EFTA00284269Set 9
2010-12-3130p11,194w
equity securities (both listed and OTC), convertible bonds, corporate bonds (both
investment grade and non-investment grade), distressed debt, commercial and industrial assets
(including, but not limited to, asset-based ... illiquid or thinly traded
investments, such as investments in distressed securities, NPLs and non-investment grade securities
that may be subject to greater volatility than more liquid, actively traded investments
https://www.justice.gov/epstein/files/DataSet%209/EFTA00284269.pdf
EFTA01150049Set 9
2011-06-14272p47,421w
forms, and then that evolved as
13 their senior management changed on the
14 non-investment part of it along with
15 Glenn.
16 Over time, after ... investment-related
17 committees that some of those people
18 managed. All of the non-investment people
19 of the firm reported first to Perry Gruss,
20 then ... vast majority of the time
19 that I spent focused on investments. The
20 non-investment part of the firm was
21 managed by different people over different
22 times
https://www.justice.gov/epstein/files/DataSet%209/EFTA01150049.pdf
EFTA01103701Set 9
2014-11-0389p57,380w
clients, and the services provided were non-investment-banking, securities-related: Ryanair.
• Non-Investment Banking Compensation: J.P. Morgan has received compensation in the past 12 months for products or services ... seek, compensation for investment banking
services in the next three months from IAG.
• Non-Investment Banking Compensation: J.P. Morgan has received compensation in the past 12 months for products
https://www.justice.gov/epstein/files/DataSet%209/EFTA01103701.pdf
EFTA01108375Set 9
2015-03-0110p2,015w
Yield
Cash/Currency $5,682,621.83 $5,682,525.46 81,079.68 0.01% Cash/Current y30.7%
Other Non-Investable 10,716,695.55 10,716,695.55 286,135.77 2.67
Total Assets S16.399 ... Total $16,399,317.38 $16,399,221.01 6287215.45 Other Non-Investable 65.3%
Market Value includes accrued income unless otherwise noted. Page 3 of 10
The amounts shown throughout this statement ... Total Cash/Currency 55.682.621.63 34.7% 100.0% 5682525.46 $1.079.68 0.01%
Other Non-Investable Assets 510,716595.55 65.3% 100.0% $10,716,695.55 $286,135.77 2.67%
Total Assets
https://www.justice.gov/epstein/files/DataSet%209/EFTA01108375.pdf
EFTA01097561Set 9
2008-12-3145p16,499w
equity securities (both listed and OTC), convertible bonds, corporate bonds (both
investment grade and non-investment grade), distressed debt, commercial and industrial assets
(including, but not limited to, asset-based ... illiquid or thinly traded
investments, such as investments in distressed securities, NPLs and non-investment grade
securities, that may be subject to greater volatility than more liquid, actively traded investments
https://www.justice.gov/epstein/files/DataSet%209/EFTA01097561.pdf
investment grade" debt securities, the Capital Structure Fund invests in
"low investment grade" or "non-investment grade" debt securities, which are typically
subject to greater market fluctuations and risks ... than lower yielding, investment grade securities. The prices of the "low
investment grade" or "non-investment grade" debt securities acquired by the Capital
Structure Fund are often influenced by many
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384557.pdf
EFTA01088880Set 9
2013-07-0117p9,766w
hedge fund firms in the past and is very capable of selecting high quality non-investment personnel.
What is the state of the current portfolio?
11
EFTA01088890
On the First ... Glass was the President of ("Platinum"), where in addition to overseeing all non-investing activities;
he shared responsibilities for asset allocation and risk management, including the selection of portfolio
managers ... Chief Financial Officer and a Partner in Boothbay Fund Management. Daniel manages all
non-investment related activities of Boothbay. From 2007-2011, Daniel was with Deloitte and Touche
https://www.justice.gov/epstein/files/DataSet%209/EFTA01088880.pdf
EFTA00597360Set 9
2013-07-0117p9,766w
hedge fund firms in the past and is very capable of selecting high quality non-investment personnel.
What is the state of the current portfolio?
11
EFTA00597370
On the First ... Glass was the President of ("Platinum"), where in addition to overseeing all non-investing activities;
he shared responsibilities for asset allocation and risk management, including the selection of portfolio
managers ... Chief Financial Officer and a Partner in Boothbay Fund Management. Daniel manages all
non-investment related activities of Boothbay. From 2007-2011, Daniel was with Deloitte and Touche
https://www.justice.gov/epstein/files/DataSet%209/EFTA00597360.pdf
EFTA01139976Set 9
2013-07-0117p9,769w
hedge fund firms in the past and is very capable of selecting high quality non-investment personnel.
What is the state of the current portfolio?
11
EFTA01139986
On the First ... Glass was the President of ("Platinum"), where in addition to overseeing all non-investing activities;
he shared responsibilities for asset allocation and risk management, including the selection of portfolio
managers ... Chief Financial Officer and a Partner in Boothbay Fund Management. Daniel manages all
non-investment related activities of Boothbay. From 2007-2011, Daniel was with Deloitte and Touche
https://www.justice.gov/epstein/files/DataSet%209/EFTA01139976.pdf
EFTA01088845Set 9
18p3,920w
Platinum") from March 2007 through May 2009, where in addition
to overseeing all non-investing activities, he shared responsibilities for asset allocation and risk management,
including the selection of portfolio ... Financial Officer and a Partner in Boothbay Family Office Management, LLC. He manages all non-investment
Daniel Bloom: related activities of Boothbay. From 2007-2011, Mr. Bloom was with Deloitte
https://www.justice.gov/epstein/files/DataSet%209/EFTA01088845.pdf
EFTA01087884Set 9
2015-03-0110p2,013w
Cost Annual Income Yield
Cash/Currency $1,055,593.14 $1,055,575.26 $200.56 0.01%
Other Non-Investable 7,924,966.22 7,836,146.00 260,160.05 332
Total Assets ... Total Cash/Currency $1,090,593.14 112% 100.0% $1,055,57526 $200.56 0.01%
Other Non-Investable Assets $2.924,966.22 882% 100.0% $7,836,146.00 5260,160.05 3.32%
Total Assets ... Total Cash/Currency 61,055,575.26 $17.88 $1,055,575.26 $0.00 $200.56 0.01%
Other Non-Investable Assets
100.000 BENJAMIN BLACK TR DTD 11/92 NOTE
https://www.justice.gov/epstein/files/DataSet%209/EFTA01087884.pdf
EFTA00236130Set 9
2014-05-1616p4,961w
that arise as a result of
these other activities. This section does not include non-investment related activity that is exclusively
charitable, civic, religious or fraternal and is recognized ... that arise as a result of
these other activities. This section does not include non-investment related activity that is exclusively
charitable, civic, religious or fraternal and is recognized
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236130.pdf