EFTA01282797.pdf

Deutsche Bank
Private Wealth Management
7
Option Agreement and Approval Form
Please Complies
Southern Trust Company Inc
Account No. Account Name
Cash ENTITY
Account Type Account Registration
Ll oth•r
0 Managed Account 0 Discretionary Account
Narne(s) of person(s) other than account ()wile*: authorized to place orders for the account:
Jeffrey Epstein, Jeanne Brennan
Account and Owrer informaton (Provide requested information for each account owner (-Ghent') Attach supplement to this Agreement :f
necessary
Name Southern Trust Company Inc
Address 6100 Red Hook Quarter. 83, St. Thomas, 00802 Country Virgin Islands
Phona Number of Dependents NIA Marital Status N/A sirthdate 11/15/2011
Employer Business Phone
Business Address
Type of Ous.ness Position • Years Held
— —
Present Brokerage Accounts with: JP180nalm
JoeS the individual or entity tnat controls this account have the power to Control any other Option Account(s) with Deutsche Bank Securities Inc.?
Yes 0 No It yes, please provide the account number(s): Will Provide List
Client(s) Financial Information
Approximate Aggregate Annual Income Sources of Income (Approximate} pA proximate Aggregate Net Worth
of Account Owner(s) from AS Sources
Asoroy.mase tee were 1
0 less than $50.000 Salary/Bonus 60 % lomat vowed', temihreisrtsine.
El
0 0 $ $5 1 0 0 . D 0 , 0 0 0 0 0 - - $ $ 2 9 4 9 9 .9 ,9 9 9 9 9 O In t t h e e re r s ( t s / p D e iv c i i d fy e ) n . ds - 6 - 0 — % 0 0 s lo s s o s .o t c h o a n - $ S 5 9 0 9 ,0 .9 0 9 0 9 E 5 Le 5 s 0 s .0 t 0 h 0 a n - 5 5 5 0 9 . 9 0 . 0 9 0 9 9
• $2siaoco- 5499.999 0 3100,000 - 3249,999 0 5100.000 -$249.999
D
0 $500,000-$999,999 % 3250=0 -$499,999 • $250,000 - $499,999
$1.000.000-$2,499.999 % 0 3500.000 - 3999,999 • ssooseo- 5999.999
$2.500.030 - $4.999.999 - --- — — - — — % 0 $l.000.000-$2.499.999 0 $1.000.000 - 52.499.999
D
GI $3.000.000 and over $2,500.000 - 54.999.999 • 32.500.000- 34.999.999
0 $5.000.000 and over lir] 55.000.000 and over
Investment Experience of Account Owner(s)
Year rust I Average */ Trades Awrade Sue or Average Situ in typos of Previous Option LAP:POMO
Traded Per Year tirades In S Shams I Contracts
I (khans 2011 1 10 I S1,000,000.00 1,000 Geared Cal Whiting
I Stocks 2011 410 _4 51,000,000.00 1,000 Purchased Orions
Floods 2011 10 I $1,000,000.00 X000 21 Option Sprceds
F Commodities 2011 110 I 1 000 _ Uncovered Put Writing
$ 1, 000 • oo —1
Listed Stock Index 2011 1$1,000,000.00 1,000 Uncovered Coll Writing
M io
gt Derivatives 2011 151,000,000.00 1,000 None
I 11.500000.00
F Structured Products 2011 I- to 1.000
;
aver (Specify)
L
Deutsche Bank Secunties Inc a subsidiary of Donde Bank AG. cordocts investment tierwano and securities activitres in the tin led Stares
Emma
00PW1.1.0‘27 00A 14 (Wit)
006401062711
SDNY_GM_00038331
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P 6(e) DB-SDNY-0001155
EFTA_00148940
EFTA01282797

•
Option Objectives (check ALL that apply):
. 0 Income (covered call writing) 0 Portfolio Protection (protective puts) 0 Speculation 'spreads & uncovered writing)
Cliental Strategy Requests (Please check as many of the following strategies sought to be employed)
0 I .Covered Cal Writing
Moder ern Risk Calls fully covered by underlying stock. Stock may ce called at any time or at expiration, requiring owner to sell at stroke price
0 2 Purchasing Options
kneMmgSuggantiaLRisk. Entire preniiom is at risk Profit of kss usually determ:ned by selling position. If position is not ceased or exorcised by
exp ration date, options will expire worthless.
0 1 Option Spreads — Margin account required.
Involves Substantai Risk. In addition to risk of mschasing 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 puechaser of option.
ID 4 Uncovered Put Writing — Margin account and special statement for uncovered option writers required.
Insteps Sabscydal R O. If assigned. the dam must purchase the underlying stock at the strike price. which may be subsieritualy higher than the
then-current market price.
E
5. Uncovered Cal Writing — Margin account and special statement for uncovered option writers required.
Involves Sub: danced Risk. Writing uncovered cells involves unlimited financial risk. Option assignments require purchase Of the underlying stock in
caper mast to effect delivery to purchaSer of option.
I have read and understand all of the conditions and stipulations on the reverse side of the form in regard to trading in options end represent that trading
in options s suitable in light of my investment obeectives, financial situation, risk tolerance and knowiedge I hereby confirm that I am the source of and
attest to the accuracy of ttio above information and authorize Deutsche Rank Securities inc. (aso referred to herein as 'Deutsche Sank Alex. Brown') to
verily any representation contained thetein, at its discretion. I will promptly notif a Bank Alex. Brown. in wnting• of any material change in the
above-stated information. I acknoModge that I may obtain an options c corporation prospectus upon request.
I have receiv d and read tie Options ring Corporation Disclosure Document entitled "Characteristics and Risks of
Stands rolls Options."
.. "1!:eit, ;Ooze. I 012-q I leg
Signed Date
Print Client Advisor Name _ CA • —rtS —
Client Advisor Signature 14/-.,. Date (O/ q 2ay' fli ga .
A /
Approval Date
OPTION DEPT. APPROVAL:
CP DATE Canvas..
g
Covered Call Writing
I
Purehaseng Options v 1(0-'3
UaPO ption Spreads —
17r Uncovered Put Venting UU
Uncovered Call Writing
011-PWM-0127 OM 14 (05111)
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EFTA01282798

Risks, Prohibitions and General information Concerning Option Trading
I oridersiand that options transactions imeive a Noah degree of risk and offer no guarantee of pain or assurance against loss. Accordingly, tundras-ore) the prior to engaging in
any option transaction. I should renew 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 insane I expose maser to cetera potentially substantial financial Me in adiStion to those identified on the front side of this form
under the heading tires) Strategy Flequets.- including /kit not limited to the mashing:
— I understand that I should not buy an option udesa lam also@ to sustain a tots loss of the premium and transaction costs.
— else twrite) tovarcel optiarik I uuderStann that I may laden pekainkin in capital gains but retain risk of partiopetion in capital losses in the onderhing sleety. I
understand that if an exercise is areagned to me, I may be forced to liquidate my 003.1on in the endearing security at a tome which they be unfaaorablo to me. I also
understand that l should not sell (wntel a cooled cell option unless I am prepared to Sewer the underlying 'acuity lot a security convertaile exchargorere. or execcisable
into such underline Seciatal upon the exercise of the spoon.
- III see Need oriciwared Oinked, options. l risk sebstamial ramble lees II, arm to the extent that, the market price of the underlying security Increases above the strike prim
of or decreases below the strike price of a put. if en exercise is assigned to me, it will, in all likable* be onetime which wit( force rne to assure such a capital lots.
I understand thal I abate not sea (write to put option or an uncovered cell option. especially en index option, Leese I am able to sustain potentially unlimited lossre.
— I am mete Mal various tattoo may affect the price of an warn contrail, gel as the relationship between the exercise trice and malign Orieo d the udedying SOCurSA
the lime period remaining until the option expires, and the price fluctuation a other Characteristics of the underlying sueuray.
- I am aware that the respective option exchanges (-Exchanges I may. in the discretion and hoe lane to time. test rid transactions in fen:Cuba Opeore a the exercise of
option contracts in the Attest of maintaining a fair and orderly market in option contracts at In the undvtying security, for the protection of investors. I understand that I
may not be able to close a position in the event that a aeon/Ivy merest Inrthe option ceeses to exist or toe kiting exchange reelects or stdoond$ wilrg in the Whoa
— I am swore that the Exchanoes have established reelections on certain opening purchase and sob transactor* on the Exehange wealth arc considered to be resealed
optima.
7 I understand and Agree that my accocntlsl wan Deutsche Baas Seeuritios Inc (elao referred to Pore as "Delman Rank Alec Brown-) will be handed in aoccedacce with the
Rules of the Financial Industry Regulatory Authority ("F/JRA") and the Exchanges on which kited options are traded and of the Options Gearing Corporation l'OCC-1. as
expressed in its prospectus. 1 am aware of and agree to be bound by such rules In accordance with swh nave
- I will not attempt to acquire at any time, either by myself or in concert with others, a pellon in neat of the Units pretested from time to time by the Exchange For
the purpose of computing suds limits. I understand that total long call options and short put options of the some underlying stock moat be added to compute the position
Imo it Similarly total long put options and Shell Call options of the same underlying Mtn MeV be added tb compute the position
— twill not otternot to exercise, other by myself or In contort with others, during and Peed/lbw consecutive business days. a quantity in emcee of the lire pinioned by
the Exchanges.
— I understand that if found in violation of either the preeten limit or the exercise limit I may be subsact to sanctions imposed by the Exchange involved and that these
sanctions may include liorilation of the positions in violation.
a I understand that Deutsont Book Alex. Brown has Witicies which may be mote fond we than no Impose requeMente in addition to these of the ixellactles, FINRA or the New
York Sleek Exchange. I Agree to iitacte by such policies as a anditkon of doing buSineSS with Deutsche Bank Alex. Brown I understand that these policies include but are not
leered to the following:
— Settlement date for all option trades is the business day following trade date. Notwithstanding this pronsion, Deutsche Hank Ake Drown may, in its discretion, eied not
to accept purchase orders in opens unless cash equal to the purchase pew has first been deposited in my account. and may elect not to accept opening sale orders In
options unleee I have first deposed in my account either the required margin or unreeived negotiable Shen* Ce the underlying stock in an amount specified by
Deutsche Bank Alex. Brown.
— Deutsche Bank Alex. Brown may refuse orders to trade options in my account if Marc are restrictions against my account. inducing restrictions regarding trading in the
undenvIng Security. or kit any Other reason at its discretion.
— Deutsche Bank Alex. Brown he set trading paid exercise deadline which correspond to deadlines established by the. OCC and was seem rd responsibility ler completion
of orders entered by clients altar such doodle.
— Margins other n cash or securities, posted by me against short option positions. may not be included in my margin acr.Aunl equity or interest colputatioret Deutsche
bank Alex. Brown may, in tum, use these drawls to secure said short Dogmas with the OCC
— Option exorcise notices assigned to Deutsche Bank Alex. Brown In respect of a short positizon in option co-reacts in oaslomer accounts shall be allocated to customer: of
Deutsche Bank Alex. Brown on an automated racoon basis. I oiralateland dun i1 I am anigted. the 'alignment will be Preeresed as a said lin the ease: el a eel a a
purees lin encase eta Putt Willing two business days from the date of assignment (except for nonequity options, which settle for cash on the day or assignment) and
that I am obrigmed to deliver the inerlying stook or required cash to Deutsche Bank Alex. Brown no later than rettlement dew
4 I understand that margin requirements exist in connection with certain options and 1 agree to meal all margin caps as made by Deutsche Bank Aka. grown, I undostand that
Deutsche Bark Alex. Bryn, in oansming the margin requirements ler optien positions, may impose a higher margin regitement for indedual option positions than other
investment ferns, and that Deutsche Bank Alex. Brawn will intern, me of It, existing margin fectuiremer ts 10i option positions upon request. In the event I do not meth margin
CIPIS promptly, Dei4scho Bank Alex. Brown Is authorized, in its solo dist/anon and without nOtl5eation to me. to take any and all steps necessary to protect itself In oxinnoctien
with put ander all transactions node ler my accoura, including the right to buy and/or sell snort. dr short exempt. for rrry ecenunt trio risk any part or all of ate shares
represented by options endorsed by Deutsche Bank Alex. Brown for my account, or ll) buy (Or my account and risk any puts andfot calls as Deutsche Bank Ale. Brown may
brim necessary for Its protection. I further agree that any and all expenses incurred by Deutsche Bank Ne. Brown In this connection will be reiniburSed by nit.
5. This agreement sea Matey to all option orders for myksur amount whether cw not such orders are executed.
6 I understand that options may be listed on one or mete Exchanges and that If nn Each/moth s sthelied by me. Deutsche Bank Net Brown will use in daemon in routing my
aderifil.
7. thereby authorize you in your sole disciebon and with notification to rne to in the event of my death, without notification to representatives of my rotate a to my heirs)
whenever you deem it necessary fur your protection. to take suds action. Ince:tinge without limitation, to buy. sell or eel she for my account%) and my risk, puts. calls. or
other lams of optiOns andice to buy, sell, Or all Sherri any part or at ol the underlying securities represented Dy OplionS endorsed by you for my becoungst Any and el
expenses...vied/no, without limitation attorneys' foes and their reasonable disbursements, incurred by you in connection with such transactions will be reimbursed by me or by
my estate
B, you are under no obligation to convey to rne any information relating to the underlying Securities 0%aored by an option or any securities related therm. or any information
relating to options whether WO information is then or thereafter known a available. My infOrmatiOn. sake or nOtillealinn n respect 10 any option a 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 otter agreement expressed or
implied. Via" nor he construed as aliktril) an line/red eilreelTUnt or course of dealing between us aro sea nur mew the proverers at this or any other agreement between us.
9. This agreement and its enforcement des roe governed by trio Sava of the Stare of New York and its pnesions sell be continuous; shall was all options transactions
hereunder, wet ee you are acting as broker or principal. and all accounts, indtadually and collectively, whet I may open or re-open with sou; shall Inure to the benefit of your
octant organization, its au:ceases and assigns; trod shall ha binding upon ma arid my estate, exatelors, ado nineties and &SWUM. but no attSig0Ment Shea release me from
any of my obligations hereunder. Written notice of revocabons of this aerospace shall not re ease other of us from any obligations hereunder easing prior to the actual receipt
of such notice by the other.
10. Whenever any law or regulation is adopted which alla cts a *inconsistent with any provision hereof, such mousier, Poll be deemed modifiedor superseded, as the case may
be. by such law or notatiatroni and such fixonsions as so modified a superseded and all other provisions hoover shay in all restaiets continw-th full force and elect. Al tithe
agreements reusing between $ or hereafter made which. by their provisions apply to any ce my transactions and accounts with you, seas be applirable to any of my options
transactions and accounts ewe they are net in Weibel with this agreecrwmi Should such a collie', exist it shall be resolved in favor ul this sgreament Odwrensie. the
provisions OI each etittnhel steal 00 applicable.
II A3 used herein. T and 'me' reign to alt account owners. 'You and 'Yale talcs to Deutsche Bank Alec Wan.
Please Initial Here'
WM.0121 O14 14(05111)
006404 051011
SON YGM_000 38333
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001157
EFTA 01)14894?
EFTA01282799

Special Statement for
Deutsche Bank Alex. Brown
Uncovered Option Writers
A Ov.seet es Deut:che Mont Secrit es Inc
Account No. Account Name aoutb_emirsatQattlivoY JPQ
There are special nsks associated with uncovered option writing which expose the investor to potentially significant loss. I understand
that this type of strategy may not be suitable for all customers approved for options transactions. I also understand each of the
following:
1. The potential loss of uncovered call writing is unlimited, since there is no upper limit on a stock's price and the loss to a writer of
an uncovered call equals the stock price menus the exercise puce. The writer of an uncovered call is in an extremely risky
position, and may incur large losses if the value of the underlying instrument increases above the exercise price. Such a IOSS can
exceed the equity in the call wnter's account.
2. The potential loss hem writing uncovered put options is also substantial. The writer of an uncovered pin option bears a risk of
loss if the value of the underlying instrument declines below the exercise price. However, since stock prices cannot be lower than
zero, the maximum loss is equal to the strike price of the put sold less the premium received for that put. Such loss could be
substantial if there is a significant decline in the value of the underlying instrument and can exceed the equity in the put writes
account
3. FOr combination writing, where the investor writes both a put and a call on the same underlying instrument, the potential risk is
unlimited and can exceed the equity in the option writer's account.
4. Uncovered option writing is thus suitable only for the knowledgeable investor who onderstends the risks, has the financial capacity
and willingness to incur potentially substantial losses, and has sufficient liquid assets to meet applicable margin requirements. In
this regard, if the value of the underlying instrument moves against art uncovered writer's options position, the investor's broker
may request significant additional margin payments. If an investor does not make such margin payments, the broker may liquidate
stock or options positions in the investor's account, with little or no prior notice in accordance with the investor's margin
agreement.
5. The option writer may not be able to rely on the secondary market. If a secondary market in options were to become unavailable.
investors could not engage in closing transactions, and an option writer would remain obligated until expiration or assignment.
6. The writer of an American-style option is subject to being assigned an exercise at any lime alter he has written the option until
the option expires. By contrast. the writer of a European-style option is subject to exercise assignment only during the exercise
period.
NOTE: It is expected that the person(sl signing below will read the booklet entitled Charactenstics and Risks of Standardized Options
available from your broker. Particular attention is directed to the chapter entitled "Risks of Buying and Writing Options' This
statement is not intended to enumerate all of the risks entailed in writing uncovered options.
I have read and understand the above statement regarding the special risks associated with uncovered option-writing and
represent that such trading is suitable in light of my investment objectives, which include speculation, as wed as my
financial situation, risk tolerance and knowledge. I understand that you will rely on the representations I have made herein
and in the Option • and Approval Form I provided to you in determining whether to approve my uocount for the
options strata s 1 have elect d and I he 'hy..eertlfrthe truth and accuracy of such statements.
Signed Date 4441.3
Signed Date
Signed Date
Signed Date
Signed Date
Approved for:
ROP/Manager Approval: Date.
0/3 OBAE1-0126 OM 14 A (Mel
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EFTA_00 148943
EFTA01282800

Joint Account Supplement to Option
Deutsche Bank Alex.B rown
Account Agreement and Approval Form • Oeve mamma. 4.. Win*. DC
Account l\ Mill. Account Name Sawa 1w cakerny let
Second Account Owner Personal Information:
Nome oi.nrwi Jeonarme
se far 'ma
•Ionic Address 6100 a*. Mer:OPM. SI Thema N. 021,2-0M
• lame Pnure _____ Number of Dependents — Mantel Status Bothdate
impicver sewn seamen uc Business Prone __.
Business Address MO Rem snots. a Tbanea.M.O:Kaalse
Arne Of Business ra" Position Years Field
Present Brokerage Accoan:s with:
Does Phe awry how the power to coned any Mho Option Aczountis) with Deoloche Bank Securities Inc 7 laYes Den
II yes. please provide the account numaet:til P"'"" mimes igeM
Third Account Owner Personal Inform/0On:
Name
dome Address
.torn Photo Number of Dependents ._ Marital Status Birthdate
Employe' Business Pnnre —
Business AddresS
Typo of Business _ _ Position Years Held
"resent Brokerage Accounts with:
Dues this once' haw (ho pave le coned any echo Option Accountis) with Deurate Bank Securities Fite ,t arias ONo
If yes please crovide the account numbeilal.
Pouts Account Owner Personal Inlomsallon:
Name
O.v *ow
Home Address
Horne Phone Number of Dependents_..__ Marital Stalls Ecrthdato
implover Business Phone
BannesS Address
Type or Burness Position Years Held
Present Brokerage Areeunts berth.
Coes this owner nave the power to canto' any other Cowan ACODLOSS) with Deutseho Bank Satufhies inc.? aft n No
11 gas, Please rsc"do the sonar!! numbers};
RIM Account Owner Personal Information:
NOME
ti ale Wag
Horne Add'eSS
1
HOME None Numbr of Depends... LS __— Marital Status _ Birthdatu
Employer Business Phone
Business Address
Type of Business Positron Years Held
Mantra Brokerage Accounts with:
Does rilS %Wel have thu corrie, to cent on? otter Option ACCOUPWSII with Deutsche Bank Seemlier* Ind Oyes ONe
If yes. please rende the trocountouwapis:
I I
er Deatell3. OM la a MOO
SONY_GIW•0-36 335
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EFTA _00148944
EFTA01282801