EFTA Document EFTA01460943

From: Diego Galan Sent: 4/7/2015 5:22:35 PM To: Chip Packard ; Haig Ariyan ; Joshua Friedberg Subject: Concentrated positions (Cl Attachments: Concentrated positions greater than $10m - Pershing - April 2015.xlsx Classification: Confidential Chip, Haig and Josh, Following up on last week's discussion, please find attached a list of the concentrated positions for WM Americas clients — the list includes by office, by banker / CA, by client, by account for accounts with >$1.0m in a single stock. The data include Pershing accounts only, as there were no concentrated positions >$10m in State Street. Let me know if you have any questions. Best, Diego Diego Galan Head of Strategy Wealth Management Americas DB Securities Inc 345 Park Avenue. 10154-iX04 New York. NY. USA Tel. Mo Emai Assistant: Lathe Whitaker Parrierwfrr Perfoan CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 122695 CONFIDENTIAL SDNY_GM_00268879 EFTA01460943