EFTA01375204.pdf

OPTIONS QUESTIONNAIRE O NEW ACCOUNT O DATA UPDATE DATE COMPLETED ACCOUNT NAME S Guild 412.33 -Ft ).) ADC AL LL ACCOUNT NUMBER DATE ODD GIVEN/SENT NOTE: Address on file with constituent documentation TO CLIENT ATTENTION CLIENT: PLEASE REVIEW AND/OR COMPLETE THE INFORMATION REQUESTED BELOW PRIOR TO SIGNING AT THE BOTTOM OF THIS PAGE. CUSTODIAN: NAME(S) OF INVESTMENT MANAGER, GENERAL PARTNER OR OTHER FINANCIAL INFORMATION: THIRD PARTY AUTHORIZED TO ENTER ORDERS FOR THIS ACCOUNT: ASSETS UNDER OPTIONS INVESTMENT MANAGEMENT EXPERIENCE NAME RELATIONSHIP O 4.55O ?AM CI 0.2 YRS TYPE OF TRADING AUTHORIZATION: O S50 NW 4100 MM O 2-30 YRS O Limited ON $10O MIA OR GREATER a I0 YRS OR MORE O Full OPTIONSTRADING AVERAGE SIZE OF'OPTIONS FREQUENCY TRANSACTIONS NAMIPCOL Bfle.2-er RELATIONSHIP ArN /SCA O SELDOM O C$0 CONTRACTS TYPE OF TRADING AUTHORIZATION: O MODERATE o 250-1000 CONTRACTS O Limited O ACTIVE O 100Of CONTRACTS Full DOES THE INDIVIDUAL OR ENTITY THAT CONTROLS IF YES, PLEASE PROVIDE THE ACCOUNT(S): THIS ACCOUNT HAVE THE POWER TO CONTROL ANY OTHER OPTION ACCOUNT WITH THE DB ENTITIES? INVESTMENT OBJECTIVES O INVESTMENT HEDGE eLeASE CREta og, Am/CARLE BOXES TYPES OF OPTIONS REQUESTED W EQUITY CA INDEX REQUESTED OPTIONS TRADING STRATEGY (higher risk codes include strategies in lower risk codes) DES STRATEGY B CTIV EXPFRIENCE USING TEGY PROTECTIVE PUT BUYING INVESTMENT HEDGE I: A COVERED CALL WRITING INCOME/INVESTMENT HEDGE 0 NONE O MODERATE O EXTENSIVE SPREADS SPECULATION PUT/CALL BUYING SPECULATION C e STRADDLFJCOMBO BUYING SPECULATION O NONE O MODERATE 0 EXTENSIVE STRADDLFJCOMBO WRITING SPECULATION/HIGH RISK INCOME RATIO WRITING SPECULATIOWHIGH RISK INCOME ta C UNCOVERED OPTIONS WRITING SPECULATION/HIGH RISK INCOME O NONE O MODERATE Q EXTENSIVE CUSTOMER RISK ACKNOWLEDGMENT We the undersigned, understand that options transactions involve a high degree of risk and offer no guarantee of gain or assurance against loss. Accordingly. we understand that prior to engaging In any option transaction, investors should review their present financial situation and determine whether it is advisable to incur the risks of loss associated with that particular investment. We also understand that investors should not buy an option unless they art able to sustain a total loss of the premium and transaction costs, that investors should not sell (write) a covered tall option unless they are prepared to deliver the underlying security (or a security convertible, exchangeable, or exerebable into such underlying security) upon the exercise of the option and that investan should not sell (write) a put option or an uncovered call option, especially an Index option, unless they arc able to sustain a potentially unlimited loss. Further, we understand that we may not be able to close a position ha the event that a secondary market In the option asses to exist or the listing exchange restricts or suspends trading hi the option. WE CERTIFY THAT THE FOREGOINOCLIEN INFORMATION IS ACCURATE AND WE ARE AWARE THAT THE INFORMATION IS RELIED ON BY DIM IN SERVICING TUE.ACCOUNT. WE ALSO ACKNOWLEDGE RECEIPT OF A CURRENT COPY OF "CHARACTERISTICS AND RISKS OF STANDARDIZED/OPTIONS" AND UNDERSTAND THE INFORMATION CONTAINED THEREIN. FURTHER, WE HAVE READ, UNDERSTAND AND AGREE TO BE BOUM) BY THE TERMS AND PROVISIONS OF THE LISTED OPTIONS CLEARING AND CUSTODY ACCOUNT AGREEMENT. SIGNATURE(S): TITLE/CAPACITY: DATE: APPROVALS (FOR INTERNAL USE ONLY) I have reviewed all the foregoing information, it is accurate to the best of my knowledge, and I believe that the types of options and options trading strategies requested are appropriate ACCOUNT EXECUTIVE (NAME): SIGNATURE: DATE: TYPES OF TRANSACTIONS FOR WHICH THE ACCOUNT IS APPROVED I have reviewed the foregoing and have approved the account 1hr this types of colons and options trading strategies: O (OAS REQUESTED ABOVE SE O (2)AS FOLLOWS: TYPE OF OPTIONS TYPE OF OPTIONS TRADING STRATEGIES O EQUITY O FOREIGN O INDEX O DEBT OA OB DC' CURRENCY Vapproved for Strategy C Ant al Inane $ or O Income requirement waived based on the FinancialInformation provided herein illa38116REDOPTIC•611UNCIPALVAAM 11001Allite. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0070452 CONFIDENTIAL SDNY_GM_00216636 EFTA01375204