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Corpus: 1990-03-17 – 2025-12-01

November 2011

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Results by Dataset231 total

Set 10

231

results for “"US Small/Mid Cap Equity"”

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EFTA01539038Set 10

2011-11-0175p8,563w

Period 11/1/11 to 11/30/11 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value Tax Cost Unrealized ... Current Allocation 11% 1% 3% EFTA01539052 19% 34% US Small/Mid Cap Equity Concentrated & Other Equity Preferred Stocks Asset Categories Equity as a percentage of your portfolio - 34 % Account Page ... Yield EFTA01539054 67.34 1,000,000.000 673,400.00 1,000,000.00 (326,600.00) US Small/Mid Cap Equity DEUTSCHE BK AG LDN BRH 10.33 DBL LONG ETN38 25154H

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01539038.pdf

EFTA01566688Set 10

2013-12-01148p14,644w

Page 7 EFTA01566703 GHISLAINE MAXWELL Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market ... Current EFTA01566704 Allocation 7% 1% 1% 9% 3% 21% Preferred Stocks US Small/Mid Cap Equity Non-US Equity Concentrated & Other Equity Asset Cate ories ACCT For the Period 10/1/13 ... 78462F-10-3 SPY $363,803.33 $345,532.56 $18,270.77 $7,716.86 $22.58 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566688.pdf

EFTA01571459Set 10

2013-06-0163p7,533w

Period 6/1/13 to 6/30/13 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value ... Current Allocation 1% 1% 1% 10% 5% 18% US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Asset Categories Equity as a percentage of your portfolio ... US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity RIO TINTO PLC ISIN GB0007188757 SEDOL 0718875 766994-90-9 BP Preferred Stocks CITIGROUP CAPITAL XIII

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01571459.pdf

EFTA01566101Set 10

2013-07-01167p16,599w

Page 7 EFTA01566116 GHISLAINE MAXWELL Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market ... Current Allocation EFTA01566117 6% 1% 1% 9% 4% 21% Preferred Stocks US Small/Mid Cap Equity Non-US Equity Asset Cate ories ACCT. For the Period 7/1/13 to 7/31/13 Concentrated & Other ... 78462F-10-3 SPY $301,484.01 $295,532.56 $5,951.45 $5,253.66 $19.00 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity RIO TINTO PLC ISIN

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566101.pdf

EFTA01566867Set 10

2014-01-01153p15,088w

Page 7 EFTA01566882 GHISLAINE MAXWELL Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market ... Current EFTA01566883 Allocation 9% 1% 1% 9% 3% 23% US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Concentrated & Other Equity Asset Categories ACCT. Q52167006 For the Period ... US Large Cap Equity $459,317.45 $435,852.56 $23,464.89 $7,716.86 $593.75 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566867.pdf

EFTA01539403Set 10

2012-02-0194p9,891w

Period 2/1/12 to 2/29/12 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value Tax Cost Unrealized ... Current Allocation 12% 1% 11% EFTA01539416 18% 42% Preferred Stocks Concentrated & Other Equity US Small/Mid Cap Equity Asset Categories Equity as a percentage of your portfolio - 42 % Account Page ... Cap Equity P EXTERRAN PARTNERS LP 23.65 COMMON UNITS 30225N-10-5 EXLP US Small/Mid Cap Equity DEUTSCHE BK AG LDN BRH DBL LONG ETN38 25154H-55-8 DAG Preferred

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

EFTA01565740Set 10

2013-05-01139p14,270w

Page 7 EFTA01565754 GHISLAINE MAXWELL Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market ... Current Allocation EFTA01565755 1% 1% 1% 10% 5% 18% US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Asset Cate ories ACCT. For the Period 5/1/13 ... Yield 82.13 EFTA01565757 95.000 7,802.35 11,403.30 (3,600.95) 76.00 0.97% US Small/Mid Cap Equity GERON CORP 1.09 374163-10-3 GERN Non-US Equity RIO TINTO PLC ISIN

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565740.pdf

EFTA01569693Set 10

2011-08-0154p6,660w

Period 8/1/11 to 8/31/11 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value ... Current Allocation 2% 1% 2% 5% 1% 11% US Small/Mid Cap Equity Preferred Stocks Concentrated & Other Equity Asset Categories ... Cap Equity 74347R-88-3 SDS 50.52 74347X-23-7 QID $61,114.00 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity RESEARCH IN MOTION LIMITED

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01569693.pdf

EFTA01569536Set 10

2011-05-0147p6,235w

Period 5/1/11 to 5/31/11 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value ... EFTA01569542 Allocation 7% 1% 3% 8% 2% 21% Preferred Stocks Concentrated & Other Equity US Small/Mid Cap Equity Asset Categories Non-US Equity US Large Cap Equity Page ... 61945C-10-3 MOS Total US Large Cap Equity US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity FIRST MAJESTIC SILVER CORP ISIN CA32076V1031 SEDOL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01569536.pdf

EFTA01547035Set 10

2013-06-30124p12,917w

Period 9/1/13 to 9/30/13 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity European Large Cap Equity Emerging Market Equity Preferred Stocks Concentrated & Other ... 95709T-10-0 WR $0.00 $0.00 $0.00 $0.00 $4,370.00 US Small/Mid Cap Equity P P P ENDURO ROYALTY TRUST RINGCENTRAL INC-CLASS A VIOLIN MEMORY INC 29269K ... NDRO 17.50 76680R-20-6 RNG 9.00 92763A-10-1 VMEM Total US Small/Mid Cap Equity $0.00 $0.00 $0.00 $0.00 0.00% 0.00 0.00 12.59 0.00 EFTA01547051

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

EFTA01540036Set 10

2012-06-3099p11,434w

Period 9/1/12 to 9/30/12 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value Tax Cost Unrealized ... Current Allocation 2% 1% EFTA01540050 8% 22% 33% US Large Cap Equity US Small/Mid Cap Equity Concentrated & Other Equity Asset Categories Account W23560001 Page 4 of 36 Consolidated Statement Page ... US Small Cap Equity P PENNANTPARK INVESTMENT CORP EFTA01540052 708062-10-4 PNNT US Small/Mid Cap Equity P CASELLA WASTE SYSTEMS INC CL A 147448-10-4 CWST

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540036.pdf

EFTA01570474Set 10

2012-03-01122p12,824w

Period 3/1/12 to 4/30/12 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value ... Current Allocation 1% 1% 1% 5% 2% 10% US Small/Mid Cap Equity Asset Categories Preferred Stocks Non-US Equity Concentrated & Other Equity Equity as a percentage of your portfolio ... US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity RIO TINTO PLC ISIN GB0007188757 SEDOL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01570474.pdf

EFTA01570180Set 10

2012-01-01104p11,078w

Period 1/1/12 to 1/31/12 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Unclassified Total Value Market Value/Cost Market ... Current Allocation 1% 1% 4% 5% 2% Preferred Stocks US Large Cap Equity US Small/Mid Cap Equity Asset Categories Concentrated & Other Equity Non-US Equity Page 4 of 50 EFTA01570188 ... US Large Cap Equity $112,244.53 $169,440.36 ($57,195.83) $1,171.08 $503.69 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity AKZO NOBEL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01570180.pdf

EFTA01540244Set 10

2012-11-01111p12,458w

Period 11/1/12 to 11/30/12 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value ... Current EFTA01540258 Allocation 2% 1% 1% 10% 21% 35% US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Concentrated & Other Equity Asset Categories Equity as a percentage ... Cost Original Cost Unrealized Gain/Loss EFTA01540260 Est. Annual Inc. Accrued Div. Yield US Small/Mid Cap Equity DEUTSCHE BK AG LDN BRH 12.48 DBL LONG ETN38 25154H

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540244.pdf

EFTA01571396Set 10

2013-05-0163p7,412w

Period 5/1/13 to 5/31/13 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value ... Current Allocation 1% 1% 1% 10% 5% 18% US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Asset Categories Equity as a percentage of your portfolio ... Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield US Small/Mid Cap Equity GERON CORP 1.09 374163-10-3 GERN Non-US Equity EFTA01571406 RIO TINTO

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01571396.pdf

EFTA01539497Set 10

2011-12-3195p9,904w

Period 3/1/12 to 3/31/12 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value Tax Cost Unrealized ... Current Allocation 12% 1% EFTA01539511 7% 17% 37% Concentrated & Other Equity US Small/Mid Cap Equity Asset Categories Preferred Stocks Account Page 4 of 32 Consolidated Statement Page 7 EFTA01539512 FINANCIAL ... Yield 109.61 2,000,000.000 2,192,200.00 2,000,000.00 192,200.00 US Small/Mid Cap Equity P ANNIE'S INC 03600T-10-4 BNNY DEUTSCHE

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

EFTA01565365Set 10

2012-12-31135p13,803w

Page 7 EFTA01565379 GHISLAINE MAXWELL Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market ... Current Allocation EFTA01565380 1% 1% 1% 11% 5% 19% US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Asset Cate ories ACCT. For the Period 3/1/13 ... US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity RIO TINTO PLC ISIN GB0007188757 SEDOL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01565365.pdf

EFTA01569583Set 10

2011-06-0158p7,287w

Period 6/1/11 to 6/30/11 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value ... Current Allocation 1% 1% 8% 2% 12% US Large Cap Equity US Small/Mid Cap Equity Asset Categories Preferred Stocks Equity as a percentage of your portfolio - 12 % Page ... PROSHARES TRUST Total US Large Cap Equity 74347X-23-7 QID $30,723.00 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Preferred Stocks COUNTRYWIDE CAPITAL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01569583.pdf

EFTA01464701Set 10

2013-08-01127p12,886w

Period 8/1/13 to 8/31/13 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity European Large Cap Equity Emerging Market Equity Preferred Stocks Concentrated & Other ... US Large Cap Equity European Large Cap Equity US Small/Mid Cap Equity Emerging Market Equity Non-US Equity Concentrated & Other Equity Asset Cate ories Account Page 4 of 48 Consolidated ... Value Adjusted Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield US Small/Mid Cap Equity DEUTSCHE BK AG LDN BRH 8.90 DBL LONG ETN38 25154H

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01464701.pdf

EFTA01570361Set 10

2011-12-31113p11,766w

Period 3/1/12 to 3/31/12 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value ... Current Allocation 1% 1% 5% 3% 10% US Large Cap Equity Preferred Stocks US Small/Mid Cap Equity Asset Categories 100.44 95.000 9,541.80 11,403.30 (1,861.50) 64.60 0.68% Page ... US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity RIO TINTO PLC ISIN GB0007188757 SEDOL 0718875 766994-90-9 GBP STANDARD CHARTERED

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01570361.pdf