EFTA01387363

Investment Experience of Account Owner(s) Options Frailties Year First Traded act SC) Average a Trades Per Year ca- cL) Averaee Size of Trades In $ Fixed Income 1115' %Ile\ Commodities and Futures Structured Products (filo apocz> ic) 2c) C1M1 31'44) OTC Derivatives Ink Foreign Currency ri So 2.0 p\r, Alternative Investments (Pledge Funds, Private Equity) i99 cf\i) Investment Objectives for the Client Account (Select up to two adjacent objectives): Capital Preservation Income Growth tit. Aggressive Cie eve" Representations Relating to Qualification of the Client Check all that apply, A: least one categthy must he checked. Types of Previous Option Experience i Covered Call Writing Purchased Options uR Option Spreads tln Uncovered Put Writing 4 Uncovered Call Writing None I represent that Client qualifies as On 'Amedited Investor as defined in Regulation 0 under the Securities Act of 1913 because Client is: • a natural person with individual income exceeding 5200,000 in each of the two most recent years oriole% Income with a spouse exceeding $300,000 in each of those years and n iseksortable expectation of the same income level in the current year; a natural person with individual net worth, or joint net worth with a epees°. over S1.000,000. excluding pi levity residence; a trust with assets in excess of $5,000,000. not formed for the spathe!: purpose of acquiring the securities *Menet whose purchases are directed by a sophisticated peoton: a revocable trust that may be amene Ad or revoked ai any lime by the granters and where all of the grantors are accredited investoss: a charitable organization, ca potation or partnership with assets exceeding 55.000,000; VI a business in which all the equity owners are accredited investors; a bank, savings and loan association. registered broker or dealer, insurance company, registered investment company, business development company or licensed small business investment company; an employee berry. fit plan, within the meaning of ERISA if a plan fiductaiy that is a bank. insurance company or tegatered investment adviser makes the investment decisions, o f if the plan has over .15.000,000 in total assets or a self•direcied plan with investment decisions made solely by accredited investots: a plan established end maintained by a state, its political subdivisions of any agency or instrumentality thereof. for the benefit of its employees with total assets in excess lei $5,000,000; of a director, executive officer or general partner of the issuer et the securities twang offered. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0089836 SDNY_GM_00236020 EFTA01387363