EFTA01392869.pdf

.. •. Option Objectives (check ALL that apply): OL Income (covered cal writing) (Zi Portfolio Protection (protective puts) Eel Speculation (spreads & uncovered writing) Chianti") Strategy Requests (Please check as many of the following strategies sought to be employed) tu 1. Covered Call Writing MecleateAds Calls fully covered by underlying stock. Stock may be called at any time of at expiration, requiiing owner to sell at strike price. 2. Purchasing Options M Involves Sonstartial Risk tntire premium is at risk. Profit or loss usually determined by seeing position. It position is not closed or exercised by expiration date, options will expire worthless. 0 a Option Spreads — Margin account required. ketC&CCiSULdlanligLaisIL. in addition to risk of purchasing puts or calls, if long side is closeo out, leaving only a short position. the financial risk becomes unlimited. Option assignments require purchase of the underlying stock in the open market to effect delivery to purchaser of option. 2 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required. InvolveS.Substential Risk. If assigned, the dent must purchase the underlying stocs at the stoke price, which may be substantially higher than the then-current marker ponce. k! 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. Involves S_ubstantial R.sk. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open markn to effect delivery to purchaser of option. I have read and understand all of the conditions and stipOlations on the reverse ode of this form in regard to trading in options and represent that trading in options is suitable in light of my investment objectives, financial situation, risk tolerance and knowledge. I hereby confirm that I am the source of and attest to the accuracy of the above information and authorize Deutsche Bank Securities Inc. (also referred to herein as "Deutsche Rank Alex. Brown") to verify any representation contaned therein, at its discretion. I will moms:illy notify Deutsche Sank Alex. Brown, in writing. of any material change in the above-slated information. I acknowledge that I may obtain an options clearing aspiration p•ospeclus upon req.etit. I have received and read the Options Clearing Corporation Disclosure Document entitled "Characteristics and Risks of Standardlz tions.- (S-igne .Dilte. 4 97 :2" 5/3 _ Signed Date — — -- Print Clent Advisor Name littt r 71 CAN Client Advisor Signature Oafs 2;1 IS RCP Approval 62X—. Date 0 9' OPTION DEPT. APPROVAL: sew DA It COMminttS 1EDCovered Call Writing toPurchasing OptiOns r5 122Option Spreads gfr . - r 2. 14' Uncovered Put Writing 11 t afUr.covered Call Writing 09-PWM-0 I Z? OM 14 (05111) ooesocos1011 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0098156 CONFIDENTIAL SDNY_GM_00244340 EFTA01392869