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Corpus: 1990-03-17 – 2025-12-01

January 2013

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Results by Dataset176 total

Set 9

Set 10

142

Set 11

results for “"Fds"”

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EFTA01565004Set 10

2013-01-01147p14,188w

Period 1/1/13 to 1/31/13 Equity Detail Price US Large Cap Equity SIT MUT FDS INC DIVIDEND GRWTH 82980D-70-7 SDVG X Asia ex-Japan Equity MATTHEWS ASIA DIVIDEND INSTITUTIONAL ... MAXWELL - TAP DYS ACCT. For the Period 1/1/13 to 1/31/13 Price Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds ... Period 1/1/13 to 1/31/13 Quantity/Original Commitment Amount Real Estate & Infrastructure NUVEEN INVT FDS INC GLOB INFRAST I 670690-51-0 FGIY X Total Real Estate & Infrastructure

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565004.pdf

EFTA01565189Set 10

2013-02-01149p14,932w

Period 2/1/13 to 2/28/13 Equity Detail Price US Large Cap Equity SIT MUT FDS INC DIVIDEND GRWTH 82980D-70-7 SDVG X Asia ex-Japan Equity MATTHEWS ASIA DIVIDEND INSTITUTIONAL ... MAXWELL - TAP DYS ACCT. For the Period 2/1/13 to 2/28/13 Price Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds ... Period 2/1/13 to 2/28/13 Quantity/Original Commitment Amount Real Estate & Infrastructure NUVEEN INVT FDS INC GLOB INFRAST I 670690-51-0 FGIY X Total Real Estate & Infrastructure

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565189.pdf

EFTA01565547Set 10

2013-04-01157p15,782w

Period 4/1/13 to 4/30/13 Equity Detail Price US Large Cap Equity SIT MUT FDS INC DIVIDEND GRWTH 82980D-70-7 SDVG X Asia ex-Japan Equity MATTHEWS ASIA DIVIDEND INSTITUTIONAL ... MAXWELL - TAP DYS ACCT. For the Period 4/1/13 to 4/30/13 Price Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds ... Period 4/1/13 to 4/30/13 Quantity/Original Commitment Amount Real Estate & Infrastructure NUVEEN INVT FDS INC GLOB INFRAST I 670690-51-0 FGIY X Total Real Estate & Infrastructure

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565547.pdf

EFTA01565365Set 10

2012-12-31135p13,803w

Period 3/1/13 to 3/31/13 Equity Detail Price US Large Cap Equity SIT MUT FDS INC DIVIDEND GRWTH 82980D-70-7 SDVG X Asia ex-Japan Equity MATTHEWS ASIA DIVIDEND INSTITUTIONAL ... MAXWELL - TAP DYS ACCT. For the Period 3/1/13 to 3/31/13 Price Hedge Funds HSBC FDS TOTAL RETURN I HTRI X Total Hedge Funds $174,725.22 $173,763.35 Quantity Estimated Value ... Period 3/1/13 to 3/31/13 Quantity/Original Commitment Amount Real Estate & Infrastructure NUVEEN INVT FDS INC GLOB INFRAST I 670690-51-0 FGIY X Total Real Estate & Infrastructure

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565365.pdf

EFTA01567052Set 10

2014-02-21155p15,764w

ACCT. For the Period 12/1/13 to 12/31/13 Price Hedge Funds GATEWAY FUND-Y HSBC FDS Total Hedge Funds 28.99 367829-88-4 GTEY X 9.85 TOTAL RETURN I 40428X ... Fixed Income AVENUE MUT FDS TR CRED STRA INST 05358F-30-1 COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC 19248X-30-7 METROPOLITAN WEST FDS TOTAL ... 11/29/13 INCOME DIVIDEND @ 0.043 PER SHARE AS OF 11/29/13 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 12/02/13 INCOME DIVIDEND @ 0.010 PER SHARE (ID: 40428X-15-6) METROPOLITAN WEST

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

EFTA01566867Set 10

2014-01-01153p15,088w

MAXWELL - TAP DYS ACCT. For the Period 11/1/13 to 11/30/1 Price Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds ... Fixed Income HARBOR HIGH YIELD BOND-INST HARBOR CONVERTIBLE SEC-INST AVENUE MUT FDS TR 411511-55-3 10.97 411512-73-4 11.35 CRED STRA INST 05358F ... Income 3PM STRAT INCOME OPPORT FD - SEL FUND 3844 4812A4-35-1 METROPOLITAN WEST FDS TOTAL RET CL I 592905-50-9 RIDGEWORTH SEIX FLOATING-I TRP INST FLOATING RATE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566867.pdf

EFTA01565740Set 10

2013-05-01139p14,270w

MAXWELL - TAP DYS ACCT. For the Period 5/1/13 to 5/31/13 Price Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds ... 04/30/13 INCOME DIVIDEND @ 0.044 PER SHARE AS OF 04/30/13 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 05/01/13 INCOME DIVIDEND @ 0.005 PER SHARE (ID: 40428X-15-6) PRUDENTIAL TOTAL ... 04/30/13 INCOME DIVIDEND @ 0.071 PER SHARE AS OF 04/30/13 (ID: 19248X-30-7) DOUBLELINE FDS TR TTL RTN BD I 04/30/13 INCOME DIVIDEND @ 0.043 PER SHARE AS OF 04/30/13

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565740.pdf

EFTA01567413Set 10

2014-02-01137p14,690w

01/31/14 INCOME DIVIDEND @ 0.042 PER SHARE AS OF 01/31/14 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 02/03/14 INCOME DIVIDEND @ 0.005 PER SHARE (ID: 40428X-15-6) METROPOLITAN WEST ... FDS TOTAL RET CL I 01/31/14 INCOME DIVIDEND @ 0.018 PER SHARE AS OF 01/31/14 (ID: 592905-50-9) COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC 01/31/14 INCOME DIVIDEND ... Free Delivery 2/26 2/26 2/26 Free Delivery Free Delivery Free Delivery Description AVENUE MUT FDS TR CRED STRA INST TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 05358F

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01567413.pdf

EFTA01567243Set 10

2014-02-21144p14,702w

ACCT. For the Period 1/1/14 to 1/31/14 Price Hedge Funds GATEWAY FUND-Y HSBC FDS Total Hedge Funds 28.53 367829-88-4 GTEY X 9.84 TOTAL RETURN I 40428X ... Fixed Income HARBOR HIGH YIELD BOND-INST HARBOR CONVERTIBLE SEC-INST AVENUE MUT FDS TR 411511-55-3 11.07 411512-73-4 11.46 CRED STRA INST 05358F-30-1 DOUBLELINE ... ACCT.0 For the Period 1/1/14 to 1/31/14 Price US Fixed Income METROPOLITAN WEST FDS TOTAL RET CL I 592905-50-9 RIDGEWORTH SEIX FLOATING-I TRP INST FLOATING RATE

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

EFTA00258915Set 9

2019-06-09100p21,339w

Pebble beach not poured: To begin next week on rebar footing and pour for FDs. Then stone wall and roof schedule dependent LSI - PEBBLE BEACH on wall. 8 weeks tentative ... Pebble beach not poured: To begin next week on rebar footing and pour for FDs. Then stone wall and roof schedule dependent LS1- PEBBLE BEACH on wall. 8 weeks tentative ... Pebble beach not poured: To begin next week on rebar footing and pour for FDs. Then stone wall and roof schedule dependent LSJ - PEBBLE BEACH on wall. 8 weeks tentative

https://www.justice.gov/epstein/files/DataSet%209/EFTA00258915.pdf

EFTA01566688Set 10

2013-12-01148p14,644w

ACCT. I For the Period 10/1/13 to 10/31/13 Price Quantity Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds $154,392.24 $153,865.01 Estimated ... ACCT. For the Period 10/1/13 to 10/31/1 Price US Fixed Income METROPOLITAN WEST FDS TOTAL RET CL I 592905-50-9 RIDGEWORTH SEIX FLOATING-I TRP INST FLOATING RATE ... 09/30/13 INCOME DIVIDEND @ 0.042 PER SHARE AS OF 09/30/13 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 10/01/13 INCOME DIVIDEND @ 0.008 PER SHARE (ID: 40428X-15-6) PRUDENTIAL TOTAL

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

EFTA01565909Set 10

2013-06-01147p14,553w

MAXWELL - TAP DYS ACCT. For the Period 6/1/13 to 6/30/13 Price Hedge Funds HSBC FDS TOTAL RETURN I HTRI X Total Hedge Funds $152,365.99 $153,865.01 Quantity Estimated Value ... RATE ADVANTAGE I 05/31/13 INCOME DIVIDEND @ 0.045 PER SHARE AS OF 05/31/13 (ID: ) HSBC FDS TOTAL RETURN I 06/03/13 INCOME DIVIDEND @ 0.005 PER SHARE (ID: ) Tax-Exempt Income PRUDENTIAL TOTAL ... Assets Detail Price Hedge Funds GOLDMAN SACHS TR STRG INCM INST GSZI X HSBC FDS TOTAL RETURN I HTRI X PIMCO UNCONSTRAINED BOND-P PRUDENTIAL INVT PORTFOLIOS 9 PUCP

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

EFTA01566500Set 10

2013-06-30156p15,338w

MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 Price Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds ... 08/30/13 INCOME DIVIDEND @ 0.044 PER SHARE AS OF 08/30/13 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 09/03/13 INCOME DIVIDEND @ 0.005 PER SHARE (ID: 40428X-15-6) PRUDENTIAL TOTAL ... Hedge Funds GOLDMAN SACHS TR STRG INCM INST 38145C-64-6 GSZI X HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X PIMCO UNCONSTRAINED BOND-P PRUDENTIAL INVT PORTFOLIOS

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

EFTA01566306Set 10

2013-08-01161p15,732w

MAXWELL - TAP DYS ACCT For the Period 8/1/13 to 8/31/13 Price Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds ... 07/31/13 INCOME DIVIDEND @ 0.042 PER SHARE AS OF 07/31/13 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 08/01/13 INCOME DIVIDEND @ 0.005 PER SHARE (ID: 40428X-15-6) PIMCO EMERGING ... Hedge Funds GOLDMAN SACHS TR STRG INCM INST 38145C-64-6 GSZI X HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X PIMCO UNCONSTRAINED BOND-P PRUDENTIAL INVT PORTFOLIOS

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566306.pdf

EFTA01566101Set 10

2013-07-01167p16,599w

MAXWELL - TAP DYS ACCT. For the Period 7/1/13 to 7/31/13 Price Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds ... 06/28/13 INCOME DIVIDEND @ 0.043 PER SHARE AS OF 06/28/13 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 07/01/13 INCOME DIVIDEND @ 0.004 PER SHARE (ID: 40428X-15-6) Tax-Exempt ... Hedge Funds GOLDMAN SACHS TR STRG INCM INST 38145C-64-6 GSZI X HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X PIMCO UNCONSTRAINED BOND-P PRUDENTIAL INVT PORTFOLIOS

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566101.pdf

EFTA01299737Set 10

2015-09-2434p7,146w

AVAILABLE MCMAHAN 09/25/15 14.36.55 LCK MONAPER 09/25/15 14.36.32 ULK MONAPER 09/25/15 14.36.32 APP FDS AVA VD 9-28/W9/MULTI/AML APP/LOA RECD/DBAB MONAPER 09/25/15 14.34.11 LCK WORKAUTO 09/25/15 14.18.38 APP P6XEZKOZ ... USER ID DATE TIME STATUS COMMENTS MASER 09/25/15 09.46.52 ULK WiNAPER 09/25/15 09.46.52 APP FDS AVA VD 9-28/NO W8 N9/110 SALES/LOA RZCD/AUTHRIZED SIGNER LIST IN HAND/DRAB MGNAPER 09/25/15 ... STATUS COMMENTS MONICSMI 09/25/15 08.16.11 SNT WGICKSMI 09/25/15 08.16.11 ULX MCMXSMI 09/25/15 08.16.11 APP FDS AVA VD 9-25/W9/LOA RECD/DBAB/FDS TO COVER FEE WONXSMI 09/25/15 08.16.02 LCX MGNAPER 09/25/15

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01299737.pdf

EFTA01518144Set 10

2013-01-311p178w

1/30 SHAREHOLDER SERVICING AGENT fa 10.26 (ID: 1/29 Purchase PIMCO FDS UNCONSTR BD (ID: 17.107.465 11.52 (197,078.00) 1/30 1/29 Purchase PRUDENTIAL INVT PORTFOLIOS 9 PRU ABRTN ... 1/30 OD: 1/29 Purchase RBC FDS TR BLUBAY ABRTR I (ID: 1Z911.799 1017 (131,313.00) 1/30 1/29 Purchase EATON VANCE FLOATING RATE ... 1/29 Purchase HSBC FDS TOTAL RETURN I (ID: 4,824.198 10.29 (49,641.00) 1/30 1/29 Purchase DOUBLELINE FDS TR TTL RTN BD I (ID: 13,146.134 11.38 (14960300) 1/30 Total

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01518144.pdf

EFTA01518550Set 10

2013-05-011p251w

SHARE AS OF 04/30/13 (ID: 277911-49-1) 5/1 Div Domest HSBC FDS TOTAL RETURN 106/01/13 INCOME 4,824.198 0.005 24.13 DMDEND @ 0.005 PER SHARE (ID: 40428X ... SHARE AS OF 04/30/13 (ID: 74441J-82-9) 5/2 Div Domest DOUBLEUNE FDS TR TTL WIN BD 104130/13 INCOME 13,146.134 0.043 564.12 DIVIDEND 00.043 PER SHARE AS OF 04/30/13 ... Domest PIMCO FDS UNCONSTR BD 04130/13 INCOME DIVIDEND 17,107.465 0.01 169.68 0.010 PER SHARE AS OF 04/30/13 (ID: 72201M-45-3) 5/2 Div Domest RBC FDS TR BLUBAY ABRTR

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01518550.pdf

EFTA01518247Set 10

2013-02-011p231w

SHARE AS OF 01/31/13 (ID: 277911-49-1) 2/1 Div Domest HSBC FDS TOTAL RETURN 102/01/13 INCOME 4,824.198 0.005 24.12 DIVIDEND 0.006 PER SHARE (ID: 40428X ... SNARE AS OF 01/31/13 (ID: 74441J-82-9) 2/4 Dlv Domest DOUBLEUNE FDS TR TTL RTN BD 101/31/13 INCOME 13,146.134 0.046 606.06 DIVIDEND O 0.048 PER SHARE ... 01/31/13 (ID: 258620-10-3) 2/4 Div Domest PIMCO FDS UNCONSTR BD 01/31/13 INCOME DIVIDEND 17,107.465 0.001 9.96 0.006 PER SHARE AS OF 01/31/13 (ID: 72201M

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01518247.pdf

EFTA01279860Set 10

2014-08-3110p2,582w

OR1G PRICE ANNUAL ANNUAL 0RIG COST PRICE MARKET VALUE GAINtoss income YIELD (Vs) () MAINSTAY FDS TR HIGH YIELD OPPTYS FD CLASS A MMHAX- HELD IN MARGIN Reinvestments ... MAINSTAY FDS TR HIGH YIELD MUNICIPAL BOND FD CL A MMHAX Acquired 06/16/10 tip 73,457.39500 10.21 750.000.00 866,796 51 . 116.796.53 Acquired 08(06/10 ... 7131/14 08/01 Margin DIVIDEND MAINSTAY FDS TR HIGH YIELD OPPTYS FO 462.15 0 CLASS A 073119 8.297.17500 AS OF 7/31/14 08/01 Cash REINVEST DIV 694.19000 YIELD MUNICIPAL CI A REINVEST

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01279860.pdf