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sd-10-EFTA01374439Dept. of JusticeOther

EFTA Document EFTA01374439

Classification: Confidential Rich - please see below per our conversation. Obviously we're during market hours, so the US equities listed below are subject to market movement. Just an FYI - I'm stepping out to a meeting - should be back by -3:45pm. ST Micro AMS AG Sunny ASML Ubisoft EA Name Optical Amount Ticker Px Currency $500,000.00 STM FP 14.615 EUR $500,000.00 AMS SW 70.00 CHF $500,000.00 2382 HK 94.00 HKD $500,000.00 ASML 152.94 USD $500,000.00 UBI FP 54.9

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Dept. of Justice
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sd-10-EFTA01374439
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Classification: Confidential Rich - please see below per our conversation. Obviously we're during market hours, so the US equities listed below are subject to market movement. Just an FYI - I'm stepping out to a meeting - should be back by -3:45pm. ST Micro AMS AG Sunny ASML Ubisoft EA Name Optical Amount Ticker Px Currency $500,000.00 STM FP 14.615 EUR $500,000.00 AMS SW 70.00 CHF $500,000.00 2382 HK 94.00 HKD $500,000.00 ASML 152.94 USD $500,000.00 UBI FP 54.9

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
Classification: Confidential Rich - please see below per our conversation. Obviously we're during market hours, so the US equities listed below are subject to market movement. Just an FYI - I'm stepping out to a meeting - should be back by -3:45pm. ST Micro AMS AG Sunny ASML Ubisoft EA Name Optical Amount Ticker Px Currency $500,000.00 STM FP 14.615 EUR $500,000.00 AMS SW 70.00 CHF $500,000.00 2382 HK 94.00 HKD $500,000.00 ASML 152.94 USD $500,000.00 UBI FP 54.95 EUR $500,000.00 EA 116.33 USD Thank you, Vahe On Jul 26, 2017, at 1:54 PM, Vahe Stepanian a* wrote: Classification: Confidential Hi Rich — just called you to discuss. I'm available @ Thank you, Vahe From: Richard Kahn [ Sent: Wednesday, July 26, 2017 1:02 PM To: Vahe Stepanian < Cc: Stewart Oldfield Subject: Securities to buy can you please call me to review purchasing the following non us securities would like to understand commissions, fx spreads and if it can be done.. thank you Richard Kahn IIBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0069128 CONFIDENTIAL SDNY_GM_00215312 EFTA01374439

Related Documents (6)

Dept. of JusticeOtherUnknown

EFTA Document EFTA01374548

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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EFTA Document EFTA01381485

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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EFTA Document EFTA01381057

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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Dept. of JusticeOtherUnknown

EFTA Document EFTA01379473

From: Richard Kahn Sent: Tuesday, May 23, 2017 6:18 AM To: Tazia Smith <a> Cc: Stewart Oldfield Vahe Stepanian ve; Matt Glassman >; Delores Rubin Subjec : e: o isc Any update on bid ask for 100k Roth 9 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 On May 22, 2017, at 6:47 PM, Tazia Smith ‹ > wrote: Working with our counterparts in Europe. Size / liquidity could be prohibitive for a market on that size but we will be back with color.

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EFTA Document EFTA01370895

From: Vahe Stepania Sent: 7/26/2017 2:59:07 PM To: Richard Kahn CC: Darren lndyke Subject: RE: Trade Report 7/13/2017 [C) Classification: Confidential On it, be right back. ;Jeanne Brenna Stewart Oldfield From: Richard Kahn [mailto Sent: Wednesday, Ju 26 2017 2:58 PM To: Vahe Stepanian Cc: Darren Indyke Jeanne Brennan Stewart Oldfield Subject: Re: Trade Report 7/13/2017 [CI pricing please? Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 1002

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EFTA Document EFTA01385086

To: Zbynek Kozelsky; Donald Summer Cc: Stewart Oldfield Subject: FW: MBLY Tender [C] [I] Classification: For Internal use only Zigs/Donnie — who should we call to get the answer to this question? From: Stewart Oldfield Sent: Friday, May 12, 2017 10:10 AM To: Vahe Stepanian Subject: FW: MBLY Tender [CI ill Classification: For internal use only Did either of you go back to him? From: Richard Kahn [mailto. Sent: Thursday, May 11, 2017 1:38 PM To: Vahe Stepanian Cc: Stewart Oldfield;

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