EFTA01355754.pdf

Option Objectives (check ALL that apply): ID Income (covered call writing) ki Portfolio Protection (protective puts) 0 Speculation (spreads & uncovered writing) Ckent(sl Strategy Requests (Please check as many of the following strategies sought to be employed) (.Covered Call Writing Moderate Risk Calls fully covered by underlying stock. Stock may be tolled at any tines al at expiration, requiring owner to sell at strike pace. zJ 2. Purchasing Options Involves Substantial Risk. intire premium is at risk. Profit or loss usually determined by soling position. If position is net closed or exercised by expiration date, options wig expire worthless. a 3. Option Spreads — Margin account required. Involves Substantial Risk In addition to risk of purchasing puts Or calls, it long side is closed out, leaving only a shon 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. a 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required. Involves SubstanjeAklisk If assigned, the client must purchase the underlying stock at the strike price. which may be substantially higher than the then-cuirent market price. a 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. klyoiye5 Scobstiti. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the =Jellying stock in open market to effect delivery to purchaser of option. I have read and understand all of the conditions and stipulations on the reverse side of this loan in regard to trading in options and represent that trading an options is suitable in light of my investment oblectives, 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 vivify any representation contained therein, at its discretion. I will promptly notify Deutsche Bank Alex. Brown, in writing, of any material change in the above stated information. I acknowledge that I may obtain an options clearing corporation prospectus upon request. I have received and read the Options Clearing Corporation Disclosure Document entitled "Characteristics and Risks of Standardized Options." t icet7 / 0 12'03 Date Print Client Advisor Name CA TO5 Client Advisor Signaturi,- Date HOP Appmv Date OPTION DEPT. APPRi AL: DATE i a Covered Calf Writing f Z Purchasing Options 0 a 0 0 (-) &Option Spreads - 3> 2e D Uncovered CC Put Writing Uncovered Call Wnting ofikrAGA-0127 O4.4 14 (0S,11) 006404 051011 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041018 CONFIDENTIAL SDNY_GM_00187202 EFTA01355754