, (Private Bankers — Chip Packard, Michael Davis or Kim Han; Investment Management — Benjamin Pace; Alex Brown — Haig Ariyan) to. roduct Mgmt (Barry Morris or Josh Rosen) Custody Product Mgmt (Barry Morris or Josh Rosen) For internal use only CONFIDENTIAL kt f/art SDNY_GM_00038686 CONFIDENTIAL —

Private Bankers — Chip Packard, Michael Davis or Kim Hart; Investment Management — Benjamin Pace; Alex Brown — Haig Ariyan) Custody Product Mgmt (Barry Morris or Josh Rosen) For internal use only / / 14 inAI 4 r EFTA01282359 C)O z m 0 z Private Wealth Management -o Deutsche Bank Durable Gene

tivate Bankers — Chip Packard, Michael Davis or Kim Hart; Investment Management — Benjamin Pace; Alex Brown — Haig Ariyan) ...3-a• • roduct Mgmt (Barry Morris or Josh Rosen) Custody Product Mgmt (Barry Moths or Josh Rosen) For internal use only CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY4

• (Private Bankers — Chip Packard, Michael Davis or Kim Hart; Investment Management — Benjamin Pace; Alex Brown — Haig Ariyan) sto roduct Mgmt (Barry Morris or Josh Rosen) Custody Product Mgmt (Barry Morris or Josh Rosen) For internal use only EFTA00169203 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P.

Security Transactions •ree Delivery - Security - From G+ to Another nstitution [es Approvers for Product Teams: 10MM and above : Custody: Barry Morris, Scott Guest, and Michael Lantz (or their designees) will be the Level 2 approvers for the Custody business. An approval from any one of the above (

quote (send Ritz) Client: Ellison Banker: Daulton [RJR] Transaction 10b5-1 Revenue : 60k to 100k I Probability: 76% 12013 Client: Duker Banker : Barry Morris Transaction 30mm self directed trading acct Revenue: 100k annual flow I Probability: 70% 12013 Client: Jennison Associates [CQ) Opportunity: $70m

n: Confidential Thanks Diego. Re State Street, I know of a handful of large concentrated positions, such as McGraw Hill. Can we re-check that with Barry Morris? CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0 122716 CONFIDENTIAL SDNY_GM_00268900 EFTA01460956

ould make sure that he doesn't have any questions regarding legal liability or indemnities. In that case we would need to have counsel on the line Barry Morris Deutsche Bank Private Wealth Management Office Mobile From: Amanda Kirby Sent: 04/02/2014 02:04 PM EDT To: Barry Morris Cc: Paul Morris Subje

ould make sure that he doesn't have any questions regarding legal liability or indemnities. In that case we would need to have counsel on the line Barry Morris Deutsche Bank Private Wealth Management Office (212) 250-0936 Mobile (646) 644-7812 From: Amanda Kirby Sent: 04/02/2014 02:04 PM EDT To: Barry