Epstein Files Search

EFTA01567243Set 10

2014-02-21144p14,702w

Period 1/1/14 to 1/31/14 Equity Detail Price US Large Cap Equity CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I 52469H-59-4 SOPY X SIT DIVIDEND GROWTH FUND-I Total ... 1/17 1/15 1/21 1/16 1/22 1/17 1/23 Total Settled Securities Purchased Purchase Purchase Purchase CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I (ID: 52469H-59-4) CLEARBRIDGE EQUITY ... INCOME I (ID: 52469H-59-4) CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I EFTA01567359 (ID: 52469H-59-4) CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I (ID: 52469H

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01567243.pdf

EFTA01519369Set 10

2014-01-011p156w

Settle Date Type Description Quantity AmouM Market Cod Settled Securities Purchased 1)14 Purchase CLEARBRIDGE EQUITY INC FD-I CAP 8 INCOME I 296.210 18.47 (5.471.00) 1/17 (ID: 52469N ... 1/15 Purchase CLEARBRIDGE EQUITY INC FD4 CAP 8 INCOME I 283.181 18.55 (5,253.00) 1/21 (ID: 52469H-59-4) 1/16 Purchase CLEARBRIDGE EQUITY INC FD-I CAP 8 INCOME ... 1/17 Purchase CLEARBRIDGE EQUITY INC FD-I CAP 8 INCOME I 298.430 18.47 (5512.00) 1/23 (ID: 52469H-59-4) Total Settled Securities Purchased ($21,475.00) J.P.Morgan Accoun Page

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519369.pdf

EFTA01566688Set 10

2013-12-01148p14,644w

ACCT. For the Period 10/1/13 to 10/31/13 Equity Detail Price US Large Cap Equity CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I 52469H-59-4 SOPY X SIT DIVIDEND GROWTH ... 09/30/13 INCOME DIVIDEND @ 0.048 PER SHARE AS OF 09/30/13 (ID: 258620-10-3) CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I 09/30/13 INCOME DIVIDEND @ 0.076 PER SHARE AS OF 09/30/13

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566688.pdf

EFTA01565909Set 10

2013-06-01147p14,553w

ACCT. For the Period 6/1/13 to 6/30/13 Equity Detail Price US Large Cap Equity CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I SOPY X SIT DIVIDEND GROWTH FUND-I Total ... Total Settled Securities Purchased ($69,977.00) Purchase Purchase Description HARBOR CONVERTIBLE SEC-INST (ID: CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I (ID: BLACKROCK HIGH YIELD BOND (ID: Quantity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565909.pdf

EFTA00614756Set 9

7p2,470w

American Funds• Growth-Income American Funds Growth Comstock • Dreyfus VW Appreciation Service Shares ClearBridge Variable Aggressive Growth Cl II • Large-Cap Value • Equity Index Dividend Growth I Rowe Price Equity ... Rowe Price Blue Chip Growth-II ▪ American Century VP Mid Cap Value II ClearBridge Variable Mid Cap Core Class II • Fidelity VIP Mid Cap Service Class 2 ▪ Mid-Cap Value

https://www.justice.gov/epstein/files/DataSet%209/EFTA00614756.pdf

EFTA01567052Set 10

2014-02-21155p15,764w

ACCT. For the Period 12/1/13 to 12/31/13 Equity Detail Price US Large Cap Equity CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I 52469H-59-4 SOPY X SIT DIVIDEND GROWTH ... TOTAL RETURN I 12/24/13 INCOME DIVIDEND @ 0.118 PER SHARE (ID: 40428X-15-6) CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I 12/26/13 INCOME DIVIDEND @ 0.058 PER SHARE AS OF 12/26/13

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01567052.pdf

EFTA01430442Set 10

2015-05-1940p7,408w

European Equity European Equity Japanese Equity Pacific ex-Japan Equity WM U.S. Core Equity ClearBridge Small Cap Growth Fund Invesco AIM European Growth Fund Ticker N/A SBPYX AEDYX Deutsche

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01430442.pdf

EFTA01519048Set 10

2013-10-311p136w

Price Queenly Value Original Cost GainiLoss Accrued Dry. Yield US Large Cap Equity CLEARBRIDGE EQUITY

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519048.pdf

EFTA01518951Set 10

2013-09-301p139w

Price Quantity Value Original Cost GainiLoss Acaued Dee. Yield US Large Cap Equity CLEARBRIDGE EQUITY

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01518951.pdf

EFTA01519263Set 10

2013-12-011p246w

DMDEND O 0.118 PER SHARE (ID: 40428X-15.6) 12/30 Div Domest CLEARBRIDGE EQUITY INC FD-I CAP 8 INCOME I 1,179.249 0.058 68.13 12/28/13 INCOME DIVIDEND @ 0.068 PER SHARE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519263.pdf

EFTA01518738Set 10

2013-07-011p115w

Price Quantity Value Original Cost GainiLoss Mated Dee. Yield US Large Cap Equity CLEARBRIDGE EQUITY

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01518738.pdf

EFTA01367854Set 10

2015-04-201p247w

MMOI U.S. Large Cap Equity WM U.S. Core Equity N/A U.S. Small Cap Equity ClearBridge Small Cap Growth Mutual Fund SBPYX European Equity Invesco AIM European Growth Mutual Fund AEDYX

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01367854.pdf

EFTA01566500Set 10

2013-06-30156p15,338w

ACCT. For the Period 9/1/13 to 9/30/13 Equity Detail Price US Large Cap Equity CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I 52469H-59-4 SOPY X SIT DIVIDEND GROWTH

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566500.pdf

EFTA01477939Set 10

2015-12-3162p10,734w

Japan AEDYX EFTA01477955 DBEU DXJ EPP WM US Large Cap/Growth - Individual Securities N/A ClearBridge Small Cap Growth SBPYX Allocation as % of Portfolio

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01477939.pdf

EFTA00285853Set 9

2019-04-1011p7,239w

chief of staff in between. She also has worked as Legg Mason unit ClearBridge investments Marble Ridge Capital hired Gregory Highbridge Capital's chief administrative added an analyst

https://www.justice.gov/epstein/files/DataSet%209/EFTA00285853.pdf

EFTA00236210Set 9

2014-07-1111p5,133w

CLEARBRIDGE EQUITY INCOME 2,366.16 17.65 19.79 41,756.64 46,826.21 5,069.57 12.14% 825.46 1.76% 0.98% 0.70% FUND CLASS I Client investment: 541,251.00 Reinvested dividends: 5505.64 Investment return

https://www.justice.gov/epstein/files/DataSet%209/EFTA00236210.pdf

EFTA00236227Set 9

2014-07-1511p4,880w

CLEARBRIDGE EQUITY INCOME 2,366.16 17.65 19.83 41,756.64 46,920.85 5,164.21 12.37% 825.46 1.76% 1.15% 0.70% FUND CLASS I Client investment: $41,251.00 Reinvested dividends: $505.64 Investment return

https://www.justice.gov/epstein/files/DataSet%209/EFTA00236227.pdf

EFTA01110478Set 9

122p66,004w

billion of net client outflows driven by Western Asset Management Company, Royce & Associates and ClearBridge Investments, LLC. The net outflows for the nine months ended December 31, 2015 included liquidity

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

EFTA01383687Set 10

2015-04-201p245w

MMOI U.S. Large Cap Equity WM U.S. Core Equity N/A U.S. Small Cap Equity ClearBridge Small Cap Growth Fund SBPYX European Equity Invesco AIM European Growth Fund AEDYX European Equity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01383687.pdf

EFTA01519056Set 10

2013-10-011p256w

SHARE AS OF 09/30/13 (ID: 258620-10-3) 1012 Div Domest CLEARBRIDGE EQUITY INC FD4 CAP & INCOME I 1,179.249 0.076 89.14 09/30/13 INCOME DIVIDEND ft 0.076 PER SHARE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01519056.pdf