EFTA01454022.pdf

The undersigned hereby certifies that the undersigned is authorized to provide this Certification and that the undersigned, or an authorized representative of the account, will promptly notify Deutsche Bank Securities Inc. (DBSI) in the event this Certification ceases to be true and correct. In connection to the U.S. Securities & Exchange Commission's electronic delivery of information requirements, the undersigned agrees to receive electronic mail for recertifying this Certification through negative consent and to notify DBSI in writing if the undersigned does not agree to receive such communications. Print Client Name/Account Title Account Number Print Name and Title of Authorized Signatory Signature of Authorized Signatory Date Branch Manager Acceptance Date ANNEX A General Exemptions: 1. An investment company registered under the Investment Company Act of 1940. 2. A common trust fund or similar fund as described in Section 3(a)l12)(A)liii) of the Securities Exchange Act of 1934, provided that: (i) the fund has investments from 1,000 or more accounts, and (ii) the fund does not limit beneficial interests in the fund principally to trust accounts of restricted persons. 3. An insurance company general, separate or investment account, provided: (i) the account is funded by premiums from 1,000 or more policyholders or, if a general account, the insurance company has 1.000 or more policyholders, and (ii) the insurance company does not limit the policyholders whose premiums are used to fund the account principally to restricted persons, or if a general account, the insurance company does not limit its policyholders principally to restricted persons. 4. An account, including a fund, limited partnership, joint back office broker-dealer or other entity, if the beneficial interests of restricted persons do not exceed in the aggregate 10% of the account. 5. A publicly traded entity (other than a broker-dealer authorized to engage in the public offering of new issues either as a selling group member or underwriter, or an affiliate of such a broker-dealer) that is: (i) listed on a U.S. national securities exchange, (ii) a non-U.S. issuer whose securities meet the quantitative designation criteria for listing on a national securities exchange. 6. An investment company organized under the laws of a non-U.S. jurisdiction, provided that: (i) the investment company is listed on a non-U.S. exchange or authorized for sale to the public by a non-U.S. regulatory authority, and (ii) no person owning 5% or more of the shares of the investment company is a restricted person. 7. An ERISA benefits plan that is qualified under Section 401(a) of the Internal Revenue Code; provided that the plan is not sponsored solely by a broker-dealer. 8. A state or municipal government benefits plan that is subject to state or municipal regulation. 9. A tax-exempt charitable organization under Section 501(c)(3) of the Internal Revenue Code. 10. A church plan under Section 414(e) of the Internal Revenue Code. Restricted Persons/Entities under the New Issue Rule: 1. A FINRA member firm or other broker-dealer. 2. An officer, director, general partner, associated person or employee of a FINRA member firm or any other broker- dealer (other than a limited business broker-dealer). 3. An agent of a FINRA member firm or any other broker-dealer (other than a limited business broker-dealer) that is engaged in the investment banking or securities business. 4. A person who has authority to buy or sell securities for a bank, savings and loan association, insurance company, investment company, investment adviser (whether or not registered as an investment adviser) or collective investment account. 5. A person listed, or required to be listed, on one of the following schedules to Form BD as filed, or required to be filed, with the SEC by a broker-dealer (other than with respect to a limited broker-dealer): (i) Schedule A. unless the person is identified by an ownership code of less than 10%; (ii) Schedule B, unless the person's listing on Schedule B relates to an ownership interest in a person that is listed on Schedule A and identified by an ownership code of less than 10%; or (iii) Schedule C, unless the person would be excluded under the percentage ownership criteria for Schedule A or B above. 6. A person that directly or indirectly owns an interest, in the amounts specified below, of a public reporting company listed, or required to be listed, on Schedule A or B of Form BD relating to a broker-dealer (other than a limited 13-AWM.0178 0O3873.030613 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0111921 CONFIDENTIAL SDNY_GM_00258105 EFTA01454022