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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

EFTA01536045Set 10

2010-06-0194p8,672w

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 ... Total Inflows OUTFLOWS Withdrawals Foreign Exchange - Outflows Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance ... BROKERAGE TAX &/OR SEC (12,000.000) EFTA01536084 89,673.00 600.00 1.52 J.P. MORGAN SECURITIES INC. TRADE DATE 06/03/10

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01536045.pdf

EFTA01104689Set 9

2013-09-1220p12,387w

across TV shows, movies, and console game launches. These ads often J.P. Morgan Securities LLC feature click-to-play video—which bodes well for Facebook's likely more formal launch ... social services; 3) advertiser ROI on Facebook may remain difficult to measure; 4) privacy, security, and regulatory risks; 5) competition for online and mobile ad dollars from Google, Yahoo ... cover or within the document individually certifies, with respect to each security or issuer that the research analyst covers in this research) that (1) all of the views expressed

https://www.justice.gov/epstein/files/DataSet%209/EFTA01104689.pdf

EFTA01532957Set 10

2009-12-3145p5,697w

HBRK ASSOCIATES 301 E 66TH ST APT 1OF NEW YORK, NY 100656216 J.P. Morgan Securities Inc. (JPMSI) Net Capital and Net Capital Requirements: At December 31, 2009, Consolidated Summary Account ... Insurance Corporation ("FDIC"). The Asset Account Statement reflects brokerage transactions executed through J.P. Morgan Securities, Inc. ("JPMSI"), see "Portfolio Activity Detail". Equity securities, fixed income securities, and listed options transactions ... Assets held in Margin Account at JPMCC, member Financial Regulatory EFTA01532957 Authority ("FINRA") and Securities Insurance Protection Corporation ("SIPC"). The Margin Account Statement reflects brokerage transactions executed by JPMSI

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01532957.pdf

EFTA01549521Set 10

2012-05-0141p5,071w

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/EFTA01549521.pdf

EFTA01177227Set 9

2012-05-0925p13,399w

Source: ASCEND This report has been prepared by UBS Securities LLC ANALYST CERTIFICATION AND REQUIRED DISCLOSURES BEGIN ON PAGE 19. UBS does and seeks to do business with companies covered ... this research report, in whole or in part, certifies that with respect to each security or issuer that the analyst covered in this report: (1) all of the views expressed ... accurately reflect his or her personal views about those securities or issuers and were prepared in an independent manner, including with respect to UBS, and (2) no part

https://www.justice.gov/epstein/files/DataSet%209/EFTA01177227.pdf

EFTA01170770Set 9

J.PMorgan Global Asset Allocation J.P.Morgan Chase Bank NA, J.P. Morgan Securities Ltd. Oct 28, 2011 he J.P. Morgan View Did markets overreact? Jan Loeys' • Economics — We raise ... cover or within the document indi- vidually certifies, with respect to each security or issuer that the research analyst covers in this research) that: (I) all of the views expressed ... accurately reflect his or her personal views about any and all of the subject securities or issuers.. and (2) no part of any of the research analyst's compensation

https://www.justice.gov/epstein/files/DataSet%209/EFTA01170770.pdf

EFTA00067752Set 9

2021-06-11108p32,273w

Institutional Investment Managers; Amend Reporting Threshold to Reflect Today's Equities Markets The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to update ... Bitmain filed a "secret ipo" with Clayton/SEC RIOT is a National security risk and ONGOING fraud on the public kept up and running by the grossly corrupt SEC: Gottschall ... Files Charges in Elaborate Microcap Stock Fraud Litigation Release No. 24403 / February 15, 2019 Securities and Exchange Commission v. Joshua Sason, et al. VONVI.sec.clov John Fife John M. Fife, Chicago

https://www.justice.gov/epstein/files/DataSet%209/EFTA00067752.pdf

EFTA01433420Set 10

2018-01-0320p4,569w

Company Update Price at 3 Jan 2018 (USD) Price target 52-week range Security issue addressed Valuation & Risks Intel responds to security issues 1/3/18 afternoon Intel responded to findings published ... Google's Project Zero which discovered security flaws through side channel analysis, which were caused by exploiting "speculative execution" techniques common in modern processors. These exploits could allow malware using ... system vendors, and OEMs, to develop an industry wide approach to resolve the three security issue variants through software (OS and VMM) and firmware updates, over the coming days

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01433420.pdf

EFTA01549713Set 10

2012-12-0140p4,889w

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 ... Start on Page 4 16 Client News If you plan to make gifts of securities this year, please notify your Client Service Representative before EFTA01549715 December 1, 2012. This will

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01549713.pdf

EFTA01443323Set 10

GLDUS144 Glenn Warren 1 Disclosure Statement Deutsche Bank Securities Inc. (the "Solicitation Agent"), Glendower Access Secondary Opportunities IV GP LLC ("Glendower") and iCapital Advisors, LLC ("iCapital") have entered into ... following documents to the General Partner. The identifying documents can be uploaded via the secure functionality built into your www.icapitalnetwork.com account. § Natural Persons: • A complete IRS Form W-9. § Entities ... Interest has not been, and will not be, registered under the United States Securities Act of 1933, as amended (the "Securities Act") or under the applicable securities laws

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01443323.pdf

EFTA01555795Set 10

2010-02-0131p4,489w

Insurance Corporation ("FDIC"). The Asset Account Statement reflects brokerage transactions executed through J.P. Morgan Securities, Inc. ("JPMSI"), 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 JPMSI, see "Portfolio ... Transactions Income INFLOWS Total Inflows OUTFLOWS Total Outflows Withdrawals TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance * Year to date information is calculated

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01555795.pdf

EFTA01555025Set 10

2007-07-0121p4,324w

informati on about assets held at JPMorgan Chase Bank, N.A. (JPMCB) and J.P. Morgan Securities, Inc. (JPMSI) in accounts listed on the front page. Securities are not bank deposits ... incipal amount invested. Assets held in custody by JPMCB are not protected under the Securities Investor Protection Corporati on ("SIPC") insurance. Total USD Page 2 of 19 EFTA01555026 FINANCIAL TRUST ... CHASE USA or any of their bank or thrift affiliates (unless otherwise indicated). Such securities and other investments are subject to investment risks, including possible loss of the principal amount

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01555025.pdf

EFTA00796015Set 9

2018-08-2126p7,735w

controlled by Epstein. Upon information and belief, TFTC was created by and/or received monies, securities or proceeds which were obtained and/or raised pursuant to the fraudulent conduct described herein ... without disclosure of the fraudulent nature. Defendant TFTC has misappropriated or converted such monies, securities and proceeds. 13. Defendants XYZ Corp. ("XYZ") and ABC, Inc. ("ABC") are fictitious names. Plaintiffs ... present. Upon information and belief, such entities were created by and/or received monies, securities or proceeds which were obtained and/or raised pursuant to the fraudulent conduct described herein and without

https://www.justice.gov/epstein/files/DataSet%209/EFTA00796015.pdf

EFTA01450301Set 10

Purchase of Securities. DBSI requires that cash accounts contain sufficient funds to settle a transaction, but has the right to accept an order without sufficient funds with the understanding that ... Client will submit payment on or before settlement date for each security purchased. DBSI retains the right to cancel or liquidate any order accepted and/or executed without prior notice ... settlement date. Alternatively, upon Client's failure to pay for purchased and settled securities, DBSI has the right to sell Securities and Other Property held in any of Client

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01450301.pdf

EFTA01450279Set 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 extenslon(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/EFTA01450279.pdf

EFTA01077755Set 9

slow down Iran's progress. David Albright at the Institute for Science and International Security walked me through the nuances of the Stuxnet computer virus that apparently wreaked havoc with ... However, there may be limits to what can be accomplished, as supply chains and security procedures are tightened. • If there were circumstances that resulted in Iran deciding to cease ... prevent (c82) Sovereign debt levels in prior crises vs. a subsequent decline in securities prices (c83-c86) Europe 2011, Debt to GDP, percent, by countryand year 2. The lack

https://www.justice.gov/epstein/files/DataSet%209/EFTA01077755.pdf

EFTA01573664Set 10

2012-06-0157p5,906w

03/01/2012 74733V-AB-6 BB+ /BA1 FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES NOTES 7.45% JUL 16 2031 DTD 7/16/99 345370-CA-6 BB+ /BAA ... INFLOWS Total Inflows OUTFLOWS ** Total Outflows Fees & Commissions $0.00 TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance ... 06/13/2007 (ID: 74971X-AC-1) FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES NOTES 7.45% JUL 16 2031 DTD 7/16/99 (ID: 345370-CA-6) RRI ENERGY

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01573664.pdf

EFTA00100380Set 9

2019-07-1228p13,944w

defendant instead proposes a bail package that amounts to little more than a barely-secured bond masquerading as a 14-point plan. The Court should reject the defendant's application ... Among other things, the proposed bail package contemplates the defendant pledging as the principal security a property that has already been identified by the Government as subject to forfeiture upon ... otherwise ground" his private jet is meaningless given his wealth and ability to easily secure other means of travel. The two co-signers he proposes only further highlight his minimal

https://www.justice.gov/epstein/files/DataSet%209/EFTA00100380.pdf

EFTA01572738Set 10

2013-01-0129p2,992w

Period Value 3,901.94 203.79 1,000,000.00 $1,000,203.79 (510.63) ($510.63) Settled Securities Purchased Ending Cash Balance (968,792.97) ($968,792.97) $34,802.13 * Year to date information ... Period 1/1/13 to 1/31/13 TRADE ACTIVITY Trade Date Settle Date Type Settled Securities Purchased 1/23 Purchase 1/28 1/23 1/28 1/23 1/28 1/23 1/28 1/23 1/28 1/23 1/28 1/23 1/28 1/23 ... ACCT. For the Period 1/1/13 to 1/31/13 Trade Date Settle Date Type Settled Securities Purchased 1/23 Purchase 1/28 1/23 1/28 1/23 1/28 1/23 1/28 1/23 1/28 1/23 1/28 1/23 1/28

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572738.pdf