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EFTA01378978Set 10

1p308w

Initial Level Because the Final Level of an Underlying is less than its Knock-In Level, a Knock-In Event has occurred. RTY is the Lowest Performing Underlying. Therefore ... Final Level of each Underlying is equal to or greater than its Knock-In Level, a Knock-In Event has not occurred. Even though the Final Level of each Underlying ... Final Level of each Underlying is equal to or greater than its Knock-In Level, a Knock-In Event has not occurred. Therefore, the Redemption Amount equals

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378978.pdf

EFTA01425313Set 10

2018-10-1134p8,972w

table below, together with its Bloomberg ticker symbol, Initial Level and expected Knock-In Level and Coupon Barrier Level (each level to be determined on the Trade Date): Underlying ... Index Nasdaq-100 Index Contingent Coupons: Ticker SPX RTY NDX Initial Level Knock-In Level (Approximately 75% of Initial Level) (Approximately 75% of Initial Level) (Approximately 75% of Initial Level ... will occur if the Final Level of any Underlying is less than its Knock-In Level. 1 EFTA01425317 Lowest Performing Underlying: Underlying Return: The Underlying with the lowest Underlying Return

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425313.pdf

EFTA01378973Set 10

2019-01-221p763w

table below, together with its Bloomberg ticker symbol, Initial Level and expected Knock-In Level and Coupon Barrier Level (each level to be determined on the Trade Date): Underlying Ticker ... Initial Level Knock-In Level Coupon Barrier Level S&P 500ts Index SPX (Approximately 75% (Approximately 75% of Initial Level) of Initial Level) Russell 2000x RTY (Approximately 75% (Approximately ... will occur if the Final Level of any Underlying is less than its Knock-In Level. Event: 1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378973.pdf

EFTA01378979Set 10

1p1,051w

Coupon Barrier Level on any trading day during an Observation Period or a) Knock-In Level on the Valuation Date, indicating a higher expected risk of loss on the securities ... maturity, or in more favorable terms (such as lower Coupon Barrier Levels or Knock-In Levels) than for similar securities linked to the performance of an underlying with a lower ... indicate an increased risk of loss. Further, relatively lower Coupon Barrier Levels or Knock-In Levels may not necessarily indicate that you will receive a contingent coupon on any Contingent

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378979.pdf

EFTA01378976Set 10

1p497w

term of the securities is exactly two years and (iv) the Knock-In Level for each Underlying is 75% of the Initial Level of such Underlying. The actual contingent coupon ... Knock-In Levels will be determined on the Trade Date. The examples are intended to illustrate hypothetical calculations of only the Redemption Amount and do not illustrate the calculation

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378976.pdf

EFTA01378980Set 10

2019-01-221p1,058w

Final Level of the Lowest Performing Underlying is less than its Knock-In Level, you will be exposed to the depreciation of the Lowest Performing Underlying and you will ... Level of at least one of the Underlyings will be less than its Knock-In Level and (ii) a Coupon Barrier Event occurs with respect to at least

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378980.pdf

EFTA00947228Set 9

2012-11-023p484w

would like to do $4-5MM USD worth of this. The knock-in level was only briefly touched once in 2009. So I feel we have a good buffer

https://www.justice.gov/epstein/files/DataSet%209/EFTA00947228.pdf

EFTA00701474Set 9

2012-11-022p398w

would like to do 54-5MM USD worth of this. The knock-in level was only briefly touched once in 2009. So I feel we have a good buffer

https://www.justice.gov/epstein/files/DataSet%209/EFTA00701474.pdf