Epstein Files Search

EFTA01440262Set 10

2018-03-3061p17,665w

update to Item 8 relating to the scope of diligence conducted on certain Funds, and an update to Item 14 relating to iCapital's business relationship with Fidelity Brokerage Services ... Capital Network, Inc., the parent company of iCapital, acquired the U.S. private equity access fund platform from the Asset Management division of Deutsche Bank. iCapital took over as the investment ... manager of these private equity access funds. Item 3: Table of Contents Item 2: Material Changes 2 Item 3: Table of Contents 2 Item 4: Advisory Business 2 Item

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01440262.pdf

EFTA00598276Set 9

40p16,756w

UNIFORM PRUDENT MANAGEMENT OF INSTITUTIONAL FUNDS ACT drafted by the NATIONAL CONFERENCE OF COMMISSIONERS ON UNIFORM STATE LAWS and by it APPROVED AND RECOMMENDED FOR ENACTMENT IN ALL THE STATES ... otherwise afford or duplicate. EFTA00598277 DRAFTING COMMITTEE ON UNIFORM PRUDENT MANAGEMENT OF INSTITUTIONAL FUNDS ACT The Committee appointed by and representing the National Conference of Commissioners on Uniform State Laws ... Street, Suite 1300 Chicago, Illinois 60611 312/915-0195 www.nccusl.org EFTA00598278 UNIFORM PRUDENT MANAGEMENT OF INSTITUTIONAL FUNDS ACT TABLE OF CONTENTS Prefatory Note 1 SECTION 1. SHORT TITLE 6 SECTION 2. DEFINITIONS

https://www.justice.gov/epstein/files/DataSet%209/EFTA00598276.pdf

EFTA00803515Set 9

2015-03-0942p18,911w

TABLE OF CONTENTS Page ARTICLE I GENERAL PROVISIONS Section 1.01 Formation 1 Section 1.02 Fund Name and Address 1 Section 1.03 Registered Agent and Registered Office 1 Section 1.04 Term ... Purpose 10 Section 4.02 Authorized Activities 11 Section 4.03 Borrowings 12 ARTICLE V FUND INTERESTS AND CAPITAL 13 Section 5.01 General Partner 13 Section 5.02 Limited Partners and Classes ... Liability for Acts and Omissions; Indemnification 21 Section 7.05 Return of Certain Distributions to Fund Indemnification 23 Section 7.06 Fund Costs and Expenses 23 DOC ID - 263540603 EFTA00803516 Section

https://www.justice.gov/epstein/files/DataSet%209/EFTA00803515.pdf

EFTA01110478Set 9

122p66,004w

yield of our AUM or AUA; • the relative investment performance of company sponsored investment funds and other asset management products both in absolute terms and relative to competing offerings ... share; • costs associated with any credit support activities we engage in with regard to funds managed by our subsidiaries; • potential restrictions on the business of, and withdrawal of capital from ... provide investment management and related services to institutional and individual clients, company-sponsored mutual funds and other pooled investment vehicles. We offer these products and services directly and through various

https://www.justice.gov/epstein/files/DataSet%209/EFTA01110478.pdf

EFTA00806102Set 9

2018-04-089p2,950w

qualified in its entirety by theprincipal agreements relating thereto: The Fund Neoteny 4, LP (the "Fund"), a Delaware limited partnership. Investment Objective The primary purpose of the Fund will ... early/seed-stage privately held companies selected by the General Partner. The companies in which the Fund invests are sometimes referred to collectively as the "Portfolio Companies." Size The Fund is seeking ... partners ("Limited Partners"); provided that the General Partner reserves the right to form the Fund with a lesser or greater amount of such commitments. The General Partner and the Limited

https://www.justice.gov/epstein/files/DataSet%209/EFTA00806102.pdf

EFTA01290724Set 10

1999-02-09130p61,899w

SABBA Asset Allocation Prior Year-End LW Period This Period % Allocation USD Cash. Money Funds and Bank Deposits 43,922,855.89 17,556,338.54 17,601,124.92 74.80% P ease ... EFrA_00158696 EFTA01290724 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Ibis Period Year.to•Date Unrealized Shon•Term Gain/Loss ... This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Descriptioe Amend Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290724.pdf

EFTA00198048Set 9

2003-12-0370p10,827w

November 28.2003 Financial Summary 3 INSTITUTIONAL INTERESTS Transaction Detail 4 FINANCIAL TRUST CO TTEE Fund Activity 4 ATTN JEANIE BRENNEN Your Messages 6 6100 RED HOOK QUARTER SUITE ... PERIOD OPENING LAST STATEMENT November 28.2003 Opening Balance $1,389.54 Cash 1.389.54 0.00 Money Fund 29,209,169.32 Net Cash Balance $1,389.54 $0.00 Dividends/Interest 269.31 Miscellaneous ... Amount Credited $32.527.443.05 Income Summary DIM PERIOD YEAR 10 DATE Money Fund -3,118.790.81 Dividends 24.058.31 313,169.08 Funds Withdrawn -511.00 Credit Balance Int. 134.62 256.14 Dividends/Interest Charged -134.69 Miscellaneous

https://www.justice.gov/epstein/files/DataSet%209/EFTA00198048.pdf

EFTA01557796Set 10

2003-08-3115p4,266w

investments referred to in this statement of your Asset Account, including mutual funds, are FDIC insured or bank deposits, obligations of or guaranteed by JPMCB or any of its bank ... Description Cusip/S&P/Moody's Rating Cash JP MORGAN INSTITUTIONAL PRIME MONEY INSTITUTIONAL CLASS SWEEP FUND (829) (SWEEP DEADLINE IS 4:30 PM EST) 7-Day Annualized Yield ... Dividend Purchase 2,088.06 Quantity Description JP MORGAN INSTITUTIONAL PRIME MONEY INSTITUTIONAL CLASS SWEEP FUND (829) (SWEEP DEADLINE IS 4:30 PM EST) JP MORGAN INSTITUTIONAL PRIME MONEY INSTITUTIONAL CLASS

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01557796.pdf

EFTA00198664Set 9

2001-12-0367p10,600w

TTEE Your Portfolio Holdings 4 DTD 4.28-94 Transaction Detail 5 ATTN JEANIE BRENNAN Fund Activity 5 6100 RED HOOK OUARTE STE 6-3 Your Messages 6 ST THOMAS ... gross proceeds or original NI Current market value issue discount is required MONEY MARKET FUND BALANCE 3,442.486 IN Last statements mutat value to be reported ... Securities Sold 80.963.10 Net Cash Balance $221.473.88 $329,872.73 Money Fund 6,725.50 Dividends Interest 27.435.75 Amount Credited $115,124.35 Income Summary TIC PERIOD YEAR TO DATE Money Fund

https://www.justice.gov/epstein/files/DataSet%209/EFTA00198664.pdf

EFTA01393599Set 10

1p744w

purchase of Interests by Investors. Risks Associated with Investing in the Access Fund. The Access Fund is an investment vehicle being formed to facilitate the investment of certain categories ... investors into the Underlying Fund. The Access Fund's sole objective is to invest in the Underlying Fund and, other than such investment, the Access Fund is not expected ... have any material operations. Substantially all of the capital contributions to the Access Fund will be contributed by the Access Fund to the Underlying Fund, and the Limited Partners will

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393599.pdf

EFTA01557220Set 10

2000-11-3016p2,527w

Gain/Loss USD Estimated Current Annual Yield/ Income USD YTM Cash PRIME MONEY MARKET SWEEP FUND (SWEEP DEADLINE IS 4:30 PM EST) Short Term by Maturity J P MORGAN INSTITUTIONAL ... PRIME MONEY MARKET FUND (FUND 390) 7-Day Annualized Yield: 6.50% 616918-20-7 Total Cash and Short Term ... Sale Nov 17 Nov 17 Sale J P MORGAN INSTITUTIONAL PRIME MONEY MARKET FUND (FUND 390) J P MORGAN INSTITUTIONAL PRIME MONEY MARKET FUND (FUND 390) J P MORGAN INSTITUTIONAL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01557220.pdf

EFTA01544945Set 10

2007-05-0141p3,368w

Balance Check Paid # 22980 Check Paid # 23266 Check Paid # 23267 Check Paid # 23268 Electronic Funds Transfer EFTA01544946 ADP PAYROLL FEES Re: ADP - FEES Ref: 13TPW 1858282 Check Paid # 23270 Check ... Check Paid # 22754 Check Paid # 22753 Check Paid # 22755 Check Paid # 23264 Internal Funds Transfer FUNDS TRANSFERRED FROM DDA AC# IIII IIIII TO DDA AC# Letter f rom client Check ... Paid # 23299 Electronic Funds Transfer ADP TX/FINCL SVC Re: ADP - TAX Ref: 66TPW 051019A01 Electronic Funds Transfer ADP TX/FINCL SVC Re: ADP - TAX Ref: 777011038201TPW Check Paid # 22981 Electronic Funds

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01544945.pdf

EFTA01386501Set 10

1p654w

Advisors, LLC Form ADV Part 2A received by it. In addition, a Private Access Fund may be required to pay to an Underlying Fund amounts that are required ... withheld by the Underlying Fund for tax purposes. A Private Access Fund may require Investors to return to the Private Access Fund all or part of any distribution ... Private Access Fund to the Investors in order to satisfy all or any portion of such Private Access Fund's indemnification and other obligations in respect of itself

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386501.pdf

EFTA01391085Set 10

1p655w

GLDUS139 Third Lake Capital incurred by the Underlying Fund's investments may have a significant adverse impact on the Underlying Fund and the Access Fund. Diverse Partnershiµ Investors ... Access Fund may include U.S. taxable and tax-exempt investors, and may include persons or entities organized in various jurisdictions or who otherwise have different characteristics or interests ... investor than for another type of investor. In its management of the Access Fund, the Investment Manager will consider the investment objectives of the Access Fund as a whole

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391085.pdf

EFTA00223265Set 9

2009-12-09106p25,783w

stop thre. Rabin, latners, and his employees investigated and litigated the , and cases with funds derived from their criminal enterprise and their fraud and misrepresentations to investors. But we have ... investors over time. While some of the cases relied upon to induce investor funding were existing filed cases, it is believed that the confidential, structured pay-out settlements were ... according to assertions of certain investors, allegedly orchestrated a substantial misappropriation of funds from investor trust accounts that made use of the law firm's name (RRA). The investment business

https://www.justice.gov/epstein/files/DataSet%209/EFTA00223265.pdf

EFTA01452290Set 10

1p960w

restricted from initiating transactions in certain sectrities. Due to these restrictions. the Fund may not be able to initiate a transaction that it otherwise might have initiated ... able to sell an investment that it otherwise might have sold Performance risk. The Fund's investment strategy will be highly speculative and, as such, investment in the Fund involves ... substantial degree of risk. The performance of the Fund may not meet the Funds target return and there is no guarantee of any level of return or repayment of capital

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01452290.pdf

EFTA01521054Set 10

2012-01-011p870w

Period 1/1/12 to 1/31/12 Hedge funds generally calculate the price (the "Net Asset Value" or NAV"), 10-15 business days following the last business day of the month. For that ... reason, hedge fund NAVs shown will generally be the NAV of the month preceding this statement period. In general, the NAV is stated net of management and incentive fees ... limited partnership agreement, limited liability company agreement or other operative documentation for each hedge fund for the specific methodology used by the General Partner or Manager for that hedge fund

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01521054.pdf

EFTA01354222Set 10

1p748w

GLOUS143 Henry Nicholas Changes to Summary of Principal Terms of the Access Fund The following information set forth in the Summary of Principal Terms of the Access Fund is hereby ... amended with the changes as marked below: Access Fund Expenses: The Access Fund will pay the costs and expenses of the Access Fund, including: the Management Fee; Organizational Expenses; liquidation ... expenses of the Access Fund; any sales or other taxes, fees or government charges which may be assessed against the Access Fund; expenses and fees related to accounting, audits

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354222.pdf

EFTA01355147Set 10

1p715w

contribute all or any portion of any capital call amount set forth in a funding notice received from the Underlying Fund as and when due (an "Access Fund Default ... failure of one or more Limited Partners (each such Limited Partner. a "Defaulting Access Fund Investor") to make full payment in respect of any capital call issued by the Partnership ... regardless of whether or not such Defaulting Access Fund Investor is also a "Defaulting Partner" for purposes of this Agreement), then the general partner of the Underlying Fund has contractually

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355147.pdf

EFTA01280014Set 10

2014-12-1018p9,325w

Borrower or the Property by a condominium association, homeowners association or similar organization. "Electronic Funds Transfer" means any transfer of funds, other than a transaction originated by check, draft ... prepayment charges and late charges due under the Note. Borrower shall also pay funds for Escrow Items pursuant to Section 3. Payments due under the Note and this Security Instrument ... whose deposits are insured by a federal agency, instrumentality, or entity; or (d) Electronic Funds Transfer. Payments are deemed received by Lender when received at the location designated

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01280014.pdf