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sd-10-EFTA01364489Dept. of JusticeOther

EFTA Document EFTA01364489

From: Tazia Smith Sent: 3/30/20171:24:24 PM To: bellaklein CC: Stewart Oldfield Subject: Classification: Confidential Hi Bella! Got a note that you called, I'm at my desk Tazia Smith Managing Director, Key Client Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 101540004 New York. NY. USA Tel. Fax Mobil Emai ;Joshua Shosha ahe Stepanian KCP products and services are intended and available only for persons who are sophisticated institutional investo

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sd-10-EFTA01364489
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From: Tazia Smith Sent: 3/30/20171:24:24 PM To: bellaklein CC: Stewart Oldfield Subject: Classification: Confidential Hi Bella! Got a note that you called, I'm at my desk Tazia Smith Managing Director, Key Client Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 101540004 New York. NY. USA Tel. Fax Mobil Emai ;Joshua Shosha ahe Stepanian KCP products and services are intended and available only for persons who are sophisticated institutional investo

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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: 3/30/20171:24:24 PM To: bellaklein CC: Stewart Oldfield Subject: Classification: Confidential Hi Bella! Got a note that you called, I'm at my desk Tazia Smith Managing Director, Key Client Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 101540004 New York. NY. USA Tel. Fax Mobil Emai ;Joshua Shosha ahe Stepanian KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of. and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only. and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. My reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This commtsication does not create any legally binding obligation on the part of DBSI or any of its affiliates. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0055029 CONFIDENTIAL SDNY_GM_00201213 EFTA01364489

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Subject: RE: Rothschild [C] From: Tazia Smith a> Date: Tue, 23 May 2017 09:18:30 -0400 To: Delores Rubin Richard Kahn Cc: Stewart Oldfield Vahe Stepanian Matt Glassman Rich - Just tried calling you. Please call Delores directly if you have follow through on this at 212-454-3300. 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.

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Subject: RE: Rothschild [C] From: Tazia Smith <~lel~e> Date: Tue, 23 May 2017 09:26:34 -0400 To: Stewart Oldfield ‹ > No Tazia Smith Key Client Partners - US Deutsche Bank Wealth Management Original Message From: Stewart Oldfield Sent: Tuesday, May 23, 2017 09:24 AM Eastern Standard Time To: Tazia Smith; Delores Rubin Cc: Vahe Stepanian; Matt Glassman Subject: Re: Rothschild [C] Classification: Confidential I take it we have no interest in bidding a block for that size? Stewart

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Subject: [C] From: Tazia Smith ‹ > Date: Thu, 30 Mar 2017 13:24:24 -0400 To: bellaklein Cc: Stewart Oldfield Joshua Shoshan Vahe Stepanian Classification: Confidential Hi Bella! Got a note that you called, I'm at my desk. Tazia Smith Managing Director, Key Client Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Email KCP products and services are intended and available only for persons who are sophisticated institutional inv

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Subject: Re: [C] From: Tazia Smith a> Date: Wed, 29 Oct 2014 10:57:27 -0400 To: jeffrey E. <[email protected]> Cc: Daniel Sabba Paul Morris Richard Kahn Stewart Oldfield Vahe Stepanian Classification: Confidential Jeffrey - Just tried your cell. You are done on 36,600 at $24.22315. Do you want to pull back the throttle by reducing the total share for today's order or using a limit? Please let us know. From: Tazia Smith/db/dbcom To: "jeffrey E." <'eevacation@ mail.com>@DEUBAINT,

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Subject: RE: Rothschild [C] From: Delores Rubin <[email protected]> Date: Tue, 30 May 2017 08:14:31 -0400 To: Tazia Smith Richard Kahn Cc: Stewart Oldfield Vahe Stepanian Matt Glassman <[email protected]>, Davide-A Sferrazza <[email protected]> Classification: Confidential Good Morning Richard and Tazia, In the event you still care in Rothschild, volumes continue to be around its average of 15,000 shares a day over the past week, but a few local houses have advertised

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Subject: RE: Darren, greetin s. Here is your fill: From: Stewart Oldfield Date: Thu, 14 Sep 2017 11:46:02 -0400 To: Joshua Shoshan Cc: Martin Zeman Liam Osullivan Thank you , sirs From: Joshua Shoshan Sent: Thursday, September 14, 2017 11:41 AM To: Martin Zeman ; Liam Osullivan Cc: Stewart Oldfield ; Vahe Stepanian ; Davide-A Sferrazza Subject: Darren, greetings. Here is your fill: Symbol Side FillQty AvgPx QCOM 11/17/17 C52.5 Sld open 50 1.5168 QCOM 11/17/17 P50 Sld open

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