EFTA01383703.pdf

From: Andrew King Sent: 6/15/2016 3:59:06 PM To: Andrew King Zbynek Kozelsky CC: Joseph Dursi ; Gina Fay Stewart Oldfield [ Subject: RE: Approval Needed - List of Preferreds Attachments DB- List of Preferred Equities - June 2016.xlsx 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 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 Questions from MRG: 1. How was the list created? What filters were used? CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0083487 CONFIDENTIAL SDNY_GM_00229671 EFTA01383703