EFTA02365771.pdf

From: Richard Kahn Sent: Tuesday, May IIIIIIIII To: Jeffrey E. Subject: Fwd: GS preferred bid ask still 72.75 x 73.75 our order is =n to purchase $3,000,000 of this bond at 73 shall =e keep at 73 or increase? please advise thank you Richard Kahn HBRK Associates Inc. 575 Lexington =venue 4th Floor New York, NY 10022 tel fax cell Begin forwarded message: From: =/b>"Pollard, James 5" Subject: =/b>RE: GS =referred Date: =/b>May 10, 2016 at 1:30:17 PM =DT To: =/b>Richard Kahn <richardkahn12@gmail.com>, "Minsky, Julie $72.75 x $73.75 There is a current bid of $500 face @ $73.625. Do =ou want to hit that? From: Richard Kahn Sent: Tuesday, May 10, 2016 1:27 PM To: Minsky, Julie Cc: Pollard, James S EFTA_R1_01361488 EFTA02365771 Subject: Re: GS preferred can you please provide bid ask thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cel On May 10, 2016, at 12:11 PM, =insky, Julie wrote: Just called the desk the price is still =3.75 Julie Minsky Client Associate Team Darrah I Merrill Lynch Wealth Management The Park Avenue Office 200 Park Avenue I 34th Floor I New York I New York 10166 julie.minsky@ml.com <mailto:james.pollard@ml.com> Team Darrah =ebsite <http://fa.ml.com/john_w_darrah> 2 EFTA_R1_01361489 EFTA02365772 From: Richard Kah Sent: Tuesday, May 10, 2016 12:01 PM To: Pollard, James S Cc: Minsky, Julie Subject: Re: GS preferred any update on order and what is current bid ask thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cel On May 10, 2016, at 9:36 AM, =ollard, James S <james.pollard@ml.com <mailto:james.pollard@ml.com> wrote: B/A $72.8 x $73.75 There is a bid for $1MM face at $73.75 They said $73 might be a bit too low. They =uggested possibly $73.5 3 EFTA_R1_01361490 EFTA02365773 From: Richard Kahn [mailto:richardkahn12@gmail.com] Sent: Monday, May 09, 2016 4:08 PM To: Pollard, James S Subject: Re: GS preferred ok thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cel On May 9, 2016, at 4:07 PM, =ollard, James S <james.pollard@ml.com <mailto:james.pollard@ml.com> wrote: We'll confirm in the AM. From: Richard Kahn Sent: Monday, May 09, 2016 4:05 PM To: Pollard, James S Cc: Minsky, Julie Subject: GS preferred lets work order tomorrow am please bid 73 for 3,000,000 =f CUSIP: =81427AA1 thank you 4 EFTA_R1_01361491 EFTA02365774 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cel On May 9, 2016, at 3:30 PM, =ollard, James S <james.pollard@ml.com <mailto:james.pollard@ml.com» wrote: Getting an indication on from the desk From: Richard Kahn Imailto:richardkahnl2@gmail.com] Sent: Monday, May 09, 2016 3:28 PM To: Pollard, James Cc: Minsky, Julie Subject: Re: CUSIP: =81427AA1 on GS bond we just discussed Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell 5 EFTA_R1_01361492 EFTA02365775 On May 6, 2016, at 2:19 PM, =ollard, James S <james.pollard@ml.com <mailto:james.pollard@ml.com» wrote: Thanks for this. Unfortunately the Gabelli preferred completely sold =ut yesterday and there is nothing new being offered today. From: Richard Kahn (mailto:richardkahn12@gmailcomj Sent: Friday, May 06, 2016 2:18 PM To: Minsky, Julie Cc: Pollard, James S Subject: sorry for delay on form is that preferred still available = when is offering? please advise thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cel 6 EFTA_R1_01361493 EFTA02365776 Begin forwarded message: From: hbrkscanner@gmail.com Date: May 6, =016 at 10:04:19 AM EDT To: richardkahn12@gmail.com CS 3051ci 100:17:c8:25:13:53] This message, and any attachments, is for =he intended recipient(s) only, may contain information that is =rivileged, confidential and/or proprietary and subject to important =erms and conditions available at http://www.bankofamerica.com/emaildisclaimer. If you are =ot the intended recipient, please delete this message. This message, and any attachments, is for =he intended recipient(s) only, may contain information that is =rivileged, confidential and/or proprietary and subject to important =erms and conditions available at http://www.bankofamerica.com/emaildisclaimer. If you are =ot the intended recipient, please delete this message. This message, and any attachments, is for =he intended recipient(s) only, may contain information that is =rivileged, confidential and/or proprietary and subject to important =erms and conditions available at http://www.bankofamerica.com/emaildisclaimer. If you are =ot the intended recipient, please delete this message. 7 EFTA_R1_01361494 EFTA02365777 This message, and any attachments, is for =he intended recipient(s) only, may contain information that is =rivileged, confidential and/or proprietary and subject to important =erms and conditions available at http://www.bankofamerica.com/emaildisclaimer. If you are =ot the intended recipient, please delete this message. This message, and any attachments, is for =he intended recipient(s) only, may contain information that is =rivileged, confidential and/or proprietary and subject to important =erms and conditions available at http://www.bankofamerica.com/emaildisclaimer. If you are =ot the intended recipient, please delete this message. This message, and any attachments, is for the intended =ecipient(s) only, may contain information that is privileged, =onfidential and/or proprietary and subject to important terms and =onditions available at http://www.bankofamerica.com/emaildisclaimer. If you =re not the intended recipient, please delete this message. 8 EFTA_R1_01361495 EFTA02365778