EFTA Document EFTA01479224

Subject: RE: Conc. ] From: Diego Galan Date: Fri, 15 May To: Todd Stevens Daniel Sabba ‹ > Cc: Chip Packard Classification: Confidential Todd and Dan, Please find attached the concentrated positions on Pershing. Best, Diego From: Todd Stevens Sent: Friday, May 15, 2015 2:40 PM To: Diego Galan; Daniel Sabba Cc: Chip Packard Subject: FW: Concentrated positions [C] Classification: Confidential Diego, Can I get the Pershing list of Concentrated positions. I was only copied on the State Street positions. Daniel will be the point person on our team to key up the materials. Todd EFTA01479224 From: Chip Packard Sent: Tuesday, April 14, 2015 2:06 PM To: Jennifer Bottalico; Joshua Friedberg; Todd Stevens Cc: Andrew Gallivan; Lee Rutter; Michael S Jacoby; Mark LaRoe Subject: FW: Concentrated positions [C] Classification: Confidential Jen, Josh, Todd, Now that we have the list of concentrated positions, we need to pull together a short piece on monetization strategies. I'm sure it already exists, but would like to see the current form. Ideally, we take that piece and Todd/Josh's teams have conversations with the PB Region Heads to get their views and input, and then the bankers. Jen, realize you're in Europe now so Todd can you take point on locating the presentation materials for concentrated equity solutions (which should include sale and derivative strategies). I think there are clients we should be reaching now to have this discussion given current equity valuations. Best, Chip fhttps://brandportal.intranet.db.com/img/modules/- DAWN_ logo_ metallic 46x46.gifl Chip Packard EFTA01479225 Managing Director I Co-Head, Wealth Management Americas Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management {https://brandportal.intranet.db.com/img/modules/claim_en_rgb.gif} Securities offered through Deutsche Bank Securities, Inc. From: Diego Galan Sent: Saturday, April 11, 2015 2:27 PM To: Chip Packard; Haig Ariyan; Joshua Friedberg Subject: RE: Concentrated positions [C] Classification: Confidential All, Please find attached the list of State Street concentrated positions — the list includes by office, by banker / CA, by client, by account for accounts with >$10m in a single stock. Let me know if you have any questions. Best, Diego EFTA01479226 From: Chip Packard Sent: Tuesday, April 07, 2015 6:57 PM To: Diego Galan; Haig Ariyan; Joshua Friedberg Subject: Re: Concentrated positions [C] Classification: Confidential Thanks Diego. Re State Street, I know of a handful of large concentrated positions, such as McGraw Hill. Can we re-check that with Barry Morris? Chip Packard Managing Director Deutsche Asset and Wealth Mana•ement From: Diego Galan Sent: Tuesday, April 07, 2015 05:22 PM To: Chip Packard; Haig Ariyan; Joshua Friedberg Subject: Concentrated positions [C] Classification: Confidential Chip, Haig and Josh, Following up on last week's discussion, please find attached a list of the concentrated positions for WM Americas clients — the list includes by office, by banker / CA, by client, by account for accounts with >$10m in a single stock. EFTA01479227 The data include Pershing accounts only, as there were no concentrated positions >$10m in State Street. Let me know if you have any questions. Best, Diego fcid:[email protected] Diego Galan Head of Strategy Wealth Management Americas DB Securities Inc fcid:[email protected] EFTA01479228