EFTA Document EFTA01416106

Subject: RE: trading meeting [C] [I] From: Stewart Oldfield <M > Date: Tue, 05 Sep 2017 15:31:13 -0400 To: Davide-A Sferrazza Cc: Liam Osullivan < Vahe Stepanian Thanks From: Davide-A Sferrazza Sent: Tuesday, September 05, 2017 3:31 PM To: Stewart Oldfield Cc: Liam Osullivan Subject: RE: trading meeting [C] [I] Classification: For internal use only ; Vahe Stepanian Sent to Rich this morning — he called for password, and I spoke with him then, so should be all good. Thanks, Davide From: Stewart Oldfield Sent: Tuesday, September 05, 2017 3:22 PM To: Davide-A Sferrazza Cc: Liam Osullivan Davide, Subject: RE: trading meeting [C] ; Vahe Stepanian Are these ready to go out? Thanks EFTA01416106 From: Vahe Stepanian Sent: Monday, August 28, 2017 1:28 PM To: Richard Kahn Cc: Stewart Oldfield Subject: RE: trading meeting [C] Classification: Confidential Thank you 3 Liam Osullivan No problem, will send if ready otherwise will make sure a member of the team gets those over to you. Best, Vahe From: Richard Kahn [mailto: Sent: Monday, August 28, 2017 1:02 PM To: Vahe Stepanian < Cc: Stewart Oldfield Subject: Re: trading meeting [C] ; Liam Osullivan ok enjoy your time off can you also send aug 31 statements before you leave if ready .. thank you EFTA01416107 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell On Aug 28, 2017, at 12:55 PM, Vahe Stepanian cz > wrote: Classification: Confidential Sounds good. I'm going to be out of office Sept. 5-17, so please make sure to include Stew and Liam in case you have questions. Best, Vahe From: Richard Kahn [mailto: Sent: Monday, August 28, 2017 12:52 PM To: Vahe Stepanian < Cc: Stewart Oldfield Subject: Re: trading meeting [C] ; Liam Osullivan EFTA01416108 received and will send back middle of September once our consultant begins thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell On Aug 25, 2017, at 3:04 PM, Vahe Stepanian a wrote: Classification: Confidential Rich — please find attached the paperwork to grant your new hire trading authorization on the existing brokerage accounts. For all of the accounts other than the HE personal account — the "Trading Authorization Limited" form should be completed. For only the HE personal account — the POA should be completed, and we suggest checking off as "limited" power of attorney if only granting trading authority (vs. full POA, which would allow him to also transfer assets out of the account). Both forms have sections for name, legal address, DOB, and EFTA01416109 SSN. Our compliance mandates that the forms should be completed using your new hire's personal address on the forms (i.e. not his office address). In addition, we will need a government issued (non-expired) photo ID. I'm CC'ing my colleague Liam here who will help on the documentation side. Please let us know if you have questions. Have a great weekend. Best, Vahe From: Stewart Oldfield Sent: Friday, August 25, 2017 11:18 AM To: Richard Kahn Cc: Vahe Stepanian Subject: RE: trading meeting EFTA01416110 Vahe - Can you help Rich with those docs? Rich — will look at week of the 18th and be back Thanks From: Richard Kahn [mailto: Sent: Friday, August 25, 2017 11:07 AM To: Stewart Oldfield ‹ > Subject: Re: trading meeting i just found out that our new hire will be out that week...drama continues... can we target the week of september 18th? EFTA01416111 also can you send us trading authority docs on all brokerage accounts so that we can add our new hire thank you On Aug 25, 2017, at 10:34 AM, Stewart Oldfield wrote: Any luck with 9/14 or 9/15? Thanks From: Stewart Oldfield Sent: Tuesday, August 22, 2017 5:24 PM To: 'Richard Kahn' a> Subject: RE: trading meeting EFTA01416112 Sorry, forgot that we have a global offsite in London the week of the 5th that a lot of people will be at. Then I'm out the llth-13th at the DB Technology conference (let me know if you want to join in Las Vegas . . .) Can we try for the 14th or 15th? Thanks From: Richard Kahn [mailto: Sent: Tuesday, August 22, 2017 3:59 PM To: Stewart Oldfield ‹ > Subject: Re: trading meeting hope your summer has been going well would love to chat and catch up.. looking at sep 5 / 6 / 7 for trading meeting EFTA01416113 might any of those dates work for your team? please advise thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell On Jul 24, 2017, at 2:48 PM, Stewart Oldfield ‹ > wrote: EFTA01416114 8/10 at 10am at our office Dan Kaiser — US head of Key Client Partners Xavier Avila — Latam head of Key Client Partners (will add to any discussion about EM trading) Martin Zeman — KCP head of trading I will be there as well, along with either Matt Glassman or Vahe on the KCP coverage side. EFTA01416115 From: Richard Kahn [mailto: Sent: Monday, July 24, 2017 1:17 PM To: Stewart Oldfield e > Subject: Re: trading meeting please confirm when date is firm along with individuals we will be meeting thanks Richard Kahn HBRK Associates Inc. EFTA01416116 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell On Jul 20, 2017, at 2:35 PM, Stewart Oldfield wrote: I think 8/10 at 10am works for us From: Richard Kahn [mailto: Sent: Wednesday, July 19, 2017 11:23 AM To: Stewart Oldfield ‹ > Subject: Re: trading meeting EFTA01416117 can we move apt to 8/9 or 8/10 thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell EFTA01416118 On Jul 13, 2017, at 10:17 AM, Stewart Oldfield wrote: Confirmed for the morning of 8/8. Aiming for 10am in our office. You'll meet the whole gang. In other news, I went running this morning. It was brutal outside. EFTA01416119 Thanks! From: Richard Kahn [mailto: Sent: Wednesday, July 12, 2017 9:09 PM To: Stewart Oldfield ‹ > Subject: Re: trading meeting 9 or 10am thanks EFTA01416120 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell On Jul 12, 2017, at 6:34 PM, Stewart Oldfield c > wrote: EFTA01416121 Lemme check and come back to you tmw. Any time preference? From: Richard Kahn [mailto: Sent: Wednesday, July 12, 2017 6:21 PM To: Stewart Oldfield e > Subject: Re: trading meeting how is 8/8? EFTA01416122 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell On Jul 12, 2017, at 4:50 PM, Stewart Oldfield a wrote: EFTA01416123 8/3 doesn't work on our side unfortunately. What's the next date 8/7 or later that works for you? Thanks From: Richard Kahn [mailto: Sent: Wednesday, July 12, 2017 4:48 PM To: Stewart Oldfield <M > Subject: Re: trading meeting EFTA01416124 8/3 is best for us Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell EFTA01416125 On Jul 11, 2017, at 2:25 PM, Stewart Oldfield c > wrote: Turns out our new head of trading starts on July 31. Makes sense to wait and include him I think. Can we do morning of 7/31 or 8/1 or any time the following week? Thanks EFTA01416126 From: Richard Kahn [mailto: Sent: Tuesday, July 11, 2017 1:17 PM To: Stewart Oldfield Subject: Re: trading meeting EFTA01416127 9am Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell EFTA01416128 On Jul 11, 2017, at 12:56 PM, Stewart Oldfield wrote: Will check. How much earlier on the 25th? EFTA01416129 From: Richard Kahn [mailto: Sent: Tuesday, July 11, 2017 11:57 AM To: Stewart Oldfield ‹ > Subject: Re: trading meeting can we do same time on the 24th or earlier on the 25th? please advise EFTA01416130 thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell EFTA01416131 On Jul 10, 2017, at 4:03 PM, Stewart Oldfield c > wrote: That works. Can confirm details later next week. Thanks EFTA01416132 From: Richard Kahn [mailto: Sent: Friday, July 07, 2017 6:20 PM To: Stewart Oldfield e > Subject: Re: trading meeting Tuesday 25th 11am works. EFTA01416133 Thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 EFTA01416134 cell On Jul 7, 2017, at 12:04 PM, Stewart Oldfield a wrote: EFTA01416135 Rich, Looks like we're generally open the week of the 24th to meet with you and your new trader. Let me know whether you have any time/date constraints and I will set it up. EFTA01416136 Thanks <image001.png> Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. 212 454-2881 Mobile 917 209-0686 blackberry Email Securities offered through Deutsche Bank Securities Inc. EFTA01416137 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01416138 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01416139 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01416140 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01416141 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01416142 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. EFTA01416143 Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and EFTA01416144 regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. <WM168335_Trading_Authorization_Limited_Form_112516_Interactive_FINAL.PDF><W- M167648 POA DBSI US 031616 Fields Final.pdf> This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01416145