Epstein Files Search

EFTA01288458Set 10

2013-12-3162p26,219w

HEADWATERS INC GTO SR NT Security Identifier: 42210PA05 7.625% 0//01119 8/E DID 03/11/11 CALLABLE 0/101115 0 103213 Moody Rating B2 58 P Sling B+ 10/22/12 'MA 1.000,0N.000 ... FULLY EXCHANGED Security Identifier: 270321AC6 CUSP FROM 270321AB8 8.875% 05/15/19 8/E DTD 05117111 CALLABLE 05/15115 Moody Rating B3 58 P Rating CCC+ 10/22112 ... SOUTHERN CALIF EDISON CO Security Identifier: 812400FU2 FREF SERE 6.250% 02101/22 WE OM 01117/12 CALLABLE 02/01122 Moody Rating BAA2 S 8 P Rating BBEI. 01130/12

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288458.pdf

EFTA01288520Set 10

2014-12-01252p106,698w

HEADWATERS INC GTD SR NT Security Identifier: 42210PAO5 7.625% 04101/19 GrE DID 03111111 CALLABLE 04/01115 0 103 813 Moody Riling 81 S 1 P Rating Ti+ 10122/12 ... FULLY EXCHANGED Security Identifier: 270321AC6 CUSP FROM 270321AB8 8.875% 05/15/19 WE DTD 05117/11 CALLABLE 05/15/15 S5 P Rating CCU 10/22/12 ... CONTINGENT CAP NT Security Identifier: 06739FHK0 ISIA81.936739FFKO3 7.750% 04/10123 B/E DTD 04110113 CALLABLE 04110118 S 8 P Rating BB' 04/03/13

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288520.pdf

EFTA01288772Set 10

2015-12-31225p98,138w

FULLY EXCHANGED Security Identifier: 2103214C8 CUSP FROM 210321AB8 8.875% 05/15/19 WE DID 05117111 CALLABLE 12/31115 68 P Rating CCC. 10/22/12 ... CONTINGENT CAP NT Security Identifier: 06739FHK0 ISK 8U6067390403 7.750% 04/10123 B/E DID 04110113 CALLABLE 04110118 S8 P Rating BP. 04103/13 ... Security Identifier: 0605050 T8 SHS FIXED TO FLOAT 8.125% 04130158 B/E DTD 01130168 CALLABLE 05115/18 Moody Rating BA2 St P Rating

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288772.pdf

EFTA01290990Set 10

2013-12-0139p18,378w

IPAYM ENT INC 610 SR NT Security Identifier: 46262EAE5 10.250% 05/15/18 B/E DID 11115111 CALLABLE 05/15/15 a 105.125 Moody Rating CAA1 S 6 P Rating CCC 10/02112 ... Cost Basis 5115100.00 KINDRED HEALTHCARE INC Security Identifier: 491580089 8.250% 06/01/19 WE DTO 06101/11 CALLABLE 06101111 0 106.188 Moody Rating 83 S8 P Rating ... ULATIVE DEP Security Identifier: 0605050T8 %IS FIXED TO FLOAT 8.125% 04/30/58 NE DTD 04130/08 CALLABLE 05/15118 Moody Rating BA3 SE P Rating Eil3v

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290990.pdf

EFTA01438162Set 10

2018-02-077p1,382w

Subject: RE: Launched: [13.0]% p.a. Callable Yield Note with Contingent Coupon [I] From: Martin Zeman < Date: Wed, 07 Feb 2018 17:46:48 -0500 To: Stewart Oldfield Classification: For internal ... February 07, 2018 5:18 PM To: Martin Zeman Subject: FW: Launched: [13.0]% p.a. Callable Yield Note with Contingent Coupon Maybe better to have a call to discuss ... Xavier Avila ; Vahe Stepanian ; Joshua Shoshan ; Davide-A Sferrazza > Subject: RE: Launched: [13.0]% p.a. Callable Yield Note with Contingent Coupon When do you think the issuer calls it? What conditions

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01438162.pdf

EFTA01274941Set 10

2014-04-30296p147,378w

E1RDVILLE TEX ISD UT-07 BLO REF-07 PSA &VR/ RATE 05.000% MATURES 0711929 CALLABLE 02/15/17 0 100.00 ACCRUEO INTEREST 11,04167 CUSIP 090874FV5 Moody Aaa SB.P ... CALLABLE CUSP: 090874FV5 Apr 2 Receive Dtc MASSACHUSETTS ST HLT11 & EDL FACS AU RV II 50,000.000 52,547.00 Wilt/ 5 DUE 071532 DTD 080305 CALLABLE CUSIP: 57586CANO ... Receive Ott COUNTRYWIDE CAP V 7.000% DUE I UOli 36 4200.000 107,142.00 CALLABLE CUSIP: 222388209 Apr 2 Receive Dtc APACHE CORP 95.003 8,001.85 continued next page CNP7C0074305588698NP7OCOI9I

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01274941.pdf

EFTA01435693Set 10

2018-02-077p1,322w

Subject: RE: Launched: [13.01% p.a. Callable Yield Note with Contingent Coupon From: Martin Zeman <~MIEM> Date: Wed, 07 Feb 2018 17:47:29 -0500 To: Paul Barrett Cc: Stewart Oldfield ... Xavier Avila ; Vahe Stepanian ; Joshua Shoshan ; Davide-A Sferrazza Subject: RE: Launched: [13.01% p.a. Callable Yield Note with Contingent Coupon When do you think the issuer calls it? What conditions ... Avila <xavier.avila@db.com>; Vahe Stepanian Joshua Shoshan ; Davide-A Sferrazza IIIIIIIII; Subject: Launched: [13.0]% p.a. Callable Yield Note with Contingent Coupon Paul, Did you see this note we are issuing this

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01435693.pdf

EFTA01470592Set 10

2014-08-0156p7,453w

Security Identifier: P7807HAF2 93.6050 HEADWATERS INC GTD SR NT 7.625% 04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B2 S & P Rating B+ 10/22/12 ... FULLY EXCHANGED CUSIP FROM 270321AB8 8.875% 05/15/19 B/E DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 *,3,12 400,000.000 B0097252CSF30015 2,340,116.28 93.0000 Original Cost Basis ... SOUTHERN CALIF EDISON CO PREF SER E 6.250% 02/01/22 B/E DTD 01/17/12 CALLABLE 02/01/22 Moody Rating BAA1 S & P Rating BBB01/30/12 *,3,12 3,000,000.000 104.5910 105.1020 102.4990 Original

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01470592.pdf

EFTA01290563Set 10

2014-12-01161p75,966w

IPAYM ENT INC GTO SR NT Security Identifier: 46262EAB 10.250% 05115/18 WE DID 11115111 CALLABLE 05115/15 Q 105.125 Moody Rating CAA3 S& P Rating ... ULADVE DEP Security Identifier: 060505018 StiS FIXED TO FLOAT 8.125% 04/30/58 WE DTD 04/30/08 CALLABLE 05/15118 Moody /Wing 8A3 St P Rating ... change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290563.pdf

EFTA01190526Set 9

2014-08-0120p8,442w

HEADWATERS INC GTD SR NT Security identifier: 422109E/5 7.625%04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B2 S & P Rating B+ 10/22/12 ... FULLY EXCHANGED Security Identifier: 2703214C6 CUSIP FROM 270321/68 8.875% 05/15/19 EVE DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 ... CALIF EDISON CO Security Identifier: 842400F112 PREF SER E 6.250%02/01/22 B/E DTD 01/17/12 CALLABLE 02/01/22 Moody Rating BAA1 S & P Rating BBB- 01/30/12

https://www.justice.gov/epstein/files/DataSet%209/EFTA01190526.pdf

EFTA01436409Set 10

2018-02-077p1,340w

Subject: FW: Launched: [13.0]% p.a. Callable Yield Note with Contingent Coupon From: Stewart Oldfield Date: Wed, 07 Feb 2018 17:17:56 -0500 To: Martin Zeman Maybe better to have ... Avila ; Vahe Stepanian ; Joshua ShoshanS; Davide-A Sferrazza IIIIIIIII Subject: RE: Launched: [13.0]% p.a. Callable Yield Note with Contingent Coupon When do you think the issuer calls it? What conditions ... Oldfield ; Xavier Avila ›; Vahe Stepanian ; Joshua Shoshan < Davide-A Sferrazza Subject: Launched: [13.01% p.a. Callable Yield Note with Contingent Coupon Paul, Did you see this note we are issuing this

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01436409.pdf

EFTA01288997Set 10

2016-12-31204p88,660w

FULLY EXCHANGED Security Identifier: 270321AC8 CUSP FROM 27032IAB8 8.875% 05/15/19 BIE DTD 05117/11 CALLABLE 01/29/17 10123/12 ... CONTINGENT CAP NT Security Identifier: 06739FHK0 ISINPIS06739FEK03 7.750% 04/10123 B/E DTD 04110/13 CALLABLE 04/10118 38 P Rating ... Security Identifier: 0605050T8 SH S FIXED TO FLOAT 8125% 04/30/58 WE DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 S d Rating BB* 01/10/11

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288997.pdf

EFTA01119309Set 9

2014-08-0120p8,368w

HEADWATERS INC GTD SR NT Security identifier: 42210PAGS 7.625%04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B2 S & P Rating B+ 10/22/12 ... FULLY EXCHANGED Security Identifier: 270321AC6 CUSIP FROM 270321AB8 8.875% 05/15/19 EVE DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 ... CALIF EDISON CO Security Identifier: 842400FU2 PREF SER E 6.250%02/01/22 B/E DTD 01/17/12 CALLABLE 02/01/22 Moody Rating BAA1 S & P Rating BBB- 01/30/12

https://www.justice.gov/epstein/files/DataSet%209/EFTA01119309.pdf

EFTA01434542Set 10

2018-02-076p1,279w

Subject: RE: Launched: [13.0]% p.a. Callable Yield Note with Contingent Coupon From: Paul Barrett < Date: Wed, 07 Feb 2018 17:14:03 -0500 To: Martin Zeman Cc: Stewart Oldfield Xavier ... Xavier Avila ; Vahe Stepanian ; Joshua Shoshan ; Davide-A Sferrazza <clavicle- Subject: Launched: [13.0]% p.a. Callable Yield Note with Contingent Coupon Paul, Did you see this note we are issuing this ... also about the rates trade. Martin Good morning, We are launching a 2 year Callable Yield Note (CYN) with Contingent Coupons for broad subscription through Friday, February

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01434542.pdf

EFTA01405456Set 10

2014-06-0552p7,533w

Security Identifier: P7807HAF2 95.3590 HEADWATERS INC GTD SR NT 7.625% 04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B1 S & P Rating B+ 10/22/12 ... FULLY EXCHANGED CUSIP FROM 270321AB8 8.875% 05/15/19 B/E DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 *,3,12 10/23/12 *,3,12 Total Noncovered Total B0100535CSF30023 ... BARCLAYS BK PLC CONTINGENT CAP NT ISIN#US06739FHK03 7.750% 04/10/23 B/E DTD 04/10/13 CALLABLE 04/10/18 S & P Rating BB+ 04/03/13 *,12,13 300,000.000 104.9300 105.4560 Adjusted Cost Basis Market

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01405456.pdf

EFTA01467202Set 10

2014-01-0163p8,145w

Identifier: P7807HAF2 EFTA01467215 90.6830 HEADWATERS INC GTD SR NT 7.625% 04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B2 S & P Rating B+ 10/22/12 ... FULLY EXCHANGED CUSIP FROM 270321AB8 8.875% 05/15/19 B/E DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 *,12,13 400,000.000 2,267,064.32 82.8000 Original Cost Basis ... SOUTHERN CALIF EDISON CO PREF SER E 6.250% 02/01/22 B/E DTD 01/17/12 CALLABLE 02/01/22 Moody Rating BAA2 S & P Rating BBB01/30/12 *,3,12 3,000,000.000 BARCLAYS BK PLC CONTINGENT

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01467202.pdf

EFTA01470072Set 10

2014-07-0152p7,168w

continued) Corporate Bonds (continued) HEADWATERS INC GTD SR NT 7.625% 04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B2 S & P Rating B+ 10/22/12 ... FULLY EXCHANGED CUSIP FROM 270321AB8 8.875% 05/15/19 B/E DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 *,3,12 10/23/12 *,3,12 Total Noncovered Total ... Bonds (continued) SOUTHERN CALIF EDISON CO PREF SER E 6.250% 02/01/22 B/E DTD 01/17/12 CALLABLE 02/01/22 Moody Rating BAA1 S & P Rating BBB01/30/12 *,3,12 3,000,000.000 BARCLAYS

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01470072.pdf

EFTA00606030Set 9

1995-01-0321p5,008w

stress the price over time bond failure to pay. bankruptcy of bond obligor. Optionallty / Callable Muni Bonds are Investors must be comfortable and taxability Callability generally called when that ... duration of callable Collateral Risk Client may have the ability Investor must maintain economically bonds can change quickly. to post collateral to avoid sufficient liquidity to post it advantageous ... addressed by Certificate Rate rate that resets periodically modifying the tenor of the Optionallty / Callable Muni Bonds are Investors must be comfortable Risk based on the benchmark TOB Senior Certificate

https://www.justice.gov/epstein/files/DataSet%209/EFTA00606030.pdf

EFTA01437167Set 10

2018-02-075p1,124w

Subject: Launched: [13.01% D.a. Callable Yield Note with Contingent Coupon From: Martin Zeman Date: Wed, 07 Feb 2018 To: "Paul Barrett ( Cc: Stewart Oldfield Xavier Avila Vahe Stepanian Joshua Shoshan ... also about the rates trade. Martin Good morning, We are launching a 2 year Callable Yield Note (CYN) with Contingent Coupons for broad subscription through Friday, February ... going up — pricing continues to look good as long as implied volatility remains elevated. Callable Yield Note Overview: Callable Yield Notes with Contingent Coupon are considered equity alternatives, which

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01437167.pdf

EFTA01388675Set 10

2018-02-091p625w

launching a 2 year Callable Yield Note (CYN) with Contingent Coupons for broad subscription through Friday, February 9, 2018 at 10 AM ET. The note is available to clients with ... going up — pricing continues to look good as long as implied volatility remains elevated. Callable Yield Note Overview: Callable Yield Notes with Contingent Coupon are considered equity alternatives, which ... Morgan. Link to: Offering Materials Link to: Client Approved Educational Fact Sheet for the Callable Yield Notes with Contingent, Coupon Offering Summary: Callable Yield Note with Contingent Coupon Issuer

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01388675.pdf