EPSTEIN
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DB-SDNY-0054466
CONFIDENTIAL
SDNY_GM_00200650
EFTA01363972
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METADATA_SOURCE: IMAGES0032
METADATA_FILENAME: EFTA01363973.pdf
----------------------------------------
From:
Yoonsun Chung
Sent:
2/9/2018 12:25:18 PM
To:
Subject:
Case # 01898372: has been assigned to you.
"
NEW CASE ASSIGNMENT NOTIFICATION ***
The following case has been assigned to you.
Customer Name: The 2017 caterpillar Trust
Contact Name: The 2017 Caterpillar Trust
Case #: 01898372
Type:
case subject: KYC Annual call Note
Description:
click on the link to access the case: https://dbforcepb.my.salesforce.com/S000e00001IIYD#
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0054467
CONFIDENTIAL
SDNY_GM_00200651
EFTA01363973
--- SOURCE: IMAGES__0032__EFTA01363974.txt ---
METADATA_SOURCE: IMAGES0032
METADATA_FILENAME: EFTA01363974.pdf
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MicrosoftuC:
(2018-02-14714:47:46-0500): anytime
Participant microsoftUC
left on 2018-02-14714:57:45-0500
End of interaction
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e)
DB-SDNIY-0054470
CONFIDENTIAL
SDNY GM_00200(354
EFTA01363974
--- SOURCE: IMAGES__0032__EFTA01363975.txt ---
METADATA_SOURCE: IMAGES0032
METADATA_FILENAME: EFTA01363975.pdf
----------------------------------------
From:
Bella Klein
Sent:
6/20/2017 1:13:04 PM
To:
Cynthia Rodriguez
CC:
Richard Kahn
Subject:
JEE wires
Attachments: doc01988820170620121229.pdf; Untitled attachment 11637.txt
Cynthia,
Pleas recall the attached wire,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0054471
CONFIDENTIAL
SDNY_GM_00200655
EFTA01363975
--- SOURCE: IMAGES__0032__EFTA01363976.txt ---
METADATA_SOURCE: IMAGES0032
METADATA_FILENAME: EFTA01363976.pdf
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From:
Tazia Smith
Sent:
10/29/2014 8:39:56 AM
To:
jeffrey E. Ijeeyacation@gmail.com]
CC:
Daniel Sabba
Subject:
IC)
Classification: Confidential
Good Morning Jeffrey - Re-enter order?
Use limit and/or participate % volume?
Thanks,
Tazia
Paul Morris
; Stewart Oldfield
; Richard Kahn
I; Vahe Stepanian
From.
Tazia Smith'db/dbcom
To.
"jeffrey
leevacationasmailtern>.
Cc:
Daniel Sabba/db/dbcom@DBAMERICAS, Paul Morris. Richard Kahn
Stewart Oldfiekl/dbidbcomCDBAMERICAS, Vahe
Stepaniantelb/dbcomaDBAMERICAS
Date:
10/28/2014 04:14 PM
Subject: Trade Report 10/28/14 IC)
Classification: Confidential
Jeffrey -
Today you executed the following:
B 49,033 Citi 5.8% pfd at $24.0205
This leaves 150,967 shares to buy. Re-enter tomorrow?
Your other Citi pfd is held in Haze. Would you like this booked there as well?
Thank You,
Tazia
lib
Tazia Smith
Director I Key Client Partners - US
DB Securities Inc
At
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0054472
CONFIDENTIAL
SDNY_GM_00200656
EFTA01363976
--- SOURCE: IMAGES__0032__EFTA01363977.txt ---
METADATA_SOURCE: IMAGES0032
METADATA_FILENAME: EFTA01363977.pdf
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Dec
Mar
PASS-101/..-Itt7 &idYin.
From.
Tazia SmithrdIsklbcom
To:
'Jeffrey E. <jeevacation@gmail corn>.
Co:
Daniel Sabbaklb/dbcom@DBAMERICAS. Paul Morns. Richard Kahn
Stepanianklbldbcorn©DBAMERICAS
Date:
10/2602014 02:24 PM
Subject: Re: IC)
Classification: Confidential
>. Stewart Cadneldidbidbcom@DBAMERICAS, Vahe
Jeffrey - Thus far done on 36,300 Citi 5.8% pfd at $23.9964. Participating 25% of the volume now. Please let us know if
you would like us to be more aggressive. Not enough volume to get done on 200k in one day.
Tazia
C 5.8 12/31/49 5
24.075 +.168 N24.070 /24.0901
x1
EXCF
At 14:16
Vc I 78 687 C. 23.911D H 24.099D L 23.880 D Val 1.888M
95) Save As
96) Actions -
97) Edit • 90 Table
e Chat
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10i.28/7413
28/14014 tast Once
tits lY
SE‹..."‘,-/Stey
M rvem
u
4- Track
i
• Last Price
24.075
T High on 06/30/14 24.400
+ Average
22.792
/ Low an 12/11/13 20.590
Annotate
News
Zoem
Af v.
i-24.500
AZIEM
0-23.500
0-23.000
0.22.5®
0.22.000
021.500
0.21.000
I-20.500
y• Volume
78687.000
k i
EV
L• SMAVG (15) 60460.867
Waiwlfriggitififinifiiiatutaisiarblitidint
0.0.4M
-0.2M
78687.030
2013
Jun
2014
Sep
VWAP from time of Order Entry: $24.0117
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0054473
SDNY_GM_00200657
EFTA01363977
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METADATA_SOURCE: IMAGES0032
METADATA_FILENAME: EFTA01363978.pdf
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E 044-
:23
le 23 1
a ce anon (Price)
Interval
PDf Line
Bid Volume
É Sid Volume
Ask Volume
SWAP
C 5.8 12/31/49 ,1
24.O75 • . 168
At 14:16
Vol 7%2.691 - 23.911
..
Time Ranges
Price Filter
N24.O7O 124. O9O T
y1
EXCI-
24.O99 •
23.88O •
1.888M
•
99) Actions •
Calcuta
Vo: FI;ter
VWA VWAPMume Value Traded Trades
24.0117
24.0117
67O65
19E
Te Trades AQR)
Price TadAt (TSM)
E chant-.
"olume
Tazia Smith
Director Key Client Partners • US