EFTA Document EFTA01387669

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Dept. of Justice

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sd-10-EFTA01387669

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EFTA Disclosure

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From: Davide-A Sferrazza Sent: 6/1/2018 12:11:48 PM To: 'Paul Barrett ( I; 'Richard Kahn' I; Stewart Oldfield Martin Zeman ; Liam Osullivan CC: Xavier Avila Subject: 2Y 2sl0s Curve Cap Confirmation Paul, To confirm you bought: US curve cap Notional: USD 45,000,000 Expiry: June 1, 2020 Settlement: June 3, 2020 Strike: 0.10% Underlying: (10y swap — 2y swap) Premium: Southern Financial LLC pays DB $96,750 value June 5, 2018 Thank you for the trade. Regards, Davide Davide Sferrazza Analyst I Key Client Partners Deutsche Bank Securities, Inc Deutsche Bank Wealth Management 345 Park Avenue 101 4.0004 New York, NY, USA Email This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0090729 CONFIDENTIAL SDNY_GM_00236913 EFTA01387669

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URLhttps://db.com/disclosures

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From: Martin Zeman Sent: 9/7/2018 3:38:24 PM To: 'Paul Barrett' l; Stewart Oldfield l CC: 'Richard Kahn' ;'Jeanne Brennan' ) Subject: RE: Question Paul - we need to get back to you on this one. Martin From: Paul Barrett [mailto Sent: Friday, September 07, 2018 1:11 PM To: Stewart 0ldfield < Cc: Richard Kahn < Subject: Question >; Martin Zeman < >; Jeanne Brennan < > Hi Guys, If we segregate IM for non-cleared trades does that mean we have to post cash in a separate accou

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