EFTA Document EFTA01478644

Subject: Re: Fw: allocation [C] From: Haig Ariyan Date: Tue, 05 Nov 2013 11:03:57 -0500 To: Caroline Kitidis Cc: Caroline Kitidis Chip Packard Classification: Confidential Lets peel 4k off the top to allocate to these two families. Haig Ariyan Managing Director Co-Head Wealth Management, Americas Deutsche Asset & Wealth Management 345 Park Avenue 10154 direct phone fax • line Kitidis/db/- To: Caroline Date: AM Subject: [C] Haig Ariyan/db Kitidis/db Chip Packard/db/- 11/05/2013 11:00 Re: Fw: allocation EFTA01478644 Classification: Confidential Two KCP clients we are speaking about now: 1. Epstein, Morris-PB, new $180mm KCP cap markets acct. 2. Wolfson, you know this account...large imp. KCP client situation. Estimated size/interest 2-3k shs. Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York NY 10154-0004 Tel. Fax. Mobile Email Original Message From: Haig Ariyan Sent: 11/05/2013 10:50 AM EST To: Caroline Kitidis db Haig Ariyan/db Chip Packard Subject: Re: Fw: allocation [C] Case by case menaing client indication, not deal. Sorry to be abrupt, back to back Original Message From: Caroline Kitidis Sent: 11/05/2013 10:47 AM EST To: Hai Ari an/db Caroline Kitidis/db Chip Packard Subject: Re: Fw: a ocation [C] Classification: Confidential Yes in this case its regarding twtr, and its 2 kcp accounts pls confirm back... EFTA01478645 Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154-0004 Tel. Fax. Mobil Email Original Message From: Haig Ariyan Sent: 11/05/2013 10:36 AM EST To: Caroline Kitidis/db Subject: Re: Fw: allocation [C] Did not agree yet. Let us know case by case please for now. Original Message From: Caroline Kitidis Sent: 11/05/2013 10:11 AM EST To: Chip Packard; Haig Ariyan Subject: Fw: Fw: allocation [C] Classification: Confidential Chip Packard H&C, Per our conversation you agree that KCP allocations can come off top before PB/PCS breakdown? Its 3 clients where we have allocations. If so I will discuss w Mike I. See below. Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154-0004 Tel. Fax. Mobile Email EFTA01478646 Original Message From: Joshua Shoshan Sent: 11/05/2013 10:04 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential Caroline, as far as I understand, the KCP accounts are Epstein, Rose and Wolfson (Daniel Wolfson will be in the book) -- so far. I guess Bollag is not KCP, but he should be, based upon size -- but there is no KCP interaction here, as far as I know. In short, the KCP accounts should get an allocation before the PCS/PB split, but Mike Iaquinta tells me adamantly that he has no instructions about a KCP carve-out, and he needs those instructions from you, Haig and Chip. Maybe you might call Iaquinta? He is at Best, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fax • oline Kitidis/db/- To: Joshua Shoshan/db/- Date: AM 11/05/2013 09:59 EFTA01478647 Subject: [C] Re: Fw: allocation Classification: Confidential These are KCP accounts we r referring to or PB WIC ? We said KCP accounts shd come off top and they agreed. WIC PB comes out of regular allocation? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New Y 004 Tel. Fax. MobileiMIM Email Original Message From: Joshua Shoshan Sent: 11/05/2013 09:55 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential I spoke to Chip yesterday, and I think we still have a real problem with these special allocations not coming off the top. If they come out of the PB allocation, they are three times more "expensive". Can you try to get that pre-split allocation to take place? Chip said he was talking to you. I have not spoken to Haig, which I think makes sense . Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas EFTA01478648 Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fax From: Caroline Kitidis/db/- To: Joshua Shoshan db Date: AM Subject: [C] 11/05/2013 09:51 Re: Fw: allocation Classification: Confidential So what is feedback here from chip and haig, their call ? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York NY 10154-0004 Tel. Fax. Mobile EFTA01478649 Email Original Message From: Joshua Shoshan Sent: 11/05/2013 09:48 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential Hi. Butenhoff is an active client; not new. He trades a decent amount -- so we have about $55k of revs with him ytd -- which means he is real -- and, separately, RV has business with him, including loans. She is also very old friends. If he gets 500 shares, that might be nice. The other guy is Bollag, a billionaire that RV made this big deal about since yesterday. He has $100mm + in the firm. Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fax From: Caroline Kitidis/db/- • " oshan" Date: AM 11/05/2013 09:43 EFTA01478650 Subject: [C] Fw: allocation Classification: Confidential Can I get color here on these accounts ? They are new for syndicate and or other real business or we are doing this as a favor for PB w no business opp? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154-0004 Tel. Fax. Mobile Email Original Message From: Rosemary Vrablic Sent: 11/05/2013 09:39 AM EST To: Chip Packard; Haig Ariyan Cc: Caroline Kitidis; Donald Summer; Joshua Shoshan; Zbynek Kozelsky Subject: allocation [C] Classification: Confidential Chip and Haig In addition to Bollag, the only other name that needs allocation consideration is Kurt Butenhoff. Thanks for the attention in both these names. Kind regards, Rosemary Vrablic EFTA01478651 (Embedded image moved to file: pic12057.gif) Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 Tel. Fax Mobile Email NMLS# 1046752 (Embedded image moved to file: pic21831.gif) Securities offered through Deutsche Bank Securities Inc. From: dbcom Rosemary Vrablic/db/- Magee/db Donald Summer/db/- : roline Kitidis/db/ Chip Packard/db/- Haig Joshua Shoshan/db/- yaznb/ydneb k Kozelsky/db/ Date: AM Subject: [C] 11/05/2013 09:33 Bollag brokerage account EFTA01478652 Classification: Confidential Chip and Haig As requested, we just received the executed brokerage account docs for Michael Bollag. Thanks. Kind regards, Rosemary Vrablic (Embedded image moved to file: pic25504.gif) Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 Tel. Fax Mobile Email NMLS# 1046752 (Embedded image moved to file: pic28571.gif) Securities offered through Deutsche Bank Securities Inc. From: dbcom Sean Magee/db/- To: Chi Packard/db/- EFTA01478653 Cc: Caroline Kitidis/db Haig Ariyan/db/- Joshua shan/db/c , Rosemary Vrablic/db/- Zbynek Kozelsky/db/IIIIIIIIIIIIIIII Date: PM 11/04/2013 01:17 Subject: Re: [C] Classification: Confidential I don't think Michael would have any qualms about opening a DBAB account if its required. I've had some discussions with him in the past regarding purchasing CLOs via the PIC desk so I don't think it would hurt having an account open on the PCS side. It may be a way to facilitate some more activity from him moving forward... I'll talk to Josh when he returns from a meeting and we'll see what we have to do to get this started. Thanks, Sean (Embedded image moved to file: pic14723.gif) Sean Magee, CFPLO Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 Tel. Fax Mobile Email EFTA01478654 (Embedded image moved to file: pic06514.gif) Securities offered through Deutsche Bank Securities Inc. From: dbcom To: dbcom, Chip Packard/db/- Rosemary Vrablic/db/- Cc: Joshua Shoshan/db/dbcom, Caroline Kitidis/db/dbcom, Sean Magee/- db/dbcom, Zbynek Kozelsky/db/dbcom, Haig Ariyan/db/- dbcom Date: AM 11/04/2013 11:53 Subject: Re: [C] From a business perspective I am supportive given the importance of the overall PB relationship. From a regulatory perspective, can we do this if he doesn't have an open brokerage account? Sent from my iPad On Nov 4, 2013, at 11:05 AM, "Rosemary Vrablic" wrote: Classification: Confidential EFTA01478655 Given the "one bank" approach I keep hearing about, total Bollag investment and deposit assets with AWM (not brokerage) are approx $130 million. Kind regards, Rosemary Vrablic <0.27A.gif> Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 Tel Fax Mobile Email NMLS# 1046752 <0.CD8.gif> Securities offered through Deutsche Bank Securities Inc. Joshua Shoshan---11/04/2013 10:45:40 AM---Classification: Confidential RV, hi. This is not an easy conversation, and Michael has no brokerage From Joshua Shoshan/db/- dbcom blic/db/- Cc: Sean Magee/db Caroline Kitidis/db/- dbcom, Zbynek Kozelsky/db/- EFTA01478656 Date 11/04/2013 10:45 AM Subj Re: Fw: [C] ect: Classification: Confidential RV, hi. This is not an easy conversation, and Michael has no brokerage account with us. Please sketch this out for a moment. What are the assets and nature of the business? Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Office Cell E-Fa Rosemary Vrablic---11/04/2013 10:33:26 AM---Classification: Confidential given the significant amount of $ Michael and Ben have with us, please From: Rosemary Vrablic/db/- dbcom To: Joshua Shoshan/db/- Cc: Sean Magee/db/- EFTA01478657 Date: AM Subject: [C] 11/04/2013 10:33 Re: Fw: Classification: Confidential given the significant amount of $ Michael and Ben have with us, please let me know if Chip or Haig need to be brought in Kind regards, Rosemary Vrablic <0.2444.gif> Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 Tel Fax Mobil Email NMLS# 1046752 <0.2EA2.gif> Securities offered through Deutsche Bank Securities Inc. Joshua Shoshan---11/04/2013 10:31:39 AM---Classification: Confidential Sean, please call me at any time. Best regards, --Josh Joshua Shoshan From: dbcom Joshua Shoshan/db/- EFTA01478658 To: Sean Magee/db/- Cc: Rosemary Vrablic/db/- Date: 11/04/2013 10:31 AM Subject: Re: Fw: [C] Classification: Confidential Sean, please call me at any time. Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Office Cell E-Fa Sean Magee---11/04/2013 10:26:39 AM---Classification: Confidential Josh - I'm sure you're many requests like this. Let me know if you have From: dbcom Sean Magee/db/- To: Joshua Shoshan/db/- EFTA01478659 • ary Vrablic/db/- Date: AM 11/04/2013 10:26 Subject: Fw: [C] Classification: Confidential Josh - I'm sure you're getting many requests like this. Let me know if you have a moment to discuss today Thanks, Sean <0.3F22.gif> Sean Magee, CFPO Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York NY 10154 Tel. Fax Mobile Email <0.4954.gif> Securities offered through Deutsche Bank Securities Inc. Forwarded by Sean Magee/db/dbcom on 11/04/2013 10:20 AM From: Michael To: Sean Magee/db/- EFTA01478660 Cc: Rosemary Vrablic/db/- Date: 11/04/2013 10:18 AM Subject: Re: [C] Sean, anything you guys can do to get me an allocation on this weeks twitter IPO? I hear you are co-runners on the book Sent from my iPhone On Nov 4, 2013, at 1:51 PM, Sean Magee wrote: Classification: Confidential No problem. I'll have it emailed to you today. Thanks, Sean <mime-attachment.gif> Sean Magee, CFP® Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New Tel. Fax Mobile Email <mime-attachment.gif> EFTA01478661 Securities offered through Deutsche Bank Securities Inc. From: Michael r an Magee/db/- Date: AM Subject: Re: every this 11/03/2013 03:42 Can you prepare the excel spreadsheet that you send me once in a while. The one which shows cost, tax cost, PL. yield to call, yield to maturity,premium to scale.... hopefully accretion on the bonds beyond Feb 2013. Please also send the current AAA scale. I get home Monday so I would like to review Tuesday or Wednesday. Sent from my iPad This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received 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. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as EFTA01478662 such. EFTA01478663