EFTA01426691.pdf

Sheet1 Jeffrey Epstein The Haze Trust N4G024943 Brokerage 41181098 Value Date Account Number Account Name Product Category Legal Entity Asset Class 1 Asset Class 2 Security Identifier Security Description Maturity Call Unit s Total Cost Market Value Accrued Income Total Value Price 06/20/2016 N4G024943 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES DBAB - Brokerage Account DB Securities Inc. Cash Equivalents Money Market 1475 39670 SCUDDERFUNDDWGI N/A N/A 2.507448567E7 2.507448567E7 2.507448567E7 3986.87 2.50 7847254E7 1 06/20/2016 N4G024943 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES DBAB - Brokerage Account DB Securities Inc. Fixed Income Corporate 060505DT8 BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED TO FLOAT 8.125% 04/30/58 B/E DTD 04/30/08 CLB 4/30 /2058 5/15/2018 3000000 3389620.83 3003750 23697.92 3027447.92 100.13 06/20/2016 N4G024943 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES DBAB - Brokerage Account DB Securities Inc. Fixed Income Corporate 46625HHA1 JPMORGAN CHASE 6 CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900% 04/29/49 B/E DTD 04/2 3/08 CLB 4/29/2049 4/30/2018 3000000 3337958.33 3041250 32916.67 3074 166.67 101.38 06/20/2016 N4G024943 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES DBAB - Brokerage Account DB Securities Inc. Fixed Income Corporate 46262EAE5 IPAYMENT INC GTD SR NT 10.250% 05/15/18 B/E DTD 11/15/11 CLB 5/15/2018 7/22/2016 5000 00 476147.94 500000 4982.64 504982.64 100 06/20/2016 N4G024943 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES DBAB - Brokerage Account DB Securities Inc. Fixed Income Investment Funds 4812 1L510 JP MORGAN FLOATING RATE INCOME FUND SELECT SHARES N/A N/A 229654.423 2307 091.16 2131193.05 0 2131193.05 9.28 06/20/2016 N4G024943 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES DBAB - Brokerage Account DB Securities Inc. Equity Preferred Stock 172967341 CITI GROUP INC DEP SHS REPSTG 1/1000TH PFD SER K DIV 6.875$ PERPETUAL MATY PERPETUAL CALL 11/15/[email protected] Perpetual 11/15/2023 79000 1999418.90 2202520 0 2202520 27.88 06/20/2016 N4G024943 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES DBAB - Brokerage Account DB Securities Inc. Equity Preferred Stock 172967366 CITI GROUP INC DEP SHS REPSTG 1/1000 PFD SER C DIV 5.8% PERPETUAL MATY PERPETUAL CALL 04/22/[email protected] Perp etual 4/22/2018 200000 4851169.64 5227900 0 5227900 26.14 Southern Financial LLC N4G023804 Brokerage 102535317 Value Date Account Number Account Name Product Category Legal Entity Asset Class 1 Asset Class 2 Security Identifier Security Description Maturity Call Unit S Total Cost Market Value Accrued Income Total Value Price 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Cash Equivalents Money Market 147539670 SCUDDERFUNDDWGI N/A N/A 5657 555.03 5657555.03 5657555.03 1021.09 5658576.12 1 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Fixed Income Corporate 06739FHK0 BARCLAYS BK PLC CONTINGENT CAP NT ISINIUS067 39FHK03 7.750% 04/10/23 B/E DTD 04/10/13 CLB 4/10/2023 4/10/2018 300000 300000 3133 50 4520.83 317870.83 104.45 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Fixed Income Corporate 172967JZ5 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5. 950% 08/15/88 B/E DTD 08/12/15 CLB 8/15/2088 8/15/2020 3000000 3000006 2904390 6197 9.17 2966369.17 96.81 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage account DB Securitie s Inc. Fixed Income Corporate 270321AC6 EARTHLINK INC GTD SR NT FULLY EXCHANGED CUSI P FROM 270321AB8 8.875% 05/15/19 B/E DTD 05/17/11 CLB 5/15/2019 7/22/2016 746000 7643 62.18 759055 6436.84 765491.84 101.75 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Fixed Income Corporate G4515PP48 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOT ES 151110(50717735822 9.875% 12/16/21 REG DTD 12/16/11 CLB 12/16/2021 12/16/2016 1500 000 1596837.57 1555665 75708.33 1631373.33 103.71 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Fixed Income Corporate 35906AAH1 FRONTIER COMMUNICATIONS CORP SR NT 8.500$ 04 /15/20 B/E DTD 04/12/10 4/15/2020 4/15/2020 3000000 3143237.06 3184230 46041.67 3230271.67 106.14 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Fixed Income Corporate 369604BM4 GENERAL ELEC CO GTD FXD-TO-FLTG RT NON-CUMUL ATIVE PERPETUAL PREFERRED 4.000% 12/03/65 REG DTD 12/03/15 CLB 12/3/2065 6/15/2022 2469 000 2175016.17 2450482.50 1371.67 2451854.17 99.25 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Fixed Income Corporate 939336S20 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PA SSTHRU CTF CL C-B-1 VAR RATE 7.616% 07/25/33 B/E DTD 06/01/04 7/25/2033 N/A 1290000 4801 98.25 526539.56 2522.68 529062.24 83.90 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Fixed Income Corporate 060505DT8 BANK AMER CORP PERP NON COMULATIVE DEP SHS F IXED TO FLOAT 8.125% 04/30/58 B/E DTD 04/30/08 CLB 4/30/2058 5/15/2018 2000000 2055 000 2002500 15798.61 2018298.61 100.13 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Fixed Income Corporate 842400FU2 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 0 1/17/62 B/E DTD 01/17/12 CLB 1/17/2062 2/1/2022 3000000 2995224.73 3315000 7239 5.83 3387395.83 110.50 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie EFTA01426691 O Inc. Fixed Income Corporate 46625HHA1 JPMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PF D SER 1 FIXED TO FLTG RT BD 7.900% 04/29/49 B/E DTD 04/23/08 CLB 4/29/2049 4/30/2018 5000000 5362500 5068750 54861.11 5123611.11 101.38 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Fixed Income Corporate 539439AG4 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISINIUS539439AG42 7.500$ 04/27/88 B/E DTD 04/07/14 CLB 4/27/2088 6/27/2024 1903000 0 1917272.50 32906.04 1950178.54 100.75 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Int'l Inv Funds 97717W851 WISDOMTREE TR JAPAN HEDGED EQUITY FD - Margin N/A N/A 60000 0 2406600 0 2406600 40.11 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 04351G101 ASCENA RETAIL GROUP INC COM N/A N/A 7050 O 1500000 522405 0 522405 7.41 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 018805101 ALLIANZ SE SPONS ADR REPSTG 1/10 SHS N/A N/A 5000 90056 76835 0 76835 15.37 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 37045V100 GENERAL MTRS CO COM N/A N/A 97525 3585 947.38 2891616.25 0 2891616.25 29.65 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 380237107 GODADDY INC CL A N/A N/A 700 1400 O 22659 0 22659 32.37 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 01609W102 ALIBABA GROUP HLDG LTD SPONSORED ADS ISINIUS01609W10 27 N/A N/A 5000 444749 390750 0 390750 78.15 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 80283M101 SANTANDER CONSUMER USA HLDGS INC COM N/A N/A 1000 24000 10620 0 10620 10.62 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 15135B101 CENTENE CORP DEL COM N/A N/A 15550 9896 79.75 1076371 0 1076371 69.22 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 369604103 GENERAL ELECTRIC CO COM N/A N/A 23000 4961 09.08 709090 0 709090 30.83 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 92553P201 VIACOM INC NEW CL B N/A N/A 5000 3387 45 224250 0 224250 44.85 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 009728106 AKORN INC COM N/A N/A 5000 234206 1450 50 0 145050 29.01 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 30303M102 FACEBOOK INC CL A N/A N/A 17500 6650 00 1983975 0 1983975 113.37 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 97717P104 WISDOMTREE INVTS INC COM N/A N/A 1500 O 324157.50 158100 0 158100 10.54 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 928662303 VOLKSWAGEN A G ADR (SPONS) N/A N/A 5000 254306 152030 0 152030 30.41 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 37733W105 GLAXOSMITHKLINE PLC SPONS ADR N/A N/A 5000 215006 207450 0 207450 41.49 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 055262505 BASF SE SPONS ADR ISINIUS0552625057 N/A N/A 5000 508056 395150 0 395150 79.03 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 064058100 BANK OF NEW YORK MELLON CORP COM N/A N/A 250000 9076406 10105000 0 10105000 40.42 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 037833100 APPLE INC COM N/A N/A 164000 4.06506325E7 15596400 0 15596400 95.10 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 375558103 GILEAD SCIENCES INC N/A N/A 8100 6432 04 672219 0 672219 82.99 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 04033A100 ARIAD PHARMACEUTICALS INC N/A N/A 1653 5 290997.4 124012.50 0 124012.50 7.50 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 09062X103 BIOGEN IDEC INC COM N/A N/A 2095 2504 54.95 497332.05 0 497332.05 237.39 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 037833100 APPLE INC COM - Margin N/A N/A 250000 0 23775000 0 23775000 95.10 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 852234103 SQUARE INC CL A N/A N/A 200 1800 1840 O 1840 9.2 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap N51488117 MOBILEYE NV AMSTELVEEN ORD SHS ISININL0010831061 N/A N/A 800 20000 32480 0 32480 40.60 EFTA01426692 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 25470M109 DISH NETWORK CORP CL A N/A N/A 5000 3649 78 266800 0 266800 53.36 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Large Cap 90184L102 TWITTER INC COM N/A N/A 1500 39000 2451 O 0 24510 16.34 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Other Equity 37954X204 GLOBAL PARTNER ACQUISITION CORP UNIT 1 COM & 1 WT EX O N/A N/A 2000 20000 18720 0 18720 9.36 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Preferred Stock 361860208 GMAC CAP TR I GTD TR PFD SECS SER 2 CPN- 8.125$ FREQ QRTLY MATY-02/15/2040 CALL ANYTIME @25 W/30 DAYS BEGINS 02/15/16 2/15/2040 Anytime 8000 O 1882773.60 1992000 0 1992000 24.90 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Preferred Stock 780097713 ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG SER T PFD C PN-7.25% FREQ QRTLY PERP MTY CALL@25 ANY W/30 D NOTICE AFTR 12/31/12 Perpetual Anytime 1200 00 2924400 3045600 0 3045600 25.38 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Small Cap 57665R106 MATCH GROUP INC COM N/A N/A 200 2400 2954 0 2954 14.77 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Small Cap 00773U108 ADVERUM BIOTECHNOLOGIES INC COM - Margin N/A N/A 10000 0 33400 0 33400 3.34 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Small Cap 88104M101 TERRAFORM GLOBAL INC CL A N/A N/A 400 5931.84 1176 0 1176 2.94 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Small Cap 800677106 SANGAMO BIOSCIENCES INC COM N/A N/A 5000 O 422214 286000 0 286000 5.72 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Equity Small Cap 350465100 FOUNDATION MEDICINE INC COM N/A N/A 4983 O 1265036.52 982149.30 0 982149.30 19.71 06/20/2016 N4G023804 SOUTHERN FINANCIAL LLC DBAB - Brokerage Account DB Securitie s Inc. Alternative Investments Limited Partnerships 037612306 APOLLO GLOBAL MGMT LLC CL A SHS N/A N/A 263157 4999983 4049986.23 0 4049986.23 15.39 Southern Trust Company, Inc N4G023812 Brokerage 8178276 Value Date Account Number Account Name Product Category Legal Entity Asset Class 1 Asset Class 2 Security Identifier Security Description Maturity Call Unit s Total Cost Market Value Accrued Income Total Value Price 06/20/2016 N4G023812 SOUTHERN TRUST COMPANY INC DBAB - Brokerage Account DB S ecurities Inc. Cash Equivalents Cash GBP999997 BRITISH POUND STERLING N/A N/A 313200 482299.38 460184.76 0 460184.76 1.47 06/20/2016 N4G023812 SOUTHERN TRUST COMPANY INC DBAB - Brokerage Account DB S ecurities Inc. Cash Equivalents Money Market 147539670 SCUDDERFUNDDWGI N/A N/A 4907322.65 4907322.65 4907322.65 780.27 4908102.92 1 06/20/2016 N4G023812 SOUTHERN TRUST COMPANY INC DBAB - Brokerage Account DB S ecurities Inc. Fixed Income Corporate G63980UK3 NATIONWIDE BUILDING SOCIETY EURO ISS UE CONV GBP ISINIXS1043181269 6.875% 09/20/88 REG DTD 03/11/14 CLB 9/20/2088 6/20/2019 2000000 3412512 2810770.90 0 2810770.90 140.54 J Epstein Virgin Islands N4G024950 Brokerage 1413044 Value Date Account Number Account Name Product Category Legal Entity Asset Class 1 Asset Class 2 Security Identifier Security Description Maturity Call Unit s Total Cost Market Value Accrued Income Total Value Price 06/20/2016 N4G024950 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC DBAB - Brokerage Account DB Securities Inc. Cash Equivalents Cash USD999997 U.S.DOLLARS CURRENCY N/A N/A 0 0 0 0 0 1 06/20/2016 N4G024950 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC DBAB - Brokerage Account DB Securities Inc. Cash Equivalents Money Market 147539670 SCUDDERFUNDDWGI N/A N/A 102066.12 102066.12 102066.12 16.18 102082.30 1 06/20/2016 N4G024950 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC DBAB - Brokerage Account DB Securities Inc. Equity Large Cap 110122108 BRISTOL MYERS SQUIBB CO COM N/A N/A 5000 334712 354800 0 354800 70.96 06/20/2016 N4G024950 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC DBAB - Brokerage Account DB Securities Inc. Equity Large Cap 717081103 PFIZER INC COM N/A N/A 1000 O 345304.10 345000 0 345000 34.50 06/20/2016 N4G024950 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC DBAB - Brokerage Account DB Securities Inc. Equity Large Cap 254687106 DISNEY WALT CO DISNEY COM N/A N/A 5000 570072.60 497850 0 497850 99.57 06/20/2016 N4G024950 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC DBAB - Brokerage Account DB Securities Inc. Equity Large Cap 88032Q109 TENCENT HLDGS LTD ADR ISINIUS88032Q1 094 N/A N/A 400 7607 8798.40 0 8798.40 22 06/20/2016 N4G024950 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC DBAB - Brokerage Account DB Securities Inc. Equity Large Cap 097023105 BOEING CO COM N/A N/A 500 74063.75 66375 0 66375 132.75 06/20/2016 N4G024950 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC DBAB - Brokerage Account DB Securities Inc. Equity Small Cap 90348R102 UBISOFT ENTMT SA ADR ISINIUS90348R10 23 N/A N/A 5000 30215.70 38155 0 38155 7.63 Jaspers Inc N4G024935 Brokerage 7119385 Value Date Account Number Account Name Product Category Legal Entity Asset Class EFTA01426693 1 Asset Class 2 Security Identifier Security Description Maturity Call Unit s Total Cost Market Value Accrued Income Total Value Price 06/20/2016 N4G024935 JEEPERS INC DBAB - Brokerage Account DB Securities Inc. Cash Equivalents Money Market 147539670 SCUDDERFUNDDWGI N/A N/A 5522894.45 5522894.45 5522894.45 878.15 5523772.6 1 06/20/2016 N4G024935 JEEPERS INC DBAB - Brokerage Account DB Securities Inc. Fixed Income Investment Funds 48121L510 JP MORGAN FLOATING RATE INCOME FUND SELECT S HARES N/A N/A 172035.674 1725292.55 1596491.05 0 1596491.05 9.28 EFTA01426694