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EFTA00313329Set 9

Exchange Act acting in a riskless principal transaction on behalf of a QIB: (v) if the undersigned decides to purchase Rule 144A securities for the accounts of others, it will ... only purchase Rule I44A securities for accounts that independently qualify as QIBs as defined in Rule 144A: and (vi) the undersigned's current fiscal year ends ... such Institutions. 935 EFTA00313329 ANNEX A TO OIBLIST CERTIFICATION I. Qualified Institutional Buyer ("QIB") means any of the following institutions: (i) An institution referred to in any of clauses

https://www.justice.gov/epstein/files/DataSet%209/EFTA00313329.pdf

EFTA00300022Set 9

Exchange Act acting in a riskless principal transaction on behalf of a QIB: (v) if the undersigned decides to purchase Rule 144A securities for the accounts of others, it will ... only purchase Rule 144A securities for accounts that independently qualify as QIBs as defined in Rule 144A: and (vi) the undersigned's current fiscal year ends ... such Institutions. 935 EFTA00300022 ANNEX A TO OIBLIST CERTIFICATION I. Qualified Institutional Buyer ("QIB") means any of the following institutions: (i) An institution referred to in any of clauses

https://www.justice.gov/epstein/files/DataSet%209/EFTA00300022.pdf

EFTA01595069Set 10

1996-04-304p1,481w

Exchange Act acting in a risidess principal transaction on behalf of a QIB; (v) if the undersigned decides to purchase Rule 144A securities for the accounts of others, it will ... only purchase Rule 144A securities for accounts that independently qualify as QiBs as defined in Rule 144A; and deatsfk QIBLIST CERTIFICATION CERTIFICATE OF RULE 144A QUALIFIED INSTITUTIONAL BUYER AND SECTION ... institution referred to in any of clauses "eligible securities"(defined in (B) below) QIBs. (a) Insurance Company (b) Investment Company (c) Investment Adviser (d) Corporation (e) (I) Partnership Plan

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01595069.pdf

EFTA00617709Set 9

entity, each of the beneficial owners of which is a qualified purchaser. (6) A "QIB" (as defined below). Please supply supporting documentation. (7) A participant-directed employee benefit plan (such ... owned subsidiary of the Subscriber and other majority-owned subsidiaries of that parent company. QIBs A Subscriber that is reasonably believed by the Partnership to be a "qualified institutional buyer ... discretionary basis $100,000,000 of securities of issuers unaffiliated with it ("QIB Securities"). (ii) a bank that meets such $100,000,000 test and that has an audited

https://www.justice.gov/epstein/files/DataSet%209/EFTA00617709.pdf

EFTA01122111Set 9

entity, each of the beneficial owners of which is a qualified purchaser. (6) A "QIB" (as defined below). Please supply supporting documentation. (7) A participant-directed employee benefit plan (such ... owned subsidiary of the Subscriber and other majority-owned subsidiaries of that parent company. QIBs A Subscriber that is reasonably believed by the Partnership to be a "qualified institutional buyer ... discretionary basis $100,000,000 of securities of issuers unaffiliated with it ("QIB Securities"). (ii) a bank that meets such $100,000,000 test and that has an audited

https://www.justice.gov/epstein/files/DataSet%209/EFTA01122111.pdf

EFTA01478823Set 10

2014-03-2430p2,810w

Pipeline CB&S ECM Jeff Mortara TBD Post NDA Package TBD Presentation PPM 1. QIBs only 2. Offshore Reg S 3. ECM to send all docs Upon request $25mm target ... Watermarked PPM Teaser TBD TBD $96.2mm CB&S 1. Call March 25th QIB Only US Only PMs are available for meetings $75mm target raise AWM KCP Live or Pipeline ... level or above. Upon request ECM Marinas Pipeline Chad Cooper TBD Presentation 1. QIBs only 2. Offshore Reg S 3. ECM to send all docs Perhaps first week of April

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01478823.pdf

EFTA02238082Set 11

2018-03-026p3,102w

commentary. >>» >>>> Rule 144A securities may be offered or sold only to Qualified Institutional Buyers ("QIBs") as defined within the meaning of Rule 144A under the Securities ... commentary. >» >>> Rule 144A securities may be offered or sold only to Qualified Institutional Buyers ("QIBs") as defined within the meaning of Rule 144A under the Securities ... commentary. >> Rule 144A securities may be offered or sold only to Qualified Institutional Buyers ("QIBs") as defined within the meaning of Rule 144A under the Securities

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02238082.pdf

EFTA02238041Set 11

2018-03-025p2,546w

EFTA02238042 »» Rule 144A securities may be offered or sold only to Qualified Institutional Buyers ("QIBs") as defined within the meaning of Rule 144A under the Securities ... commentary. >>> >>> Rule 144A securities may be offered or sold only to Qualified Institutional Buyers ("QIBs") as defined within the meaning of Rule 144A under the Securities ... commentary. >> Rule 144A securities may be offered or sold only to Qualified Institutional Buyers ("QIBs") as defined within the meaning of Rule 144A under the Securities

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02238041.pdf

EFTA01478857Set 10

2014-04-1027p2,660w

request 4. Send customized Sub Doc package once AIS is approved TBD Available to QIBs $4.5mm of interest $20-25mm target 75bps mgmt ... Mortara ECM TBD Chad Cooper Presentation TBD Post NDA Package TBD Presentation PPM 1. QIBs only 2. Offshore Reg S 3. ECM to send all docs 1. QIBs only ... from KCP 3% net fee = $1.5-3mm TBD ECC Teaser NDA Watermarked PPM QIB Only US Only PMs are available for meetings $75mm target raise AWM KCP Live

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01478857.pdf

EFTA01370204Set 10

2016-10-211p153w

From: Stewart 0ldfield Sent: 10/21/2016 12:35:52 PM To: Cynthia Rodriguez Subject: FW: QIB - Southern Financial (Ii Attachments zlnaPdf Classification. For internal use only From: Richard Kahn [mailto .corn ... October 21, 2016 12:35 PM To: Darlene Zong Cc: Stewart OldfieId Subject: Fwd: QIB - Southern Financial please call me with any questions thank you Richard Kahn HBRK Associates ... York, NY 10022 tel fa ce Begin forwarded message: From: Bebe Avdiu ASS Subject: QIB - Southern Financial Date: October 21, 2016 at 12:17:38 PM EDT To: Richard Kahn

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370204.pdf

EFTA01414914Set 10

2016-10-213p220w

Subject: FW: QIB - Southern Financial [I] From: Stewart Oldfield Date: Fri, 21 Oct 2016 12:35:52 -0400 To: Cynthia Rodriguez dr- I> Classification: For internal use only From: Richard ... October 21, 2016 12:35 PM To: Darlene Zong Cc: Stewart Oldfield Subject: Fwd: QIB - Southern Financial please call me with any questions thank you Richard Kahn HBRK Associates ... York, NY 10022 tel fax cel Begin forwarded message: EFTA01414914 From: Bebe Avdiu ‹ > Subject: QIB - Southern Financial Date: October 21, 2016 at 12:17:38 PM EDT To: Richard Kahn

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01414914.pdf

EFTA01427147Set 10

2016-10-214p283w

Subject: RE: QIB - Southern Financial From: Darlene Zong Date: Fri, 21 Oct 2016 12:36:51 -0400 To: Richard Kahn Cc: Stewart Oldfield Will do thank you! Best, Darlene From ... October 21, 2016 12:35 PM To: Darlene Zong Cc: Stewart Oldfield Subject: Fwd: QIB - Southern Financial please call me with any questions thank you Richard Kahn HBRK Associates ... Lexington Avenue 4th Floor EFTA01427147 Begin forwarded message: From: Bebe Avdiu ‹ > Subject: QIB - Southern Financial Date: October 21, 2016 at 12:17:38 PM EDT To: Richard Kahn ‹ > Bebe Avdiu

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01427147.pdf

EFTA00392668Set 9

2013-04-082p496w

From: Darren Indyke <=111.=> To: Subject: Fwd: QIB Forms for SOUTHERN FINANCIAL and SOUTHERN TRUST Date: Mon, 08 Apr 2013 15:46:34 +0000 Attachments: SOUTHERN_FINANCIAL_LLC_QIB.pdf; Southem_Trust_Company_QIB.pdf Please print ... Barrett, Paul S" < >, "Ens, Amanda" Subject: QIB Forms for SOUTHERN FINANCIAL and SOUTHERN TRUST Darren, I received the FedEx package with all the dots for SOUTHERN TRUST and SOUTHERN FINANCIAL ... Thank you for sending. I have attached QIB (Qualified Institutional Buyer) forms for SOUTHERN TRUST and SOUTHERN FINANCIAL. Please sign and return at your earliest convenience. Thanks, Renee EFTA00392668 Renee

https://www.justice.gov/epstein/files/DataSet%209/EFTA00392668.pdf

EFTA01381034Set 10

2016-10-211p133w

Sent: 10/21/2016 12:36:51 PM To: Richard Kahn CC: Stewart OldfieS Subject: RE: QIB - Southern Financial Will do thank you! Best, Darlene From: Richard Kahn profit) Sent: Friday, October ... Darlene Zong Cc: Stewart 0ldfield Subject Fwd: QIB - Southern Financial please call me with any questions thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor ... York NY 1002 Begin forwarded message: From: Bebe Avdiu Subject: QIB - Southern Financial Date: October 21, 2016 at 12.17:38 PM EDT To: Richard Kahn ‹ > Bebe Avdiu Legal Assistant DARRE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381034.pdf

EFTA01426343Set 10

2016-10-211p75w

Subject: Fwd: QIB - Southern Financial From: Richard Kahn a> Date: Fri, 21 Oct 2016 12:34:31 -0400 To: Darlene Zong <darlene.zong@db.com> Cc: Stewart Oldfield please call me with ... cell 917-414-7584 Begin forwarded message: From: Bebe Avdiu Subject: QIB - Southern Financial Date: October 21, 2016 at 12:17:38 PM EDT To: Richard Kahn a EFTA01426343

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01426343.pdf

EFTA01379890Set 10

2016-10-211p86w

Sent: 10/21/2016 12:34:31 PM To: Darlene Zong CC: Stewart Oldfield [ Subject: Fwd: QIB - Southern Financial Attachments: doc00952120161021111444.pdf; Untitled attachment 02478.htm please call me with any questions thank ... Avenue 4th Floor New York, NY 10022 Begin forwarded message: From: Bebe Avdiu ‹ > Subject: QIB - Southern Financial Date: October 21, 2016 at 12:17:38 PM EDT To: Richard Kahn

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01379890.pdf

EFTA02237974Set 11

2018-03-056p2,556w

commentary. Rule 144A securities may be offered or sold only to Qualified Institutional Buyers ("QIBs") as defined within the meaning of Rule 144A under the Securities ... commentary. Rule 144A securities may be offered or sold only to Qualified Institutional Buyers ("QIBs") as defined within the meaning of Rule 144A under the Securities

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02237974.pdf

EFTA00424158Set 9

2011-11-151p167w

From: Darren Indyke < To: Subject: Fwd: QIB form Date: Tue, 15 Nov 2011 16:31:08 +0000 Attachments: FT QIB_form.pdf Please print. Darren K. Indyke Darren K. Ind ke, PLLC ... Date: November 15, 2011 11:09:31 AM EST To: DKIESQ Indyke Subject: Fwd: QIB form Darren the attached is for the derivatives account at JP Morgan (paul Barrett) Harry

https://www.justice.gov/epstein/files/DataSet%209/EFTA00424158.pdf

EFTA01492186Set 10

2016-05-011p172w

12/10/2009 QIB EXCHANGED BONDS - EXPIRES 6/13/2011 5,000.000 Reserved Corp Action 1250IB-7W-3 B+ /82 AMERICAN AXLE ... 12/102009 US/CONSENTS-EXCHANGE NEW SECURITIES ELECTION - QIB - EXPIRES 6/1312011 5.000900 Reserved Corp Action 1250IB-7X-1 B+182 BANK OF AMERICA CORP

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01492186.pdf

EFTA02392049Set 11

2014-12-16125p3,550w

T121 @ . is vCWn 4 751 TR Em 1F<- G—mp , RC1m Frs3 TH 3 —qIB

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02392049.pdf

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Results by Dataset48 total

Set 9

8

Set 10

36

Set 11

4