EFTA01567387Set 10
2014-02-0126p4,060w
Quantity
Cost
1,039.000
53,061.37
Transaction
Market Value *
42,152.23
ABB LTD SPONS ADR TRANSFER TO UBS FINANCIAL
SERVICES INC. TRADE DATE 02/25/14 ... ALSTOM ADR TRANSFER TO UBS FINANCIAL SERVICES
INC. TRADE DATE 02/25/14 (ID: 021244-20-7)
ASTRAZENECA PLC SPONS ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 ... SYSTEMS PLC SPONS ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 02/25/14
(ID: 05523R-10-7)
BNP PARIBAS ADR TRANSFER TO UBS FINANCIAL
SERVICES INC. TRADE DATE 02/25/14
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01567387.pdf
EFTA01567413Set 10
2014-02-01137p14,690w
Cost
EFTA01567487
1,039.000
53,061.37
Transaction
Market Value *
42,152.23
ABB LTD SPONS ADR TRANSFER TO UBS FINANCIAL
SERVICES INC. TRADE DATE 02/25/14 ... ALSTOM ADR TRANSFER TO UBS FINANCIAL SERVICES
INC. TRADE DATE 02/25/14 (ID: 021244-20-7)
(4,875.000)
17,770.91
Account Page 8 of 15
(12,894.38)
Consolidated Statement Page ... Free Delivery
Free Delivery
Free Delivery
Free Delivery
Free Delivery
Description
ASTRAZENECA PLC SPONS ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 02/25/14
(ID: 046353-10-8)
BAE SYSTEMS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01567413.pdf
EFTA01519395Set 10
2014-02-281p260w
Method Description Cost Market Value •
Securities Transferred Out
2/26 Free Delivery BHP LTD SPONS ADR TRANSFER TO UBS FINANCIAL (435.000) (30,258.60)
SERVICES INC. TRADE DATE 02/25/14 ... 2/26 Free Delivery BOC HONG KONG HOLDINGS LTD SPONS ADR TRANSFER (555.000) (34,271.25)
TO UBS FINANCIAL SERVICES INC. TRADE DATE 36,821.52
02/25/14 (ID: 096813-20-9)
2/26 Free ... Delivery BRITISH AMERICAN TOBACCO PLC SPONS ADR TRANSFER (590.000) (62,304.00)
TO UBS FINANCIAL SERVICES INC. TRADE DATE 82,048.30
02/25/14 (ID: 110448-10-7)
2/26 Free Delivery DEUTSCHE TELEKOM
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519395.pdf
EFTA01519396Set 10
2014-02-011p260w
Method Description Cost Market Value •
Securities Transferred Out
2/26 Free Delivery IMPERIAL TOBACCO PLC ADR TRANSFER TO UBS (515.000) (41,197.43)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 ... 2/26 Free Delivery KIRIN HOLDINGS COMPANY LTD SPONS ADR TRANSFER (3010.000) (40,108.45)
TO UBS FINANCIAL SERVICES INC. TRADE DATE 48,510.86
02/25/14 (ID: 497350404)
2/26 Free Delivery MTN GROUP ... SPONS ADR TRANSFER TO UBS (2.625.000) (48.470.83)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 49,970.21
(ID: 62474M-10-8)
2/26 Free Delivery MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT (2,610.000) (58,793.60)
ADR
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519396.pdf
EFTA01519453Set 10
2014-02-011p282w
Description Cost Markel Value •
Securities Transferred Out
2126 Free Delivery SIEMENS A G SPONS ADR TRANSFER TO UBS FINANCIAL (500.000) (66,245.00)
SERVICES INC. TRADE DATE 02/25/14 ... 2/26 Free Delivery SINGAPORE TELECOMMUNICATIONS LTD ADR TRANSFER (1,765.000) (50,743.75)
TO UBS FINANCIAL SERVICES INC. TRADE DATE 51,172.92
02/2914 (ID: 82929R-30-4)
2126 Free Delivery SMITHS ... GROUP PLC SPONSORED ADR TRANSFER TO UBS (1,575.000) (36,484.88)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 30,754.80
(ID' 83238P-233)
2/26 Free Delivery STATOIL ASA SPONS ADR TRANSFER
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519453.pdf
EFTA01519450Set 10
2014-02-011p261w
Description Cost Market Value •
Securities Transferred Out
2'26 Free Delivery ASTRAZENECA PLC SPONS ADR TRANSFER TO UBS (365.000) (24,743.35)
FINANCIAL SERVICES INC. TRADE DATE ... 2/26 Free Delivery ME SYSTEMS PLC SPONS ADR TRANSFER TO UBS (1,000.000) (27,570.00)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 22,160.00
(ID: 05523R-10-7)
2126 Free Delivery ... PARIBAS ADR TRANSFER TO UBS FINANCIAL (1,195.000) (48,708.20)
SERVICES INC. TRADE DATE 02/25/14 47,674.46
(ID: 05565A-20-2)
2/26 Free Delivery BAYER A G SPONS ADR TRANSFER
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519450.pdf
EFTA01519451Set 10
2014-02-251p260w
Description Cost Markel Value •
Securities Transferred Out
2/26 Free Delivery DEUTSCHE POST AG SPONS ADR TRANSFER TO UBS (1,360.000) (50,138.40)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 ... 25157Y-20-2)
2/26 Free Delivery GDF SUEZ SPONS ADR TRANSFER TO UBS FINANCIAL (1,980.000) (48,302.10)
SERVICES INC. TRADE DATE 02/25114 42,100.10
(ID: 361608-10-5)
2/26 ... Free Delivery GLAXOSMITHKLINE PLC SPONS ADR TRANSFER TO UBS (1,015.000) (56,535.50)
FINANCIAL SERVICES INC. TRADE DATE 02/25,14 48,412.36
(ID: 37733W-185)
2/26 Free Delivery HSBC HOLDINGS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519451.pdf
EFTA01519452Set 10
2014-02-251p283w
02/25/14 73,413.83
(ID: 641069-404)
2/26 Free Delivery NIPPON TEL 8 TEL CORP ADR TRANSFER TO UBS (2,210.000) (62,101.00)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 ... Free Delivery NOVARTIS A G ADR TRANSFER TO UBS FINANCIAL (975.000) (81,705.00)
SERVICES INC. TRADE DATE 02/25/14 68,101.01
(ID: 669B7V-104)
2/26 Free Delivery LUKOIL OAO SPONS ADR ... DATE 02/25114 32,560.21
(ID: 688331-10-9)
2/28 Free Delivery TELEKOMUNIKASI IND SPONS ADR TRANSFER TO UBS (690.000) (26,716.80)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519452.pdf
EFTA01519394Set 10
2014-02-011p246w
HELD. (ID: 92857W-30-8)
Securities Transferred Out
2/26 Free Delivery ABB LTD SPONS ADR TRANSFER TO UBS FINANCIAL (1,475.000) (37,214.25)
SERVICES INC. TRADE DATE 02/25/14 ... 2/26 Free Delivery ALSTOM ADR TRANSFER TO UBS FINANCIAL SERVICES (4,875.000) (12,894.38)
INC. TRADE DATE 02/25/14 (ID: 021244-20-7) 17,770.91
2/28 Free Delivery ASTRAZENECA PLC SPONS ... ADR TRANSFER TO UBS (365.000) (24,743.35)
FINANCIAL SERVICES INC. TRADE DATE 0225/14 18,351.75
(ID: 046353-10-8)
2/26 Free Delivery ME SYSTEMS PLC SPONS ADR TRANSFER
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519394.pdf
EFTA01519397Set 10
2014-02-011p275w
DATE 0225/14 32,560.21
(ID: 686331-10-9)
2/26 Free Delivery TELEKOMUNIKASI IND SPONS ADR TRANSFER TO UBS (690.000) (26,716.80)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 ... DATE 02/25/14 (ID: 756255-20-4)
2/26 Free Delivery ROYAL DUTCH SHELL PLC ADR TRANSFER TO UBS (400.000) (31,456.00)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 ... 02/25/14 (ID: 80105N-10-5) 60,068.51
2/26 Free Delivery SIEMENS A G SPONS ADR TRANSFER TO UBS FINANCIAL (500.000) (66,245.00)
SERVICES INC. TRADE DATE 02/25/14
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519397.pdf
EFTA01519398Set 10
2014-02-281p249w
Transferred Out
2/26 Free Delivery TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS (830.000) (14,624.60)
ADR TRANSFER TO UBS FINANCIAL SERVICES INC. 14,793.04
TRADE DATE 02/25/14 ... 2/26 Free Delivery TESCO PLC SPONS ADR TRANSFER TO UBS FINANCIAL (1,520.000) (25,513.20)
SERVICES INC. TRADE DATE 02/25/14 25,456.73
(ID: 881575-30-2)
2/26 Free Delivery TOTAL ... SPONS ADR TRANSFER TO UBS FINANCIAL (1.070.000) (67,731.00)
SERVICES INC. TRADE DATE 02125/14 54,046.70
(ID: 89151E-10-9)
223 Free Delivery UNILEVER N V TRANSFER TO UBS FINANCIAL SERVICES
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519398.pdf
EFTA01567563Set 10
2013-12-3186p9,388w
FINANCIAL SERVICES INC. TRADE DATE 03/07/14
(ID: 92343V-10-4)
ROCHE HOLDINGS LTD SPONS ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 03/07/14
(ID: 771195-10-4)
VODAFONE GROUP ... ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 03/07/14
(ID: 92857W-30-8)
($116,979.42)
(1,039.000)
53,061.37
(41,487.27)
(1,400.000)
39,379.81
(51,870.00)
* Transaction Market
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01567563.pdf
EFTA01519449Set 10
2014-02-281p235w
92857W209, HELD. (ID: 92857W-3043)
Securities Transferred Out
2/26 Free Delivery ABB LTD SPONS ADR TRANSFER TO UBS FINANCIAL (1,475.000) (37,214.25)
SERVICES INC. TRADE DATE 02/25/14 ... 2/26 Free Delivery ALSTOM ADR TRANSFER TO UBS FINANCIAL SERVICES (4,875.000) (12,894.38)
INC. TRADE DATE 02/25/14 (ID: 021244-20-7) 17,770.91
J.P.Morgan Account Page
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519449.pdf
EFTA01567550Set 10
2014-03-0113p2,252w
FINANCIAL SERVICES INC. TRADE DATE 03/07/14
(ID: 92343V-10-4)
ROCHE HOLDINGS LTD SPONS ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 03/07/14
(ID: 771195-10-4)
VODAFONE GROUP ... ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 03/07/14
(ID: 92857W-30-8)
($116,979.42)
(1,039.000)
53,061.37
(41,487.27)
(1,400.000)
39,379.81
(51,870.00)
Quantity
Cost
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01567550.pdf
EFTA01519494Set 10
2014-03-011p178w
03/07/14 23,477.85
(ID: 92343V-10-4)
3/10 Free Delivery ROCHE HOLDINGS LTD SPONS ADR TRANSFER TO UBS (1.400.000) (51,870.00)
FINANCIAL SERVICES INC. TRADE DATE 03/07/14 ... 3/10 Free Delivery VODAFONE GROUP PLC-SP ADR TRANSFER TO UBS (1.039.000) (41,48727)
FINANCIAL SERVICES INC. TRADE DATE 03/07/14 53,081.37
(ID: 92857W-30-8)
Total Securities Transferred
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519494.pdf
EFTA01519533Set 10
2014-03-011p160w
03/07/14 23,477.65
(ID: 92343V-10-4)
3/10 Free Delivery ROCHE HOLDINGS LTD SPONS ADR TRANSFER TO UBS (1,400 000) (51,870.00)
FINANCIAL SERVICES INC. TRADE DATE 03/07/14 ... Free Delivery VODAFONE GROUP PLC-SP ADR TRANSFER TO UBS (1,039.000) (41,487.27)
FINANCIAL SERVICES INC. TRADE DATE 03/07/14 53,061.37
(ID 92857W-30-8)
Total Securities Transferred
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519533.pdf