EFTA Document EFTA01357585

Entity's Financial Details Annual Income: D Less than $50,000 60.000-99.999 CI 100.000-249.999 O 250,000-499,999 500,000-999,999 O 1,000.000.2.499,999 O 2,500,000-4,999,999 CI 5.000,000 and over Net Worth: O Less than $50.000 K 50.000-99,999 O 100,000249.999 0 250,000-499.999 K 500,000-999.999 CI 1,000,000.2.499,999 0 2,500,000-4.999,999 0 5.000,000 and over Entity's Source of Wealth (Check all that apply) O Inheritance or Gifts O Corporate Executive O Sale of Other Assets O Professional Earnings O Sale of Securities O Public or Gov't Official O Lottery or Gaming O Sale of Business Entity's Investment Experience O Individual Earnings O Sale of Real Estate O Corporate Earnings O Business Owner Federal Tax Status (check one): 0 0-15% 0 16.1-32% 0 32.1-50% O 50.1% or more Approx % of net worth that is investable assets: 0 Other (please provide): Investment Type Experience Annual Activity Level (Select one) (Required) Years of Investing None No history of any transactions Limited (1.5 transactions per year) Moderate (6-15 transactions per year) High (Over 15 transactions per year) Equities Options Fixed Income Mutual Funds Exchange Traded Funds (ETFs) Real Estate Property (excluding Primary Residence) Variable Annuities Alternative Investments (Hedge Funds. Private Equity) Structured Products Foreign Currency Account Investment Objectives/Risk Tolerance Investment Objectives (please select up to two consecutive investment objectives): ▪ Aggressive Growth: Investor is willing to accept substantial risk of loss to the portfolio to obtain growth of capital with minimal or no current income. Investor seeks return mainly from potential capital appreciation; liquidity is of no primary concern. CI Growth: Investor is willing to accept increased risk of loss to the portfolio with greater exposure to the equity markets or equivalent markets. The objective is long-term growth of capital. Investor seeks return mainly from capital appreciation and/or higher yielding instruments. O Income: Investor is willing to accept some risk of loss to the portfolio with exposure to income producing securities in equity, fixed income or equivalent markets. Investor seeks return mainly from income. CI Capital Preservation: Risk averse investor who is willing to accept limited risk of loss to the portfolio with limited exposure to equity markets risk or equivalent risks. The objective is capital preservation with limited potential for capital appreciation and current income. Investor seeks stability and a modest return on capital. 12-PWM-0355 011224.062212 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0044212 CONFIDENTIAL SDNY_GM_00190396 EFTA01357585