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efta-efta01481136DOJ Data Set 10Correspondence

EFTA Document EFTA01481136

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DOJ Data Set 10
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efta-efta01481136
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EFTA Disclosure
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3:P. Morgan Entity Account Application 4,1-7g.iio 2.4 5 C/(191600 Morgan SP A. Entity Information Typeof Business CONSULTING Date of Incorporation/Organization 11/18/2011 Country of IncorpOration/- Organization ST THOMAS, VIRGIN ISLANDS Primary Authcwiied.Contact P RICHARD KAHN phone 212 971 1.306 .1,1001ephoee. 917 414 7584 Mailing Acldreas 4 61100 p3 City 11104 4 3 country 1.45 0060A-13'15 zip Email Address B. Account In ormation Title of account/Name of business: SOUTHERN TRUST COMPANY, INC. Corporation 0 Partnership CI PIC/PHC 0 Sole Proprietorship 0 Endowment Cl FOundatiOn d limited Liability 0 Limited iiPibility Is the entity Non Profit? la Yes Company Part:nership I have applied to Open the following accounts: Chetiting Account 0 MoneY Market DepotitAccount/Savinga 0 Investment Management/Third Party Manager/ Asset/Brokerag C AsSfitXustOdy 3.P, Morgan Alpha Program (discretionary). I hereby apply fora Line of Credit linked to my Asset-Aozount 0 Yes* (U-1 form will. tie tequired) pries *Please be advised that if you have another account with the same feature, this is not applicable Automat Sweep (Applicable only to Asset or Asset With Brokerage AcCounts): As further.described in the Asset Account Agreement; uninvested: Cash belanCes and new cash deposits will be transferred eutomatically to a Deposit Sweep. = Account Tax Cost Methodology: la High Cost CI Long Term fHigh Cost 0 FIFO CI EFTA01481136 Low Cost Cl Average Cost if,the Account Tax Cost Methodology is not Average Cost, you may.: still have Average Cost applied to the following by Selecting one of the options: 0 Mutual Funds Only 0 Dividend ReinveStment Plan (DRP) Only C) Mutual Funds & DRP 0 None Each account I open, and each subaccount opened under such account from time to time, are subject to the security interest provisions in the Agreement (as defined below In "D. Agreement") and are pledged as Collateral for all my Obligations. (-ea, .41XVigOign0 Is this a privately held operating company in which any one persOn Or entity has 25%0 =mot owneiship interest? X Yes (complete owner Information below c) 0 No Controlling Owner (Primary) Li d' key C. e lib sia% of Owners hip /0079 Date of Birth: Passport Number ucfyyyy Controlling Owner of OWnerShip 410.1001, Date of Birth: 0- E Passport Number M ddYYYY Controlling Owner % of Oilinerahip Date of Bid DE. . Upon NoMber 0-1-11E0 m rn d d Y Y Y Controlling Owner % of Ownership Date of EFTA01481137 Birth: YYY Passport Number. Ili in Agromment I . .have: ready understand and agree to thitiPplAatiOn and either the General TermifOr Accounts and ServiCatancithetipplicable or, for Commercial Checking only, the Account Terms (inoach caGeiour "Agreement"), The AgreaMent, with amendments from time to time, generally will apply to any future account, product-et-sem/tee:that we agree upon orally, eleetrOnically or otherwise, although certain accounts, products or services may require additional documentation. This Agreement (including this application) is a security agreement under Article 9 of the Uniform Commercial Code, as amended from time to time. I have read and consent to the terms of 3.P, Morgan's' Priyete Bank and Private Wealth ManegeMent Privacy Notice, including the manner in which my Inforrnation is received and used, and that uporytipenint anoocouit with 3.P. MOrgan!a:.PriVate Barkor PrivatatWealth ManageMent (together:OS*6140.as the "Private aUsinete in the Notice)::my informatiokwili be used by-one or more 'Members of the Private Banking Business' family Of companies (as listed in the Notice) in order to make available to me the products and services available through the Private Banking Business, 3.P. Morgan Use Only Title SPN CAS 1 of 2 Banker/Investor 8/12 1060 3.P. Morgan Entity Account Application IPMorgan E. Signature AU authorized signers are required to sign below unless the entity's governing documents permit otherwise. Please note: any changes not initialed by you, or any information that remains miaiiiilOwilhese forms will cause rielay in opening your account and may require us to send the application back to you. DARREN K. INDYKE Print Name JEFFREY E. EPSTEIN Print Nan* EFTA01481138 Signature Date Print Name Signature Date Print Name EFTA01481139 ).P. Morgan Use Only Title SPN CAS 2 of 2 Sankerfirniestor Bill 1060 EFTA01481140

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