EFTA00284660Set 9
2012-07-176p3,226w
7117/2012 07/20,2012 Short FNP FIFTH 8 PACIFIC 40.916 9.0252 0.0125 385,123.02 NITA BARC 8.60 511.05 511.05 0.00 0.00 USO PetUnil
.---...........-.......
ANT 7/17/2012 07/20,2012 Short FNP FIF018 PACIFIC ... REDI BARC 33.63 1.988.55 1.988.55 0.00 0.00 USO PetUnil
.---...........-.......
ANT 7/17/2012 07/20,2012 Seil EXXI .-...........-..XXI LTD
ENERGY 15,000 29.4237 0.0125 441,158.11 NITA GSCO ... PetUnil
ANT 7/17/2012 07/20,2012 Short IRBT IROBOT CORP 10.900 20.5792 0.0125 220.172.34 NITA BARC 500 136.25 136.25 0.00 0.00 USO PerUnil
ANT 7/17/2012 07/20,2012 Short IRBT IROBOT CORP
https://www.justice.gov/epstein/files/DataSet%209/EFTA00284660.pdf
EFTA00386261Set 9
2013-07-319p3,206w
Nomura initiate BPOST BB (b), upgrade ALU FP, MS initiate BPOST BB (ew)
• Barc downgrade URKA LI, SDF GY, +ve IN LN, ING FP, ING upgrade VST PW
•• SocGen downgrade ... BARC LN, CGM FP, RCF FP, upgrade KGH PW, ADN LN
•• GS downgrade AV/ LN, AGN NA, CS downgrade URKA LI, ICL IT
•• Citi downgrade URKA LI, SDF GY, names ... positive: Pfizer (PFE) WSJ
WSJ negative: Outlook for potash WSJ
WSJ positive: Barclays (BARC LN) WSJ
EFTA00386265
• Manning found not guilty of aiding enemy FT
• Banking duo sing from same
https://www.justice.gov/epstein/files/DataSet%209/EFTA00386261.pdf
EFTA02153650Set 10
2012-11-296p1,638w
Piper upgrades GES, Longbow initiates AIT (neut), Key
upgrades PSA
Key Research: BofAML remove BARC LN, ISP IM, BMPS IM from most preferred list, MS cuts IBE
SM
Key Research ... downgrade GTO FP/NRE1V FH/FR FP, UBS downgrade SOW GY, Barc upgrade
ISYS LN
Key Research: GS reinstate HEIA NA (n), CS upgrade GSZ FP, JEFF cuts BSY LN, Kepler upgrade ... Research: Barc downgrade MAB LN & upgrades UU/ LN, HSBC upgrade PSN LN, MS cuts ADP
FP
Key Research: BofAML adds CSGN VX, GLE FP to most preferred, BofAML upgrade ISYS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02153650.pdf
EFTA02145166Set 10
2013-03-148p2,074w
least pref
JPM upgrade MISS RM, downgrade CKN LN, SNT SJ, Barc upgrade TCG LN, EEEK GA
UBS downgrade JM SS, +ve PSON LN, GS +ve ATCOA SS, upgrade ... SANT downgrade VOD LN, HSBC initiate FOM LN (ow), +ve TCG LN
Oriel upgrade BARC LN, downgrade HSBA LN, LLOY LN, RBS LN, STAN LN, Oddo downgrade ITP
FP
Equinet
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02145166.pdf
EFTA00818455Set 9
2016-09-162p321w
through this case with the Dol.
• Other banks remaining are RBS, CS, UBS, BARC and to a much lesser degree HSBC.
• CS has very low provisions against this case ... dividend story for the market (we disagree) — larger hit here delays that
(again)
• BARC is smaller in quantity as it bought LEH assets, not the legal entity
• HSBC didn
https://www.justice.gov/epstein/files/DataSet%209/EFTA00818455.pdf
EFTA01588960Set 10
2014-04-2413p779w
trans of pounds is the
following:
The IBAN for the current account is GB02 BARC 2047 3413 7528 79, I/
SWIFT BIC is BARCGB22,
Bank address is Barclays Bank ... trans of pounds 's the
following:
The IBAN for the current account is GB02 BARC 2047 3413 7528 79,
SWIFT BIC is BARCGB22,
Bank address is Barclays Bank,
8 West
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01588960.pdf
EFTA00284666Set 9
2012-07-277p4,720w
7/27/2012 0501,2012 Buy 04AD DEMAND MEDIA INC 1.200 10.6858 0.0125 12.837.98 NITA BARC CLOC. 15.00 15.00 0.00 0.00 USO PetUnil
ANT 7/27/2012 0501,2012 Buy 04AD IDEMAND MEDIA ... WEED BARC CLOC. 637.50 187.50 0.00 450.00 USO PerUnil
ANT 7/27/2012 0501,2012 Buy DAMS EMMIS COMMUN CP 91.500 2.D725 0.0125 190,775.41 NITA IASCO CLOC
https://www.justice.gov/epstein/files/DataSet%209/EFTA00284666.pdf
EFTA00386460Set 9
2013-08-018p2,693w
initiate ANH LN (b)
•• UBS upgrade APN SJ, GBF GY, KPN NA, Bern downgrade BARC LN
• JP downgrade URKA LI, COLR BB, Barc -Eve ABI BB, Beren initiate VASTN
https://www.justice.gov/epstein/files/DataSet%209/EFTA00386460.pdf
EFTA01569536Set 10
2011-05-0147p6,235w
Asset Categories
Hard Assets
Estimated Value
60,948.00
Alternative Assets Detail
Price
Hard Assets
BARC CALLABLE PALLDIUM CP NT
05/14/12
LNKD TO PLDMLNPM
7.4% CPN, 20% MAX, 80% BARRIER
05/03/2011 ... BROKERAGE 50.00 J.P. MORGAN SECURITIES LLC
(ID: 74347R-88-3)
BARC CALLABLE PALLDIUM CP NT 05/14/12 LNKD TO
PLDMLNPM 7.4% CPN, 20% MAX, 80% BARRIER
EFTA01569561
05/03/2011 @ 100.00 JP MORGAN
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01569536.pdf
EFTA02128729Set 10
2013-09-138p1,870w
upgrade MUV2 GY, ULKER TI, Barc upgrade KPN NA, Nomura upgrade A3M SM, RTL BB, MS
IM, TL5 SM
- UBS upgrade TCELL TI, downgrade APR LN, SPTT CP, initiate FENR ... least pref, Nordea downgrade
TEL2B SS
• Berenberg downgrade G1A GY, JEFF initiate BARC LN (buy), Citi downgrade MRW LN
• Numis upgrade HFG LN,CS downgrade PNN LN, AGL IM, initiate
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02128729.pdf
EFTA02147429Set 10
2013-02-219p2,253w
Numis d/g FLTR LN
• Citi downgrade BLT LN, KCO GY, MS downgrade TOM2 NA, Barc downgrade SOLB BB
✓ GS reit cony buy TFI FP, KD8 GY, remain sell ... Benelux favorites
EFTA_R1_00806346
EFTA02147432
SEB upgrade SWMA SS, Bern upgrade BARC LN, Panm downgrade RPS LN
r Nordea upgrade SYDB DC, downgrade AKER NO, Jeff initiate
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02147429.pdf
EFTA00401802Set 9
2012-11-136p2,037w
downgrade SIE GY, CBK downgrade EOAN GY, Numis downgrade JPR LN
Key Research: Barc upgrade GEM IM, MainFirst upgrade SAZ GY, Chev downgrade DIA SM
Key Research: DB initiate ... hold), DB initiate SDRL NO (buy), Barc downgrade CPR IM
Key Research: HSBC downgrade EOAN GY, UBS downgrade IAG LN, HSBC downgrade DPW GY
Key Research: UBS downgrade
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401802.pdf