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EFTA01654681Set 10

2020-05-26146p32,789w

COMPANY INFORMATION Company Name: ESTEE LAUDER COS Ticker Symbol: EL CUSIP: 51843910 INC DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED Derivative Type: UNITS Transaction Code: A Transaction Date: 05/25/2011 ... Derivatives Acquired: Resulting 197.16 Number of 197.16 Derivatives Held: Underlying Shares: Number of Underlying Security COMMON STOCK, CLASS A Derivatives in Type: Transaction: Ownership Type:DIRECT INSIDER INFORMATION Owner Name ... Date: 01/12/1999 Owner Role: BENEFICIAL OWNER OF MORE THAN 10% OF A CLASS OF SECURITY Owner Class: BENEFICIAL OWNER ISSUING COMPANY INFORMATION Company Name: TELIGENT INC Ticker Symbol: CUSIP: 87959Y10

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01654681.pdf

EFTA01143418Set 9

2012-09-1056p15,098w

forth in Section 2.8(a)(iii) hereof. (b) "Commission" shall mean the U.S. Securities and Exchange Commission or any other federal agency at the time administering the Securities ... Stock issued upon conversion of the Preferred Stock. (e) "Exchange Act" shall mean the Securities Exchange Act of 1934, as amended, or any similar successor federal statute and the rules ... benefit plans, a registration relating to the offer and sale of non-convertible debt securities, a registration relating to a corporate reorganization or other Rule 145 transaction, or a registration

https://www.justice.gov/epstein/files/DataSet%209/EFTA01143418.pdf

EFTA01405456Set 10

2014-06-0552p7,533w

Adjusted Cost Basis Fixed Income 20.00% of Portfolio (In Maturity Date Sequence) 6Asset Backed Securities COUNTRYWIDE HOME LOANS SER 03-1 CL B1 4.090% 03/25/33 B/E DTD 01/30/03 Factor ... Current Face Value: 732,388.754 12/13/13 *,3,12 1,290,000.000 Total Asset Backed Securities 5,790,000.000 Total Current Face Value : 1,705,009.934 Corporate Bonds PETROLEOS DE VENEZUELA ... 10/28/15 REG DTD 10/28/09 S & P Rating B+ 12/04/13 *,3,12 2,500,000.000 Security Identifier: P7807HAF2 95.3590 HEADWATERS INC GTD SR NT 7.625% 04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01405456.pdf

EFTA02038341Set 10

purchaser, a "Purchaser" and, collectively, the "Purchasers"). This Agreement is made pursuant to the Securities Purchase Agreement, dated as of the date hereof, between the Company and each Purchaser ... Person, as such terms are used in and construed under Rule 405 under the Securities Act. With respect to a Purchaser, any investment fund or managed account that is managed ... will be deemed to be an Affiliate of such Purchaser. "Commission" means the U.S. Securities and Exchange Commission. "Common Stock" means the common stock of the Company, par value

https://www.justice.gov/epstein/files/DataSet%2010/EFTA02038341.pdf

EFTA00808277Set 9

Deemed Gain or Deemed Loss 3940 14.9 Reserved 40 14.10 Marketable; Marketable Securities; Marketability 40 14.11 Nonmarketable Securities 4041 14.12 Ordinary Income or Ordinary Loss 4041 14.13 Partnership Percentage ... Contents a) Page 14.16 Profit or Loss 4041 14.17 Regulated Partner 44-42 14.18 Securities 4442 14.19 Securities Act 4442 14.20 Short-Term Securities 44-42 14.21 Thiel Persons ... Term Paragraph Management Fee Percentage 6.1(b) Managing Member 4.6(b) Marketable 14.10 Marketable Securities 14.10 Marketability 14.10 Nonmarketable Securities 14.11 Opportunity Fund 8.3(b) Optionees 4.5(b)(vii) Optionor

https://www.justice.gov/epstein/files/DataSet%209/EFTA00808277.pdf

EFTA01538574Set 10

2010-09-0171p6,846w

www.MorganOnline.com Page 2 4 6 8 11 14 16 19 Client News J.P. Morgan Securities Inc. name change to J.P. Morgan Securities LLC Effective September 1, 2010, J.P. Morgan Securities ... company. As part of this conversion, JPMSI will change its name to J.P. Morgan Securities LLC. The new name will appear on account statements, confirmations and other correspondence related ... Current Portfolio Activity Beginning Market Value Contributions Withdrawals & Fees Securities Transferred Out Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538574.pdf

EFTA01571264Set 10

2012-12-3165p7,638w

Portfolio Activity Page 2 5 8 9 R 15 17 Client News J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital ... Current Portfolio Activity Beginning Market Value Withdrawals & Fees Securities Transferred In Securities Transferred Out Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals ... used for any financial or tax purposes. This summary does not include securities which are taxable at the federal level but are state exempt. This summary may not include

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01571264.pdf

EFTA00094182Set 9

2012-08-0130p14,190w

just another enabler of this criminal activity. It has NO business enforcing SECURITIES LAWS. It should not be overseeing the OTCM. FINRA fines are a joke and not meant ... blank check shells must be shut down IMMEDIATELY as they pose a serious national security risk. AQR MUST be shut down IMMEDIATELY. Certainly not exhaustive BUT a good start Cheers ... /sites/default/files/OHODecision/p182993 0 0.pdf FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS 5 distributions of securities in violation of Section 5 of the Securities

https://www.justice.gov/epstein/files/DataSet%209/EFTA00094182.pdf

EFTA01456304Set 10

Event of Default, the non-Defaulting Party has sold, in the case of Receivable Securities, or purchased, in the case of Deliverable Securities. Securities which form part of the same ... issue and are of an identical type and description as those Equivalent Securities or Equivalent Margin Securities, and that the non-Defaulting Party elects to treat as the Default Market ... Value - (aa) in the case of Receivable Securities, the net proceeds of such sale after deducting all reasonable costs, fees and expenses incurred in connection therewith (provided Drat, where

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456304.pdf

EFTA01548247Set 10

2013-12-0136p4,519w

Current Portfolio Activity Beginning Market Value Contributions Withdrawals & Fees Securities Transferred In Securities Transferred Out Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with ... Total Inflows OUTFLOWS ** Withdrawals Foreign Exchange - Outflows Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance $0.00 $1,013,585.06 * Year to date information ... Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out EFTA01548259 Period Value (1,585,000.00) Year-To-Date Value* 1,820,000.00 (1,585,000.00) Page

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01548247.pdf

EFTA01556069Set 10

2010-12-1528p4,068w

Clearing Corporation ("JPMCC"). The Asset Account Statement reflects brokerage transactions executed through J.P. Morgan Securities LLC ("JPMS"), see "Portfolio Activity Detail". Equity securities, fixed income securities, and listed options transactions ... Assets held in Margin Account at JPMCC, member Financial Regulatory Authority ("FINRA") and Securities Insurance Protection Corporation ("SIPC"). The Margin Account Statement reflects brokerage transactions executed by JPMS, see "Portfolio ... Page 4 13 Client News EFTA01556069 Alert: If you plan to make gifts of securities this year, please notify your Client Service Representative before December 15, 2010. This will allow

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01556069.pdf

EFTA01560165Set 10

2013-02-0129p4,048w

Clearing Corporation ("JPMCC"). The Asset Account Statement reflects brokerage transactions executed through J.P. Morgan Securities LLC ("JPMS"), see "Portfolio Activity Detail". Equity securities, fixed income securities, and listed options transactions ... Assets held in Margin Account at JPMCC, member Financial Regulatory Authority ("FINRA") and Securities Insurance Protection Corporation ("SIPC"). The Margin Account Statement reflects brokerage transactions executed by JPMS, see "Portfolio ... discretionary and all investment decisions are made by the client. J.P. Morgan Securities LLC ("JPMS") does not provide advice on asset allocation or investment management services, nor do its personnel

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01560165.pdf

EFTA00089576Set 9

2020-09-0522p10,807w

glitch" proved my allegations. Key point in my TCR: NITE inadvertently sent 4000 worthless securities to JPM to secure an emergency bridge financing as collateral. These were open, naked short ... financing participants knew the NITE balance sheet was complete fraud. NITE also committed securities fraud in pledging those 4000 worthless securities as collateral to JPM: SCOTUS Rubin: pledging collateral ... secure financing is an offer to sell. JPM looked the other way. As did the SEC. Further, I submitted my amended TCR with Berger in March 2013, In August

https://www.justice.gov/epstein/files/DataSet%209/EFTA00089576.pdf

EFTA00313530Set 9

2013-01-2612p3,827w

date of acquisition and cost basis on a sale of a "covered security." Legislation requires reporting the gross proceeds of the sales of "covered" and "noncovered" securities and the adjusted ... cost basis for "covered securities." Any sale of a security that is considered a "noncovered security" will be included with the adjusted cost basis but the adjusted basis will ... Withheld Form 1040, Line 62 0.00 Gross Proceeds from each of your 2012 securities trades are Individually reported to the IRS. Amounts of Original Issue Discount are individually reported

https://www.justice.gov/epstein/files/DataSet%209/EFTA00313530.pdf

EFTA01461109Set 10

rights of DBSI and Pershing shall include the right to buy all Securities and Other Property which may be short in such account, to cancel any open orders ... request and obtain extension(s) of Client's time to make payment for securities Client purchases, as provided for by Federal Reserve Bank Regulation T. 9. Short Sales of Securities ... affirmative determination as to whether DBSI or Pershing will receive delivery of the securities from the Client or that the securities can be borrowed by the settlement date. This process

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01461109.pdf

EFTA01473332Set 10

2015-05-0623p4,543w

Includes the impact of FAS123R requiring the expensing of stock options. Deutsche Bank Securities Inc. Deutsche Bank does and seeks to do business with companies covered in its research reports ... Pioneer Natural Resources Oil & Gas Exploration & Production 6 May 2015 Page 2 Deutsche Bank Securities Inc. Figure 1: PXD Q4 Results Q1 Results Actuals Consensus ... Deutsche Bank Securities Inc. Page 3 EFTA01473340 6 May 2015 Oil & Gas Exploration & Production Pioneer Natural Resources Appendix 1 Important Disclosures Additional information available upon request Disclosure checklist Company Pioneer

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01473332.pdf

EFTA01572996Set 10

2013-12-0138p3,893w

Portfolio Activity 4 7 9 Client News If you plan to make gifts of securities this year, please notify your Client Service Representative before December 1, 2013. This will allow ... Income Contributions Total Inflows OUTFLOWS ** Total Outflows Fees & Commissions TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance ... HONEYWELL INTERNATIONAL INC @ 83.3642 917.01 BROKERAGE 0.22 TAX &/OR SEC .02 IVY SECURITIES, INC. (ID: 438516-10-6) WALGREEN CO @ 54.5863 9,225.08 BROKERAGE 3.38 TAX &/OR SEC .16 BARCLAYS

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572996.pdf

EFTA01572702Set 10

2012-12-0136p3,681w

from time to time as described in the Investment Management Agreement. Investment Restrictions: NONE Security Restrictions NONE Tax Status Tax Identification Number: Tax Domicile: High Federal Tax Bracket ... Total Inflows Income OUTFLOWS ** Total Outflows Fees & Commissions $0.00 TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 3,758.54 (3,526.94) $231.60 $3,901.94 * Year ... ACCT. For the Period 12/1/12 to 12/31/12 Trade Date Settle Date Type Settled Securities Purchased 11/28 Purchase 12/3 11/28 12/3 11/29 12/4 11/29 12/4 11/29 12/4 11/29 12/4 11/29 12/4

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572702.pdf

EFTA01353300Set 10

property equivalent to that received in respect of such Securities resulting from such event. the terms of this (h) In the event of any conflict between the terms of this ... agreed between the parties, where Income paid or distributed b) the issuer of Purchased Securities or Margin Securities is not in the money but is in the form of other ... particular Transaction extends over an Income Payment Date in respect of any Securities subject to that Transaction which are not equities. Buyer shall on the date such Income is paid

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353300.pdf

EFTA01552023Set 10

2012-01-0116p2,517w

limited to, pooled and private investments, non-publicly traded and infrequently traded securities, derivatives, partnership interests and tangible assets are generally illiquid, the value of such asset may have been ... date provided to us, and is not independently verified. Important information regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically ... liquidity. If there are not enough bids at an auction to redeem the securities available for sale, the result may be a failed auction. In the event of a failed

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01552023.pdf

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