EFTA00165817.pdf

, • . •• Deutsche Bank Wealth Management Lel Private [ Option Agreement and Approval Form Please Comps Account No . Account Name J"P el2 Ine' Account Type Cash Entity _ _ _____ Account Registration __ O Managed Account O Disaetionary Account O Other Narrie(s) 01 persorgsl other than account owners) authorized to place orders for the account:. Jeffrey Epstein, Harty Beller, Jeanne Brerman Account and Owner Information (Provide requested information for each account owner (-Client). Attach supplement to this Agreement rf necessary) Name Jeepets Inc. Address 6100 Red Hook Quarter, B3, St Thomas, 00802 Country Virgin Islands Phonall Number of Dependents HA Marital Status NA Binhdate 8/1812003 Employer NA Business Phone Business Address Type of Business Position Years Held Present Brokerage Accounts with: JPMorgan Does the individual or entity that Controls this account have the power to control any other Option Account(s) with Deutsche Bank Securities Inc.? V Yes O No II yes. please provide the account number(s). Will Provide List Client(s) Financial Information Approximate Aggregate Annual Incdme Of Account Owner(s) from All Sources Sources of Income (Approximate) Approximate Aggregate Net Worth CI less then $50.000 Salary/Bonus 50 To Leal/ Aoroeurnno Not Werth NI' wen" patitoegfrespel Siesdiete. U 550,000 - 599.999 5100,0000 - $249.999 Interest/Dividends 60 % . O Less than 350'" O Less than $50,000 550000 -$99.999 O $50. 0 000 - 599,999 $250.000-5499,999 0 5500.000 - 5999.999 spe Other ( ofy): % U • 5100.000 - 5249,999 D $100,000 - 5249.999 5250.000 - 5499,999 05 250.030 - $499.999 51.000,000- $2,499,999 % O 5500,000 - 5999,999 05500.000 - 3999.999 CLI 32.500.000 - 54,999.999 ) $5.000.000 and over % • 51,000.000 - 52.499,999 O 51.003.000 - 52.499,999 52,500.000 54.999,999 O 32.500,000 54.999.999 151 $5,000,000 end over 055.000.000 and over Investment Experience of Account Oveneris) — — —. —. —. Year First /raided Average 4 Trades Per Veer Average Sue of Trades In S Average Sue n Shares I Coritiact Types or PPOVIOWS °Mon Imarilleeral Options 2003 10 $1.000,000.00 1,000 Covered Call Writing Stocks 2003 10 $1,000,000.00 1,000 lJ Purchased Options Bonds 2003 10 51,000,000.00 1u000 Ele Option Spreads Commodities 2003 10 51,000,000.00 1 COO [21 Uncovered Pur Writing Listed Stock Index 2003 10 $1,000,000.00 1,000 P Uncovered Call Writing Or C Derivatives 2003 10 $1,0110,000.00 4. 1.000 O None Structured Products 2003 10 $1,000,000.00 1,000 Other (Specify) ____ Deutsche Bank Securities Inc . a subsidiary of Deutsche Bank AG. conducts invosunent banking and securities octanes in the United States. Ill IIIIII III I 0PPAS/471127 OM 14 (0911) 000/04 052711 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001565 EFTA_000 15039 EFTA00165817 • ' .: Option Objectives (check ALL that apply): 0 Income (covered call writing) 0 Portfolio Protection (protective puts) El Speculation (spreads & uncovered writing) Client(s) Strategy Requests (Please check as many of the following strategies sought to be employed) 51 1. Covered Call Writing MOCCIate Risk Calls filly covered by undedying stock. Stock may be called at any time or at expiration, requiring owner to tel at strike pnee. 0 2. Purchasing Options Involves Substantial Risk, entire premium is at risk Profit or loss usually determined by soling potion. It position is not dosed or exercised by excretion date, options will expire worthless. 0 3. Oration Spreads — Margin account required. • lOYCkaiS11laSlertriathiSt. in addition to risk of purchasing puts or cell% if long side is cosec out leaving only a short position. the financial risk becomes ansmited. Option assignments requka purchase of the underlying stock in the open market to effect debvert. to purchaser erl option. 10 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required. Involves_SubsWmial /tisk If assigned, the client must purchase the r.nderlying sloe( at the strike price, which may be substantiatly higher !han the then-current market price. 1.{.! 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. Inv°tuns aubsieptial R sir. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. I have read and in options is suitable attest to the accuracy verify any representation abow-stetod information. I have received Standardize understand a41 of the conditions ale stipolations on the reverse side of this form in regard to trading in options and represent that trading in light of my investment objectives. financial situation, risk tolerance and knowledge. I hereby confirm that I am the source of and of the above information and authorize Deutsche Bank Securities Inc. (also referred to herein as "Deutsche Rank Alex. Brown') to contained therein, at its discretion. I will promptly notify Deutsche Bank Alex. Brown, in writing. of any material change in the I acknowledge that I may obtain an options dearing corporation prospectus upon request. and read the Options Clearing Corporation Disclosure Document entitled "Characteristics and Risks of tions." /e l? fSictne-0) .Date' 5/ 3 ....., Signed Date Print Client Advisor Name -7;ted y r CA* Client Advisor Signature Date L/ IS RCP Approval Ci-(_/ Date A r OPTION DEPT. APPROVAL: SIX* ig)Covered Call Writing DA It --- Comments 3Purchasing Options b6) Option Spreads 7 —prcl -tr -C 7— to Uncovered Put Writing EI9Ur.covered Cell Wnting 09-PViekoin Om 14 (09 ill 006404.061011 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001566 EFTA_000 15040 EFTA00165818 Risks, Prohibitions and General Information Concerning Option Trading I 'remise that options transactions involve a high degree d risk and Offer no guarantee of gain a assurance against loss, Accordingly. I understand Mai poor to ~yang in any onion transaction. I should review my anent financial aluation and determine whether it is adstabfe to incur the Mk of Itts assocatoxl with that particular Investment, 1 I understand fiat when I engage ci amen tracking I expose mysdi to certain. Mention &Aslant ial financial risks in walla to ti e identified an the front }de 04 this toms mks the heading "Chanel Se Mew Fkquests.' including bl ont limited to the following: — I understand that I Mould no: buy Sri anon unless I am able to sustain a total Kea of the premium and transaction oats. — If I Sep Lyme) covered eel ons. I understand that I may IMO participation in aortal grans but reran ttsk of parunpalinn in capital »Sang In the underling security. I understand that if an exorcise is assigned to me I may be laced to liquidate my position in the underlying scanty at which may bo mitivaatie to me. I alto understand that I should not see (write) a covered MI option Maslen. Croppred to deliver the underlying Security Or a security convertible, excloangenie, or wrorenable into aao underlying security) loon the exercise el the option - tines rivnte) uncoated maled) options. I rek substantial capital loss it and to in extent that ~market price of the underlying se unity Manses abode the stoke mice data. a decrenes below the strike Price elapse It an exorcise is assigned to me. It will, in all likelihood. be at a time wad, swat force at to Munn such a capital toss. I understand that I should not MI Mal e put option or an movered call option, °specially an index option. °dew I am able to ~stain potentially unlimited Inset — lam aware that venous factors may affect the Prim dan op M, omsrad, aid. as the relationship between the ~Cite prim and mead priori of ea underlying security. the time period (carom until to option expires. and the prat nuctuatIon or Mew charactenstia ol the underlying secdritY. — lam ware that the rospective option radunges ("Exchangon't may, in heir discretion and from time to time, restrict transactions in particular apfans or the manse ol neon contracts in the internt of maintaining a fair and orderly ;aka in option contracts cr in the underlying security, la too pracctiOn Cl aesins I undtraland that I may not be al* to dose a posibon in the event that a tecondery mamma mono roam to exist a the let no exchange annals a susnends Kaduna in the option. — I am aware Mal the Exchanges have estatashert rostnelions on certain opening Purchase and sale transactions at the Exchanges which lee considered to be regaled optiens 2. I unlerstand and (din that my eahudISI with Decline Ronk Se irran Inc. Ono referred to heroin as "Deandke Bank Akre &own") Mil tic banred in Decadence with the Riles of the Rnancial lanstry Reguletory Audoceity ("FftilltAl and no Exchanges on which geed options are traded and of the ()aims Clawing Corporation COCCI. in animal in its prospectus. I an Swain el and agree lobe bound by such ram. ko acardance with such ruts: I will nor imam lo stoma at any linsy, either by myself or in contort with ahers, a peeition in moss of the limits prescnbed from time to emu by tho Exchanges. For the purpose of computing such hats, I understand that total lay call options end short put options of the same underlying stock ant be added to compute the pratinn knit. Selkirk/. total long Put elMens and she Call options 01 the same underlying stock inn he added locoman the Partin Wert I will not attempt lo Otereiete calla by mwell or in amen veil, others, during any nand five beans days a quentity in excess of the limit prose:ion by the Exchanges I undermost that If found in Nållonof either Ma position limit or the exterche ',allay be subject to suction% ~own by the Exchringe involved and that these sanntias may include liquidation of the petitions in violation. 3 tenanted Thal Deutsche Hank Not Brown has policies which may be mwe restrictive than of knew requiem/nu In addition to an nr the Exchnopes FINRA a the Now York Stack Exrnange. I agree to abide by sawn policies after:nation of doing business with Deutsche Bank Alex. Brows.. t UndeenAnd that these policies include but are not Muted to the Naming: — Settlement dale for dl option trades is the business day follnering trade date. lbsvnlstardkg this provision. Deutsche Bank Wen. Brown may. In its discretion. elect not to accent Paean eness in options ur*Ss Cash equal to the purchase price has firs bear deposits in my eadatt. and may elect not to accept opening sale atlas in options Meru I MM Fira departed in my account either the required maregn or unrestricted negotiable Mies of the underlying Sleek in en amount specified by Deutsche Bank Nei Bran. — Deutsche hank Wes. Bran may abuse ants to bade opens in my amain N there are fOldriebOnS wine my account induding restrictions regarding trading in the underlying meaty. or for any oart reason, at its natlican. — Deutsche Bank Neat Brehm has set trading and exercise deadlines which correspond to deadlines established ty the OCC and will accept no resporabaity for completion of Orders Mind by clients Ma such deadline. — Mama caw in roan Or menties. pasted by rile against don option ~ions. may null be landed in my asan oCONIM enmity er interest imputations. Deutsche Bank Ma &own may. in an use then dronSits to secure said short posher's with two OCC. — Option exaose notas assigned to Deutsche Bank AM. Brain in respect ol a snort ~on in option contracts n customer SCOOunts Shall be allOrtitod to fakSIOrNX5 (Nolan Elant. Alex. Fkown on ah aularMed random heals. I uoderstand that Clam ass:gnarl tho ~inn tut we be processed mama en the case decal) re a purchase In the awe dame), settling two business dayS koni the dale of ~anent (except for non-acuity Options. which settle la Cads on mu asy of :alignment, and tant I art, obligated to deliver the underlying sink or required cash to Deutsche Bank Alex. Brown no later than settlement date. 4. I underatand that nonfat requirements exist in connection with certain options and I agree to mad all margin cat as made by Deutsche Bank Mot Brown. I understand that Deutsche Bank Aka Brown, in computing the margin requinnents for option positions. may impose a higher margin requirement for Mamba' Option posthons titan Other inveShrent firma and that Deutsche Bank Alm Brown MI infwm am ol Its misting magin rersirements for option positions upon noun In the Weald° not meet margin alls promptly. Deutsch: Rsnk AMA Brown is auth orized. in its sole danstim and without notification to roe, to take any and al site mama to protect itsell in narration with put anda cat transactions made fer my amount, deluding the right to buy and/or arg soat a short moot for my eeOfilint anti sak any pact a all ol Ins shores remscrited by options endorsed by Deutsche Bank Alex. Brohot tor my acacia. a to bry la my amount and rusk any puts and/or calls as Deutsche Bank Alex, Brown may doom necessary la Its maxdon. I Nine, agree that any can as touponsin incurred by Deutsche Bank Alex. &Oval in INS ~churl w)11 be reimbursed by me 5. This agreement shall apply to all option cedes for miner aCCOUrel. whether a not such orders are exriculro, 6 I understand that cane may be ised on ore a more Exchangers and that il no Exchange is speared by me. Deutsche Bank Am. Brown will use is dscrotion in muting my ranked. 7 I head authorize you in your sole decrenn and nth notification to rile for in the event of my death without medication to rIgnstanteitIveS of my estate or to my heal ~ewe you deem it necessary for your protection, to gee such action. Wang. without Initiation, to buy. sell a sell snort for my areCOundS) and my ryk. ',UM. Or Other forms el Options anaor to buy, sat or tel short any part a all of the underlying Seeuritan ~resented by °Miens endorsed by you fa my accournta. Any and all expresses. Including without limitation attorneys' fees and loar rawanabe ~moms, incurred by you in COnneetOn with salt transaains will be rein:wised by ria or by my estate a. You ore under no otepation to canny to row any information relating to tho undone° securities mural by an option or any sectarian related Ostia or any Mammon relating lo options whether such Information a Mon or thereafter knOvni or .wadable. Any infOrMatiOn ave nitificalion in rasped to on? option a erW mdeinng securities a senates relating thereto which you may give me end which em ace not required to give by the terms of Ins agreement or any other agreement. erormed implied, MK not be ronstned as aratIng an inp/rOd "'Cement a Cana of diseg between ors attuned nor Impart the provisions a this or shy Other agreement between in. 9. this agreement and its enunenweit anal be governed be the laws of the Sate of New York Inn its provisions shall be continuous, shell cows al optics transactions hereunder. whether you are acting as broker or principal. and all ocean's. indviduely and tatectivehis which I nay open or re-open with you; shall inure to the baneful of your present Organization, as winners and assigns: and exa be binding coon me an my estate. ~a administrators and assigns. bur no assignment arse nonce me from any of my obligations hereunder. Wave mice el restanionS d this agreement Mil rot release either of us born am ~ions hereunder wiling Prier to the actual receipt of such notice by thu other. 10 Whenever any law or roadalon is adopted which affects or is ennornisient with any provisen Ivaco& suds provision shad be deemed modiled a Supersecret &Illy teen may be. by suet. raw a regulationt and such pro-Mons as so Modified or Supeeaded and all other provisions hereof shall in all respects continue in lull force and affect AYother agreements existing between or a hereafter made *nick by their provisions apply to any of my transactions arid accounts nth you. MO be applicable to:name options transactions and artOuntS woo they an: no. in awflict with this agreement Should such a codlict titel ut shall be resolved in fewr ol this agreement. Otherwise, the pensions of each aoreemenl tall be a peecablo. A5 mid herein. 'r and "me' reins to ail account owners "You' and -Your" rebus to Deutsche Bank Alex. Brown. 11 Please Initial Here: 12/ OM 14 (05/11) 00640405/0,1 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001567 EFFA_000 1504 1 EFTA00165819 Special Statement for Uncovered Option Writers Account NO. Account Name Deutsche Bank Alex. Brown ♦Oir.fronN Octilsche Bonk Senvittn, Inc Jeepers Inc. PA There are special risks 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 an customers approved tor 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 minus the exercise price. The writer of an uncovered call is in an extremely risky position, and may incur large losses it the value of the underlying instrument increases above the exercise price. Such a loss can exceed the equity in the call writer's account. 2. The potential loss from writing uncovered put options is also substantial. Tho writer of an uncovered put 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 loss the premium received for that put. Such loss could be substantial it there is a significant decline in the value of the underlying instrument and can exceed the equity in the put writer's 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 understands 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 an 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 tittle or no prior notice in accordance with the investor's matey, 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 Americarr•style option is subject to being assigned an exercise at any time after 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(s) signing bolow will read the booklet entitled Characteristics and Risks of Standardized Options available from your broker. Partieular 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 speailation, as well 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 Agreomont and Approval Form I provided to you in determining whether to approve my account for the options strategiga I have elected and I hereby certify the truth and accuracy of such statements. Signed Signed Date Signed Date Signed Date Signed Date Approved for: covered Calls covered Puts ROP/Manager Approval: Date Date 7 94,..9/2 5 0126 Ora rd A RAM CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001568 EFTA 00015042 EFTA00165820 Joint Account Supplement to Option Account Agreement and Approval Form Account No 1040'4' 696 Account Name ',own Im Deutsche Bank Alex. Brown • el re...* M.,. V.L•ro 1:4 Second Account Owner Personal Information: Name S'e'e' awes Home Address "C°14°414:68% Thins vk "3"348 Home Phone Number of Dependents Mantel Status _ °adulate Emeseier somereessindolue °useless Phone Busmen Address skew maces. Si Ira 61. COMM LS Type of Business Ams" NOW! Eiiithesage ACCountS with. Dees this owner teve the power to convert any other Option AceountOl with Deutsche Bank Securities Inc.) El Yes K No If yes, please proide the account menbeitslYess"'""P"* .x" Position 4100• no. Years Held Third Account Owner Personal Information: Name end Home Address Sh1 laiiivisaie,P14. New Veit 1001441146 Home Phone "till Fmployec Sawn. Ferecie uo Number of Dependents .. Markel Stahel Onhdale Business Phone Business knew 6100 SW Ma OW. St Tun VS 00402-1616 hypo of Business 11/441444 Petition Years Held Present Brokerage ACCOunls with Does this owner KAYO the power to tend any other Oolon Ancountisl with Deutsche Bank Sweeties etc.? Uwe, plow* prnwde the account numterts) tram sheweIrm \ Due Fourth Account Owner Personal Information: Name Home Address %Sere /*I Have Ph0e011 . Number of Dependents Marital Status °lands W Employer _ Dueness Phone Business Address_ _ Type of Business _ Present Brokerage Accounts with. Doss this aver IXIVO WO power to control any other Option Accounts) with Deutsche Bank Securities lee °Yes. Pleese provide the account numberlD. Radon Years I kad raThe ONO Fifth Account Owner Personal Information: Name Home Address Home Phone Nuothei of UoPendents Marital Status _ Binhdate Employer Business Addicts •••• Business Phone Tyne Of BUSII1OSS POSIIOP PrISCOI Breaks/age Accounts wall: Does Iles owra have the power to control any Other Option Accourds) with Deutsche Bank Securities Inc.? II yes. 004441 OtOVitte the account nurnbcds/' Years Hold Oyes ONe unit I 06 SBA3 0631 ON 14 0 812.00, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001569 EFTA_000 15043 EFTA00165821