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efta-01376881DOJ Data Set 10Other

EFTA01376881

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efta-01376881
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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
From: Sent: To: CC: Subject: Liam Osullivan 6/8/2018 4:52:14 PM Paul Barrett Davide-A Sferrazza ; 'Richard Kahn' I Joshua Shoshan -I: Stewart Oldfield ; Martin Zeman I Trade Details --> 06/08/2018 (C) Classification: Confidential Paul, In SFLLC: Sold 17 BRK/A at 293,789.86 Sold 10,000 QCOM at 60.3107 Sold 25,000 GILD at 71.9664 In Haze: Sold 15,390 SPOT at 171.8254 Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154.0004 New York, NY, USA Tel. Email Xavier Avila Prepared on 06/08/2018 Source: Pershing Ne1X 360 Unofficial trade confirmations use information from sources that the fine believes to be reliable, but Deutsche Bank Securities Inc. cannot guarantee the accuracy of this information. or the reliability of these sources. Please refer to your official account statements and confirmations for all trade information. KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of °BSI or its affiliates prior to execution. and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters tfiscussed herein are provided for discussion purposes only, and strictly on a non- advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DEISI or any Wits affiliates. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0073329 CONFIDENTIAL SDNY_GM_00219513 EFTA01376881

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Subject: Trade Details --> 06 19 2018 C From: Liam Osullivan Date: Tue, 19 Jun 2018 16:19:55 -0400 To: Paul Barrett Richard Kahn Cc: Martin Zeman Davide-A Sferra Joshua Shoshan Xavier Avila Stewart Oldfield Classification: Confidential Paul, In Haze: Bought 10,000 CVNA at 47.79781 Bought 25,000 BBD/B at 5.112 CAD (5.102 + .01 CAD commission we are charged) Bought 129,050 CAD at 1.327217 In SFLLC: Sold 21,348 CD Projekt at 165.2038 PLN Thank you, Liam {https://brandportal.intr

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Subject: Trade Details --> 06/05/2018 [C] From: Liam Osullivan Date: Tue, 05 Jun 2018 16:03:39 -0400 To: Paul Barrett Richard Kahn Cc: Davide-A Sferrazza Joshua Shoshan Xavier Avila Martin Zeman Stewart Oldfield > Classification: Confidential Paul, In Haze: You sold 18,403 shares of C 5.8% Ser C Pref at 25.30. You no longer have a position in this security. Thank you, Liam {https://brandportal.intranet.db.com/img/modules/logo.gif} Liam O'Sullivan AVP I Key Client Partners - U

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Subject: RE: Trade confirmation: Rates trade From: Liam Osullivan Date: Mon, 22 Jan 2018 12:30:17 -0500 To: "Paul Barrett ( Richard Kahn Cc: Stewart Oldfield Xavier Avila Davide-A Sferrazza Joshua Shoshan Martin Zeman Vahe Stepanian <a> Paul & Rich, I have attached the confirms for the below trades. I will send the password in a separate email. Thank you, Liam {https://brandportal.intranet.db.com/img/modules/logo.gif} Liam O'Sullivan AVP I Key Client Partners - US DB Securitie

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