EFTA01475567Set 10
2015-12-3112p5,602w
Month # 2015 Est 2015 Rev
Est 2016 Rev
KCP Black, Leon D. 12/31/2015 75 Brokerage 50000000 BPS 5 2500
0 Morris 1 IF(G2="BPS",12*(K2/12 ... K5/12),15)=200000 IF(G5="BPS",15,0)=0
Brokerage Gratitude America 12/31/2015 75 Brokerage 10000000 BPS
20 20000 Morris 1 IF(G6="BPS",16*(K6/12 ... K12/12),I12)=8333.333333333332 IF(G12="BPS",I12,0)=
100000
Additional Brokerage Southern Financial LLC 12/31/2015 75 Brokerage 75000000
BPS 20 F13*(H13/10000)=150000 Morris 1 IF(G13="BPS",I13*(K13/12
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01475567.pdf
EFTA01565189Set 10
2013-02-01149p14,932w
options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed ... Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMS, see "Portfolio Activity
Detail". Such transactions are cleared and carried through ... investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565189.pdf
EFTA01566101Set 10
2013-07-01167p16,599w
options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed ... Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMS, see "Portfolio Activity
Detail". Such transactions are cleared and carried through ... investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566101.pdf
EFTA00104945Set 9
2019-08-1310p2,825w
EXHIBIT C: CAPITALIZATION OF JEFFREY EPSTEIN'S NOW/SUPEFtNOW ACCOUNTS"
10/11/2013 Jeepers Inc. (DB Brokerage Account) 53,000,000 DB-SDNY-
0002926
11/13/2013 Barry Jay Josephson $200,000 DB-SDNY ... 11/14/2013 Jeepers Inc. (DB Brokerage Account) $2,000,000 DB-SDNY-
0002994
12/20/2013 Jeepers Inc. (DB Brokerage Account) $2,000,000 DB-SDNY-
0003427
1/24/2014 $225,000 DB-SDNY ... 1/30/2014 Jeepers Inc. (DB Brokerage Account) $2,000,000 DB-SDNY-
0003538
2/18/2014 Adam Bly $7,500 DB-SDNY-
0003640
2/20/2014 Jeepers Inc. (DB Brokerage Account
https://www.justice.gov/epstein/files/DataSet%209/EFTA00104945.pdf
EFTA01540660Set 10
2012-12-3193p9,723w
options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed ... Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMS, see "Portfolio Activity
Detail". Such transactions are cleared and carried through ... investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540660.pdf
EFTA01198069Set 9
2015-07-2795p44,280w
connection with the new
LCR rule;
the amount of loans to the Company's brokerage and banking clients;
S-iv
EFTA01198073
• the extent to which past performance of the Company ... future
performance;
• the level of the Company's stock repurchase activity;
• the level of brokerage client cash balances and deposits from banking clients;
• the availability and terms of external financing ... Company, and located in San
Francisco except as indicated), in wealth management, securities brokerage, banking, money management,
and financial advisory services. At March 31, 2015, the Company had $2.52 trillion
https://www.justice.gov/epstein/files/DataSet%209/EFTA01198069.pdf
EFTA01538645Set 10
2010-09-0195p9,736w
options, which are held at JPMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities, Inc. ("JPMSI"), see
"Portfolio Activity Detail". Equity securities, fixed ... Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMSI, see "Portfolio Activity
Detail". Such transactions are cleared and carried through ... investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538645.pdf
EFTA01539113Set 10
2011-12-0182p8,981w
options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed ... Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMS, see "Portfolio Activity
Detail". Such transactions are cleared and carried through ... investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01539113.pdf
EFTA00803405Set 9
2017-03-3043p16,141w
Ethics, Participation or Interest in Client Transactions and Personal Trading 30
Item 12 Brokerage Practices 35
Item 13 Review of Accounts 38
Item 14 Client Referrals and Other Compensation ... Master Fund's
expenses, including, but not limited to, investment-related expenses (e.g., brokerage commissions
and transaction costs, clearing and settlement charges, custodial fees, interest expense, and third
party trading ... Securities Exchange Act of 1934, as amended. Refer to Item 12 — Brokerage Practices for further
information.
It is critical that investors refer to the relevant confidential private offering memorandum
https://www.justice.gov/epstein/files/DataSet%209/EFTA00803405.pdf
EFTA01570018Set 10
2011-12-01162p16,949w
Cost
Sale
High Cost
Sale
High Cost
ACCENTURE PLC-CL A @ 55.12 6,779.76 BROKERAGE
7.38 TAX &/OR SEC .14 J.P. MORGAN SECURITIES
LLC (ID: G1151C ... BROKERAGE 6.78
TAX &/OR SEC .15 J.P. MORGAN SECURITIES LLC
(ID: H0023R-10-5)
EFTA01570069
AUTOZONE INC @ 320.00 7,040.00 BROKERAGE 1.32
TAX &/OR SEC .14 J.P. MORGAN SECURITIES ... COMCAST CORP CL A @ 21.72008 7,819.23 BROKERAGE
21.60 TAX &/OR SEC .16 J.P. MORGAN SECURITIES
LLC (ID: 20030N-10-1)
NIKE INC B @ 94.79 10,995.64 BROKERAGE
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01570018.pdf
EFTA01573107Set 10
2014-02-0132p3,340w
Sale
High Cost
Sale
High Cost
Sale
High Cost
CHEVRON CORP @ 112.1001 26,791.92 BROKERAGE
3.59 TAX &/OR SEC .47 MERRILL LYNCH PIERCE
FENNER & SMIT (ID: 166764-10-0)
CHEVRON ... CORP @ 112.0676 5,379.24 BROKERAGE 0.72
TAX &/OR SEC .09 MERRILL LYNCH PIERCE FENNER &
SMIT (ID: 166764-10-0)
CHEVRON CORP @ 112.2235 14,140.16 BROKERAGE ... INSTINET (ID: 166764-10-0)
CHEVRON CORP @ 113.1944 20,035.41 BROKERAGE
2.66 TAX &/OR SEC .35 GOLDMAN SACHS & CO.
(ID: 166764-10-0)
CHEVRON CORP @ 112.6789 9,465.03 BROKERAGE
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01573107.pdf
EFTA01439454Set 10
2018-03-3061p17,665w
update to Item 14 relating to iCapital's
business relationship
with Fidelity Brokerage Services LLC. In addition, in December 2017,
Institutional Capital Network,
Inc., the parent company of iCapital, acquired ... Ethics, Participation or Interest in Client Transactions
and Personal Trading 23
Item 12: Brokerage
Practices
EFTA01439455
26
Item 13: Review of
Accounts
26
Item 14: Client Referrals and Other
Compensation ... litigation and threatened litigation
involving the Private Access
Fund,
including indemnification expenses; commissions or brokerage fees or similar
charges
incurred in connection with the purchase or sale of securities;
legal
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01439454.pdf
EFTA01440262Set 10
2018-03-3061p17,665w
update to Item 14 relating to iCapital's
business relationship
with Fidelity Brokerage Services LLC. In addition, in December 2017,
Institutional Capital Network,
Inc., the parent company of iCapital, acquired ... Ethics, Participation or Interest in Client Transactions
and Personal Trading 23
Item 12: Brokerage
Practices
EFTA01440263
26
Item 13: Review of
Accounts
26
Item 14: Client Referrals and Other
Compensation ... litigation and threatened litigation
involving the Private Access
Fund,
including indemnification expenses; commissions or brokerage fees or similar
charges
incurred in connection with the purchase or sale of securities;
legal
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01440262.pdf
EFTA01443593Set 10
2018-03-3061p17,672w
update to Item 14 relating to iCapital's
business relationship
with Fidelity Brokerage Services LLC. In addition, in December 2017,
Institutional Capital Network,
Inc., the parent company of iCapital, acquired ... Ethics, Participation or Interest in Client Transactions
and Personal Trading 23
Item 12: Brokerage
Practices
EFTA01443594
26
Item 13: Review of
Accounts
26
Item 14: Client Referrals and Other
Compensation ... litigation and threatened litigation
involving the Private Access
Fund,
including indemnification expenses; commissions or brokerage fees or similar
charges
incurred in connection with the purchase or sale of securities;
legal
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01443593.pdf