EFTA01118459Set 9
16p7,997w
located in emerging market countries involves additional risks, such as
28
EFTA01118459
lated to HCC
Substantial Fees and Expenses.
erage commissions whether or not I-ICC will pay management fees ... makes any trading profits. HCC and
tantial profits from its investments to avo must therefore make
id depletion or exhaustion of its ass
penses. In addition, an incentiv ets from ... vehicles, the Portfolio's pro , and , with collective
rata share of the operating expens
HCC will share pro rata in these expens es of such vehicles.
es. Outside trader management
https://www.justice.gov/epstein/files/DataSet%209/EFTA01118459.pdf
EFTA01592816Set 10
2005-08-0137p4,169w
LYON CVT DUE 2
05/11/2031
TO 736FY0 FROM 746FY0
-1,000,000 HCC INS HLDGS INC NT CVT
02.0000 09/01/2021
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-600,000 HCC ... DESCRIPTION
26,100 FRANKLIN RESOURCES INC
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
160 HCC INSURANCE HOLDINGS INC
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
42,200 HCC INSURANCE HOLDINGS ... OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
24,200 HCC INSURANCE HOLDINGS INC
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
910 PPL CORP
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01592816.pdf
EFTA01118475Set 9
2007-09-2513p6,538w
Master commenced operations on May I, 2005 when
Highbridge Capital Corporation ("HCC"), an exempt company incorporated under the laws of the
Cayman Islands, contributed substantially all of its net assets ... Master Fund was organized to facilitate the joint implementation of the trading strategies of
HCC, (the "Offshore Feeder"), Highbridge Capital L.P. ("IICLP") and HMLP Private Investors
LLC ("HMLP") (the "Onshore ... Participation Agreement
Effective December 31, 2008, the Feeders, redeemers and certain shareholders of HCC participate
in the Dislocated Assets indirectly through HB Multi-Strategy Holdings. The Dislocated Assets are
included
https://www.justice.gov/epstein/files/DataSet%209/EFTA01118475.pdf
EFTA01593507Set 10
2005-08-0156p5,756w
LYON CVT DUE 2
05/11/2031
TO 736FY0 FROM 746FY0
1,000,000 HCC INS HLDGS INC NT CVT
02.0000 09/01/2021
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
600,000 HCC ... MARKET
-26,100 FRANKLIN RESOURCES INC
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-160 HCC INSURANCE HOLDINGS INC
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-42,200 HCC INSURANCE HOLDINGS ... OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
EFTA01593533
-24,200 HCC INSURANCE HOLDINGS INC
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01593507.pdf
EFTA00713702Set 9
2012-08-2225p8,432w
period.
The first sticking point relates to the regulation of the High Constitutional
Court (HCC).
EFTA00713710
On 15 August, Minister of Justice Ahmed Mekki and Judges' Club
Chairman Ahmed ... Zind gave two contradicting points of view about the
future role of the HCC during a meeting of the assembly's judicial
authority subcommittee.
Minister Mekki said the HCC should ... Mekki's view was strongly rejected by El-Zind and some members of the
HCC's board, such as Hossam Bagato, who insisted that the HCC must be
kept independent
https://www.justice.gov/epstein/files/DataSet%209/EFTA00713702.pdf
EFTA01887731Set 10
2012-08-2035p8,485w
point relates to the regulation of the High
EFTA_R1_00304936
EFTA01887743
Constitutional Court (HCC).
On 15 August, Minister of Justice Ahmed Mekki and Judges'
Club Chairman Ahmed El-Zind ... gave two contradicting points of
view about the future role of the HCC during a meeting of the
assembly's judicial authority subcommittee.
Minister Mekki said the HCC should ... Mekki's view was strongly rejected by El-Zind and some
members of the HCC's board, such as Hossam Bagato, who
insisted that the HCC must be kept independent
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01887731.pdf
EFTA02007169Set 10
2012-08-2035p8,487w
point relates to the regulation of the High
EFTA_R1_00506901
EFTA02007181
Constitutional Court (HCC).
On 15 August, Minister of Justice Ahmed Mekki and Judges'
Club Chairman Ahmed El-Zind ... gave two contradicting points of
view about the future role of the HCC during a meeting of the
assembly's judicial authority subcommittee.
Minister Mekki said the HCC should ... Mekki's view was strongly rejected by El-Zind and some
members of the HCC's board, such as Hossam Bagato, who
insisted that the HCC must be kept independent
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02007169.pdf
EFTA01581927Set 10
2005-08-011p302w
OFFSHORE ARRANGING FLIP
TO 7 36FY0 FROM 746FY0
03 08/03 JOURNAL 160 HCC INSURANCE HOLDINGS INC 4, 45 5.01
OFFSHORE ARRANGING FLIP
TO 736F10 FROM 746FY0
03 08/03 JOURNAL ... HCC INSURANCE HOLDINGS INC 1,164,671.22
OFFSHORE ARRANGING FLIP
TO 736F10 FROM 746F10
03 08/03 JOURNAL 24,200 HCC INSURANCE HOLDINGS INC 671,037.89
OFFSHORE ARRANGING ... CORRECTION
DONE AT MERRILL LYNCH, PIERCE,
FENNER AND SMITH, INC.
03 08/03 SOLD -160 HCC INSURANCE HOLDINGS INC 27 .8 500 0 4, 9 55. 01
DONE AT EDGETFtADE.COM
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01581927.pdf
EFTA01197606Set 9
2014-08-292p1,032w
Haze Trust made investments in several hedge funds,
including Highbridge Capital Corporation ("HCC"). These investments generated substantial
income, much of which was passive foreign investment company ("PFIC") ordinary income ... through 2006, a Section 1294 election was made with respect to
the investment in HCC. During the years 2007 through 2012, the taxes were paid currently on
the PFIC income ... generated.
On July 15, 2014, an order to liquidate THT's interest in HCC, effective August 31, 2014, was
entered. The liquidation of the interest will result in the termination
https://www.justice.gov/epstein/files/DataSet%209/EFTA01197606.pdf
EFTA01581928Set 10
2005-08-011p283w
DATE TRANSACTION QUANTITY DESCRIPTION PRICE DEBIT CREDIT
03 08/03 SOLD -24, 200 HCC INSURANCE HOLDINGS INC 27 .7 800 0 671, 037.89
CORRECT ION
DONE AT DEUTSCHE ... 08/04 MRKD/MARKET MARK TO MARKET 50, 52 8.27
01 08/04 JOURNAL 600,000 HCC INS HLDGS INC NT CVT 794,228.67
02.0000 09/01/2021
OFFSHORE ARRANGING FLIP
TO 736F10 FROM 746FY0 ... 08/04 JOURNAL -600,000 HCC INS HLDGS INC NT CVT 795,58£ . ‘
02.0000 09/01/2021
OFFSHORE ARRANGING FLIP
TO 736F10 FROM 746FY0
01 08/04 JOURNAL 600, 000 HCC INS HLDGS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01581928.pdf
EFTA01128412Set 9
2014-07-154p995w
Haze Trust made investments in several
hedge funds, including
Highbridge Capital Corporation ("HCC"). These investments generated substantial
income, much of
which was passive foreign investment company ("PFIC") ordinary income ... through 2006, a section
1294 election was
made with respect to the investment in HCC. During the years 2007 through 2012,
the taxes were paid
currently on the PFIC income ... generated.
On July 15, 2014, an order to liquidate THT interest in HCC effective August 31, 2014
was entered. The
liquidation of the interest will result in the termination
https://www.justice.gov/epstein/files/DataSet%209/EFTA01128412.pdf
EFTA01582265Set 10
2005-08-011p271w
05/11/ 2 031
TO FROM
01 08/03 JOURNAL 1,0 00, 00 0 HCC INS HLDGS INC NT CVT 1,320,794.44
02.0000 09/01/2021
OFFSHORE ARRANGING FLIP
TO FROM ... 08/03 JOURNAL 6 00, 000 HCC INS HLDGS INC NT CVT 7 94, 22 8.67
02.0000 09/01/2021
OFFSHORE O ARRANG G IP
TO FROM
01 08/03 JOURNAL -9, 000 BARNES ... FRANKLIN RESOURCES INC 2,115,316.52
OFFINIARRANGIFil P
TO FROM
03 08/03 JOURNAL -160 HCC INSURANCE HOLDINGS INC 4,455. •
OFFSHORE ARRANGING FLIP
TO FROM -
03 08/03 JOURNAL
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01582265.pdf
EFTA01593869Set 10
2006-10-0132p3,478w
ENERGY CORP
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-1,000 HCC INSURANCE HOLDINGS INC
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-400 CBRL GROUP INC
OFFSHORE ARRANGING FLIP ... SHARES
UNISOURCE ENERGY CORP HLDGS CO
SUBSTITUTE DIVIDEND CHARGE
10/10/06 ON -10215 SHARES
HCC INSURANCE HOLDINGS INC
SUBSTITUTE DIVIDEND CHARGE
10/13/06 ON -72460 SHARES
AMERICAN FINL GROUP INC
SUBSTITUTE DIVIDEND ... NEUTRAL
INDEPENDENT RATING:3 STAR - Hold
PROVIDER:Standard & Poor's
73,460 (S) HCC INSURANCE HOLDINGS INC
1,103 (S) MASCO CORP
*CSSU RATING
116,180 (S) PPL CORP
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01593869.pdf
EFTA01594006Set 10
2006-04-0151p5,189w
MARKET
-1,360 RPM INCORPORATED
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-270 HCC INSURANCE HOLDINGS INC
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-485 CSX CORPORATION
OFFSHORE ARRANGING FLIP ... BONDS
VORNADO RLTY L P
03.8750 04/15/2025
INTEREST CREDIT
04/15/06 ON 2000000 BONDS
HCC INSURANCE HOLDINGS INC
SUBSTITUTE DIVIDEND CHARGE
04/14/06 ON -72760 SHARES
5,457.00
EFTA01594042 ... NEUTRAL
INDEPENDENT RATING:2 STAR - Avoid
PROVIDER:Standard & Poor's
73,030 (S) HCC INSURANCE HOLDINGS INC
1,200
*CSSU RATING
17,673 (S) MASCO CORP
*CSSU RATING
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01594006.pdf
EFTA02714282Set 11
8p3,952w
APPROVED Time
Phatel suns in IHV11. Phase non Aug 13.
UM • PHU Oncology
Phasell HCC Vial intik/14,0,N Phase II data in 21414
WM- Ebola • (bola Virus Infection ... Neuroendocrine Tumours (GI-NET), Adrenocortical Carcinoma
(ACC) and will soon begin a Hepatocellural Carcinoma (HCC).
• GI-NET — Refers to a group of usual and complex cancers that neuroendocrine cells
arising ... currently there are no approved anti-tumour drug
treatments indicated specifically for GI-NET.
• HCC — Primary liver cancer, or hepatocellular carcinoma is one of the most common
cancers worldwide, with
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02714282.pdf
EFTA01593041Set 10
2007-03-0123p2,423w
05/13/2033
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
1,600,000 HCC 2 09/01/21
02.0000 09/01/2021
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
EFTA01593055
700,000 CMS 3.375 07/15/23 ... ENERGY CORP
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-73,060 HCC INSURANCE HOLDINGS INC
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-34,010 AMERICAN FINL GROUP INC
OFFSHORE ARRANGING ... GROUP INC CVT
01.4861 06/02/2033
DONE AT CITIGROUP GLOBAL
MARKETS, INC.
-1,600,000 HCC 2 09/01/21
02.0000 09/01/2021
DONE AT CITIGROUP GLOBAL
MARKETS, INC.
73,060 HCC INSURANCE HOLDINGS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01593041.pdf
EFTA01197764Set 9
8p3,954w
started in Jan/II. Phase II in Aug 13.
TKM- P11(1. Oncology
Pha sole HCC trial In HI/14. GI.Net Phase II data in 2H14
TICM-Ebola (bola Virus Infection
TICM ... Neuroendocrine Tumours (GI-NET), Adrenocortical Carcinoma
(ACC) and will soon begin a Hepatocellural Carcinoma (HCC).
▪ GI-NET — Refers to a group of usual and complex cancers that neuroendocrine cells
arising ... currently there are no approved anti-tumour drug
treatments indicated specifically for GI-NET.
✓ HCC — Primary liver cancer, or hepatocellular carcinoma is one of the most common
cancers worldwide, with
https://www.justice.gov/epstein/files/DataSet%209/EFTA01197764.pdf
EFTA01593901Set 10
2006-09-0133p3,434w
FEES
08-2006
REBATE ON SHORT SALES
FOR THE MONTH OF AUGUST
INTEREST CREDIT
HCC 2 09/01/21
02.0000 09/01/2021
INTEREST CREDIT
09/01/06 ON 1600000 BONDS
UNISOURCE ENERGY CORP CVT 144A ... LONG OR
SHORT(S)
72,460 (S) HCC INSURANCE HOLDINGS INC
1,103 (S) MASCO CORP
*CSSU RATING
116,105 (S) PPL CORP
57,090 (S) RPM INCORPORATED ... 144A
EDO CORP CVT SR SUB NTS
GENERAL MTRS CORP CV C 33
HCC INS HLDGS INC NT CVT
MASCO CORP CVT
PPL ENERGY SUPPLY LLC CVT
02.6250 05/15/2023
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01593901.pdf