EFTA01380002.pdf

Investment Experience of Account Owner(s) Year First Average t Average Sere of Average 5rze in Types of Previous Option Traded Ionia Per Year • Tiaras:4.S Snares/ Contracts Experience Options 1988 10 r $1,0 00,00 0.00 1,000 Covered Can Writing Equities 1988 10 51,000,000.00 1,000 Fe Purchase Options 0 Option Speads Fixed income 1988 10 $1,000,000.00 1,000 Uncovered Put Writing Commodities and Futures 1988 10 $1,000,000.00 1,000 g . UncoveredCO Writing LI None Exchange Traded Funds (ETEs) 1988 10 $1,000,000.00 1,000 Alternative Investments (Hedge Funds, Private Equity) 1988 10 $1,000,000.00 1,000 Option Objectives (check ALL that apply) ik Income (covered call writing) 5E1 Portfolio Protection (protective puts) lel Speculation (option buying, spreads and uncovered writing) Client(s) Strategy Requests (Please check as many of the following strategies sought to be employed) 0 1. Covered Call Writing Moderate Risk. Calls fully covered by underlying stock. Stock may be called at any time or at expiration, requiring owner to sell at strike price. e.52. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date, options will expire worthless. Vi 3. Option Spreads—Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is dosed out. leaving only a short 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. 4. Uncovered Put Writing—Margin account and special statement for uncovered option writers required. Involves Substantial Risk. If assigned, the client must purchase the underlying stock at the strike price, which may be substantially higher than the then current market price Fe S. Uncovered Call Writing—Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. L have read and ell of the conditions and stipulations on the reverse side of this form in regard to trading in options and represent that raiding in op is suitable in of my investment objectives, financial situation risktolerance and knowledge 1hereby confkm that I am he source rid attest to the racy of the above information and authorize Deutsche Bank Securities Inc. (0851) to verify any representation contained mein. at its disc will promptly notify DBSI, in writing of any material change in the above-stated information. I acknowledge that I may fain an optiongCM ring corporation prospectus upon request I have received Options Clearing Corporation Disclosure Document entitled "Characteristics and Risks of Standardized Options" Signature 0ate RAMIODNYYY1 Print Name Date (MNI/D0TYYri) Client Advisor Signature CAR Date ' I Print Client Advisor Name ROP Approval Signature Print Name Date WM109768 010721.051018 Page 2 of 4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0078046 CONFIDENTIAL SONY GM_00224230 EFTA01380002