EFTA01368381.pdf

I.1 Client Informatiqn. Client has duly completed the Client Information Form in the Swap Addendum Annex and the information contained therein is true and correct. 1.2 Nen Regulated Swap. Engv. Client is not a Swap Dealer, Security-Based Swap Dealer. Major Swap Participant or a Major Security-Based Swap Participant 1.3 Eligible Contract Participant. Client is an Eligible Contract Participant ('ECP"). Client has duly completed the ECP Questionnaire in the Swap Addendum Annex and the information contained therein is true and correct. If the obligations of Client in its swaps with DB are guaranteed by another person or persons (each, a "Guarantor"), Client will cause each Guarantor to complete the ECP Questionnaire for Guarantors provided as Part 6 of this Protocol confirming it is an ECP to DB as a condition precedent to discussing additional swaps and/or swap trading strategies with DR. if Client has indicated in the Eligible Contract Participant Questionnaire that it is either a "Hedging Entity ECP" or a "Hedging Individual ECP", Client further represents to O13 that, for so long as Client remains either a Hedging Entity ECP or a Hedging Individual EC?, each swap entered into by Client under this Agreement will be entered into in connection with the conduct of Client's business or to manage the risk associated with an asset or liability owned or incurred, or reasonably likely to be owned or incurred, by Client in the conduct of Client's business. Financial Entity. Client D is / El IS NOT a Financial Entity. If Client is a Financial Entity under Dodd Frank. Client has duly completed the Financial Entity Questionnaire in the Swap Addendum Annex, and the information contained therein is true and correct. O.) Dania' Entity. Client C IS / IS NOT a Special Entity. If Client is a Special Entity (or is electing to he a Special Entity as ermitted by CFTC Regulations), Client has duly completed the Special Entity Questionraire in the Swap Addundum Annex, and the information contained therein is true and correct. 1.6 Financial and Non-Financial Counferpany Renteacntation. Client represents to DB (which representation is deemed repeated as of the time of each Swap Transaction Event) that (please check box (a) or (b) and if you have checked box (b), please check box (e) if applicable): (a) Client 0 is a Financial Caunteiparty. It is either: (X) organized or incorporated inside the European Union and is a financial coonterparty (as defined in EMIR); or (Y) organized or incorporated outside the European Union and, to the best of its knowledge and belief, having given due and proper consideration to its status, would constitute a financial counterparty (as such term is defined in EMIR) if it were established in the European Union: or (b) Client is a Non-Financial Cotmterparty. It is either: (X) organized or incorporated inside t European Union and is a non-financial counterperty (as defined in EadfR); or (Y) organized or incorporated outside thc European Union and, to the best of Its knowledge and belief, having given due and proper consideration to its status, would constitute a non-financial countmparty (as such renn is defined in EMIR) if it were established in the European Union: and (c) Cliangi is a NEC-. The notional amounts of its relevant foreign exchange, credit, rates. equity, commodity and other derivative portfolios arc loner than the thresholds for mandatory cleating stipulated in respect of EMIR, (A client that is not a Finale:al Counicrparty and has not checked this box as applicable will be called an NFCt for purpose of this Addendum and Part 8.) PART B — PAGE 2 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0060105 CONFIDENTIAL SONY GM_00206289 EFTA01368381