EFTA01376883.pdf

NextGen network and will continue to contribute to those efforts. Finally, I've been involved with a global DB branding focus group. Corporate culture is very important to me and I would like to continue to get more involved. Banker partnerships — In 2017 I began to work more closely with Terri Sohrab which led to success with MCM and greater collaboration on several other accounts. My background and skill set are complementary to Terris and we work well together. I've also worked a bit with Heather Kirby and have been asked to partner on several accounts by Bruce McDermott. Other bankers continue to seek me out to help on certain situations and I'm known as a team player. I think this is especially important in the current environment at the bank. Lending — This is the area where I have been consistently frustrated and 2017 has been no different. Once again I've brought several opportunities to credit and haven't been able to convert any of them. I'm hoping that insurance premium finance will bring more success and will continue to aggressively pursue new lending opportunities. Career trajectory — As you and I have discussed, I remain committed to being a banker at DB and believe that I'm well positioned to succeed in our new, investment focused business. I've done a solid job earning, retaining and growing business in a very challenging environment. I work well across all of our product areas and with other bankers. We've talked about KCP as a potential fit for me in the past, but I would like you to remove your recommendation for a potential role change from my review. More generally, I would like the tone of my review to focus more on the combination of success to date and potential to be a very successful banker here. I would like to be recognized as someone the firm should be investing in and helping to get to the next level as part of the future of our franchise. Finally, 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. Thanks again, Stew MDs who should be supportive of promotion Management: Steve Mattus Patrick Harris Kim Hart Selman Mandi Caroline Kitidis Wealth Planning: Sam Petrucci ISG: Coley lellinghaus KCP: Todd Stevens Dan Kaiser Xavier Avila Tazia Smith CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0073332 CONFIDENTIAL SDNY_GM_00219516 EFTA01376883