EFTA00165848.pdf

Deutsche Bank Private Wealth Management Account Agreement Jeffrey Epstein (/00 i?eo licok ca.avk /33 ST Thompts USUr Ow Stare Lp Code Account Title (Complete it different from the Client above) Doito11111=M Account Numberis) IMPORIAN I PLEASE SIGN AND RETURN THIS ACCOUNT AGREEMENT This is the account agreement ("Account Agreement") between Ghent and Deutsche Bank Securities Inc. (referred to herein as "MP). It includes the terms and conditions and is the contract that controls each brokerage account in which Client has an interest (each an "Account,. Client agrees to read this Account Agreement and the Appendix to this Account Agreement: Disclosures and Definitions ("Appendix") carefully. If Client is not willing to be bound by these terms and conditions, Client should not sign this Account Agreement. Cient's signature confirms that Client has read and agrees to the terms of this Account Agreement and the Appendix annexed hereto. I. REPRESENTATIONS Client certifies that all of the information provided by Client in this Account Agreement Is accurate and complete and that each of the following statements is accurate as to Client and Client's Account: a. Where Client is a natural person, Client is of legal age; b. For all accounts: (I) no one except the person(s) named on the Account(s). or. if signed in a representative capacity, then no one except the beneficial owner(s), has any interest in the Account(s); (ii) Client is and will remain compliant with all Applicable Laws: (Iii) Client is financially capable of satisfying any obligations undertaken through Client's Account(s); (iv) Client acknowledges that the purchase and sale of securities entails substantial economic risk, and represents knowingly and willingly that Client can assume such risk; and (v) Client has read and understands the terms set forth in this Account Agreement and those agreements or supplements Incorporated by reference and understands that Client is bound by such terms: c. Client agrees to notify us in writing if: (i) Client is or becomes an employee, member or immediate family member of any securities exchange (or corporation of which any exchange owns a majority of the capital stock). Financial Industry Regulatory Authority. Inc. (FINRA), a of any broker-dealer, (ii) Client Is or becomes a senior officer or immodiate family member of such a person of any bank, savings and loan institution, insurance company, investment company, investment advisory firm, or institution that purchases securities, or other employer whose consent is required to open and maintain this Account by regulation or otherwise, unless such consent has been provided to DBSI. Client will promptly notify DBSI in writing if any of the above circumstances change. II. TERMS AND CONDMONS THAT APPLY TO CLIENT'S ACCOUNTIS) The following terms and conditions govern Client's Account(s): 1. Rights of DBSI. AN rights granted to 0851 under this Account Agreement ere granted with the understanding that it shall be within the sole discretion of DBSI whether. and in what manner, to exorcise such rights. The failure of DBSI to exercise any right granted under this Account Agreement shall not be deemed a waiver of such right or any other right granted hereunder. D851retains the right to delegate to its agent, including its clearing agent, Pershing LLC ("Pershing-), one or more of 0851's rights or obligminns andel' this Agreement without notice to Client. 2. Cash Account. DBSI will classify each Account as a cash brokerage account. DB51 must separately approve the opening of a margin account (-Margin Account") and Client must separately sign the Margin Agreement. 3. Order Execution. Orders for the purchase or sale of assets may be routed to or executed through any exchange, market or broker that 0051 selects. 4. Rules and Regulations, All transactions in Account(s) shall be conducted in accordance with and subject to Applicable Law. 5. Purchase of Securities. DBSI requires that cash accounts contain sufficient funds to settle a transaction, but has the right to accept an order without sufficient funds with the understanding that Client will submit payment on or before settlement date for each security purchased. ()BSI retains the right to cancel or liquidate any order accepted and/or executed without prior notice to Client, if 0851 does not receive payment by settlement date. Alternatively, upon Client's failure to pay for purchased and settled securities. 0851has the right to sell Securities and Other Property PeId in any of Client's Account(s). and charge to Client any loss resulting therefrom. 1111194mi ikevoit-0673 lify\ 0121450111t3 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001596 EFTA_000 15070 EFTA00165848  6. Sale of Securities. Client agrees that In a cash account: (i) Client will not sell any Security before it is paid for (ii) Client will own each security sold at the time of sale: fiii) unless such security is already held In the Account, Client will promptly deliver such security thereto oh er before settlement date; (iv) Chant will pnnnplfy mains full 'sash payment of any amount which may become due in order to meet necessary requests for additional deposits; and (v) with respect to any Securities end Other Property sold, Client will satisfy any mark to the market deficiencies. Client must affect all Short Sales in a margin account end designate these sales es 'short". All other sales will be designated n "long' and will be deemed to be owned by Client. In the event that DBSI enters an order to sell Securities and Other Property that Client represents Client owns, but which ale not held in the Account at the time of sale, and Client fails to make dc.INery by settlement date, OBS/ has the right to purchase or borrow any Securities and Other Property necessary to meta the required deiivery. Client agree. to compensate DEMI for any loss or cost, including interest, commission, or fees sustained as a result of the foregoing. DBSI charges interest on unpaid balances In cash account hem the close of business on settlement date. See the Annual Disclosure Statement, at http://www. pwrn.db.cdm/amerieaslen/annoaldisclosurestaternettiMmi for additionol inforrretion on interest charges. 7. Restrictions on Trading. DUSI has the right to prohibit or restrict Client's ability to trade Securities and Other Property, or to substitute securities in Client's Account. 8. Restricted Seturities. Client will oot buy, sell, or pledge any Restricted Securities wIthoin D851's prior written approval. Prier to placing any order for Restricted Securities subject to Rule 144 or 145 of the Securities Act of 1933, Client must identity the status of the securities end furnish DBSI with the necessary documents (including opinions of legal counsel, it requested) to obtain approval to trunsfer and register these eacurities. DBSI will not be liable for any delays in the processing of tilese securities or for any losses caused by these delays. DEISI has the right to decline to accept an order for these securities until the transfer and registration of such securities has been approveo. 9. Order Placement arid Ca teellatiortrNlodification Requests. When Client verbally places a trade with a Chont Adviser, Client will be bound to the oral confirmation repeated back to Client. unless Client objects at the time of the order. Client understands that requests to cancellmodiry an order that 0851 accepts are on a best efforts basis only. 10. Aggregation of Orders and Average Prices. Client authorizes DBSI to aggregate orders for Client Account(s) with other orders. Client recognizes that in so doing. Client may receive an average price for orders that may differ from the price's) Client may have received hed the orders not been aggregeted. Client understands that this practice may also result in orders being only racially completed. 11. Transmission of Instructions. Client understands and accepts responsibility for the transmission of instructions to 0851 and will bear the risk of loss arising horn the method of transmission used in the event of transmission errors, misunderstandings, impersonations. trensmission by unauthorized persens. forgery or intercepts. Exoept in the case of gross negligence, Client agrees to release and indemnify DBSI, its affiliates, employees. and directors from any and all liability arising from the execution ohtrannations based on such instructions. 12. Role of Certain Tbird Parties. DBSI engages a third.Party ales ring agent, Perishing. Client understands that Pershing ie the custodian of Client's assets, clears and settles all transactions, and extends credit on any margin purchases. where applicable. Client further understands that Pershing may accept from CIBSI, without inquiry or Investigation: (i) orders for the pureness or sale of Securities and Other Property on margin or otherwise, and (ii) any other instructions concerning Account(s). Client further understands that the contract between DBSI end Pershing. end the services rendered thereunder, are not intended to create a joint vendee, partnership, or other bun of business organization of any kied.Rershing shall not be responsible or liable to Client for any acts or omissions of DBSI or its employees. Pershing does not provide investment advice, nor offer any opinion on the suitability of any transaction or order. DBSI is not acting as the agent of Pershing. Client cannot hold Pershing. its affiliates, end Its officers, directcrs, and agents liable for any trading losses that Client incurs. 13. Liens. Client hereby grants to DBSI and its Affiliates a security interest in and lien upon all Securities and Other Property in the possession or control of 01351, any of its Affiliates or Pershing, in which Client has an interest (held individually, jointly or otherwise) 'collectively all such Securities and Other Property are referred to herein as tollaterar) in order to secure any and all indebtedness or any other obligation of Client to DBSI and its Affiliates or Pershing (collectively, all such obligations are referred to herein as the 'Obligations"). Clients,who am joint accountholders ('Joint Accountholders') acknowledge and agree that pursuant to the lien to DBSI and Affiliates, the Collateral shall include Securities and Other Property held in the Account or any other account held by either Joint Accountholder with DBSI cx its Affiliates or Pershing (whether individually, jointly or otherwise) and shall secure any and ell Obligations of each Joint Accountholder to DEISI and its Affiliates or Pershing. With respect to the lien granted to DBSI and Its Affiliates. DBSI (or Pershing, at DBSI's instruction) may, at any time and without prior notice, sell, transfer, release, exchange, settle or otherwise dispose of or deal with env er all such Collateral in order to satisfy any Obligations. In enforcing this lien. DBSI shall have the discretion to determine whet and how much Collateral to apply for the purposes of the foregoing. Notwithstanding the foregoing, naming hermit shall ne deemed to grant an interest in any Account or assets that would give rise to a prohibited transaction under Section 4976(c)(1)(8) of the Internal Revenue Code of 1986, as amended, or Section 406(a)(i)(B) of the Employee Retirement Income Security Act of 1974. as amended. Securities end Other Property held in Client's retirement account(s) maintained by DB54, which may include IRAs br qualified plans, ere not subject to this lien ano sueh Securities and Other Property may only be used to satisfy Client's indebtedness or other obligations related to Client's retirement account(s). 14. Satisfaction of Indebtedness and Assignment of Rights. Client agrees to satisfy, upon demand, any indebtedness, including any interest and ccmmission °barges and to pay the reasonable costs and expenses of collection of any amount Clint owes. to DBSI, including reasonable attorneys' fees and court costs. Chant agrees that DB51 or Pershing may execute or assign to each other or any third party any rignts or obligations Client granted under this Account Agreement, including bet not limited to the right to collect ony Obligations, or liquidate any Securities and Other Property held in Account(s). 15. Fees. Client understands that DBSI charges an Annual Account Fee for certain accounts end may charge service fees. processing fees and/or other fees or commissions, for the transactions end other services provided, more fuRy described in the Annual Disclosure Statement et http://www.pwm.db.comlatnericaseserannoaldiecloeurestaternonthtml. Client understands that these lees will be charged td Account's) and authorizes DBSI to deduct such fees from Client's Account(s). 12.PWM.0573 I 012145 011113 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001597 EFFA_00015071 EFTA00165849  16. No FDIC Insurance, Not Obligations of Any Bank. Client understands that the assets in Client's Account are subject to the risk of partial or total loss due to market fluctuations or the insolvency of the issuer(s). The assets in Client's Account (including all related cash balances and shares of any Mutual Fund) are not deposits or other obligations of DBSI. Deutsche Bank AG. Pershing, or any other bank, are not guaranteed by DBSI. Deutsche Bank AG. Administrator, Bank or any ' other bank, and are not inaured by the Federal Depose Insurance Corporation (FDIC). Monies held in the Insured Deposit Program (IDP) may be FDIC insured while those monies ore held in a depository account at a participating bank as described . In the IDP Terms and.Conditions. Client may from time totems be offered investment products for which DIM or Deutsche Bank AG is an obligor. These products may be complex. may not provide for the rearm ot the full amount of principal invested Or for the payment of a fixed rate of interest (or any interest) and will not usually be covered by FDIC insurance, unless otherwise disclosed in the written offering documents for such products. 17. Cash Sweep Selection. Client agitate contact DBSI regarding the selection of Cash Swoop Options and understands that Client's choice of Cash Sweep OetionS may be limited to money market mutual funds or deposit products that are unaffiliated with DBSI if Client's Account is an individual retirement account or an ERISA account, or if DBSI Is acting as Client's investment adviser. Client understands that any funds Client has on deposit with the banks participating in SDP will be allocated onion() such banks in a manner described in the IDP Terms and Conditions. it Credit Information and Investigation. Client authorizes DBSI and Pershing to obtain reports concerning Client's credit standing and business conauctat their discretion without notifying Client. Client also authorizes 0B51 to shwa among service providers (as set forth herein) and Dint Affiliates such credit-related and business conduct information and am, other confidential information DBSI. Deutsche Bank AG and such MIdiato(s) may have about Client and Client's Account in accordance with ()BSI's Privacy Policy. DBSI and Pershing will provide Client with a copy of oath of their Privacy Policies shortly after execution by Client of this Agreement. Client may request a copy of Client's credit newt, end open request OBS+ will identify the name and address of the consumer reporting agency that furnithed It. 19. Confirmationa, Statements, and Other Communications. Client agrees to notify DBSI in writing, within ten (10) days after transmittal to Glient of a confirmation, of any objection Client has to any transaction in Citrate Account(s). In the enemas of such written notification. Client agrees that all transactions in Client's Accounts) will be final and binding. Client understands objections most be directed to the Branch Supervisor in writing, at the address on Client's account statement or confirm. For more infortuatiott on how oonfirmations and account statements are delivered, plane refer to tho Appendix to this Aceount Agreement. 20. Recording Convonretiens. Client consents to Dm reconling any or all telepnone calls with Client. 21. Joint Accounts. a Unless Clients specify 'tenants in Common' or 'community property,' Clients authorize DE151 to designate a pint account as 'joint tenants with right of survivorship,' or as 'tenants by the entireties' if Clients are married and reside in a state that recognizes said designation for personal property. Chews agree that joutit accounts whl be carried by DEISI on Pershing's books in the form reflected by the Account name appearing on the account statement. In trio event that the Account is a joint tenancy with right of survivorship or a tenancy by the entireties, the entire interest in the joint Acoount shell be vested in the surviyar or survivors on the same hums and conditions as before the death. The survivors and the estate of the deceased Accountholder will indemnify DBSI for any loss incurred through treatment of the Account as provided herein. b. Clients agree that each party to the joint account shall have authority to deal with DBSI as it each were Ina sole Account owner, all without notice to the other Account owner(s). Clients agree that notice to any Account owner shall be deemed to be notice to all account owners. Each Account owner shall be jointly aria severally liable for this Account. DBSI may' follow the instroctfons of any owner concerning this Account and make deliveries to any owner, of any or all property and payment, oven if such deliveries anceor payments snail be made to one owner personally and not to all of the Account owners. DBSI shall be under no obligation to inquire into the purpose of any such demand for delivery of securities or payment and shall not be bound to see to the application or disposition of the securities and/or monies so delivered or paid to ony Account owner. Notwithstanding the foregoing. DBSI may require Joint action by all account owners with respect to any matter concerning the account, including the giving or cancellation of orders and the withdrawal of monies, Securities and Other Property. in the event DBSI receives conflicting instructions from any owner, it may in its sole discretion: (i) follow any such instructions: (e) require written or verbal authorization of both, all, or any owner before acting on the instructions from any ono owner, (iii) send the assets of.the Account to the address of the account; or (iv) file an damneder action in an appreptiate court to let the soon decide the disptire. C. In the event of the death of any owner, the survivors) shall immediately give ()BSI written notice thereof. DOSI may. before or after receiving such notice, take such anon require such documents, retain such securities and/or restrict transactions in the Aceneet as necessary for its protection against oily tax, liability. penalty. or loss under any preeeet or future laws or otherwise. My cost resulting from the death of any owner, or through the exercise by any decedent's estate, survivors (including other Account owners) or representatives of any rights in the Account shall be chargeable against the interest of the sunAvor(eI as well ae against the interest of the estate or the deceoent. Tho estate of the decedent and each survivor (including other Account owners) shall continua to be Jointly and severally liable to DBSI for any obligation of the joint account or net debit balance or loss in said account until such time as OB51 distributes the assets in accordance with Clients' inthiations. 22. Non-disclosure of Confidential and Material, Non-public Information. Outing the course of business, employees of DRS! may come into possession of confidential and material non-pubtit information. Under Applicable Law, such employees are prohibited from improperly disclosing or using such mformation for their personal benefit or for the benefit of any other person, regardless of whether such other person is a Client of 0651. Client understands that under Applicable Law, DBSI employees are prohibitafrom communicating such information to Client and that 0651 shall have no responsibility or liability to Client for failing to disclose such information. 12-PWM 4513 3 oivas 011113 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001598 EFTA_000 15072 EFTA00165850  23. Third Party Authorization; No Agency. Clint agrees that if Client authorizes third pany(ies) (including, without limitation, any investment advisor or money manager) to eCt on Client's Account, such third party(ies) shall be bound by the Terms and Conditions o' this Account Agreement. Client further agrees that unless otherwise agreed to in writing by DBSI, third party (Ws) authorized by Client to act for Client whether or not referred to Client by DBSI• is/are not, and shall not be deemed • agents of DBSI and DBSI shall have no responsibility or liability to Client for any acts or omissions of such third party, or any officers, employees, or agents thereof. 24. No Legal, Tax or Accounting Advice. Client acknowledges end agrees that: (i) neither DB51, nor Porshing, provide any legal, tax, or accounting advice; (ii) employees/agents of DBSI and Pershing are not authorized to give any such advice; and fail Client will not solicit such advice or rely upon such advice given in error, whether or not in connection wire transactions ie or for any of Client's Account(s). In making legal, tax, or accounting decisions with respect to transactions in or for Clients Account(s) or any other matter, Client will consult with and rely upon Client's own advisers, and not DBSI. Client acknowledges that 0851 shall have no liability therefore. 25. Limitation of Liability. Client agrees that, unless otherwise provided in any other agreement between Client and DBSI or under Applicable Law, DBSI shell not be liable for any loss to Client except in the case of OBSI's gross negligence or willful misconduct. DBSI shall not be liable for loss caused directly or indirectly by govermhent resnitztions, exchahge or market rulings. suspension of trading, war, strikes. act of foreign or domestic terrorism or other conditions beyond DBSI's control. 0851 shall not be liable for any damages caused by equipment failure, communications line failure, unauthorized access, theft systems failure, end nther occunencos beyond ()BSI's control. 26. Customer In quiries/Criatorner Complaints. For general inquiries. Client will oomect the Client Advisor or Branch Supervisor assigned to Client's Account(s) for questions or assistance on any matter relating to these Account(s). Client must direct all formal complaints against DBSI many of its emoloyeos to Deutsche Bank Securities Inc.. Comoliance Department • Ctient Inquiries, 60 Wall Street, 23rd Floor, Mail Stop NYC60-2330. New York• NY 10005-2838 or Client may call 212-250-1085. 27. Entire Understanding. This Account Agreement contains the entire understanding between Client and DBSI concerning the subject matter of this Account Agreement and there ere no oral or other ogreementa in conflict herewith. The Tenns and Conditions of this Account Agreement shall apply to each and every account and, collectively, any and all funds, money, Securities and Other Property that Client has with DBSI and supersedes any prior Account Agreement Client may have signed with DB51. Client acknowledges that Client may be required to enter into separate agreements with respect to products or services offered by or through DWI or its affiliates. 28. Right to Terminate or Amend. Client agrees that 0851 has the right to terminate this Account Agreement and close any related accounts or amend the Timms and Cnriditione of this ACCOOfft Agreement et aoy time and for any reason by sending written notice of such termination or amendment to Client. Any such termination or amendment shall be effective as of the date that OBSI establishes. Client cannot waive, atter, modify or amend this Account Agreement unless agreed in writing and signed by DBSI. No failure or delay on the port of DBSI to exercise any right or power hei Gunder or to insist ar ony erne upon strict compliance with any term contained in this Account Agreement, shall operate as a waiver of that right or power or term. 29. Controlling Law. This Account Agreement shall be deemed to have been made in the State of New York and shall be construed, and the rights,of the parties detemilned. in accordance with the laws of the State of New York and the United States, as amended, without giving effect to the choice of law or conflict-of-laws provisions thereof. 30. Headings. Paragraph headings are for convenience only and shall not affect the meaning or interpretation of any provision of this Account Agreement. 31. Assignment Separability, Survivability. This Account Agreement shell be binding upon Client's heirs, exaotirots, administrators, personal representatives and permitted assigns. It shall inure to the benefit of 0851's successors and assigns, or any successor clearing broker, to whom ()BSI may transfer Chant's Account(s). DBSI may, without notice to Client, assign the rights and duties under this Account Agreement to any of its Affiliates, or to any other non-affiliate entity upon written notice to Client. If any provision or condition of this Account Agreement shell be held to be invalid or unenforceable by any court administrative agency, or regulatory or selt-nogulatory agency or body. such invalidity or unerthitcrebility shell snot, only to such provision or condition. The validity of the remaining provisions and conditions shall not be affected thereby and this Account Agreement shelf be carried out as if any such invalid or unenforceable provision or condition were not contained herein. 32. The provisions of this Account Agreement governing nrbitration (Section III), controlling law (Section N.29) and limitation of liability (Section 11.251 will survive the termination of this Account Agreement. III. ARBITRATION 1. This section of the Account Agreement contains the predispute arbitration agreement between Client end DBSI and Pershing, as applicable, who agree as followsi a. All parties to this Amount Agreement (being Client• DBSI and Pertmingf are giving up the right to sue oath other in court• including the right to a trial by jury, excopt as prnvided by the rules of the arbitration forum in which a claim is Ned. er as prohibited by Applicable Law; b. Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited; c. The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings; d. The arbitrators do net have to explain the reasons) fat their award, unless, in an eligible case. a joint request for an explained decision has been submitted byall parties to the panel at least twenty (20) days prior to the first scheduled hearing date: e. The panel of arbitrators will typically include a minority ot arbitrators who were or are affiliated with the securities industry; f. The rules of some arbitration fours may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court; and g. The rules of the arbitration forum in which the claim is filed, end any amendments thereto, shall be incorporated into this Account Agreement. 12-PW51-0673 012145 011113 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0001599 EFFA_000 15073 EFTA00165851  2. Subject to the preceding disclosure, Client agrees to arbitrate any controversies or disputes that may arise with DBSI or Pershing, whether based on events occuning prior to, on or subsequent to the date of this Account Agreement, and including any controversy arising out of or miming to any Account with DWI, the construction. pederrnance or breach of any agreement, or any duty arising from any agreement or other relationship with DBSI, to transactions with or through DBSI, or any controversy as to whether any issue is arbitrable. Any arbitration under this Account Agreement shall be determined only before an arbitration panel sex up by the FINRA in accordance with its arbitration procedures or an exchange of which DBSI is a member in accordance with the rules of that particular regulatory agency then in effect. Client may elect in the first instance whether arbitration shall be by FINRA ore specific national securities exchange of which DBSI is a member, but failure to make such election by registered fetter to Deutsche Bank Securities Inc., Compliance Department - Attention: Director of Compliant*, 60 Wall Street 23rd Floor, Mail Stop NYC60-2330. New York, NY 10005-2836 within (5) five days after receipt of a written request from DBSI for such election, gives DBSI the right to elect the arbitration forum that will have jurisdiction over the d'spulo. Judgment upon arbitration awards may be entered in ally court, state er federal, having jurisdiction. Any arbitration under this Account Agreement will be conducted pursuant to the Federal Arbitration Act and the Laws of the State of New York. 3. Neither DBSI, Pershing, net Cliont(s) waive nny right to seek aqubable relief pending arbilogion. No portion shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration agreement against any person who has initiated in court a putative class action or who is a member of a putative-class who has not opted out of the class with respect to any claims encompassed by the putative eloss action until: 0) the class certification is denied; or (ii) the oleos is decertified: or (iii) the Client Is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. (THIS SPACE INTENTIONALLY LEFT BLANK] tuaNIA-0573 5 012145 011113 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001600 EFFA_000 15074 EFTA00165852  IV. TAX ELECTION/DECLARATION OF TAX STATUS Ns Account Agreement Is desired for use by both U.S. Persons and NcreVS. Persons. Please chock the box next to the applicable item below. Client cenges that Client will notify DBSI in writing Immediately il the representation certified to below ceases to be true and correct. $00.4gfasirtOrfreil*RW0 Form IN9 Request for Taxpayer Identification Number and Certifiostion Substitute Harne:Piirehdxstionp re iribeine.V •'' 'e ON ikilentelialnllalit41861Y: 4:06:1111f 8rPM new , ; riNVE 0Sxll84.1.868185.6gfrig3451416MCICADOBJE4619#34:, ei IrldNielturthiele proprietor 0 C Corporetion 0 S Corporation 0 Partnership 0 Trustrestale ❑ Exempt payee . limited liability company. Enter the tax classification (Cs C corporation SnS corporation. Copartnership) Ii . Other P ...r .. kdditiaWirit.*aketiVOIVitaidiaPtIteetalattileek 0 too fe_e0 llook r 133 c(ty; it. 005 ti5 C a TaXpayOr Identification Number (TIN) fqtri..:WW.0693ii"itiere "4 ie,SOI: The TIN provided musl match the name given on the 'Name" line to avoid backup withholding. For individuals this is your social security number ISSN). For other entities. it Is your employer identification number (Elf). Employer Idemthcanon Number 1110-000 I DO Pnr: II Certification Under penalties of penury. I certify that: 1 The number shown on this form is my correct taxpayer identification matter (or I am waiting for a number to be issued to met. and 2. I am not subject to backup withholding because: (a) I am exempt horn backup withholding. or (b) I have not been notified by the Internal Revenue Senna lots) that I am sublett to backup withholding as a result of a failure to report all Interest or dividends, or lc) the IRS has notified me that I am no longer subject to backup withholding, and 3. / am a U.S. citizen or other U.S. personjde&Qd in ale instructions). Certification instructions You above if you have been by the IRS that you are anently subject to backup valthoiding because you have failed to rids on your tax Sign Here 29 Non-US. Person I am not a U.S. poison Including a U.S. resident +hen). I Mn submitting the a ppbcable Form W-13 with this loan to caddy my foreign status and. d applicable. claim tax treaty benefita For example. Client Is not a U.S. person linduding a U.S. resident alien). Client agrees to provide DBSI with this application the applicable Internal Revenue Service (IRSI Folio W-8 to certify the dart's foreign status. W-8 forms and Instructions are available on the IRS website at wwwirs.gov. [THIS SPACE INTENTIONALLY LEFT BLANK] 12.FWA4-0573 6 012145.011113 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001601 EFTA_000 15075 EFTA00165853  BY SIGNING BELOW CLIENT ACKNOWLEDGES THAT: (1) CLIENT HAS RECEIVED. READ, AND AGREES TO THE TERMS AND CONDITIONS OF THIS ACCOUNT AGREEMENT, INCLUDING THE APPENDIX WHICH CONTAINS IMPORTANT INFORMATION: AND (2) THE INFORMATION CONTAINED IN THIS ACCOUNT APPLICATION IS ACCURATE. tCi,ntil l§gS1 WCWIta llerfa int ent i ggritrar bv°131Weittaiz**Wer4gi9)talS41445 1.6* IREinekfigr THE INTERNAL EVENUE SERVICE DOES NOT REQUIRE CLIENTS CONSENT TO ANY PROVISION OF THIS DOCUMENT OTHER THAN THE CERTIFICATION REQUIRED TO AVOID BACKUP WITHHOLDING. AND. IF APPLICABLE. THE CERTIFICATION REOUIREO TO ESTABLISH CLIENT'S STATUS AS A NON.U.S. PERSON AND OBTAIN A REDUCED RATE OF WITHHOLDING. Important Information for ERISA employee benefit plan silents: U.S. Department of Labor regulations require OBSI to disclose to a responsible plan fiduciary certain information in connection with the services that DBQ provides to a plan. to assist the fiduciary In evaluating the reasonableness of DEISI's services and related compensation. The disclosure is available online, at Intplfwww.pwin.db.cornfarnericae•rderisadisdosure_pcs.htrnl By signing below. you acknowledge that yOu Ms a fiduciary responsible for the procurement of DBSI's novices to the plan, you have read the disclosure and you understand the disclosure. Individual or joint eccouM (IF THIS IS A JOINT ACCOUNT. ALL ACCOUNT OWNERS MUST SIGN): CONFIRMATION OF TAX AND COMPLIANCE RESPONSIBILITIES Client acknowledges having sole responsibility lo fulfill any tax obligations and any other regulatory reporting duties applicable n any relevant lurisdictions that may arise in connection with assets. income or transactions in Client's accouM(sl and business latiortship with OBSI. 4RECTIXEI/StlEatiltibkariMIXOTBIOCNOMBKI1501fret HIV.01.30WPAin.HakegigtOVITAThattTIRMES.. 4 1ENTS)GPECIEVAINETEA.Or . Tenants in common: or O Community Pr nor married couples I', pause retains SO% n weal in the community property upon death of the fest spouse). iSiarRitar; te ti, 944; tiliii)gig* • Enteli riStAia Signature Date Print Name SSNiEIN Signature Date Print Name SSWEIN CerpOnitiort partnership, bust or other entity: CONFIRMATION OF TAX AND COMPLIANCE RESPONSIBILITIES Client acknovAedges having sole responsibility to fulfill any tax obligations and any other regulatory reporting duties applicable to in any relevant jurisdictions that may ante in connection with assets, income or transactions in Client's account(s) and business relationship with DBSI. Furthermore, Client confirms that the necessary information (to the best of Client's knoMedge and canal:Nein) is made available no lass than annually to the relevant beneficial owneris). sallions). Sneed aryfies), panned.). etc. to enable such pemon(s) to WHO any respective tax obligations that may arise for such pertionls) n connection with Client's business relationship with CBS). Name of Entity Employer ID No Signature of Officer. Partner. Trustee. Authorized Party Date Print Name/Title Signature of Officer. Partner, Trustee. Authorised Party Date Print Name/Tire Signature of Officer. Partner. Trustee. Authorized Party Dale Pnnt Name/Tab 12.PWM.0573 7 011145 011t 3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001602 EFTA_00015076 EFTA00165854  APPENDIX TO THIS ACCOUNT AGREEMENT: DISCLOSURES AND DEFINITIONS IMPO iSF. I %) k1 ENEN.: DISCLOSURES 1. Confirmations. Confirmations of transactions, as well as other communications will be sent to the address Client has ' provided, or to such other address as Client may hereafter give to DBSI in writing, and all communications so sent, whether by mail private carrier, facsimile, messenger, electronically, or otherwise, shell be deemed delivered to Client when sent, whether actually received or not. 2. Consent to Loan or Pledge of Securities and other Property. Within the limitations imposed by Applicable Law, all Securities end Other Property now or hereafter held, carried, or maintained by or in the possession of DBSI that have not been fully paid for may be lent to DBSI, to Pershing or to others, end mey be Wedged. ieoledped, hypothecated or rehypothecated without notice to Client, either separately or in common with other Securities and Other Property of DBSI's other Clients for any amount due in any account with D0SI in which Client has an interest, or for any greater amount, and DBSI may do so without retaining in its pds3ossion or control for delivery a like amount of similar Securities and Other Property. Client understands that while securities held for Client's Account(s) are loaned out, Client will lose voting rights attendant to such securities. For additional terms that apoly to margin eccoonts only, see the Margin Addendum Neither Pershing. nor DBSI, will kind or pledge fully paid for secunties without Client's written permission. 3. Corrected and Late Trade Reports. DBSI may receive late andfor erroneous trade reports from the marketplace where Client's order is executed. Any such reports may festal in an adjustment re Client's weer or the information on a trade execttioo reported to Client. 4. Effect of Attachment or Sequestration of Accounts. DBSI shall not be liable for refusing to obey any orders given by or for Client with respect to any Account which is or has been subject to an attachment or sequestration in any legal proceeding against Client, and 0651 shad bo ender no oorideann to onntest the validity of any ouch attachment er sequestration. 5. Foreign Securities. With respect to debt or egulty securities of foreign issuers or debt or deposit instruments of foreign banks ("Foreign Securities"). Client acknowledges and understands that: (1) Foreign Securities are, in most cases, not registered with the Securities and Exchange Commission dr listed on any U.S. securities exchange; (2) Foreign Securities, particularly those of issuers in the so-called "emerging markets" are often illiquid, are sometimes subject to legal and/or contractual transfer restrictions and it may be difficult or impossible to dispose of such Foreign Securities prior to the maturity thereof or to determine the market price thereof for valuation outposts; (3) Foreign Securities, end the issuer. guanine:us, or ether obligors with respect thereto ("Foreign Issuers/Obligors") are subject to a variety of risks