EFTA01478684.pdf

Subject: Re: Fw: allocation C From: Chip Packard Date: Tue, 05 Nov • • To: Haig Ariyan Classification: Confidential Thanks, much appreciated. Chip Packard Managing Director Co-Head, Wealth Management Americas ealth Management Securities offered through Deutsche Bank Securities Inc. Original Message From: Haig Ariyan Sent: 11/05/2013 11:03 AM EST To: Caroline Kitidis Cc: Caroline Kitidis; Chip Packard Subject: Re: Fw: allocation [C] Classification: Confidential Lets peel 4k off the top to allocate to these two families. Haig Ariyan Managing Director Co-Head Wealth Management, Americas Deutsche Asset & Wealth Management 345 Park Avenue 10154 direct phone fax From: EFTA01478684  To: Caroline Date: 11/05/2013 11:00 AM Subject: Re: Fw: allocation [C] Classification: Confidential Two KCP clients we are speaking about now: 1. Epstein, Morris-PB, new $180mm KCP cap markets acct. 2. Wolfson, you know this account...large imp. KCP client situation. Estimated size/interest 2-3k shs. Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York. NY 10154-0004 Tel. Fax. Mobile Email Original Message From: Haig Ariyan Sen To: Haig EFTA01478685  Chip Packard Subject: Re: Fw: allocation [C] Case by case menaing client indication, not deal. Sorry to be abrupt, back to back Original Message From: Caroline Kitidis Sent: 11/05/2013 10:47 AM EST To: aroline Subject: Re: Fw: allocation [C] Classification: Confidential Yes in this case its regarding twtr, and its 2 kcp accounts - pls confirm back... Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154-0004 Tel. Fax. Mobile Email Original Message From: Haig Ariyan Sent: 11 05 2013 10:36 AM EST To: Chip Packard Subject: Re: Fw: allocation [C] Did not agree yet. Let us know case by case please for now. Original Message From: Caroline Kitidis Sent: 11/05/2013 10:11 AM EST To: Chip Packard; Haig Ariyan Subject: Fw: Fw: allocation [C] Classification: Confidential H&C, Per our conversation you agree that KCP allocations can come off top before PB/PCS breakdown? Its 3 clients where we have allocations. If so I will EFTA01478686 discuss w Mike I. See below. Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154-0004 Tel. Fax. Mobile Email Original Message From: Joshua Shoshan Sent: 11/05/2013 10:04 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential Caroline, as far as I understand, the KCP accounts are Epstein, Rose and Wolfson (Daniel Wolfson will be in the book) -- so far. I guess Bollag is not KCP, but he should be, based upon size -- but there is no KCP interaction here, as far as I know. In short, the KCP accounts should get an allocation before the PCS/PB split, but Mike Iaquinta tells me adamantly that he has no instructions about a KCP carve-out, and he needs those instructions from you, Haig and Chip. Maybe you might call Iaquinta? He is at Best, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Office Cell E-Fax EFTA01478687  From: Date: 11/05/2013 09:59 AM Subject: Re: Fw: allocation [C] Classification: Confidential These are KCP accounts we r referring to or PB WIC ? We said KCP accounts shd come off top and they agreed. WIC PB comes out of regular allocation? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York. 10154-0004 Tel. Fax. Mobile Email Original Message EFTA01478688  From: Joshua Shoshan Sent: 11/05/2013 09:55 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential I spoke to Chip yesterday, and I think we still have a real problem with these special allocations not coming off the top. If they come out of the PB allocation, they are three times more "expensive". Can you try to get that pre-split allocation to take place? Chip said he was talking to you. I have not spoken to Haig, which I think makes sense . . . Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Office Cell E-Fax sir To: Date: 11/05/2013 09:51 AM Subject: Re: Fw: allocation [C] EFTA01478689 Classification: Confidential So what is feedback here from chip and haig, their call ? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York. 10154-0004 Tel. Fax. Mobil Email Original Message From: Joshua Shoshan Sent: 11/05/2013 09:48 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential Hi. Butenhoff is an active client; not new. He trades a decent amount -- so we have about $55k of revs with him ytd -- which means he is real -- and, separately, RV has business with him, including loans. She is also very old friends. If he gets 500 shares, that might be nice. The other guy is Bollag, a billionaire that RV made this big deal about since yesterday. He has $100mm + in the firm. Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fax EFTA01478690  From: To: Date: 11/05/2013 09:43 AM Subject: Fw: allocation [C] Classification: Confidential Can I get color here on these accounts ? They are new for syndicate and or other real business or we are doing this as a favor for PB w no business opp? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York NY 10154-0004 Tel. Fax. Mobile Email Original Message EFTA01478691  From: Rosemary Vrablic Sent: 11/05/2013 09:39 AM EST To: Chip Packard; Haig Ariyan Cc: Caroline Kitidis; Donald Summer; Joshua Shoshan; Zbynek Kozelsky Subject: allocation [C] Classification: Confidential Chip and Haig In addition to Bollag, the only other name that needs allocation consideration is Kurt Butenhoff. Thanks for the attention in both these names. Kind regards, Rosemary Vrablic (Embedded image moved to file: pic15595.gif) Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 Tel. Fax Mobile Email NMLS# 1046752 (Embedded image moved to file: pic30730.gif) Securities offered through Deutsche Bank Securities Inc. From: To: EFTA01478692  Cc: Date: 11/05/2013 09:33 AM Subject: Bollag brokerage account [C] Classification: Confidential Chip and Haig As requested, we just received the executed brokerage account docs for Michael Bollag. Thanks. Kind regards, Rosemary Vrablic (Embedded image moved to file: pic29093.gif) Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 Tel. Fax Mobile Email NMLS# 1046752 EFTA01478693 (Embedded image moved to file: pic20895.gif) Securities offered through Deutsche Bank Securities Inc. From: To: Cc: Date: 11/04/2013 01:17 PM Subject: Re: [C] Classification: Confidential I don't think Michael would have any qualms about opening a DBAB account if its required. I've had some discussions with him in the past regarding purchasing CLOs via the PIC desk so I don't think it would hurt having an account open on the PCS side. It may be a way to facilitate some more activity from him moving forward... I'll talk to Josh when he returns from a meeting and we'll see what we have to do to get this started. EFTA01478694 Thanks, Sean (Embedded image moved to file: pic08773.gif) Sean Magee, CFPID Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 Tel. Fax Mobile Email (Embedded image moved to file: pic06595.gif) Securities offered through Deutsche Bank Securities Inc. From: To: Cc: Haig Ariyan/db/- dbcom Date: 11/04/2013 11:53 AM Subject: Re: [C] EFTA01478695 From a business perspective I am supportive given the importance of the overall PB relationship. From a regulatory perspective, can we do this if he doesn't have an open brokerage account? Sent from my iPad On Nov 4, 2013, at 11:05 AM, "Rosemary Vrablic" wrote: Classification: Confidential Given the "one bank" approach I keep hearing about, total Bollag investment and deposit assets with AWM (not brokerage) are approx $130 million. Kind regards, Rosemary Vrablic <0.27A.gif> Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York, NY, 10154-0004 Tel. Fax Mobile Email NMLS# 1046752 <0.CD8.gif> Securities offered through Deutsche Bank Securities Inc. Joshua Shoshan---11/04/2013 10:45:40 AM---Classification: Confidential EFTA01478696  RV, hi. This is not an easy conversation, and Michael has no brokerage From Cc: Date 11/04/2013 10:45 AM Subj Re: Fw: [C] ect: Classification: Confidential RV, hi. This is not an easy conversation, and Michael has no brokerage account with us. Please sketch this out for a moment. What are the assets and nature of the business? Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Office EFTA01478697  Cell Rosemary Vrablic---11/04/2013 10:33:26 AM---Classification: Confidential given the significant amount of $ Michael and Ben have with us, please From: Cc: Date: 11/04/2013 10:33 AM Subject: Re: Fw: [C] Classification: Confidential given the significant amount of $ Michael and Ben have with us, please let me know if Chip or Haig need to be brought in. Kind regards, Rosemary Vrablic <0.2444.gif> Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor EFTA01478698  New York, NY, 10154-0004 Tel. Fax Mobile Email NMLS# 1046752 <0.2EA2.gif> Securities offered through Deutsche Bank Securities Inc. Joshua Shoshan---11/04/2013 10:31:39 AM---Classification: Confidential Sean, please call me at any time. Best regards, --Josh Joshua Shoshan From: To: Cc: Date: 11/04/2013 10:31 AM Subject: Re: Fw: [C] Classification: Confidential Sean, please call me at any time. Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor EFTA01478699  New York, NY 10154 Office Cell E-Fax Sean Magee---11/04/2013 10:26:39 AM---Classification: Confidential Josh - I'm sure you're many requests like this. Let me know if you have From: Date: 11/04/2013 10:26 AM Subject: Fw: [C] Classification: Confidential Josh - I'm sure you're getting many requests like this. Let me know if you have a moment to discuss today Thanks, Sean <0.3F22.gif> Sean Magee, CFPO Vice President I Fixed Income Deutsche Bank Asset & Wealth Management EFTA01478700  345 Park Avenue, 26th Floor New York NY 10154 Tel. Fax Mobile Email <0.4954.gif> Securities offered throw h Deutsche Bank Securities Inc. Forwarded by 11/04/2013 10:20 AM From: To: Cc: Date: 11/04/2013 10:18 AM Subject: Re: [C] Sean, anything you guys can do to get me an allocation on this weeks twitter IPO? I hear you are co-runners on the book Sent from my iPhone On Nov 4, 2013, at 1:51 PM, Mili wrote: Classification: on en la No problem. I'll have it emailed to you today. Thanks, Sean EFTA01478701  <mime-attachment.gif> Sean Magee, CFP® Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 Tel. Fax Mobile Email <mime-attachment.gif> Securities offered through Deutsche Bank Securities Inc. From: To: Date: 11/03/2013 03:42 AM Subject: Re: Can you prepare the excel spreadsheet that you send me every once in a while. The one which shows cost, tax cost, PL. yield to call, yield to maturity,premium to scale.... hopefully accretion on the bonds beyond Feb 2013. Please also send the current AAA scale. I get home Monday so I would like to review Tuesday or Wednesday. EFTA01478702  Sent from my iPad This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01478703