EFTA01387363.pdf

Investment Experience of Account Owner(s) Year First Average a Trades Averaee Size of Types of Previous Option Traded Per Year Trades In $ Experience Options a ct SC) i Covered Call Writing Frailties ca- cL) Purchased Options Fixed Income 1115' %Ile\ uR Option Spreads Commodities and Futures (filo ic) C1M1 tln Uncovered Put Writing Structured Products apocz> 2c) 31'44) 4 Uncovered Call Writing OTC Derivatives Ink None Foreign Currency ri So 2.0 p\r, Alternative Investments (Pledge Funds, Private Equity) i99 cf\i) Investment Objectives for the Client Account (Select up to two adjacent objectives): Capital Preservation Income Growth tit. Aggressive Cie eve" Representations Relating to Qualification of the Client Check all that apply, A: least one categthy must he checked. I represent that Client qualifies as On 'Amedited Investor as defined in Regulation 0 under the Securities Act of 1913 because Client is: • a natural person with individual income exceeding 5200,000 in each of the two most recent years oriole% Income with a spouse exceeding $300,000 in each of those years and n iseksortable expectation of the same income level in the current year; a natural person with individual net worth, or joint net worth with a epees°. over S1.000,000. excluding pi levity residence; a trust with assets in excess of $5,000,000. not formed for the spathe!: purpose of acquiring the securities *Menet whose purchases are directed by a sophisticated peoton: a revocable trust that may be amene Ad or revoked ai any lime by the granters and where all of the grantors are accredited investoss: a charitable organization, ca potation or partnership with assets exceeding 55.000,000; VI a business in which all the equity owners are accredited investors; a bank, savings and loan association. registered broker or dealer, insurance company, registered investment company, business development company or licensed small business investment company; an employee berry. fit plan, within the meaning of ERISA if a plan fiductaiy that is a bank. insurance company or investment adviser makes the investment decisions, o f if the plan has over .15.000,000 in total assets or a tegatered with investment decisions made solely by accredited investots: self•direcied plan a plan established end maintained by a state, its political subdivisions of any agency or instrumentality thereof. for the benefit of its employees with total assets in excess lei $5,000,000; of a director, executive officer or general partner of the issuer et the securities twang offered. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0089836 CONFIDENTIAL SDNY_GM_00236020 EFTA01387363