EFTA Document EFTA01371897

From: Stewart Oldfield [ Sent: 1/18/2019 9:28:26 AM To: Richard Kahn I Subject: RE: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice I know you have an OTC fx trade on, most likely that. Let me get details and come back to you. Thanks From: Richard Kahn [mailto Sent: Friday, January 18, 2019 9:19 AM To: Stewart Oldfield < Subject: Fwd: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice does this email relate to this bond we are holding? COFP 4.407 8/2019 Euro Bond lets talk today if you have time thank you Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York NY 10022 to Begin forwarded message. From: DF SegJA Subject: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice Date: January 15, 2019 at 3:35:29 PM EST To: undisclosed-recipients:; Dear Sir or Madam: Commodity Futures Trading Commission ("CFTC") rule 23.704 requires that Deutsche Bank AG, as a registered Swap Dealer, report quarterly to any counterparty that has not elected to require segregation in accordance with CFTC rules 23.702 and 23.703 of "Initial Margin" (as defined in CFTC rule 23.700) posted in respect of any swap (as defined by CFTC rules) between us and such counterparty that is not submitted for clearing. If you are in scope for Dodd-Frank purposes and have elected not to segregate Initial Margin posted with us, we are hereby reporting to you that during the fourth quarter period of 2018 (October 1 through to December 31), our back office procedures relating to margin and collateral requirements CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065486 CONFIDENTIAL SDNY GM_00211670 EFTA01371897