EFTA01426472Set 10
2018-10-3120p4,218w
Objectives,
Strategy Requests)
0
2nd Page - sign, date and print name
4th Page - Initial
- Uncovered Call Writers - Sign and date - we will need the
original form as well as margin ... Options
^ Covered Call Writing
^ Purchased Options
S Option Spreads
0 Uncovered Put Writing
0 Uncovered Call Writing
n None
1988
10
Equities
r
1988
10
' Fixed Income
1988
10
Commodities ... price, which may be substantially higher than the
then-current market price
0 5. Uncovered Call Writing—Margin account and special statement for
uncovered option writers required. Involves Substantial Risk
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01426472.pdf
EFTA00165862Set 9
12p6,579w
Uncovered Put Writing
Listed Stock Index 1000 10 61,000,000.00 1,65 gi Uncovered Call Writing
010 Denvetives 4. 1988 10 01,000000.00 _ . lag I 1 None
Structured Products ... sfiNe price, which may be substantially higher than the
Men-wows market price.
5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required.
Involves Siitistantial Risk ... Writing uncovered calls involves unfirrited financial risk. Option assignments require puatase of the uncledying stock in
open market to effect delivery to purchaser of option.
I have read and understand
https://www.justice.gov/epstein/files/DataSet%209/EFTA00165862.pdf
EFTA01283126Set 10
5p3,653w
Uncovered Put Writing
Listed Stock Index 2011 10 31,000,81000 11000 IZ) Uncovered Call Writing
OTC Derivatives 2011 10 61,000,000.00 1,000 O None
Strummed Products ... APPROVAL:
DM
g❑
i Covered Call Writing
Purchasing Options
Option Spreads
❑ Uncovered Put Writing
❑ Uncovered Call Wnting
0e-PW84-0121 OM t4 (05.1i t)
006404 051011
SDNY ... options transactions. I also understand each of the
following:
1. The potential loss of uncovered call writing is unlimited, since there is no upper limit on a stock's price
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01283126.pdf
EFTA01283088Set 10
12p6,561w
Vncovered Put Writing
Listed Stock Index 1588 10 $1,000,000.00 1,000 It Uncovered Call Writing
OTC Convatives 1985 10 $1,000,000.00 1,000 0 None
Suoctomd Products ... Margin account and special statement for uncovered option writers required.
Involves Substantial Rit. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the undeilying stock in
open ... Call Writing
f to--0-13
Purchasing Options
Option Spreads
Uncovered Put Writing
0 Uncovered Call Wnting
09P1W-0127 14 05/11)
SONY W87
CONFIDENTIAL - PURSUANT TO FED. R. CRIM
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01283088.pdf
EFTA00165874Set 9
4p2,809w
Option Spreads
Fixed income 1988 10 51,000,000.00 1,000 ✓ Uncovered Put Writing
Uncovered Call Writing
Commodities and Futures 1988 10 $1,000,000.00 1,000
None
Exchange Traded ... higher than the
then-current market price
option writers required. Involves Substantial Risk.
✓ 5. Uncovered Call Writing-Margin account and special statement for uncovered
of the underlying stock in open ... market
Writing uncovered calls involves unlimited financial risk. Option assignments require purchase
to effect delivery to purchaser of option.
and represent that
I have read and stand of the conditions
https://www.justice.gov/epstein/files/DataSet%209/EFTA00165874.pdf
EFTA00169752Set 9
2011-11-105p3,680w
st000poo.00
_Lsi,00kose.00
000
1,000
El Uncovered Put Writing
❑ Uncovered Call Writing
0 0
OTC Deovaiives 2011 10 I stook000.00 “Oo O None
2011 —I-
i.. Structured Products ... Writing
Purchasing Options
1 &Option Spreads _ 1 i'-fcrt)
a Uncovered Put Writing
Li Uncovered Call Writing
09-PV&I-0127 OM 14 (05f11)
001404.05 to1i
CONFIDENTIAL - PURSUANT ... options transactions. I also understand each of the
following:
1. The potential loss of uncovered call writing is unlimited, since there is no upper limit on a stock's price
https://www.justice.gov/epstein/files/DataSet%209/EFTA00169752.pdf
EFTA00165817Set 9
5p3,695w
Uncovered Pur Writing
Listed Stock Index 2003 10 $1,000,000.00 1,000 P Uncovered Call Writing
Or C Derivatives 2003 10 $1,0110,000.00 4 . 1.000 O None
Structured ... price, which may be substantiatly higher !han the
then-current market price.
1.{.! 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required.
Inv°tuns aubsieptial ... Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in
open market to effect delivery to purchaser of option.
I have read and understand
https://www.justice.gov/epstein/files/DataSet%209/EFTA00165817.pdf
EFTA01282866Set 10
5p3,696w
Uncovered Put Writing
Listed Stock Index 1999 10 $1AOO,OOO.OO 1,000 opi Uncovered Call Writing
OTC Derivatives 1999 10 51,000,000.00 1,000 n Nene
Suuctured Products ... which may be substantially higher than the
then-current market price.
12:1 S. Uncovered Call Writing — Margin account and special statement for uncovered option writers required.
lateglastantiat Risk. Writing ... limit on a stock's price and the loss to a writer of
an uncovered call equals the stock price minus the exercise price. The writer of an uncovered call
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01282866.pdf