Common use of Capacity and Status Clause in Contracts

Capacity and Status. a) If an individual, I am of legal age under the laws of the jurisdiction where I reside and authorized to enter into this Agreement. If an entity, I am duly formed, validly existing and in good standing in My jurisdiction of organization, have full power and authority to enter and perform this Agreement, and the persons signing the Agreement are fully authorized to act on My behalf. No person, except Myself (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Agreement. I acknowledge that unless You receive a written objection from Me, You may provide My name, address, and securities positions to requesting companies in which I hold securities. Except as otherwise disclosed to You in writing, neither I nor any member of My immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. I understand and agree that I am obligated to promptly notify You in writing if I or a member of My immediate family becomes registered or employed in any of the above-described capacities. I further agree to promptly notify You in writing if I am now or if I become: (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the SEC, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require Me to be so registered or qualified if I were to perform such functions for an organization not so exempt; or (iv) an officer, director or 10% stockholder of any publicly traded company. b) Non-Domestic Customer Alpaca makes its services available to persons and businesses in countries where it is not otherwise prohibited. Alpaca does not solicit any non-domestic persons or businesses. If I am a non-domestic person or business, I must explicitly acknowledge and confirm that I have not been solicited by Alpaca prior to becoming a customer of Alpaca (a “Non-Domestic Customer”). To the extent that I am a Non-Domestic Customer, I understand and acknowledge that You also may conduct more extensive due diligence and require additional identity documentation for Non-Domestic Customers. All Non-Domestic Customers must complete and provide to Alpaca an appropriate Form W-8 and its certification. In order for a Non-Domestic Customer to keep an account open, a Non-Domestic Customer must keep an appropriate Form W-8 current and no less than every 36 months, re-certify that the information on the appropriate Form W-8 is correct and accurate. I acknowledge and understand that any failure to satisfy the aforementioned obligations may, at Alpaca’s sole discretion, result in the restriction and/or termination of My Account.

Capacity and Status. a) If an individual, I am of legal age under the laws of the jurisdiction where I reside and authorized to enter into this Agreement. If an entity, I am duly formed, validly existing and in good standing in My jurisdiction of organization, have full power and authority to enter and perform this Agreement, and the persons signing the Agreement account application are fully authorized to act on My behalf. No person, except Myself (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Agreement. I acknowledge that unless You receive a written objection from Me, You may provide My name, address, and securities positions to requesting companies in which I hold securities. Except as otherwise disclosed to You in writing, neither I nor any member of My immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. I understand and agree that I am obligated to promptly notify You in writing if I or a member of My immediate family becomes registered or employed in any of the above-described capacities. I further agree to promptly notify You in writing if I am now or if I become: (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the SEC, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require Me to be so registered or qualified if I were to perform such functions for an organization not so exempt; or (iv) an officer, director or 10% stockholder of any publicly traded company. b) Non-Domestic Customer Alpaca makes its services available to persons and businesses in countries where it is not otherwise prohibited. Alpaca does not solicit any non-domestic persons or businesses. If I am a non-domestic person or business, I must explicitly acknowledge and confirm that I have not been solicited by Alpaca prior to becoming a customer of Alpaca (a “Non-Domestic Customer”). To the extent that I am a Non-Domestic Customer, I understand and acknowledge that You also may conduct more extensive due diligence and require additional identity documentation for Non-Domestic Customers. All Non-Domestic Customers must complete and provide to Alpaca an appropriate Form W-8 and its certification. In order for a Non-Domestic Customer to keep an account open, a Non-Domestic Customer must keep an appropriate Form W-8 current and no less than every 36 months, re-certify that the information on the appropriate Form W-8 is correct and accurate. I acknowledge and understand that any failure to satisfy the aforementioned obligations may, at Alpaca’s sole discretion, result in the restriction and/or termination of My Account.

Capacity and Status. aI. If: (1) If an individual, I am of legal age under the laws of the jurisdiction State where I reside and authorized to enter into this Public Brokerage Agreement. If (2) an entity, I am duly formed, validly existing and in good standing in My jurisdiction state of organization, have full power and authority to enter and perform this Public Brokerage Agreement, and the persons signing the Agreement account application are fully authorized to act on My behalf. II. No person, except Myself (or any person named in a separate agreement or joint account), has any interest in the Investing Account opened pursuant to this Public Brokerage Agreement. III. I acknowledge that unless You receive a Company receives written objection from Me, You Company may provide My name, address, and securities positions to requesting companies in which I hold securities. IV. Except as otherwise disclosed to You Company in writing, neither I nor any member of My immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. I understand and agree that I am obligated to promptly notify You Company in writing if I or a member of My immediate family becomes registered or employed in any of the above-described capacities. . V. I further agree to promptly notify You Company in writing if I am now or if I become: : (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the SEC, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; ; (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); ; (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require Me to be so registered or qualified if I were to perform such functions for an organization not so exempt; or or (iv) an officer, director or 10% stockholder of any publicly traded company. b) Non-Domestic Customer Alpaca makes its services available to persons and businesses in countries where it is not otherwise prohibited. Alpaca does not solicit any non-domestic persons or businesses. If I am a non-domestic person or business, I must explicitly acknowledge and confirm that I have not been solicited by Alpaca prior to becoming a customer of Alpaca (a “Non-Domestic Customer”). To the extent that I am a Non-Domestic Customer, I understand and acknowledge that You also may conduct more extensive due diligence and require additional identity documentation for Non-Domestic Customers. All Non-Domestic Customers must complete and provide to Alpaca an appropriate Form W-8 and its certification. In order for a Non-Domestic Customer to keep an account open, a Non-Domestic Customer must keep an appropriate Form W-8 current and no less than every 36 months, re-certify that the information on the appropriate Form W-8 is correct and accurate. I acknowledge and understand that any failure to satisfy the aforementioned obligations may, at Alpaca’s sole discretion, result in the restriction and/or termination of My Account.

Capacity and Status. a) If an individual, I am of legal age under the laws of the jurisdiction where I reside and authorized to enter into this Agreement. If an entity, I am duly formed, validly existing and in good standing in My jurisdiction of organization, have full power and authority to enter and perform this Agreement, and the persons signing the Agreement are fully authorized to act on My behalf. No person, except Myself (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Agreement. I acknowledge that unless You receive a written objection from Me, You may provide My name, address, and securities positions to requesting companies in which I hold securities. Except as otherwise disclosed to You in writing, neither I nor any member of My immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. I understand and agree that I am obligated to promptly notify You in writing if I or a member of My immediate family becomes registered or employed in any of the above-described capacities. I further agree to promptly notify You in writing if I am now or if I become: (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the SEC, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require Me to be so registered or qualified if I were to perform such functions for an organization not so exempt; or (iv) an officer, director or 10% stockholder of any publicly traded company. b) Non-Domestic Customer Alpaca makes its services available to persons and businesses in countries where it is not otherwise prohibited. Alpaca does not solicit any non-domestic persons or businesses. If I am a non-domestic person or business, I must explicitly acknowledge and confirm that I have not been solicited by Alpaca prior to becoming a customer of Alpaca (a “Non-Domestic Customer”). To the extent that I am a Non-Domestic Customer, I understand and acknowledge that You Alpaca also may conduct more extensive due diligence and require additional identity documentation for Non-Domestic Customers. All Non-Domestic Customers must complete and provide to Alpaca an appropriate Form W-8 and its certification. In order for a Non-Domestic Customer to keep an account open, a Non-Domestic Customer must keep an appropriate Form W-8 current and no less than every 36 months, re-certify that the information on the appropriate Form W-8 is correct and accurate. I acknowledge and understand that any failure to satisfy the aforementioned obligations may, at AlpacaXxxxxx’s sole discretion, result in the restriction and/or termination of My Accountmy account.

Capacity and Status. a) If an individual, I am You are of legal age under the laws of the jurisdiction where I You reside and authorized to enter into this Agreement. If an entity, I am You are duly formed, validly existing and in good standing in My Your jurisdiction of organization, have full power and authority to enter and perform this Agreement, and the persons signing the Agreement are fully authorized to act on My Your behalf. No person, except Myself You (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Agreement. I You acknowledge that unless You receive the Broker receives a written objection from MeYou, You the Broker may provide My Your name, address, and securities positions to requesting companies in which I You hold securities. Except as otherwise disclosed to You the Broker in writing, neither I You nor any member of My Your immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. I You understand and agree that I am You are obligated to promptly notify You the Broker in writing if I You or a member of My Your immediate family becomes registered or employed in any of the above-described capacities. I You further agree to promptly notify You the Broker in writing if I am You are now or if I You become: (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the Securities and Exchange Commission (“SEC”), the Commodities Futures Trading CommissionCommission (“CFTC”), any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require Me You to be so registered or qualified if I You were to perform such functions for an organization not so exempt; or (iv) an officer, director or 10% stockholder of any publicly traded company. b) Non-Domestic Customer Alpaca makes its services available to persons and businesses in countries where it is not otherwise prohibited. Alpaca does not solicit any non-domestic persons or businesses. If I am a non-domestic person or business, I must explicitly acknowledge and confirm that I have not been solicited by Alpaca prior to becoming a customer of Alpaca (a “Non-Domestic Customer”). To the extent that I am a Non-Domestic Customer, I understand and acknowledge that You also may conduct more extensive due diligence and require additional identity documentation for Non-Domestic Customers. All Non-Domestic Customers must complete and provide to Alpaca an appropriate Form W-8 and its certification. In order for a Non-Domestic Customer to keep an account open, a Non-Domestic Customer must keep an appropriate Form W-8 current and no less than every 36 months, re-certify that the information on the appropriate Form W-8 is correct and accurate. I acknowledge and understand that any failure to satisfy the aforementioned obligations may, at Alpaca’s sole discretion, result in the restriction and/or termination of My Account.

Capacity and Status. a) If an individual, I am of legal age under the laws of the jurisdiction where I reside and authorized to enter into this Agreement. If an entity, I am duly formed, validly existing and in good standing in My jurisdiction of organization, have full power and authority to enter and perform this Agreement, and the persons signing the Agreement account application are fully authorized to act on My behalf. No person, except Myself (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Agreement. I acknowledge that unless You receive a written objection from Me, You may provide My name, address, and securities positions to requesting companies in which I hold securities. Except as otherwise disclosed to You in writing, neither I nor any member of My immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-broker- dealer or as principal in securities. I understand and agree that I am obligated to promptly notify You in writing if I or a member of My immediate family becomes registered or employed in any of the above-described capacities. I further agree to promptly notify You in writing if I am now or if I become: (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the SEC, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require Me to be so registered or qualified if I were to perform such functions for an organization not so exempt; or (iv) an officer, director or 10% stockholder of any publicly traded company. b) Non-Domestic Customer Alpaca makes its services available to persons and businesses in countries where it is not otherwise prohibited. Alpaca does not solicit any non-domestic persons or businesses. If I am a non-domestic person or business, I must explicitly acknowledge and confirm that I have not been solicited by Alpaca prior to becoming a customer of Alpaca (a “Non-Domestic Customer”). To the extent that I am a Non-Domestic Customer, I understand and acknowledge that You also may conduct more extensive due diligence and require additional identity documentation for Non-Domestic Customers. All Non-Domestic Customers must complete and provide to Alpaca an appropriate Form W-8 and its certification. In order for a Non-Domestic Customer to keep an account open, a Non-Domestic Customer must keep an appropriate Form W-8 current and no less than every 36 months, re-certify that the information on the appropriate Form W-8 is correct and accurate. I acknowledge and understand that any failure to satisfy the aforementioned obligations may, at Alpaca’s sole discretion, result in the restriction and/or termination of My Account.

Capacity and Status. a) If an individual, I am of legal age under the laws of the jurisdiction where I reside and authorized to enter into this Agreement. If an entity, I am duly formed, validly existing and in good standing in My jurisdiction of organization, have full power and authority to enter and perform this Agreement, and the persons signing the Account Application Agreement are fully authorized to act on My behalf. No person, except Myself (or any person named in a separate agreement or joint account), has any interest in the Account opened pursuant to this Agreement. I acknowledge that unless You receive a written objection from Me, You may provide My name, address, and securities positions to requesting companies in which I hold securities. Except as otherwise disclosed to You in writing, neither I nor any member of My immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-broker- dealer or as principal in securities. I understand and agree that I am obligated to promptly notify You in writing if I or a member of My immediate family becomes registered or employed in any of the above-described capacities. I further agree to promptly notify You in writing if I am now or if I become: (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the SEC, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require Me to be so registered or qualified if I were to perform such functions for an organization not so exempt; or (iv) an officer, director or 10% stockholder of any publicly traded company. b) Non-Domestic Customer Alpaca makes its services available to persons and businesses in countries where it is not otherwise prohibited. Alpaca does not solicit any non-domestic persons or businesses. If I am a non-domestic person or business, I must explicitly acknowledge and confirm that I have not been solicited by Alpaca prior to becoming a customer of Alpaca (a “Non-Domestic Customer”). To the extent that I am a Non-Domestic Customer, I understand and acknowledge that You also may conduct more extensive due diligence and require additional identity documentation for Non-Domestic Customers. All Non-Domestic Customers must complete and provide to Alpaca an appropriate Form W-8 and its certification. In order for a Non-Domestic Customer to keep an account open, a Non-Domestic Customer must keep an appropriate Form W-8 current and no less than every 36 months, re-certify that the information on the appropriate Form W-8 is correct and accurate. I acknowledge and understand that any failure to satisfy the aforementioned obligations may, at Alpaca’s sole discretion, result in the restriction and/or termination of My Account.

Capacity and Status. aI. If: (1) If an individual, I am of legal age under the laws of the jurisdiction State where I reside and authorized to enter into this Public Brokerage Agreement. If (2) an entity, I am duly formed, validly existing and in good standing in My jurisdiction state of organization, have full power and authority to enter and perform this Public Brokerage Agreement, and the persons signing the Agreement account application are fully authorized to act on My behalf. XX. No Xx person, except Myself (or any person named in a separate agreement or joint account), has any interest in the Investing Account opened pursuant to this Public Brokerage Agreement. III. I acknowledge that unless You receive a Company receives written objection from Me, You Company may provide My name, address, and securities positions to requesting companies in which I hold securities. IV. Except as otherwise disclosed to You Company in writing, neither I nor any member of My immediate family is an employee of any exchange, any corporation of which any exchange owns a majority of the capital stock, a member of any exchange or self-regulatory organization, a member of any firm or member corporation registered on any exchange, a bank, trust company, insurance company or any corporation, firm or individual engaged in the business of dealing either as a broker-dealer or as principal in securities. I understand and agree that I am obligated to promptly notify You Company in writing if I or a member of My immediate family becomes registered or employed in any of the above-described capacities. . V. I further agree to promptly notify You Company in writing if I am now or if I become: : (1) (i) registered or qualified with the Financial Industry Regulatory Authority, Inc. (“FINRA”), the SEC, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; ; (2) (ii) an “investment adviser” as that term is defined in Section 201(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that act); ; (3) (iii) employed by a bank or other organization exempt from registration under federal and state securities laws to perform functions that would require Me to be so registered or qualified if I were to perform such functions for an organization not so exempt; or or (4) (iv) an officer, director or 10% stockholder of any publicly traded company. b) Non-Domestic Customer Alpaca makes its services available to persons and businesses in countries where it is not otherwise prohibited. Alpaca does not solicit any non-domestic persons or businesses. If I am a non-domestic person or business, I must explicitly acknowledge and confirm that I have not been solicited by Alpaca prior to becoming a customer of Alpaca (a “Non-Domestic Customer”). To the extent that I am a Non-Domestic Customer, I understand and acknowledge that You also may conduct more extensive due diligence and require additional identity documentation for Non-Domestic Customers. All Non-Domestic Customers must complete and provide to Alpaca an appropriate Form W-8 and its certification. In order for a Non-Domestic Customer to keep an account open, a Non-Domestic Customer must keep an appropriate Form W-8 current and no less than every 36 months, re-certify that the information on the appropriate Form W-8 is correct and accurate. I acknowledge and understand that any failure to satisfy the aforementioned obligations may, at Alpaca’s sole discretion, result in the restriction and/or termination of My Account.