Valuations
9/30/12
EFTA01118832
JEE and Related Entities
invesunent Summary
9/30112
Cash& Eguman1s
Financier Trust Company- (see note below) 4.116,481
J.Epstein 2,409.844
HAZE Trust 628 202
FT Real Estate 84480
Eastern Interests 107.339
J.Epstein VI Foundation 5.484.911
COUCI 255
Total Cash 8 Equivalents 12,831.582
Len
Cash in °Dwane Accounts (1.878,413)
Cash In Foundations (5.592,505)
17.270.918)
TorsiAvertable Cash 8 Equivalents
JP Morgan Trading Account (cash. securities. Den/Rives). FTC- See Note A 68.447.789
JP Morgan Trading Account (cash. securities. DriltiveS)- HAZE 22.506.784
Marketable Secunties •(hltv) 8265.419
Investment Island Yacht Harbor (per JEE) 1,000.000
Settlements -062 76.000.000
Partnership Investments 108,600.428
(see attached schedule)
Total • 290
ss401 064
Value Above 290.401.064
Ackustments
Operating Cash 1,678,413
Loans Receivable 1,921.971
T018I per attached valuation schedule 294.001448
• investment partnerships are settect to various restriction on withdrawals. and therefore, 294,001.448
the timing of availability of funds wilt be so timiled
NOTE A The JPM trading account was funded with 575 Mitka, During July 2011 we withdrew $ $2,478,520
On 2/14/12 the account was reduced by $501.930 for the purchase of 16.535 Ariad Pharmaceuticals 8 2095 Biogen IDEC
on 5122112 the account was reduced by 11,330.000 for the purchase of 35.000 shares of Faceboot
In August 2012 the account received 5349.402 from the sales proceeds od 17.500 sh of Facebook
On 9/12/12 the account was reduced by S10mm for the transfer to Mort Inc
EFTA01118833
J. EPSTEIN 8. RELATED ENTITIES
VALUATIONS
CASMLIAINUTIES.INVES17.1ENTS
9730/12
FINANCIAL TRUST COMPANY
08/31/12 09/30112 01/01/12 YTD September
ACCOUNTS VALUATION PERFORMANCE
P MORGAN- Cash 432.125 370.159
JP Morgan Trading Account 77.834.347 68 447.789
J P Morgan- Securrees 4452.578 4.949.839
Other Bank Accounts 219.312 179,544
JPM (Bear Steams) 5635.116 6.044451
INVESTMENTS
AP TECHNOLOGY(LEON BLACK) 150.000 250,010
AP Ste. INVESTOR 1.800.003 3000.000
TUDOR FUTURES 16.442.468 16.415.033 15.917.480 313% -0.17%
HIGIOIRIDGE CAPITAL 13140 070 Hi 198.11e 17 097,994 643% -0.23%
ML HERTZ 3.641.771 3,622.302
RENAISSANCE INST EOUITY FUND 1.344.442 1.320.305 1231.362 766% -1.35%
July August
BEAR STEARNS Asset Backed Secures. (7/31/09 rack 331,882 331,882
Envimormmtat Selmons (stock certificale) 758.934 857.907
SetOements
DO ZWIIN SPECIAL OPPURTUNITIES FUND 76000.000 /6.000.000 see toomole
JMrey Epstein
INVESTMENT Island Ya Harbor 1.000.000 1.030003
FT Real Estate (cash baler.* 84400 84.480
FT Real Estate - Imestmeel In She at cost 920300 920.503
FT Rae Estee • Escrow GelUmble Warms 500.000 580,003
CHECIONG/SAVINGS ACCOUNTS 1 653 832 1.678.413
LOANS DUE FROM INDIVIOUALS 1,981.971 1.821.971
CORE CLUB NOTE 100 000 100.000
BROKERAGE ACCOUNTS
JPM (Bear Stearns) 666.536 666,593
J P MORGAN 56.792 56.794
had Inc Mipticom (at cost basis) 10.003.000
(1260233 shares el carman. ►+e 695.301 WINOS of Gar S Pfd)
Mere/ Trust 8 044 8.044
HAZE Trust
HIGFISRIDGE CAPITAL 33.597.848 33.520.573 31.348.106 633% .0.23%
KING STREET NfrstenatiN 22.347.544 22.815.715 21.123.753 7.08% 120%
JP Morgan Cash 1328109 62,292
MOG.,M.inanard tKONall 22,265.583 22.503764
TOTAL 293.394 264 294.001448
THESE AMOUNTS 0O NOT INCLUDE HOUSES. AMPLANE.EIXTURES 8 OTHE R *SSE TS
There is apprommalley $200.000 in Freedom Air not included atom
on 011/12. Freedom Mr lunette JEE $1mom
EFTA01118834
Reconciliation of large items
Value 8/31/12 293,394,264
Partnerships (16,097)
see below
JPM Trading account- FTC 813,442
JPM Trading account- I-IAZE 241.181
Securities 790,365
Dividendshnterest 608
AP Technology Partners Distribution 27,329
cash spent:
JEE (1,135.419)
FTC (129,097)
cash received BSABS 14,872
miscellaneous
total 294.001,448
Value 8/31/12 294,001,448
Partnerships
FTC TUDOR FUTURES (27,435)
FTC HIGHBRIDGE CAPITAL (41,952)
FTC ML HERTZ (119,469)
FTC RENAISSANCE INST EQUITY FUND (18,137)
Haze HIGHBRIDGE CAPITAL (77,275)
Haze KING STREET 268,171
(16,097)
DBZ•
This is based on the following assumptions:
1) the fund will recognize a withdrawal amount payable to Jeepers totaling $70 million 70O00,000
2) Jeepers will receive an interest of G Dubins ptshp interest valued at approx $3.8 million with a 5,000,000
backstop payment from G. Dubin equal to the excess of $5 million over the aggregate value of all
distributions made with respect to this investment
3) JEE will pay $1 million for Zwirns interest in Corbin. JEE will rercieve all distributions upto $2 million 1000,000
and the remaining distributions will be divided 50/50 between JEE and Zwim
76 000 000
The June 30,2011 valuations(prior to the settlement) valued DBZ at 18,688,906 (May valuation) + 44,850,660
receivable . Total was 63,539,566. Thus the value as a result of the $76 million settlement increased by 12,460,434
from the valuation reported on June 30,2011
EFTA01118835
JEE and Rolled elites
Casn Summary
9,30/12
FTC
JPM 370 159
JP/41(8ear Steams) 3,566 778
Bank accounts 179544
4116.48,
JEE
Bank accounts 1.678.413 1.678.413
JPM (8ear Steams) 666.593
JPM 56.794
Butlerffy Trust (BON Slums) 1.044
2.409.844
HAZE Tnasi
JPM. 1.21.292 620.292
FT Reni Estate 84.460 04.460
Epstein interests 107.339
J Epstein VI FO1481441 5.340.913
J Epstein Vi Fardatton(acoved int) 143,998
C01.1O 255
5.592.505
Total Caen 12 831 592 12131 512
MI6 does not maid. caste in JP Morgan traCeng account
EFTA01118836
JEE and Related En ties
Avatable Eqully for kwastrnents
9/30/12
Stecurtehas Long e Falr Market Value
9/30112 4/31/12 galn(loss)
13,196.711 Enviincenental SOlutiOns Roca certificate 857.907 756.934 96.973
70.500 Altana Retail at JPM ((wned), Bear Steams) 1.512.225 1.395500 116.325
151,494 Envimomartal Solutions at JPM ((ormedy Bear Steams) 9.847 8.711 1.136
20.000 80ml:either M JPM ((onnedy Bear Steams) 75.040 71525 4515
21.753 JP Morgan at JPM ((oonedy Bear Steams) 880.561 807.906 72.655
263.157 Apollo Global Management at JPM 3557,882 3.489.482 966.420
17500 Facatook (putchned 512/12) at JPM sold 17.500 August 378.050 316.050 63.000
16.536 Ailed Phannaceutcals at JPM 400.312 339,980 60.352
2,095 Blogen IDEC at JPM 312,595 307,106 5,489
624549 7.495.054 790,365
JPM Trading (see attached) unrealzed 7.180514 Net P812010 (1,519.390)
wait:W.2010 (6.959,209) Not Pal 2011 (741.082)
reakted-2011 1.541549 Net Pal 2012 9.668.288
reamed.2017 5 645 981
7,406.836 7406,636
Investments ale 9/30/12 at Fair Markel Value
FTC TUDOR FUTURES 16.415.033
FTC HIGHI3RIDGE CAPITAL 111.198.118
FTC MI HERTZ 3.522.302
FTC RENAISSANCE INST EQUITY FUNO(Augis) 1328305
FTC ABS That Oast variation 7/31/09 FTC recenes own* dlitribuliella) 331.882
HAZE HIGI4BRIDGE CAPITAL 33.520573
HAZE KING STREET 22.615.715
FT Really Advance SW LLC (cost Owls) 700.0130
FT Really Lofts 21 LLC (cost basis) 225500
FT Rwatty Escrow 'Columbia Hdangs 600.000
Mon Inc Alipescom (cost ban) (1.180.333 sh confines,. 695301 sh Sear 5 p(d) 10.000.000
107 360 428
FTC AP TECHNOLOGY(wHIe down) 260.030
FTC AP SHL INVESTORS (rile doom) 1.000.000
1.260.000
Total Partnership Inveslments Itft 803 428
EFTA01118837
ENHANCED EDUCATION
9(30/12
PARTNERSHIPS 8 RECEIVABLES
TOTAL CASH SECURITIES
5.209294 143.998
5353 292
BEAR STEARNS 131.619 Her witeree parneed
131.619
BANK
GOLDMAN SACHS
143 998
5-484 911 5.340 913
TOTAL
3.465.880 Ellen Group 11/1909 7.5% odetaull
Dace (a0xed pay0awns)
Soot
LANA Shorn 8899 Fear Those Ilettmern
reduce bce by perdbATIL)
COU0 FOUNDATION
9/30112
PARTNERSHIPS 8 RECEIVABLES
TOTAL CASH SECURITIES
BEAR STEARNS 255 255
BANK
COLMAN SACHS 255 25s
TOTAL
EPSTEIN INTERESTS
9/30112
PARTNERSHIPS lt RECEIVABLES
TOTAL CASH SECURITIES
BEM STEARNS 107,339 197.339
BANK
107.339 107.339
EFTA01118838
Environmental Solutions Shares
Financial Trust Company
Basis
Date Shares Cost per share
May-05 100,000 at JP Morgan 72,020.00 0.72 (average)
4/21/05 2,352,941 Stock certificate 2,000,000.00 0.85
3/19/10 2,002,959 Stock certificate 1,001,479.45 (Includes 1,479.45 of interest on debentures) 0.50
11/30/10 175,883 Stock certificate premium for conversion from 9% debentures 0
6/30/11 6,333,333 Stock certificate add, shares based on 3/19/10 purchase for 0
consummation of bridge loan financing
6/30/11 2,333,595 Stock certificate 280,031.40 subscription its 0 .12 on 4,531,783 shares 0.12
offer at .51494 sh per share
6/30/11 51,494 at JP Morgan 6,179.28 subscription its O .12 on 100,000 shares 0.12
offer at .51494 sh per share
13 350,705 3.359710.13
151,494 78,199.28 at JP Morgan
13 198,711 3,281,510.85 Stock certificate
13 350.705 3,359,710.13
EFTA01118839
Bear Stearns Asset Sacked Securities
Distributions Received
FTC
Total Putman. 8. Trust Partnership Trust
1/9/08 1,047,291.00 1,047,291.00
3/12/08 431,015.00 431.015.00
4/14/08 147,707.00 147,70700
5/14/08 147,707.00 147,707.00
6/16/08 135,377.00 13537700
7/16/08 110,711.00 110.711.00
8/21/08 110,615.00 110,615.00
9/25/08 110,578.00 110,578.00
10/29/08 92,127.00 92.127.80
11/2S/08 85,953.00 85,9530)
12/22/08 73,670.00 73,670.00
1/23/09 73.67000 73,670.00
2/20/09 73,61400 73,614.00
3/12/09 67,434.03 67,434.00
4/30/09 66,44303 66,443.00
5/29/09 57,986.0) 57,986.00
7/24/09 Note A 84.38700 14,387.00
8/26/09 4791100 47,911.00
9/21/09 35,71100 35.71100
12/2/09 87.89500 87.895.00
1/8/10 25,073.30 25,073.30
2/8/10 31,07384 31,07184
3/8/10 33,60523 33,605.83
4/8/10 22,613.71 22,611.71
5/10/10 26,315.18 26,315.18
6/8/10 25,243.91 25,241.91
7/8/10 19,961.45 1996145
8/10/10 22,01208 22,012.08
9/8/10 24,989.61 24,989.61
10/13/10 20,527.91 20,527.91
11/8/10 23,336.55 23,33655
12/8/10 25134.17 25,234.17
1/10/11 24,623.91 24,623.91
1/33/11 Note 6 25.793.17 25.793.17
2/8/11 26,966.92 26,966.92
3/8/11 26,313.00 26,31300
4/8/11 21,13215 21,11215
519/11 21,557.96 21,557.96
6/9/11 18.678.74 18,673.74
7/8/11 16,69035 16,690.35
8/8/11 15,596.19 15,596.19
9/8/11 16,810 22 16,81022
10/12/11 15,819.76 15,819.76
11/8/11 17,377.32 17377.32
12/8/11 17232.49 17,832.49
1/9/12 18,088.73 1808973
2/8/12 18,611.56 18,61156
3/9/12 19,767.40 19.76740
4/8/12 17,622.23 17,62213
5/3/12 16200.79 16,800.79
6/8/12 17,40150 17,40150
7/9/12 16,165.30 16,165.50
8/9/12 16,602.96 16,60296
9/11/12 14 872.40 14,872.40
Total 3,803,89429 3,113,595.17 695,299.72
3,808,834.89
FTC invested 510,000,000 in Bear Stearns Asset Backed Seaside' on 11/29/06
Distributions are based on maturing assets
NOTE A: (represents 2 moods per Dorothy OdefTkV)
NOTE Et (audit adjustment in partnership)
EFTA01118840
RE. -4S
THIS CERTIFIES THAT Mort. Inc. is the record holder
ff.260,233) shares of the Common Stock of ALIPHCOMof One Million Two Hundred Sixty Thousand Two Hundred Thirty-Three
person or by duly authorized attorney, upon surrender transferable only on the books of the corporation by the holder hereof, in
of this Certificate properly endorsed or assigned.
A statement of the rights, preferences,:privileges
of stock of the Corporation or by any crtificate ofand restrictions granted to or imposed upon the respective glasses or
determination of preferences, and the number of shares constitutingseries of shares
the designations \y be,>o by each class
Corporation. er upintl resu ' and wiktiioharge- 4lie •ncipal office of and the
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IN WITNESS WHERHOP;:the Conto I j \ ./., I irl • ; 4€:.. ...::+41.7
nplias caused this .Certficat040,ne s'i by. heInt3t.luth
September, 2012. ' •,.. rs this day of
No CS CO•••••••• •••••11•11
EFTA01118841
EFTA01118842
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Financial Trust Company
Analysis of InvestrnentS
Investment FMV unreahted
9730/12 Giin(loss)
ML Hell2 12/15/05 1100.000
distnbutsons 8/11/06 (2.160.021)
distributions 12/11/00 (560.0061
disbibu0ons 7/2697 (2.440.908)
dnmbut0ns 4/20/11 (1,297.152)
(1,358.285) 3.522.302 4.880 587
redemption partnership is Mould and therefore no radampeons Sowed
status original investment of 500.000 Sh HTZ. Received chistributal of
112.744 and 92.269 sh of WIZ. Current undcatring investment is 294.966 sh nil
Valuabon is based on Me value of HTZ (9/30/12. 113 73/per share)
85 ABS 1102996 10.000.000
distributions (3,808,895)
6,191,105 331982 (5869.223)
Hohbri090 Capital Corp 1/11/01 25.000.000
dombutons 2/28/06 (25,000,000)
18,198,118 18.198 118
This represents Me LOS of Highbridge Capital Corp and H8 Misb-Strategy Holdings Ltd
DB Zwen 4/29/02 10.000.000
8/3902 10.000.000
12/292 39000900
6/2/03 10.000.000
irsios 20.000,000
80,000,000 76,000,000 (4900.000)
DK. settlement
This is based on the following assumptOnS
the fund will resounde a wevdrawsl amount payable to Jammers totaleg 110 moon 70.000.000
Jeepers wit receive an interest of G Dubins ptshp interest valued al approx 53.8 million with a 5.000.000
backstop payment from G Dube/ equal to the excess of 65 mason over the aggregate value of all
distributions made with respect to this invesbnent
JEE wie pay 11 make for Zwims interest in Corbin JEE will redeye all distributions uplo $2 rneion 1.000.000
and the remaining disinbueons will be divided 50/50 between JEE and Zewn
76 000 000
AP SHL from AP Technology 1/1102 910.562
7/7/07 (122,570)
7/14/08 (107.048)
4/24/10 (154,507)
626.437 250.000 (276,437)
(Per Me
AP Technology Mar- Nov 2000 1,222.0134
1/9/02 1.000.000
To AP Sit 1/9/02 (910.562)
12/23439 (55.417)
8/28/12 (27.329)
1.228.776 1,000,000 (228,776)
(Per !GE)
Cearoup Renaissance 8/21/06 1,010,000 1,326,305 318,305
August
Tudor 1/3001 5,000 000 19415933 11,411033
EFTA01118843
Haze Trust
Analysis of Investments
Investment FMV unrealized
9130/12 Gain(loss)
Highbridge Capital 4/20199 10,041,666 33,520,573 23,478.907
This represents the total of HighbrIdge Capital Corp. and HB MtatiSlialegy Holdings LW.
IGng Street 1111199 10,000.000
7/28110 50% redemption (20,090,787)
(10,090,787) 22,615,715 32,706.502
EFTA01118844
1119 2E
Y 5f
Global Investment Opportunities Group
GIO
It. ••••••• 1.6•16. at.
OTC Derivatives Position Summary
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ann0 ow MOM 4111. liav,4 12..
WXM ," mg 170440 011011, I ., I . vfuM1 11 •
11.414••••
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*Moto •now• N. •041014•44% 1).144144 LIMAN 4.1 140 • in% W700 1», In le IO. ye IOW I 44101
09.0 ...I lets.. 10.6.1 I.4......
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L•7•01 Mat 130.3077 Claw Waal 1 -144/.M. 1.4:4000 04,141 110% %4U° 1111001. 1414 On* I SI/Id
Open moat.. NM ..0.7.1. 7 .101.
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2017 Yµ endows Nom I .1114144
[wren. 0.•41,0•641.00 MN I •.0.1.4.01
710 2412 Cheep teepee ULM $ 3.ns, Ill.
roll 4 warI pourer e.0.1... 1 an 171
2012 Net eerermwlce S 3 00. 89
relt set Po11........ • MUM,
Perlennlince ti ne InCe Lon S 764
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EFTA01118845
Global Investment Opportunities Group
GIO
••••01., Waal% W.
OTC Derivatives Position Summary
0............--.. .—r..... Pe apart d lot The MD bon., of Sa pi embev IL 201Z
Cumming( • Comparaly ran VAD.141) 14® 1µ101O Lynn GION:S0 1010 111.017Y n%
IWIISD 1%7 Writ/t0 07 11 NOM 1 Pa VSte. 20444
.10•04/ 411% VSKAO 0 .1077 MIA ail, VSO.
Shod Yen*
...4.11 " 0 (we ON 1014 lot
Topl• Oil. Mae Ply SS• 166.0 blue Saco Annan. 0 up. a r... ( wrung, Carper. l w. le v. 1 S.* 7. ice Gam... NW/
C,P. , Ont• rm." 44
10 .6. • 11 01 ...I 1011 PO Csuereapv• -SIMMS) MOM% INA Na WO 7000* • Vat 17 WM. 0 NI QS 14000 1 1.020
10 *Nu. it 13,A0.4011 U. Ipp.4 Mebps Vet 41.117.000 1.20:(0(4 ).l0 Lib I0:0\ 1.1.001) PIA6.0 MOO 10000 l StS0
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EFTA01118846
Global Investment Opportunities Group J. u — u• • tL
OTC Derivatives Position Summary
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EFTA01118847
'Global Investment Opportunitiit'GrOup- l/..lorian ~MO« MK
Account Position Summary
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EFTA01118849
Global Investment Opportunities Group
GIO
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Account Position Summary
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EFTA01118850
Global Investment Opportunities Group MEMEIMMIUM
Account Position Summary
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EFTA01118851
Global Investment Opportunities Group .»mg» Socuellers
GIP
OmnIR • Caresety raw
Account Position Summary
Proporol for Iman<vl Trvil as of September 21/. 2012
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EFTA01118852
Global Investment Opportunities Group
GIO
OSOOROI • gentarntl nine
Account Position Summary
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EFTA01118853
Global Investment Opportunities Group
GIO
00.00101•444141•44111y is
Account Position Summary
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EFTA01118854
Global Investment Opportunities Group 444•04I•I
GIO Account Position Summary
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