EFTA Document EFTA01374319

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DOJ Data Set 10

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EFTA Disclosure

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From: Sent: To: CC: Tazia Smith 5/23/2017 2:41:00 PM Richard Kahn Delores Rubin tewart Oldfield San Glassman Subject: RE: Rothschild ICI Classification: Confidential Vahe Stepanian Davide-A Sferrazza Thanks Rich. No market on 100k that we're in touch with (DB or agent). Delores will work towards showing a smaller size to try to get a two-way in front of you. Understand no trade. Best, Tazia From: Richard Kahn Sent: Tuesday, May 23, 2017 11:13 AM To: Tazia Smith Cc: Delores Rubin; Stewart Oldfield; Vahe Stepanian; Matt Glassman; Davide-A Sferrazza Subject: Re: Rothschild [C] mr epstein is not yet ready to put and order in without any firm indication on where he can get done for 100k thank you for your work on this.. Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York NY 10022 On May 23, 2017, at 12:06 PM, Tazia Smith ~1.11~ 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068954 CONFIDENTIAL SDNY_GM_00215138 EFTA01374319

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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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Equity Trading DB Securities Inc Deutsche Bank Wealth Management P rk Av n 1 154.0004 New York, NY, USA From: Richard Kahn [mailto:[email protected] Sent: Tuesday, Ma 23, 2017 6:18 AM To: Tazia Smith Cc: Stewart Oldfield < >; Vahe Stepanian < >; 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 On May 22, 2017, at 6:47 PM, Tazia Smith wr

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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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