EFTA Document EFTA01351644

Subject: Re: Fw: allocation [C] From: Haig Ariyan Date: Tue, 05 Nov 2013 10:45:26 -0500 To: Chip Packard Not there yet, this is a very togh ask, and should be used from the stock WIC gets. Reallocate from the flippers. Original Message From: Chip Packard Sent: 11/05/2013 10:25 AM EST To: Haig Ariyan Subject: Fw: Fw: allocation [C] Classification: Confidential The below are all PB clients. I would still like to carve out Epstein and Wolfson on top of the allocation process if you agree and allocate Rose from the PB pool. Rationale is that the Wolfson's are already a huge client and Epstein just transferred $180 mm from JPM where he will likely get a big allocation on this deal. Second rationale is that although these clients are all PB clients this time, they could be PCS only clients in the future. What do you think partner? Chip Packard Managing Director Co-Head, Wealth Management Americas Deutsche Asset and Wealth Management Securities offered through Deutsche Bank Securities Inc. Original Message From: Caroline Kitidis Sent: 11/05/2013 10:11 AM EST To: Chip Packard; Haig Ariyan Subject: Fw: Fw: allocation [C] Classification: Confidential H&C, Per our conversation you agree that KCP allocations can come off top before PB/PCS breakdown? Its 3 clients where we have allocations. If so I will discuss w Mike I. See below. EFTA01351644 Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154-0004 Original Message From: Joshua Shoshan Sent: 11/05/2013 10:04 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential Caroline, as far as I understand, the KCP accounts are Epstein, Rose and Wolfson (Daniel Wolfson will be in the book) -- so far. I guess Bollag is not KCP, but he should be, based upon size -- but there is no KCP interaction here, as far as I know. In short, the KCP accounts should get an allocation before the PCS/PB split, but Mike Iaquinta tells me adamantly that he has no instructions about a KCP carve-out, and he needs those instructions from you, Haig and Chip. Maybe you might call Iaquinta? He is at . Best, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 From: Caroline Kitidis/db/- dbcom@DBAMERICAS EFTA01351645 To: Joshua Shoshan/db/- dbcom@DBAmericas@DBAMERICAS@DBCOEX, Date: AM Subject: [C] 11/05/2013 09:59 Re: Fw: allocation Classification: Confidential These are KCP accounts we r referring to or PB WIC ? We said KCP accounts shd come off top and they agreed. WIC PB comes out of regular allocation? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154-0004 Original Message From: Joshua Shoshan Sent: 11/05/2013 09:55 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential EFTA01351646 I spoke to Chip yesterday, and I think we still have a real problem with these special allocations not coming off the top. If they come out of the PB allocation, they are three times more "expensive". Can you try to get that pre-split allocation to take place? Chip said he was talking to you. I have not spoken to Haig, which I think makes sense . Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 From: Caroline Kitidis/db/- dbcom@DBAMERICAS To: Joshua Shoshan/db/- dbcom@DBAmericas@DBAMERICAS@DBCOEX, Date: AM Subject: [C] 11/05/2013 09:51 Re: Fw: allocation Classification: Confidential So what is feedback here from chip and haig, their call ? EFTA01351647 Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York. NY 10154-0004 Original Message From: Joshua Shoshan Sent: 11/05/2013 09:48 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential Hi. Butenhoff is an active client; not new. He trades a decent amount -- so we have about $55k of revs with him ytd -- which means he is real -- and, separately, RV has business with him, including loans. She is also very old friends. If he gets 500 shares, that might be nice. The other guy is Bollag, a billionaire that RV made this big deal about since yesterday. He has $100mm + in the firm. Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 From: Caroline Kitidis/db/- EFTA01351648 dbcom@DBAMERICAS To: "Joshua Shoshan" Date: AM Subject: [C] 11/05/2013 09:43 Fw: allocation Classification: Confidential Can I get color here on these accounts ? They are new for syndicate and or other real business or we are doing this as a favor for PB w no business opp? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor Original Message From: Rosemary Vrablic Sent: 11/05/2013 09:39 AM EST To: Chip Packard; Haig Ariyan Cc: Caroline Kitidis; Donald Summer; Joshua Shoshan; Zbynek Kozelsky Subject: allocation [C] EFTA01351649 Classification: Confidential Chip and Haig In addition to Bollag, the only other name that needs allocation consideration is Kurt Butenhoff. Thanks for the attention in both these names. Kind regards, Rosemary Vrablic (Embedded image moved to file: pic03297.gif) Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 (Embedded image moved to file: pic13316.gif) Securities offered through Deutsche Bank Securities Inc. From: dbcom Rosemary Vrablic/db/- To: Sean Magee/db/dbcom@DBAmericas, Donald Summer/db/- dbcom@DBAmericas, Cc: Caroline Kitidis/db/dbcom@DBAmericas, Chip Packard/db/- dbcom@DBAmericas, Haig Ariyan/db/dbcom@DBAmericas, Joshua Shoshan/db/dbcom@DBAmericas, Zbynek Kozelsky/db/- dbcom@DBAmericas EFTA01351650 Date: AM Subject: [C] 11/05/2013 09:33 Bollag brokerage account Classification: Confidential Chip and Haig As requested, we just received the executed brokerage account docs for Michael Bollag. Thanks. Kind regards, Rosemary Vrablic (Embedded image moved to file: pic24834.gif) Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 NMLS# 1046752 (Embedded image moved to file: pic09476.gif) Securities offered through Deutsche Bank Securities Inc. EFTA01351651 From: dbcom Sean Magee/db/- To: Chip Packard/db/- dbcom@DBAmericas, Cc: Caroline Kitidis/db/dbcom@DBAMERICAS, Haig Ariyan/db/- dbcom@DBAmericas, Joshua Shoshan/db/dbcom@DBAmericas, Rosemary Vrablic/db/- dbcom@DBAmericas, Zbynek Kozelsky/db/dbcom@DBAmericas Date: PM 11/04/2013 01:17 Subject: Re: [C] Classification: Confidential I don't think Michael would have any qualms about opening a DBAB account if its required. I've had some discussions with him in the past regarding purchasing CLOs via the PIC desk so I don't think it would hurt having an account open on the PCS side. It may be a way to facilitate some more activity from him moving forward... I'll talk to Josh when he returns from a meeting and we'll see what we have to do to get this started. Thanks, Sean EFTA01351652 (Embedded image moved to file: pic08572.gif) Sean Magee, CFPID Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 (Embedded image moved to file: pic05709.gif) Securities offered through Deutsche Bank Securities Inc. From: dbcom To: dbcom, Chip Packard/db/- Rosemary Vrablic/db/- Cc: Joshua Shoshan/db/dbcom, Caroline Kitidis/db/dbcom, Sean Magee/- db/dbcom, Zbynek Kozelsky/db/dbcom, Haig Ariyan/db/- dbcom Date: AM 11/04/2013 11:53 Subject: Re: [C] EFTA01351653 From a business perspective I am supportive given the importance of the overall PB relationship. From a regulatory perspective, can we do this if he doesn't have an open brokerage account? Sent from my iPad On Nov 4, 2013, at 11:05 AM, "Rosemary Vrablic" wrote: Classification: Confidential > Given the "one bank" approach I keep hearing about, total Bollag investment and deposit assets with AWM (not brokerage) are approx $130 million. Kind regards, Rosemary Vrablic <0.27A.gif> Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York. NY 10154-0004 NMLS# 1046752 <0.CD8.gif> Securities offered through Deutsche Bank Securities Inc. Joshua Shoshan---11/04/2013 10:45:40 AM---Classification: Confidential RV, hi. This is not an easy conversation, and Michael has no brokerage From Joshua Shoshan/db/- dbcom EFTA01351654 To: Rosemary Vrablic/db/- dbcom@DBAmericas, Cc: Sean Magee/db/dbcom@DBAmericas, Caroline Kitidis/db/- dbcom, , Zbynek Kozelsky/db/- dbcom@DBAmericas Date 11/04/2013 10:45 AM Subj Re: Fw: [C] ect: Classification: Confidential RV, hi. This is not an easy conversation, and Michael has no brokerage account with us. Please sketch this out for a moment. What are the assets and nature of the business? Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Rosemary Vrablic---11/04/2013 10:33:26 AM---Classification: Confidential EFTA01351655 given the significant amount of $ Michael and Ben have with us, please From: dbcom Rosemary Vrablic/db/- To: Joshua Shoshan/db/- dbcom@DBAmericas, Cc: Sean Magee/db/- dbcom@DBAmericas Date: AM Subject: [C] 11/04/2013 10:33 Re: Fw: Classification: Confidential given the significant amount of $ Michael and Ben have with us, please let me know if Chip or Haig need to be brought in. Kind regards, Rosemary Vrablic <0.2444.gif> Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 EFTA01351656 NMLS# <0.2EA2.gif> Securities offered through Deutsche Bank Securities Inc. Joshua Shoshan---11/04/2013 10:31:39 AM---Classification: Confidential Sean, please call me at any time. Best regards, --Josh Joshua Shoshan From: dbcom Joshua Shoshan/db/- To: Sean Magee/db/- dbcom@DBAmericas, Cc: Rosemary Vrablic/db/- dbcom@DBAmericas Date: AM Subject: [C] 11/04/2013 10:31 Re: Fw: Classification: Confidential Sean, please call me at any time. Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 EFTA01351657 Sean Magee---11/04/2013 10:26:39 AM---Classification: Confidential Josh - I'm sure you're many requests like this. Let me know if you have From: dbcom Sean Magee/db/- To: Joshua Shoshan/db/- dbcom@DBAmericas, Cc: Rosemary Vrablic/db/- dbcom@DBAmericas Date: AM 11/04/2013 10:26 Subject: Fw: [C] Classification: Confidential Josh - I'm sure you're getting many requests like this. Let me know if you have a moment to discuss today. Thanks, Sean <0.3F22.gif> Sean Magee, CFP@ Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 EFTA01351658 Email <0.4954.gif> Securities offered through Deutsche Bank Securities Inc. Forwarded by Sean Magee/db/dbcom on 11/04/2013 10:20 AM From: Michael To: Sean Magee/db/- dbcom@DBAmericas, Cc: Rosemary Vrablic/db/- dbcom@DBAmericas Date: AM 11/04/2013 10:18 Subject: Re: [C] Sean, anything you guys can do to get me an allocation on this weeks twitter IPO? I hear you are co-runners on the book Sent from my iPhone On Nov 4, 2013, at 1:51 PM, Sean Magee wrote: Classification: Confidential No problem. I'll have it emailed to you today. Thanks, Sean <mime-attachment.gif> Sean Magee, CFP® EFTA01351659 Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York. NY 10154 <mime-attachment.gif> Securities offered through Deutsche Bank Securities Inc. From: Michael > To: Sean Magee/db/- dbcom@DBAmericas, Date: AM Subject: Re: every 11/03/2013 03:42 Can you prepare the excel spreadsheet that you send me once in a while. The one which shows cost, tax cost, PL. yield to call, yield to maturity,premium to scale.... hopefully accretion on the bonds beyond Feb 2013. Please also send the current AAA scale. I get home Monday so I would like to review Tuesday or Wednesday. Sent from my iPad This communication may contain confidential and/or EFTA01351660 privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01351661