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DOJ EFTA Data Set 10 document EFTA01344076

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DOJ EFTA Data Set 10 document EFTA01344076

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From: Yowv,lwaj Sent: 10/17/2013 3:32:19 PM To: Lisa D Hurd CC: Amanda Kirby ; Barrett Team Subject: RE: Update on outstanding securities for Southern Trust Co., Inc. IC) Lisa, The other note is pending for delivery and settled today. 1. HSBC BRL STEP UP NOTE 4/21/14 DELD 04/05/2013 0.000000000 1000000.000 0.00 10/15/2013 0000889 66 RELEASED Best Regards, Janet Young Janet E. Young' Vice President I Private Bank1 J.P. Morgan I - 500 Stanton Christiana Road, Newark DE 19713 Alternate contacts: Gina Magliocco and Jason Grosse To ensure a prompt response, please direct your reply to our team: From: Lisa D Hurd [mato Sent: Wednesday, October 16, 2013 4:58 PM To: Young, Janet E Cc: Amanda Kirby; Barrett Team Subject: Re: Update on outstanding securities for Southern Trust Co., Inc. [C] Classification: Confidential Hi Janet. I only see us receiving I security today: 1. HSBC BRL STEP UP NOTE 3/27/14 LNKD TO BRL VS USD 1,000,000.00 882,200.00 85%BARRIER- 5%CPN-28.5% MXRTRN MD 66 1,000,000.000 10/15/13 I do not sec the oilier being received. please advise, thank you. Kind regards. Lisa Hurd CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0029186 CONFIDENTIAL SDNY_GM_00175370 EFTA01344076

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EFTA Document EFTA01344076

From: Yowv,lwaj Sent: 10/17/2013 3:32:19 PM To: Lisa D Hurd CC: Amanda Kirby ; Barrett Team Subject: RE: Update on outstanding securities for Southern Trust Co., Inc. IC) Lisa, The other note is pending for delivery and settled today. 1. HSBC BRL STEP UP NOTE 4/21/14 DELD 04/05/2013 0.000000000 1000000.000 0.00 10/15/2013 0000889 66 RELEASED Best Regards, Janet Young Janet E. Young' Vice President I Private Bank1 J.P. Morgan I - 500 Stanton Christiana Road, Newark DE 19713

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Subject: MESSAGE: Paul Barrett. From: Amanda Kirby < Date: Mon, 25 Nov 2013 11:14:48 -0500 To: Paul Morris EFTA01465664

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From: Sent: To: Harry Beller 6/25/201511:06:44 AM of Yeshivas Toras Moshe Estrin David S Laster Loebenber ; Alan Dlu ash have k ; Bella Klein ; Ben Beller Investor Services Kovitz Jay Stern Laurie Cameron Rosenberg Paul S Barrett ; Christopher Amato • Customer Support Daphne Wallace ; david sporn ; DKIESQ Indyke I; Dwyer, Bradie A ; Elise Hubsher Alan Beller Alan Feldman Amanda Kirby- ; Anastasia X Dubov ; Frank Brochin • Harry Beller • Igelbrink, Anne ; israel gr

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Subject: Update on outstandin securities for Southern Trust Co., Inc. From: "Young, Janet E" Date: Wed, 16 Oct 2013 12:55:57 -0400 To: Harry Baller Amanda Kirby Lisa D Hurd < Cc: PB-Service1318 Barrett Team A/C # - SOUTHERN TRUST COMPANY, INC Harry, Amanda and Lisa, Update on the following securities has been received. To be delivered today 10/16/13, to Deutsche Bank 1. HSBC BRL STEP UP NOTE 3/27/14 40432XD32 66 1,000,000.000 10/15/13 LNKD TO BRL VS USD 1,000,000.00 882,200.00

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Subject: RE: Update on [C] From: "Young, Janet E" Date: Thu, 17 Oct 2013 To: Lisa D Hurd Cc: Amanda Kirby Barrett Team Lisa, outstanding securities for Southern Trust Co., Inc. 15:32:19 -0400 The other note is pending for delivery and settled today. 1. 40432XE56 HSBC BRL STEP UP NOTE 4/21/14 13105203341450 1000000.000 Best Regards, Janet Young 04/05/2013 0.000000000 DELD 0.00 10/15/2013 0000889 66 RELEASED Janet E. Young' Vice President I Private Bank' J.P. Morgan I NMLS I

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EFTA Document EFTA01350833

Subject: Re: Update on outstandin securities for Southern Trust Co., Inc. [C] From: Lisa D Hurd < Dat • To: Cc: an a it y Barrett Team Classification: Confidential Hi Janet, I only see us receiving 1 security today: 1. HSBC BRL STEP UP NOTE 3/27/14 10/15/13 LNKD TO BRL VS USD 85%BARRIER- 51tCPN-28.5t MXRTRN 66 1,000,000.000 1,000,000.00 882,200.00 MD I do not see the other being received, please advise, thank you. Kind regards, Lisa Hurd (Embedded image moved to file: pic19

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