EFTA Document EFTA01375366

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DOJ Data Set 10

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From: Tazia Smith Sent: 5/23/2017 12:06:03 PM To: 'Richard Kahn' CC: Delores Rubin Subject: RE: Rothschild [CI Classification: Confidential Rich — ; Stewart Oldfield ; Vahe Stepanian Matt Glassman ; Davide-A Sferrazza 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; 'Rkhard Kahn' Cc: Stewart Oldfield; Vahe Stepanian; Matt Glassman Subject: RE: Rothschild [C] Rich - Just tried calling you. Please call Delores directly if you have follow through on this at As team relayed, DB isn't (nor are we in touch with as agent) a marker maker on a full 100k shares. But, Delores has market color and guidance on a market if you portion out that size and can help facilitate. Remember the market closes in Paris at 11:30am. Tazia Tazia Smith Key Client Partners - US Deutsche Bank Wealth Management w. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0070797 CONFIDENTIAL SONY GM_00216981 EFTA01375366

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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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