EFTA00165874.pdf

Deutsche Bank Wealth Management (Gi fil r,1 /7 Option Agreement and Approval Form Please Complete All Sections ACCIXIM NU9104,' Jeffrey Epstein Account Type Cash Individual Managed Account Discretionary Account 1. Olher Namte(s) of persca(s) other tnan account 0WrICHS)ZiothOriZerd to place Orcers for the account: to this Agreement if necessary) Account and Owner Information (Provide requested infomotion for each account owner (Client). Attach supplement iHarry Seller, Darren Indyke Name Jeffrey Epstein country Address Virgin Islands, US Little Saint James, St Thomas Number of Dependents Marital Status Bethdate Phone Number 0 Single Employer Business Phone Number Southern Financial LLC Business Address 6100 Red Hook Quarter, 83, St. Thomas, Virgin Islands, USVI 00802 Position Years Held IrDeOl Business President 5 Finance Present Brokerage Accounts with ,_7?) IroteultAde- / _.Th4e4Adive Seokets with Oat/tune Bank Securities Inc.? Dots the individual or entity that controls this account have the ouwer to control any other Oration Account(s) attached list V Yes No II yes. please provide the account number(s): see Client(s) Financial Information Approximate Aggregate Annual Income i Sources of Income (Approximate) Approximate Aggregate Net Worth of Account Owner(s) from All Sources salary/Bonus 50 _ 96 Approximate Net Worth Less than $50,000 Excluding Principal Residence 50 % Liquid Net Worth 550.000 - S99.999 Interest/Dividends . .. Less than $50.000 . Less man $50000 $100.000- $249999 Other (specify): " S50.000 - 599,999 550.000 - 599.999 5250.000 - $499.999 5109000 - $249999 ' S100.000 - $249,999 $509000 - $999.999 1 5250000 - 5499.999 . ^6 $250.000 - 5499.999 51.000.000 - $2A99.999 ] 5503.000 - 5999.999 $500.000- $999.999 52.509000 - $4.999.999 56 i $1.000.000-$2.499.999 51.000000 - $Z499.999 V $5.000,000 and over $2.500.000 - S4,999.999 52.500.000 - $4,999,999 V 55.000.000 and over .1 $5.000.000 and over . . .. . .. . the wealth management activities conducted 'Deutsche Bank- means Deutsche Bank AG and its allrioted Companeo Deutsche Bank vvearth Management represents one or more legal entities that are identified by Deutsche Baryk AG or es subsidiaries Clients are proviced Deutsche Bank Wealtn Mansgerent products or services oy terewint to sucn products Or senoces. Brokerage SeniCOS WC offered through a a todents pursuant to trie rent-acts agreements offering materials°, otner documentation Securities Inc. a broker -dealer and registered investment adv.ser. which conducts securities actmtes in the United States. Deutsche Bank Seckyttes Inc. Deutsche Bank memoer FDIC. ano ot her members a Company Arnercas, is a member of F NBA NYSE and SIPC. Banking and lending services are offered through Deutsche Bank Trust C of Deutsche Bank Group. Page 1of 4 WM189768 010721.051018 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0001622 EFTA_000 15096 EFTA00165874  Investment Experience of Account Owner(s) Year rest Average a Average See of Average Size in Types of Previous Orxion Laded Trades Per Year Trades in S Snares/ Contracts Experience Options 1988 10 $1,000,000.00 1,000 ✓ Coveted Call Writing ✓ Purchased Options Equities 1988 10 51,000,000.00 1,000 ✓. Option Spreads Fixed income 1988 10 51,000,000.00 1,000 ✓ Uncovered Put Writing Uncovered Call Writing Commodities and Futures 1988 10 $1,000,000.00 1,000 None Exchange Traded Funds (ETFs) 1988 10 $1,000,000.00 1,000 Alternative investments (Hedge Funds. 10 $1,000,000.00 1,000 1988 Private Equity) Option Objectives (check ALL that apply) writing) ✓. Income (covered call writing) ✓ Portfolio Protection (protective puts) ✓ Speculation (option buying. spreads and uncovered to be employed) Client(s) Strategy Requests (Please Check as many of the following strategies sought ✓ 1. Covered Ca Writing expiration, requiring owner to sell at Moderate Risk. Calls fully covered by underlying stock. Stock may be called at any tittle or at strike price. ✓ 2. Purchasing Options by selling position. If position is not dosed Involves Substantial Risk. Entire premium is at risk. Profit or loss usually determined or exercised by expiration date, options will expire worthless. ✓ 3. Option Spreads—Margin account required. leaving only a short position. Involves Substantial Risk. In addition to risk of purchasing puts or calls, if long side is closed out, stock in the open market to effect the financial risk becomes unlimited Option assignments require purchase of the underlying delivery to purchaser of option. writers required. 'twelves Substantial Risk. ✓ 4. Uncovered Put Writing-Margin account and special statement for uncovered option If assigned, the client must purchase the underlying stock at the strike price, which may be substantially higher than the then-current market price option writers required. Involves Substantial Risk. ✓ 5. Uncovered Call Writing-Margin account and special statement for uncovered of the underlying stock in open market Writing uncovered calls involves unlimited financial risk. Option assignments require purchase to effect delivery to purchaser of option. and represent that I have read and stand of the conditions and stipulations on the revel se side of this form in regard to trading in options and knowledge. I hereby confirm that I am trading in opti.' is suitable in lit of my investment objectives. financial situation. risk tolerance Securities Inc. (OBS° to verify any representation the source o id attest to the. Ccuracy of the above information and authorize Deutsche Bank contained I :rein. at its disci r ion. I will promptly notify °BSI, in writing, of any matenal change in the above-stated information. I acknowledge that I mayor lain an option e eating corporation prospectus upon request. Standardized Options." I have received lie Options Clearing Corporation Disclosure Document entitled "Characteristics arid Risks of Signature Signature id id/ /La Date (MM/DD/YYYY) Pant Name Date (MWDONYYY) CAii Date ent Advisor Signature Mahn ZeiMa Print Client Advisor Name Print None Date ROP Approval Signature Page 2 1 VVM189768 010721.051018 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0001623 EFTA_000 15097 EFTA00165875  OPTION DEPT. PPROVAL. ROSFP Date Comments: ai Covered Call Writing Z Purchasing Options —2 O Option Spreads o oLLg Uncovered Put Writing Uncovered Call Writing Risks, Prohibitions and General Information Concerning Option Trading Important: Please read this appendix assurance against loss. I understand that options transactions involve a high degree of risk and offer no guarantee of gain or I understand that prior to engaging in any option transaction, I should review my present financial situation and Accordingly, determine whether it is advisable to incur the risk of loss associated with that particular investment. financial risks in 1. I understand that when I engage in option trading I expose myself to certain, potentially substantial the heading "Client(s) Strategy Requests," including but addition to those identified on the front side of this form under not limited to the following: and transaction costs. • I understand that I should not buy an option unless I am able to sustain a total loss of the premium I understand that I may forfeit participation in capital gains but retain risk of • If I sell (write) covered options, to me. I may be participation in capital losses in the underlying security. I understand that if an exercise is assigned liquidate my position in the underlying security at a time which may be unfavorable to me. I also understand forced to underlying security (or a security that I should not sell (write) a covered call option unless I am prepared to deliver the the option. convertible, exchangeable, or exercisable into such underlying security) upon the exercise of options, I risk substantial capital loss if, and to the extent that, the market price • If I sell (write) uncovered (naked) the strike price of a put. of the underlying security increases above the strike price of a call or decreases below assume such a capital loss. If an exercise is assigned to me, it will, in all likelihood, be at a time which will force me to option or an uncovered call option, especially an index option, unless I understand that I should not sell (write) a put I am able to sustain potentially unlimited losses. the relationship between the • I am aware that various factors may affect the price of an option contract, such as option expires, and the exercise price and market price of the underlying security. the time period remaining until the price fluctuation or other characteristic s of the underlying security. time to time, restrict • I am aware that the respective option exchanges (Exchanges) may, in their discretion and from particular options or the exercise of option contracts in the interest of maintaining a fair and orderly transactions in security, for the protection of investors. I understand that I may not market in option contracts or in the underlying the listing exchange be able to close a position in the event that a secondary market in the option ceases to exist or restricts or suspends trading in the option. and sale transactions on the • I am aware that the Exchanges have established restrictions on certain opening purchase Exchanges which are considered to be restricted options. Rules of the Financial 2. I understand and agree that my account(s) with DBSI will be handled in accordance with the Regulatory Authority (FINRA) and the Exchanges on which listed options are traded and of the Options Clearing Industry rules. In accordance Corporation (OCC), as expressed in its prospectus. I am aware of and agree to be bound by such with such rules: of the limits • I will not attempt to acquire at any time, either by myself or in concert with others, a position in excess from time to time by the Exchanges. For the purpose of computing such limits, I understand that total long prescribed same underlying stock must be added to compute the position limit. Similarly, call options and short put options of the compute the position limit. total long put options and short call options of the same underlying stock must be added to five consecutive business • I will not attempt to exercise, either by myself or in concert with others, during any period of days. a quantity in excess of the limit prescribed by the Exchanges. to sanctions • I understand that if found in violation of either the position limit or the exercise limit I may be subject that these sanctions may include liquidation of the positions in violation. imposed by the Exchange involved and Page 3 of 4 WM189768 010721.051018 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0001624 EFTA_000 15098 EFTA00165876  Important: Please read this appendix (continued) in addition to those 3. I understand that DBSI has policies which may be more restrictive than or impose requirements a condition of doing of the Exchanges, FINRA or the New York Stock Exchange. I agree to abide by such policies as business with DBSI. I understand that these policies include but are not limited to the following: DBSI • Settlement date for all option trades is the business day following trade date. Notwithstanding this provision, orders in options unless cash equal to the purchase price has first may, in its discretion, elect not to accept purchase first deposited been deposited in my account, and may elect not to accept opening sale orders in options unless I have in my account either the required margin or unrestricted negotiable shares of the underlying stock in an amount specified by DBSI. including • DBSI may refuse orders to trade options in my account if there are restrictions against my account, restrictions regarding trading in the underlying security, or for any other reason, at its discretion. the OCC and will accept no • DEISI has set trading and exercise deadlines which correspond to deadlines established by responsibility for completion of orders entered by clients after such deadline. account • Margin, either in cash or securities. Posted by me against short option positions, may not be included in my margin may, in turn, use these deposits to secure said short positions with the OCC. equity or interest computations. 055I accounts shall • Option exercise notices assigned to DBSI in respect of a short position in option contracts in customer of DBSI on an automated random basis. I understand that if I am assigned, the assignment be allocated to customers (in the case of a put), settling two business days from will be processed as a sale (in the case of a call) or a purchase of assignment (except for non equity options, which settle for cash on the day of assignment) and that I am the date obligated to deliver the underlying stock or required cash to 06SI no later than settlement date. to meet all margin calls as 4. I understand that margin requirements exist in connection with certain options and I agree made by 06SI. I understand that DBSI, in computing the margin requirements for option positions, may impose a higher of its margin requirement for individual option positions than other investment firms, and that DBSI will inform me for option positions upon request. In the event I do not meet margin calls promptly, DBSI existing margin requirements itself in to me, to take any and all steps necessary to protect is authorized, in its sole discretion and without notification sell short. or short connection with put and/or call transactions made for my account, including the right to buy and/or for my account, or exempt, for my account and risk any part or all of the shares represented by options endorsed by DBSI I further agree that to buy for my account and risk any puts and/or calls as DBSI may deem necessary for its protection. any and all expenses incurred by DBSI in this connection will be reimbursed by me. S. This agreement shall apply to all option orders for my/our account, whether or not such orders are executed. is specified by me, DBSI will 6. I understand that options may be listed on one or more Exchanges and that if no Exchange use its discretion in routing my order(s). death, without notification to 7. I hereby authorize you in your sole discretion and with notification to me (or in the event of my estate or to my heirs) whenever you deem it necessary for your protection, to take such action, including, representatives of my 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, Any and sell, or sell short any part or all of the underlying securities represented by options endorsed by you for my account(s). and their reasonable disbursemen ts, incurred by you in connection all expenses, including, without limitation attorneys fees with such transactions will be reimbursed by me or by my estate. covered by an option or 8. You are under no obligation to convey to me any information relating to the underlying securities whether such information is then or thereafter known any securities related thereto, or any information relating to options 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, us and shall not expressed or implied, shall not be construed as creating an implied agreement or course of dealing between impair the provisions of this or any other agreement between us. be 9. This agreement and its enforcement shall be governed by the laws of the State of New York and its provisions shall transactions hereunder, whether you are acting as broker or principal, and all accounts, continuous: shall cover all options organization, individually and collectively, which I may open or re-open with you; shall inure to the benefit of your present and assigns; and shall be binding upon me and my estate, executors, administrator s and assigns, but no its successors obligations hereunder. Written notice of revocations of this agreement shall not assignment shall release me from any of my by the other. release either of us from any obligations hereunder arising prior to the actual receipt of such notice hereof, such provision shall 10. Whenever any law or regulation is adopted which affects or is inconsistent with any provision 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 to any of my transactions and accounts with you. shall be between us or hereafter made which, by their provisions apply Should such a applicable to any of my options transactions and accounts where they are not in conflict with this agreement. favor of this agreement. Otherwise, the provisions of each agreement shall be applicable. conflict exist it shall be resolved in 11. As used herein, "I" and "me" refers to all account owners. "You" and "Your" refers to DBSI. Please Initial Here: 2018 Deutsche Beak AG. Al rights reserved. WM189768 010721 051018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001625 EFTA_000 15099 EFTA00165877