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EFTA02389554Set 11

2017-02-246p766w

puts struck on 3 sector ETF underlyings. ETF underlyings + pre=ium: &nbs=; XLB .1 XLU .1 XLV .1 0.93% XLB .1 XLU ... XLU .1 1 EFTA_R1_01414137 EFTA02389554 1.00% XLE .1 XLU .1 XLV .1 1.00% XLU .1 XLV .1 XLY .1 1.01% XLB .1 XLF .1 XLU ... XLU .1 XLV .1 1.04% XLI .1 XLU .1 XLV .1 1.05% XLE .1 XLK .1 XLU .1 1.06% XLF .1 2 EFTA_R1_01414138 EFTA02389555 XLU

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02389554.pdf

EFTA00818577Set 9

2016-09-1211p1,706w

hedging fixed income. Would also look at downside on bond-like equity sectors — utilities (XLU) and consumer staples (XLP), which pair cheaply with a bullish energy view ... average on the vanilla ATM put) EFTA00818579 Buy a worst-of option: put on XLU / call on XLE • March 17, 2017 expiry: ATM strike costs 1.85% (compares to 6.1% average ... forecast for higher oil in the next year ($55 year-end, $70 mid-2017) • XLU (Utilities ETF) should weaken on higher yields or our forecast for a continued rotation from

https://www.justice.gov/epstein/files/DataSet%209/EFTA00818577.pdf

EFTA00811666Set 9

2018-01-319p3,168w

Interest Income & Other Distributions - per brokerage stmts 622,286 TD - Sold Short 9,900 XLU @ 50.561 499,546 MS - Sold Teekay LNG Partners 8.5% 246,440 Enhanced - Sold ... Alerian MLP 1/12/18 40 000 500 956 - 490,200 -10756 Utility Sector Spider XLU 1/12/18 (400) 49448 - (505,296) -6,750 Sangamo Therapeutics Inc 5/28/13

https://www.justice.gov/epstein/files/DataSet%209/EFTA00811666.pdf

EFTA02690903Set 11

2014-01-3115p4,054w

Equity 4,975 14,119 15.57 21.06 XLU US Equity 163 6,337 38.12 39.10 XLK US Equity 1,701 13,036 30.80 34.82 XLI US Equity

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02690903.pdf

EFTA02455115Set 11

2016-08-057p1,560w

delta) 3. Or buy a 6M ATM worst-of {XLF (=inancials) call, XLU (utilities) put} for - 1.38% (65% discount to the aver=ge vanilla option) 4. Post earnings

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02455115.pdf

EFTA02350300Set 11

2017-02-027p1,526w

yield) -12.0% N/A 12/15/2016 Buy ly best-of-put on XLK, XLY, XLU for 1.8% as a hedge -0.3% -17% 12/6/2016 Buy WFC 7.5% mandatory convert

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02350300.pdf

EFTA01785100Set 10

2016-08-056p1,109w

delta) 3. Or buy a 6M ATM worst-of {XLF (financials) call, XLU (utilities) put) for - 1.38% (65% discount to the average vanilla option) 4. Post earnings — Buy Healthcare & Biotech

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01785100.pdf

EFTA00293133Set 9

2014-03-1316p5,520w

Equity 5,564 13,610 15.57 21.94 56.24 0.73% (216.03) XLU US Equity 445 8,406 38.65 40.70 8.60 0.62% 92.29 XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00293133.pdf

EFTA00614817Set 9

2014-05-1916p5,519w

Equity 5,495 13,610 15.57 21.86 61.66 0.65% 101.04 XLU US Equity 581 10,859 39.38 41.49 7.51 0.71% (176.47) XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00614817.pdf

EFTA00288864Set 9

2014-05-2016p5,476w

Equity 5,381 13,610 15.57 21.73 63.42 0.62% (112.94) XLU US Equity 581 10,859 39.38 41.49 7.57 0.71% XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00288864.pdf

EFTA00288591Set 9

2014-07-1116p5,522w

Equity 6,220 13,610 15.57 22.69 112.40 0.41% 35.02 XLU US Equity 948 11,089 39.46 42.83 12.72 0.67% (92.04) XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00288591.pdf

EFTA00293394Set 9

2014-02-1916p5,075w

Equity 5,075 13,610 15.57 21.38 45.25 0.82% XLU US Equity 344 7,179 38.35 40.19 7.68 0.62% XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00293394.pdf

EFTA00292784Set 9

2014-02-0315p4,014w

Equity 4,292 13,484 15.98 20.53 XLU US Equity 112 6,351 38.42 38.79 XLK US Equity 1,371 12,839 31.46 34.09 XLI US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00292784.pdf

EFTA00636006Set 9

2017-02-074p1,724w

yield) -12.0% WA 12/15/2016 Buy 1y best-of-put on XLK, XLY. XLU for 1.8% as a hedge -0.3% -17% 12/6/2016 Buy WFC 7.5% mandatory convert

https://www.justice.gov/epstein/files/DataSet%209/EFTA00636006.pdf

EFTA00288399Set 9

2014-05-2916p5,488w

Equity 5,827 13,610 15.57 22.24 84.88 0.50% 43.80 XLU US Equity 849 10,859 39.38 42.46 11.78 0.66% 33.18 XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00288399.pdf

EFTA00288111Set 9

2014-03-3116p5,532w

Equity 5,914 13,610 15.57 22.34 70.35 0.62% 203.10 XLU US Equity 610 8,406 38.65 41.46 13.81 0.53% 98.93 XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00288111.pdf

EFTA00292908Set 9

2014-02-1216p4,944w

Equity 4,995 13,560 15.73 21.53 46.68 0.79% XLU US Equity 176 6,358 38.53 39.59 4.65 0.59% XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00292908.pdf

EFTA00293426Set 9

2014-02-2716p5,561w

Equity 5,259 13,610 15.57 21.59 48.40 0.80% 96.63 XLU US Equity 330 8,406 38.65 40.17 7.38 0.53% (21.69) XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00293426.pdf

EFTA00288271Set 9

2014-04-1416p5,374w

Equity 5,136 13,610 15.57 21.45 52.35 0.72% 149.76 XLU US Equity 733 9,939 39.06 41.94 13.91 0.53% 64.00 XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00288271.pdf

EFTA00288223Set 9

2014-04-0916p5,490w

Equity 5,661 13,610 15.57 22.05 65.28 0.64% 167.50 XLU US Equity 721 9,939 39.06 41.89 12.97 0.56% (22.85) XLK US Equity

https://www.justice.gov/epstein/files/DataSet%209/EFTA00288223.pdf

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Corpus: 1990-03-17 – 2025-12-01

February 2017

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Results by Dataset127 total

Set 9

102

Set 10

5

Set 11

20