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es The nvestnent objectives wed risk profile we specific to each account and may soybetweenset wan. Please Saw the Firm promptt in venting of try Upton change in yor financial shuationcr CONFIDENTIAL investment objectives. For etchMacro held, you choose one of the Solbwrg investment objectives: •
s up to 5500.0P) (including 5250,0W ice Wins for cash). The SIPC asset protection limns apply to al anent that you hold n a panictler cepacky. The Firth together was certain off Pines, ha also purchased supplemental protection. The mini-run amount pays le to al Sob* diets. coliciwelyu-dm this prote
ase 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 263 of 347 SEC Form 4 FORM 4 Check Pis bar arelonger Gutted to Seas:ale. Form 4 a Farm 5 (Upton may winos See bylnicito UNITED STATES SECURITIES AND EXCHANGE COMMISSION washnson. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed
of Reporting Personrst to Issuer (Check all apiSicabki) X 011OCIor ID% 0AnOr Onicer (give tab Other (specify below) below) i BSC I (Last) Firth (Istiddle) C/O BEAR. STEARNS 8 CO. INC. 383 MADISON AVENUE 3. Date of Earliest Transaction (MongsDay4Yeer) 01/03/2007 4.11AmenOment. Dale of On
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP awe 1,1101,01: bores 3235.0287 FObflaff 28. 2011 Settee 16 Fame a Forms ESIMatOO evorage bunion (Upton may ceding See ',budge OS Fikd pursuanl to Section 18(a) of the Sedates Exchange Ad ol 1934, Section 17(a) el the Public tidily Holdng Company Add
l Reporting Person(sl to Issuer (Check SI appicabb) X Director tO% Oener X Officer (give tab Cater (speedy below) below) President iLaso Firth (Middle) C/O BEAR. STEARNS @ CO. INC. 383 MADISON AVENUE 3. Date of Earbast Transaction (1AonthDaylYear 12/21/2007 4. II Amendment. Date of Ong
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