EFTA01654681Set 10
2020-05-26146p32,789w
ISSUING 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 ... Market $98.90
e Price: Price:
Date Exercisable: Expiration Date:
Number of Number of 197.16
Derivatives Sold: 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: FORESTER LYNN Owner Address:
Form Type: FORM 144 Owner Phone: (703) 762-5100
Signature
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01654681.pdf
EFTA01594860Set 10
2013-07-1513p4,813w
account under the same
SPN that they will be doing all of their derivatives activity out of. Can
you please move these does to acct #W97565001
after you have reviewed ... suitability for the new account?
Thanks,
Mike Gregors
Derivatives Support
J.P. Morgan Private Bank
500 Stanton Christiana Rd.
Newark, DE 19713
302-634-5205
1
3.P. Morgan Derivatives Account ... agrees that in order to enter into swaps
(without regard to underlier), equity index derivatives,
commodity derivatives, and foreign exchange transactions (other than forward
and spot transactions) (colleclevery, "Derivatives
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01594860.pdf
EFTA01594881Set 10
7p3,107w
Derivative and Foreign Exchange (FX) Commodity Transactions
Regulated by the Dodd -Frank Wall Street Reform and Consumer
Protection Act (the "Dodd -Frank Act") 3.P Morgan
A, Agreement ... each time
that 3.P. Morgan executes or clears an Exempt Transaction or a Derivative
transaction) that it Is not considered a Special Entity for
purposes of the Dodd -Frank ... indirect
influence regarding the clients selection of J.P. Morgan to act
as a Derivatives counterparty and/or to provide a Derivatives Account
(including, but not limited to, the client's directors
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01594881.pdf
EFTA01398320Set 10
2018-02-0632p3,567w
Subject: RE: New Derivatives account. [I]
From: Paolo De-Leon
Date: Tue, 06 Feb 2018 17:22:29 -0500
To: Teresa Metallo
Cc: Keith Buckholz
Jason Wang
Hi Teresa,
Fortunate ... Leon ; Surendra Singh
; Abhijit Mukherjee < ; Debra
; Halina Laczny <
; Srikanta Gouda
<fx-
Subject: RE: New Derivatives account. [I]
Classification: For internal use only
Paolo,
EFTA01398320
I will set up a call ... Debra Jasper ; Halina
Laczny
Cc: Keith Buckholz < ; Srikanta Gouda
' ; Teresa Metallo
Subject: RE: New Derivatives account. [I]
Adding Teresa to the thread.
Teresa- it seems that Gideon Pinedo
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398320.pdf
EFTA01398599Set 10
2018-01-1726p2,899w
Subject: RE: New Derivatives account. [I]
From: Sachiva Gupta <a
Date: Wed, 17 Jan 2018 11:06:32 -0500
To: Paolo De-Leon <la,
Abhijit Mukherjee
Cc: Keith Buckholz
Classification ... Sachiva Gu to < ; Abhijit Mukherjee
>
Cc: Keith Buckholz
Subject: RE: New Derivatives account. [I]
EFTA01398599
Hi Sachiva and Abhijit,
Kindly just following up please. Can you please provide an update ... Thursday, January
To: Sad i ta >; Abhijit Mukherjee
Cc: Keith Buckholz
Subject: FW: New Derivatives account. [I]
Hello Sachiva and Abhijit,
Please see attached and please proceed with setting
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398599.pdf
EFTA01398390Set 10
2018-01-1725p2,759w
Subject: RE: New Derivatives account. [I]
From: Paolo De-Leon ‹ >
Date: Wed, 17 Jan 2018 11:01:56 -0500
To: Sachiva Gupta
Abhijit Mukherjee
Cc: Keith Buckholz
Hi Sachiva ... Sachiva Gupta Abhijit Mukherjee
Cc: Keith Buckholz
Subject: FW: New Derivatives account. [I]
Hello Sachiva and Abhijit,
Please see attached and please proceed with setting up the dummy facility ... Paolo De-Leon >; Teresa Metallo
Cc: Keith Buckholz
Subject: RE: New Derivatives account. [I]
Kind regards,
Diana Canter
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DAWN_logo_metallic 46x46.gif}
Diana Canter
Director I Supervisory
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398390.pdf
EFTA00284269Set 9
2010-12-3130p11,194w
owned, at fair value (cost $981,248,848) 488,485,147
Unrealized appreciation on derivative contracts (upfront fees $103,125) 413,607
Due from brokers 1,894,432
Interest receivable ... Investments Owned Total (cost $981,248,848) 166.02% 488,485,147
Derivative Contracts With Short Positions
Credit Default Swaps, Indices and Trenches - North America (primarily United States)
Diversified ... Credit Default Soaps, Indicts and Traoches Total (upfront fees $103,125) 0.14% 413,607
Derivative Contracts With Short Positions Total (upfront fees $103,125) 0.14% S 413,607
The accompanying
https://www.justice.gov/epstein/files/DataSet%209/EFTA00284269.pdf
EFTA01583242Set 10
2012-08-041p873w
Morgan Derivatives Account Application and Agreement:
J.P. Morgan
Swaps and Other Contracts
A. Agreement
1. the client acknowledges and agrees that in order to enter into swaps (without regard ... underlier), equity index derivatives,
commodity derivatives, and foreign exchange transactions (other than forward and spot transactions) (collectively, 'Derivatives"), an
account (*Derivatives Account') will be opened and linked to the client ... Frank Wall Street
Reform and Consumer Protection Act (the -Dodd-Frank Act") requires certain Derivatives to be cleared. The Derivatives Account will be
governed by (a) to the extent that
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01583242.pdf
EFTA00282045Set 9
43p23,231w
Rights Reserved.
AutoCAD® and AutoCAD LT& products are produced under a license of data derived from DIC Color
Guide® from Dainippon Ink and Chemicals, Inc. Copyright © Dainippon Ink and Chemicals ... Software") to use, reproduce,
display, distribute, execute, and transmit the Software, and to prepare derivative works of the
Software, and to permit third-parties to whom the Software is furnished ... included in all copies of the Software, in whole or in
part, and all derivative works of the Software, unless such copies or derivative works are solely in the
form
https://www.justice.gov/epstein/files/DataSet%209/EFTA00282045.pdf
EFTA01088863Set 9
2014-07-0117p5,364w
realized gain on investments 1,463,449 1,097,801
Net realized gain on derivative contracts 36,744 140,800
Net realized gain (loss) on foreign currency transactions ... special purpose vehicles 436,205 (485,791)
Net change in unrealized depreciation on derivative contracts (8,188) (28,109)
Net change in unrealized appreciation on foreign currency ... gain on investments, derivatives and foreign currency 1,621,533 288.098
Net income 869,211 $ 33,308
See accompanying notes to financial statements. 4
EFTA01088868
BOOTHBAY MULTI-STRATEGY FUND
https://www.justice.gov/epstein/files/DataSet%209/EFTA01088863.pdf
EFTA02713615Set 11
2012-11-2957p27,450w
futures contracts, as well as over-
the-counter swaps, credit default swaps and other derivatives on these
instruments. The strategy typically involves buying these fixed-income
instruments and using various ... hedges (including derivatives) to reduce
interest rate risk, market risk, credit risk and call and redemption risk along
with other risks related to fixed-income instruments. The evaluation and
trading ... strategies that involve being long and short different corporate and asset
backed securities and derivatives, including loan participations and
allocations (i.e., interests in a syndicate and the borrower
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02713615.pdf
EFTA01092032Set 9
25p12,760w
Pluristem problem. The company is using a cryopreserved
formulation of its placental-derived cells. This formulation includes DMSO as a preservative and albumin
in a light saline solution. DMSO ... Both MPCs and MAPCs are isolated from the bone marrow,
while Pluristem uses placental-derived cells. Athersys has delivered more than 1 billion cells safely to
multiple patients in their ... allogeneic vs. autologous debate, we need to look at how the products are derived.
Regardless of the source (allogeneic or autologous) of the cells, the cells are put through
https://www.justice.gov/epstein/files/DataSet%209/EFTA01092032.pdf
EFTA02688804Set 11
14p8,550w
which asserts that the particle moves in a quantum potential, which is built from
derivatives of the wavefunction. In Nelson's stochastic formulation of quantum theory the osmotic velocity depends ... explained in l5l, one cannot succeed in making the whole wave-
function just a derived property of an ensemble, derived from the values of configurations of individual systems. Given ... much
more challenging to regard the phase .5(x,r) as derived from an ensemble. For one thing, the deterministic evolution equation for
the position beable of deBrogle-Bohm theory
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02688804.pdf