EFTA Document EFTA01453155

Entity's Financial Details Annual Income: O Less than $50.000 El 50,000-99.999 O 100,000-249.999 O 250.000-499,999 O 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: CI Less than $50.000 0 50.000-99,999 K 100.000-249,999 O 250.000-499.999 K 500,000.999.999 O 1.000.000-2.499.999 O 2,500,000-4,999,999 K 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 O Individual Earnings O Sale of Real Estate O Corporate Earnings O Business Owner Federal Tax Status (check ono): 0 0-15% 0 15.1-32% 0 32.1-50% 0 50.1% or more Approx % of net worth that is investable assets: 0 Other (please provide): Please further describe the Primary Account Holders source of wealth including but not limited to employment (history if retired) earnings (salary. bonus, commission), name of businesses owned/sold (history of growth & revenues, assets & fiabifities, proceeds of sale). For inheritance/gifts include the amount from whom, and how originally earned. Entity's Investment Experience 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) Variable Annuities Heal Estate Property (excluding Primary Residence) Alternative Investments (Hodge Funds, Private Equity) Structured Products Foreign Currency Account Investment Objectives/Risk Tolerance Investment Objectives (please select up to two consecutive investment objectives): O 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. O 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. O 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. 2 12-PWM-0355 011224.091212 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0110607 CONFIDENTIAL SDNY_GM_00256791 EFTA01453155