EFTA Document EFTA01387528

O NEW ACCOUNT ACCOUNT SGuild 412.33 -Ft ).) NAME OPTIONS QUESTIONNAIRE O DATA UPDATE ADC AL LL NOTE: Address on file with constituent documentation DATE COMPLETED ACCOUNT NUMBER DATE ODD GIVEN/SENT TO CLIENT ATTENTION CLIENT: PLEASE REVIEW AND/OR COMPLETE THE INFORMATION REQUESTED BELOW PRIOR TO SIGNING AT THE BOTTOM OF THIS PAGE. CUSTODIAN: FINANCIAL INFORMATION: ASSETS UNDER MANAGEMENT O 4.55O ?AM O S50 NW 4100 MM ON $10O MIA OR GREATER OPTIONSTRADING FREQUENCY O SELDOM O MODERATE O ACTIVE DOES THE INDIVIDUAL OR ENTITY THAT CONTROLS THIS ACCOUNT HAVE THE POWER TO CONTROL ANY OTHER OPTION ACCOUNT WITH THE DB ENTITIES? INVESTMENT OBJECTIVES O INVESTMENT HEDGE eLeASE CREta og, Am/CARLE BOXES TYPES OF OPTIONS REQUESTED OPTIONS INVESTMENT EXPERIENCE CI 0.2 YRS O 2-30 YRS a I0 YRS OR MORE AVERAGE SIZE OF'OPTIONS TRANSACTIONS O C$0 CONTRACTS o 250-1000 CONTRACTS O 100Of CONTRACTS NAME(S) OF INVESTMENT MANAGER, GENERAL PARTNER OR OTHER THIRD PARTY AUTHORIZED TO ENTER ORDERS FOR THIS ACCOUNT: NAME RELATIONSHIP TYPE OF TRADING AUTHORIZATION: O Limited O Full NAMIPCOL Bfle.2-er TYPE OF TRADING AUTHORIZATION: O Limited Full RELATIONSHIP ArN /SCA IF YES, PLEASE PROVIDE THE ACCOUNT(S): W EQUITY CA INDEX REQUESTED OPTIONS TRADING STRATEGY (higher risk codes include strategies in lower risk codes) DES STRATEGY B CTIV EXPFRIENCE USING TEGY I: A PROTECTIVE PUT BUYING COVERED CALL WRITING INVESTMENT HEDGE INCOME/INVESTMENT HEDGE 0 NONE O MODERATE O EXTENSIVE C e SPREADS PUT/CALL BUYING STRADDLFJCOMBO BUYING SPECULATION SPECULATION SPECULATION O NONE O MODERATE 0 EXTENSIVE ta C STRADDLFJCOMBO WRITING RATIO WRITING UNCOVERED OPTIONS WRITING SPECULATION/HIGH RISK INCOME SPECULATIOWHIGH RISK INCOME SPECULATION/HIGH RISK INCOME O NONE O MODERATE Q EXTENSIVE CUSTOMER RISK ACKNOWLEDGMENT We the undersigned, understand that options transactions involve a high degree of risk and offer no guarantee of gain or assurance against loss. Accordingly. we understand that prior to engaging In any option transaction, investors should review their present financial situation and determine whether it is advisable to incur the risks of loss associated with that particular investment. We also understand that investors should not buy an option unless they art able to sustain a total loss of the premium and transaction costs, that investors should not sell (write) a covered tall option unless they are prepared to deliver the underlying security (or a security convertible, exchangeable, or exerebable into such underlying security) upon the exercise of the option and that investan should not sell (write) a put option or an uncovered call option, especially an Index option, unless they arc able to sustain a potentially unlimited loss. Further, we understand that we may not be able to close a position ha the event that a secondary market In the option asses to exist or the listing exchange restricts or suspends trading hi the option. WE CERTIFY THAT THE FOREGOINOCLIEN INFORMATION IS ACCURATE AND WE ARE AWARE THAT THE INFORMATION IS RELIED ON BY DIM IN SERVICING TUE.ACCOUNT. WE ALSO ACKNOWLEDGE RECEIPT OF A CURRENT COPY OF "CHARACTERISTICS AND RISKS OF STANDARDIZED/OPTIONS" AND UNDERSTAND THE INFORMATION CONTAINED THEREIN. FURTHER, WE HAVE READ, UNDERSTAND AND AGREE TO BE BOUM) BY THE TERMS AND PROVISIONS OF THE LISTED OPTIONS CLEARING AND CUSTODY ACCOUNT AGREEMENT. SIGNATURE(S): TITLE/CAPACITY: DATE: APPROVALS (FOR INTERNAL USE ONLY) I have reviewed all the foregoing information, it is accurate to the best of my knowledge, and I believe that the types of options and options trading strategies requested are appropriate ACCOUNT EXECUTIVE (NAME): SIGNATURE: DATE: TYPES OF TRANSACTIONS FOR WHICH THE ACCOUNT IS APPROVED I have reviewed the foregoing and have approved the account 1hr this types of colons and options trading strategies: O (OAS REQUESTED ABOVE SE O (2)AS FOLLOWS: TYPE OF OPTIONS O EQUITY O FOREIGN O INDEX O DEBT CURRENCY TYPE OF OPTIONS TRADING STRATEGIES OA OB DC' Vapproved for Strategy C Ant al Inane $ or illa38116REDOPTIC•611UNCIPALVAAM 11001Allite. O Income requirement waived based on the Financial Information provided herein CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0090387 SDNY_GM_00236571 EFTA01387528