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EFTA Document EFTA01382131EFTA Document EFTA01382133
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sd-10-EFTA01382132Dept. of JusticeOther

EFTA Document EFTA01382132

On Jan 11, 2019, at 9:58 AM, Richard Kahn <alaail.com> wrote: thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 On Jan 11, 2019, at 9:31 AM, Liam Osullivan wrote: Classification: Confidential Richard / Darren, You sold 2,400 BMY at 47.50 from the Foundation account. Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Prepared on 01/11/2018 Source: Pershing NetX 360 Unofficial trade confirmations use inform

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sd-10-EFTA01382132
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On Jan 11, 2019, at 9:58 AM, Richard Kahn <alaail.com> wrote: thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 On Jan 11, 2019, at 9:31 AM, Liam Osullivan wrote: Classification: Confidential Richard / Darren, You sold 2,400 BMY at 47.50 from the Foundation account. Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Prepared on 01/11/2018 Source: Pershing NetX 360 Unofficial trade confirmations use inform

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On Jan 11, 2019, at 9:58 AM, Richard Kahn <alaail.com> wrote: thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 On Jan 11, 2019, at 9:31 AM, Liam Osullivan wrote: Classification: Confidential Richard / Darren, You sold 2,400 BMY at 47.50 from the Foundation account. Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Prepared on 01/11/2018 Source: Pershing NetX 360 Unofficial trade confirmations use information from sources that the firm believes to be reliable, but Deutsche Bank Securities Inc. cannot guarantee the accuracy of this information, or the reliability of these sources. Please refer to your official account statements and confirmations for all trade information. KCP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(cX3), and are capable of evaluating the investment benefits and risks of, and CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0081381 CONFIDENTIAL SONY GM_00227565 EFTA01382132

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From: Sent: To: CC: Subject: Liam Osullivan 8/3/2018 8:52:40 AM Paul Barrett Martin Zeman RE: CDR (C) Classification: Confidential Paul, Richard Kahn ; Davide-A Sferrazza ; Stewart Oldfield You sold 15,320 CDR at 199.4626 PLN. Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154.0004 New York. NY, USA Tel. Email ; Xavier Avila Prepared on OW03/2018 Source: Pershing NetX 360 Unofficial t

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From: Richard Kahn Sent: 3/8/2019 9:56:39 AM To: Liam Osullivan CC: Stewart Oldfield Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 ICJ lets do that delivery from you please call me to review since they are a bit confused.. thanks Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New Y "r NY 10022 M On Mar 8, 2019, at 9:55 AM, Liam Osullivan < wrote: Classification: Confidential Rich, 18 did not send bac

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From: Liam Osullivan Sent: 5/21/2018 4:18:00 PM To: 'Paul Barrett 'Richard Kahn' CC: Martin Zeman Xavier Avila Davide-A Sferrazza Joshua Shoshan Stewart Oldfield Subject: Trade Details --> 5/21/2018 ICI Classification: Confidential Paul, In SFFLC: You were assigned 9,000 shares of GILD at 77.50. The account is now long 25,000 shares. There are no more GILD options in the account. You bought 2 shares of BRK/A at 297,000 You sold 20,000 shares of BASFY at 26.3245. In Haze: Y

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From: Sent: To: CC: Subject: Liam Osullivan 7/9/2018 4:28:09 PM Paul Barrett I Martin Zeman I I I; Stewart Oldfield Trade Details --> 7/9/18 ICI Classification: Confidential Paul, Richard Kahn • Davide-A Sferrazza In SFLLC: You bought 1mm EXLINT 10% 07/15/23 at 102.875. Thank you. Liam z Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154.0004 New York, NY, USA E . Email Xavier Avila Prepared on 07/09

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From: Richard Kahn Sent: 3/6/2019 9:21:36 AM To: Liam Osullivan CC: Stewart Oldfield Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 ICJ ok thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York. NY 10022 On Mar 6, 2019, at 9:19 AM, Liam Osullivan wrote: Classification: Coneduali Good morning, We will work on have the margin statements turned off. We have not received the request from ID yet.

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From: Liam Osullivan Sent: 2/7/2019 8:39:39 AM To: Richard Kahn CC: Darren Indyke Jeanne Brennan Stewart Oldfield Subject: Balances (CJ Classification: Confidential Good morning Rich, The updated balances are: Foundation $128,626.14 Jeepers $3,276,640.23 Thank you, Liam It, Liam O'Sullivan Investments .@ Trading Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. New York. NY 10154.0004. USA Visit us: httplAleutschewealtheom

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