EFTA Document EFTA01373797

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Dept. of Justice

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sd-10-EFTA01373797

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EFTA Disclosure

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Begin forwarded message' From: Richard Kahn Subject: Rothschild Date: May 22, 2017 at 1:56:17 PM EDT To: Vahe Stepanian Cc: Stewart Oldfield can you please provide a bid ask on 100,000 shares of: Rothschild & Co SCA EPA: ROTH - May 22, 5:35 PM GMT+2 27.58EUR0.12 (0.42%) thank you Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this 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. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068165 CONFIDENTIAL SDNY_GM_00214349 EFTA01373797

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Faxfax 212-320-0381

Phone212-320-0381

Phone212-971-1306

URLhttps://db.com/disclosures

Related Documents (6)

Dept. of JusticeOtherUnknown

EFTA Document EFTA01432994

Subject: Re: Rothschild [C] From: Richard Kahn Date: Tue, 23 May 2017 06:18:15 -0400 To: Tazia Smith Cc: Stewart Oldfield Vahe Stepanian Matt Glassman Delores Rubin Any update on bid ask for 100k Roth ? Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 Phone Fax Cell On May 22, 2017, at 6:47 PM, Tazia Smith < > wrote: Working with our counterparts in Europe. Size / liquidity could be prohibitive for a market on that size but we will be back wit

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Subject: Re: Rothschild - Bein shown an offer! [C] From: Richard Kahn Date: Thu, 01 Jun 2017 14:48:08 -0400 To: Delores Rubin Cc: Vahe Stepanian Tazia Smith Stewart Oldfield lets put on hold for now as i do not have a firm levelthanks for all your help Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell On Jun 1, 2017, at 2:45 PM, Delores Rubin e > wrote: > Classification: Confidential Richard, Unfortunately, we have not uncovered s

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Dept. of JusticeOtherUnknown

EFTA Document EFTA01376971

Begin forwarded message' From: Richard Kahn <en Subject: Rothschild Date: May 22, 2017 at 1:56:17 PM EDT To: Vahe Stepanian < Cc: Stewart Oldfield < can you please provide a bid ask on 100,000 shares of: Rothschild & Co SCA EPA: ROTH - May 22, 5:35 PM GMT+2 27.58EUR0.12 (0.42%) thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell This communication may contain confidential and/or privileged information. If you are not the i

Dept. of JusticeOtherUnknown

EFTA Document EFTA01413424

Subject: Re: Rothschild [C] From: Stewart Oldfield Date: Tue, 23 May 2017 09:24:36 -0400 To: Tazia Smith Delores Rubin < Cc: Vahe Stepanian Matt Glassman Classification: Confidential I take it we have no interest in bidding a block for that size? Stewart Oldfield, CFA, CAIA Director Deutsche Deutsche 345 Park Tel: Mobile: Email: Bank Trust Company Americas Bank Wealth Management Avenue, New York, NY 10154 blackberry Securities offered through Deutsche Bank Securities Inc. F

Dept. of JusticeOtherUnknown

EFTA Document EFTA01421635

Subject: RE: Rothschild [C] From: Tazia Smith a> Date: Tue, 23 May 2017 12:06:03 -0400 To: Richard Kahn Cc: Delores Rubin Stewart Oldfie Vahe Stepanian Matt Glassman Davide-A Sferrazza Classification: Confidential Rich — Closing the loop on today's trading, ROTH FP closed at 28 EUR on 12,414 daily volume. DB did trade small today, — 3,000 shares, split between High Touch and Low Touch which is usually the case for this name. The big International houses generally see Low Touch bus

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Dept. of JusticeOtherUnknown

EFTA Document EFTA01427172

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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