EFTA01421502.pdf

Subject: RE: Approval Needed - List of Preferreds From: Zbynek Kozelsky Date: Thu, 16 Jun 2016 10:23:40 -0400 To: Andrew King Cc: Joseph Dursi Stewart Oldfield Good morning, I will have the list for you ready in about 30 minutes. Have a nice day. Ziggy fcid:[email protected] Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 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 EFTA01421502 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. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. From: Andrew King Sent: Wednesday, June 15, 2016 3:59 PM To: Andrew King; Zbynek Kozelsky Cc: Joseph Dursi; Gina Fay; Stewart Oldfield Subject: RE: Approval Needed - List of Preferreds Ziggy, We've update the list of preferreds to get today's data for: -Average Daily Volume -Dividend -Ask -Yield -Yield-to-Call Please let us know if you need anything else to complete the approval. From: Andrew King EFTA01421503 Sent: Wednesday, June 15, 2016 10:35 AM To: Zbynek Kozelsky Cc: Joseph Dursi; Gina Fay; Stewart Oldfield Subject: RE: Approval Needed - List of Preferreds Ziggy, The list was created by STG and provided by Delores Rubin. It is a list of commonly traded preferred for which they maintain updated information. Gina Fay (copied) from our Fixed Income desk generates the Preferreds list on request generally for another client of STG. The client did not supply us with a filter, and no process was used to filter the list provided by STG. ISG added the preferred equity CUSIPS, the average daily volume, the Bloomberg consensus rating for the issuers' common equity, and the DB rating for the issuers' common equity columns. Bloomberg was the source of the non DB information. The list is for informational purposes only, and is not a "recommended" list. Please let me know if you need anything else. From: Zbynek Kozelsky Sent: Wednesday, June 15, 2016 9:41 AM To: Zbynek Kozelsky; Andrew King; Stewart Oldfield Cc: Joseph Dursi Subject: RE: Approval Needed - List of Preferreds EFTA01421504 Questions from MRG: 1. How was the list created? What filters were used? 2. Did the client supply us with some filters and we just ran it on a Bloomberg screener (if so, I would want the original request documented in the MRG case)? 3. Or is this a list of PFD's that the trading desk happens to have in inventory at the moment? thanks fcid:[email protected] Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor 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 EFTA01421505 responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. From: Zbynek Kozelsky Sent: Wednesday, June 15, 2016 9:40 AM To: Andrew King; Stewart Oldfield Cc: Joseph Dursi Subject: RE: Approval Needed - List of Preferreds Andrew, When say it was, it was. fcid:[email protected] Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York. NY 10154 EFTA01421506 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. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. From: Andrew King Sent: Wednesday, June 15, 2016 9:36 AM To: Zbynek Kozelsky; Stewart Oldfield Cc: Joseph Dursi Subject: RE: Approval Needed - List of Preferreds Ziggy, Please confirm that this was sent to MRG for review. From: Zbynek Kozelsky Sent: Tuesday, June 14, 2016 2:50 PM To: Stewart Oldfield; Andrew King Cc: Joseph Dursi Subject: RE: Approval Needed - List of Preferreds EFTA01421507 You are absolutely right. And I have not even looked at it yet. Will send to MRG this PM. Ziggy {cid:[email protected]} Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 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. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. EFTA01421508 From: Stewart Oldfield Sent: Tuesday, June 14, 2016 2:44 PM To: Andrew King; Zbynek Kozelsky Cc: Joseph Dursi Subject: RE: Approval Needed - List of Preferreds Guys, We can't take three days to send an email with basic information to one of our most sophisticated clients. From: Andrew King Sent: Monday, June 13, 2016 5:00 PM To: Andrew King; Zbynek Kozelsky Cc: Stewart Oldfield; Joseph Dursi Subject: RE: Approval Needed - List of Preferreds Hey Ziggy, I thought I'd send a quick note to see if you were able to review the list. Stew had a conversation with the client today, and he'd like us to send something as soon as possible. Thanks! From: Andrew King Sent: Friday, June 10, 2016 3:22 PM To: Zbynek Kozelsky Cc: Stewart Oldfield Subject: Approval Needed - List of Preferreds EFTA01421509 Ziggy, I've attached a list of preferred equities that was asked for by Richard Kahn; the CFO for Southern Financial, which is an investment entity for the personal wealth of Jeffrey Epstein (one of Stew Oldfield's clients). The list isn't a recommendation. Instead, it is a list of commonly traded preferred equities, which Richard and Jeffrey can select from to build their own basket. The original list was provided by Delores Rubin from STG. ISG added the preferred equity CUSIPS, the average daily volume, the Bloomberg consensus rating for the issuers' common equity, and the DB rating for the issuers' common equity columns. Bloomberg was the source of the non DB information. We'd like to send on Monday afternoon at the latest. Please let us know what disclosures would be required for approval. Thanks in advance. Best regards, Andrew King fcid:[email protected] Andrew King, CFA Vice President I Investment Solutions Group Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, New York, NY 10154 EFTA01421510 Email fcid:[email protected] EFTA01421511