EFTA Document EFTA01390402

4. ;Branch Supervisor means the manager of the branch office at which Clients Account(s) slate maintained. 5. "Cash Sweep Options' means the program through which certain uninvested cash balances in eligible Account(s) will be deposited automatically each day into interest-bearing, FDIC-insured depository accounts through OBSrs IDP or Into an available money market mutual fund until Client invests these balances or balances are otherwise needed to satisfy obligations arising in connection with Client's Account(s). The Cash Sweep Options are described more - fully in the Cash Sweep Options Disclosure Statement, which will be provided to Client under separate cover after the Account is opened. 6. 'OBSI Privity Statement" means the statement of DOSE, policies pertaining to gathering, protecting and maintaining the confidentiality of Client Information and: in certain limited situations, providing Count Information outside of DBSI. 7. "Party' or 'Parties' means Clients) and DBSI, together with its affiliates, colleCOVely. • 8. 'Restricted Securities' means securities of a corporation of which Client is a director, executive officer or 10% stockholder, or otherwise classified as a control person or insider. or sacurhies that are subject to any restrictions on resale (whether by Applicable Law, contrast or legandko the security), or are not traded on or though a national securities exchange, automated quotation system or other nationally recognized published interdealer quotation system 9. 'Securities and Other Property' means, but is not limited to, money, securities, financial instruments and commodities of every kind and nature end relatedcontracts and options (whether for present or future delivery). distributions, proceeds, products end accessions of ell property owned by the Client or In which the Client has an interest. [THIS SPACE INTENTIONALLY LEFT BLANK) 10 13.AWN1-O196 012145 032813 CONFIDENTIAL - PURSUANT TO FED. R CRIM P 6(e) DB-SDNY-0094901 CONFIDENTIAL SDNY_GM_00241085 EFTA01390402