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sd-10-EFTA01379829Dept. of JusticeOther

EFTA Document EFTA01379829

From: Liam Osullivan Sent: 2/7/2019 9:10:51 AM To: Richard Kahn CC: Stewart Oldfield I; Martin Zeman Davide-A Sferrazza Subject: RE. SF OTC :-ado 31 the books [C] Classification: Confidential Rich, The indication on the 2,500m COFP 4A07 08/06/19 is 101.25. Thank you, Liam Pri Liam 0 Sullivan Investmei is It Trading Institutional Wealth Parintys DB Securiies Inc Deutsche Bank Wealth Islanngement 345 Park Avenue. New York. NY I 0154-0004, USA Visit us: littp:Ideutschewealth.c

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Dept. of Justice
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sd-10-EFTA01379829
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From: Liam Osullivan Sent: 2/7/2019 9:10:51 AM To: Richard Kahn CC: Stewart Oldfield I; Martin Zeman Davide-A Sferrazza Subject: RE. SF OTC :-ado 31 the books [C] Classification: Confidential Rich, The indication on the 2,500m COFP 4A07 08/06/19 is 101.25. Thank you, Liam Pri Liam 0 Sullivan Investmei is It Trading Institutional Wealth Parintys DB Securiies Inc Deutsche Bank Wealth Islanngement 345 Park Avenue. New York. NY I 0154-0004, USA Visit us: littp:Ideutschewealth.c

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
From: Liam Osullivan Sent: 2/7/2019 9:10:51 AM To: Richard Kahn CC: Stewart Oldfield I; Martin Zeman Davide-A Sferrazza Subject: RE. SF OTC :-ado 31 the books [C] Classification: Confidential Rich, The indication on the 2,500m COFP 4A07 08/06/19 is 101.25. Thank you, Liam Pri Liam 0 Sullivan Investmei is It Trading Institutional Wealth Parintys DB Securiies Inc Deutsche Bank Wealth Islanngement 345 Park Avenue. New York. NY I 0154-0004, USA Visit us: littp:Ideutschewealth.corn. #Positivelmpact IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as 'institutional accounts' under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks ot, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies aid financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for cascussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Richard Kahn [mailto Sent: Thursday, February 07, 2019 8:49 AM To: Liam Osullivan < Cc: Stewart Oldfield < Subject: Fwd: SF OTC trade on the books CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0077642 CONFIDENTIAL SONY GM_00223826 EFTA01379829

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From: Liam Osullivan Sent: 2/19/2019 10:24:13 AM To: Richard Kahn CC: Darren lndyke ; Jeanne Brenna Stewart Oldfield Martin Zeman Subject: Haze Trust IC) Classification: Confidential Good morning Rich, The haze trust received in $167,380.95 last week: 02/14/2019 $133,435.60 Wire from HSBC 02/15/2019 $33,945.35 C PRK Dividend There is $167,414.61 cash available. Thank you, Liam Liam O'Sullivan Investments it Trading Institutional Wealth Partners DB Securities Inc Deuts

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From: Sent: To: CC: Subject: Liam Osullivan 6/8/2018 4:52:14 PM Paul Barrett Davide-A Sferrazza ; 'Richard Kahn' I Joshua Shoshan -I: Stewart Oldfield ; Martin Zeman I Trade Details --> 06/08/2018 (C) Classification: Confidential Paul, In SFLLC: Sold 17 BRK/A at 293,789.86 Sold 10,000 QCOM at 60.3107 Sold 25,000 GILD at 71.9664 In Haze: Sold 15,390 SPOT at 171.8254 Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Ma

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From: Liam Osullivan Sent: 5/21/2018 4:18:00 PM To: 'Paul Barrett 'Richard Kahn' CC: Martin Zeman Xavier Avila Davide-A Sferrazza Joshua Shoshan Stewart Oldfield Subject: Trade Details --> 5/21/2018 ICI Classification: Confidential Paul, In SFFLC: You were assigned 9,000 shares of GILD at 77.50. The account is now long 25,000 shares. There are no more GILD options in the account. You bought 2 shares of BRK/A at 297,000 You sold 20,000 shares of BASFY at 26.3245. In Haze: Y

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From: Sent: To: CC: Subject: Liam Osullivan 7/9/2018 4:28:09 PM Paul Barrett I Martin Zeman I I I; Stewart Oldfield Trade Details --> 7/9/18 ICI Classification: Confidential Paul, Richard Kahn • Davide-A Sferrazza In SFLLC: You bought 1mm EXLINT 10% 07/15/23 at 102.875. Thank you. Liam z Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154.0004 New York, NY, USA E . Email Xavier Avila Prepared on 07/09

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From: Sent: To: CC: Subject: Liam Osullivan 8/3/2018 8:52:40 AM Paul Barrett Martin Zeman RE: CDR (C) Classification: Confidential Paul, Richard Kahn ; Davide-A Sferrazza ; Stewart Oldfield You sold 15,320 CDR at 199.4626 PLN. Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154.0004 New York. NY, USA Tel. Email ; Xavier Avila Prepared on OW03/2018 Source: Pershing NetX 360 Unofficial t

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From: Sent: To: CC: osullivan 5/31/2018 4:23:38 PM Paul Barrett Davide-A Sferrazza I; 'Richard Kahn' I Joshua Shoshan • Stewart Oldfield ; Martin Zeman Subject: Trade Details --> 5/31/2018 (Cl Classification: Confidential Paul, In Haze: You sold 5,045 shares of C 5.8% Ser C Pref at 25.1654. The account is long 38,158 shares. Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154.0004 New York.

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