Investment Experience of Account Owner(s) Year First Traded Options Equities Fixed Income Commodities and Futures Structured Products OTC Derivatives Foreign Currency Alternative Investments (Hedge Funds, Private Equity) Average M Trades Per Year Investment Objectives for the Client Account (Select up to two adjacent objectives): Average Size of Types of Previous Option Trades in $ Experience Covered Call Writing Purchased Options Option Spreads Uncovered Put Writing Uncovered Call Writing None Capital Preservation 1 Income Growth Aggressive Growth Representations Relating to Qualification of the Client Check all that apply. At least one category must be checked. I represent that Client qualifies as an "Accredited Investor" as defined in Regulation D under the Securities Act of 1933 because Client is: a natural person with individual income exceeding $200,000 in each of the two most recent years or joint income with a spouse exceeding 5300,000 in each of those years and a reasonable expectation of the same income level in the current year; a natural person with individual net worth, or joint net worth with a spouse, over $1,000,000, excluding primary residence; a trust with assets in excess of $5,000,000, not formed for the specific purpose of acquiring the securities offered, whose purchases are directed by a sophisticated person; •::", a revocable trust that may be amended or revoked at anytime by the grantors and where all of the grantors are accredited investors; a charitable organization, corporation or partnership with assets exceeding $5,000,000; a business in which all the equity owners are accredited investors; a bank, savings and loan association, registered broker or dealer, insurance company, registered investment company, business development company or licensed small business investment company, • an employee benefit plan, within the meaning of ERISA, if a plan fiduciary that is a bank, insurance company or registered investment adviser makes the investment decisions, or if the plan has over $5,000,000 in total assets or a self-directed plan with investment decisions made solely by accredited investors; a plan established and maintained by a state, its political subdivisions or any agency or instrumentality thereof, for the benefit of its employees with total assets in excess of $5,000,000; or ..; a director, executive officer or general partner of the issuer of the securities being offered. WM179078 SPAA OBSI 013017.093017 Rice 2015 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0063431 CONFIDENTIAL SDNY_GM_00209615 EFTA01370536