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sd-10-EFTA01359940Dept. of JusticeOther

EFTA Document EFTA01359940

From: Tazia Smith Sent: 10/29/2014 4:34:36 PM To: jeffrey E. [[email protected] CC: Daniel Sabba ; Paul Morris [ Richard Kahn M Stewart Oldfield ; Vahe Stepanian Subject: Trade Report 10/29/14 ICI Attachments: pic02941.gif; pic08468.gif; pic00374.gif; pic26065.gif; pic11632.gif; pic10478.gif; pic28176.gif; pic11208.gif; pic28542.gif; pic00305.gif; pic31557.gif; pic28268.gif; pic25598.gif; pic31908.gif; pic21328.gif Classification: Confidential Jeffrey - Today you executed

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Dept. of Justice
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sd-10-EFTA01359940
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From: Tazia Smith Sent: 10/29/2014 4:34:36 PM To: jeffrey E. [[email protected] CC: Daniel Sabba ; Paul Morris [ Richard Kahn M Stewart Oldfield ; Vahe Stepanian Subject: Trade Report 10/29/14 ICI Attachments: pic02941.gif; pic08468.gif; pic00374.gif; pic26065.gif; pic11632.gif; pic10478.gif; pic28176.gif; pic11208.gif; pic28542.gif; pic00305.gif; pic31557.gif; pic28268.gif; pic25598.gif; pic31908.gif; pic21328.gif Classification: Confidential Jeffrey - Today you executed

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
From: Tazia Smith Sent: 10/29/2014 4:34:36 PM To: jeffrey E. [[email protected] CC: Daniel Sabba ; Paul Morris [ Richard Kahn M Stewart Oldfield ; Vahe Stepanian Subject: Trade Report 10/29/14 ICI Attachments: pic02941.gif; pic08468.gif; pic00374.gif; pic26065.gif; pic11632.gif; pic10478.gif; pic28176.gif; pic11208.gif; pic28542.gif; pic00305.gif; pic31557.gif; pic28268.gif; pic25598.gif; pic31908.gif; pic21328.gif Classification: Confidential Jeffrey - Today you executed the following: B 150,967 C at 524.2528 This completes your position of 200,000 shares (24.20 avg cost, 6% yield). We have this booked to the Haze account, where your other Citi 6.875% preferred is held. Let us know if you would like to change that. Best Regards, Tazia (Embedded image moved to file: pic02941.gif) Tazia smith Director I Key Client Partners - us DB Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA (Embedded image moved to file: pic08468.gif) From: Tazia Smith/db/dbcom To: "jeffrey E." <jeevacation0gmail .com>, Cc: Paul Morris, Richard Kahn < corn>, Stewart Date: 10/29/2014 01:16 PM Subject: Re: [C] classification: confidential CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0048102 CONFIDENTIAL SDNY_GM_00194286 EFTA01359940

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From: Tazia Smith Sent: 10/29/2014 8:39:55 AM To: Jeffrey E. ([email protected]) CC: Daniel Sabba Paul Morris ; Stewart Oldfield I ; Richard Kahn ; Vahe Stepanian Subject: ICJ Attachments: pic30997.gif; pic27651.gif; pic24440.gif; pic24974.gif; pic16989.gif; pic13673.gif; pic31693.gif; pic27187.gif; pic14781.gif; pic07322.gif; pic23174.gif; pic07276.gif Classification: Confidential Good Morning Jeffrey - Re-enter order? Use limit and/or participate % volume? Thanks, Tazi

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Cc: Daniel Sabba/db , Paul Morris, Richard Kahn , vahe Stepanian/db , Stewart Oldfield/db Date: 10/28/2014 11:36 AM Subject: Re: [C] Classification: Confidential Jeffrey - Thus far you have purchased 34,900 shares of citi 5.8% pfd at 523.9945; the pfd is presently 524, we're working aggressively at that level. Please let us know if you want us to bid higher. (Embedded image moved to file: pic06957.gif) From: Tazia smith/db/dbcom TO: "jeffrey E." <jeevacation0gmail.com>, Cc: D

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From: Tazia Smith Sent: 10/29/2014 8:39:56 AM To: jeffrey E. [email protected]] CC: Daniel Sabba Subject: IC) Classification: Confidential Good Morning Jeffrey - Re-enter order? Use limit and/or participate % volume? Thanks, Tazia Paul Morris ; Stewart Oldfield ; Richard Kahn I; Vahe Stepanian From. Tazia Smith'db/dbcom To. "jeffrey leevacationasmailtern>. Cc: Daniel Sabba/db/dbcom@DBAMERICAS, Paul Morris. Richard Kahn Stewart Oldfiekl/dbidbcomCDBAMERICAS, Vahe St

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Date: 10/29/2014 08:43 AM Subject: Re: [C] vwap ok On wed, Oct 29, 2014 at 8:39 AM, Tazia Smith wrote: classification: confidential Good Morning Jeffrey - Re-enter order? use limit and/or participate % volume? Thanks, Tazia Fro Tazia Smith/db/dbcom m: To: "jeffrey E." <[email protected]>, Cc: Daniel Sabba/db Paul Morris, Richard Kahn < Stewart Oldfield/db , vahe Stepanian Dat 10/28/2014 04:14 PM e: Sub Trade Report 10/28/14 [C] jec t: classification: confidential Jef

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Fax Mobi e +1 Email (Embedded image moved to file: From: To: Cc: Stewart Date: Subject: pic276S1.gif) Tazia Smith, "jeffrey E." <[email protected],, Daniel Sabba Oldfield 10/28/2014 02:24 PM Re: [C] Classification: confidential Jeffrey - Thus far done 25% of the volume now. aggressive. Not enough Tazia , Paul Morris, Richard vahe Stepanian/ Kahn 'c >, on 36,300 Citi 5.8% pfd at 523.9964. Participating Please let us know if you would like us to be more volume to get

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To: "jeffrey E." <jeevacationMgmail.com>, Cc: Daniel Sabba/d Paul Morris, Richard Kahn < Stewart Oldfield/db/. , vahe Stepanian/db/lIIIIIIIIIIIIIIII Dat 10/28/2014 02:24 PM e: Sub Re: [C] jec t: Classification: Confidential Jeffrey - Thus far done on 36,300 citi 5.8% pfd at 523.9964. Participating 25% of the volume now. Please let us know if you would like us to be more aggressive. Not enough volume to get done on 200k in one day. Tazia (Embedded image moved to file: pic22867.gif

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