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sd-10-EFTA01375583Dept. of JusticeOther

EFTA Document EFTA01375583

From: Delores Rubin Sent: Wednesda Ma 24 2017 8:32 AM To: Tazia Smith ; 'Richard Kahn' Cc: Stewart Oldfield Vahe Stepanian Matt Glassman Davide-A Sferrazza Subject: RE: Rothschild (C) Classification: Confidential Good Morning Richard, Very little activity so far today on Rothschild. Our trader had working orders from two large institutions in the past 6 months. These institutions, if they have something to do would care on the type of size you would like to trade. Our trader woul

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Dept. of Justice
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sd-10-EFTA01375583
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From: Delores Rubin Sent: Wednesda Ma 24 2017 8:32 AM To: Tazia Smith ; 'Richard Kahn' Cc: Stewart Oldfield Vahe Stepanian Matt Glassman Davide-A Sferrazza Subject: RE: Rothschild (C) Classification: Confidential Good Morning Richard, Very little activity so far today on Rothschild. Our trader had working orders from two large institutions in the past 6 months. These institutions, if they have something to do would care on the type of size you would like to trade. Our trader woul

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
From: Delores Rubin Sent: Wednesda Ma 24 2017 8:32 AM To: Tazia Smith ; 'Richard Kahn' Cc: Stewart Oldfield Vahe Stepanian Matt Glassman Davide-A Sferrazza Subject: RE: Rothschild (C) Classification: Confidential Good Morning Richard, Very little activity so far today on Rothschild. Our trader had working orders from two large institutions in the past 6 months. These institutions, if they have something to do would care on the type of size you would like to trade. Our trader would like the opportunity to inquiry if they care, but to be blunt, it is unreasonable to try to open them up without an idea of whether we are a buyer or a seller. DB would be happy to work an order for you using all of our institutional capabilities. Thank you. Best regards, Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc 1111111111M From: Tazia Smith Sent: Tuesday, May 23, 2017 2:41 PM To: Richard Kahn Cc: Delores Rubin < ;Stewart Oldfield ; Vahe Stepanian ; Matt Glassman CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0071105 CONFIDENTIAL SDNY_GM_00217289 EFTA01375583

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Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 P Ay 1 154-0004 New York, NY, USA Tel. Email From: Richard Kahn [mailto Sent: Tuesday, Ma 23, 2017 6:18 AM To: Tazia Smith Cc: Stewart Oldfield < >; Vahe Stepanian < >; Delores Rubin < > Subject: Re: Rothschild [C] Any update on bid ask for 100k Roth ' Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 Phone F

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From: Stewart Oldfield Sent: 5/23/2017 9:24:36 AM To: Tazia Smith CC: Vahe Stepanian Subject Re: Rothschild (C) Classification: Confidential I; Delores Rubin Matt Glassman I take it we have no interest in bidding a block for that size? Stewart Oldfield, CFA, CAM Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel: Mobile: blackberry Email: Securities offered through Deutsche Bank Securities Inc. From: Tazia

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w. 212-454-2889 c. 917-327-4107 Original Message From: Delores Rubin Sent: Tuesday, May 23, 2017 07:42 AM Eastern Standard Time To: Richard Kahn; Tazia Smith Cc: Stewart Oldfield; Vahe Stepanian; Matt Glassman Subject: RE: Rothschild [C] Hello Richard, Sorry for the delayed response. I am one of the DB traders here in the US. I have been communicating with our team overseas on your inquiry. As Tazia mentioned, Rothschild is a light trading name. Our DB Institutional desk has n

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Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Tracing DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. 10154-0004 New York. NY, USA Tel. Email From: Richard Kahn mailtcr Sent: Tuesday, Ma 23, 2017 6:18 AM To: Tazia Smith < Cc: Stewart Oldfield >; Vahe Stepanian Matt Glassman >; Delores Rubin Subject: Re: Rothschild [C] Any update on bid ask for 100k Roth Richard Kahn HBRK Associates Inc. 575 Lexington Ave

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From: Delores Rubin Sent: 5/24/2017 8:32:14 AM To: Tula Smith CC: Stewart 0ldfield Subject: RE: Rothschild ICJ Classification: Confidential Good Morning Richard, I; Richard Kahn ; Vahe Stepanian I; Davide-A Sferrazza Matt Glassman Very little activity so far today on Rothschild. Our trader had working orders from two large institutions in the past 6 months. These institutions, if they have something to do would care on the type of size you would like to trade. Our trader would

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Cc: Stewart Oldfield; Vahe Stepanian; Man Glassman Subject: RE: Rothschild [C] Hello Richard, Sorry for the delayed response. I am one of the DB traders here in the US. I have been communicating with our team overseas on your inquiry. As Tazia mentioned, Rothschild is a light trading name. Our DB Institutional desk has not had any natural flow in this stock in the past few months, but a few clients that have expressed some interest in the name so we have calls out to ascertain if we might

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