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.
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10 13.AWN1-O196
012145 032813
CONFIDENTIAL - PURSUANT TO FED. R CRIM P 6(e) DB-SDNY-0094901
CONFIDENTIAL SDNY_GM_00241085
EFTA01390402