EFTA Document EFTA01283069

• - Deutsche Bank Private Wealth Management Option Agreement and Approval Form Please Complete All Sections Account No Account Name Jeepers Inc. Account Type 91142_ Account Registration Entity cp Managed Account 0 Discretionary Account 0 Other Name(s] of person(s) other than account owner(s) authorized to place orders for the account.' Jaffrey Epstein, Harry Beller, Jeanne Brennan Account and Owner Information (Provide requested information for each account owner ("Client"). Attach supplement to this Agreement if necessary.) Name Jeeps= Inc. Address St. Thomas, 00802 Virgin Islands Country Phone Employer NA Number of Dependents NA Mantel Status NA Bohdate Business Address Type of Business Position Present Brokerage Accounts with: norgan Doe9 the individual or entity that controls this account have the power to controf any other Option Accountts) with Deutsche Bank Securities Inc.? gl Yes 0 No If yes, please provide the account number(s). Will Provide List Business Phone Years Held Clients) Financial Information Approximate Aggregate Annual Incdrne of Account Ownerls) from All Sources Sources of Income (Approximate) Approximate Aggregate Net Worth o I ess than 350,000 Salary/Bonus so % aovisaneri tin wont, Loud Her Wenn posarg_eregas use.. 13 Z0,000 - $99.999 tnterest/Dividends % 0 Less than $50.000 D Less than $50,000 so ED $100,000 - 3249,999 Other $50.000 -$99,999 US50.000 -199.999 lal eS250.000 -3499999 (specify). _J $100.000 - $249999 ustoo.000-$249.999 3500.000 - 5999.999 % 0 $250.000 - $499.999 05250.030 -$499.999 $1.000,000-$2,499.999 % 0 memo - $999,999 0 ssoecioo - ta99.999 $2.500.000 - $4.999.999 % D sim000- $2.499,999 lul stet:woo - $2.499.999 0 55.000.000 and over 0 92,500,000 $4.999,999 032.501000 $4.999.999 0 $5,000,000 and over 0 $5.003,000 and over Investment Experience of Accotnit Ownerht) Your First Traded Average a Trades Per Year Average Size of Trades In S Average Sue in Swett/ Ceramists Options 2003 10 91,000,000.00 1,000 stocks 2003 10 $1,000,000.00 1,000 Bonds 2003 10 $1,000,000.00 a. 1,000 Commodities 2003 10 $1,000,000.00 1.000 LIMO Stock Index 2003 10 $1,000,000.00 1,000 OIC Derivatives 2003 10 $1,0432,000.00 1,000 Structured Products 51,000,000.00 1,000 Other (Specify) Types Of PION 040$ Option Fmerionce E ., Covered Cell Writing Purchased Options IA Option Spreads [2 / Uncovered Put writing Uncovered Cal Writing 0 None Deutsche Bank Securities Inc.,a subsidiary of Deutsch Bank AG. conducts invOsIMer I banking and securities activities in the tinned States. III INIM T1 co-Nat-or27 OM 14 (05/11) 000404 052711 CONFIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P 6(e) 06-SDNY-0001565 EFTA_00149350 EFTA01283069 . . . •. Option ObjeGiant (check ALL that apply): 0 Income (covered cal writing) PA Portfolio Protection (protective puts) 0 Speculation (spreads & uncovered writing) Chiantis) Strategy Requests (Please check as many of the following strategies sought to be employed) 0 1. Covered Call Writing Mparet0 Rick Calls fully covered by underlying stock. Stock may be caged at any time or at expiration, requiting owner to sell at strike price. 10 2. Purchasing Options involves Substantial Hi.* Entire premium is at risk. Profit or tom usually determined by selling position. If position is not dosed of exercised by expiration date, options will expire worthless. III 3 OPtion Spreads — Margin account required. ieyebaSubsortiaLBiNs. .n addition to risk of purCbasing puts or tells. if long side is cosec out. leaving only a short position, the financial risk becomes unlimited. Option assignments require purchase el the underlying stock in the open market to effect delivery to purchaser Cl option. 0 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required. Involves.Substenhal Risk. If assigned. the chant must purchase the underlying stock at the strike price, which may be substantially higher than the then-current market pica. k.! 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. InvelvesSpbstaitial Risk. Writing uncovered calls twelves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect ddivory to purchaser of option. I have read end in options is natal)* attest to the accuracy verify any representation above-stated information. I have received Standardise ;Sipnetf' understand all of the conditions and stipulations on the reverse side al this form in regard to trading in options and represent that trading in light of my investment objectives. financial situation. risk tolerance and knowledge. I hereby confirm that I am the source of and of the above information and authonze Deutsche Bank Securities Inc. (also referred to heroin as "Deutsche Rank Alex. Brown, to contained therein, at its clbereliOn. I will promptly notify Deutsche Bank Alex. Brown, in writing. of any material change in the I acknowledge that I may obtain an options dewing corporation prospectus upon request. and read the Options Clearing Corporation Disclosure Document entitled "Characteristics and Risks of lions." ,Date' 471 5/ 3 Signed Date Print Client Advisor Name -Tito CA # I 2- i S Client Advisor Signature Date RCP Approval CC(-- Oate A r OPTION DEPT. APPROVAL: RCM' g‘,Covered Call Writing DA It COOITylilS 10 Purchasing Options --22a-1g 1 -trZ)— li bcOption Spreads Tit-- Se Uncovered Put Writing efUncovered Celt Writing Irian-air-an Oki t4 (05/11) 006404.051011 SDNY_GM_00038742 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P 6(e) DB-SDNY-0001566 EFTA_00149351 EFTA01283070 Disks, TtrOhibiliont and General Information Concerning Option Trading understand that options transactions involve a high dowse of risk std offer no guarantee of gain er atsuraa against las. Accordingly, I weestand that pee to engaging in any option transaction I should review my presage financial siltation and determine whether his achisable to Incur the risk of loss associated with that parties Investment. I latent-sal at when I engage enggp'n Oaken trading I expose myself to cedes. potentially substantial Nuncio( risks In addition to thee. identified on the front side of this form Le/der the hearing -CI•entte) SeetoW Requests; aiding but not listed to the following: — I understand at I ShOuld not buy an Option unite I a able to sustain a totalled of the premium and liamaction oats — III sell bwile) coveted citrons, I understand that I may forfeit pare ipetion as capital gains but retain tisk of palladia in capital losses le the oaderlYing setae I untested that if an exercise is assigned to me. I may be forced to liquidate my position in the undedyng sea ray at a Mt Whitt. May be untredable to me. I also understand that I should not sell Mee) a coveted cal opts n urdess I am prepared to dad the undedang SetuaN lor a as came .ble nentlerrahte, a erCeedatae into such underlying security) upon the exercised the open. — If I sell erne uncovered (naked) Options I risk substantial capital loss if. arc to IM extent that the marked price of the unekelYing security increases above the strike Ma Secs or deacons below me strike price claw. If an exercise is assigned to me. it will, in all latellhOOd, be at a lime vaidi veil bee me to ASSrane such a capital la. I understand that I egad net sell (write) A put option or an uncovered eau option, cooecisily an inch option. unless I am ate to abstain potentially unlimited kisses. — lam aware that various factors may affect the price of an option contract, such as the relationhip between the exercise prim and market lateen of the Underh'Intl security. Me erne period remaining unul Me option expire, and the price lbctuata a other chatactestics of the underlying security. — 1 am aware that the respective Option ttrchamps I-Exchanges') may, in their discretion and from time to time, restrict eareactions in particular option a the anise ocean contracts in the interest of maintaining a fair and orderly marked in option contracts es in the underlying security, tot the protection d ataxia I understand that I may not et ulic (Goose a position in the eves Malawi:nary market in the Nylon mann to extra or tae list no exchange reateCla or suspends liana in eon option. — I am aware that the Exchanges have established restrictions on census opening purchase and sale naneactions on the Exchanges %etch Me considered to be winced options. 2. I understand and agree that my atm with Decade, Rank Sagas Inc (also referral to Mein as -Cada Bank Alex &own-) will be aka in necoanoe with the skies of the Financial Industry Regulatory Authority (-FINRA, and the &da ta on which lad options are traded and of the Optima Caring Corporation as teased in as era:erectus. Ian, aware ol and agree to he bound by such nice. fl accordance with such nes: — I will net attempt to acquire al any tire other by Myself a in minced with dark a posinen in tows, of the tents pr crib front time to time by the Exchanges For the purpose ol computing such has. I uncle/stand that teal long call options and short put option of the same and stock mutt be added tocompute the position Somilarty. otai long put Mans and shun call Wiens of the same undadying stock must he added to tempos the position — IMO not attempt to exeride other by myself or in concert with others. during any odiad ol five cordecultre business days. a quantity in excess of the kat prescrioce by the Exchange- — Understand that If Sound in violatron of either the potation limit ne the lama lied low be subject to samba imposed by the Exchange Involved And that these sections may include liquidation of the positions in violation. 3 I undated Mal Deufarlhe Rank ax Brea has policies which may lie meta restrictive than et impose valetas:04Mb in elation to 'boos ni the &chain. RNRA of the Now York Stoll Exchange. I agree to abide by such policies as a conceders of doing business with Deutsche Bank Alex. &own. I understand that these policies include but an: not limited to the following. — Settlement date for all option trades is the business day following trade date. NOMA hstanding this provision, Deutsche Bank Ales. Brown may. In its discretion, elect not to accept praise oars in options unless cash equal to the purChese price has first been deposited in my account and may elect not to accept opening sale odds an options animate/Ye first deposited in my account ether the cosi std moils, or unrestricted negotiable shares of the taxinlying stock In en amount specified by Deutsche Bank Alex. Brown. — Mutate Rank Nex. Brown may refuse orders to bade COSA in my amount if there are ntranctionS againSt my account, including rest icuons regarding trading in the underlying asteuelty, ne for any other meson. at its &moan. — Deutsche Bank AMA. Bran has set trading and exercise dream which tothkiPeed to enders established by the OCC and will accept no re ponality ler completion ol ceders entered by derma utter such deadline — Mart in, oat in royal or sounities. posted by me against short cyan paeitionS, may rid bo Included in my nurse account equity °flared ocenlarlatirsts Deutsche Bank Alex. Droves may. in ha use these deposits to secure said short onans with the OCC. — Option exercise notices assigned to Cautsche Bank Alex. Brown in respect of a short positron in option contracts in customer accounts shall be allocated to customers of Deutsche Bank Ales. Drown on an anima moan hesis. I understand that it ssignedt the aStarnlent will be Preatraed sate° (in the Oa deceit) a a purchase lin die as of a pun, settling two business days from the date of assigatett (except for noneguay options. which settle for cash on the day of assignment) and that I am obligated to deliver Ow underlying stock or rated cash to Deutsche Bank Ale Brown no later than settlement date 4. 1 understand that main regain ents exist in connection with certain options salaam to meet al margin calls as made by Dessacha Bank Plea. Brown. I understand thel Deutsche Bank Alex. soon in computing the sego requirements for option weiliDAS. may impose a higher margin rearernent for awed ODOM Positions than other investment firma and that Dana* Bart Nes Drown we inform me 01 its existing maegin ma:Memento for option patens upon request n the event I do not meet margin rags promptly, Deutsche Rank Ala Blown is authorial. in its ode dasetion and without notification to the, to take any and all step. necessary to saws itself in CentioCb011 with put anctlei call transactions made ler my account, edam the tight to buy ander sell eon, or shed react for my edetiiint and risk any Pan a +claims share tee-sena by options endorsed by Deutsche Bank ides. Brown for my account, or to buy to my acitiount and risk arty puts an&or calls as Deutsche Bank Afes_ Brawn may deem necessary to its protection. I further agree that any and al eaponses floated by Deutsehe Bonk Alm. Brown in UM tenreee00 was be reimbursed by 5. This agreement shell apply to all option orders for 'near account, rather or not such orders am executed. 6 Understand that options may be teen on one or more Exchange and that a no Exchange is speceed by me. Deutsche Bank Dec Brown a use as chadion in muting my Orthrta/, 1 thereby authorize you in vow sole *scram and with nehlk:atrOn to Ma le in the event of my death, without radiation le representutives of my estate or to my heirs1 whenever you deem it necessary for your protection, to take such action, Including. without Imitation, to buy. sell or sell short for my aeceurels) and irty risk. puts, Ca or ad ferns al pitons area to buy, sot or bell Shed OM Part or all of the ontlefiyin0 seance represented by 0000ne endorsed by Wel for net accounted. My and all expenses, tautens" without limitation attorneys' foes and thew tuabOnatAu Msbursements, lamed by you in connection with suds transactions will be reimbursed by me or by my 'State 8. You et older no obligation to canny to me Orly inkrinaben relating to the unclerlying soiureeS covered by an option or any securities related thirtsa or any rtformatien :elating to oppose whether suds information is then or area? Wean or available. Any inlormation, advice of notification in respect to any option or any alloying securities at aunties relating thereto which you rnay give me and which au ate not required to give by the terms of this agreement a any ad agreement. expressed a she not be anotfuod as patting en implied utreernem or worn of dealing between us see t nal not mean the prawns or this or any other agreement between is. 9. Ile agreement and its awe( nee sea be governed by the laws of the State of New York and its provisions dal be continuos:Si shall WWI all optics transactions Snow whether you am acting as broker et principal and all accounts, individually and nellectiintY, which f may open d reopen with Wu: sheet inure to the Ismail of your present organisms. is successors and assigns: and shell be binding aeon rne and my estate...at:tots. admiriatralors and means, but his assignment ens release me Ian any of my obligations hereunder. Written notice of revocations of this agnomen* shall not release tenor of us from any obligations hereendet arising price to the ache receipt Of NM White by the other. 10 Whenever any law or regulates i5 adopted which affects a is imonsigent with any provision add, suds provoion shall be deemed modil led a superseckid. as the case may be, by Nadi law of regastiom and such provisions as so modified or superseded and all ether provisions hared ahil in at respects continue in NH force and effect. AV other summand existing between ma or Maher made aide by their provisions apply to any of my transactions and accounts with ace. shall be at:00W o any of my options transactions and accounts Where they we not in conga with this agreement Should such a Mai ea it shall be resolved in favor of this agree tint. Otherwise, the area of each agreement snail be applicable. II. As used heron. -r and 'me" refers to all account owners. "Yet' and -your rats to Deutsche Bank Alex. Ekown. Please Initial Help: 2/ OM 14 (05d1S) 006404 051011 7 SDNY_GM_00038743 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001567 EFTA_00 149352 EFTA01283071 Special Statement for Uncovered Option Writers Account No. Account Name Deutsche Bank Alex. Brown A Ow, Ca d Oeutsclw Sank Sncvetaft, Jeepers Inc. There are special risks associated with uncovered option writing which expose the investor to potentially significant loss. I understand that this type of strategy may not be suitable for all customers approved for options transactions. I also understand each of the following: 1. The potential loss of uncovered call writing is unlimited, since there is no upper limit on a stock's price and the loss to a writer of an uncovered call equals the Stock price minus the exercise price. The writer of an uncovered call is in an extremely risky position, and may incur large losses it the value of the underlying instrument increases above the exerase price. Such a loss can exceed the equity in the call writer's account. 2. The potential loss from writing uncovered put options is also substantial. The writer of an uncovered put option bears a risk of loss if the value of the underlying instrument declines below the exercise price. However, since stock prices cannot be lower than zero, the maximum loss is equal to the strike price of the put sold loss the premium received for that put. Such loss could be substantial if there is a significant decline in the value of the underlying instrument and can exceed the equity in the put writer's account. 3. For combination writing, where the investor writes both a put and a call on the same underlying instrument, the potential risk is unlimited and con exceed the equity in the option writer's account. 4. Uncovered option writing is thus suitable only for the knowledgeable investor who understands the risks, has the financial capacity and willingness to incur potentially substantial losses, and has sufficient liquid assets to meet applicable margin requirements. In this regard, if the value of the underlying instrument moves against an uncovered writer's options position, tho investor's broker may request significant additional margin payments. If an investor does not make such margin payments, the broker may kquidate stock or options positions in the investor's account, with tittle err no prior notice in accordance with the investor's margin agreement. 5. The option writer may not be able to rely on the secondary market. if a secondary market in options were to become unavailable, investors could not engage in closing transactions, and an option writer would remain obligated until expiration or assignment. 6. The writer of an American-style option is subject to being assigned an exercise at any time after he has written the option until the option expires. By contrast, the writer of a European-style option is subject to exercise assignment only during the exercise period. NOTE: It is expected that tho person(s) signing below will read the booklet entitled Characteristics and Risks of Standardized Options available from your broker. Partieular attention is directed to the chapter entitled "Risks of Buying and Writing Options." This statement is not intended to enumerate all of the risks entailed in writing uncovered options. I have read and understand the above statement regarding the special risks associated with uncovered option writing and represent that such trading is suitable in light of my investment objectives, which include speculation, as well as my financial situation, risk tolerance and. knowledge. I understand that you will rely on the representations I have made herein and in the Option Agreoment and Approval Form I provkied to you in determining whether to approve my account for the options strategige I have elected and I hereby certify the truth and accuracy of such statements. Signed Signed Date Signed Date Signed Date Signed Date Approved for: Clipiovered Calls ROP/Maneger Approval: Date 7447 , 1 08.08AB 0126 OM 14 A woe) SONY_GM_00038744 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001568 EFTA_00 149353 EFTA01283072 Joint Account Supplement to Option Account Agreement and Approval Form Acco‘nt No 1.4°°241" Account Name amnia' Deutsche Bank Alex. Brown A0.~ a es••••••• h.,. Second Account Owner Personal Information: Name "m in .Mn "MO vain ra Home Andress s. The VI 00X0.1341 Home Phone Number of Dependents Mental Stews _ Batt:date Ernimani Sea/mein Fmandes.LLC Business Address Tyco of Business n "" Si 11~ V( ODICEM Business PhOre 340 33525:5 PoSiti0n Years Her Present Brokerage ACC0unts web. Dees Misr-inner have the power to centred WY other Option Aepoundst with De‘secte Bank Securities MC.> 0 Yes DNo II yes. ~se provide the account numberfel: Ph*" 343° M ira " Third Account Owner Personal Information: Name Suer Home Addrese ~Yeti. r014]4114 raid V.nW Home Phone. Walter et Dependents _ Marital Status _ Employer Soviiwn ;mono tic Business Phone Business Addressal ibtera. "wane Type of Business Fee*" Proration Births» IMMEI Years Held Present Brokerage Accounts with. DOGS this owner have the power le ~id any other 00lion Acawnt(sl with Deutsche Bank Securities Mc.? afros QNo II yes, please provide the account numbensi P",* ere. ssm• bolt Fourth Account Owner Personal Information: Name Home Address Homo Phone Number nl 0r:penitents _ Marital Status 0athdaw Employer Business Address Type of Business Present Brokerage Accounts vnth: Doos the myna hove the power to coned any other Option Accounts) with Deutsche Bank Securities Inc ®Yes ONO lives, pose provide the account numbed* Business Phone Positron Years Held Fifth Account Owner Personal Information: Name Home Address Home Phone Number of Dependents Marital Status Binhdate EmPloYer Business Phone Business Address Typed Business Positron Yeats moo %salt Brokerage Accounts with: Does this owner have the power to control any other Option Accounts) with Deutsche Bank Socunbes Inc DYes CiNo If yes. please provide the account ^embark!' . VII I os aawu Mt OM u. B di tAti SDNY_GM_00038745 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY•0001569 EFTA_00 149354 EFTA01283073