EFTA01453157.pdf

Are you an employee or related to an employee of Financial Industry Regulatory Authority/other self-regulatory organization? ❑ Yes ❑ No If Yes, list person and organization: Is any owner now, or has any owner ever been, a senior corporate officer or director, or does any owner own 10% or more of any publicly-traded company's stock? ❑ Yes ❑ No If Yes, provide name of company, publicly traded symbol and affiliation date: 3rd Authorized Party's Personal Information Name DOB. SSN: Legal Address: City. State' Zip/Postal Code: Country: Country of Citizenship: If not U S. (check one) ❑ Resident Alien ❑ Non-Resident Alien Employment Status: ❑ Employed ❑ Self-Employed ❑ Retired ❑ Unemployed ❑ Homemaker ❑ Student Occupation and Position: Employer's Name. Employer's Address: City: State: Zip/Postal Code Length of Employment Home Phone Number: Business Phone Number: Email Address: 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 IS investing of any per year) transactions transactions transactions I por year) per year) Equities Options 1 Fixed Income Mutual Funds Exchange Traded Funds (ETFs) Variable Annuities Real Estate Property (excluding Primary Residence) Alternative Investments (Hedge Funds, Private Equity) Structured Products Foreign Currency i I Are you an employee of Deutsche Bank (DB), its subsidiaries or affiliates? O Yes O No If Yes, list name of DB employer. Are you related to an employee of DB. its subsidiaries or affiliates? ❑ Yes O No If Yes, list name of employee/relationship/name of DB employer. Are you an employee of another broker-dealer? ❑ Yes ❑ No If Yes, list name of broker-dealer. Are you related to an employee at another broker-dealer? ❑ Yes ❑ No If Yes, list name of broker-dealer/name of employee: Are you an employee or related to an employee of Financial Industry Regulatory Authority/other sell-regulatory organization? ❑ Yes ❑ No If Yes, list person and organization. Is any owner now, or has any owner ever boon, a senior corporate officer or director, or does any owner own 10% or more of any publicly, traded company's stock? ❑ Yes ❑ No If Yes, provide name of company, publicly traded symbol and affiliation date: 5 12-PWM,0355 011224.091212 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0110610 CONFIDENTIAL SONY GM_00256794 EFTA01453157