EFTA01537556Set 10
2010-07-0177p7,285w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537556.pdf
EFTA01537171Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537171.pdf
EFTA01536609Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01536609.pdf
EFTA01537479Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537479.pdf
EFTA01537325Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537325.pdf
EFTA01537787Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537787.pdf
EFTA01536917Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01536917.pdf
EFTA01537248Set 10
2010-07-0177p7,285w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537248.pdf
EFTA01536763Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01536763.pdf
EFTA01537633Set 10
2010-07-0177p7,285w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537633.pdf
EFTA01537402Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537402.pdf
EFTA01536994Set 10
2010-07-0177p7,280w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01536994.pdf
EFTA01537071Set 10
2010-07-01100p9,883w
DEUTSCHE BK AG LDN BRH
DBL LONG ETN38
25154H-55-8 DAG
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC
P
STRATEGIC ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Sale
Description
MOLYCORP INC
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade ... Gain/Loss
(6,351.08) S
(41,915.62) S
Type
Description
Pending Securities Purchased
7/29
Purchase
MOLYCORP INC
Quantity
10,000.000
Per Unit
Amount
14.00
Market Cost
(140,000.00)
Account Page
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537071.pdf
EFTA01536840Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01536840.pdf
EFTA01536686Set 10
2010-07-0177p7,285w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01536686.pdf
EFTA01537710Set 10
2010-07-0177p7,329w
ACCT.
For the Period 7/1/10 to 7/31/10
Estimated
Quantity
US Mid Cap/Small Cap
P
MOLYCORP INC
SOLAR CAPITAL LTD
608753-10-9 MCP
13,000.000
83413U-10-0 SLRC ... Type
Description
Pending Sales, Maturities, Redemptions
Sale
Sale
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
(5,000.000)
12.78
63,648.92
(70,000.00)
(6,351.08) S
Quantity ... Type
Pending Sales, Maturities, Redemptions
Sale
Sale
Sale
Description
3PM CHASE CAPITAL XXIX
MOLYCORP INC
6.7% PFD
STRATEGIC HOTELS & RESORTS INC
Total Pending Sales, Maturities, Redemptions
Trade
Date
Estimated
Settlement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537710.pdf
EFTA01538219Set 10
2010-09-0171p6,848w
CHASE CAPITAL XXIX
6.7% PFD
@ 24.70
BROKERAGE
TAX &/OR SEC
7/29
8/4
Sale
MOLYCORP INC
@ 12.78
BROKERAGE
TAX &/OR SEC
7/30
8/4
Sale
415,552.80
841.20
7.03
J.P. MORGAN SECURITIES ... CHASE CAPITAL XXIX
6.7% PFD
@ 24.70257
BROKERAGE
TAX &/OR SEC
7/30
EFTA01538259
8/4
Sale
MOLYCORP INC
@ 12.25008
BROKERAGE
TAX &/OR SEC
2,976,659.69
6,025.00
50.31
J.P. MORGAN SECURITIES ... 8/31/10
Trade
Date
Settlement
Date
8/3
Type
Settled Securities Purchased
7/29
Purchase
Description
MOLYCORP INC
@ 14.00
J.P. MORGAN SECURITIES INC.
TRADE DATE 07/29/10
8/3
8/9
Purchase
XCEL ENERGY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538219.pdf
EFTA01538290Set 10
2010-09-0171p6,848w
CHASE CAPITAL XXIX
6.7% PFD
@ 24.70
BROKERAGE
TAX &/OR SEC
7/29
8/4
Sale
MOLYCORP INC
@ 12.78
BROKERAGE
TAX &/OR SEC
7/30
8/4
Sale
415,552.80
841.20
7.03
J.P. MORGAN SECURITIES ... CHASE CAPITAL XXIX
6.7% PFD
@ 24.70257
BROKERAGE
TAX &/OR SEC
7/30
EFTA01538330
8/4
Sale
MOLYCORP INC
@ 12.25008
BROKERAGE
TAX &/OR SEC
2,976,659.69
6,025.00
50.31
J.P. MORGAN SECURITIES ... 8/31/10
Trade
Date
Settlement
Date
8/3
Type
Settled Securities Purchased
7/29
Purchase
Description
MOLYCORP INC
@ 14.00
J.P. MORGAN SECURITIES INC.
TRADE DATE 07/29/10
8/3
8/9
Purchase
XCEL ENERGY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538290.pdf
EFTA01538361Set 10
2010-09-0171p6,845w
CHASE CAPITAL XXIX
6.7% PFD
@ 24.70
BROKERAGE
TAX &/OR SEC
7/29
8/4
Sale
MOLYCORP INC
@ 12.78
BROKERAGE
TAX &/OR SEC
7/30
8/4
Sale
415,552.80
841.20
7.03
J.P. MORGAN SECURITIES ... CHASE CAPITAL XXIX
6.7% PFD
@ 24.70257
BROKERAGE
TAX &/OR SEC
7/30
EFTA01538401
8/4
Sale
MOLYCORP INC
@ 12.25008
BROKERAGE
TAX &/OR SEC
2,976,659.69
6,025.00
50.31
J.P. MORGAN SECURITIES ... 8/31/10
Trade
Date
Settlement
Date
8/3
Type
Settled Securities Purchased
7/29
Purchase
Description
MOLYCORP INC
@ 14.00
J.P. MORGAN SECURITIES INC.
TRADE DATE 07/29/10
8/3
8/9
Purchase
XCEL ENERGY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538361.pdf
EFTA01538432Set 10
2010-09-0171p6,831w
CHASE CAPITAL XXIX
6.7% PFD
@ 24.70
BROKERAGE
TAX &/OR SEC
7/29
8/4
Sale
MOLYCORP INC
@ 12.78
BROKERAGE
TAX &/OR SEC
7/30
8/4
Sale
415,552.80
841.20
7.03
J.P. MORGAN SECURITIES ... CHASE CAPITAL XXIX
6.7% PFD
@ 24.70257
BROKERAGE
TAX &/OR SEC
7/30
EFTA01538472
8/4
Sale
MOLYCORP INC
@ 12.25008
BROKERAGE
TAX &/OR SEC
2,976,659.69
6,025.00
50.31
J.P. MORGAN SECURITIES ... 8/31/10
Trade
Date
Settlement
Date
8/3
Type
Settled Securities Purchased
7/29
Purchase
Description
MOLYCORP INC
@ 14.00
J.P. MORGAN SECURITIES INC.
TRADE DATE 07/29/10
8/3
8/9
Purchase
XCEL ENERGY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538432.pdf