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sd-10-EFTA01424136Dept. of JusticeOther

EFTA Document EFTA01424136

Subject: FW: Pipeline updates [I] From: Stewart Oldfield anIM > Date: Wed, 05 Apr 2 To: Bradley Gillin Cynthia Rodrigu Classification: For internal use only Southern Financial and Third Lake deposits are complete. Let's bump the rest back a quarter. Thanks From: Daniel Eisenberg Sent: Wednesday, April 05, 2017 11:59 AM To: Stewart Oldfield Subject: Pipeline updates [I] Classification: For internal use only Stewart, The opportunities below have 01 closing dates — can you please upd

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sd-10-EFTA01424136
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Subject: FW: Pipeline updates [I] From: Stewart Oldfield anIM > Date: Wed, 05 Apr 2 To: Bradley Gillin Cynthia Rodrigu Classification: For internal use only Southern Financial and Third Lake deposits are complete. Let's bump the rest back a quarter. Thanks From: Daniel Eisenberg Sent: Wednesday, April 05, 2017 11:59 AM To: Stewart Oldfield Subject: Pipeline updates [I] Classification: For internal use only Stewart, The opportunities below have 01 closing dates — can you please upd

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Subject: FW: Pipeline updates [I] From: Stewart Oldfield anIM > Date: Wed, 05 Apr 2 To: Bradley Gillin Cynthia Rodrigu Classification: For internal use only Southern Financial and Third Lake deposits are complete. Let's bump the rest back a quarter. Thanks From: Daniel Eisenberg Sent: Wednesday, April 05, 2017 11:59 AM To: Stewart Oldfield Subject: Pipeline updates [I] Classification: For internal use only Stewart, The opportunities below have 01 closing dates — can you please update the closing dates asap as it is throwing off our monthly reporting. Thank you for your prompt attention to this. Dan Opportunity ID EFTA01424136 GCIS Customer Number Industry Group Customer Owner Opportunity Name Relationship Customer Name Type Close Date Stage Probability (%) Product Name Product Description 0063200001krq5f 00000483882 Financial Sponsors Stewart Oldfield Deposits SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC New Product - Existing Client 3/31/2017 Proposal 50 Private Wealth Premium Checking w/Interest EFTA01424137 0063200001oRCP1 00000483882 Financial Sponsors Stewart Oldfield DOJ Deposit Recapture UPDATE SOUTHERN FINANCIAL RELATIONSHIP Southern Financial LLC Notional 2/28/2017 Business Committed-Not Funded 90 DB AG NY Preferred Banking Account 0063200001pliq2 00000495598 Media & Telecom Stewart Oldfield UPDATE: DOJ Deposit Recapture THIRD LAKE CAPITAL RELATIONSHIP Wanek, Todd R. Notional 3/10/2017 Business Committed-Not Funded 50 DB AG NY Preferred Certificate of Deposit 0063200001kLFKq EFTA01424138 00000490445 Stewart Oldfield cash management ELYSIUM MANAGEMENT RELATIONSHIP Elysium Management New Product - New Client 3/31/2017 Proposal 50 U.S. IA - RCM 0063200001krg4l 00000490358 Media & Telecom Stewart Oldfield KCP Private Markets THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital New Product - New Client 3/31/2017 Proposal 50 Private Equity Funds 0063200001oPRL5 00000490358 EFTA01424139 Media & Telecom Stewart Oldfield KCP Private Markets THIRD LAKE CAPITAL RELATIONSHIP Third Lake Capital New Product - New Client 3/31/2017 Proposal 75 Private Wealth Premium Checking Kind regards, Daniel Eisenberg fhttps://brandportal.intranet.db.com/img/modules/logo.gifl Daniel Eisenberg Deutsche Bank Trust Company Americas WM Americas 345 w York, NY, USA Tel. Fax Mob Ema Securities offered through Deutsche Bank Securities Inc. EFTA01424140 EFTA01424141

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Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] From: Vijay-A Sawant Date: Fri, 10 Aug 2018 01:27:16 -0400 To: Bradley Gillin Cc: Stewart Oldfield Hi Brad, A kind reminder of the below 'updated' Exco approval request for acct Prytanee LLC under the SOUTHERN FINANCIAL RELATIONSHIP for KYC Case#01946825. Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Ba

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Subject: FW: Gratitude From: Stewart Oldfield ‹ > Date: Thu, 25 Oct 2018 15:32:46 -0400 To: Liam Osullivan From: Richard Kahn [mailto: Sent: Thursday, October 25, 2018 3:20 PM To: Stewart Oldfield ‹ > Cc: Bradley Gillin <bradley.gillin@db.com>; Richard Iarossi Subject: Re: Gratitude ok please call when free tomorrow also what is status of butterfly brokerage? please advise thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 EFTA01431327

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Subject: RE: Account Plannin sessions [C] [I] From: Stewart Oldfield Date: Mon, 08 Jan 2018 12:34:50 -0500 To: Cynthia Rodriguez Bradle Gillin Bcc: From: Cynthia Rodriguez Sent: Monday, January 08, 2018 12:05 PM To: Stewart Oldfield Subject: RE: Account Planning sessions [C] [I] Classification: For internal use only Hi, Bradley Gillin Attached are the final two. Please give them your blessing or make whatever changes needed and I will send it all to Samantha. I have saved the ones

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Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] From: Stewart Oldfield e > Date: Thu, 06 Sep 2018 10:06:56 -0400 To: Vijay-A Sawant <Ma Please give me a call when you can. Thanks From: Vijay-A Sawant Sent: Tuesday, September To: Stewart Oldfield Cc: Bradley Gillin Vinita Advani ; Richard Iarossi Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] Importance: High 04, 2018 9:57 AM Hi Stewart, We require the '

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vijay-a.sawant@db.com Subject: RE: Assistance required in resolving Rejection Points - KYC 01977695 [I] From: Vijay-A Sawant Date: Wed, 17 Oct 20 To: Bradley Gillin < Stewart Oldfield Cc: Richard Iaros Mayur Rathod Hello Brad/Stewart, Many thanks for all the docs. We have re-submitted this rejected KYC (01977695) back to AML for final approval. Kind Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited

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Subject: RE: Gratitude From: Stewart Oldfield Date: Fri, 26 Oct 2018 15:10:23 -0400 To: Richard Kahn Cc: Richard Iarossi <richard.iarossi@db.com> Ok, Monday it is. Will be late afternoon unless I can extract myself from an all day training. Enjoy the weekend. Thanks From: Richard Kahn [mailto: Sent: Friday, October 26, 2018 3:09 PM To: Stewart Oldfield Cc: Richard Iarossi Subject: Re: Gratitude 530pm on cell is best or monday thanks Richard Kahn HBRK Associates Inc. 575 Lexington

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