EFTA01374464.pdf

year into DBNY, with current balance over $80mm. Have developed strong relationship with new CIO and also directly with family members. In active dialog around new investments. Revenues will be up 100% yoy vs. 2016. Southern Financial — one of the most complicated client situations I've seen. Have been extremely vocal about our lack of trading capabilities in KCP. Withdrew large portion of assets during 2016 (not D0J related). Client was offboarded by Global markets at the end of 2016 due to lack of profitability. Further internal issues nearly caused us to offboard the client completely. Client was quite close to Paul and viewed his departure as a negative. We've managed to salvage and massively improve this relationship in 2017. To start, we won $50mm of deposits into DBNY based on strong relationship coverage of client and his family office. We've also turned around the GM/trading issues via KCP. Client has been re-onboarded and ISDA reestablished, and is now the first and largest trading counterparty of the KCP capital markets group. Current balances are - $150mm across brokerage and deposits. Revenues should be up 100% yoy vs. 2016 and investment revenue run rate (via KCP) is substantial. Ali Rashid - $50mm + net worth client. Former private equity partner. Won relationship away from GS and JPM. Accounts established July 2017. So far has traded: DPM, RCM and structured notes via ISG. DB has become his top bank and relationship is growing steadily Financial Architects — Insurance advisory firm based in Boston and California. Strong relationship with former CS broker who runs business development there has led to several referrals for insurance premium finance and a single stock hedging transaction. At this point we are working on a few live situations, but have been held back by some state insurance licensing constraints. This should be a major source of new client relationships for us if we can efficiently execute on the premium finance opportunity. Working closely with Suzy Cozzi in lending and Sam Petrucci to make this work. MCM — Worked closely with Terri and KCP to win $250mm fundraising mandate. Successfully convinced KCP to take on the 3PI mandate. Deal still in progress, and complicated. Raj Pundarika — new client currently opening accounts in the US for the first time. Has existing/prior relationships with Barclays and DB Singapore Elysium — Leon Black family office. Have been working tirelessly to develop relationship with them. Hard to get traction given Leon's focus on private markets and strong embedded relationships with US Trust and JPM. Finally earned chance to compete for a $300mm loan and lost due to DB's inability to provide unsecured financing. KCP — AMP, MCM, JE, Virage Internal networks — DeutscheTech, NextGen, branding focus group Banker partnership — Terri Lending — Career trajectory — strong desire to remain a banker As you know, my mutual expectation with Chip was to have achieved an MD promotion by now. I appreciate that the last 3yrs here have not been what either of us expected, but I feel I have put in the effort and have the support to make this happen next year. I've established key relationships, worked through very challenging times within the bank and managed to grow revenues and win new client business. After a 20yr career, I would like to formalize a plan with you to accomplish this soon. My revenues are trending strongly, my strengths match the aspirations of our business in terms of product and client mix and I think I have the support of a broad range of senior people (outlined below) to make this happen. Ultimately, though, yours is the support I most need to pursue this next year. MDs who should be supportive of promotion CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0069165 CONFIDENTIAL SDNY_GM_00215349 EFTA01374464