EFTA01078403Set 9
75p21,345w
preliminary
orders, judgments, or decrees lapsed.
You must complete the appropriate Disclosure Reporting Page ("DRP") for "yes" answers to the
questions in this Item ... supervised persons? r
For "ves" answers to the following questions, comolete a Criminal Action DRP:
A. In the past ten years, have you or any advisory affiliate ... currently pending.
EFTA01078425
For "yes" answers to the following questions, complete a Reaulatory Action DRP:
C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever
https://www.justice.gov/epstein/files/DataSet%209/EFTA01078403.pdf
EFTA01254471Set 9
2016-12-01101p49,053w
corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1.2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide
https://www.justice.gov/epstein/files/DataSet%209/EFTA01254471.pdf
EFTA01254095Set 9
2015-12-3193p46,127w
corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide
https://www.justice.gov/epstein/files/DataSet%209/EFTA01254095.pdf
EFTA01291697Set 10
2015-12-0194p46,447w
corporation acquired on or after January 1, 2911
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquked on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291697.pdf
EFTA01290231Set 10
2016-12-3187p44,749w
corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquied on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on cc after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1, 2911
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290231.pdf
EFTA01290854Set 10
1999-02-09120p60,417w
corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290854.pdf
EFTA01384961Set 10
2015-06-301p575w
using sham of our stock.
We previously maintained a distribution reinvestment program, or DRP, which allowed our
stockholders who have purchased shares in our private placements to automatically reinvest dividends ... purchasing additional shares from us. Such purchases under our DRP arc not subject to brokerage
commission fees or service charges. As of June 30, 2015, we had issued approximately ... shares
pursuant to the DRP for aggregate proceeds of $911,867. During the six months ended June 30, 2015
and year ended December 31, 2014, we received
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384961.pdf
EFTA00286421Set 9
44p14,595w
preliminary orders, judgments, or decrees lapsed.
You must complete the appropriate Disclosure Reporting Page ("DRP") for "yes" answers to the
questions in this Item 11.
For "ves" answers ... following Questions, complete a Criminal Action DRP;
A. In the past ten years, have you or any advisory affiliate: YES NO
(1) been convicted of or plead guilty or nolo ... currently pending.
EFTA00286437
For "yes" answers to the following questions. complete a Regulatory Action DRP:
C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever
https://www.justice.gov/epstein/files/DataSet%209/EFTA00286421.pdf
EFTA01290526Set 10
2013-12-0137p18,354w
corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on cc after January 1. 2012
• Other securities, principally debt securities and options ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290526.pdf
EFTA01290563Set 10
2014-12-01161p75,966w
corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options ... corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Ciller securities, principally debt securities and options
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290563.pdf
EFTA01290128Set 10
2014-06-05103p48,428w
corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Cotter securities, principally debt securities and options ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290128.pdf
preliminary
orders, judgments, or decrees lapsed.
You must complete the appropriate Disclosure Reporting Page ("DRP") for "yes" answers to the questions in this Item ... your supervised persons?
For "yes" answers to the following questions, complete a Criminal Action DRP:
A. In the past ten years, have you or any advisory affiliate ... currently pending.
For "yes" answers to the following questions, complete a Regulatory Action DRP:
C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: Yes No
(1) found
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358783.pdf
EFTA01810025Set 10
2012-02-0865p19,451w
EFTA01810056
Name No. of votes Percentage Political Party
Maumoon Gayoom 71731 40.63 DRP'
Mohamed Nasheed 44293 25.09 MDP2
Hassan Saeed 29633 16.78 IND3
Gasim Ibrahim 27056 15.32 JP°
Umar Naseer ... Political Party
Mohamed Nasheed 97,222 54.21 MDP-Alliance
Maumoon Gayoom 82,121 45.79 DRP
After he assumed office, President Nasheed formed a Cabinet of 14 Ministers. They were from ... remained in office but he was marginalised on essential policy matters.
Dhivehi Rayyithunge Party ("DRP")
2 Maldivian Democractic Party ("MDP")
3 Independent
4 Jumhoory Party ("JP")
5 Islamic Democratic Party
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01810025.pdf
EFTA01181546Set 9
2012-02-0865p19,430w
EFTA01181577
Name No. of votes Percentage Political Party
Maumoon Gayoom 71731 40.63 DRP'
Mohamed Nasheed 44293 25.09 MDP2
Hassan Saeed 29633 16.78 IND3
Gasim Ibrahim 27056 15.32 Jr
Umar Naseer ... Political Party
Mohamed Nasheed 97,222 54.21 MDP-Alliance
Maumoon Gayoom 82,121 45.79 DRP
After he assumed office, President Nasheed formed a Cabinet of 14 Ministers. They were from ... remained in office but he was marginalised on essential policy matters.
' Dhivehi Rayyithunge Party ("DRP")
2 Maldivian Democractic Party ("MDP")
'Independent
Jumhoory Party ("JP")
5 Islamic Democratic Party
https://www.justice.gov/epstein/files/DataSet%209/EFTA01181546.pdf
EFTA01288997Set 10
2016-12-31204p88,660w
corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288997.pdf
EFTA01290724Set 10
1999-02-09130p61,899w
corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide ... corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290724.pdf