EFTA01357585.pdf

Entity's Financial Details Annual Income: Net Worth: Federal Tax Status (check one): D Less than $50,000 O Less than $50.000 0 0-15% 60.000-99.999 ❑ 50.000-99,999 0 16.1-32% CI 100.000-249.999 O 100,000249.999 0 32.1-50% O 250,000-499,999 0 250,000-499.999 O 50.1% or more 500,000-999,999 ❑ 500,000-999.999 O 1,000.000.2.499,999 CI 1,000,000.2.499,999 Approx % of net worth that is O 2,500,000-4,999,999 0 2,500,000-4.999,999 investable assets: CI 5.000,000 and over 0 5.000,000 and over Entity's Source of Wealth (Check all that apply) O Inheritance or Gifts O Sale of Securities O Individual Earnings 0 Other (please provide): O Corporate Executive O Public or Gov't Official O Sale of Real Estate O Sale of Other Assets O Lottery or Gaming O Corporate Earnings O Professional Earnings O Sale of Business O Business Owner Entity's Investment Experience Investment Type Experience Annual Activity Level (Select one) (Required) None Limited Moderate High Years of No history (1.5 transactions (6-15 (Over 15 Investing of any per year) transactions transactions transactions per year) per year) Equities Options Fixed Income Mutual Funds Exchange Traded Funds (ETFs) Real Estate Property (excluding Primary Residence) Variable Annuities Alternative Investments (Hedge Funds. Private Equity) Structured Products Foreign Currency Account Investment Objectives/Risk Tolerance Investment Objectives (please select up to two consecutive investment objectives): ▪ Aggressive Growth: Investor is willing to accept substantial risk of loss to the portfolio to obtain growth of capital with minimal or no current income. Investor seeks return mainly from potential capital appreciation; liquidity is of no primary concern. CI Growth: Investor is willing to accept increased risk of loss to the portfolio with greater exposure to the equity markets or equivalent markets. The objective is long-term growth of capital. Investor seeks return mainly from capital appreciation and/or higher yielding instruments. O Income: Investor is willing to accept some risk of loss to the portfolio with exposure to income producing securities in equity, fixed income or equivalent markets. Investor seeks return mainly from income. CI Capital Preservation: Risk averse investor who is willing to accept limited risk of loss to the portfolio with limited exposure to equity markets risk or equivalent risks. The objective is capital preservation with limited potential for capital appreciation and current income. Investor seeks stability and a modest return on capital. 12-PWM-0355 011224.062212 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0044212 CONFIDENTIAL SDNY_GM_00190396 EFTA01357585