Summary of Material Changes to Glendale Securities, Inc. Form CRS Our
Glendale Securities, Inc. 的重大变更摘要我们的 CRS 表

GLENDALE SECURITIES, INC.
格伦代尔证券公司

Account Application Instructions
账户申请说明

To Apply for an Account
申请账户

• Please complete the Brokerage Account Application Forms
  请填写经纪账户申请表
• Please read the Customer Agreement and sign where necessary
  请阅读客户协议并在必要处签字
• Please sign Additional Documentation, as applicable
  请签署适用的附加文件
• Please include a clear photocopy (enlarged, if possible) of your current passport, driver’s license or other government issued document bearing a photograph and including a signature when returning this application.
  在交回本申请表时，请附上您当前的护照、驾驶执照或其他政府颁发的证件的清晰复印件（如有可能请放大），复印件上须有照片和签名。

How to deliver paperwork
如何递送文件

Mail and Overnight Courier
邮件和隔夜快递

Fax 传真

Email 电子邮件

GLENDALE SECURITIES, INC.
格伦代尔证券公司

Funding Your Account: 为账户注资：

Incoming Checks 收到的支票

Incoming Wire Transfer 电汇

Outgoing Wire Transfer ${}^3$${}^3$^(3){ }^{3}
汇出电汇 ${}^3$${}^3$^(3){ }^{3}

GLENDALE SECURITIES, INC.
格伦代尔证券公司

ACCOUNT APPLICATION 账户申请

The following information provided by you (the customer) becomes an integral part of the agreement between you and Glendale Securities, Inc. (Glendale) and Wilson-Davis & Co., Inc. (WDCO), its clearing firm.
以下由您（客户）提供的信息将成为您与 Glendale Securities, Inc. (Glendale) 及其清算公司 Wilson-Davis & Co.

3. Beneficial Ownership (entities only):
3.实益拥有权（仅限实体）：

Please provide a government-issued picture ID for each of the above individuals. Provide formation documents for any entities listed above.
请提供上述每个人的政府签发的带照片身份证件。提供上述任何实体的成立文件。
Please list one individual with significant responsibility for managing the subject entity, such as executive officer or senior manager (CEO, CFO, COO, Managing Member, Partner, President) or any other individual who regularly performs similar functions:
请列出一位对主体实体的管理负有重大责任的个人，如执行官或高级经理（首席执行官、首席财务官、首席运营官、管理成员、合伙人、总裁）或任何其他经常履行类似职能的个人：

Investment Objective Descriptions
投资目标说明

risk of this strategy is that returns may not offset inflation.
这种策略的风险在于收益可能无法抵消通货膨胀。

• Income: The primary objective of the income strategy is to provide current income rather than the long-term growth of principal.
  收入：收入策略的主要目标是提供当前收入，而不是本金的长期增长。
• Growth: The objective of the growth strategy is to increase the value of your investment over time while recognizing a high likelihood of volatility.
  增长：成长型策略的目标是在认识到投资极有可能出现波动的同时，逐步增加投资价值。
• Speculation: A speculative objective assumes a higher risk of loss in anticipation of potentially higher-than-average gains by taking advantage of expected price changes. You recognize and are able to bear the full risk of the loss of some or all principal in such investments.
  投机：投机目标承担较高的亏损风险，以利用预期的价格变化获得可能高于平均水平的收益。您认识到并有能力承担此类投资中损失部分或全部本金的全部风险。
• Liquidation: Complete liquidation of account assets.
  清算：完全清算账户资产。

Risk Tolerance Descriptions:
风险容忍度说明：
may not keep pace with inflation.
可能跟不上通货膨胀的步伐。

• Moderate: You are willing to accept some risk to your initial principal and tolerate some volatility to seek higher returns, and understand you could lose a portion of the money invested.
  温和型：你愿意接受初始本金的一些风险，容忍一些波动以寻求更高的回报，并明白你可能会损失一部分投资资金。
• High (Aggressive): You are willing to accept high risk to your initial principal, including high volatility, to seek higher returns over time, and understand you could lose all or a substantial amount of the money invested.
  高（进取型）：你愿意接受初始本金的高风险，包括高波动性，以寻求长期的高回报，并明白你可能会损失全部或大部分投资资金。

7. Customer Financial Information:
7.客户财务信息：

The more Glendale knows about you and your goals for this account, the better it can serve you. Please answer the following questions about your investment experience and financial situation to help Glendale determine which investment products and strategies are suitable for you.
Glendale 对您以及您的账户目标了解越多，就能为您提供越好的服务。请回答以下有关您的投资经验和财务状况的问题，以帮助 Glendale 确定哪些投资产品和策略适合您。

Other investment Information (optional)-Please consider providing Glendale with additional information about your other investments to help it more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed.)
其他投资信息（可选）-请考虑向 Glendale 提供有关您其他投资的补充信息，以帮助 Glendale 更全面地了解您的财务状况以及适合您整个投资组合的投资类型或策略。(如有需要，请使用附加页）。

ACCOUNT AGREEMENT 账户协议

(Cash and Margin) (现金和保证金）

General Provisions 总则

1. Definitions. 1.定义。

• items such as your name, street or email address, telephone number, social security number, occupation, and income;
  您的姓名、街道或电子邮件地址、电话号码、社会保险号、职业和收入等项目；
• information relating to your transactions, including Account balances, positions, and activity;
  与您的交易有关的信息，包括账户余额、头寸和活动；
• information that may be received from consumer reporting agencies, such as credit bureau reports and other information relating to your creditworthiness; and
  可能从消费者报告机构获得的信息，如信用局报告和与您的信用度有关的其他信息；以及
• other information you provide on application or transaction forms.
  您在申请表或交易表中提供的其他信息。
  (b) How Personal Information is Protected. Access to your information is limited to only those who need to know it in order to provide service to you and to nonaffiliated parties as permitted by law. WDCO and Glendale maintain physical, electronic, and procedural safeguards that are designed to comply with federal standards to guard your information.
  (b) 如何保护个人信息。只有那些需要了解您的信息才能为您提供服务的人以及法律允许的非关联方才能访问您的信息。WDCO 和 Glendale 采取符合联邦标准的物理、电子和程序保障措施来保护您的信息。
  © Links. Each of WDCO’s and Glendale’s respective websites may contain links to other websites. Neither WDCO nor Glendale is responsible for the privacy policies or practices or the content of those sites.
  链接。WDCO和Glendale各自的网站均可能包含其他网站的链接。WDCO 和 Glendale 对这些网站的隐私政策、做法或内容概不负责。
  (d) Opt-out Policy. You may opt-out of the disclosure of nonpublic personal information to a nonaffiliated third party by giving notice in writing or email to WDCO or Glendale.
  (d) 退出政策。您可以向 WDCO 或 Glendale 发出书面通知或电子邮件，选择不向非关联第三方披露非公开个人信息。
  (e) Changes to this Privacy Policy. WDCO and Glendale reserve the right to change this policy. Please review WDCO’s and Glendale’s respective website for updates to this policy.
  (e) 本隐私政策的变更。WDCO 和 Glendale 保留更改本政策的权利。请查看 WDCO 和 Glendale 各自的网站，了解本政策的更新情况。

50. Termination. 50.终止。

Conflicts of Interest 利益冲突

1. Market Making. WDCO and Glendale may make markets in hundreds of issues, which means that they may take the other side of your trade. That is, when you are selling, WDCO or Glendale may be buying, and vice-versa. WDCO and Glendale may be taking a position in a stock you are selling, or selling a stock you are accumulating. WDCO’s and Glendale’s respective obligation is to ensure that you receive the best national bid or offer price for your transaction, and when possible, offer price improvement on your trade. WDCO and Glendale also have an obligation to pass through the best price they receive when they represent your order and to refrain from “front running” or trading ahead of your order. Supervisors for each of WDCO and Glendale review their respective transactions daily to ensure that customer orders are filled at the best available price.
   做市商。WDCO 和 Glendale 可能会在数百个问题上做市，这意味着他们可能会做您交易的另一方。也就是说，当您卖出时，WDCO 或 Glendale 可能会买入，反之亦然。WDCO 和 Glendale 可能会在你卖出的股票上建仓，或卖出你正在积累的股票。WDCO 和 Glendale 各自的义务是确保您的交易获得最佳的全国买入价或卖出价，并在可能的情况下提高交易的报价。WDCO 和 Glendale 也有义务在代理您的订单时将其收到的最佳价格转给您，并避免 "抢跑 "或在您的订单之前进行交易。WDCO 和 Glendale 的主管每天都会审查各自的交易，以确保客户的订单以最佳价格成交。
2. Compensation Practices. Compensation grids for both WDCO and Glendale are completely product neutral, so no representative has an incentive to prefer one type of product over another. Because WDCO and Glendale do not make recommendations, each firm avoids the problem of brokers pushing higher grossing products. The compensation grid also does not contain thresholds that might encourage a representative to engage in inappropriate activity in order to qualify for a higher payout. Neither WDCO nor Glendale sells proprietary products or participates in sales contests.
   补偿做法。WDCO 和 Glendale 的补偿网格是完全中立的产品，因此没有任何代表有动机偏好一种产品而不是另一种。由于 WDCO 和 Glendale 不做推荐，因此两家公司都避免了经纪人推销高收益产品的问题。报酬表中也不包含可能鼓励代表从事不当活动以获得更高报酬的门槛。WDCO 和 Glendale 均不销售专有产品或参与销售竞赛。
3. Affiliated Firms. Globex Transfer, LLC is a transfer agent under common control with Glendale. Globex Transfer may be the transfer agent for the issuers’ securities in which WDCO and Glendale make a market. Globex may hold positions or actively trade in issuers in which both WDCO and Glendale make a market. WDCO and Glendale ensure that transactions involving transfer agent clients and issuers for which they make markets do not receive preferential treatment or advantage over other clients.
   关联公司。Globex Transfer, LLC 是与 Glendale 处于同一控制下的转让代理。Globex Transfer 可能是 WDCO 和 Glendale 做市的发行人证券的转让代理。Globex 可能持有 WDCO 和 Glendale 做市的发行人的头寸或积极交易这些发行人的证券。WDCO 和 Glendale 确保涉及其做市的过户代理客户和发行人的交易不会获得优于其他客户的待遇或优势。
4. Hiring. As part of screening applicants for employment, both firms review an applicant’s employment and regulatory history, as well as his or her financial standing, to identify and not hire individuals who may be prone to engage in inappropriate activity or who have poor ethical standards.
   聘用。作为筛选求职者的一部分，两家公司都会审查求职者的就业和监管历史，以及其财务状况，以识别并避免聘用可能从事不当活动或道德标准不高的个人。
5. Training. WDCO has incorporated training on ethics and conflicts of interest into its firm element training program to ensure that employees recognize when a conflict of interest exists and make appropriate decisions about handling the conflict in a manner that is consistent with the firm’s policies, procedures, and ethical standards.
   培训。WDCO 已将有关道德和利益冲突的培训纳入其公司要素培训计划，以确保员工认识到利益冲突的存在，并以符合公司政策、程序和道德标准的方式做出处理冲突的适当决定。
6. Outside Business Activity. Registered representatives are required to submit a request for approval of any outside business activity. These requests are reviewed by each firm to ensure that the activity does not conflict with the interests of the firm or its customers. If outside activity is approved, this information is added to the representative’s Form U4, the details of which can be viewed by the public at FINRA’s website: brokercheck.org.
   外部业务活动。注册代表必须提交任何外部业务活动的审批申请。这些申请由各公司进行审查，以确保该活动不会与公司或其客户的利益相冲突。如果外部活动获得批准，该信息将被添加到代表的 U4 表中，公众可在美国金融业监管局的网站：brokercheck.org 上查看该表的详细信息。
7. Confidentiality. As is disclosed in the Privacy Policy above, information regarding each firm’s clients or their holdings is never used for any commercial purpose. This information may only be disclosed for those uses described in the Privacy Policy.
   保密性。如上述《隐私政策》所述，有关各公司客户或其所持资产的信息绝不会用于任何商业目的。这些信息只能用于《隐私政策》中所述的用途。
8. FPSLA. In the event the terms and conditions contained in the FPSLA conflict with the terms and conditions of this Agreement, this Agreement shall govern.
   FPSLA。如果 FPSLA 中的条款和条件与本协议的条款和条件相冲突，应以本协议为准。

Credit Report Disclosure and Authorization Agreement
信用报告披露和授权协议

Cash Sweep Program 现金支付计划

1. How the Program Works. 计划如何运作
   (a) If you are enrolled in the Cash Sweep Program, WDCO will invest the available cash balances in your Account in the Money Market Fund managed by the Money Market Fund provider. Once you are enrolled, the cash balance in your Account will automatically sweep into the Money Market Fund, typically on a daily basis. If you make a deposit to your Account, it may take up to two business days before your deposit sweeps into your cash sweep option, and will constitute Free Credit Balances until they are swept.
   (a) 如果您加入了现金清算计划，WDCO 将把您账户中的可用现金余额投资于货币市场基金提供商 管理的货币市场基金。一旦您加入，您账户中的现金余额将自动转入货币市场基金，通常每天一次。如果您向您的账户存款，可能需要长达两个工作日的时间才能将您的存款转入您的现金清算选项，并在转入之前构成自由信贷余额。
   (b) Balances in the Cash Sweep Program can be liquidated upon your request and the proceeds returned to your Account or to you. The Money Market Fund may place limitations on timing and amount of withdrawals permitted, and you should read the fund’s prospectus carefully before making an investment. You may access your funds in the Cash Sweep Program only through your Account.
   (b) 现金垫付计划的余额可根据您的要求进行清算，并将收益返还给您的账户或您本人。货币市场基金可能会对允许提款的时间和金额做出限制，您应在投资前仔细阅读基金的招募说明书。您只能通过您的账户使用现金垫付计划中的资金。
   © Funds are withdrawn automatically from the Cash Sweep Program to satisfy any debits created in your Account when you purchase securities or request a withdrawal of funds. The availability of funds for making payments, withdrawals, or transfers from your Account is governed by the agreements you have entered into with WDCO in connection with your Account.
   当您购买证券或要求提取资金时，将自动从现金垫款计划中提取资金，以支付您账户中的任何借项。您与 WDCO 就您的账户签订的协议规定了从您的账户中支付、提取或转账资金的可用性。
2. Fees. No direct fees will be assessed to your Account or deducted from your specified rate of return on the Cash Sweep Option, except as outlined in “Liquidity Fees and Redemption Gates” below.
   费用。除下文 "流动性费用和赎回费 "所述的费用外，不会向乙方的账户直接收取费用，也不会从乙方的现金垫款期权指定收益率中扣除费用。
3. Liquidity Fees and Redemption Gates.
   流动性费用和赎回费。
   (a) SEC rules give the boards of money market funds the ability to manage redemption activity during times of market stress. Retail and institutional funds may impose a redemption fee of up to $2\mathrm{\%}$$2\mathrm{\%}$2%2 \% of redemption proceeds or temporarily suspend redemptions (referred to as a gate) if the fund’s “weekly liquid assets” fall below $30\mathrm{\%}$$30\mathrm{\%}$30%30 \% of the fund’s total assets and the board determines that imposing a fee or gate is in the fund’s best interest. Weekly liquid assets include cash, U.S. Treasury securities, certain other government securities with remaining maturities of 60 days or less, and securities that convert into cash within five business days. Retail and institutional funds must impose a redemption fee of up to $2\mathrm{\%}$$2\mathrm{\%}$2%2 \% if a fund’s weekly liquid assets fall below $10\mathrm{\%}$$10\mathrm{\%}$10%10 \% of the fund’s total assets, unless the board determines that doing so would not be in the best interests of the fund. Once a fee or gate is imposed, it remains in effect until the fund has $30\mathrm{\%}$$30\mathrm{\%}$30%30 \% or more of its assets invested in weekly liquid assets or the fund’s board determines that a fee or gate is no longer in the fund’s best interest. A gate may remain in effect for up to 10 business days within a 90-day period only.
   (a) 美国证券交易委员会的规则赋予货币市场基金董事会在市场紧张时期管理赎回活动的能力。如果基金的 "每周流动资产 "低于基金总资产的 $30\mathrm{\%}$$30\mathrm{\%}$30%30 \% ，且董事会认为征收费用或设置闸门符合基金的最佳利益，则零售和机构基金可征收不超过赎回收益 $2\mathrm{\%}$$2\mathrm{\%}$2%2 \% 的赎回费，或暂时中止赎回（称为闸门）。每周流动资产包括现金、美国国库证券、剩余期限为 60 天或更短时间的某些其他政府证券，以及可在五个工作日内转换为现金的证券。如果基金的每周流动资产低于基金总资产的 $10\mathrm{\%}$$10\mathrm{\%}$10%10 \% ，零售基金和机构基金必须征收最高 $2\mathrm{\%}$$2\mathrm{\%}$2%2 \% 的赎回费，除非董事会认定这样做不符合基金的最佳利益。收费或闸门一旦实施，将一直有效，直至基金每周流动资产投资达到 $30\mathrm{\%}$$30\mathrm{\%}$30%30 \% 或以上，或基金董事会认定收费或闸门不再符合基金的最佳利益。在 90 天的期限内，门限的有效期最长为 10 个工作日。
   (b) In the event that a liquidity fee or redemption gate is imposed, the fund will still price its fund shares according to the times listed in the fund’s prospectus.
   (b) 在征收流动性费用或赎回费的情况下，基金仍将按照基金招募说明书所列的时间为基金份额定价。
4. Participation is Optional. You are not required to participate in the Cash Sweep Program. You may opt out at any time by sending a written request to your Account Representative and requesting to stop participating in the Cash Sweep Program. If you decide not to participate, WDCO will hold the available cash in your Account in the form of a Free Credit Balance. Free Credit Balances are payable to you upon demand. WDCO may use your Free Credit Balances to fund certain of its business operations, as permitted by law, and may earn income through such use. WDCO is under no obligation to pay interest to you for your Free Credit Balances.
   参与是可选的。您不必参加现金垫付计划。您可以随时向您的账户代表发送书面申请，要求停止参与现金垫付计划。如果您决定不参加，WDCO 将以自由信用余额的形式持有您账户中的可用现金。免费信用余额应您的要求支付给您。在法律允许的情况下，WDCO 可使用您的自由信用余额为其某些业务运营提供资金，并可通过使用自由信用余额赚取收入。WDCO 没有义务为您的免费信用余额支付利息。
5. Important Notices. 重要通知。
   (a) If you choose to participate in the Cash Sweep Program, WDCO will automatically sweep the available cash in your Account into the Money Market Fund currently managed by Alliance Bernstein. Alliance Bernstein is not under WDCO’s control. Information regarding the Alliance Bernstein Money Market Fund can be found at www.alliancebernstein.com.
   (a) 如果您选择参与现金清算计划，WDCO 将自动将您账户中的可用现金清算至 Alliance Bernstein 目前管理的货币市场基金。Alliance Bernstein 不受 WDCO 控制。有关 Alliance Bernstein 货币市场基金的信息，请访问 www.alliancebernstein.com。
   (b) WDCO may receive a 12b-1 distribution fee, service fee, subtransfer agent fee, recordkeeping fees, and other compensation from money market funds and their affiliates. Money market fund prospectuses contain additional information about compensation.
   (b) WDCO 可能从货币市场基金及其关联方收取 12b-1 分配费、服务费、转托管费、记 录费及其他报酬。货币市场基金招股说明书包含有关补偿的其他信息。
   © WDCO may, upon prior notice to you, change, add, or delete products available through, or the terms and conditions of, its Cash Sweep Program. Further, WDCO may, upon prior notice to you, change the Cash Sweep option in which you participate from one option to another. If you do not object within 30 days of such notice, WDCO will treat your nonresponse as acceptance of the program change. If WDCO makes a change, there is no guarantee that the change will provide an equal or greater rate of return to you during any given period, and the rate of return may be lower.
   在事先通知您的情况下，WDCO 可更改、增加或删除通过现金卷款计划提供的产品或其条款和条件。此外，WDCO 可在事先通知您的情况下，将您参与的现金卷款计划选项从一种改为另一种。如果您在收到通知后 30 天内未提出异议，WDCO 将视您未作出答复为接受计划变更。如果 WDCO 作出更改，并不保证在任何特定时期内该更改将为您提供相等或更高的回报率，而且回报率可能会更低。
   (d) Money market funds are securities and are not insured by the FDIC, carry no bank or government guarantee, and are subject to investment risk, including loss of principal amount invested. Federal banking regulations require each financial institution in the Cash Sweep Program to reserve the right to require seven calendar days’ prior notice before a withdrawal of any deposit.
   (d) 货币市场基金属于有价证券，不受联邦存款保险公司的保险，没有银行或政府担保，有 投资风险，包括投资本金的损失。联邦银行法规要求现金清算计划中的每家金融机构保留在提取任何存款前要求提前七个日历日通知的权利。

Important Information on Penny Stocks
有关细价股的重要信息

Penny stocks can be very risky.
细价股可能风险很大。

Information you should get.
您应该获得的信息

http://www.sec.gov/investor/pubs/microcapstock.htm

Brokers' duties and customer's rights and remedies.
经纪人的责任与客户的权利和补救措施。

CUSTOMER'S ACKNOWLEDGMENTS AND INSTRUCTIONS
客户确认和说明

Signatures 签名

x
Primary Applicant’s Signature Date
主要申请人签名 日期
x
Primary Applicant’s Printed Name
主要申请人姓名

Account Number 账号	Account Name 账户名称

Account Number Account Name https://cdn.mathpix.com/cropped/2024_12_19_d0dcce3e31423092a027g-25.jpg?height=20&width=98&top_left_y=1322&top_left_x=150 | Account Number | Account Name | | :---: | :---: | | | | | | | | | | |  | |

https://cdn.mathpix.com/cropped/2024_12_19_d0dcce3e31423092a027g-25.jpg?height=16&width=605&top_left_y=1704&top_left_x=788 https://cdn.mathpix.com/cropped/2024_12_19_d0dcce3e31423092a027g-25.jpg?height=13&width=609&top_left_y=1706&top_left_x=1389 https://cdn.mathpix.com/cropped/2024_12_19_d0dcce3e31423092a027g-25.jpg?height=33&width=638&top_left_y=1760&top_left_x=121 | |  |  | | :---: | :---: | :---: | | | | | |  | | |

Corporate Account: 公司账户：

Mailing address of corporate Account:
公司账户的邮寄地址：

FULLY PAID SECURITIES LOAN AGREEMENT
全额支付证券贷款协议

1. Overview 1.概述

• By entering into this Agreement, you give WDCO permission to borrow your securities without contacting you and without your prior approval of any given Loan. You also do not have the right to choose which securities in your Account are borrowed. WDCO will have the right to transfer the borrowed securities to others. WDCO, in its capacity as clearing broker will send to you a schedule and receipt listing the loaned securities. In addition, WDCO will send to you a monthly account statement that will show which, if any, of your securities have been lent to WDCO.
  签订本协议，即表示您允许 WDCO 借入您的证券，而无需与您联系，也无需事先征得您对任何特定贷款的同意。您也无权选择借用您账户中的哪些证券。WDCO 有权将借用的证券转让给他人。作为清算经纪人，WDCO 将向您发送一份列出借入证券的明细表和收据。此外，WDCO 将向您发送账户月结单，其中将显示您的哪些证券（如有）已借给 WDCO。
• WDCO and Glendale will receive an agreed upon share of the Loan Fee (as defined below) in connection with any Loan made by Lender to WDCO under this Agreement, Glendale’s agreed upon share of the Loan Fee may vary depending upon participation levels. The securities that WDCO will borrow from Lender will be those securities deemed to be needed by WDCO for any purpose as permitted under Regulation T (which governs the securities borrowing practices of US Broker-Dealers). These permitted purposes include borrowing securities to complete delivery obligations, cover short sales, satisfy customer possession and control requirements, or on-lend to other broker-dealers (who must also meet the Regulation $T$$T$TT requirements). Securities may be considered “hard to borrow.”
  对于放款人根据本协议向 WDCO 提供的任何贷款，WDCO 和 Glendale 将收取约定份额的贷款费用（定义见下文），Glendale 约定份额的贷款费用可能因参与水平而异。WDCO 向贷款人借入的证券将是 WDCO 认为出于《T 条例》（规范美国经纪商的证券借入行为）所允许的任何目的而需要的证券。这些允许的目的包括借入证券以完成交割义务、支付卖空、满足客户持有和控制要求，或转借给其他经纪自营商（这些经纪自营商也必须满足 $T$$T$TT 条例的要求）。证券可能被视为 "难以借入"。
• Lender may sell shares on Loan at any time.
  贷款人可随时出售贷款股份。
• WDCO is not required to borrow Lender’s securities pursuant to this Agreement any may borrow equivalent securities from other parties in its sole discretion.
  WDCO 无需根据本协议借入放款人的证券，但可自行决定从其他方借入等值证券。
• WDCO, as the clearing broker, will administer your obligations with respect to the Agreement, such as transfers of securities, transfers of collateral, or any distribution payments due hereunder.
  WDCO 作为清算经纪人，将管理您与协议有关的义务，如证券转让、抵押品转让或根据协议应支付的任何分配款项。
• If a Loan of securities has been made and they have not been recalled prior to the record date of a vote involving those securities, your vote will be reduced to reflect the total amount of your securities of that issue that have been lent.
  如果已借出证券，但在涉及这些证券的投票记录日期之前尚未收回，则您的投票数将减少，以反映您已借出的该期证券的总额。
• To the extent that you are entitled to receive distributions, such as dividends, interest payments or securities pursuant to a stock split, on any security subject to a Loan, WDCO will transfer cash to you for cash distributions on the date of the distribution and will hold any non-cash distributions as part of the Loan until the end of the Loan. The payments you receive will be substitute payments
  如果您有权获得贷款所涉及的任何证券的分配，如股息、利息支出或股票分割后的证券，WDCO 将在分配当日向您转移现金以获得现金分配，并将持有任何非现金分配作为贷款的一部分，直至贷款结束。您收到的付款将是替代付款
  subject to special rules under the Internal Revenue Code, and generally will not be afforded treatment as dividends for tax purposes and are therefore likely to be subject to a higher tax rate. You should consult your tax advisor regarding treatment of substitute payments under state tax laws as well as consulting regarding the Internal Revenue Code.
  受《国内税收法》特殊规则的限制，通常不会被视为股息征税，因此可能需要缴纳更高的税率。您应咨询您的税务顾问，了解各州税法以及《国内税收法》对替代付款的规定。
• There is the risk that WDCO will default in some way, for example by becoming insolvent, which could result in WDCO failing to return borrowed securities to you.
  存在 WDCO 以某种方式违约的风险，例如破产，这可能导致 WDCO 无法向您归还借入的证券。
• IN THE CASE OF INSOLVENCY OF WDCO, YOU MAY NOT BE ENTITLED TO THE PROTECTIONS OF THE SECURITY INVESTORS PROTECTION ACT MAKING THE COLLATERAL SEGREGATED FOR YOU THE ONLY SOURCE OF SATISFACTION OF WDCO’S OBLIGATIONS WITH RESPECT TO LOANS AND YOUR RECOURSE TO THE COLLATERAL MAY BE LIMITED BY LAW.
  在 WDCO 破产的情况下，您可能无权享受《证券投资者保护法》的保护，使为您隔离的抵押品成为履行 WDCO 贷款义务的唯一来源，您对抵押品的追索权可能受到法律限制。
• If you are a non-U.S. citizen, you should consult with your legal advisor to determine if it is legal for you to enter into a securities lending arrangement under the laws of your resident jurisdiction;
  如果您是非美国公民，则应咨询您的法律顾问，以确定根据您所在司法管辖区的法律，您做出证券借贷安排是否合法；
• If you are a non-U.S. citizen, you should consult with your tax advisor to understand the tax implications of entering into a securities lending arrangement under the laws of your resident jurisdiction;
  如果您是非美国公民，则应咨询您的税务顾问，以了解根据您所在司法管辖区的法律达成证券借贷安排的税务影响；
• This Agreement is a legally binding agreement, cannot be modified by conduct, and no failure on the part of WDCO at any time to enforce its rights under the Agreement to the greatest extent permitted shall in any way be deemed to waive, modify, or relax any of the rights granted WDCO; and
  本协议是一项具有法律约束力的协议，不能通过行为进行修改，WDCO 在任何时候未能在允许的最大范围内行使其在本协议项下的权利，均不得以任何方式视为放弃、修改或放宽授予 WDCO 的任何权利；以及
• $$$$quad\quad This Agreement constitutes the full and entire understanding between the parties with respect to a Loan of securities between you and WDCO, and there are no oral or other agreements in conflict with this Agreement, unless you have advised WDCO in writing of such conflict. Any future modification, amendment, or supplement to this Agreement or any individual provision of this Agreement can only be in writing signed by a representative of WDCO. You should carefully review this Agreement for the rights and limitations governing your securities lending relationship.
  $$$$quad\quad 本协议构成双方就您与 WDCO 之间的证券贷款达成的全面和完整的谅解，除非您已书面通知 WDCO 有关冲突，否则不存在与本协议相冲突的口头或其他协议。今后对本协议或本协议任何个别条款的任何修改、修订或补充，只能由 WDCO 代表以书面形式签署。您应仔细阅读本协议，了解有关您的证券借贷关系的权利和限制。

2. Loans of Securities 证券贷款
   2.1. Subject to the terms and conditions of this Agreement, WDCO may, from time to time, in its sole discretion, initiate a transaction in which Lender will lend Securities (defined herein) to WDCO. WDCO shall determine the issuer of the Securities, the amount of Securities to be lent, the length of time of the Loan, and the type of Collateral to be transferred by WDCO. Such Loan shall be confirmed by a schedule and receipt listing the Loaned Securities provided by WDCO to Lender in accordance with Section 3.2. Such confirmation (the “Confirmation”), together with the Agreement, shall constitute conclusive evidence of the terms of the Loan to which the Confirmation relates. In the event of any inconsistency between the terms of such Confirmation and this Agreement, this Agreement shall prevail. The Confirmation will be made available to Lender electronically via a secure website. Notice that a new Confirmation is available will be sent to the email address of record on Lender’s account profile as provided by Glendale.
   2.1.根据本协议的条款和条件，WDCO 可以不时自行决定启动一项交易，由贷款人向 WDCO 借出证券（定义见本协议）。WDCO 应确定证券的发行人、借出证券的金额、贷款的期限以及 WDCO 转让抵押品的类型。WDCO 应根据第 3.2 节的规定向贷款人提供列有贷款证券的明细表和收据，以确认该贷款。该确认书（"确认书"）连同本协议应构成与确认书有关的贷款条款的确凿证据。如果该确认书的条款与本协议不一致，应以本协议为准。确认书将通过安全网站以电子方式提供给放款人。新确认书可用的通知将发送至 Glendale 提供的放款人账户资料中记录的电子邮件地址。
   2.2. Notwithstanding any other provision in this Agreement regarding when a Loan commences, unless otherwise agreed, a Loan hereunder shall not occur until the Loaned Securities and the Collateral therefore have been transferred in accordance with Section 15.
   2.2.尽管本协议有任何其他关于贷款开始时间的规定，除非另有约定，否则在贷款证券和抵押品按照第 15 节的规定转让之前，本协议项下的贷款不会发生。
3. Transfer of Loaned Securities
   借出证券的转让
   3.1. Loaned Securities shall be transferred to WDCO’s account by WDCO hereunder on or before the Cutoff Time on the date chosen by WDCO for the commencement of a Loan.
   3.1.贷款证券应在 WDCO 选择的贷款开始日期的截止时间或之前由 WDCO 根据本协议转移到 WDCO 的账户。
   3.2. WDCO shall provide Lender with a schedule listing the Loaned Securities that consists of a Confirmation or other document provided to Lender by WDCO. WDCO shall also provide Lender with a monthly statement dated as of the end of the month indicating which, if any, of Lender’s Securities were lent and returned during the month or have been lent and not returned and as of the date of the statement.
   3.2.WDCO 須向放債人提供列明借出證券的明細表，該明細表由 WDCO 向放債人提供的確認書或其他文件組成。WDCO 还应向出借人提供一份注明日期为当月月底的月度报表，说明出借人的证券中哪些（如有）已在当月借出并归还，或哪些已借出但未归还，并注明报表日期。
   3.3. Notwithstanding any other provision in this Agreement, the parties hereto agree that they intend the Loans hereunder to be loans of Securities.
   3.3.尽管本协议有任何其他规定，但协议各方同意，他们有意将本协议项下的贷款视为证券贷款。
4. Collateral 抵押品
   4.1. WDCO shall, prior to or concurrently with the transfer of the Loaned Securities to WDCO, but in no case later than the Close of Business on the day of such transfer, segregate on behalf of Lender Collateral with a Market Value or, in the case of bank letters of credit, a stated amount, at least equal to the Applicable Percentage defined in Sections 4.2 and 4.3 below in the Collateral Account. The value of such Collateral segregated for Lender shall be displayed as a memo entry in Lender’s Account.
   4.1.WDCO 應在貸款證券轉移至 WDCO 之前或與此同時，但無論如何不得遲於轉移當日的營業時間結束前，代表出借人在抵押品賬戶中獨立存放市值至少相等於下文第 4.2 及 4.3 節所定義的適用百分比的抵押品，或就銀行信用證而言，獨立存放的金額至少相等於下文第 4.2 及 4.3 節所定義的適用百分比的抵押品。为放款人隔离的此类抵押品的价值应在放款人账户中显示为备忘条目。
   4.2. In the case of U.S. Collateral, the Applicable Percentage shall be 100%.
   4.2.对于美国抵押品，适用百分比应为 100%。
   4.3. In the case of Foreign Collateral, the Applicable Percentage shall be (a) $102\mathrm{\%}$$102\mathrm{\%}$102%102 \% of the then market value of the securities lent as valued on a Recognized Securities Exchange or an Automated Trading System on which the securities are primarily traded if the Foreign Collateral posted is denominated in the same currency as the securities lent, or (b) $105\mathrm{\%}$$105\mathrm{\%}$105%105 \% of the then market value of the securities lent as valued on a Recognized Securities Exchange or an Automated Trading System on which the securities are primarily traded if the Foreign Collateral posted is denominated in a different currency than the securities lent.
   4.3.就外国抵押品而言，适用的百分比应为 (a) 如果存入的外国抵押品以与借出的证券相同的货币计价，则 $102\mathrm{\%}$$102\mathrm{\%}$102%102 \% 在认可证券交易所或证券主要交易的自动交易系统上估值的借出证券的当时市值、或 (b) $105\mathrm{\%}$$105\mathrm{\%}$105%105 \% 借出证券在公认证券交易所或证券主要交易的自动交易系统上估值的当时市值（如果所张贴的外国抵押品以不同于借出证券的货币计价）。
   4.4. The Collateral segregated by WDCO for Lender, as adjusted pursuant to Section 9, shall be security for WDCO’s obligations in respect of such Loan and for any other obligations of WDCO to Lender hereunder. WDCO hereby pledges with, assigns to, and grants Lender a continuing first priority security interest in, and a lien upon, the Collateral segregated for Lender, which shall attach upon the transfer of the Loaned Securities to WDCO and which shall cease upon the transfer of the Loaned Securities by WDCO to Lender. In addition to the rights and remedies given to Lender hereunder, Lender shall have all the rights and remedies of a secured party under the UCC. It is understood that WDCO may invest the Collateral on Lender’s behalf and, if such Collateral is invested, Lender shall receive a loan fee as set forth in Section 5. WDCO shall, during the term of any Loan hereunder, segregate Collateral in the Collateral Account.
   4.4.WDCO 为贷款人分离的抵押品（根据第 9 节进行调整）应作为 WDCO 就该笔贷款承担的义务以及 WDCO 根据本合同对贷款人承担的任何其他义务的担保。WDCO 特此向贷款人质押、转让并授予贷款人对为贷款人隔离的抵押品的持续第一优先担保权益和留置权，该担保权益和留置权在贷款证券转让给 WDCO 时生效，并在 WDCO 将贷款证券转让给贷款人时终止。除了本协议赋予贷款人的权利和补救措施外，贷款人还应享有《统一商法典》规定的有担保方的所有权利和补救措施。不言而喻，WDCO 可以出借人的名义对抵押品进行投资，如果对抵押品进行投资，出借人将收取第 5 节规定的贷款费用。在本协议项下的任何贷款期限内，WDCO 应在抵押品账户中隔离抵押品。
   4.5. Except as otherwise provided herein, upon transfer to Lender’s Account with WDCO of the Loaned Securities on the day a Loan is terminated pursuant to Section 6, WDCO shall transfer the Collateral (as adjusted pursuant to Section 9) from the Collateral Account to WDCO no later than the Cutoff Time on such day or, if such day is not a day on which a transfer of such Collateral may be effected under Section 15, the next day on which such a transfer may be effected.
   4.5.除本文另有规定外，在贷款根据第 6 节终止当日将贷款证券转移至贷款人在 WDCO 开立的账户时，WDCO 应在不迟于该日的截止时间或（如果该日不是根据第 15 节可以转移该抵押品的日期）下一个可以转移该抵押品的日期，将抵押品（根据第 9 节进行调整）从抵押品账户转移至 WDCO。
   4.6. If the Loaned Securities are transferred to WDCO and WDCO does not transfer Collateral to Lender as provided in Section 4.1, Lender shall have the absolute right to the return of the Loaned Securities.
   4.6.如果贷款证券被转让给 WDCO，而 WDCO 并未按照第 4.1 节的规定将抵押品转让给贷款人，则贷款人拥有要求归还贷款证券的绝对权利。
   4.7. WDCO may substitute Collateral for Collateral securing any Loan or Loans; provided, however, that such substituted Collateral shall have a Market Value such that the aggregate Market Value of such substituted Collateral, together with all other Collateral for the Loaned Securities, shall equal or exceed the Applicable Percentage.
   4.7.WDCO 可以用抵押品替代担保任何一笔或多笔贷款的抵押品；但条件是，替代抵押品的市值应使替代抵押品的总市值与贷款证券的所有其他抵押品的总市值相等或超过适用百分比。
5. Fees For Loan 贷款费用
   5.1. WDCO agrees to pay Lender a loan fee (a “Loan Fee”), computed daily on each Loan based on the amount of cash or non-cash collateral held by Lender as Collateral as defined herein. Loan Fees
   5.1.WDCO 同意向放款人支付贷款费用（"贷款费用"），贷款费用根据放款人持有的现金或 非现金抵押品的金额按日计算，作为本文定义的抵押品。贷款费用
   shall accrue from and including the date on which the Loaned Securities are transferred to WDCO to, but excluding, the date on which such Loaned Securities are returned to Lender.
   从贷款证券转让给 WDCO 之日（含该日）起，至贷款证券归还贷款人之日（不含该日）止，应计贷款利息。
   5.2. The Loan Fee as determined hereunder will be paid to the Lender by way of a credit posted to the Lender’s Account at WDCO.
   5.2.根据本协议确定的贷款费用将通过贷款人在 WDCO 开立的账户贷记的方式支付给贷款人。
   5.3. Unless otherwise agreed, any Loan Fee payable hereunder shall be payable: (a) in the case of any Loan of Securities other than Government Securities, upon the first ten calendar days of the month following the calendar month in which such fee was incurred; (b) in the case of any Loan of Government Securities, upon the termination of such Loan and at such other times, if any, as may be customary in accordance with market practice. Notwithstanding the foregoing, all Loan Fees shall be payable by WDCO immediately in the event of a Default hereunder by WDCO.
   5.3.除非另有约定，否则根据本协议应支付的任何贷款费用应在以下时间支付：(a)如果是政府证券以外的任何证券贷款，应在发生该费用的日历月的下一个月的头十个日历日支付；(b)如果是政府证券贷款，应在该贷款终止时以及根据市场惯例的其他时间（如有）支付。尽管有上述规定，如果 WDCO 违约，WDCO 应立即支付所有贷款费用。
6. Termination of a Loan 终止贷款
   6.1. (a) Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by Lender) or the non-cash Collateral securing the Loan (in the case of a notice given by WDCO) entered into at the time of such notice, which date shall, unless WDCO and Lender agree to the contrary, be: (i) in the case of Government Securities, the next Business Day following such notice; and (ii) in the case of all other Securities, the third Business Day following such notice.
   6.1. (a) 任何一方均可在营业日收市前向另一方发出通知确定的终止日期终止贷款。終止通知所確定的終止日期，不得早於發出該通知時所訂立的買賣貸款證券（如屬放款人發出的通知）或擔保貸款的非現金抵押品（如屬 WDCO 發出的通知）所適用的標準交收日期，除非 WDCO 與放款人另有協議，否則該日期為(i) 就政府證券而言，該日期為發出該通知後的下一個營業日；及 (ii) 就所有其他證券而言，該日期為發出該通知後的第三個營業日。
   (b) Any notice to Borrower will be deemed to have been duly given if mailed, sent by wire, telecopy or electronic transmission or other written communication. However, with respect to Section 6, notice will be deemed to have been duly given only if sent by electronic mail to fullypaidlending@WDCO.com.
   (b) 向借款人发出的任何通知，如以邮寄、电报、传真、电子传送或其他书面通信方式发送，则视为已正式发出。但是，就第 6 节而言，通知只有通过电子邮件发送至 fullypaidlending@WDCO.com 时才被视为已正式发出。
   © Notwithstanding paragraph (a) and unless otherwise agreed, WDCO may terminate a Loan on any Business Day by giving notice to WDCO on behalf of Lender and transferring the Loaned Securities to Lender’s Account with WDCO before the Cutoff Time on such Business Day if: (i) the Collateral for such Loan consists of cash or Government Securities; or (ii) Lender is not permitted to Retransfer Collateral.
   儘管有第(a)段的規定，除非另有協議，否則在下列情況下，WDCO 可在任何營業日代表貸款人向 WDCO 發出通知，終止貸款，並在該營業日的截止時間前將貸款證券轉移至貸款人在 WDCO 的帳戶：(i) 該筆貸款的抵押品為現金或政府證券；或 (ii) 放款人不得轉移抵押品。
   6.2. Unless otherwise agreed, WDCO shall, on or before the Cutoff Time on the termination date of a Loan, transfer the Loaned Securities to Lender and transfer the Collateral (as adjusted pursuant to Section 9 to WDCO in accordance with Section 4.7.
   6.2.除非另有约定，否则 WDCO 应在贷款终止日的截止时间或之前将贷款证券转让给贷款人，并根据第 4.7 节的规定将抵押品（根据第 9 节的规定调整后转让给 WDCO）转让给贷款人。

7. Rights in Respect of Loaned Securities and Collateral
7.与借出证券和抵押品有关的权利

8. Distributions 8.分配

13. Remedies 13.补救措施

18. Single Agreement 18.单一协议

19. Applicable Law 19.适用法律

20. Waiver 20.弃权

21. Survival of Remedies
21.补救措施的存续

22. Notices and Other Communications
22.通知和其他通信

23. Submission to Jurisdiction; Waiver of Jury Trial
23.服从司法管辖；放弃陪审团审判

25. Definitions 25.定义

• ALL PARTIES TO THIS AGREEMENT ARE GIVING UP THE RIGHT TO SUE EACH OTHER IN COURT, INCLUDING THE RIGHT TO A TRIAL BY JURY, EXCEPT AS PROVIDED BY THE RULES OF THE ARBITRATION FORUM IN WHICH A CLAIM IS FILED.
  本协议各方放弃在法庭上起诉对方的权利，包括由陪审团进行审判的权利，但提交索赔的仲裁机构规则规定的除外。
• ARBITRATION AWARDS ARE GENERALLY FINAL AND BINDING; A PARTY’S ABILITY TO HAVE A COURT REVERSE OR MODIFY AN ARBITRATION AWARD IS VERY LIMITED.
  仲裁裁决通常是终局的，具有约束力；当事人要求法院推翻或修改仲裁裁决的能力非常有限。
• THE ABILITY OF THEPARTIES TOOBTAINDOCUMENTS, WITNESS STATEMENTS AND OTHER DISCOVERY IS GENERALLY MORE LIMITED IN ARBITRATION THAN IN COURT PROCEEDINGS.
  与法院程序相比，仲裁程序中当事人获取文件、证人证词和其他证据的能力通常受到更多限制。
• THE ARBITRATORS DO NOT HAVE TO EXPLAIN THE REASON(S) FOR THEIR AWARD UNLESS, IN AN ELIGIBLE CASE, A JOINT REQUEST FOR AN EXPLAINED DECISION HAS BEEN SUBMITTED BY ALL PARTIES TO THE PANEL AT LEAST 20 DAYS PRIOR TO THE FIRST SCHEDULED HEARING DATE.
  仲裁员不必解释其裁决的理由，除非在符合条件的案件中，各方当事人在首次预定开庭日期前至少 20 天向仲裁庭提交了要求解释裁决的联合请求。
• THE PANEL OF ARBITRATORS WILL TYPICALLY INCLUDE A MINORITY OF ARBITRATORS WHO WERE OR ARE AFFILIATED WITH THE SECURITIES INDUSTRY.
  仲裁员小组中通常会包括少数曾经或正在从事证券行业的仲裁员。
• THE RULES OF SOME ARBITRATION FORUMS MAY IMPOSE TIME LIMITS FOR BRINGING A CLAIM IN ARBITRATION. IN SOME CASES, A CLAIM THAT IS INELIGIBLE FOR ARBITRATION MAY BE BROUGHT IN COURT.
  某些仲裁机构的规则可能会对向仲裁机构提出申诉规定时限。在某些情况下，不符合仲裁条件的索赔可以向法院提起。
• THE RULES OF THE ARBITRATION FORUM IN WHICH THE CLAIM IS FILED, AND ANY AMENDMENTS THERETO, SHALL BE INCORPORATED INTO THIS AGREEMENT.
  提出申诉的仲裁机构的规则及其任何修正案应纳入本协议。
  29.1. LENDER AGREES THAT ANY AND ALL CONTROVERSIES THAT MAY ARISE BETWEEN LENDER AND WDCO, INCLUDING, BUT NOT LIMITED TO, THOSE ARISING OUT OF OR RELATING TO THE TRANSACTIONS CONTEMPLATED HEREBY, THE ACCOUNTS ESTABLISHED HEREUNDER, ANY ACTIVITY OR CLAIM RELATED TO LENDER’S ACCOUNTS OR THE CONSTRUCTION, PERFORMANCE, OR BREACH OF THIS AGREEMENT SHALL BE DETERMINED BY ARBITRATION CONDUCTED BEFORE THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (“FINRA”), OR, IF FINRA DECLINES TO HEAR THE MATTER, BEFORE THE AMERICAN ARBITRATION ASSOCIATION, IN ACCORDANCE WITH THEIR ARBITRATION RULES THEN IN FORCE.
  29.1.放款人同意，放款人与WDCO之间可能产生的任何及所有争议，包括但不限于因本协议拟进行的交易、根据本协议设立的账户、与放款人账户有关的任何活动或索赔、或本协议的订立、履行或违反而产生的争议，均应由金融业监管局（"FINRA"）根据其当时有效的仲裁规则进行仲裁裁决，或在FINRA拒绝审理的情况下，由美国仲裁协会进行仲裁裁决。
  29.2. THE ARBITRATOR(S) MAY NOT GRANT AN AWARD OF ATTORNEYS’ FEES TO OR AGAINST ANY PARTY, UNLESS SPECIFICALLY AGREED TO IN WRITING BY THE PARTIES TO THE ARBITRATION OR AS MAY BE SPECIFICALLY PERMITTED BY APPLICABLE LAW OR REGULATION.
  29.2.除非仲裁各方以书面形式明确同意，或适用法律或法规明确允许，否则仲裁员不得向任何 一方或向任何一方当事人支付律师费。
  29.3. THE AWARD OF THE ARBITRATOR(S) SHALL BE FINAL, AND JUDGMENT UPON THE AWARD RENDERED MAY BE ENTERED IN ANY COURT, STATE OR FEDERAL, HAVING JURISDICTION.
  29.3.仲裁员的裁决应为终局裁决，任何具有管辖权的州或联邦法院均可根据仲裁员的裁 决做出判决。
  29.4. NO PERSON SHALL BRING A PUTATIVE OR CERTIFIED CLASS ACTION TO ARBITRATION, NOR SEEK TO ENFORCE ANY PRE-DISPUTE ARBITRATION AGREEMENT AGAINST ANY PERSON WHO HAS INITIATED IN COURT A PUTATIVE CLASS ACTION OR WHO IS A MEMBER OF A PUTATIVE CLASS WHO HAS NOT OPTED OUT OF THE CLASS WITH RESPECT TO ANY CLAIMS ENCOMPASSED BY THE PUTATIVE CLASS ACTION UNTIL: (a) THE CLASS CERTIFICATION IS DENIED; (b) THE CLASS IS DECERTIFIED; OR © THE CUSTOMER IS EXCLUDED FROM THE CLASS BY THE COURT.
  29.4.任何人不得将推定集体诉讼或经认证的集体诉讼提交仲裁，也不得针对已在法院提起推定集体诉讼的任何人或推定集体诉讼中未就推定集体诉讼所包含的任何索赔选择退出集体诉讼的成员寻求执行任何争议前仲裁协议，除非(a) 集体认证被驳回；(b) 集体被取消认证；或© 客户被法院排除在集体之外。
  29.5. SUCH FORBEARANCE TO ENFORCE AN AGREEMENT TO ARBITRATE SHALL NOT CONSTITUTE A WAIVER OF ANY RIGHTS UNDER THIS AGREEMENT EXCEPT TO THE EXTENT STATED HEREIN.
  29.5.除本协议规定的范围外，这种不执行仲裁协议的行为不构成放弃本协议项下的任何权利。

Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals)
美国税收预扣和申报受益所有人外国身份证明书（个人）

• For use by individuals. Entities must use Form W-8BEN-E.
  供个人使用。实体必须使用 W-8BEN-E 表。

Do NOT use this form if:
如果出现以下情况，请勿使用本表

• Give this form to the withholding agent or payer. Do not send to the IRS.
  将此表交给预扣代理人或付款人。不要寄给美国国税局。
• You are NOT an individual
  您不是个人
• You are a U.S. citizen or other U.S. person, including a resident alien individual . . . . . . . . . . . . . . . . . . . W-9
  您是美国公民或其他美国人，包括外籍居民个人。W-9
• You are a beneficial owner claiming that income is effectively connected with the conduct of trade or business within the United States (other than personal services)
  您是实益拥有人，声称收入与在美国境内从事贸易或商业（个人服务除外）有实际联系
• You are a beneficial owner who is receiving compensation for personal services performed in the United States 8233 or W-4
  您是因在美国提供个人服务而获得报酬的实际所有人 8233 或 W-4
• You are a person acting as an intermediary . W-8IMY
  您是中介人。W-8IMY

Part I Identification of Beneficial Owner (see instructions)
第一部分 确定实际所有人（见说明）

5 U.S. taxpayer identification number (SSN or ITIN), if required (see instructions)
5 美国纳税人识别号（SSN 或 ITIN）（如需要）（请参阅说明

Part III Certification 第 III 部分 认证

• I am the individual that is the beneficial owner (or am authorized to sign for the individual that is the beneficial owner) of all the income or proceeds to which this form relates or am using this form to document myself for chapter 4 purposes;
  本人是本表所涉及的所有收入或收益的实际所有人（或经授权代表实际所有人签字），或为第 4 章目的使用本表记录本人；
• The person named on line 1 of this form is not a U.S. person;
  本表第 1 行所列人员不是美国人；
• This form relates to: 本表涉及
  (a) income not effectively connected with the conduct of a trade or business in the United States;
  (a) 与在美国从事贸易或经营活动无实际关联的收入；
  (b) income effectively connected with the conduct of a trade or business in the United States but is not subject to tax under an applicable income tax treaty;
  (b) 与在美国进行的贸易或业务有实际关联，但根据适用的所得税条约无须纳税的收入；
  © the partner’s share of a partnership’s effectively connected taxable income; or
  合伙人在合伙企业实际关联应税收入中的份额；或
  (d) the partner’s amount realized from the transfer of a partnership interest subject to withholding under section 1446(f);
  (d) 根据第 1446(f)条的规定，合伙人转让合伙权益所得的预扣税款；
• The person named on line 1 of this form is a resident of the treaty country listed on line 9 of the form (if any) within the meaning of the income tax treaty between the United States and that country; and
  本表第 1 行所列人员是本表第 9 行所列条约国（如有）的居民，符合美国与该国之间所得税条约的规定；且
• For broker transactions or barter exchanges, the beneficial owner is an exempt foreign person as defined in the instructions.
  对于经纪人交易或易货交换，受益所有人是说明中定义的豁免外国人。

Sign Here 在此签名

$◻$$◻$◻\square I certify that I have the capacity to sign for the person identified on line 1 of this form.
$◻$$◻$◻\square 本人证明，本人有能力为本表第 1 行所示人员签名。

Print name of signer
打印签字人姓名