to sigh the tardScaten, but yOu must proAde your correct TIN. See the insincere* on page 4. Sign samtun) et Here ust. persons. r I - twee 3 General Instruction.; Hots If a requester gives you a tam other than Form W-9 to repeal your TIN, you must use the requester's term Ran substantially &near Section references se 10 the Internal Revenue Code unless o to Nis Form W-9. noted. Definition 01a U.S. person. For federal tax purposes, you are Purpose of Form considered a U.S. person it you are: A person who is required to goy an Information return with the IRS must • M individual who is a U.S. odzen or U.S. resident obtain yaw coned taxpayer idemtlficetion number (TIN) 10 report. far • A partnership, CorpOration, company. or association created a example, Income pod to you. real estate transactions. mortgage interest organized In the United States or under the laws of the United States. you paid. BOQUIMOOM abandonment of mowed property. cancellation • An estate (other than a foreign estate), ot of debt. a contrIbutIOns you made to an IRA. • A domestic trust (as defined m Regulations section 301.7701.7). Use Form W-9 orgy a yore natl.& person fix:lucky • resident Spliced rules for partnerfilipS. PertnteshipS Milt conduct a trade or allw), to provide your cared TIN to the person requesting It (the requester) and when appecable to: business In the tented States ate greorety required to pay a withholding tax on any foreign partners' share of InCOMS from Suet business. 1. Certify that the TIN you are giving is correct (or yet re wartng la a Further, In certain cases where a Form W-9 bee not been make& • nutter to be Issued), partnership is required to;MUMS thinnest*, is a foreign person. 2. Candy that you are not Noblest to backup withholding. or and pay the withholding tax. Therefore, a you are a U.S. parson that is a 3. perm exemption from backup withholding if you we a U.S. ImeinP1 prier In • partnership conducting a trade a business In the United payee If Beek/ibis, you are also eerie/log that ass U.S. parson. your States, provide Form W-9 to the partnership to *stadia/1your U.S. allocable share of any partners/Sp income from a U.S. trade or business • status and avoid withholding w your share of partnerShO Is not subject to the wthhotding tax on foreign partners etent ol elfectivey cantered Income. Cat, No. 10731X Form W-9 (Rot 12.2011) SDNY_DM_00037906 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DE-SONY-0000730 EFTA_00148515 EFTA01282421  IV. TAX ELECTION/DECLARATION OF TAX STATUS mit Account AttreenWit is designed for use by both U.S. Persons and Non-U.S. Persons. Please check the box next to the applicable hem below. Cent certifies that Chem wil notify DBSI n wrItirvg Immediately it the representation certified to below ceases to be true and correct. 1.O US. Citizen or U.S. Resident Alien Form W9 othe ..-tteguett for Taxpayer Identilicction Number and Certifination stotuto cy) wait Name (as shown on your income tax return) Business name disregarded entity mat 4 different from above Check appropriate box for federal tax clasarlicetton (required) a E Indrvidustrsole proprietor Corporation C S Corporation O Partnership E TiveUestate ' • &WenP81188 — MI Limited liability company. Enter the tax classification ICeC corporation, SAS corporation, Pepartnershlp) ... a: Other ) Address (number. Soot. end apt. or suite no.I City. State, and ZIP code kin I Taxpayer Identification Number (TIN) Seounty Number Enter your TIN in the appropriate box. The 7IN provided must match the name given on the 'Name' line to avoid backup withholding for Individuals. this la your aria) SeCUritY Motel ISSN). For other entities, h Is your employer identification Namibia' (EIN).