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sd-10-EFTA01384855Dept. of JusticeOther

EFTA Document EFTA01384855

DBDA Insured Deposit Program 0.45% <image001.gif> Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management NY, USA KCP products end services are intended and available only for persons who are sophisticated institutional investors within the meaning of the F1NRA Rule 4512(C)(3), and who are capable of evaluating the strategies. characteristics and investment Asks of, and exercising independent judgment in evaluating, the ideas and products discu

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Dept. of Justice
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sd-10-EFTA01384855
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DBDA Insured Deposit Program 0.45% <image001.gif> Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management NY, USA KCP products end services are intended and available only for persons who are sophisticated institutional investors within the meaning of the F1NRA Rule 4512(C)(3), and who are capable of evaluating the strategies. characteristics and investment Asks of, and exercising independent judgment in evaluating, the ideas and products discu

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
DBDA Insured Deposit Program 0.45% <image001.gif> Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management NY, USA KCP products end services are intended and available only for persons who are sophisticated institutional investors within the meaning of the F1NRA Rule 4512(C)(3), and who are capable of evaluating the strategies. characteristics and investment Asks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of OBS? or its affiliates prior to execution. and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistnbution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DOSI or any of its affiliates. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0085421 CONFIDENTIAL SONY GM_00231805 EFTA01384855

Related Documents (6)

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Subject: RE: Trade Details --> 06/07/2018 [C] From: Liam Osullivan Date: Thu, 07 Jun 2018 16:10:56 -0400 To: Paul Barrett Richard Kahn Cc: Davide-A Sferrazza Joshua Shoshan Xavier Avila Martin Zeman Stewart Oldfield Classification: Confidential Paul, You are correct. You SOLD 50,000 shares of AMD at 14.92886. I apologize for the confusion. Thank you, Liam From: Paul Barrett [mailto: Sent: Thursday, June 07, 2018 4:07 PM To: Liam Osullivan Cc: Davide-A Sferrazza ~T ; Xavier Av

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Subject: RE: Trade Details --> 06/15/2018 [C] From: Liam Osullivan <[email protected]> Date: Fri, 15 Jun 2018 11:42:39 -0400 To: Paul Barrett Richard Kahn Cc: Martin Zeman Davide-A Sferrazza Joshua Shoshan Xavier Avila Stewart Oldfield Classification: Confidential Paul, In SFLLC: $125,136.24 Thank you Liam Sold HKD 982,444.65 @7.851 USD {https://brandportal.intranet.db.com/img/modules/logo.gif} Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche B

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From: Sent: To: CC: Subject: Liam Osullivan 10/12/2018 4:14:13 PM Paul Barrett Stewart 0ldfield Incoming Wire ICI Classification: Confidential Paul, ; Davide-A Sferrazza I I; Martin Zeman We have not received the wire. Our operations team has asked for additional information: We require more information to complete our task. Please confirm the reference number or a copy of the MT103. As of right now we do not have the funds. Thank you, Liam Liam O'Sullivan AVP I Key Client Pa

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Subject: Trade Details 04 18 2018 C From: Liam Osullivan Date: Wed, 18 Apr 2018 16:10:19 -0400 To: Richard Kahn Cc: Davide-A Sferra Joshua Shoshan Martin Zeman Xavier Avila Stewart Oldfield < =.• Classification: Confidential Paul, Today you executed the following trades in the SFLLC account: Bought 11,348 CDR PW at 121.0969 PLN FX — Bought 1,375,796.34 PLN at 3.3575 Thank you, Liam {https://brandportal.intranet.db.com/img/modules/logo.gif} Liam O'Sullivan AVP I Key Client Part

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Subject: Re: Boods to sell [C] From: Richard Kahn Date: Mon, 11 Feb 2019 09:51:33 -0500 To: Liam Osullivan < Cc: Jeanne Brennan Stewart Oldfi Martin Zeman Davide-A Sferrazza thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel c fax On Feb 11, 2019, at 9:50 AM, Liam Osullivan Classification: Confidential Rich, Will we be back with pricing. Thank you, Liam <image001.gif> Liam O'Sullivan Investments & Trading I Institutional Weal

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Subject: RE: JEE [C] From: Stewart Oldfield ‹ > Date: Wed, 06 Feb 2019 12:02:52 -0500 To: Liam Osullivan < 1~> Cc: Davide-A Sferrazza Martin Zeman Bcc: Classification: Confidential Thanks. They will wire out Jeepers cash. Please let them know that the foundation trades have settled. Then let's send the fx forward info so they can unwind and free up their collateral From: Liam Osullivan Sent: Wednesday, Februar 06, 2019 11:54 AM To: Stewart Oldfield Cc: Davide-A Sferrazza ; Martin

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