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sd-10-EFTA01424777Dept. of JusticeOther

EFTA Document EFTA01424777

Subject: Re: Boods to sell [C] From: Richard Kahn Date: Mon, 11 Feb 2019 09:51:33 -0500 To: Liam Osullivan < Cc: Jeanne Brennan Stewart Oldfi Martin Zeman Davide-A Sferrazza thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel c fax On Feb 11, 2019, at 9:50 AM, Liam Osullivan Classification: Confidential Rich, Will we be back with pricing. Thank you, Liam <image001.gif> Liam O'Sullivan Investments & Trading I Institutional Weal

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Subject: Re: Boods to sell [C] From: Richard Kahn Date: Mon, 11 Feb 2019 09:51:33 -0500 To: Liam Osullivan < Cc: Jeanne Brennan Stewart Oldfi Martin Zeman Davide-A Sferrazza thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel c fax On Feb 11, 2019, at 9:50 AM, Liam Osullivan Classification: Confidential Rich, Will we be back with pricing. Thank you, Liam <image001.gif> Liam O'Sullivan Investments & Trading I Institutional Weal

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Subject: Re: Boods to sell [C] From: Richard Kahn Date: Mon, 11 Feb 2019 09:51:33 -0500 To: Liam Osullivan < Cc: Jeanne Brennan Stewart Oldfi Martin Zeman Davide-A Sferrazza thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel c fax On Feb 11, 2019, at 9:50 AM, Liam Osullivan Classification: Confidential Rich, Will we be back with pricing. Thank you, Liam <image001.gif> Liam O'Sullivan Investments & Trading I Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154-0004, USA Tel. Mobi Emai wrote: EFTA01424777 Visit us: http://deutschewealth.com. <image002.gif> IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP) Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Richard Kahn [mailto: Sent: Monday, February 11, 2019 9:43 AM To: Liam Osullivan <Liam.osullivan@db.com> Cc: Jeanne Brennan < ; Stewart Oldfield Subject: Boods to sell can you please obtain pricing to sell these positions.. thank you Southern Trust Co. - Fixed Income (DB) Buckeye Partners Fixed to Float 6.375% Callable 1/22/23 1,000,000 EFTA01424778 Southern Financial LLC - Fixed Income (DB) Deutsche Bank AG 4.875% exp 12/1/2032 1,000,000 Deutsche Bank AG 4.296% exp 5/24/2028 1,000,000 General Electric Co GTD Fixed to Float 4.0% Dec 15 2065 2,469,000 Southern Cal Edison 6.25% Dec 31 2049 3,000,000 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York NY 10022 tel fax cel 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. EFTA01424779 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. EFTA01424780

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Subject: RE: Boods to sell [C] From: Liam Osullivan Date: Mon, 11 Feb 2019 09:50:30 -0500 To: Richard Kahn Cc: Jeanne Brennan Stewart Oldfield Martin Zeman ~ Davide-A Sferrazza <~ < Classification: Confidential Rich, Will we be back with pricing. Thank you, Liam {https://brandportal.intranet.db.com/img/modules/logogrey.gif} Liam O'Sullivan Investments & Trading [ Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154

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From: Richard Kahn Sent: 5/23/2018 5:00:13 PM CC: Martin Zeman I I; Paul Barrett [ I; Xavier Avila ; Davide-A Sferrazza ; Stewart Oldfield ;Joshua Shoshan ;Jeanne Brennan Liam Osullivan [Liam.osullivan@db.comI Subject: Re: signed confirms [CI Attachments: doc03178020180523085808.pdf Richard Kahn > on May 23, 2018, at 9:24 AM, Liam Osullivan wrote: > • Classification: Confidential > Rich, > • Last week you returned the signed confirmations for the EURUSD options that were tra

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From: Liam Osullivan [Liam.osullivan@db.com] Sent: 5/23/2018 9:24:02 AM To: Richard Kahn lrichardkahn12@gmaiLcomj; Martin Zeman [martin.zeman@db.com]; Paul Barrett ipaul@alphagroupcapital.com]; Xavier Avila Ixavier.avila@db.com]; Davide-A Sferrazza [davide- a.sferrazza@db.com]; Stewart Oldfield Istewart.oldfield@db.com]; Joshua Shoshan ljoshua.shoshan@db.coml; Jeanne Brennan (jabwcpa@gmail.com] Subject: RE: signed confirms [Cl Attachments: fax-2018-05-16-053509.pde fax-2018-05-16-05321

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From: Liam Osullivan Sent: 8/3/2018 11:49:59 AM To: Paul Barrett CC: Martin Zeman Subject: CDR / PLN [C] Attachments: Authorization_for_Non_USD_Wires_PLN.pdf : Davide-A Sferrazza ; Stewart Oldfield Richard Kahn Classification: Confidential Paul, You sold 682,916.26 PLN at 3.6731. ; Xavier Avila I have attached the letter of authorization that we will need to settle the PLN trades. We will send a total of 3,982,916.26 on 08/07 to settle the spot as well as the swap. We have ma

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Prepared on 02/11/2019 Source: Pershing NetX 360 Unofficial trade confirmations use information from sources that the firm believes to be reliable, but Deutsche Bank Securities Inc. cannot guarantee the accuracy of this information, or the reliability of these sources. Please refer to your official account statements and confirmations for all trade information Also, the following positions were transferred from the SFLLC account to TD Ameritrade today: 5,000 BABA 3,000 GOOG 1,000 AMZN 2,

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Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 On Aug 3, 2018, at 11:49 AM, Liam Osullivan Classification: Confidential Paul, You sold 682,916.26 PLN at 3.6731. wrote: I have attached the letter of authorization that we will need to settle the PLN trades. We will send a total of 3,982,916.26 on 08/07 to settle the spot as well as the swap. We have made the authorization standing so that we will not need another letter to settle PLN trades in the

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