EFTA01282660.pdf

• Deutsche Asset & Wealth Management Account Agreement Southern Trust Company, Inc Ckentlsl Address 8100 Red Hood Quarter B3 St Thorne* 00802 City State Tip Code 1\14-G 0,138I& Account Title (Complete if different from the Chem above) Account NurnberIci IMPORTANT PLEASE. SIGN AND RFT URN 1H:S ACCOLIN LACREEMENI • 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 shoulo 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. 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 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 Accounts), 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 famky 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, (b) Client is or becomes a senior officer or immediate family member of such a person of an/ 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 CUENT'S ACCOUNT(S) The following terms and conditions grivern Client's Account(s): I. 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 DM to exercise any right granted under this Account Agreement shall not be deemed a waiver of such 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 ()BSI's rights or obligations under this Agreement without nodes to Client. 2. Cash Account. DOS! will classify each Accountas a cash brokerage account. DBSI mutt 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. Alitrensaotions in Accounts) shall be conducted in accordance with and subject to Applicable Law. W1111111111E! D5 I 3.4t004.0196 012145 032613 SDNY_GM_00038194 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001018 EFTA_OOI 48803 EFTA01282660  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. DBSI retains the right to cancel or liquidate any order accepted andror executed withoot prior notice to Client. if 0951 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 Primary held In any of Client's Account(s). and charge to Client any loss resulting therefrom. 8. Sale of Secarities. Chart agrees that in a cash account: (a) Client will not sell any Security beets it is paid for, (b) Client will own each security sold at the time of sale, (e) unless such security is already held in the Account, Client will promptly deliver such security thereto on or before settlement date, Id) Client will promptly make full cash payment of any antbunt which moy become due ie order to moat necessary reemears for additbnal deposits and (e) with respect to any Securities and Other Property sold, Ckent will satisfy any mark to the market deficiencies. Client must affect all Short Sales in a margin account and designate these sales as 'short." AM other sales will be designated es -Icing' and will be deemed to be owned Of Client In the event that OBSI enters an order 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, D651 has the right to purchase or borrow any Securities and Other Property necessary to make the reguired delivery. Client agrees to compensate DBSI for 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/fwvwv.pwm.db.eondarnerricasieothenualoisclosurestatementhtml for additional information on interest charges. 7. Restrictions on Trading. DBSI 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 Securities. Clieot 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 turnieh DBS1 with the necessary documents (including opinions of legal counsel. if requested) to obtain approval to transfer and regiiter tneee securities. DBSI• will not be liable for 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 and CancellatimgModification Row:feats. When Client verbally places a trade witn o 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 cancelhnodify an order that DBSI accepts are on a best efforts basis only. 10. Aggregation of Orders and Average Prices. Client authorizes D8510 aggregate orders for Cierlt 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 being only °fatally completed. 11. Transmission of Instructions. Client understands and accepts responsibikty for the transmission of instructions to DBSI and will bear the risk of loss arising from the method of transmission used in the event of transmission errors, misunderstandings. impersooations. transmission by unautholized persons. forgery or intercepts. Except in toe ones of gross negligence. Client agrees to release end indemnify 0651..its affiliates, employees and directors froth any and all liability arising from the execution of transactions based on such instructions. 12. Role of Certain Third Parties. C1851 engages e third-party cleatieg agent, Pershing. Client understands that Pershing is the custodian of Client's assets, clears and settles all transactions, and eittends credit on any margin purchases. where applicable. Client further understands that Pershing may accept from DBSI, without inquiry or investigation: (i) orders for the purchase or sale of Semites and Other Property on margin or otherwise, and (ii) any other instructions concerning Account(s). Client further understands that the contract between DBSI and 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 responsible or liable to Client far any acts or omissions of D8SI or ifs 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 affikates 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 DWI, any of itsAffiliates or Pershing, in which Client has an interest (held individually, jorntly or otherwise) teekactively all such Securities and Other Property ate 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 sucn obligations am 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 Colateral shall include Securities and Other Property held in the Account or any other account held by either Joint . Accountholder with OBSI or its Affiliates or Pershing (whether individually. jointly or otherwise) and shall secure any and all Obligations of each Joint Accountholder to DBSI and its Affiliates or Pershing. With respect fo the lien granted to 0651 and its Affiliates, OBSI (or Pershing, at OBSIS instruction) may, at any time and without prior notice, sell, transfer, release, exchange, settle or otherwise dispose of or deal with ar.y or all such Collateral in order to satisfy any Obligations. In enforcing this lien, DBSI shall have the discretion to determine what and how much Colateral to apply for the purposes of the.toregoing. Notwithstanding the foregoing, nothing herein shall be deemed to grant an interestin any Account or assets that would give rise to a prbhioited transaetion under Section 4975(c)(1) (B) of the Internal Revenue Code of 1986, as amended, or Section 406(e)(0(B) of the Employee Retirement Income Security Act of 1974, as amended. Securities and Other Property held in Client's retirement accounts) maintained by D8SI, which may include IRAs or qualified plans. are not subject to this lien and such Securities and Other Property may only be used io satisfy Client's Indebtedneils or other obligatiuns related to Client's rethement eccountis). 13.AWm.0196 2 012145 432813 SDNY_GM_00038195 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001019 EFTA_00 148804 EFTA01282661  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 0851. including reasonable attorneys' fees and court costs. Client agrees that DBSI or Pershing may execute or assign to each other or any third party 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 understands that DB91 charges an Annual Account Fes for certain accounts and may charge service fees, processing fees and/or other tees 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/annualdisclosurestatement. html. Client untlerstande that these fees will he charged to Account(s) and authorizes D851 to deduot such fees from 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 Genial or total loss doe to market flucthations or the insolvency of the issuer(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 OBSI, Deutsche Bank AG, Pershing or any other bank, are not guaranteed by D851. Deutsche Bank AG. Administrator. Bank or any other bank, and are not insured by the 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 products 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 (or any interest) and will not usually be covered by FDIC insurance, unless otherwise disclosed in the written offering documents for 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 produots that are unaffiliated with DBStif Client's Account is en individuar retirement account nr an ERtSA account, or if 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 end Investigation. Client authorizes bESI and Pershing to obtain reports concerning Client's credit standing and business conduct at their discretion without notifying Client. Client also authorizes OBSI to share among service providers (es set forth horeiol end DBSI Affiliates such credit•related and business conduct information and any other confidentialinformation DEISI, Deutsche Bank AG and such Affibetels) may have about Clint and Client's Account, in accordance with DI3S1's Privacy Policy and Applicable Law. DBSI and Pershing will provide Client with a copy of each of their Privacy Policies shortly after execotion by Client of this Agreement. Client may request a copy of Client's credit report, and upon request, DBSI will Identify the name and address of the consumer reporting agency that furnished it. 19. Confirmations, Statements and Other Communications. Client agrees to notify DBSI in writioa, within ten (Kt) 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 understands objections must he directed to the Bronch Supervisor in writing, at 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 recording any or all telephone calls with Chant 21. Joint Accounts. a. Unless Clients specify 'tenants in common" or 'community property," Clients authorize DBSI to designate a joint account 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 /he Account Is e joint tenancy with right of survivorship of e tenancy by the entireties, the entire interest in the joint Account shill be vested in the survivor or survivors on the same terms and conditions es before the death. The survivors and the estate of the deceased Accountholder will indemnify DBSI for any loss incurred through treatment of the Acccunt es provided herein. b. Clients agree that each party to the joint account shall have authority to deal with DBSI as if each were the sole Account owner, al without notice to the other Acts:Writ owner(s). Clients agree that notice to any Account owner shall be deemed to be notice to off account owners. Eaob Account owner shall be jointly and severally 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 personally and not to ell of the Acconnt owners. OBSI shall be under no obligation to inquire 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, DB51 may require joint action by all account owners with respect to ony matter concerning the account, including the giving or cancellation of orders and the withdrawal of monies, Securities and Other Property. In the event OBS! receives conflicting intimations from any owner, it may in its sole discretion: (a) follow any such instructions, (b) require written or verbal authorization of both, all or any owner before acting on the instructions from any one owner. (c) send the assets of the Account to the address of the account, or (dl file an interpleeder action in an appropriate court to let the court decide, the dispute. 13•AWM-0196 3 012145 032813 SDNY_GM_00038196 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001020 EFTA_00148805 EFTA01282662  c. In the event of the death of any owner, the survivor(s) shall immediately give DBSI written notice thereof. DBSI 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 Wits protection against any tax, hability, penalty or loss under any present or future laws or otherwise. Any cosi resulting from the dearh 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 interest of the survivor(s) as well as against the interest of the estate of the decedent. The estate of me decedent and each survivor (including other Account owners) shall connote) to be jointly and severally liable to D851 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 0681 may come into possession of confidential and material non-public irdormation. Under Aprdicabie Law, suoh 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. 0951 employees are prohibited from communicating sueh infermanen to Client and that 0851 shall have no responsibility or liability to Client for failing to disclose such information. 23. Third Party Authorization; No Agency. Client agrees that it Client authorizes third party(ies) (including, without limitation, any investment advisor or money manager) toilet on Clients Account• such third party(es) 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) aumorized 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 Clientfor 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 OBSI, nor Pershing, provide any legal, tax or accounting advice, (b) neither 0651 nor Pershing employees era authorized to give any such advice and (c) Ckent 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 Client's own advisers, and not 0651. 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. DEIS1 shell not be hablo for am' loss to Client amulet in tho case of DBSI's gross negligence or willful misconduct. 0BS1 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 DBSI's control. DBSI shall not tie liable for any 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(s). Client must direct all formal complaints against DBSI or'any of its employees to Deutsche Bank Securities Inc., Compkance Department • Client Inquiries, 60 Wall Street. 23rd Floor. Mad Stop NYC60-2330, New York, NY 10005-2836 or Client may call (212) 250-1085. 27. Entire Understanding. This Account Agreement contains the entire understanding between Client and DB51 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 Agreement shall apply to onch end every account and, collectively, any and all funds, money, Securities and Other Property that Client has with (inland 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 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 reasun by sending written notice of such termination or amendment to Client. Any such termination or amendment shall be effective as of the date that DBSI establishes. Client cannot waive, alter, modify or amend this Account Agreement • unless agree° in wnting and signed by 0881. No failure or delay oo the part of OBS! to exercise any right or power hereunder or to insist at any 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 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 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 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 shall be held 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 shall not be affected thereby and this Account Agreement shall be osrried outas if any such invalid or unenforceable provision or condition were not contained herein. 32. The provisions of this Account Agreement governing aibitration (Section III). controlling law (Section 11.29) and limitation of liability (Section 11.25) will survive the termination of this Account Agreement. 13,AWIA-0196 4 012145 032013 SDNY_GM_00038197 CONFIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001021 EFTA_OOI 48806 EFTA01282663  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 blows: 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 to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is tiled, or as prohibited by Applicable Law: b. Arbitration awards are generally final and binding; a parry's ability to have a court reverse or modify an arbitration award is very limited: c. The ability of the parties to obtain documents, witness statements and other discovery is generaNy more limited in arbitration than in court proceedings: d. The arbitrators do not have to explain the reasun(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 Mioority 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 inatipible for atbitration.may be brought in coin; end g. The rules of the arbitration forum in which the claim is filed, end any amendments thereto, shall be incorporated into this Account Agreement. 2. Subject to the preceding disclosure, Chant agrees to arbitrate any controversies dr 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. My 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 0851 is a member in accordance with the rules of that particular regulatory agency then in effect. Client may oiect in the first instance whether arbitration 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 alter receipt of a written request from DBSI for such election, gives DOS' the right to elect the arbitration forum that will have jurisdiction over the dispute. Judgment upon arbitration awards may bo 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 tight tri 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 crass action or who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (a) the class certification is darned, or (b) the class is decertified, or (c) the Client is excluded from the class by the court. Such forbearance to onion]. an agreemerit to amitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. [THIS SPACE INTENTIONALLY LEFT BLANK] 13AVAA -0198 5 012145032813 SDNY_GM_00038198 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001022 EFTA_00I 48807 EFTA01282664  FormW-9 (Rev. Direemeer 2011) Request for Taxpayer Give Form to the requester. Do not Deanna:a of to 'Newer Identification Number and Certification °end to the IRS. Intend Revalue Simla Name (a shoal on you: ammo tax /earl Southern Trust Comps Inc Busmen nanottfannerded entity name. 0 deterum Iron atc n5 Chew opproortate boa for leant tax camel:aeon: IndhictuaVsole propflatty 0 C Connor, S Corponuon n Pwswip n numhertreo O tanked aetn y oompriy. Enter me lax elaallIcalian (CC wearies.. SS corporation erpartnershiPI Erna payee O Other Poe neructions)► Mabee plantar. area, and apt. or sure no) neciainer a cane end actress topuonsp I 6100 Red Hook Quarter 83 City. net., aid 21P cede St. Thomas. USV1 00902 LW account numbeasi here opeippap Taxpayer Identification Number (TIN) Enter yet TIN in the appopiate boa The TIN provided must match the name even on the Name Ins Sada seciater to avoid backup withhaking. For old...ideals. this h yew seal seetrily number (SSN). However, for a Madan! alai, Sale Proprietor, or deregarded entity, see the Pen I Instructions on page 3. For other entitles, kis your ampbyer Idemlfication number (Elisi). If you do not have a number. see Noe to get a TIN on page 3. Note. If the account is in more than one name, see the chart an page 4 Is. guidelines on vMOSO Employer klerailicalee meth. number to enter. eie - 0 7 7 Ilia 6 1 Lalal Certification Uncle, pennies of perjury, I certify that: 1. The number shown on Us form is my cane taxpayer identification number Swaim waiting fora number to be Issued to me), and 2 I am not subject to backup withholding because: (a) I am exempt from backup Withhoiativr, a (b) I have not been notified by the Memel Revenue Service ORS) that tam subjeCt to backup withholding as a man of a failure to report of interest or dividends, p(e) the IRS his nalfied me than am no longer subject to backup withlitiding, end 3. I tarn a U.S. citizen or other U.S. person (defined below). Certification instructions. You must cross out item 2 above it you have been notified by the IRS that you are Potently subject to backup withholding because you have failed to report as Interest and dividends on your tax return. For real estate transactions. hem 2 does not apply. For mortgage interest paid, acquisition or abandonment gl property, cane:Salto of debt, coeuibutions lo an indwiduel reirement feraragement ORA), and PanentaY. Payments other than mere d di you we not sir the enetiecation, but you must prate yew correct TIN. See the instructions on Page 4. Sign eleneiwe ef Here us. person. / -a-r- General Instructiot / Note. If a requester gives you e loran other than Form W-9 to request your TIN, you must use the requester's form t k* substantially dmilar Section references are to the tenet Revenue vellaelyellriso na to INS Form W-9. naiad. Defintdoit of • U.S. person. For federal tali Purecass, you are Purpose of Form considered a U.S. person if you are: A mewl who Is required to Ste an inlantatICCI Marl) with the IRS must • An individual who Is a U.S. citizen or U.S. resident Wen. obtain your bOrreCt taxpayer Identilsoatkan number mm to report fa • A mane-Olio corporation. company, or association Created or exempla Income paid to you, real estate transactions, mortgage interest organized in the United States or under the laws of the United States, you part acquisition a abandonment of Vituted property, oencalet ten • An estate forcer than a foreign estate), a of debt. a contributions you made to an IRA. • A domestic Mat (as defined In.Regulations section 301.7701.7). Use Form W-9 only If you we a U.S. person Oncluding a reddern alien), to provide your correct TIN to the person requesting k (the Special rules for pattnerships. PartnersNps that conduct a trade or business hi the United States are gravelly required to pay a withholding requested are. When aPPlicable. to: tax on any foreign partners' share of Income from such business. 1. Certify that the TIN you ale giving is correct (or you are walling for Further, in certain cases where a Form W-9 has not been received, a number to be issue, partnership IS required to presume that a partner al a foreign person, 2. Coney met you we not subtext to backup wthholctirg. or We pay the withhading tax. There,oreof you ere a U.S. person that is a 3. Claim exemption from backup melba:leg if you are a U.S. exempt partner in a partnership conducting a trade or business in the United payee. If appllctfe. you are also certifying that es • U.S. person, your States, provide Form W-9 to the partnership to establish your U.S. allocable share of any partnership (come from a U.S. trade or business status and avoid wahhokang on your share of partnership income. is not subject to the withholding lex on foreign partners' Share Of effectively connected income. Ca. No. 10231% ram W-9 paw. 12-2011) SDNY_GM_00038199 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0001023 EFTA_00148808 EFTA01282665  IV. TAX ELECTION/DECLARATION OF TAX STATUS This Account Agreement is designed for use by both U.S. Poisons and Non-US Persons. Please check the box next bathe appacabio nom below. awl certifies that Client will notify 0851in writing immediately if the representation certified to below ceases to be true and correct. 1.O U.S. Citizen or V.S. Resident A/ren Patin W9 Request for Taxpayer Identification Number and Certification Substitute Name (ore shown on your Income tax return) Business nerriddisregarded entity name, *different tram stove Check appropriate box for federal tax classification (required) • Individualise:4e proprietor O C CorporatIon O S Corporation O Partnership. Trust/estate • Exempt Mee ❑ Limited liability company. Enter the tax classification (Gee corporation. 5=5 corporation, PePliniilinthiP) le Other y Adities (number, street. tad apt. err suite no.) City, State, and ZIP code 'Taxpayer Identification Number (TIN) Social Security Number Enter your TIN in the appropriate box. The TIN provided must match the name given on the "Name" line to avoid backup withholding. For indNiduds. this is your social security number ISSN). For other entities. It is your employee identification number ((IN). I 1 1- (miaow Idamfication Number Part II Certification DO-M=0 Under penalties of perinlY. I cififtilv that: 1. The number shown on Otis form is my correct taxpayer identification number (Or I am wailing for a number to be issued to me). and 2 I am not subSeoct to backup withholding because: (a) I ant exempt from backup withholdings or tts I have not been notified by the Internal Revenue Service ORS) that I ern subject to backup inithholdng as a result of a failure to report an interest or dividends. or li t the IRS has notified me that I am no longer subiect to backup withholding. and 3. I am a U.S. edition or other U.S. person (defined In the instructions). Certification instructions. Yo si cross • kern 2 above if you have • ., , . med by the IRS that you are aurently subject to backup withholding because you have failed port all Interest a d dividends Sign Signature of Hero U.S. person Dale --fr a--1L— t 3 2 NoriO S Pathan I am not a U.S. Person enduring a U.S. resident alien).i ant submitting the applicable Form/N-8 with this form to certify my foreign status and. despicable. Claim tax linty benefits. For example: Client is not a U.S. person (Including a U.S. retident alien). Client agrees to provide OBSI with this medic