EFTA01118864Set 9
46p21,591w
liabilities reported in level I generally include, but are
not limited to, active exchange-traded equity securities and certain government securities.
Pursuant to FASB ASC 820-10, the Partnership ... eqvi es, certain
mortgage-bseyekLec tiks.petatn collateralized debt ob, gat, serie est securities,
certain exchange-traded derivative contracts, certain trade claims, and certain OTC derivative
contracts (e.g., credit default swaps
https://www.justice.gov/epstein/files/DataSet%209/EFTA01118864.pdf
EFTA01288997Set 10
2016-12-31204p88,660w
perioclicalty wth your Clete Advisor.
Equities 48,000375.11 76.982.109.52 79,000.010.52
Exchange-Traded Products 0.00 2,952,000.00 2,972,400 00 3%
Mutual Funds ... Quantity Unit Cod Cod Bads Market Price Markel Value Gain! Loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier ... your margin account
12/11113 60.000.000 49 4350 2.966.098.50 49.5400 2.972.400.00 6.301.50 58.834.20 1.97%
Total Exchange-Traded Products $2,966,098.50 $2,972,400.00 $6,301.50 $58,834.20
Unrealized Accrued Estimated
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288997.pdf
EFTA00295515Set 9
2018-03-1627p14,283w
which are
themselves a form of derivative contract), the Partnership trades in exchange-traded and over-the-counter
derivatives, including, but not limited to, swaps, forwards, and other derivative interests
https://www.justice.gov/epstein/files/DataSet%209/EFTA00295515.pdf
EFTA00611654Set 9
2014-04-1650p20,780w
hedge fund fees. We don't need to micromanage over-the-
counter versus exchange-traded derivatives, swap margins, position limits, the bloated Basel
bank regulation mess, the definition of risk ... anything, the
opposite is true: my fire sale is your buying opportunity.
An exchange-traded fund (ETF) is a paradigmatic example of a run-proof intermediary. When
asset values fall ... liability values of an exchange-traded fund fall automatically and the fund
itself cannot go bankrupt.
For this reason, the tech boom and bust of the late 1990s
https://www.justice.gov/epstein/files/DataSet%209/EFTA00611654.pdf
EFTA01289201Set 10
2017-12-01240p98,707w
Mutual Funds 0.00 3.010.341.05 3,020,938.22
7% Exchange-Traded Products 2,972,400.00 6,427,720.00 8,444,920.00
100% Account Total (Pie Chart ... Acquired Quantity Una Cod Cod Bads Mond Rice Market Value maltose Annual Income Yield
EXCHANGE-TRADED PRODUCTS
ISHARESINC MSQ SOUTH KOREA Elf &tardy Identifier DV Y
Dividend Opt ion: Cash ... Acquired Nastily Unit Cod Cod Bads Market Rice Market Value GaIntLess Annual Income Yield
EXCHANGE-TRADED PRODUCTS (continued)
'SHARES TR CHINA LARGSCAPETF Security Identifier FXI
Dividend Option: Cash; Capital Gabs
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01289201.pdf
EFTA00314299Set 9
2016-11-1435p18,312w
options, shams of beneficial interest, warrants, convertible preferred obligations, over-the-counter
financial instruments, exchange-traded funds, mutual fund shares, special situation fixed income
obligations, bank debt and loans
https://www.justice.gov/epstein/files/DataSet%209/EFTA00314299.pdf
EFTA01079462Set 9
2016-03-3043p14,322w
Delaware);
• Fees and expenses of private funds, mutual funds and exchange-traded funds; and
• Fees and expenses of money market funds that hold cash balances
Neither Rockefeller ... small portion of a client's portfolio (with
the use of an exchange-traded fund for example) if the trading costs in a specific country, or
in a basket ... Government, unaffiliated, open-end mutual funds and other
specifically excepted securities. Exchange-traded funds have been exempted from the
preclearance requirement, but remain subject to an Access Person's reporting
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079462.pdf
EFTA01467202Set 10
2014-01-0163p8,145w
short position
12/11/13 *
-1,000.000
Total Options
Total Equities
Date Acquired
Quantity
Exchange-Traded Products
DEUTSCHE BK AG LONDON BRH DB AGRIC
DOUBLE LONG TRADED NT
Dividend Option: Cash; Capital ... Estimated
Yield
EFTA01467233
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Date Acquired
Quantity
Unit Cost
Exchange-Traded Products (continued)
WISDOMTREE TR JAPAN HEDGED EQUITY FD
Dividend Option: Cash; Capital Gains Option ... these shares are in your margin account
60,000.000
12/11/13
Total Exchange-Traded Products
Total U.S. DOLLARS
EURO
Description
Cash, Money Funds, and Bank Deposits
Global Cash Balance
Total Cash
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01467202.pdf
EFTA01793573Set 10
2014-10-156p2,044w
Trades:
- Investors take in 3.9% premium for selling Delta Airlines November 30-strike puts (exchange-traded):
(Source: Bloomberg, Oct-15, 2014)
3
EFTA_R1_00126688
EFTA01793575
- Investors take ... premium for selling United Airlines November 38-stri=e puts (exchange-traded):
(Source: Bloomberg, Oct-15, 2014)
- Investors take in 3.4% premium for selling American Airlines November 27-strike puts ... exchange-traded):
(Source: Bloomberg, Oct-15, 2014)
- Investors take in 3.4% premium for selling SouthWest Airlines November 28-strike puts (exchange-traded):
(Source: Bloomberg, Oct-15, 2014)
<=r>
THIS MATERIAL
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01793573.pdf
EFTA02592824Set 11
2014-10-155p1,704w
Trades:
- Investors take in 3.9% premium for selling Delta Airlines November 30-strike puts (exchange-traded):
(Source: Bloomberg, Oct-15, 2014)
- Investors take in 4% premium for selling United Airlines ... November 38-stri=e puts (exchange-traded):
2
EFTA_R1_01775920
EFTA02592825
(Source: Bloomberg, Oct-15, 2014)
- Investors take in 3.4% premium for selling American Airlines November 27-strike puts ... exchange-traded):
(Source: Bloomberg, Oct-15, 2014)
- Investors take in 3.4% premium for selling SouthWest Airlines November 28-strike puts (exchange-traded):
(Source: Bloomberg, Oct-15, 2014)
THIS MATERIAL
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02592824.pdf
EFTA01749754Set 10
2014-10-1512p1,816w
Trades:
- Investors take in 3.9% premium for selling Delta Airlines November 30-strike puts
(exchange-traded):
EFTA_R1_00046637
EFTA01749758
(Source: Bloomberg, Oct-15, 2014)
- Investors take in 4% premium ... selling United Airlines November 38-strike puts
(exchange-traded):
EFTA_R1_00046638
EFTA01749759
•
N
(Source: Bloomberg, Oct-15, 2014)
- Investors take in 3.4% premium for selling American Airlines November ... strike
puts (exchange-traded):
EFTA_R1_00046639
EFTA01749760
(Source: Bloomberg, Oct-15, 2014)
- Investors take in 3.4% premium for selling SouthWest Airlines November 28-
strike puts (exchange-traded):
EFTA
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01749754.pdf
EFTA01288772Set 10
2015-12-31225p98,138w
fleantity Vail Cat Cod Bails Market Price Market Value Gall Loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier ... 70t50 45,298.20 1.50%
Total Exchange-Traded Products $2,960,018.50 $3,001,800.00 $38,701.50 $45,290.20
Unrealized kaued Estimated
Cost Basis Markel Value Gain/ Loss Interest Annual Income
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288772.pdf
EFTA01288520Set 10
2014-12-01252p106,698w
Quantity Unit Cost Cod Basis Market Prkt Markel Value Gadd Loss Annual Income Yield
Exchange-Traded Products 2.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY ED Security Identifier ... account
12111113 60.000.000 49 4350 2.966.098.50 492300 2.953.800 00 -12.298.50 58,131.20 1.91%
Total Exchange-Traded Products 12,988,098.50 $2,953,800.00 -$12,298.50 $56,434.20
Um/talked Acaued Estimated
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288520.pdf
EFTA00791740Set 9
2016-12-0119p9,204w
Bank Deposits' 29,079.78 29,564.06 8%
Equities 294,808.45 299,414.20 76%
Exchange-Traded Products 64.941.00 64.673.00 16%
Account Total (Pie Chart ... Acquired Quantity Unit Cost Cost Bub Market Price Madrid Value Gain/Loss Annual Income Yield
Exchange-Traded Products 16.00% of Portfolio
ISHARES TR MSCI INDIA ETF Security Identifier: INDA
Dividend Option ... Acquired Quantity Unit Cost Cost Bash Market Price Market Value Gain/loss Annual Income Yield
Exchange-Traded Products (continued)
SELECT SECTOR SPDR TR MATIS Security Identifier: XLB
Dividend Option: Cash: Capital
https://www.justice.gov/epstein/files/DataSet%209/EFTA00791740.pdf
EFTA00791759Set 9
2016-12-0134p13,741w
Mutual Funds 100,418.82 100,230.24 4% I
Exchange-Traded Products 317,501.00 345,630.00 12%
Account Total (Pie Chart) $2,723,609.31 $2,752,348.97 100%
I The Bank ... Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield
Exchange-Traded Products 12.00% of Portfolio
ISHARES TR MSCI INDIA ETF Security Identifier: INDA
DMdend Option ... Acquired Ouantity Unit Cost Cost Basis Market Prke Market Value Gain/loss Annual Income Yield
Exchange-Traded Products (continued)
SELECT SECTOR SPDR TR INDL (continued)
12/07/16
https://www.justice.gov/epstein/files/DataSet%209/EFTA00791759.pdf
security or
instrument may be less than, the risk associated with an exchange-traded security. In addition,
significant disparities may exist between "bid" and "asked" prices for derivatives that ... exchanges also may not be subject to the same
type of government regulation as exchange-traded securities, and many of the protections afforded
to participants in a regulated environment
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384665.pdf