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sd-10-EFTA01371601Dept. of JusticeOther

EFTA Document EFTA01371601

Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 On May 23, 2017, at 12:06 PM, Tazia Smith wrote: Classification: Confidential Rich — Closing the loop on today's trading, ROTH FP closed at 28 EUR on 12,414 daily volume. DB did trade small today, -, 3,000 shares, split between High Touch and Low Touch which is usually the case for this name. The big International houses generally see Low Touch business, where the boutique houses dominate the Hig

Date
Unknown
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Dept. of Justice
Reference
sd-10-EFTA01371601
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Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 On May 23, 2017, at 12:06 PM, Tazia Smith wrote: Classification: Confidential Rich — Closing the loop on today's trading, ROTH FP closed at 28 EUR on 12,414 daily volume. DB did trade small today, -, 3,000 shares, split between High Touch and Low Touch which is usually the case for this name. The big International houses generally see Low Touch business, where the boutique houses dominate the Hig

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Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 On May 23, 2017, at 12:06 PM, Tazia Smith wrote: Classification: Confidential Rich — Closing the loop on today's trading, ROTH FP closed at 28 EUR on 12,414 daily volume. DB did trade small today, -, 3,000 shares, split between High Touch and Low Touch which is usually the case for this name. The big International houses generally see Low Touch business, where the boutique houses dominate the High Touch. DB has good relationship with many of these boutique shops that work High Touch orders (as yours would be), so let us know if you'd like to discuss further per my prior note about working smaller size. Speak Soon, Tazia Cell: From: Tazia Smith Sent: Tuesday, May 23, 2017 6:19 AM To: Delores Rubin; 'Richard Kahn' Cc: Stewart Oldfield; Vahe Stepanian; Matt Glassman Subject: RE: Rothschild [C] CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065058 CONFIDENTIAL SDNY_GM_00211242 EFTA01371601

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From: Tazia Smith Sent: 5/23/2017 2:41:00 PM To: Richard Kahn CC: Delores Rubin ; Stewart Oldfield ; Matt Glassman a.sferrazza(db.com) Subject: RE: Rothschild (C) Classification: Confidential .J; Vahe Stepanian Davide-A Sferrazza Thanks Rich. No market on 100k that we're in touch with (DB or agent). Delores will work towards showing a smaller size to try to get a two-way in front of you. Understand no trade. Best, Tazia From: Richard Kahn [mailto: Sent: Tuesday, May 23, 20

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fax cell On May 23, 2017, at 12:06 PM, Tazia Smith wrote: Classification: Confidential Rich - Closing the loop on today's trading, ROTH FP closed at 28 EUR on 12,414 daily volume. DB did trade small today, — 3,000 shares, split between High Touch and Low Touch which is usually the case for this name. The big International houses generally see Low Touch business, where the boutique houses dominate the High Touch. DB has good relationship with many of these boutique shops that work High

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On May 23, 2017. at 12:06 PM Tazia Smith wrote: Classification: Confidential Rich - Closing the loop on today's trading, ROTH FP closed at 28 EUR on 12,414 daily volume. DB did trade small today, 3,000 shares, split between High Touch and Low Touch which is usually the case for this name. The big International houses generally see Low Touch business, where the boutique houses dominate the High Touch. DB has good relationship with many of these boutique shops that work High Touch

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