EFTA01282494

Structured Products Agreement and Approval Form Please Complete Alt Sections Hviritni fitment Nam: G -023i,011 S :$1/4.7 \--‘6 '9_)J hpcIpti_ LL c_. Account Type Poi:m.OW amill Pm ;cm IK I snne,nb isale:t &Poway Cu. ptomain Oat:, rsir.ci:d NOTE: IRA and ERISA accounts are prohibited from purchasing Structured Products. Account and Owner Information: Provide requested information for wricli beneticial account owner ("Client"). If momMannth: owner e%ists. the Structured Products Agreement and Approval Suppiontentary Form to this Agreeinerit may be required. four: Mune m r es:. Middle. Last Name M Imienclua Tre.tce m ElitCleall G s-c6- .).) 6i oeccf-f) l- co occtww,v.ez R2 , --11-)Ot/NoIS Pion? US V‘Pz‘t. tsi,A.1.106 31.p T4-5- 2c)-11-3- 1,4-int41 Sul its Xlirtheai,; - 1.11.410O/YY let C rnt)So,,P, "S\ 3CriCC. Nit° /17 53 sG6F hwat, hickest Ncip\IC-, trre••If POSioon 11.)A k1O iNCoviCIK-s Own/e2- lid:ill:(S) O, D.:, :0640 oilierI n netouni OVir1:1(:, auil,ancd iaplace maws fa i he accome ?Mil-- ; DeateN) kwol)(6 Client(S) Financial Information Approximate Aggregate Annual Income of Account Owner(s) from All Sources Less than $50,000 550,000 - S99,999 .9100,000 - 5249.999 5250,000 - Se99,999 5500.000 - S999.999 51,000,000 - S2.499,999 52.500.000 - $4,999.999 [500.000 and °very wr:i rime SPN, 0MR oi I017.0330I7 ISMS Sources of Income (Approximate) Salary/Bonus 94 In ierest/Divid:mds IGO % Other (specify): Illumbm 01 oviwittlinti RIAsIV.APII00.• 340-in -252,5 Approt:intaie Net Worth Less than $50,000 550.000 - S99.999 S100,000 - 5249.999 6250.000 - $499,999 $500,000 - S999.999 $1,000,000 - 52.499.999 52 50n 9 999 Appro.:intake Liquid Net Worth Excluding Principal Residence Less than 550.000 550.000 - 599.999 5100.000 - 5249.999 5250.000 - 9499.999 S500.000 - 5999.999 S1.000.000 - S2.499.999 S2,500.000 - S4.999.999 S5.000,000 and eve' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000830 EFTA_OOI 486 I 5 EFTA01282494 Investment Experience of Account Owner(s) Year Average a Trades Average Size of Traded Per Year trades In Is Options Equities Fixed Income Commodities and Futures Structured Products OTC Derivatives Foreign Currency Alternative Investments (Hedge Funds. Private Equity) So Sc) iC 2sz:. 94 1 co icrt 199 \ Investment Objectives for the Client Account (Select up to two adjacent objectives): Capital Preservation Income Growth Os Aggressive Gm-vth Representations Relating to Qualification of the Client Check all that apply. At least one category must iaa I:flecked. Types of Previous DAtion Experience Covered Call Writing R Purchased Options J. Option Spreads tit Uncovered Put Writing d Uncovered Call Writing None I represent that Client qualities as an "Accredited Investor" as defined in Regulation O tinder the Securities Act of 1933 because Client is: • a natural persori with individual income exceeding. 5200,000 iiieach o: the two most recent years or joint income with a spouse exceeding 5300,000 in each ol those years and a I easoriable expectation of the same income luyel in the current year: a natural person individual net worth, or joint net worth with a spouse, OW!, 53,000,000. excluding INinwry reside, ice: a trust with assets in excess ol S5,000,000. not formed for the special: ern pose ol acquiring the securities altered, whose purchases are directed by a sophisticated person: a revocable trust that may be amanded or revoked ai any time by th“gianites and whet e alt of the grantors are accredited investors; a charitable organization, corporation or partnership wills assets exceeding 55.000.000: ttc a business in which all the equity owners arc accredited investors: a bank, savings and loan association, registered broker or dealer, instil slice company, registeied onottslmoni company, business development Company or licensed smell business investment company; an employee beneiii plan, within the meaning of ERISA, if a plan fiduciary that is a bank. insurance company di • egistared investment adviser makes the investment decisions, or ii the plan has over 1.5,000.1.00 in total cISSCiS or a selkhretied plan with investment decisions made solely by accredited investors: a plan established and maintained lay a state, its political subdivisions or any agency or mstrumeolohly thereoL lot du benefit of its employees with total assets in excess of 55,000,000: or a director. executive officer or general partner of ihe issuer of the secvnties Wing odiaed. 1"/.11P41)1: v.PAA I MlS1 an till 7 I / CONFIDENTIAL SDNY_GM_00038007 CONFIDENTIAL - PURSUANT TO FED R GRIM. P. 6(e) DB-SDNY-0000831 EFTA_0O1486 I 6 EFTA01282495 Representations Relating to Qualification of the Client (Continued) I represent that Client qualifies as a "Quakfied Purchaser" as dearer' lathe Investment Company Act of 1940, because Carer Is' a natural person (including any person who holds a joint, commie tiny property, or lathy sinYfar silo. ed ownei ship iriellIbt in an issuer that is excepted under section 3(c)(7) with that pet soi cofiddled puiChaSei spouse) whO Ow is lie: th. fa S5.000.000 in investments; any person, ;reline ;or its own account or the accounts of other iambi ied purchaser;. who in the aggregate WAIN ZOO heelers nn n discrationan; basis. not less than 325.000.000 in investment:. 'V a company that owns not less than $5,000,000 in investments and that is owned directly or indirectly by or for 2 nr aims, (neural persons who are Mated as siblings or spouse (IndUding (miner spouses), or direci fetal descendants by twin or adoption. spouses of such persons. the estates of such petsons. or ioundatione charitable organizations, or mists established by or for the benefit of such persons; or a trust Mel is not covered by any daiinition above, and that was Mil fanned (in the SSICcifiC thelhne of nutlet ing the securities offered, as to which the trustee or other person authors'. it to make decisions with cosi era to the Rusk:est each settler or Other person who has contributed assets to the trust. is . 'teflon described in any dela Slier is above. Client(s) Strategy Requests. Please check as many el the following strategies rStructuied _products, as May apply. With rill Structured Products, in the event of earlyliquidation. there may not I .• a liquid market, and 110 I I .11Vaglfli li•CS due to costs involved with unwinding the investment. Furthermore, fit vStuis are e.IpoSed to the credit risk of the issuing erode. which in the case of a default, may result in a signiticant, or total, hiss Ilk the investor. 0( I. Principal Protected Structured Notes and Certificates Of Deposit- '4M-100% Principal Protection which flay result in lower returns than a direct investment in the underlying. Investor riegiesslands that principal is protected only it held to maturity anti that FDIC insurance applies only to Mark:it-Linked Certificates of Deposit up to the statutory hook. ky 2. Buffered Notes—Partial pnncipal protection (usually protection from tlx: first l0cr2flt decline at the weledwocaWill..h5liveS as a but he. to loss. Investors participate in die downSide.eithet On a 1-fre-1 or leweagal hasis, in the annum theunderNile deClineSbeyOnd the predalel I indeed butler level. Uppde p3 11c1polio(In lite ulster h ilei may belevaaged and es sornetimas canoed klc 3. Contingently Protected (including Reverse Convertible and Callable Yield) Notes—Full Principal Protecteel only if a imp-set harrier is not breached. If a barrier is breached. investors would lose ihe level of protection and pal trcipate in am :tickle in the underlying, ii any, ah maturity. Structures include bur are not limited to those that pay investors a fixed coupon payment, participation in upside if are underlying peribmis positively. a both. The investor acknowledges dint settlement at maturity may be In the torn of cash or physical delivery of the underlying. K 4. Market Participation Notes and Warrants—Zero principal protection. Full downside participation. MPNs may be linked to one or more underlyings in the form of a weighted basket or overlay and may be customized to offer suaight 1 for 1. or varying degrees of upside participation, leverage or a fixed coupon. Investors in MPNS seel: tiCCOSs to an underlying which is generally complex and which may be inaccessible to them in the market. DB and third parry proprietary indices we typically used as an underlying. Warrants may be lirezed to hedge funds. mutual fundn, basket of funds as wall ifs obtlividual stocks and may lose full value or all premium paid if the price of the underlying asset does not r ise. The following representations are applicable for an individual account. II this is a met. I rust. partnership. limited liability Company, corporate or other type of account, the word .1- in the following paragraphs shall mean each owner in the crhe of a joint account or the authorized signatory making represent atitiriS On beliall of the tiust. partnership, limited habilily company or other entity in the case of such account type. as the case may be. I represent that the purchase of Structured Products is suitable for my account in light op my investment objectives and experience, financial situation and risk tolerance. I have made my own decision to uuti2e Structured Products for my err:is:int based upon my own judgment, adequate Information I have independently obtained (from sources other than Deutsche: Bank) regarding Structured Products and consultation with my own advisors to the extent I have deemed necessary as to the legal. regulatory, lax, business. financial, accounting and related aspects of my purchase ul Structured Products I undo' stand that Structured Products may contain a derivative component in the form of one or more embedded options, and that such option(s) may have the result of reducing the gains cii interest income, or inci easing the tosses (which may include a loss of principal) on the Situciteed Products. whether held to maturity or sold prior to maturity, to a greater extent than would be the case if the Structured Products did not contain such a derivative component. I also understand nut Streamed Products may lose their capital preservation features if sold prior to maturity. Finally, I understand the investment risks associated web Structured Products. including but not limited to issuer credit risk, market risk and liquidity risk. l0 hie extent permitted by applicable law and rules, t author ere Deutsche Bank to acquire and dispose of Shinto, ed Ploducis tor my Account. I acknowledge and agree that when Structured Products' arelitilaW fur my account Deutsche Bali. 'boy 0) Atom, : in to lie' Ir J : I pay Dill ;the tt\rip leo rolvia 'nut 1, 4 1 ''P ar wen (i)).• • .4. I 311/lit i:•11•41•si hoot r...: ' .hip.liend I 5.•Ittl .4 Ile • h.louni /Nth's, 0.1 ,4Di 101:84111.1•:•ip• L. Is* • •is .1 nl issI Wilts.1O Psis, a lir 1 :•111!. - •lidMint • ji; lAYbAIWAIIIIII*1 I 'E..). I CONFIDENTIAL .30NT_GM_00038008 DB-SDNY-0000832 EFTA_001486 17 CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) EFTA01282496 I ages: that I will read catelully any pinspectt s. 'et m sheet and tray timer olio, lag do eintiedt (any :40,11100NrCips. WI III sheet or oNericrg rtocuirient. an "Offering Document') that I may lett sve in connection with tile acquisition of Joy SIfLiClUff:CI Product Inr my Account, including disclosures in any such ONering k destribing the lees I may pay el COIll ket:11011 WW1 tlx: Structured Product as well as representations and warranties line: t vnll be eleernial to have made in conner.iioc twit the acquisition of the Structured Product. Qualified Institutional Buyer represent dial Client qualifies as a "Qualified Institutional Buyer as rle(ined below. R(i) Any of the following entities, acting fot its own account or Ilw accounts of other teethlied mstutiiiinnal bier:es that in 11w aggregate owns and invests on a discretionary basis at least ar ft& IMMO.. in securities of issuers tint ate not °Whaled with the entity e (A) Corporation. etc. A rot:caration (either than.: hank, savings ir id Wait tic sin hen iiistitiitioit relcrncd win (ii) below). partnership, Massachusetts or similar business trust. organizzionii descrWed m Settee 501(cX3) of the Interact Revenue rate, Smell Business Development Company licensed by the: I S. Small Business Admingsualton undo, Section 301(e) or (d) o1 the Small Business Investment Act of 1953. or business development company as defined in SOCIi011.1020)(22) of the investment Advisors Act of !940: or (B) Insurance Company. An Insurance Company as defined in Scction 2(13) of the Act: or (C) ERISA Plan. An employee benefit plan within the meaning of f Ne I of the Employee Retirement IncomeSecurity Act of 1974: or (0) State or Local Plan. A plan established and maintained be a matt:, its political subdivisions. cm any agency a' instructediality of a state or its political subdivisions. for the bete ii; of us ernitinYccs:ol (E) Trust Fund. A trust fund, whose trustee is a hank or trust. whose participants are exi. kis' vely plans speciftedet subparagraph (C) or (0) above (but not 'petering Trust funds havaig IRAs or Keogh plans as Isar ocipants). (F) Investment Company. An investment company registered wide, the investment Company Act of 1940 a. any tiotanni.s development company as defined in SeCti011 2(a)(48)ol that ALL 04 (G) Investment Advisor. An investment advisor registered uncles the Investment Advisors Act of 1940 (ii) Bank or Savings and Loan. We area ban:: defined in Section 3(a)(2) of the Act. a savings and Wan associatioti or other institution ref et enced in Section 3(aX5XA) of the Act, or a foreign bent. ni savings and loan association or equivalent institution that in the aggregate owned and Invested on a discietionai r basis, for out own account and the er.courtis of ()the' persons, at lease the amount of securities specified below (nor less Mail ≥3.00 million), calculated as provided in Rule 1.14A, as of the date specified below and had an audited net worth of at least $25 million as of the end of nun most recent fiscal year. (This paragraph does riot include bank commingled funds, incept as noted in OXE) above.) (iii) One Of a Family of investment Companies. We are an investment company registered under the Investment Company Act of 1940 that s pan of a "amity of investment companies-. as defined in Rule 144A, that owned in the aggregate al least the amount of securities specilieci below (not less than 5100 million), calculated as provided in Rule 144A. as o: the date specified below. (iv) We ate a dealer registered under Section 1.5 of the Secerhies Exchange Act oi 1934. and we are cote tit the following (A) Dealer/QIB. We owned or invested on a discretional,/ basis. for our own account and the accounts of ollherpersos gm the an least the am t:d ount of securities spo ied below (nut less than lc SIO oration), calculated as provided in Rule 4411/4 its date specified below. (B) Dealer/Riskless Principal or Agent. We are acting either on a tiskless principal basis fin simulteneous resale to a qualilied institutional buyer or as agent for one or more qualdied institutional buyers. Iv) Entity owned by Qualified Buyers. We are an entity, all of the equity owners of which ate qualified institutional buyers (each t satisfying one of O) thiough (iv) above including as applicable ilie $1(10 nutliou test). In calculating the amount of securities owned or invested:. Val/Well Sted.nesttil lel /IF Oil SDNY_GM_00038009 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED R GRIM. P. 6(e) DB-SDNY-0000833 EFTA_001486 I 8 EFTA01282497 By signing below, I hereby confirm that the representations made in this Structured Products Agreement and Approval Form are true to the best of my knowledge. Client signature block:* t act sf Axnast SIsAttitt .Sint.: fitriv Saris, Doe 9! I his is a joint account nli joint account holders mast sign The following signature block should be used for a Trust Partnership, limited Liability Company or Corporate client. pita GI ACCOult sou-r\-1E.ew BFI Saytttzie 1,3c.krAL L_Lc. 't tie Y% Y t 1° 111 }q Mims/ —3-C-c-ca•- \ \ je:e sret If this is a trust account chedc anp:opriate 'Trustee Co-Trustee For Deutsche Office Use Only loves it\ \"ificc itnt tniestintits ' stNasisi "Sas HuAA StioskAA/ m3-NriAtip..sSana:uce st Sianteues,----- .\\___ helm Mse...-otif Date 0/2-3/(1- Oste Please submit all completed and fully executed forms to Compkance via NetX360. "Deutsche Batik" means Deutsche Bart. AG anti its afiliatvd conipanivi. Deutsche !lank Wealth Management represents "Nardi management activities conduntect by Deutsche Bank AG or its stitisitheries. Brokerage services are altered through Dr.urscho Bank Securities Inc.. a isoket-dealer and registered investment adviser, which cohtlucts imiesiMent banking an sccurifoz activities in ti's: United States. Deuische Bank Securities Inc is a member of. FINRA. NYSE and SIPC. 2.): 7 Dirutsttio Wok AG SA istits hisso.est Vitil Min S9AA SOS: 0110:,.044017 CONFIDENTIAL SDNY_GM_00038010 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000834 EFTA_00I 48619 EFTA01282498