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EFTA Document EFTA01370599EFTA Document EFTA01370601
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sd-10-EFTA01370600Dept. of JusticeOther

EFTA Document EFTA01370600

Hi Rich — Received. Reviewing. Be back From: Richard Kahn [mailtoa Sent: Monday, May 22, 2017 10:59 AM To: Tazia Smith Cc: Stewart OldfieId Subject: Fwd: Rothschild can you please provide bid ask as per email below thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell Begin forwarded message: From: Richard Kahn Subject: Rothschild Date: May 22, 2017 at 1:56:17 PM EDT To: h t ni n < > CCIAMIS > can you please provide a bi

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Dept. of Justice
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sd-10-EFTA01370600
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Hi Rich — Received. Reviewing. Be back From: Richard Kahn [mailtoa Sent: Monday, May 22, 2017 10:59 AM To: Tazia Smith Cc: Stewart OldfieId Subject: Fwd: Rothschild can you please provide bid ask as per email below thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell Begin forwarded message: From: Richard Kahn Subject: Rothschild Date: May 22, 2017 at 1:56:17 PM EDT To: h t ni n < > CCIAMIS > can you please provide a bi

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EFTA Disclosure
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Hi Rich — Received. Reviewing. Be back From: Richard Kahn [mailtoa Sent: Monday, May 22, 2017 10:59 AM To: Tazia Smith Cc: Stewart OldfieId Subject: Fwd: Rothschild can you please provide bid ask as per email below thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell Begin forwarded message: From: Richard Kahn Subject: Rothschild Date: May 22, 2017 at 1:56:17 PM EDT To: h t ni n < > CCIAMIS > can you please provide a bid ask on 100,000 shares of: Rothschild & Co SCA EPA: ROTH - May 22, 5:35 PM GMT+2 27.58EUR0.12 (0.42%) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0063518 CONFIDENTIAL SDNY_GM_00209702 EFTA01370600

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As s Rubin I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 154-0004 New York, NY, USA Tel. Emal From: Richard Kahn [mailto Sent: Tuesday, May 23, 2017 6:18 AM To: Tazia Smith Cc: Stewart Oldfield ; Vahe Stepanian da; Matt Glassman ; Delores Rubin ‹ > Subject: Re: Rothschild [C] Any update on bid ask for 100k Roth ' Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 Phone- Fax Cell

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Hi Rich — Received. Reviewing. Be back From: Richard Kahn [mailto Sent: Monday, May 22, 2017 1 :5 AM To: Tazia Smith Cc: Stewart Oldfield Subject: Fwd: Rothschild can you please provide bid ask as per email below thank you Richard Kahn HBRK Associates Inc. tel fax cell Begin forwarded message: From: Richard Kahn c M> Subject: Rothschild Date: May 22, 2017 at 1:56:17 PM EDT To: Vahe Stepanian Cc: Stewart Oldfield can you please provide a bid ask on 100,000 shares of: Rothsch

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Equity Trading DB Securities Inc Deutsche Bank Wealth Management P rk Av n 1 154.0004 New York, NY, USA From: Richard Kahn [mailto:richardkahn12@gmail.conl Sent: Tuesday, Ma 23, 2017 6:18 AM To: Tazia Smith Cc: Stewart Oldfield < >; Vahe Stepanian < >; Matt Glassman >; Delores Rubin < Subject: Re: Rothschild [C] Any update on bid ask for 100k Roth ? Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 On May 22, 2017, at 6:47 PM, Tazia Smith wr

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From: Delores Rubin Sent: 5/23/2017 7:42:17 AM To: Richard Kahn Tazia Smith CC: Stewart 0ldfiel. Vahe Stepanian Subject: : 'ot Sc Hello Richard, Matt Glassman Sorry for the delayed response. I am one of the DB traders here in the US. I have been communicating with our team overseas on your inquiry. As Tazia mentioned, Rothschild is a light trading name. Our DB Institutional desk has not had any natural flow in this stock in the past few months, but a few clients that have expres

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