EFTA01144207Set 9
2013-11-2214p8,791w
ALNY 2,400 Alnylarn Pharmaceuticals Inc winner, Non-cyclic 0.00% ($48.312) $50,040 16.1an-13 20.13 20.85 $1,728
16-lan-13 ITMN 6400 Intermune Inc winner, Non-cyclic ... an.13 9.90 10.02 $785
17-lan-13 AVEC/ 2,400 Aveo Pharmaceuticals Inc simmer. Non-cyclic 0.00% ($18.000) $17,899 17-Jan
-13 7.50 7.46 ($101)
17-lan-13 CVRR ... Feb.13 ARIA 9,000 Ariad Pharmaceuticals Inc winner, Non-cyclic 0.00% ($136,878) $174,408 24-Jan-13 1521 19.38 137,530
24-lan-13 BPL 4,000 Buckeye Partners
https://www.justice.gov/epstein/files/DataSet%209/EFTA01144207.pdf
EFTA01144269Set 9
2014-07-010p12,898w
Sales ($) Fair Value ($)
Investments In Securities, At Fair Value
American Depositary Receipt
Argentina
Consumer Non-cyclical 0.00 % 30 30
Financial 0.00 712 743
0.00 742 773
Brazil
Basic Materials ... Utilities 0.00 2,620 2,708
2.12 2.475,503 2,442,848
Denmark
Consumer Non-cyclical 0.00 4,768 4,749
England
Consumer Non-cyclical ... Bahamas
Industrial 0.02 20,924 22,544
Bermuda
Consumer Non-cyclical 0.28 277,029 326,746
Energy 0.06 65,089 67,832
Financial 0.15 179,189 178,455
Industrial
https://www.justice.gov/epstein/files/DataSet%209/EFTA01144269.pdf
EFTA01121588Set 9
2013-05-3114p10,128w
Yield (Local) (Local)
24 /an-13 ARIA 9,000 Ariad Pharmaceuticals Inc msurner, Non-cyclic 0.00% ($176,400) $165,060 19.60 1834 ($11,340)
14-Feb-12 ARIA 7,535 Ariad ... PINY 4,050 Alnylam Pharmaceuticals Inc USD )nsumer. Non-cyclic 0.00% (543.538) $44.352 IS-Feb.12 10.75 10.95 $814
26.0ct-12 ACC 7,003 Smerican Campus Communitie USD financial ... 28.Mar-12 8NNV 500 Annie'S Inc USD msumer, Non-cyclic 0.00% ($9.500) 15,656 28-Mar-12 19.00 31.31 $6.156
3-Oct
-12 ARI 4,503 Apollo Commercial Real
https://www.justice.gov/epstein/files/DataSet%209/EFTA01121588.pdf
EFTA01121630Set 9
2013-11-2215p10,820w
Yield (Local) (Local)
24-MA-13 AMA 9,000 Ariad Pharmaceuticals Inc USD msumer, Non-cyclic 0.00% ($176.400) $157.410 19.60 17A9 ($18,990)
14-Feb-12 ARIA 7,535 Ariad ... Pharmaceuticals Inc USD msumer, Non-cyclic 0.00% ($114,600) $131,787 15.21 17.49 $17.187
14-Feb-12 BNB 2,095 'Mogen Idec Inc USD msumer, Non-cyclic ... SGMO 50,000 Sangamo Biosdences Inc U5D msumer. Non-cyclic 0.00% ($420,214) $390,500 8.40 7.81 ($29,714)
Equity MTM (52,474,403) 52,545,311 570.902
Structured Notes
https://www.justice.gov/epstein/files/DataSet%209/EFTA01121630.pdf
EFTA01119119Set 9
2013-06-3021p6,002w
Small 'Loral/
24-Wn-13 ARIA 9,000 J.i. dd Pharmaceuticals Inc USD nluMl, Non-cyclic 0.00% .5176400) 117A10 1960 11 49 (518.9S0)
14-Peb-12 AAIA ... Maul) ISM 17.71 (51,740
16.Jan-13 AIM 2,400 Nnylam Pharreceutkals Inc moms, Non-cyclic 0.01% (141312) $50,010 645113 70.17 2015 11.711
16.1an-13 ITMN ... Warms Inc miss, Non-cyclic 000% (365340) 166.121 6101.13 940 10.02 0169
13-Jan-1) AVEC 2.400 Aveo Phannacemicen Inc 9111101•43,14433-cyclk
https://www.justice.gov/epstein/files/DataSet%209/EFTA01119119.pdf
EFTA01121574Set 9
2013-04-3014p9,342w
ALNY 2,400 Alnylam Pharmaceuticals Inc USD onsunwr, Non-cyclic 0.00% 1$48.312) 150,040 16./an-13 20.13 20.85 51,728
16-Jan-13 TAN 6,600 Intermune ... or/sumer, Non-cyclic 0.00% 1$65.340) 546,125 16./an-13 9.90 10.02 $785
17-Jan-13 AVEC 2,400 Aveo Pharmaceuticals Inc USD Hawser, Nort.cyclic ... ARIA 9,000 Ariad Pharmaceuticals Inc USD snsunwr, Non-cyclic 0.00% (1134878) $174,408 24-Jan-13 1521 19.38 537,530
24
-Jan-13 BPL 4,000 Buckeye Partners
https://www.justice.gov/epstein/files/DataSet%209/EFTA01121574.pdf
EFTA01121645Set 9
15p11,955w
lan.13 ARIA 9.000 Mad Pharmaceuticals Inc USD 'roomer, Non-cyclic 0.00% ($176.400) $167000 19.60 18.60 (59.000)
14-Feb-12 ARIA 7,535 Mad Pharmaceuticals Inc USD almoner, Non-cyclic ... BIIB 2.095 Biogen Idec Inc USD ansumer, Non-cyclic 0.00% ($250.455) $446,277 11935 213.02 $195.822
31.lul.13 BNP 2,500 Bnp Paribas EUR Financial ... 31.lul.13 CA 5,500 Carrefour Sa EUR ansumer, Non-cyclic 2.45% ($167.338) $172.188 23.24 23.69 54.849
12-Aug-13 CA 5000 Carrefour Sa EUR 'mum«, Non.cyclic
https://www.justice.gov/epstein/files/DataSet%209/EFTA01121645.pdf
EFTA01434677Set 10
2018-02-2291p10,836w
integration and cyclical recovery. Our bullishness is
supported by highly accommodative cyclical and non-cyclical factors,
such as high-single-digit growth in U.S. truck tonnage and contract
rates, double ... integration and cyclical recovery. Our bullishness is
supported by highly accommodative cyclical and non-cyclical factors,
such as high-single- digit growth in U.S. truck tonnage and contract
rates, double
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01434677.pdf
EFTA00295614Set 9
2012-12-3152p16,979w
Communications (10,221,099) (8,027,549) (9.06)
Consumer, non-cyclical (2,225,488) (2,064,990) (2.33)
Consumer, cyclical (7,132,532) (8,320,206) (9.38)
Energy
https://www.justice.gov/epstein/files/DataSet%209/EFTA00295614.pdf
Investment Manager analyzes those
industries in terms of whether they are cyclical or non-cyclical, production or distribution, durable or non-durable,
integrated or non-integrated, industrial or consumer, domestic
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365564.pdf
Investment Manager analyzes those
industries in terms of whether they are cyclical or non-cyclical, production or distribution, durable or non-durable,
integrated or non-integrated, industrial or consumer, domestic
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376305.pdf