EFTA01376750.pdf

Investment Experience of Account Owner(s) 'rear First AVellici.? Average Size of Average Size in Types of Previous Option 'Traded Trades Per Year Trades In S Shares i Contracts Expelgel-ice (;p1,-)n, Covered Gall Writing Purchased Options Option Spreads Fixed ilICOMC k.ncoverixl Put Writing Commodities fine it hires Uncovered CM Writing Exchange Trade(' Funds (Ella) Alternative Investments (ifedge Funds, Private Equity) Option Objectives (check ALL that apply) income (covered call writing) Portfolio Protection (protective puts) Speculation (option buying, spreads and uncovered writing) Client(s) Strategy Requests (Please check as many of the following strategies sought to be employed) 1. Covered Call Writing Moderate Risk. Calls luny covered by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. 2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. It position is not closed or exercised by expiration date, options will expire worthless. 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a short position, the financial risk becomes unlimited. Option assignments require purchase of the under€ying stock in the open market to effect delivery to purchaser of option. 4. Uncovered PLR Writing—Marvin account and special statement for uncovered option writers required. Involves f:M3stantial Risk. assigned, the Oen% must purchase the underlying stock at the strike price, which miry be substantialfy nigher than the then-current market price 5. Uncovered Cali Writing—Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Writing uncovered tars immtves unlimited financial risk. Option assignments require purchase of the underlying stook in open market to effect delivery to purchaser of option. I have read and understand all of die conditions and stipulations on the reverse side of this form in regard to trading in options alxl represent that trading in options is suitable in light of my investment objectives. financial situation. risk tVerence and knowledge. i hereby confirm that lam the source of and attest to the accuracy of the above Elongation and authorize Deutsche Dank Seorities Inc. (DUST) to verify any representation contained therein. at its disesetion. l will promptly notify DWI, in writing, of any materia€ Otange in the above-stated information. l acknowledge that l nvhe obtain an options clearing tweporation prospectus upon request. I have retain:al and reed the Options Clearing Corporation Disclosure Document entitled "Characteristics and Risks of Standardized Options." . Signature Signature Pont Ware Date (MMIDOTYYYY) Punt Nate Date (MMil)DIY"'YY) Client Anviser. Signature Print Client Advisor Name [OP Approval Sigrudure WM18,1768 010721.051018 Page 2 of 4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0073124 CONFIDENTIAL SONY GM_00219308 EFTA01376750