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sd-10-EFTA01380350Dept. of JusticeOther

EFTA Document EFTA01380350

Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 P rk Av 1 154-0004 New York, NY, USA Tel. Email From: Delores Rubin Sent: Wednesday, May 31, 2017 8:19 AM To: 'Richard Kahn' < Cc: Tazia Smith < Vahe Stepanian < Subject: RE: Rothschild [CI Classification: Confidential Good Moming Richard, It is another very quiet trading day for Rothschild. We have not had any institutio

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Dept. of Justice
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sd-10-EFTA01380350
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Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 P rk Av 1 154-0004 New York, NY, USA Tel. Email From: Delores Rubin Sent: Wednesday, May 31, 2017 8:19 AM To: 'Richard Kahn' < Cc: Tazia Smith < Vahe Stepanian < Subject: RE: Rothschild [CI Classification: Confidential Good Moming Richard, It is another very quiet trading day for Rothschild. We have not had any institutio

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Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 P rk Av 1 154-0004 New York, NY, USA Tel. Email From: Delores Rubin Sent: Wednesday, May 31, 2017 8:19 AM To: 'Richard Kahn' < Cc: Tazia Smith < Vahe Stepanian < Subject: RE: Rothschild [CI Classification: Confidential Good Moming Richard, It is another very quiet trading day for Rothschild. We have not had any institutional interest expressed yet, but we would still like the opportunity to work an order for you. As I stated, a market for the type of size you are looking for is more risk than we can take on. The stock has been trending higher since December after breaking through the 22 EUR level. After pushing through 27 the stock keeps bouncing in this range of 27.80 to 28.30. Despite the low volume, we may have luck with a working an order on a limit. Please let us know if you would like to pursue that option. Thank you. Best regards, Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154-0004 New York. NY, USA Tel. Email CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0078748 CONFIDENTIAL SDNY_GM_00224932 EFTA01380350

Related Documents (6)

Dept. of JusticeOtherUnknown

EFTA Document EFTA01375585

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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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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From: Richard Kahn Sent: 6/1/2017 2:48:08 PM To: Delores Rubin CC: Vahe Stepanian Tazia Smith i I; Stewart Oldfield Subject: Re: Rothschild - Being shown an offer! (C) lets put on hold for now as i do not have a firm level thanks for all your help Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 On Jun 1, 2017, at 2:45 PM, Delores Rubin < 1=c- wrote: Classification: Confidential Richard, Unfortunately, we have not uncovered such inventory

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Dept. of JusticeOtherUnknown

EFTA Document EFTA01375412

Thanks Delores. Rich — let us know how to proceed this morning. Best, Vahe From: Delores Rubin Sent: Thursday, June 01, 2017 7:35 AM To: Richard Kahn Cc: Tazia Smith >; Vahe Stepanian Subject: RE: Rothschild - Being shown an offer! IC] Classification: Confidential Good morning. Rothschild is back to the 28 EUR level. Our indicated seller cares around the 28.50 level. Thank you. Best regards, Delores Rubin •=image001.gif Delores Rubin Director I Wealth Management Capital Markets

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EFTA Document EFTA01380347

From: Sent: To: CC: Subject: Richard Kahn 6/1/2017 1:12:23 PM Delores Rubin Vahe Stepanian Re: Rothschild - Being shown an offer! ICI thanks for feedback buyer only interested at 100k quantity thank you for all your input so far Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell Tazia Smith On Jun 1, 2017, at 8:39 AM, Delores Rubin < Classification: Confidential Hi Richard, ; Stewart Oldfield > wrote: I understand the client

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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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