EFTA00595953Set 9
2015-12-3132p8,833w
through vested awards made under the Rockefeller Financial
Services, Inc. Stock Incentive Plan (the "SIP") (see Note 8).
2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
Basis of Presentation
The Company ... were no such development projects
subsequent to that date.
Stock-Based Compensation Expense
The SIP provides for the issuance of various equity-based incentive awards (see Note 8).
Awards made ... same dividend.
With the exception of those shares owned by RIT, awardees under the SIP and certain
Company directors, all shares of both the RFS Class A (voting) common stock
https://www.justice.gov/epstein/files/DataSet%209/EFTA00595953.pdf
EFTA01078984Set 9
2015-12-3132p8,813w
through vested awards made under the Rockefeller Financial
Services, Inc. Stock Incentive Plan (the "SIP") (see Note 8).
2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
Basis of Presentation
The Company ... were no such development projects
subsequent to that date.
Stock-Based Compensation Expense
The SIP provides for the issuance of various equity-based incentive awards (see Note 8).
Awards made ... same dividend.
With the exception of those shares owned by RIT, awardees under the SIP and certain
Company directors, all shares of both the RFS Class A (voting) common stock
https://www.justice.gov/epstein/files/DataSet%209/EFTA01078984.pdf
EFTA01221286Set 9
2013-08-0246p15,843w
England & Wales No. 248609. Registered Office
25 Bank Street, Canary Wharf, London, E14 SIP. J.P.Morgan Europe Limited. Registered in England & Wales No. 938937. Registered
Office 25 Bank Street, Canary Wharf ... England & Wales No. 2711006. Registered Office 25 Bank Street, Canary Wharf, London, E14
SIP. 3PMorgan Chase Bank, National Association. Organised under the laws of USA with limited liability. Main Office ... England & Wales No. 938937. Registered
Office 25 Bank Street, Canary Wharf, London, E14 SIP. All authorised and regulated by the Financial Services Authority.
EFTA01221292
https://www.justice.gov/epstein/files/DataSet%209/EFTA01221286.pdf
EFTA01283348Set 10
12p3,506w
Muter or Inc mcCerse+to Cannon. Inc Poonnerclern of any animation orogen by SIP rnam
form di pictured except wen Sane role, cernwenn SIP don nol guarantee In accuracy. *denary ... Inl11010 SCO ay manta sptc of Cangunnla gang*, n Oren 9 von vl•Onny SIP ffiforrnatc.,
Iry none a MOOgy3 Inve$10P1 Sewn. Inc 1-Moan/VI anarce S&P rorecwo ... Raley nninfrt nada sett' SIP Onnon, a a MO nary OI TM wanes they tale Ratan an nava and teems am are not
amount ganClans Of alunly Gear Annan frinteni
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01283348.pdf
EFTA01283372Set 10
14p3,744w
preciedoo berme wen Ube yearn peeneden SIP den nol genres* IN azure". ben...co. completeness Or enfeeble of re intonation ared ere, responselee %or any errors or crosses ... SWUM'S» sCre any rneletri.sows acomech.extia dtenne$ et erne .0 M. we 0/ any SIP ffifornta ,
Iry Genre Of MOOdy'S unsays Sehoco. Inc e-Moom/T)amitc SIP ... earneet nether 1000Cred TrbOr SIP 0OnOn9 d ID MO pearly d nt• »e'en' net no Rrend Lo rota. and ',non wo an col
&Mee* RddYd90f gory Creel pure
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01283372.pdf