EFTA Document EFTA01380671

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Unknown

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Dept. of Justice

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sd-10-EFTA01380671

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EFTA Disclosure

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Rothschild is back to the 28 EUR level. Our indicated seller cares around the 28.50 level. Thank you. Best regards, Delores Rubin cimage001.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. +1 212 454.0860 Email From: Delores Rubin Sent: Wednesday, May 31, 2017 12:07 PM To: 'Richard Kahn' a> Cc: Tazia Smith <1 >: Vahe Stepanian Subject: RE: Rothschild - Being shown an offer! [C] Classification: Confidential Hi Richard, Rothschild closed off the highs today at 28.26 EUR. Please let us know if you would like us to work anything for tomorrow. 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. +1 212 454.0860 Email From: Richard Kahn [mailto Sent: Wednesday, May 31, 2017 11:02 AM To: Delores Rubin -1111 IMINIIMI> Cc: Tazia Smith • ,.; Vahe Stepanian <a> Subject: Re: Rothschild - Being shown an offer! [CI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0079176 CONFIDENTIAL SDNY_GM_00225360 EFTA01380671

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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: 5/23/2017 7:42:17 AM To: Richard Kahn Tazia Smith CC: Stewart 0ldfiel. Vahe Stepanian Subject: : 'ot Sc Hello Richard, Matt Glassman 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 expres

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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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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 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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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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