EFTA01569880Set 10
2011-11-01138p14,308w
EFTA01569915
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years,
5-10 years ... years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their ... stated maturity.
Note:
P indicates position adjusted for Pending Trade Activity.
**
A - Bonds purchased at a premium show amortization.
This is the Annual Percentage Yield (APY) which is the rate
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01569880.pdf
EFTA01470148Set 10
2013-07-1646p12,699w
Final Commodity Value / Initial Commodity Value — 1
Cash Settlement
Potential Payment at Maturity (per Note)
IIIf a Downside Trigger Event HAS NOT occurred, you will receive: $1,000
plus ... receive at least the Contingent Minimum Return and your
conditional principal
protection at maturity will be terminated if, on the Final Valuation Date,
the Final Commodity Value is
below ... Reference
Commodity is volatile
IIYou should be willing to hold the Notes to maturity and accept that there
may be little or no
secondary market for the Notes
IIYou assume
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01470148.pdf
EFTA01091832Set 9
2004-11-1967p15,221w
Exchange
(CBOE) or the American Stock Exchange (AMEX), and generally have
predetermined strike prices, maturities, exercise styles and settlement methods.
Over-the-counter ("OTC") equity options are private agreements negotiated ... privately negotiated structures
relative to exchange-traded products is important in the areas of maturities, stock
This educational presentation is intended for discussion among professionals only and is not intended ... counterparty at some predetermined price
(the strike price) at some future date (the maturity date). Buying puts protects the
shareholder in the event that the value of the underlying shares
https://www.justice.gov/epstein/files/DataSet%209/EFTA01091832.pdf
EFTA01566101Set 10
2013-07-01167p16,599w
Page 12
EFTA01566125
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years'
10+ years ... years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their ... stated maturity.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MMKT FD - MORGAN
FUND
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566101.pdf
EFTA01565740Set 10
2013-05-01139p14,270w
Page 12
EFTA01565763
GHISLAINE MAXWELL ACCT.
For the Period 5/1/13 to 5/31/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years'
10+ years ... years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their ... stated maturity.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MMKT FD - MORGAN
FUND
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565740.pdf
EFTA00195963Set 9
2005-12-01332p61,188w
NOTE 5.000.000 101.70313 5,0115.19625
04,260% FA 15 ACM INT, 10,394.02
TO MATURITY
GVER REF # G2442669 Al
09.02/05 09/01105 BOUGHT UNITED STATES TREASURY NOTE ... ACCR. 9[1, 2.209.94
MATURITY
GVER REF tt G2443875 Al
027 1001005:11:SO 001 V8SC
EFTA00195981
CLEARED THROUGH ITS
MOLLY CALY*0 SUBSIDIARY
OFFICE SERVICING YOUR ACCOUNT
1. S1ean ... BOUGHT UNITED STATES TREASURY 143TE 10.000.000 100.55469 10655.468.75
04.000% FA 28 ACM INT. 2209.94
MATURITY
GVER REF # G2443878 Al
09107/05 09/06105 SOLD UNITED STATES TREASURY NOTE
https://www.justice.gov/epstein/files/DataSet%209/EFTA00195963.pdf
EFTA01569747Set 10
2011-06-3066p7,723w
EFTA01569761
GHISLAINE MAXWELL ACCT.
For the Period 9/1/11 to 9/30/11
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years,
5-10 years,
Total ... years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their ... stated maturity.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MM FD - MORGAN
Total Cash
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01569747.pdf
EFTA01566688Set 10
2013-12-01148p14,644w
Page 12
EFTA01566712
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years,
10+ years,
Total Value ... years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their ... stated maturity.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM TR I NY MUNI MM FD - MORGAN
FUND
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566688.pdf
EFTA01436668Set 10
331p68,401w
Initial Exchange
Date
Interim Exchange Date; Periodic Exchange
Date
Final Exchange Date; Exchange Date; Maturity
Date
Trade
Date
ARTICLE 4
CERTAIN DEFINITIONS RELATING TO PAYMENTS
SECTION 4.1.
SECTION 4.2.
SECTION ... unless otherwise specified in the related Confirmation.
Section 3.6. Final Exchange Date; Exchange Date; Maturity Date. "Final
Exchange Date",
"Exchange Date" or "Maturity Date" means, in respect of a Swap ... rate
for
Australian Dollar bills of exchange for a period of the Designated Maturity
which appears on the
Reuters Screen 0#AUBBSW= Page as of 10:00 a.m., Sydney time
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01436668.pdf
EFTA01465578Set 10
2013-03-1322p7,232w
investment in the Notes.
• Senior unsecured debt obligations of HSBC USA Inc. maturing March 27, 2014.
• Minimum denominations of $10,000 and integral multiples of $1,000 in
excess thereof ... Principal Amount:
Barrier Level:
Trade Date:
Pricing Date:
Original Issue Date:
Final Valuation Date:
Maturity Date:
Payment at Maturity:
EFTA01465578
HSBC USA Inc.
Brazilian Real per one U.S. Dollar ("USDBRL ... March 20, 2014, subject to adjustment as described herein.
March 27, 2014. The Maturity Date is subject to further adjustment as
described under "Market Disruption Events" herein.
Reference Currency
Return
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01465578.pdf
EFTA01565547Set 10
2013-04-01157p15,782w
Page 12
EFTA01565570
GHISLAINE MAXWELL ACCT.
For the Period 4/1/13 to 4/30/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years'
10+ years ... years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their ... stated maturity.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MM FD - MORGAN
Total Cash
FUND
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565547.pdf
EFTA01566306Set 10
2013-08-01161p15,732w
Page 12
EFTA01566330
GHISLAINE MAXWELL ACCT.
For the Period 8/1/13 to 8/31/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years,
10+ years,
Total Value ... years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their ... stated maturity.
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Mutual Funds
Total Value
Market
Value
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566306.pdf
EFTA01565909Set 10
2013-06-01147p14,553w
Page 12
EFTA01565933
GHISLAINE MAXWELL ACCT.
For the Period 6/1/13 to 6/30/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years'
10+ years ... years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their ... stated maturity.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MMKT FD - MORGAN
FUND
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565909.pdf