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Corpus: 1990-03-17 – 2025-12-01

July 2015

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EFTA01198069Set 9

2015-07-2795p44,280w

1/40th Interest in a O 0 2• b Share of % Non-Cumulative Perpetual Preferred Stock, Series C i.;,3 We are offering depositary shares, each representing a 1/40th ownership interest ... share of 34 Non- os co Cumulative Perpetual Preferred Stock, Series C, $0.01 par value, with a liquidation preference of $1,000 per share g 1 (equivalent ... depositary share)(the "Series C Preferred Stocks). The depositary shares are represented by p, receipts. As a holder of depositary shares, you will be entitled to all proportional rights

https://www.justice.gov/epstein/files/DataSet%209/EFTA01198069.pdf

EFTA00298908Set 9

2012-12-2817p4,720w

purchasers listed on the Schedule of Purchasers to that certain Series A Preferred Stock Purchase Agreement (the "Purchase Agreement") who are purchasing more than six hundred thousand (600,0000) shares ... Series A Preferred Stock pursuant to the Purchase Agreement (the "Major Investors"). RECITALS A. The Common Holder owns shares of the Company's common stock (the "Common Stock ... order to induce the Investors to purchase shares of Series A Preferred Stock pursuant to the Purchase Agreement, the Company and the Common Holder desire to enter into this Agreement

https://www.justice.gov/epstein/files/DataSet%209/EFTA00298908.pdf

EFTA00589123Set 9

2013-11-0449p13,554w

Investors (the "Existing Investors") hold shares of the Company's Series Seed Preferred Stock and/or shares of Common Stock issued upon conversion thereof and possess registration rights, information rights, rights ... Prior Agreement"); WHEREAS, the Existing Investors are holders of a majority of the Preferred Stock (as defined in the Prior Agreement) (or Common Stock issued upon the conversion thereof) currently ... WHEREAS, certain of the Investors are parties to that certain Series A Preferred Stock Purchase Agreement of even date herewith between the Company and certain of the Investors (the "Purchase

https://www.justice.gov/epstein/files/DataSet%209/EFTA00589123.pdf

EFTA01086276Set 9

2015-11-03108p35,449w

Morgan, which held $9,433 in cash, $3.9 million in Apollo Investment Corp.° stock (603,632 shares with a mean value of $6.46 per share), $759,020 in Environmental Solutions ... Worldwide (Ticker: ESWW)' stock, $1.1 million in AP Alternative Assets, LP6 stock (28,730 shares with a mean value of $36.59 per share). Finally, BFP held ... stock (66,704 shares with a mean value of $12.77 per share) as of the Valuation Date. Apollo Private Equity Investment Funds: BFP participated in Apollo's PE funds, specifically

https://www.justice.gov/epstein/files/DataSet%209/EFTA01086276.pdf

EFTA01103701Set 9

2014-11-0389p57,380w

undue influence or intervention. Important Disclosures • Market Maker: JPMS makes a market in the stock of Ryanair. • Market Maker/ Liquidity Provider: J.P. Morgan Securities plc and/or an affiliate ... Jun21.2010. The chart(s) show J.P. Morgan's continuing coverage of the stocks; the current analysts may or may not have covered it over the entire period. J.P. Morgan ratings ... following rating system: Overweight (Over the next six to twelve months, we expect this stock will outperform the average total return of the stocks in the analyst

https://www.justice.gov/epstein/files/DataSet%209/EFTA01103701.pdf

EFTA00168459Set 9

2011-11-2233p10,408w

EFTA_00018713 EFTA00168460 ARTICLE IV The total number of shares of all classes of stock that the Corporation is authorized to issue is Ten Thousand (10,000) shares of common ... stock at $.01 par value; no preferred stock authorized. The minimum amount of capital with which the Corporation will commence business is One Thousand Dollars ($1,000). ARTICLE ... their respective participations. To issue or grant options for the purchase of shares of stock of the Corporation to officers and employees (mduding officers and employees who are also directors

https://www.justice.gov/epstein/files/DataSet%209/EFTA00168459.pdf

EFTA01203437Set 9

2015-08-0315p5,492w

STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the "Agreement') is made and entered into as of August 3, 2015 by and between Jeffrey Epstein with an address ... sole owner of all of the issued and outstanding shares of the capital stock (the "Stock") ofJEGE, INC., a Delaware corporation (the "Company"); and WHEREAS, the Company owns ... Seller, all of the Seller's right, title and interest in and to the Stock, so that, upon consummation of such sale and purchase, the Purchaser shall become the beneficial

https://www.justice.gov/epstein/files/DataSet%209/EFTA01203437.pdf

EFTA00598139Set 9

2011-06-168p4,874w

formula clauses) set the fair market value of the John H. Hendrix Corp. (JHHC) stock that each petitioner transferred on December 31, 1999, to various family trusts ... Karmen Marie Hendrix (collectively, daughters). On December 31, 1999, petitioners' principal asset was JHHC stock. III. JHHC JHHC was incorporated on December 16, 1976, under Texas law. JHHC initially ... classes of stock, i.e., nonvoting preferred stock and voting common stock, and its only shareholders were petitioners and their daughters (directly and/or through trusts). Petitioners owned all of the preferred

https://www.justice.gov/epstein/files/DataSet%209/EFTA00598139.pdf

EFTA01115386Set 9

2011-06-1630p10,109w

ALIPHCOM SERIES 5 PREFERRED STOCK PURCHASE AGREEMENT June 16, 2011 December 7, 2011 Deember 15, 2011 1221982 vlifSF EFTA01115386 ALIPHCOM SERIES 5 PREFERRED STOCK PURCHASE AGREEMENT THIS SERIES 5 PREFERRED ... STOCK PURCHASE AGREEMENT (the "Agreement") is made and entered into as of June 16, 2011 by and among AuntCom, a California corporation (the "Co►►►pa►►y"). and each of those ... sale and issuance of an aggregate of 11.500.000 shares of its Series 5 Preferred Stock (the "Shares") pursuant to this Agreement: and WHEREAS, Purchasers desire to purchase, and the Company

https://www.justice.gov/epstein/files/DataSet%209/EFTA01115386.pdf

EFTA00201075Set 9

2007-12-1057p11,924w

file for your account. Roza row ant Ottawa, a rooroaig ol twits or stocks, macaw! m clotkoroo to ,Bu. 10 CI of Salon at 804614.1428: a Nu to Clom SONIC ... certain securities covered by the BSC Equity Research Department. The first rating represents the stock's total return relative to the other stocks covered by that Analyst ... stock rating values is as follows: 0 = Outperform; P = Peer Perform; U = Underperform. The second rating represents the rating of the coverage universe relative to the regional broader market index

https://www.justice.gov/epstein/files/DataSet%209/EFTA00201075.pdf

EFTA00292075Set 9

2012-09-1710p2,114w

connection with the initial closing of the Series 5 Preferred Stock Financing; WHEREAS, the Company has raised and is in the process of raising additional capital through sales of additional ... Series 5 Preferred Stock and the Company's Common Stock (the "AdditionalSales"); WHEREAS, the Board believes it is in the best interests of the Company to amend ... include the Common Stock purchased and expected to be purchased by certain of the Investors and certain new investors in the definition of "Registrable Securities" contained

https://www.justice.gov/epstein/files/DataSet%209/EFTA00292075.pdf

EFTA00292615Set 9

Ownership structure of Applicant (publicly quoted, privately held): Privately held 1.6 Stock Market Exchange and Ticker Symbol if Applicant Is publicly quoted (leave blank if not public): 1.7 General Field ... Application - Page 3 RTPark-PC-02-1-2012 EFTA00292617 2.2. tr asdratonarnciirmted Applicants whose stock is not listed and publicly tradedsn a major US stock exchange: 2.2.1. A comprehensive description ... authorized, issued and outstanding, and treasury stock of the Applicant including all classes of stock, and a listing of all shareholders and their corresponding shareholdings (including their home and business

https://www.justice.gov/epstein/files/DataSet%209/EFTA00292615.pdf

EFTA01121419Set 9

apply to list the Series 2015A Junior Subordinated Notes on the New York Stock Exchange. If the application is approved. The Southern Company t Tot •a• expects trading ... Southern Company 2 Certain Ratios 2 Use of Proceeds 2 Description of the Common Stock 3 Description of the Senior Notes 3 Description of the Junior Subordinated Notes 6 Plan ... such Interest Payment Date or the record date therefor to the New York Stock Exchange or any applicable self-regulatory organization. The Subordinated Note Indenture Trustee is required to promptly

https://www.justice.gov/epstein/files/DataSet%209/EFTA01121419.pdf

EFTA01381316Set 10

2015-07-201p878w

Form S-1 Table of Contrail Options. The Compensation Committee may grant non-qualified stock options and incentive stock options, under our 2015 Plan, with terms and conditions &terminal ... Compensation Committee that are not inconsistent with our 2015 Plan: provided, that all stock options granted under our 2015 Plan are required to have a per share exercise price that ... less than 100% of the fair market value of our common stock underlying such stock options on the date such stock options arc granted (other than in the case

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381316.pdf

EFTA00065405Set 9

2021-05-0774p24,397w

billion Swiss banks trade OTCM Pink penny and fractional penny stocks? The record is irrefutable: FINRA/SEC/FINCEN using my information: these publicly traded shells are the perfect money laundering vehicle. Absolutely ... display real time as I have detailed. As with Swiss banks and penny/fractional penny stocks: WHY do giant Quant Hedge Funds like AQR facilitate so many fraud blank check shell ... widespread fraud in the OTCM and crypto markets. Widespread Fraud in ICOs and Penny Stocks Shocked SEC's Jay Clayton - Bloomberg EFTA00065411 The former Wall Street deals lawyer who leads

https://www.justice.gov/epstein/files/DataSet%209/EFTA00065405.pdf

EFTA01785499Set 10

2016-08-1519p3,544w

convert preferred Ticker: AGN A Pfd Coupon: 5.5% Maturity: 3/1/2018 Pfd Price: 882.00 AGN stock ref: 251.50 Convert low strike: 288.00 (at maturity, if AGN is at or below ... above 352.7959, you get 2.8345 shares) Strip yield: 6.2% (versus common stock which pays no dividend) BofAML price target: $294 (Buy, US-1top picks list) Upside to BofAML price target ... hold pref to maturity and stock is up 25%: 22.3% If hold pref to maturity and stock is down 25%: -16.2% 2 EFTA_R1_00107681 EFTA01785500 WA-eligible: No Amount

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01785499.pdf

EFTA00065335Set 9

2021-05-0370p23,178w

widespread fraud in the OTCM and crypto markets. Widespread Fraud in ICOs and Penny Stocks Shocked SEC's Jay Clayton - Bloomberg EFTA00065337 The former Wall Street deals lawyer who leads ... levels ... Clayton's firm Sullivan Cromwell/Jared Fishman/Rodgin Cohen et al are EXPERTS on penny stock fraud having bailed out the criminal enterprise Knight/KCG/VIRT:NITE on more than 1 occassion. OTCM ... their participation in long-running fraudulent schemes that generated over $27 million from unlawful stock sales and caused significant harm to retail investors who were left holding virtually worthless stock

https://www.justice.gov/epstein/files/DataSet%209/EFTA00065335.pdf

EFTA02444212Set 11

2009-05-0313p5,699w

this Debenture (to the extent it has not been converted into shares of Common Stock on or prior to the Prepayment Date) and shall thereupon be entitled to receive payment ... been converted on or prior to the Prepayment Date into shares of Common Stock) shall be limited to the Holder's right hereunder to receive payment on and with respect ... been prepaid and any amount that has been converted into shares of Common Stock). Section 2. CONVERSION. 2.1. Right of Conversion. This Debenture shall be convertible, in whole

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02444212.pdf

EFTA00299927Set 9

2010-07-3026p3,868w

Debenture -Cap Table -Escrow Agreement -Registration Rights Agreement -Previously Aquired Shares of Common Stock -Wire Transfer, March 19, 2010 -Revised Capitalization Table, March 5, 2010 -Stock Certificate ... Solution Securities Filing -Exchange Act Filings -Share Certificate for 175,883 Shares of Common Stock, Nov. 30, 2010 -MFN Acknowledgment -Prospectus RTS Offering June 30, 2011 -Stock Cert July ... shares -Form 8-K -13G and Information re Basis for Percentages Used -Stock Holdings FT Real Estate Inc. Aquistion of Interests in Lofts 21 LLC & AdvanceStar LLC -Correspondence -Assignment

https://www.justice.gov/epstein/files/DataSet%209/EFTA00299927.pdf

EFTA00067130Set 9

2021-06-22110p32,574w

investor Funds? "Note 9. Control and Ownership" Brown Brothers Harriman The penny stock money launderer FINRA/Dick Best all entities un named Guess who controlled (for others) 57% of the State ... Release No. LR-24403; Feb. 15, 2019) SEC Files Charges in Elaborate Microcap Stock Fraud Litigation Release No. 24403 / February 15, 2019 Securities and Exchange Commission v. Joshua Sason ... companies he controls for acquiring and selling more than 21 billion shares of penny stock without registering as a securities dealer with the SEC. VO.VW.SEC goy Justin Keener/JMJ Justin

https://www.justice.gov/epstein/files/DataSet%209/EFTA00067130.pdf

Page 1

Results by Dataset995 total

Set 9

445

Set 10

459

Set 11

91