Deutsche Bank Wealth Management DB Securities Inc KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3). and who are capable of evaluating the strategies, characteristics and investment risks of. and exercising independent judgment in evaluating. the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or Idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products. investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is conMential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction andror redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of 0881 or any of its affiliates. From: Richard Kahn (mailto Sent: Thursday, April 19, 2018 9:30 AM To: Martin Zeman < Cc: Paul Barrett < >; Liam Osullivan < >; Xavier Avila >; Davide-A Sferrazza < ; Stewart Oldfield >; Jeanne Brennan < >; Darren Indyke < Subject: Re: Please fill out -> CRS + UK FATCA form (C] Please correct DOB as follows: Darren Indyke= Richard Kahn thank you Richard Kahn HBRK Associates Inc. On Apr 17, 2018, at 10:31 AM, Martin Zeman wrote: Classification: Confidential Richard, I am following up on my email from last week. We are extending Southern Financial LLC to be able to trade credit derivatives as well as equity derivatives. Would you please kindly fill out the attached form and return? 2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059930 CONFIDENTIAL SDNY_GM_00206114 EFTA01368251