EFTA Document EFTA01401917

Subject: RE: KCP Capital Markets Catch Up -- 4 PM today From: Nina Tona ‹ > Date: Wed, 11 Jul 2018 13:47:57 -0400 To: Joshua Shoshan Xavier Avila Martin Zeman Davide-A Sferrazza Liam Osullivan Will McElroy Cc: Alastair Mackinlay Ian Salters Please see the NCA list attached Thank you Nina Tona KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. EFTA01401917 From: Joshua Shoshan Sent: Wednesday, July 11, 2018 1:33 PM To: Xavier Avila Davide-A Sferrazza ; Martin Zeman < >• ; Liam Osullivan ; Nina Tona ; Will McElroy Cc: Alastair Mackinlay < >; Ian Salters Subject: RE: KCP Capital Markets Catch Up -- 4 PM today Here is a stab at agenda items, following especially what Xavi wrote on Monday, " Josh/Will did some work on Pershing already we need to review, and Davide/Nina consolidating tracker/OTC/GM in one file only, plus we need to review and attach our list of DB Research access..." 1) As for trackers, there is a) "KCP CM Tracker", owned by Davide, and b) the "NCA Priority List", owned by Nina. We should discuss how these can be merged. We see a problem, in that every day, all day, Davide and Nina are independently working on these files. 2) There is the "KCP Cap Mkts Project Tracking" spreadsheet that we used a lot, last updated in May. Davide will bring hard copies. This has proven useful to help us focus. We should likely update it to help us focus on our projects for the rest of the summer. 3) Circulated Friday, there is from me and Will the "KCP package status" spreadsheet. This has been done for Pershing only so far, and we will extend it to the GM accounts (aside from knowing which accounts have KCP docs, we should also know which accounts have a) only Pershing, b) both Pershing and GM, c) only GM). Will will bring hard copies, plus my email from Friday. Please note: a) No ENJ accounts have been moved yet to AXZ and AZZ b) BYR, TDS, GLA are still as is (I raised the issue that -- like in EFTA01401918 ENJ — BYR and TDS have some accounts with KCP docs, others do not have them. Who will manage remediation? Any need for IR numbers to separate the cases? c) We created an ISG tab, and these accounts have not yet moved d) There are several PA accounts on the list that do neatly fit into a KCP accounts list. 4) Another important group spreadsheet is "GM Research Access", which looks quite up to date. Best regards, --Josh From: Xavier Avila Sent: Monday, July 09, 2018 6:22 PM To: Joshua Shoshan Osullivan < McElroy Cc: Alastair Mackinlay Subject: RE: KCP Capital Markets Catch Up [I] ; Martin Zeman ; Nina Tor ; Davide-A Sferrazza ; Liam Ian Salters I moved to weds 4-6pm, I need to leave sharp at 6pm so let's focus for 2 hours. I will work on agenda tomorrow...but Josh/Will did some work on Pershing already we need to review, and Davide/Nina consolidating tracker/OTC/GM in one file only, plus we need to review and attach our list of DB Research access.... Thanks From: Joshua Shoshan Sent: Monday, July 09, 2018 2:09 PM To: Xavier Avila ; Martin Zeman < >• Davide-A Sferrazza ; Liam Osullivan EFTA01401919 Nina Tona < >; Will McElroy Cc: Alastair Mackinlay < >; Ian Salters Subject: RE: KCP Capital Markets Catch Up [I] Oh no, I will be flying at 4 pm et tomorrow. Any chance to do this earlier Tuesday, or Wednesday? Best regards, —Josh From: Xavier Avila ‹ > Date: Monday, Jul 09, 2018, 13:04 To: Martin Zeman Liam Osullivan McElroy , Joshua Shoshan , Davide-A Sferrazza , Nina Tona , Will Cc: Alastair Mackinlay <i >, Ian Salters Subject: KCP Capital Markets Catch Up [I] Classification: For internal use only Joyce pls book a room EFTA01401920 EFTA01401921