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sd-10-EFTA01460844Dept. of JusticeOther

EFTA Document EFTA01460844

Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fa All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confi

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Dept. of Justice
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sd-10-EFTA01460844
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Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fa All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confi

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fa All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. From: Joshua Shoshan Sent: Wednesday, November 12, 2014 2:38 PM To: Haig Ariyan; Tazia Smith; Donald Summer Cc: Caroline Kitidis; Thomas ORorke; Matt Glassman; Daniel Sabba; Michael Iaquinta; Chip Packard Subject: RE: KCP IOI: Hart Acquisitions/Watson IOI 30k shares for Virgin America (VA.US) [I] Classification: For Internal use only Yes, this is different. Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic= Cell E-Fa All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the informal execution report and the official trade confirrnation(s) or account statements. From: Haig Ariyan Sent: Wednesday, November 12, 2014 2:38 PM To: Tazia Smith; Joshua Shoshan; Donald Summer Cc: Caroline Kitidis; Thomas ORorke; Matt Glassman; Daniel Sabba; Michael Iaquinta; Chip Packard Subject: RE: KCP IOI: Hart Acquisitions/Watson IOI 30k shares for Virgin America (VA.US) [I] Classification: For Internal use only Let me rephrase: is this a different client than the one for whom we have previously provided this "off the top" allocation for? Who covers the client? CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0 122422 CONFIDENTIAL SDNY_GM_00268606 EFTA01460844

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Office Cell E-Fax All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the

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From: Sent: To: CC: Subject: Joshua Shoshan 11/18/2014 10:53:31 AM Joshua Shoshan Caroline Kitidis Daniel Sabba ; Chip Packard RE: KCP 101: Also,now we have a 50k 101 from Hart for PGRE; follow up on Hart Acquisitions/Watson 101 30k shares for Virgin America (VA.US) (1) Michael laquinta • Hai Ari an onald Summer omas 0Ror e : Matt Glassman Classification: For internal use only Haig, hi. What did you want to do about PGRE for Hart? Tazia, please confirm that no other special KC

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From: Sent: To: CC: Subject: Haig Ariyan 11/13/2014 3:33:41 PM Joshua Shoshan Caroline Kitidis Packard Re: KCP 101: Also,now we have a 50k 1O1 from Hart for PGRE; follow up on Hart Acquisitions/Watson IOI 30k shares for Virgin America (VA.US) II] • Daniel Sabba ; Tazia Smith ; Donald Summer Thomas ORorke Matt Glassman ; Michael laquinta ; Chip Classification: For Internal Use Only The allocation is too small for another set of clients to carve off the top, unless Epstein is n

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To: Haig Ariyan; Tazia Smith; Donald Summer Cc: Caroline Kitidis; Thomas ORorke; Matt Glassman; Daniel Sabba; Michael Iaquinta; Chip Packard Subject: Re: KCP Also,now we have a 50k IOI from Hart for PGRE; follow up on Hart Acquisitions/Watson IOI 30k shares for Virgin America (VA.US) [I] Classification: For Internal Use Only Kcp, can you confirm Epstein is not coming for VA? From: Haig Ariyan Sent: Thursday, November 13, 2014 03:33 PM To: Joshua Shoshan; Tazia Smith; Donald Summer Cc:

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