EFTA01382060.pdf

this year, including for family office executive who isn't part of the family. Have received $130mm in new deposits this year into DBNY, with current balance at $82mm. 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. This is a huge win from where we started. 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 DOJ 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. So far, they have referred clients worth more than $1.5bn. 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 long-term committed unsecured financing. KCP — KCP remains a major initiative for the bank and I've been one of the most involved and supportive bankers. On the private markets side, I've worked on their two largest opportunities over the last 18 months, AMP and MCM. I've also worked to help build/rebuild their capital markets business. With Southern Financial now trading actively, I'm working closely with Martin and the team to develop new trading relationships with clients we couldn't previously cover efficiently. KCP will remain a core focus of mine, but they need to build a stronger pipeline. Losing a mandate to sell Virage was a setback there. Internal networks — I've worked to further expand my internal network this year. I'm involved in DeutscheTech, which is a global group of private bankers who cover clients in the tech industry. I've also become more involved with our 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. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0081291 CONFIDENTIAL SDNY_GM_00227475 EFTA01382060