EFTA01380441.pdf

OPTIONS QUESTIONNAIRE O NEW ACCOUNT O DATA UPDATE DATE COMPLETED ACCOUNT ACCOUNT NUMBER NAME• DATE ODD GIVENASENT NOTE: Address on fife with constituent documentation TO CLIENT ATTENTION CLIENT: PLEASE REVIEW AND/OR COMPLETE THE INFORMATION REQUESTED BELOW PRIOR TO SIGNING AT THE BOTTOM OF 11415 PAGE. CUSTODIAN: NAME(S)OF INVESTMENT MANAGER. GENERAL PARTNER OR OTHER FINANCIAL INFORMATION: THIRD PARTY AUTHORIZED TO ENTER ORDERS FOR THIS ACCOUNT: ASSETS UNDER OPTIONS INVESTMENT MANAGEMENT EXPERIENCE NAME RELATIONSHIP 1 o <S50 Mid o 0-2 YRS TYPE OF TRADING AUITIOR/ZATION: O 550 Mid •$100 MM O 2-10 YRS o Limited O 5100 MI OR GREATER O 10 YRS OR MORE o Full OPTIONS TRADING AVERAGE SIZE OF OPTIONS FREQUENCY TRANSACTIONS NAME RELATIONSHIP O SELDOM o <250 CONTRACTS TYPE OF TRADING AUTHORIZATION: O MODERATE O 250-1000 CONTRACTS o Limited O ACTIVE O 1000+ CONTRACTS o Full DOES THE INDIVIDUAL OR ENTITY THAT CONTROLS O YES IF YES. PLEASE PROVIDETHE ACCOUNT(S): THIS ACCOUNT HAVE THE POWER TO CONTROL ANY OTHER OPTION ACCOUNT WITH THE DB ENTITIES? O NO INVESTMENT OBJECTIVES D INVESTMENT HEDGE O INCOME ▪ SPECULATION O HIGH RISK INCOME PLEASE CHECK ALL APPLICABLE BOXES TYPES OF OPTIONS REQUESTED O F.QUny O INDEX REQUESTED OPTIONS TRADING STRATEGY (higher risk codes include strategies in lower risk codes) CODES STRATEGY OBJECTIVES EXPERIENCE USING STRATEGY PROTECTIVE PUT BUYING INVESTMENT HEDGE • A COVERED CALL WRITING INCOME/INVESTMENT HEDOE O NONE O MODERATE O EXTENSIVE SPREADS SPECULATION PUT/CALL BUYING SPECULATION II STRADDLE/COMBO BUYING SPECULATION O NONE O MODERATE O EXTENSIVE STRADDLE/COME/O WRITING SPECULATION/HIGH RISK INCOME RATIO WRITING SPECULATION'HIGII RISK INCOME e UNCOVERED OPTIONS WRITING SPECULATIONVIIKill RISK INCOME O NONE O MODERATE O EXTENSIVE CUSTOMER RISK ACKNOWLEDGMENT We. the undersigned, understand that options transactions involve a high degree of risk and offer no guarantee of gain or assurance again. t loss. Accordingly. we understand that prior to engaging in am option transaction. Inseams should res kw their present financial situation and determine whether it is advisable to incur the risks of loss associated with that particular lineament. We also understand that ins estors should not buy an option unless the, are able to sustain a total loss of the premium and trattsactkm costs, that insestors should not sell tw rite) a covered call option unless they are prepared to denser the underlying security (or a security «invertible. exchangeable. or exercisable into such underlying security) upon the exercise of the option and that ins( -Mors should not sell (write) a put option or an uncovered call option. especially an irides option, unless they are able to sustain a potentially unlimited loss. Further, we understand that we may not he able to close a position in the event that a secondary market in the option ceases to east or the listing evcitange restricts or suspends trading In the option. WE CERTIFY rum. THE FOREGOING CLIENT INFORMATION IS ACCURATE AND WE ARE AWARE THAT THE INFORMATION IS RELIED ON BY DBSI IN SERVICING THE ACCOUNT. WE ALSO ACKNOWLEDGE RECEIPT OF A CURRENT COPY OF 'CHARACTERISTICS AND RISKS OF STANDARDIZED OPTIONS" AND UNDERSTAND THE INFORMATION CONTAINED THEREIN. FURTHER. WE HAVE READ. UNDERSTAND AND AGREE TO BE BOUND BY THE TERMS AND PROVISIONS OF THE LISTED OPTIONS CLEARING AND CUSTODY ACCOUNT AGREEMENT. SIGNATURE(S): TITLE/CAPACITY: DATE: .tPPRON'.%I.S (FOR IN TERN.%I. USE ONLY) I have reviewed all the foregoing Information. it Is accurate to the best of my knowledge, and I belles e that the types of options and options trading strategies requested are appropriate. ACCOUNT EXECUTIVE (NAND.): SIGNATURE: VIE. TYPES OF TRANSACTIONS FOR WHICH THE ACCOUNT IS APPROVED I have reviewed the foregoing and have approved the account for the types of options and options trading strategies: O (1) AS REQUESTED ABOVE z O (2)AS FOLLOWS: TYPE OF OPTIONS TYPE OF OPTIONS TRADING STRATEGIES O EQUITY O FOREIGN CI INDEX O DEBT O A O El O C' CURRENCY •If approved fa Strategy C. Annual Income S or O Income requirement waived based on the Financial Information provided herein diatom OPTIONS PRIVCW AL oan SEDIAT4115. 01Tr. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0078869 CONFIDENTIAL SONY GM_00225053 EFTA01380441