General Information:
 
 
Client Profile & Employment:
 
Investment Objectives:
Income Speculation Tax Free/Deferred
Growth Safety of Principal Other
 
Is either party or an immediate family member affiliated with or employed by any securities firm, bank, trust, or insurance company?

Is either party or an immediate family member a director, a 10% or greater shareholder, or a policy-making officer of a publically-traded company?

Yes No Yes No
 
Investment Experience:
    None / Little / Moderate / Extensive
  Stocks            
  Bonds            
  Funds            
  Options            
Risk Tolerance Tax Bracket
Low 0-15%    29-36%
Moderate 16-28% 36%+
High
 
 
Account Information:
Initial Transaction Type Full Positions (25,000 USD) USD
  Micro Positions (5,000 USD) USD
Type of Registration Individual Partnership Corporation Investment Advisor
  Investment Club Charitable Custodian Tenants in Common
  Trust Other Joint Tenants Rights of Survivorship
 
Accredited Investor Declaration:
 
1) I hereby declare my investor status as an "accredited investor" as defined in Rule 501 of Regulation D. The regulation is found under Title 17 of the Code of Federal Regulations, part 230, Sections 501 through 508. The legal citation is 17 C.F.R. §230.501 et seq. As stipulated by Rule 501, I declare that:
 
I am a natural person who has individual net worth, or joint net worth with the person's spouse, that exceeds $1 million at the time of the purchase, excluding the value of the primary residence of such person;

OR,

I am a natural person with income exceeding $200,000 in each of the two most recent years or joint income with a spouse exceeding $300,000 for those years and a reasonable expectation of the same income level in the current year.
 
2) I confirm that all my particulars, information and documents provided to Pennington Fund are true and correct to the best of my knowledge and you may rely on the accuracy thereof. I undertake to promptly inform Pennington Fund if I cease to be an accredited investor at any time. I also understand and agree that I may be required to renew this declaration periodically upon request.
 
3) I agree to hold Pennington Fund and its directors, officers, agents, and affiliates harmless and keep each party fully and effectively indemnified from and against any and all losses, costs (including legal costs on a full indemnity basis), claims, damages, and expenses whatsoever which any of them may incur (directly or indirectly) as a result of your relying on the information and documents furnished by me with regards this declaration.
 
4) I am fully aware of the risks involved in investing and am purchasing investment products on my own accord.
 
 
Dividend Payment Election:
 
As a new member of Pennington Fund, please check one of the boxes below and provide your banking details for receipt of your future dividends and fund redemption proceeds.
 
I elect to have my dividend payments automatically reinvested into my fund account

I elect to receive cash dividend payments (please complete your bank details below)
 
 
Certified Agreement for Related Documents:
(Please review and check all boxes below)
 
I affirm that I have reviewed the "Managed Trading Platform Account Agreement", and that I agree with all provisions therein:

http://www.pennington-trading.com/confidential/MTP_Account_Agreement_Entry_Level.pdf
 
I affirm that I have reviewed the "Know Your Client" form, and that I am not restricted from investing, and that all invested monies are from lawful sources:

http://www.pennington-trading.com/confidential/Know_Your_Client.pdf

(If you wish to complete all of the details in the above linked "Know Your Client" form, you may, but it is optional so long as you check the above affirmation.)
 
Certification:
I hereby certify that the information provided on this form is true, correct, and complete to the best of my knowledge. Certification statement – if this is a joint account, all persons must certify.
 
 
Your IP Address Is Being Logged for Security Reasons: 100.25.43.188
 
 
DISCLAIMER: This document is for information purposes only and does not constitute a solicitation for investment in the company described herein, nor does it constitute an offer for sale of positions issued by the company or its affiliates. Any positions offered to investors by the fund will be speculative in nature and involve a degree of risk. There is no guarantee that actual performance will resemble past trading performance or back-tested trading results. Simulations and projected performance may not necessarily be a guide to future results. This brief statement cannot disclose all the risks and other factors necessary for evaluation of any potential investment. Any decision to invest should take into account the entirety of the additional documentation to be supplied to potential investors by the fund, and the individual's financial goals and risk tolerance. An investment in these funds should be viewed as a medium to long-term investment.