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sd-10-EFTA01380961Dept. of JusticeOther

EFTA Document EFTA01380961

From: Richard Kahn Sent: 1/18/2019 11:43:43 AM To: Stewart Oldfield I Subject: Re: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice thank you Richard Kahn III3RK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell On Jan IS, 2019, at 11:40 AM, Stewart Oldfield < > wrote: As I thought, this is for the fx forward that is hedging the currency exposure on the bond. Thanks From: Richard Kahn Imailto Sent: Friday, January 18, 2019 9:19 AM To: Stewart

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sd-10-EFTA01380961
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From: Richard Kahn Sent: 1/18/2019 11:43:43 AM To: Stewart Oldfield I Subject: Re: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice thank you Richard Kahn III3RK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell On Jan IS, 2019, at 11:40 AM, Stewart Oldfield < > wrote: As I thought, this is for the fx forward that is hedging the currency exposure on the bond. Thanks From: Richard Kahn Imailto Sent: Friday, January 18, 2019 9:19 AM To: Stewart

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From: Richard Kahn Sent: 1/18/2019 11:43:43 AM To: Stewart Oldfield I Subject: Re: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice thank you Richard Kahn III3RK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell On Jan IS, 2019, at 11:40 AM, Stewart Oldfield < > wrote: As I thought, this is for the fx forward that is hedging the currency exposure on the bond. Thanks From: Richard Kahn Imailto Sent: Friday, January 18, 2019 9:19 AM To: Stewart Oldfield < Subject: Fwd: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice does this email relate to this bond we are holding? COFP 4.407 8/2019 Euro Bond lets talk today if you have time thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York NY 10022 tel cell CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0079550 CONFIDENTIAL SDNY_GM_00225734 EFTA01380961

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Subject: Re: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice From: Richard Kahn ‹ > Date: Fri, 18 Jan 2019 11:43:38 -0500 To: Stewart Oldfield ‹ > 2pm would be great thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 On Jan 18, 2019, at 11:42 AM, Stewart Oldfield ‹ > wrote: Just called you. I'm free for the next 10 mins, then from 1-2:30 or so. Can chat on cell later if we miss each other. Thanks From: Richard Kahn [mailto: Sent: Frida

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From: Richard Kahn Sent: 1/18/2019 9:29:33 AM To: Stewart 0ldtield Subject: Re: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice thank you Richard Kahn III3RK Associates Inc. 575 Lexington Avenue 4th Floor New York. NY 10022 On Jan 18, 2019, at 9:28 AM, Stewart Oldfiel vrote: I know you have an OTC fx trade on, most likely that. Let me get details and come back to you. Thanks From: Richard Kahn (mailto Sent: Friday, January 18, 2019 9:19 AM To: Stewart Oldfield Subject: Fw

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From: Stewart Oldfield [ Sent: 1/18/2019 9:28:26 AM To: Richard Kahn I Subject: RE: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice I know you have an OTC fx trade on, most likely that. Let me get details and come back to you. Thanks From: Richard Kahn [mailto Sent: Friday, January 18, 2019 9:19 AM To: Stewart Oldfield < Subject: Fwd: 2018 Q4 DB Dodd Frank Quarterly Initial Margin Notice does this email relate to this bond we are holding? COFP 4.407 8/2019 Euro Bond lets tal

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From: -Stepanian [ Sent: 7/13/2017 10:57:04 AM To: Richard Kahn [ CC: Stewart Oldfield ( Subject: RE: IC) Classification: Confidential Hi Rich - southern Financial can trade listed options, including sold puts. on the FX question - currently SFLLC cannot buy OTC options. There is Dodd Frank related paperwork that we would need on file before trading OTC options. Thank you, original message 13. 20173 4 From: Richard Kahn (mailto:ri.11 1.com] Sent: Thursday, July To: IIII Step

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» To: Vahe Stepanian » Cc: Stewart Oldfield t Darren Indyke ; Jeanne Brennan subject: Re: » • we would like to sell 200 contracts of the August 13.00 strike puts at 70c or better in SFL please confirm with darren thank you » • Richard Kahn » HBRK Associates Inc. » 575 Lexington Avenue 4th Floor » New York NY 10022 > > > > >» • On Jul 13, 2017, at 10:57 AM, Vahe Stepanian wrote: >» >» classification: confidential >» >» Hi Rich - Southern Financial can trade listed options, i

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