Epstein Files Search

EFTA01422345Set 10

2016-06-1516p4,833w

Issue Date Issue Size QDI DRD DIV-RIGHTS AEGON NV AEG 4 Buy AEH Pfd 007924301 64501 6.375 Baal BBB 26.25 6.088885793594731 7/11/2016 -54.71938775510199 Insurance 6/1/2005 40MM ... CUMULATIVE AEGON NV AEG 4 Buy AED Pfd 007924400 20315.633333333335 6.50 Baal BBB 26.09 6.24681319092023 9/15/2016 -10.721192376040962 Insurance 11/23/2005 20MM Yes No NON-CUMULATIVE AEGON ... pfd 007924608 39011.76666666667 8 Baal BBB 28.04 7.201152184349496 8/15/2017 -1.769692901139879 Insurance 1/31/2012 21MM No No NON-CUMULATIVE ALLSTATE CORP ALL 4.153846263885498 Buy all a Pfd 020002408 12894.333333333334 5.625 Baa3

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01422345.pdf

EFTA01420555Set 10

2016-06-2911p1,085w

Preferred Equity Information Issuer Name Preferred Equity Symbol Cusip BB&T CORPORATION bbt h pfd 54937875 CAPITAL ONE FINANCIAL CO cof d pfd EFTA01420556 14040H709 CAPITAL ONE FINANCIAL ... pfd 14040H881 CHARLES SCHWAB CORP schw c Pfd 808513402 CHARLES SCHWAB CORP schw d Pfd 808513600 DIGITAL REALTY TRUST INC Dlr g Pfd 253868889 DTE ENERGY CO dtj pfd ... EBAY INC ebayl Pfd 278642202 GENERAL ELECTRIC CO gek pfd 369622394 EFTA01420557 JPMORGAN CHASE & CO 3PM f Pfd 48127R461 JPMORGAN CHASE & CO 3PM h Pfd 48127V827 KKR KRPPP pfd 48248M300

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01420555.pdf

EFTA01432474Set 10

2016-06-243p1,093w

Issue Size (5MM) 5% o f Issue QDI DRD BB&T CORPORATION bbt h pfd 054937875 0.90 0.045 117433.56666666667 5.62 5 Baal BBB- 26.20 5.401998739533628 E7*K7=0.24308994327901326 6/1/2021 ... Banks 3/9/2016 18.60 0.9300000000000002 Yes Yes CAPITAL ONE FINANCIAL CO cof d pfd 14040H709 1 0.05 44856.833333333336 6.70 Baa3 BB 28.20 5.980170231545646 ES*K8=0.2990085115772823 12/1/2019 2.9165211484410736 Banks 10/31/2014 ... CAPITAL ONE FINANCIAL CO cof f pfd 14040H881 0.20 0.01 67951.16666666667 6.20 Baa3 BB 26.88 5.804488596468416 E9*K9=0.05804488596468416 12/1/2020 4.4380257462671855 Banks 8/24/2015 20 1 Yes Yes CHARLES SCHWAB CORP

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01432474.pdf

EFTA01785499Set 10

2016-08-1519p3,544w

thoughts on fixed income, mandatory converts Southern Trust Company bought $1mm AGN 5.5% 3/1/18 Pfd @ $881.50 (6.2% strip yield) - $0.50 better $1mm TEVA 7.0% 12/15/18 Pfd @ $901.75 (7.9% strip yield ... updated levels below; would you like to proceed with the purchases? AGN 5.5% 3/1/18 Pfd @ $882.00 (6.2% strip yield) TEVA 7.0% 12/15/18 Pfd @ $901.75 (7.9% strip yield) FTR 11.125% 6/29/18 ... Pfd @ $94.80 (12.0% strip yield) AGN mandatory 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

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

EFTA01539592Set 10

2012-04-0183p9,162w

Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Preferred Stocks BARCLAYS BANK PLC 25.54 PFD SHS SER 5 8 1/8% 06739H-36-2 BCS PDAA /P-2 CITIGROUP CAPITAL XIII ... PFD 173080-20-1 C PNNA /BA1 GMAC CAPITAL TRUST I PFD STK 8 1/8% 361860-20-8 P MFA FINANCIAL INC PFD 8% 55272X-30-0 MFO PNC FINANCIAL ... SERVICES 6 1/8% PFD 693475-85-7 PNC PPNA /BAA Total Preferred Stocks EFTA01539610

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01539592.pdf

EFTA02454261Set 11

2016-08-1517p3,300w

updated levels below; would you like to proceed with the purchases? AGN 5.5% 3/1/18 Pfd @ $882.00 (6.2% strip yield) TEVA 7.0% 12/15/18 Pfd @ $901.75 (7.9% strip yield) FTR 11.125% 6/29/18 ... Pfd @ $94.80 (12.0% strip yield) AGN mandatory 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 ... EFTA_R1_01555889 EFTA02454261 Amount outstanding: $5.06 bn TEVA mandatory convert preferred Ticker: TEVVF Pfd Coupon: 7.0% Maturity: 12/15/2018 Pfd Price: 901.75 TEVA stock ref: 54.14 Convert low strike

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02454261.pdf

EFTA01540660Set 10

2012-12-3193p9,723w

Morgan team for additional information. ** Equity Detail Price Preferred Stocks GENL GROWTH PROPERTIES PFD 6 3/8% 370023-20-2 GGP VORNADO REALTY TRUST PFD 5.4% 929042-84-4 VNO Total ... COLLECTED BALANCE OF $10,465,585.41 AS OF 03/01/13 GENERAL MOTORS CO CV PFD B @ 0.59375 PER SHARE (ID: 37045V-20-9) SETTLE FORWARD CURRENCY CONTRACT BUY USD SELL ... Date Selection Method 3/27 3/28 3/29 Interest Income Foreign Dividend Description ARMOUR RESIDENTIAL REIT PFD 7.875% @ 0.2461 PER SHARE (ID: 042315-40-8) ROYAL BANK SCOTLAND GROUP

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540660.pdf

EFTA01374507Set 10

2016-06-281p275w

Issuer Name Preferred Equity Symbol Cusip BB&T CORPORATION bbt h pfd 54937875 CAPITAL ONE FINANCIAL CO cof d pfd 14040H709 CAPITAL ONE FINANCIAL CO cof f pfd 14040H881 CHARLES ... SCHWAB CORP schw c Pfd 808513402 CHARLES SCHWAB CORP schw d Pfd 808513600 DIGITAL REALTY TRUST INC Dlr g Pfd 253868889 DTE ENERGY CO dtj pfd 233331800 EBAY INC ebayl ... Pfd 278642202 GENERAL ELECTRIC CO gek pfd 369622394 JPMORGAN CHASE & CO JPM f PM 48127R461 JPMORGAN CHASE & CO IPM h Pfd 48127V827 KKR KRPPP pfd 48248M300 NEXTERA ENERGY CAPITAL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374507.pdf

EFTA01539497Set 10

2011-12-3195p9,904w

GASLOG LTD G37585-10-9 GLOG Preferred Stocks P P ALEXANDRIA REAL ESTATE E PFD 6.45% 015271-70-3 ARE PENA /BAA AMERICAN CAPITAL AGENCY 8% PFD 02503X ... AGNC BARCLAYS BANK PLC PFD SHS SER 5 8 1/8% 06739H-36-2 BCS PDAA /P-2 CITIGROUP CAPITAL XIII 7 7/8% PFD 173080-20-1 C PNNA /BA1 GMAC CAPITAL ... TRUST I PFD STK 8 1/8% 361860-20-8 P KIMCO REALTY CORP 6% PFD 49446R

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01539497.pdf

EFTA01540135Set 10

2012-12-01109p11,803w

CUMULATIVE 780097-71-3 RBS PTAA /P-2 Preferred Stocks GMAC CAPITAL TRUST I PFD STK 8 1/8% 361860-20-8 P REGIONS FINANCIAL CORP PFD 6.375% PERPETUAL 7591EP ... Concentrated & Other Equity BANK OF AMERICA CORP EFTA01540153 112.53 8 1/8% PFD STK DEC 29 2049 DTD 04/30/2008 060505-DT-8 BB+ /B1 GENERAL ELEC CAP CORP ... 06/12/2012 369622-SN-6 AA- /BAA GENERAL MOTORS CO CV PFD B 37045V-20-9 GM PB Account W23560001 Page 6 of 39 Consolidated Statement Page

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540135.pdf

EFTA01540444Set 10

2013-01-01101p11,069w

CUMULATIVE 780097-71-3 RBS PTAA /P-2 Preferred Stocks ALLY FINANCIAL INC 8 1/2% PFD 02005N-30-8 P GENERAL ELEC CAP CORP PFD 4.875% 369622-41-0 GEH GMAC ... CAPITAL TRUST I PFD STK 8 1/8% 361860-20-8 P JPMORGAN CHASE & CO PFD 5.450% 46637G-12-4 JPMS Account W23560001 Page 6 of 38 Consolidated Statement Page ... ACCT. W23560001 For the Period 1/1/13 to 1/31/13 Price Preferred Stocks NEXTERA ENERGY CAPITAL PFD 5% 65339K-88-6 NEE PJ SCE TRUST II PFD 5.1% 78407R

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540444.pdf

EFTA01547035Set 10

2013-06-30124p12,917w

INITIAL LEVEL-05/24/13 SX5E:2764.29 40432X-FP-1 Preferred Stocks VOLKSWAGEN AG PFD ISIN DE0007664039 SEDOL ... COLLECTED BALANCE OF $2,353,433.31 AS OF 09/01/13 GENERAL MOTORS CO CV PFD B @ 0.59375 PER SHARE (ID: 37045V-20-9) ZIONS BANCORPORATION VAR RT 09/29/2049 DTD 08/13/2013 ... Free Delivery 9/25 9/25 Free Delivery Free Delivery Description ALLY FINANCIAL INC 8 1/2% PFD ASSET TRANSFER TO A/C W92099-0 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID: 02005N

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01547035.pdf

EFTA01539675Set 10

2012-05-0181p8,688w

LONG ETN38 25154H-55-8 DAG Preferred Stocks ANNALY CAPITAL MGMT PFD 7 5/8% 035710-70-6 NLY PC BARCLAYS BANK PLC PFD SHS SER 5 8 1/8% 06739H ... PDAA /P-2 CITIGROUP CAPITAL XIII 7 7/8% PFD 173080-20-1 C PNNA /BA1 26.46 30,000.000 793,800.00 750,000.00 43,800.00 25.16 EFTA01539693 ... ACCT. For the Period 5/1/12 to 5/31/12 Price Preferred Stocks GMAC CAPITAL TRUST I PFD STK 8 1/8% 361860-20-8 Total Preferred Stocks

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01539675.pdf

EFTA01288458Set 10

2013-12-3162p26,219w

Bass: 5300.000.00 SM ORGAN CHASE 8, CO DEP MS REPSTG Security Identifier: 46625HHA1 1110TH PFD SER 1 FIX TO RIG RT BD 7.900% 041291/9 WE DID 0/123/08 Moody Rating ... Original Cost Bata 52 055,000 00 GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3696225N6 A7.125% 08112/82 WE DTO 06112112 CALLABLE 08115122 Moody Rating ... Original Cost Bans: 52,122,916.67 GENERAL ELEC CAP CORP PERP PFD SER C &malty Identifier: 369622513 FIXED TO FLTG 5.250% 06103163 B/E DID 06103113 CALLABLE 06115123 Moody Rating BAA1

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288458.pdf

EFTA01539403Set 10

2012-02-0194p9,891w

LONG ETN38 25154H-55-8 DAG Preferred Stocks BARCLAYS BANK PLC PFD SHS SER 5 8 1/8% 06739H-36-2 BCS PDAA /P-2 ... Period 2/1/12 to 2/29/12 Price Preferred Stocks CITIGROUP CAPITAL XIII 7 7/8% PFD 173080-20-1 C PNNA /BA1 GMAC CAPITAL TRUST I PFD ... RAYMOND JAMES FINANCIAL 6.9% PFD 754730-20-8 Total Preferred Stocks $7,942,737.50 $7,885,339.10 $57,398.40 $594,516.75 $17,938.46 Concentrated & Other Equity GENERAL MOTORS

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01539403.pdf

EFTA01384442Set 10

2016-06-291p287w

Preferred Equity Information Issuer Name Preferred Equity Symbol Cusip BB&T CORPORATION bbt h pfd 54937875 CAPITAL ONE FINANCIAL CO cof d pfd 14040H709 CAPITAL ONE FINANCIAL ... pfd 14040H881 CHARLES SCHWAB CORP schw c Pfd 808513402 CHARLES SCHWAB CORP schw d Pfd 808513600 DIGITAL REALTY TRUST INC DIr g Pfd 253868889 DTE ENERGY CO dtj pfd ... EBAY INC ebayl Pfd 278642202 GENERAL ELECTRIC CO gek pfd 369622394 JPMORGAN CHASE & CO JPM f Pfd 48127R461 JPMORGAN CHASE & CO JPM h Pfd 48127V827 KKR KRPPP pfd 48248M300 NEXTERA

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384442.pdf

EFTA01201806Set 9

2014-10-2910p1,645w

Classification: Conf denbal Jeffrey - Thus far you have bought 72.700 shares of Citi 5.8% pfd at $24.23238. Please let us know if you want to modify. TDS From: Tazia Smith/db/dbcom ... EP044023 Pfd IWira S r l" tserritri , 97) Edit- 9al Table 10/29/2013 10/29/2014 Last Price 11)Compare Nov. Avgs Volume 1D 3D WI 6M YE, lY 5Y Max Dail ... Classification: Confidential Jeffrey - Today you executed the following: B 49,033 Citi 5.8% pfd at $24.0205 This leaves 150,967 shares to buy. Re-enter tomorrow? Your other Citi pfd

https://www.justice.gov/epstein/files/DataSet%209/EFTA01201806.pdf

EFTA01201841Set 9

2014-10-2911p1,773w

Classification: Confidential Jeffrey - Thus far you have bought 72,700 shares of Citi 5.8% pfd at $24.23238. Please let us know if you want to modify. TDS From: Tazia Smithtdb/dbcom ... EP044023 Pfd 10/29/2013 10/29/2014 Last Price • LT e •I u: Compare Mov. A IIIIIIII Volume 1D 3D 1M 6M V7D lY SY Max Daily • ra e Security/Study +. -Inidc .4.Annotate ... Classification: Confidential EFTA01201843 Jeffrey - Today you executed the following: B 49,033 Citi 5.8% pfd at $24.0205 This leaves 150,967 shares to buy. Re-enter tomorrow? Your other Citi

https://www.justice.gov/epstein/files/DataSet%209/EFTA01201841.pdf

EFTA01288772Set 10

2015-12-31225p98,138w

Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46825HHA1 1110TH PFD SER 1 FD TO MG RT BO 1.900% 04129149 BlE DTD 04123108 Moody Rating BAA3 ... PFD SECS SER 2 CPN• Security Identifier: ALLY PM 8.125% FRU) ORTLY MATT-0211512040 CALL CUSP 361860208 ANYTIME 0 25 W130 DAYS BEGINS 02115116 Dividend Option: Cash ... ROYAL BK SCOTLAND GP PLC WON AOR REPSTG Security Identifier: RBS PRT SER T PFD CPN.7.25% FRED ORTLY PEW N TY CUSP. 780097713 CALLO 25 ANY W130 D NOTICE AFTR

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01288772.pdf

EFTA01466586Set 10

2014-01-1013p2,976w

7/22/2013 96.486 0.18500000000000227 0.0019173766142238488 Sell GENERAL ELEC CAP CORP PERP PFD SER C FIXED TO FLTG 5.250% 06/03/63 B/E DTD 06/03/13 CLB CLB 06/15/23 @100.000 (Floats 3mL+2.967%) 369633ST3 GENERAL ... ELEC CAP CORP PERP PFD SER C FIXED TO FLTG 5.250% 06/03/63 B/E DTD 06/03/13 CLB CLB 06/15/23 @100.000 SFLLC Hybrid 1400000 94.299 100 1320186.0000000002 1400000 -79813.99999999977 -0.05700999999999983 5/29/2013 ... 1/30/2012 103.849 0.033999999999991815 3.273984342650561E-4 Watch GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06/12/62 B/E DTD 06/12/12 CLB CLB 06/15/22 @100.000 (Floats 3mL+5.296%) 369622SN6 GENERAL ELEC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01466586.pdf