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sd-10-EFTA01380674Dept. of JusticeOther

EFTA Document EFTA01380674

Classification: Confidential Hello Richard, We are unable to make a market in that size and as I stated last week without knowing if you are a Buyer or Seller we would not get a response from any of institutional clients we know care in the name. If you have an ultimate limit on either side, we could work an order for you. Best regards, Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Mana

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Dept. of Justice
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sd-10-EFTA01380674
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Classification: Confidential Hello Richard, We are unable to make a market in that size and as I stated last week without knowing if you are a Buyer or Seller we would not get a response from any of institutional clients we know care in the name. If you have an ultimate limit on either side, we could work an order for you. Best regards, Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Mana

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Text extracted via OCR from the original document. May contain errors from the scanning process.
Classification: Confidential Hello Richard, We are unable to make a market in that size and as I stated last week without knowing if you are a Buyer or Seller we would not get a response from any of institutional clients we know care in the name. If you have an ultimate limit on either side, we could work an order for you. Best regards, Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. +1 212 454.0860 Emai From: Richard Kahn Imailto Sent: Tuesday, May 30, 2017 8:22 AM To: Delores Rubin Cc: Tazia Smith a; Stewart OldfieId ‘: >; Vahe Stepanian >; Matt Glassman ; Davide-A Sferrazza Subject: Re: Rothschild [C] Thanks you for update. Any indication where a 100,000 share block can be crossed? Please advise. Thank you. Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 Phone 212-971-1306 Fax 646-350-0954 Cell On May 30, 2017, at 8:14 AM, Delores Rubin wrote: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0079180 CONFIDENTIAL SDNY_GM_00225364 EFTA01380674

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Delores Rubin Director I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 P Ay 1 154-0004 New York, NY, USA Tel. Email From: Richard Kahn [mailto Sent: Tuesday, Ma 23, 2017 6:18 AM To: Tazia Smith Cc: Stewart Oldfield < >; Vahe Stepanian < >; 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 F

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From: Stewart Oldfield Sent: 5/23/2017 9:24:36 AM To: Tazia Smith CC: Vahe Stepanian Subject Re: Rothschild (C) Classification: Confidential I; Delores Rubin Matt Glassman I take it we have no interest in bidding a block for that size? Stewart Oldfield, CFA, CAM Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel: Mobile: blackberry Email: Securities offered through Deutsche Bank Securities Inc. From: Tazia

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w. 212-454-2889 c. 917-327-4107 Original Message From: Delores Rubin Sent: Tuesday, May 23, 2017 07:42 AM Eastern Standard Time To: Richard Kahn; Tazia Smith Cc: Stewart Oldfield; Vahe Stepanian; Matt Glassman Subject: RE: Rothschild [C] Hello Richard, 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 n

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Delores Rubin <image001.gif> Delores Rubin Director I Wealth Management Capital Markets Equity Tracing DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. 10154-0004 New York. NY, USA Tel. Email From: Richard Kahn mailtcr 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 Ave

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From: Delores Rubin Sent: 5/24/2017 8:32:14 AM To: Tula Smith CC: Stewart 0ldfield Subject: RE: Rothschild ICJ Classification: Confidential Good Morning Richard, I; Richard Kahn ; Vahe Stepanian I; Davide-A Sferrazza Matt Glassman Very little activity so far today on Rothschild. Our trader had working orders from two large institutions in the past 6 months. These institutions, if they have something to do would care on the type of size you would like to trade. Our trader would

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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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