EFTA01355752.pdf

Important: Please read this appendix (continued) addition to those 3. I understand that DBSI has policies which may be more restrictive than or impose requirements incondition I by such policies as a of doing of the Exchanges, FINRA or the New York Stock Exchange. agree to abide I business with DBSI. understand that these policies include but are not limited to the following: 0851 • Settlement date for all option trades is the business day following trade date. Notwithstanding this provision,has first may, in its discretion, elect not to accept purchase orders In options unless cash equal to the purchase price first deposited been deposited in my account and may elect not to accept opening sale orders in options unless I have in my account either the required margin or unrestricted negotiable shares of the underlying stock in an amount specified by DBSI. • OBSI may refuse orders to trade options in my account if there are restrictions against my account, including restrictions regarding trading in the underlying security, or for any other reason, at its discretion. will accept no • OBSI has set trading and exercise deadlines which correspond to deadlines established by the OCC and responsibility for completion of orders entered by clients after such deadline. • Margin, either in cash or securities, posted by me against short option positions, may not be included in my margin account positions with the OCC. equity or interest computations. ()BSI may, in turn, use these deposits to secure said short accounts shall • Option exercise notices assigned to 0851In respect of a short position in option contracts in customer assignment be allocated to customers of DBSI on an automated random basis. I understand that If I am assigned, the days from will be processed as a sale (in the case of a call) or a purchase (in the case of a put), settling two business for non-equity options, which settle for cash on the day of assignment) and that I am the date of assignment (except obligated to deliver the underlying stock or required cash to DBSI no later than settlement date. all margin calls as 4. I understand that margin requirements exist in connection with certain options and I agree to meet made by DBSI. I understand that DBSI, in computing the margin requirement s for option positions, may impose a higher individual option positions than other investment firms, and that DaStwill inform me of its margin requirement for PBS( the event I do not meet margin calls promptly, existing margin requirements for option positions upon request In to protect itself in is authorized, in its sole discretion and without notification to me, to take any and all stops necessary including the right to buy and/or sell short, or short connection with put and/or call transactions made for my account for my account or exempt for my account and risk any part or all of the shares represernee by options endorsed by DBSI I further agree that to buy for my account and risk any puts and/or calls as OBS! may deem necessary for its protection. any and all expenses incurred by DBSI in this connection will be reimbursed by me. S. This agreement shall apply to all option orders for my/our account, whether or not such orders are executed. by me, DBSI will 6. I understand that options may be listed on one or more Exchanges and that if no Exchange is specified use its discretion in routing my order(s). notification to 7. 1hereby authorize you in your sole discretion anti with notification to me (or in the event of my death, without action. including, representatives of my estate or to my heirs) whenever you deem it necessary for your protection. to take such and/or to buy, without limitahon. to buy, sell or sell short for my accounts) and my risk, puts, calls, or other forms of options account(s). Any and represented by options endorsed by you for my sell, or sell short any part or all of the underlying securities we: in connection el expenses including. without limitation attorneys fees and their reasonable disbursemen ts, incurred by with such transactions will be reimbursed by me or by my estate. by an option or 8. You are under no oteigation to convoy to me any information relating to the underlying securities covered or thereafter known any securities related thereto, or any information relating to options whether such information is then or available. Any information, adeiet or notification in respect to any optical or any underlying securities or securities relating thereto which you may give me and which you are not required to give by the terms of this agreement or any other agreement. not expressed or Impiied, shall not he construed as creating an implied agreement or course of dealing between us and shall impair the provisions of this or any other agreement between us. be 9. This agreement and its enforcement shall be governed by the PAWS of the State of New York and its provisions shall continuous: shall cover all options transactions hereunder, whether you are acting as broker or principal, end all accounts, individually and collectively, which I may open or re-open with you; shall inure to the benefit of your present organization, but no its successors and assigns and shall be binding upon me and my estate, exec tors, administrators and ass gns. shall not assignment shall release me from any of my olNigations hereunder. Written notice of revocations of this agreement release either of us from any obligations hereunder arising prior to the actual receipt of such notice by the other. shall 10. Whenever any law or regulation is adopted which affects or is inconsistent with any prevision hereof, such provision modified or be deemed modified or superseded, as the case may be, by such law or regulation, and such provisions as so existing superseded and all other provisions hereof shall in a respects continue in full force and effect All other agreements be between us or hereafter made which, by their provisions apply to any of my transactions and accounts with you, shallsuch a applicable to any of myoptions transactions and accounts where they are net in conflict with this agreement Should conflict exist it shall be resolved in favor of this agreement. Otherwise, the provisions of each agreement shall be applicable. 11. As used herein, 'in and "me" refers to ail account owners. -You" and "Your" refers to ()BSI. tr, 20i3 D;rutscre 6',nl AG.M Eigiel: newyed. WM:ei7C4 01.07.1:1-051018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041016 CONFIDENTIAL SDNY_GM 00187200 EFTA01355752