EFTA Document EFTA01384167

From: Stewart Old Sent: 1/18/2019 11:42:11 AM To: Richard Kahn BCC: Subject: RE: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice Just called you. I'm free for the next 10 mins, then from 1-2:30 or so. Can chat on cell later if we miss each other. Thanks From: Richard Kahn [mailto Sent: Friday, January 18, 2019 9:19 AM To: Stewart Oldfield < Subject: Fwd: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice does this email relate to this bond we are holding'? COFP 4.407 8/2019 Euro Bond lets talk today if you have time thank you Richard Kahn HBRIC Associates Inc. 575 Lexington Avenue 4th Floor Neit York NY 10022 tel fax cell Begin forwarded message: From: DF SegIA Subject: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice Date: January 15, 2019 at 3:35:29 PM EST To: undisclosed-recipients:; Dear Sir or Madam: Commodity Futures Trading Commission ("CFTC") rule 23.704 requires that Deutsche Bank AG, as a registered Swap Dealer, report quarterly to any counterparty that has not elected to require segregation in accordance with CFTC rules 23.702 and 23.703 of "Initial Margin" (as defined in CFTC rule 23.700) posted in respect of any swap (as defined by CFTC rules) between us and such counterparty that is not submitted for clearing. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0084220 CONFIDENTIAL SONY GM_00230404 EFTA01384167