EFTA Document EFTA01296018

Deutsche ASSCT & Nflanagernen . Volcker Questionnaire (Thh fehicies The Client Rep is required to provide this questionnaire for any new WM client that is not a natural person. If none of the categorizations under Pan I or Part 2 applies to the new WM client the Volcker Resource will contact the business fine coverage lawyer. Name of Client: Butterfly Trust Part 1 Check the box if the person or entity for which the account is being opened, corresponds to any of the following classifications: A legal entity, for example a corporation or single-member LLC, that is wholly-owned by one person. x A family trust' that is established by a single natural person, by spouses, by several Family Members? ("Family Trust") or by such persons together with a Family Trust or Family Vehicle (as defined below) established by Family Members of the same family. A corporation, limited liability company or partnership that is wholly-owned by a single natural person, by spouses, by several Family Members ("Family Vehicle') or together with a Family Trust or Family Vehicle established by Family Members of the same family. If owned or established by related Family Members, the principals have described the relationship to among the Family Members as follows: An estate. An ERISA US Pension or Profit Sharing Plan (including any employee's stock bonus, pension or profit-sharing trust) which is a broad-based employee benefit plan that is qualified under Section 401 of the Internal Revenue Code of 1986 (excluding plans for senior executives only). or the foreign equivalents of such plans. A governmental plan which has been established for the exclusive benefit of its employees or its beneficiaries for the purpose of distributing the corpus and income of the fund accumulated in such plan. A charitable organization that qualifies for tax exempt status under Section 501(c)(3) of the Internal Revenue Code or that is operated exclusively for religious, educational, benevolent, fraternal, charitable or reformatory purposes. Foreign Sovereign Government. A non-US Entity that meets all of the following characteristics: — The entity is organized under the laws of a non-US jurisdiction: — Ownerstmembers are not US residents or citizens; — No US banking entity of Deutsche Bank is involved in the chain of sponsorship/ownership; and — The entity does not have a US registered Commodity Pool Operator (registered with regard to the entity). If any of the above classifications apply to this vehicle• the client Is out of scope for Volcker Covered Fund Determination. Skip Part 2 and proceed to Part 3 in this questionnaire. I "Family Truer includes trusts with the name of the natural person(s) or famay grantors. or the words, spousal. marital, testamentary, family, revocable. irrevocable, estate. living. charitable. residuary. dynasty, FBO, under will. supplemental needs. special needs, credit shelter. bypass. GST exempt or non-exempt, grantor. GRAT. CRtJT, etc. where there are multiple family members who are grantors. including where the grantor-beneficiary relationship is either lineal or nonarteal outside the lines of parents and issue). ' "Family Member includes any famay member (all lineal descendants (including by adoption, stepchildren, foster children, and individuals that were a minor when another family member became a legal guardian of that inckvidual) of a common ancestor (who may be living or deceased), and such lineal descendants' spouses or spousal equivalents. provided Mal the common ancestor is no more than 10 generations removed from the youngest generation of family members). Including former family members. WM157157 032873.120115 Page I of 3 SON N'S,At 00057473- CONFIDENTIAL - PURSUANT TO FED. R.QP . AIE I DENTIAL DB-SDNY-0020297 EF1'A_00168041 EFTA01296018 Part 2 is the vehicle an operating company which does not awn or propose to acquire securities' having a value of 40% or more of the value of its total assets on an unconsolidated basis? (Please note that the attached client certifications needs to be provided.) Yes, the entity is an operating company engaged in the business of and a client certification is attached No Part 3 Please contact pwmvolckerresourceClist.db.com Volcker onboarding approval of this vehicle if you — Did not check any box In Section 1. or — Checked 'no" in Section 2. If you either checked any box in Section 1 or checked 'yes" in Section 2 and have obtained a client certification, please attest and sign as follows: I attest that the above information is accurate and current and based on information provided to me by /Z. t K as contact for V-7-4- -e_r-c-L- s *Tr. SC It ( (t-az Stratum of Chant Ropeosontptive Dab Cynthia Rodriguez Name of Can Reptesents9vo 3 The meaning of 'security' in this context is broadly construed and includes, but is not Smiled to. stocks. bonds( other debt instruments. security futures. as well as any put. call or other option on any security- Value to total assets is excluding U.S. government securities and cash items. See end of document for Certification. Wtill S7157 02'2673.120115 Page 2 cd 3 ------SONY_GM_00057474 CONFIDENTIAL - PURSUANT TO FED. R.QP .NE I DENTIAL DB-SDNY-0020298 EFTA 00168042 EFTA01296019