EFTA Document EFTA01283100

Deutsche Bank Wealth Management Option Agreement and Approval Form Please Complete All Sections Account Nunmer Account Type Cash Managed Account Discretionary Account V. Other Account Name Jeffrey Epstein Account Reg istrat on Individual CSR rGi PO- 6#, NarnefS) of Dersonfs) other Man account owner(s) authorized to place orcers for the account: Account any Owner Information (Provide requested info, mationyor each account owner (Client), Attach supplement to this Agreement if necessary). Harry Beller, Darren Indyke No a.e Jeffrey Epstein Address Country Lithe Saint James, St. Thomas , Virgin Islands, US Pnone Nuninc• Number of Dependents Marital Status Beihdate 0 Single Employer Business Phone Numoer Southern Financial LLC Business Address 4100 Red Hook Quarter, B3, St. Thomas, Virgin Islands, USVI 00802 hae of Business Post on Years Held Finance President 5 Present Brokerage Accounts with 17!) 4-eteitleAdev_Th4eA 4aNt SeokeAs 01/20/1953 Does the individual or entity that controls this account have the power to control any other Option Account(s) with Deutscne Bank Securities Inc.? or Yes No If yes, please provide the account number(s): see attached list Client(s) Financial Information Approximate Aggregate Annual Income Of Account Owners) from All Sources I Sources of Income (APPrOxsmate) ! i Approximate Aggregate Net Worth Less than 550.000 Salary/Bonus 50 % Approximate Net Worth 550.000 - 599.999 Interest/Dividends 50 , Liquid Net Wonh Excluding Principal Residence 5100.000 - 5249.999 5250.000 - $49%999 Other (specify), . Less I non 550.000 $50000 - 599.999 less than $.50.000 : $50.000 - 599.999 5500.000 - 5999.999 % 5109,000- 5249,999 $100.000 - 5249.999 51.000.000 - 52.499.999 5250.000 - $499.999 $250.000 - 5499.999 52.500.000 - 54,99%999 5500.000 - $999.999 5500000 - 5999.999 V 55.000.000 and over S1.000.000 - 52.499.999 , $Looa000 - $2,499.999 52.500.000 - 54.999.999 $2.500000 - 54.999.999 V 55.000000 and over 9, $8000.000 and over "Deutsche Bank" means Deutsche Bank AG and its affiliated comparees Deutsche Bank Wealth Management represents the wealth management activities conducted by Deutsche Bank AG or its subsdar es Clients are provided Deutsche Bank Wealth Management products or services oy one or more legal entities that are identified to dents pursuant to the contracts. agreements, of ferry; materials or other documentation relevant to soy, products Or servCeaBtOkerage services are offered truckegh Deutsche Bank Securities Inc. a brOkepdealet and registered investment adviser. which conducts securities actMtes in the United States. Deutsche Bark Securities Inc. Is a center of FINRA NYSE and SWC. Banking and lending servicesare offered InrOugh fkiutsche Bank Trust Company Americas member FDIC, end aver members of the Deutsche Bank Croak W51189768 010721.051018 CONFIDENTIAL SDNY GM 000387g8— Thar-1 of 4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001622 EFTA_00 I 49407 EFTA01283100 Investment Experience of Account Owner(s) Year i'ifst Pried Average AI Trades Pe, Yea. Average Size of Average Size in Trades In S Snares / Contracts Types of Previous Option Experience Options 1988 10 $1,000,000.00 1,000 V. Covered Call Writing Equities 1988 10 $1,000,000.00 1,000 V Purchased Options V Option Spreads Fixed Income 1988 10 $1,000,000.00 1,000 V Uncovered Put Writing Commodities and Futures 1988 10 $1,000,000.00 1,000 Uncovered Cad Writing None Exchange Traded Funds I ETEs) 1988 10 $1,000,000.00 1,000 Alteinauve investments (Hedge Funds. 1988 10 $1,000,000.00 1,000 Private Equity) Option Objectives (check ALL that apply)  Income (covered call writing) V Portfolio Protection (protective puts) V Speculation (option buying, spreads and uncovered writing) Client(s) Strategy Requests (Please check as many of the following strategies sought to be employed)  1. Covered Call Writing Moderate Risk. Calls fully covered by underlying stock. Stock may be called at any time or at expiration. requiring owner to sell at strike price.  2. Purchasing Options Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exercised by expiration date. options will expire worthless. ./ 3. Option Spreads-Margin account required. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a short position, the financial risk becomes unlimited. Option assignments require purchase of the underlying stock in the open market to effect delivery to purchaser of option. z" 4. Uncovered Put Writing—Margin account and special statement for uncovered option writers required. Involves Substantial Risk. If assigned, the client must purchase the underlying Stock at the strike price, which may be substantially higher than the then-current market price  S. Uncovered Call Writing—Margin account and special statement for uncovered option writers required. hwolves Substantial Risk. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. I have read and ui of the conditions and stipulationson the reverse side of this form in regard to trading in options and represent that trading in opt is suitable in ht of my investment objectives, financial situation. risk tolerance and knowledge. I hereby confirm that I am the source o nd attest to the conracy of the above information and authorize Deutsche Bank Securities Inc. (DBSI) to verify any representation contained t ereint at its discr ion. I will promptly notify 0851, in writing. of any material change in the above-stated information. I acknowledge that I may lain an option leafing corporation prospectus upon request. I have received he Options Clearing Corporation Disclosure Document entitled "Characteristics arid Risks of Standardized Options." Signature T cv ti 4 2-evna Print Client Advisor Name icidz,om Date (MM/DDEVYYY) Signature Print Name Date (MWDOEYYYY) t tot I\ ieril Advisor Signature CAw Data ROP Approval Signature WM189768 010771.051018 CONFIDENTIAL SDNY,Gn09038799 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0001623 EFTA_00 I 49408 EFTA01283101 OPTION DEPT. PPROVAL O. 0. Ww ow O CI- -, M O O OI LL - Covered Call Writing Purchasing Options Option Spreads Uncovered Put Writing Uncovered Call Writing ROSTP Date Comments: Risks, Prohibitions and General Information Concerning Option Trading Important: Please read this appendix I understand that options transactions involve a high degree of risk and offer no guarantee of gain or assurance against loss. Accordingly, I understand that prior to engaging in any option transaction, I should review my present financial situation and determine whether it is advisable to incur the risk of loss associated with that particular investment. 1. I understand that when I engage in option trading I expose myself to certain, potentially substantial financial risks in addition to those identified on the front side of this form under the heading "Client(s) Strategy Requests: including but not limited to the following: • I understand that I should not buy an option unless I am able to sustain a total loss of the premium and transaction costs. • If I sell (write) covered options, I understand that I may forfeit participation in capital gains but retain risk of participation in capital losses in the underlying security. I understand that if an exercise is assigned to me, I may be forced to liquidate my position in the underlying security at a time which may be unfavorable to me. I also understand that I should not sell (write) a covered call option unless I am prepared to deliver the underlying security (or a security convertible, exchangeable, or exercisable into such underlying security) upon the exercise of the option. • If I sell (write) uncovered (naked) options, I risk substantial capital loss if, and to the extent that, the market price of the underlying security increases above the strike price of a call or decreases below the strike price of a put. If an exercise is assigned to me, it will, in all likelihood, be at a time which will force me to assume such a capital loss. I understand that I should not sell (write) a put option or an uncovered call option, especially an index option, unless I am able to sustain potentially unlimited losses. • I am aware that various factors may affect the price of an option contract, such as the relationship between the exercise price and market price of the underlying security, the time period remaining until the option expires, and the price fluctuation or other characteristics of the underlying security. • I am aware that the respective option exchanges (Exchanges) may, in their discretion and from time to time, restrict transactions in particular options or the exercise of option contracts in the interest of maintaining a fair and orderly market in option contracts or in the underlying security, for the protection of investors. I understand that I may not be able to close a position in the event that a secondary market in the option ceases to exist or the listing exchange restricts or suspends trading in the option. • I am aware that the Exchanges have established restrictions on certain opening purchase and sale transactions on the Exchanges which are considered to be restricted options. 2. I understand and agree that my account(s) with DESSI will be handled in accordance with the Rules of the Financial Industry Regulatory Authority (FINRA) and the Exchanges on which listed options are traded and of the Options Clearing Corporation (OCC), as expressed in its prospectus. I am aware of and agree to be bound by such rules. In accordance with such rules: • I will not attempt to acquire at any time, either by myself or in concert with others, a position in excess of the limits prescribed from time to time by the Exchanges. For the purpose of computing such limits, I understand that total long call options and short put options of the same underlying stock must be added to compute the position limit. Similarly, total long put options and short call options of the same underlying stock must be added to compute the position limit. • I will not attempt to exercise, either by myself or in concert with others, during any period of five consecutive business days, a quantity in excess of the limit prescribed by the Exchanges. • I understand that if found in violation of either the position limit or the exercise limit I may be subject to sanctions imposed by the Exchange involved and that these sanctions may include liquidation of the positions in violation. WM189768 010721.051018 CONFIDENTIAL SDNY GM 00038800 T'aotr3 of 4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001624 EFTA_00 I 49409 EFTA01283102 Important: Please read this appendix (continued) 3. 1 understand that DBSI has policies which may be more restrictive than or impose requirements in addition to those of the Exchanges, FINRA or the New York Stock Exchange. I agree to abide by such policies as a condition of doing business with OBSI. I understand that these policies include but are not limited to the following: • Settlement date for all option trades is the business day following trade date. Notwithstanding this provision, DBSI may, in its discretion, elect not to accept purchase orders in options unless cash equal to the purchase price has first been deposited in my account and may elect not to accept opening sale orders in options unless I have first deposited in my account either the required margin or unrestricted negotiable shares of the underlying stock in an amount specified by DBSI. • OBSI may refuse orders to trade options in my account if there are restrictions against my account, including restrictions regarding trading in the underlying security, or for any other reason, at its discretion. • OBSI has set trading and exercise deadlines which correspond to deadlines established by the OCC and will accept no responsibility for completion of orders entered by clients after such deadline. • Margin, either in cash or securities, posted by me against short option positions, may not be included in my margin account equity or interest computations. 0BS1 may, in turn, use these deposits to secure said short positions with the OCC. • Option exercise notices assigned to DBSI in respect of a short position in option contracts in customer accounts shall be allocated to customers of DBSI on an automated random basis. I understand that if I am assigned, the assignment will be processed as a sale (in the case of a call) or a purchase (in the case of a put), settling two business days from the date of assignment (except for non-equity options, which settle for cash on the day of assignment) and that I am obligated to deliver the underlying stock or required cash to DBSI no later than settlement date. 4. I understand that margin requirements exist in connection with certain options and I agree to meet all margin calls as made by DBSI. I understand that D851 in computing the margin requirements for option positions, may impose a higher margin requirement for individual option positions than other investment firms, and that DBSI will inform me of its existing margin requirements for option positions upon request. In the event I do not meet margin calls promptly, DBSI is authorized, in its sole discretion and without notification to me, to take any and all steps necessary to protect itself in connection with put and/or call transactions made for my account, including the right to buy and/or sell short, or short exempt, for my account and risk any part or all of the shares represented by options endorsed by DBSI for my account, or to buy for my account and risk any puts and/or calls as DBSI may deem necessary for its protection. I further agree that any and all expenses incurred by DBSI in this connection will be reimbursed by me. 5. This agreement shall apply to all option orders for my/our account, whether or not such orders are executed. 6. I understand that options may be listed on one or more Exchanges and that if no Exchange is specified by me, DBSI will use its discretion in routing my order(s). 7. I hereby authorize you in your sole discretion and with notification to me (or in the event of my death, without notification to representatives of my estate or to my heirs) whenever you deem it necessary for your protection, to take such action, including, without limitation, to buy, sell or sell short for my account(s) and my risk, puts, calls, or other forms of options and/or to buy, selt or sell short any part or all of the underlying securities represented by options endorsed by you for my account(s). Any and all expenses, including, without limitation attorneys fees and their reasonable disbursements, incurred by you in connection with such transactions will be reimbursed by me or by my estate. 8. You are under no obligation to convey to me any information relating to the underlying securities covered by an option or any securities related thereto, or any information relating to options whether such information is then or thereafter known or available. Any information, advice or notification in respect to any option or any underlying securities or securities relating thereto which you may give me and which you are not required to give by the terms of this agreement or any other agreement, expressed or implied, shall not be construed as creating an implied agreement or course of dealing between us and shall not impair the provisions of this or any other agreement between us. 9. This agreement and its enforcement shall be governed by the laws of the State of New York and its provisions shall be continuous; shall cover all options transactions hereunder, whether you are acting as broker or principal, and all accounts. individually and collectively, which I may open or re-open with you; shall inure to the benefit of your present organization, its successors and assigns; and shall be binding upon me and my estate, executors, administrators and assigns, but no assignment shall release me from any of my obligations hereunder. Written notice of revocations of this agreement shall not release either of us from any obligations hereunder arising prior to the actual receipt of such notice by the other. 10. Whenever any law or regulation is adopted which affects or is inconsistent with any provision hereof, such provision shall be deemed modified or superseded, as the case may be, by such law or regulation, and such provisions as so modified or superseded and all other provisions hereof shall in all respects continue in full force and effect. All other agreements existing between us or hereafter made which, by their provisions apply to any of my transactions and accounts with you, shall be applicable to any of my options transactions and accounts where they are not in conflict with this agreement. Should such a conflict exist it shall be resolved in favor of this agreement. Otherwise, the provisions of each agreement shall be applicable. 11. As used herein, "r and "me refers to all account owners. "You" and "Your" refers to DBSI. Please Initial Here: 2018 Deutsche Bank AG. All rights reserved. CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) SDNY_GM_00038801 DB-SDNY-0001625 EFTA_00 I 49410 EFTA01283103