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sd-10-EFTA01380915Dept. of JusticeOther

EFTA Document EFTA01380915

full 100k shares. But, Delores has market color and guidance on a market if you portion out that size and can help facilitate. Remember the market closes in Paris at 11 :30am. Tazia Tazia Smith Key Client Partners - US Deutsche Bank Wealth Management W. C 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

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full 100k shares. But, Delores has market color and guidance on a market if you portion out that size and can help facilitate. Remember the market closes in Paris at 11 :30am. Tazia Tazia Smith Key Client Partners - US Deutsche Bank Wealth Management W. C 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

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EFTA Disclosure
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full 100k shares. But, Delores has market color and guidance on a market if you portion out that size and can help facilitate. Remember the market closes in Paris at 11 :30am. Tazia Tazia Smith Key Client Partners - US Deutsche Bank Wealth Management W. C 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 not had any natural flow in this stock in the past few months, but a few clients that have expressed some interest in the name so we have calls out to ascertain if we might be able to put together something. The stock is currently 27.85 EUR x 27.95 EUR with only 4,000 shares that have traded. Average volume for this stock is 17,000 shares. We will be back to shortly with more insight. 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. Email CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0079491 CONFIDENTIAL SDNY_GM_00225675 EFTA01380915

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Rich - Just tried calling you. Please call Delores directly if you have follow through on this at As team relayed, DB isn't (nor are we in touch with as agent) a marker maker on a full 100k shares. But, Delores has market color and guidance on a market if you portion out that size and can help facilitate. Remember the market closes in Paris at 11:30am. Tazia Tazia Smith Key Client Partners - US Deutsche Bank Wealth Management w. C Original Message From: Delores Rubin Sent: Tuesday

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Subject: Re: Rothschild - Bein shown an offer! [C] From: Richard Kahn Date: Thu, 01 Jun 2017 14:48:08 -0400 To: Delores Rubin Cc: Vahe Stepanian Tazia Smith Stewart Oldfield lets put on hold for now as i do not have a firm levelthanks for all your help Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell On Jun 1, 2017, at 2:45 PM, Delores Rubin e > wrote: > Classification: Confidential Richard, Unfortunately, we have not uncovered s

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IS . - . d calling you. Please call Delores directly if you have follow through on this at As team relayed, DB isn't (nor are we in touch with as agent) a marker maker on a full 100k shares. But, Delores has market color and guidance on a market if you portion out that size and can help facilitate. Remember the market closes in Paris at 11:30am. Tazia Tazia Smith Key Client Partners - US Deutsche Bank Wealth Management NV C Original Message From: Delores Rubin Sent: Tuesday, May

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Subject: Re: Rothschild [C] From: Stewart Oldfield Date: Tue, 23 May 2017 09:24:36 -0400 To: Tazia Smith Delores Rubin < Cc: Vahe Stepanian Matt Glassman Classification: Confidential I take it we have no interest in bidding a block for that size? Stewart Oldfield, CFA, CAIA Director Deutsche Deutsche 345 Park Tel: Mobile: Email: Bank Trust Company Americas Bank Wealth Management Avenue, New York, NY 10154 blackberry Securities offered through Deutsche Bank Securities Inc. F

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Subject: RE: Rothschild [C] From: Tazia Smith a> Date: Tue, 23 May 2017 12:06:03 -0400 To: Richard Kahn Cc: Delores Rubin Stewart Oldfie Vahe Stepanian Matt Glassman Davide-A Sferrazza 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 bus

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Subject: RE: Rothschild [C] From: Tazia Smith a> Date: Tue, 23 May 2017 09:18:30 -0400 To: Delores Rubin Richard Kahn Cc: Stewart Oldfield Vahe Stepanian Matt Glassman Rich - Just tried calling you. Please call Delores directly if you have follow through on this at 212-454-3300. As team relayed, DB isn't (nor are we in touch with as agent) a marker maker on a full 100k shares. But, Delores has market color and guidance on a market if you portion out that size and can help facilitate.

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