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sd-10-EFTA01383940Dept. of JusticeOther

EFTA Document EFTA01383940

Rich, The indication on the 2,500m COFP 4.407 08/06/19 is 101.25. Thank you, Liam mage001.gif> Liam O'Sullivan Investments & Trading Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. New York, NY 10154.0001, USA Visit us: http::telcutschavealth.com. <image003.gif> IWP products and services we intended for and available only to sophisticated, experienced investors who quality as Institutional accounts' under FINRA Rule 4514c)(3), and are

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sd-10-EFTA01383940
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Rich, The indication on the 2,500m COFP 4.407 08/06/19 is 101.25. Thank you, Liam mage001.gif> Liam O'Sullivan Investments & Trading Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. New York, NY 10154.0001, USA Visit us: http::telcutschavealth.com. <image003.gif> IWP products and services we intended for and available only to sophisticated, experienced investors who quality as Institutional accounts' under FINRA Rule 4514c)(3), and are

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
Rich, The indication on the 2,500m COFP 4.407 08/06/19 is 101.25. Thank you, Liam mage001.gif> Liam O'Sullivan Investments & Trading Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. New York, NY 10154.0001, USA Visit us: http::telcutschavealth.com. <image003.gif> IWP products and services we intended for and available only to sophisticated, experienced investors who quality as Institutional accounts' under FINRA Rule 4514c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions we subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution. and no transaction, idea or opportunity discussed herein may be executed unless you are a chent of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP America desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services. and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only. and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Richard Kahn Imailt Sent: Thursday, February 07, 2019 8:49 AM To: Liam Osullivan Cc: Stewart Oldfielci Subject: Fwd: SF OTC trade on the books can you please show us market where this bond can be sold thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0083868 CONFIDENTIAL SONY GM_00230052 EFTA01383940

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Related Documents (6)

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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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From: Sent: To: CC: Subject: Liam Osullivan 6/8/2018 4:52:14 PM Paul Barrett Davide-A Sferrazza ; 'Richard Kahn' I Joshua Shoshan -I: Stewart Oldfield ; Martin Zeman I Trade Details --> 06/08/2018 (C) Classification: Confidential Paul, In SFLLC: Sold 17 BRK/A at 293,789.86 Sold 10,000 QCOM at 60.3107 Sold 25,000 GILD at 71.9664 In Haze: Sold 15,390 SPOT at 171.8254 Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Ma

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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: 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 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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cell 917-414-7584 On Mar 6, 2019, at 9:19 AM, Liam Osullivan Classificabon: Confidential Good morning, We will work on have the margin statements turned off. We have not received the request from IB yet. Thank you, Liam <image001.gifs Liam O'Sullivan Investments .@ Trading Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 34 r• s w • Y 10154.0004, USA Visit us: http:lideutschewealth.com. <image002.gif> wrote: IWP products and services we Intende

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