Deutsche BankCorporate & Investment Bank

Global Market Structure

Background:The Large Trader Reporting Rule1 was driven by the SECs 2010 Concept Release on Equity Market Structure and the Flash Crash of May 6, 2010. The new rule seeks to bolster the SECs ability to monitor activity across markets and more effectively reconstruct market activity.

Who is a Large Trader?Generally, Rule 13h-1 defines a “Large Trader” as a person or entity that:1. Exercises investment discretion over one or more

accounts and in relation to those accounts, effects transactions in NMS Securities, which in aggregate equals or exceeds (a) 2 million shares or $20 million in a calendar day; or (b) 20 million shares or $200 million in a calendar month; or

2. Voluntarily registers as a large trader

To determine whether the relevant thresholds have been met, certain trading activity can be excluded; such as, certain corporate actions. A participant may not net purchases and sales when determining whether it has met the relevant thresholds. The Rule establishes a methodology for determining the market value of options transactions.

Large Trader ID Rule The SEC approved the new Large Trader Reporting Rule (Rule 13h-1) on August 3, 2011. Rule 13h-1 is expected to impact market participants that conduct substantial amounts of trading activity in certain U.S. securities, and registered broker-dealers who effect transactions or carry accounts for these participants.

New Requirements for Large Traders:December 1, 2011 is the currently scheduled deadline for Large Traders to comply with the Rule’s filing and disclosure requirements.3. 1. Filing Requirement: Generally, Large Traders must

self-identify to the SEC promptly after exceeding a relevant threshold by filing Form 13H through the SECs Edgar Website. Once a Large Trader files its form 13H, it must make an annual filing within 45 days after the end of each calendar year, and also promptly following the end of a calendar quarter in the event that its current Form 13H filing becomes inaccurate. Notably, complex organizations may have multiple related legal entities each qualifying as a Large Trader, the parent company may file and maintain a single Form 13H on behalf of all Large Traders in its organization, or each Large Trader within the organization may file and maintain a form 13H on its own behalf.

4. Disclosure Requirement: Each Large Trader must self-identify itself as a Large Trader to each registered broker-dealer effecting transactions on its behalf by providing each with: (a) the large trader identification number (LTID) obtained by the Large Trader from the SEC after submitting an initial Form 13H filing, and (b) each account to which the LTID applies. Industry groups are working to determine whether the SEC expects Large Traders to provide an LTID to each and every broker-dealer involved in the execution and clearance of the Large Trader’s transactions, or if the SEC expects an executing or clearing broker who obtains an LTID to forward the LTID to other brokers who may be involved in executing and or clearing the Large Trader’s transactions.

Point of Note: Industry groups are working with the SEC and other regulators to define the Large Trader ID (LTID) field length, character requirements, and format consistent FIX specifications.

How to Report Your LTIDs to Deutsche Bank:If you are required to provide your LTID or LTID(s) to Deutsche Bank Securities Inc., you may do so by completing and then submitting the attached form via email to:

—DB.LargeTrader@db.com

For General Questions on Large Trader ID:Please contact your sales representative

1SEC Speech on LTID

Key Dates: —August 3, 2011: LTID Approved —October 3, 2011: LTID Rule Effective Date —December 1, 2011: Scheduled Compliance Date for Large Traders to identify themselves to the SEC pursuant to Rule 13h-1(b). —April 30, 2012: Scheduled Broker Dealer Compliance Date to maintain records, report LTID activity to the SEC via blue sheets, and monitor for unregistered LTID activity.

Relevant Links: —SEC Approved LTID Rule Filing — Federal Register Approved SEC Filing — Edgar Filing Website for Form 13H — Edgar Filing Instructions for Form 13H

For Corporate Investment Banking Customers: How to Report your Large Trader ID to Deutsche Bank November 1, 2011

Deutsche BankCorporate & Investment Bank

Global Market Structure

Name of Institution: ______________________________________________________________________________________

Large Trader ID(s): ______________________________________________________________________________________

LTID Apply to all sub-accounts?: YES NO

If YES, please provide one sub-account number (ADP Account Number and ADP Account Name) and we will cross

reference all others: ______________________________________________________________________________________

If NO, please provide a list of the specific sub-account numbers (ADP Sub-Account Number and ADP Sub-Account

Name) to which each LTID applies (Attach a separate list if necessary): _________________________________________

___________________________________________________________________________________________________________

Contact Name: ______________________________________________________________________________________

Contact Title: ______________________________________________________________________________________

Contact Phone: ______________________________________________________________________________________

Contact Email: ______________________________________________________________________________________

Sales/Account Rep @ DB: _______________________________________________________________________________

Notification of LTID(s) will be accepted by DB Client Services Department by returning this form (or all relevant information) by email to: DB.LargeTrader@db.com

— If you have questions about this requirement, please do not hesitate to contact your Account Representative at DB for assistance.

—Specific questions regarding the completion of the form can be directed to DB Client Services via email or by calling 212-250-3130.

Please note that we may provide information that you submit to us on this form to other broker-dealers involved in effecting, clearing or carrying your transactions, but only to the extent reasonably necessary to comply with Rule 13h-1.

Thank you for your cooperation in this matter.

Large Trader ID (“LTID”) Reporting Form

Deutsche BankCorporate & Investment Bank

Global Market Structure

If you would like further information on any of the items included in these documents then please contact the Global Market Structure team (global.marketstructure@list.db.com; +44 207 547 4390 / +1 212 250 4170 / +852 2203 5710).

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