EFTA00165782.pdf

: • ' Deutsche Asset • • & Wealth Management Account Agreement Jeeperit, lee Zgent(t) 8108 Red Hook Quarter B3 iAddresC St Thomas, USVI 00802 *City State Ep Code Account Title (Complete if different from the Client above) Account Numbertet 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 wining to be bound by these terms and conditions, Client shotlid not sign this Account Agreement. Client's signature confirms that Client has read and agrees to the terms of this Account Agreement and the Appendix annexed hereto. I. CLIENT REPRESENTATIONS Client certifies that all of the information provided by Client in this AccountAgreement is accurate and complete and that each of the following statements is accurate as to Client and Client's 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 (e) 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 (or corporation of which any exchange owns a majority of the capital stock), Financial Industry Regulatory Authority, Inc. (FINRA) or of any broker-dealer. Ib) 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 oennparry, 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 dreumetaneee change. II. TERMS AND CONDMONS THAT APPLY TO CUENT'S ACCOUNT(S) The following terms and conditions govern Client's Accaunt(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, and in what manner, to exercise such rights. The failure of °BSI to exercise any right granted under this Account Agreement shall not be deemed a waiver of welt right or any other right granted hereunder. DBSI retains the right to delegate to its agent, including its clearing agent, Pershing LLC (Pershing), one or more of DBSI's rights or oolightions under this Agreement without notice to Client. 2. Cash Account. OBSI will classify non Account as a cash brokerage amount 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 DBSI selects. 4. Rules and Regulations. All uensactions in Account(s) shall be conducted in accordance with and subject to Applicable Law. II I IIIiiiiIIIIII DS 13.AWM-0196 012145032813 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0001530 EFTA_000 15004 EFTA00165782  5. Purchase of Securities. DEIS! 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. DBSI retains the right to cancel or liquidate any order accepted and/or executed without prior notice to Client, It DBSI does not receive peymsnt by settlement date. Allumetiveht 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 Client any loss resulting therefrom. 6. Sale of Securities. Client °glees that in a cosh account: (a) Client will nor bell any Security belere it is paid for. (d) Client will own each security sold at the time of sate, (c) unless 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 any amount which may become this in ordei to moat oeoessary reclaims for additional deposits and ie) with respect to any Securities and Other Property sold, Client will satisfy any mark to the market deficiencies. Client must affect all Shod Sales in a margin account and designate these sales as "short? M other sales will be designated as long' and will be doomed to be owned by Client. In the event that DBSI enters an order td 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 and Other Property necessary to make toe reguired delivery. Client Dotes° to compensate OBSI for cry loss or cost, including interest, commission or fees sustained as a reoult of the foregoing. ()BSI charges interest on unpaid balances in cash accounts from the close of business on settlement date. See the Annual Disclosure Statement, at http://vimnv.pwm.db.com/americesten/annualdiscloserestatementhlinl for additional information en Interest chargen. 7. Restrictions on Trading. 0851 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 Seaurltiee. Client will not guy, sell or pledge any Reerncted Securities without 0851's prier 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 OBS! with the necessary documents (including opinions of legal counsel, if requested) to obtain approval to nonlife' and register thrice securities. DBSI will not be liable far any delays in the processing of these securities or for any losses caused by these 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 eed Cancellanon/Moditication Regimens. When Client verbally places a trans wiln 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 on order that 0851 accepts are on a best efforts basis only. 10. Aggregation et Orders and Average Prices. Client autherizes DBSI to segregate enders for Client Account(s) with other orders. Client recognizes that in so doing, Client may receive an average price for orders thatmay differ front the price(s) Client may have received had the orders not been aggregated. Client understands that this practice may also result in orders being only paitielly cempleted. 11. Transmission of Instructions. Client understands and accepts responsibility for the transmission of instructions to 0051 and will bear the risk of loss arising from the method of transmission used in the event of transmission errors, misunderstandings, imnersonatiens, tranamiseien by unauthorized parsons, forgery er intercepts. Except inthe osea of gross negligence, Client agrees to release and'indemnify OBSI, 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. DEMI engages a third-c any Mitering apent, Pershing. Client understands that Pershing is the custodian of Client's assets, clears and settles all transactions. and extends credit on any margin purchases, where applicable. Client further understands that Pershing may accept from 0851, without inquiry or investigation: (i) orders for the purchase or sale of Securities and Other Properly on margin or otherwise, and (ii) any other instructions concerning Account(s). Client further understands that the contract between CaSland Pershing, and the services rendered thereunder, are not intended to create a joint venture, partnership or other form of business organization of any kind. Pershing shall not be responcibte or liable to Client ter any ads er 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 agent of Pershing. Client cannot hold Pershing. its affiliates and its officers, directors and agents liable for any trading losses ilia: Client incurs. 13. Liens. Client herdby grants to DB51 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 individually, jointly or otherwise) koliectively al each Securities and Other Property ete referred to herein as 'Collateral') in order to secure any and all indebtedness or any other obligation of Chant to OBSI and its Affiliates or Pershing (collectiVely, all such obligations are referred to herein as the "Obligations"). Clients who are joint accountholders 'Joint Accountholders) acknowledge and agree that pursuant to the lien to OBSI and Affiliates, the Collateral shall include Securities and Other Property held in the Account or any other account held by either Joint Accountholder with 0051 or its Affiliates or Pershing (whether individually. jointly or otherwise) and shall secure any and all Obligations of each Joint Accountholder to 0851 and its Affiliates dr Pershing. With respect to the lien granted to DBSI and its Affiliates, OBS! (or Pershing. at 0851's instruction) may, at any time and without prior notice. self, transfer, release, exchange, settle or otherwise dispose of or deal with any or all such Collateral in order to satisfy any Obligations. In *doming this lien, DBSI 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 grant an interest in any Account or assets that wound give rise to a prohibited transaction under Section 4975(c)(1I (13) of the Intermit Revenue Code of 1986, as amended, or Sention 406(a)(i)(B) of the Employee Rear/meat theories Security Act of 1974, as amended. Securities and Other Property held in Client's retirement account(s) maintained by DBSI, which may include IRAs or qualified plans, are not subject to this lien and such Securities and Other Property may only be used to satiety Client's indebtedness nr other obligations related to Client's retirement eoeount(s). 13-AWK4-0196 2 012145032813 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0001531 EFTA_00015005 EFTA00165783  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 costa and expenses of collection of any amount Client owes to DBSI, including reasonable attorneys' fees and court costs. Client agrees that D8SI or Pershing may execute or assign to each other or eny thirri Deny any rights or obligations Client granted undo' this Account Agreement, including but not limited to the right to Collett any Obligations, or liquidate any Securities and Other Property held in Account(s). 15. Fees. Client understands that DBSI charges an Annual Account Fee for certain accounts 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.com/americas/en/annualdisclosurestaternern. html. Client undersusede that mete fees will De charged to Monomial and /minimizes DBSI to dolma soon fees. rom Client's Account(s). 18. No FDIC Insurance, Not Obligations of Any Bank. Client understands that the assets in Client's Account are subject to the risk of nenial or total loss doe to market flucti rations or the insolvency of the iscuer(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, are not guaranteed by 0851, Deutsche Bank AG, Administrator, Bank or any other hank. eod no not inured by the Fedetel Depouit 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 products for whlth 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 (or any interest) and will not usually be covered by FDIC insurance, unless otherwise disclosed in the written offering documents fen 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 ate unaffiliated with DBSI if Cheat's Account is an individuai retirement account cr an ERISA account, or DBSI is acting as Client's investment adviser. Client understands that any funds Client has on deposit with the banks participating in IDP will be allocated among such banks in a manner described in the IDP Terms and Conditions. 18. Credit Information and Investigation. Client authorizes OBSI and Pershing to obtain reports concerning Client's credit standing and business conduct at their discretion without notifying Client. Client also authorizes DBSI to share among service providers (as set tom, herein) and DBSI Affiliates soon creditaelated and business conduct information and any other confidential information CI8Sl, Deutsche Bank AG and such Affikate(s) may have about Client and Client's Account, in accordance with OBSI's Privacy Policy and Applicable tow. 0851 and Pershing will provide Client with a copy trt earth of their Privacy Pdix:ies sbortly afrerlexectnioti by Client of this Agreement. Client may request a copy of Client's credit report, and upon request, OBSI will identify the name and address of the consumer reporting agency that furnished it. 19. ConfIrmations, Statements and Other Cionutiunicatines. Client agrees to notify DBSI in writing, within ten (10) 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 Account(s) will be final and binding. Client onderstands objeotions must be directed 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 Conversatiens. Client consents to DBSI recording any or all telephone calls witn Client 21. Joint Accounts. a. Unless Clients specify 'tenants in common' or 'community properly,' Clients authorize DBSI to designate a joint aecount as 'joint tenants with right of survivorship.' or- as 'tenants 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 DBSI on Pershing's books in the form reflected by the Account name appearing on the account statement. In the event that the Aecount is a joint tenancy with right of survivorship ore tenancy 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 lot any lose incuimd thmugh treatment la the Account as provided herein. b. Clients agree that each party to the joint account shall have authority to deal with OBSI as if 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 &lamed tb be pencil to all account owne-s. Each Account owner shall be jointly and severelly liable for this Account. DBSI 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 personalty and not to all of the Aocount owne'e. DBSI shall be ender no obligation to inouhe into the purpose of 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 Mimeo joint notion by ell aculunt ownde with respect to any matter ooncen ling the account, including the giving or cancellation of orders and the withdrawal of monies, Securities and Other Property. In the event DBSI receives conflicting instructions from any owner, it may in its sole discretion: (a) follow any saute instnictians. (Ill refloat written or verbal authorization of both, allcr any owner bolero acting oo the Instructions from any one owner, (c) send the assets of the Account to the address of the account, or (dl file an interpleader action in an appropriate court to let the coon decide the dispute. 13'AWM 0196 3 012145 032813 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SONY-0001532 EFTA_00015006 EFTA00165784  c. In the event of the death of any owner, the survivor(s) shell immediately give DBSI written notice thereof. OBSI may, before or after receiving such notice, take such action, require such documents, retain such securities and/ or restrict transactions in the Account as necessary for its protection against any tax. liability, penalty or loss under any present or fotuieilaws'or otherwise. Any cost resulting from the teeth of any owner, or through the exercise by any decedent's estate, survivors (including other Account owners) or representatives of any rights in the Account shall be chargeable against the intereStof the survivor(s) as well as against the interest of the estate of the decedent. The estate of the decedent end 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 Chants' instructions. 22. Non-disclosure of Confidential and Material, Non-public Information. During the course of business, employees of DBSI may come into possoesion of confidential and materiel non.priblio information. Under Applicable Law. soch 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 emoloyosa ere Prohibited from communicating such information to Client and that DBSI 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 barytes) (including, without limitation, any investment advisor or money manager) to act on Client's Account, such third panyties) 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 be deemed agents of DBSI and DBSI shall have no responsibility or liability to Client for any 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 or accounting advice, (b) neither DBSI 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 Account(s). 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 Clinnt'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 Applidable Law, DBSI shall not be fiahte for any lots to Client except in the case of DBSI's gross negligence or willful misconduct. DB51 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 0651's contlol. DBSI shall not be liable fur soy damages caused by equipment failure, communications line failure, unauthorized access, theft, Systems failure and other occurrences beyond DBSI'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(a). Client must direct all formal complaints against DBSI or: any of its employees to Deutsche Bank Securities Inc., Compliance Depanmeht - Client Ingurnes, 60 Wall Street 23rd Floor, Mail Stop NYC60-2330, New York, NY 10005-2836 or Client may call 1212) 250-1085. 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 and Conditions of this Account Agraealent shall apply to each and every account and, collectiveht any and all funds, money, Securities and Other Property that Client has with DBSI and supersedes any prior Account Agreement Client may have signed with DBSI. Client acknowledges that Client may be required to enter into separate agreements with respect to products or services offered by or through DB51 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 Agreemeht at any time and for shy reason by sending written notice of such termination or amendment to Client. Any such terminetiao or amendment shall be effective as of the date that DB51 establishes. Client cannot waive, alter, modify or amend this Account Agreement unless agreed in writing and signed by DB51. No failure or delay on the pert of DOSI to exercise any right or power hereunder or to insist at anytime upon strict compliance with any term contained io this Account Agreement, shall operate as a waiver of that right or power or term. 29. Controlling Law. This Account Agreement shall be deemed 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 affect to the choice of law or conflict-of-taws 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 shell be binding upon Client's heirs, executors, administrators. persona/ representatives and permitted assigns. It shall inure to the benefit of DBSI's successors and assigns, or any successor clearing broker, to whom DBSI may transfer Client's Account(s). DBSI 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 or condition of this Account Agreement snail be held to be invalid or unenforeeabie by any court administrative agency or regulatory or self-regulatory agency er body, such invalidity or unenforceability shall attach only to such provision or condition. The validity of the remaining provisions and conditions shall not be affected thereby and this Account Agreement shall be carried out at if any such invalid or unenforceable hrowision or condition were not contained herein. 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.AVVM4)196 4 012145 032813 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0001533 EFTA_00015007 EFTA00165785  III. ARBITRATION 1. 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 the right toe trial 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 vary limited; c. 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 reasonlslfor 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; f. 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 arbitration may be brought in txxsrt; 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 agrees 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 DBSI, the construction, performance or breach of any agreement, or any duty arising from any agreement or other relationship with DBSI, to transactions with or through DBSI, or any controversy as to whether any issue is arbitrable. Any arbitration under this Account Agreement Shall be deterrbined only before an arbitration panel set up by FINRA in accordance with its arbitration procedures or an exchange of which DBSI isa member in accordance with the rules of that particular regulatory agency then in effect. Chem may elect in the first instance whether arbitration shell be by FINRA or a specific national securities exchange of which DBSI is e 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 10006-2836 within five days after receipt of a written request from ()BSI for such election, gives DBSI the right to elect the arbitration forum that wilt have jurisdiction over the dispute. Judgment 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 0B51. Pershing nor Clients) waive any right m 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 irrcourt a putative class action or who is a member of a putative class who has not opted out of the class with respect to any credos encompassed by the putative class action until: (a) the class certification is denied, or lb) 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 agreement except to the extent stated herein. (THIS SPACE INTENTIONALLY LEFT BLANK] 13-AW10.0198 012145.032813 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0001534 EFTA_00015008 EFTA00165786  Form W9 flee Decanter 2011) Request for Taxpayer Give Form to the requester. Do not Deems el ea Tinny Identification Number and Certification send to the IRS. nrims1Rwenue Senior Norm (••MOO" an YOS hearse tax fermi Jaspers, Inc. Bums einsadereareded soft now. a Sion km, Cheat @pomp/ire box for teasel to clealsetlem O indheduressle prier°, O C Caponnion MS Caperolon O Pinned* Q Truethrsete USW Matt carper/ Enter term dmerliatien(C-C aromas% EaS caporstion, Peennerstibl► O Mirror pryer Lee bee thrlatUCtiesea) trumbe street end at a suite no) RequesteranunearelMame (0014:42) I 6100 Red Hook Quarter B3 ay. a ind2P aide A St. Thome*, U.S.V.I. 00002 Ur meant wrath) here copteree. igal Taxpayer Identification. Numbor(T1N) Enter your TIN In the ayproprtate box The TIN provided moat match the name seem onto Name fine Social mosey mete to avoid backup withholding. For individuals. this b your said security number WW1*ever, for a reeldent seen, sole proprietor, or dieregansed eery, see the PM I inetructions or page 3. kirother entitles, it Is your employer identeficration number (EIN).11you do not have a nuellier:ker How to get • Mon page 3. "1 Note. M the account la h more that one mote see the chat on page 4 for (*Mime arose Employer reorientation number number to star. WU Certification 4t'> Under penalties of penury, I catty that: 1. The number shown on this form is my correct Watt 14005006M n1471bef (oi l" WMing forfora number to be Issued t° me), and 2. I am not wheat to backup withhokfing because: (a)I amscempt horn backup withhold no, or (b) I have not been notified by the internal Ravenu• Salvia! (IRS) OW WI subject to backup withholding ealiesult Snare to report ail intense or dividends, or (c) the IRS has notthed me than am. no longer subject to baclaip withholding, and • a I am • U.S. citizen or other U.S. paean (defined lirela). CereketIon Inseuelorst You must cross out stern tabave if you have been notified by the IRS that you ere airway subject to backup withholding because you have failed to report all intersatend dividends on your tax return. For real estate tombstone, Item 2 door. net apply. For mortgage intersetpaid, sequIsition or abandonment of .CritCuAd prceady. earcotathan of debt. cootrihrsions to an indkrida Tetiiwnernt aneniement (Ra). and generally. payments other than interest and cilvkliWria. you we not requied to agogur certification. but you must provider your coned lit See the . Instructions on Pane 4. - 4r -- " Sign Sonoure el / "r) Here wt.pinto , Pee► gik — --- General Instruatioris fleets. II a requester gives you a form offs then Form W4 to request your TIN, you must use the rmuister's %milt la eatbatinbally akar Section references are to the Internal Revenue Code unlaa otherietti to thla Form We. noted. Defies:a of a U.S. preen. For federal tax purpose.. you ate Purpose of Form considered a U.S. parson k you art A mean who Is rmuired to ale in information return with the In mutt • M indvkluel who I a U.S. oaten of U.S. ro&dent alien, obtain your commt taxpayer identficidlon number (TIN) to report for • A partner hip, CorPOrabor company, or association anted a example income paid to you. real estate transactions. mortgage interest nonfood In the United Stall or under the laws of the United States, you pad, acquisition or abandament pt seethed prdpaty. cancellation • An estate (other than a foreign estate), or of debt or oontributione you made loan IRA • A domestic bust (as defined In Repulsions sector 301.7701-7). Use Form W4 only If you an a U.S. person (including a reagent ten), to provide your came TN to the perm requesting rt (the Spiral Nos for partnerships. PartnershIpe that conduct a trade or requester) and. when posthaste., to business In the United States we generally required to pay a wIthholdieg tax on any foreign partners' Mere of Income ham such loudness. 1. Certify that the TIN you we giving is corned (or you are waiting for a Further. In contr, cases when • Form W-9 tee not owe received, a number to be issued), partnership o required to presume that a partner is • foreign porta 2. Cathy that you w not subject to baciom withholding. or and pay the withholding tax. Therefore, If you are a U.S. person that is a partner in a partnership conducting a trade or business in the United 3. Claim exemption from backup withholding it you as a U.S. exempt payee If applcable. you are also certifying that as a U.S. person, your States, preside Form W-9 to the partnetehip to eatablieh your 110Cial• share of any partnership Intorno horn a U.S. trade or customs fl atus and avoid withholding on your slum of partnership Income. es not subject to the withholdad tax on foreign partners' ben of effectively connected income. Cot. No 1023IX Form W9 (Rem 17-2011) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001535 EFTA_000 15009 EFTA00165787  W. TAX ELECT1OWDECLARATION OF TAX STATUS This Account Agreement is designed for use by both U.S. Persons and Non-U.S Persons. Please check the box next to the applicable item below. Cheat certifies That Client will notify D85I in writing immediately if the representation certified to below ceases to be true and correct 1.0 U.S. Citizen or U.S. Resident Alien Form W9 Request for Taxpayer Identification Number and Certification Substitute Name (as shown on your income tax return)' Business name/disregarded entity name, R different horn above Check appropriate box for federal tax classification (required): ID Individual/solo proPdotor D c corporation I: S Corporation 0 Partnership MI Trust/estate D Exempt payee 0 Limited liability company. Enter the tax classification (C=C corporation, SES corporation, Popartnershipl li Other e Address (number, street. and are. or suite no.) City, State. end ZIP code J Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on the "Name" line to avoid backup withholdng. For individuals, this is your social security number ISSN). For other entities, it is your employer identification number (EIN). CM Em la er IdenufiaavonNumber Part II Certification Under penalties of perjury, t certify that. I. The number shown on this form is my correct taxpayer Identification number for I am waiting for a number to be issued 10 me), and 2. I ant riot subject 10 backup withholding because: (a) t ern exempt from backup withholding. or Ib) I have not been notified by the Internal Revenue Service (RSI that I em subject to backup withholdng as • result of a failure to report all interest or dividends, or (c) the IRS has not died me that I am no longer subject to backup withholding. and 3. iam a U.S. Citizen of other U.S. pe 'fined in the instructions). Certification instructions. You st 0055 item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you hive tailed to r 85 interes nd dividends on r-tmrretum. Sign Hem 'Signatureof . 95. P40.40 , k boat ith3 2.0 Non-U.S. Sten I am note U.S. person (including a U.S. resident alien). I ern submitting the applicable Form W-8 with this form to certify my foreign status and, if applicable, claim tax treaty benefits. For example. Client is not • U.S. person (including o U.S resident alien). Client agrees to provide 0851 with this application the applicable Internal Revenue Service (IRS) Form W-8 to certify the client's foreign status. W-8 forms and instructions are SYSILible on the IRS websate at www.irs.gov. 13.AWM-0198 6 012145032813 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0001536 EFFA_00015010 EFTA00165788  BY SIGNING BELOW CLIENT ACKNOWLEDGES THAT: (II CLIENT HAS RECEIVED, READ AND AGREES TO THE TERMS AND CONDITIONS OF THIS ACCOUNT AGREEMENT. INCLUDING THE APPENDIX WHICH CONTAINS IMPORTANT INFORMATION; AND (2) THE INFORMATION CONTAINED IN THIS ACCOUNT APPLICATION IS ACCURATE. CLIENT ACK aes 'NAT Atealisn AAREEmENY cbNIAINSKRIPIstitt Alititrratiiiti4AUstAT ttctfou fagE 5. AND CUEnrr AGREES TO TT ERMS (ALL ACCOUNT AGREEMENT SIGNATORIES MUST tNITIAL), I 'INITIAL HERE: THE INTERNAL REVENUE SERVI