Epstein Files Search

EFTA00803405Set 9

2017-03-3043p16,141w

value of client investments could change substantially and in a rapid and unpredictable manner. Preferred Stock. Investments in preferred stock involve risks related to priority in the event of bankruptcy ... insolvency or liquidation of the issuing company and how dividends are declared. Preferred stock ranks junior to debt securities in an issuer's capital structure and, accordingly, is subordinate ... debt in bankruptcy. Preferred stock generally has a preference as to dividends. Such dividends are generally paid in cash (or additional shares of preferred stock) at a defined rate

https://www.justice.gov/epstein/files/DataSet%209/EFTA00803405.pdf

EFTA01538432Set 10

2010-09-0171p6,831w

Period 8/1/10 to 8/31/10 Equity Summary Asset Categories US Mid Cap/Small Cap Preferred Stocks Total Value Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Yield Equity Detail ... Current Period Value 10,771,820.00 10,619,439.00 152,381.00 701,200.00 6.51% Preferred Stocks Change EFTA01538438 In Value 4,260.00 (6,268,097.20) ($6,263,837.20 ) Current Allocation ... SOLAR CAPITAL LTD Total US Mid Cap/Small Cap 83413U-10-0 SLRC 63,000.000 Preferred Stocks 3PM CHASE CAPITAL XXIX

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538432.pdf

EFTA01384641Set 10

1p597w

times, be hedged. Convertible Arbitrage: This strategy involves purchasing and selling convertible securities (bonds, preferred stocks or warrants) and may involve hedging the underlying equity and/or credit risk, in anticipation ... offered by public companies: (i) convertible debt securities (senior notes and subordinated notes) and preferred stock, with and without embedded put (conversion price reset(s) and/or cash put) and call

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384641.pdf

EFTA01521006Set 10

2012-01-011p138w

Equity 431,810.63 374,029.22 (57,781 41) 4% Pyalenrod Stocks Preferred Stocks 409,576.00 429,082.00 19,506.00 5% Concentrated 8, Other Equity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01521006.pdf

EFTA01394158Set 10

1p685w

date that is 60 days before the date such shares become a -dividend. For preferred stock, thc required periods arc increased from 61 days to 91 days and from

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394158.pdf

EFTA01390789Set 10

1p682w

date that is 60 days before the date such shares become cx-dividend. For preferred stock, the required periods arc increased from 61 days to 91 days and from

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390789.pdf