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EFTA01371600EFTA01371602
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efta-01371601DOJ Data Set 10Other

EFTA01371601

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DOJ Data Set 10
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efta-01371601
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1
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EFTA Disclosure
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Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 On May 23, 2017, at 12:06 PM, Tazia Smith wrote: Classification: Confidential Rich — Closing the loop on today's trading, ROTH FP closed at 28 EUR on 12,414 daily volume. DB did trade small today, -, 3,000 shares, split between High Touch and Low Touch which is usually the case for this name. The big International houses generally see Low Touch business, where the boutique houses dominate the High Touch. DB has good relationship with many of these boutique shops that work High Touch orders (as yours would be), so let us know if you'd like to discuss further per my prior note about working smaller size. Speak Soon, Tazia Cell: From: Tazia Smith Sent: Tuesday, May 23, 2017 6:19 AM To: Delores Rubin; 'Richard Kahn' Cc: Stewart Oldfield; Vahe Stepanian; Matt Glassman Subject: RE: Rothschild [C] CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065058 CONFIDENTIAL SDNY_GM_00211242 EFTA01371601

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As s Rubin I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 154-0004 New York, NY, USA Tel. Emal From: Richard Kahn [mailto Sent: Tuesday, May 23, 2017 6:18 AM To: Tazia Smith Cc: Stewart Oldfield ; Vahe Stepanian da; Matt Glassman ; Delores Rubin ‹ > Subject: Re: Rothschild [C] Any update on bid ask for 100k Roth ' Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 Phone- Fax Cell

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From: Richard Kahn Sent: Tuesday, May 23, 2017 6:18 AM To: Tazia Smith <a> Cc: Stewart Oldfield Vahe Stepanian ve; Matt Glassman >; Delores Rubin Subjec : e: o isc Any update on bid ask for 100k Roth 9 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 On May 22, 2017, at 6:47 PM, Tazia Smith ‹ > wrote: Working with our counterparts in Europe. Size / liquidity could be prohibitive for a market on that size but we will be back with color.

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