EFTA01470895.pdf

Account # Account Short Name: EPSTEIN Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. WAMU3515294 939336520 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.972% 07/25/33 B/E DTD 06/01/04 N/C 1290000 648511.90 CORPORATE BOND USD 648511.90 CASH Long 87.011 TWTR 90184L102 TWITTER INC COM 1500 79200 COMMON STOCK USD 79200 CASH Long 52.80 09/11/2014 10:57:01 ET -0.11 SVM3861776 81760NAN9 SERVICEMASTER CO SR NT - CUSIP FULLY EXCHANGED FROM OLD CUSIP 81760NAL3 8.000% 02/15/20 B/E DTD 02/13/12 CLB CLB 02/15/15 @106.000 1440000 1522800 CORPORATE BOND USD 1522800 CASH Long 105.75 SGMO 800677106 SANGAMO BIOSCIENCES INC COM 50000 630000 COMMON STOCK USD 630000 CASH Long 12.60 09/11/2014 10:56:04 ET -0.30 SC 80283M101 SANTANDER CONSUMER USA HLDGS INC COM 1000 19230 COMMON STOCK USD 19230 CASH Long 19.23 09/11/2014 10:56:04 ET -0.02 RBS PRT 780097713 ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG SER T PFD CPN-7.25% FREQ QRTLY PERP MTY CALL@25 ANY W/30 D NOTICE AFTR 12/31/12 120000 3016800 PREFERRED STOCK USD 3016800 CASH Long 25.14 09/11/2014 10:54:04 ET 0.19 PDVA3854937 P7807HAF2 PETROLEOS DE VENEZUELA NOTES SENIOR ISIN#XS0460546525 5.000% 10/28/15 REG DTD 10/28/09 N/C 2500000 2131250 CORPORATE BOND USD 2131250 CASH Long 85.25 MBLY N51488117 MOBILEYE NV AMSTELVEEN ORD SHS ISIN#NL0010831061 800 44040 COMMON STOCK USD 44040 CASH Long 55.05 09/11/2014 10:57:00 ET -0.43 LYG4115459 539439AG4 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISIN#US539439AG42 7.500% 09/27/88 B/E DTD 04/07/14 CLB CLB 06/27/24 @100.000 1903000 1969605 CORPORATE BOND USD 1969605 CASH Long 103.5 LYG3818427 G4S15PP48 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISIN#XS0717735822 9.875% 12/16/21 REG DTD 12/16/11 CLB CLB 12/16/16 @100.000 1500000 1751250 CORPORATE BOND USD 1751250 CASH Long 116.75 LYG.HT G5433BBG8 LBG CAPITAL NO 1 PLC 144A ISIN#XS0473106283 8.000% 09/15/88 REG DTD 12/15/09 CLB CLB 06/15/20 @100.000 1200000 1302000 CORPORATE BOND USD 1302000 CASH Long 108.5 JPM4135538 46625HHA1 JPMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900% 04/29/49 B/E DTD 04/23/08 CLB CLB 04/30/18 @100.000 5000000 5452000 CORPORATE BOND USD 5452000 CASH Long 109.04 JPM4054719 48126NVE4 JPMORGAN CHASE & CO MEDIUM TERM NTS CAPPED CONTINGENT BUFFERED EQUITY NTS 0.000% 10/16/14 B/E DTD 09/27/13 N/C 1000000 1067700 CORPORATE BOND USD 1067700 CASH Long 106.77 JPM 46625H100 JP MORGAN CHASE & CO COM ISIN#US46625H1005 EFTA01470895 2903 172438.20 COMMON STOCK USD 172438.20 CASH Long 59.40 09/11/2014 10:57:00 ET 0.18 HW3692321 42210PAQ5 HEADWATERS INC GTD SR NT 7.625% 04/01/19 B/- E DTD 03/11/11 CLB CLB 04/01/15 @103.813 1000000 1050000 CORPORATE BOND USD 1050000 CASH Long 105 HNT 42222G108 HEALTH NET INC COM 25000 1152500 COMMON STOCK USD 1152500 CASH Long 46.10 09/11/2014 10:56:05 ET -0.45 GM 37045V100 GENERAL MTRS CO COM 97525 3254409.25 COMMON STOCK USD 3254409.25 CASH Long 33.37 09/11/2014 10:56:05 ET 0.08 GILD 375558103 GILEAD SCIENCES INC 8100 864756 COMMON STOCK USD 864756 CASH Long 106.76 09/11/2014 10:57:01 ET -1.46 GE3864337 369622SN6 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06/12/62 B/E DTD 06/12/12 CLB CLB 06/15/22 @100.000 2000000 2345000 CORPORATE BOND USD 2345000 CASH Long 117.25 GE 369604103 GENERAL ELECTRIC CO COM 23000 597080 COMMON STOCK USD 597080 CASH Long 25.96 09/11/2014 10:57:01 ET 0 01 FMI 350465100 FOUNDATION MEDICINE INC COM 49830 1098253.20 COMMON STOCK USD 1098253.20 CASH Long 22.04 09/11/2014 10:55:02 ET -0.61 FB 30303M102 FACEBOOK INC CL A 17500 1358525 COMMON STOCK USD 1358525 CASH Long 77.63 09/11/2014 10:57:01 ET 0 20 ELNK.AA 270321AC6 EARTHLINK INC GTD SR NT FULLY EXCHANGED CUSIP FROM 270321AB8 8.875% 05/15/19 B/E DTD 05/17/11 CLB CLB 05/15/15 @104.438 1000000 1010000 CORPORATE BOND USD 1010000 CASH Long 101 EIX.AA 842400FU2 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 02/01/22 B/E DTD 01/17/12 CLB CLB 02/01/22 @100.000 3000000 3305640 CORPORATE BOND USD 3305640 CASH Long 110.188 DXJ 97717W851 WISDOMTREE TR JAPAN HEDGED EQUITY FD 60000 3070800 COMMON STOCK USD 3070800 MARGIN Long 51.18 09/11/2014 10:57:00 ET -0.41 DWGI MMFDWGI DWS GOVERNMENT CASH INSTL 1.923950006E7 1.923950006E7 MONEY FUND 1.923950006E7 CASH Long 1 BK 064058100 BANK OF NEW YORK MELLON CORP COM 250000 9775000 COMMON STOCK USD 9775000 CASH Long 39.10 09/11/2014 10:57:00 ET -0.03 BIIB 09062X103 BIOGEN IDEC INC COM 2095 684457.45 COMMON STOCK USD 684457.45 CASH Long 326.71 09/11/2014 10:57:00 ET -5.37 BCS3990764 06739FHK0 BARCLAYS BK PLC CONTINGENT CAP NT ISIN#US06739FHK03 7.750% 04/10/23 B/E DTD 04/10/13 CLB CLB 04/10/18 @100.000 300000 331125 CORPORATE BOND USD 331125 CASH Long 110.375 BAC3311881 12669DYS1 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 4.090% 03/25/33 B/E DTD 01/30/03 N/C 4500000 896716.22 CORPORATE BOND USD 896716.22 CASH Long 85.96 BAC.HDX 060505DT8 BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED TO EFTA01470896 FLOAT 8.125% 04/30/58 B/E DTD 04/30/08 CLB CLB 05/15/18 @100.000 2000000 2180000 CORPORATE BOND USD 2180000 CASH Long 109 ASNA 04351G101 ASCENA RETAIL GROUP INC COM 70500 1205550 COMMON STOCK USD 1205550 CASH Long 17.1 09/11/2014 10:56:04 ET 0.09 ARIA 04033A100 ARIAD PHARMACEUTICALS INC 16535 97391.15 COMMON STOCK USD 97391.15 CASH Long 5.89 09/11/2014 10:56:00 ET -0.01 APO 037612306 APOLLO GLOBAL MGMT LLC CL A SHS 263157 6165768.51 COMMON STOCK USD 6165768.51 CASH Long 23.43 09/11/2014 10:56:01 ET -0.23 ALLY PRB 02005N308 ALLY FINL INC FIX TO FLT DIV-8.50% FREQ- QTRLY CALLABLE @ 25.00 ON A QTRLY BASIS AFTER 05/15/2016 126600 3420732 PREFERRED STOCK USD 3420732 CASH Long 27.02 09/11/2014 10:53:04 ET 0 ALLY PRA 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 80000 2130400 PREFERRED STOCK USD 2130400 CASH Long 26.63 09/11/2014 10:53:04 ET 0 AAPL 037833100 APPLE INC COM 164000 16360640 COMMON STOCK USD 16360640 CASH Long 99.76 09/11/2014 10:57:01 ET -1.24 AAL 01172015 P 20 99QADTZQO PUT 100 AMERICAN AIRLS GROUP INC COM EXP [email protected] OPTION ROOT= AAL -1000 -7000 OPTION USD -7000 SHORT Short 0.07 09/10/2014 0 AAL 01172015 C 20 99QADTZJJ CALL 100 AMERICAN AIRLS GROUP INC COM EXP [email protected] OPTION ROOT= AAL 1000 1790000 OPTION USD 1790000 MARGIN Long 17.9 09/10/2014 0 Totals SUM(E4:E42)=1.0318406894000001E8 Confidential EFTA01470897 Account # Account Short Name: EPSTERI Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. PDVA3854937 P7807HAF2 PETROLEOS DE VENEZUELA NOTES SENIOR ISIN#XS0460546525 5.000% 10/28/15 REG DTD 10/28/09 N/C 2000000 1705000 CORPORATE BOND USD 1705000 CASH Long 85.25 DWGI MMFDWGI DWS GOVERNMENT CASH INSTL 1115628.05 1115628.05 MONEY FUND 1115628.05 CASH Long 1 ALLY PRB 02005N308 ALLY FINL INC FIX TO FLT DIV-8.50% FREQ- QTRLY CALLABLE @ 25.00 ON A QTRLY BASIS AFTER 05/15/2016 57000 1539570 PREFERRED STOCK USD 1539570 CASH Long 27.01 09/11/2014 10:59:00 ET -0.01 G63980UK3 NATIONWIDE BUILDING SOCIETY EURO ISSUE CONV GBP ISIN#XS1043181269 6.875% 09/20/88 REG DTD 03/11/14 CLB CLB 06/20/19 @100.000 2000000 1978800 CORPORATE BOND In Currency 3194772.60 CASH Long 98.94 Totals SUM(E4:E7)=6338998.05 Cash 1115628.05 Balance Total B10+E8=7454626.1 Confidential EFTA01470898 Account # Account Short Name: EPSTEIN Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. JPHSX 48121L510 JP MORGAN FLOATING RATE INCOME FUND SELECT SHARES 159181.57 1594999.3314 MUTUAL FUND USD 1594999.3314 CASH Long 10.02 09/10/2014 20:00:03 ET -0.01 DWGI MMFDWGI DWS GOVERNMENT CASH INSTL 2.26802257E7 2.26802257E7 MONEY FUND 2.26802257E7 CASH Long 1 Totals SUM(E4:E5)=2.42752250314E7 Confidential EFTA01470899 Account # Account Short Name: EPSTEIN Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. JPM4135538 46625HHA1 JPMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900% 04/29/49 B/E DTD 04/23/08 CLB CLB 04/30/18 @100.000 3000000 3271200 CORPORATE BOND USD 3271200 CASH Long 109.04 JPHSX 48121L510 JP MORGAN FLOATING RATE INCOME FUND SELECT SHARES 212495.183 2129201.73366 MUTUAL FUND USD 2129201.73366 CASH Long 10.02 09/10/2014 20:00:03 ET -0.01 IPMT.AA 46262EAE5 IPAYMENT INC GTD SR NT 10.250% 05/15/18 B/E DTD 11/15/11 CLB CLB 05/15/15 @105.125 500000 432500 CORPORATE BOND USD 432500 CASH Long 86.5 GS3471173 36242D7X5 GS MTG SECS CORP 2005-5F MTG PASSTHRU CTF CL B1 VAR 5.751% 06/25/35 B/E DTD 05/01/05 N/C 1500000 1168494.63 CORPORATE BOND USD 1168494.63 CASH Long 96.982 DWGI MMFDWGI DWS GOVERNMENT CASH INSTL 9907033.76 9907033.76 MONEY FUND 9907033.76 CASH Long 1 C PRK 172967341 CITIGROUP INC DEP SHS REPSTG 1/1000TH PFD SER K DIV 6.875% PERPETUAL MATY PERPETUAL CALL 11/15/[email protected] 79000 2077700 PREFERRED STOCK USD 2077700 CASH Long 26.30 09/11/2014 10:59:02 ET -0.06 BTU.GF 704549AE4 PEABODY ENERGY CORP SR NT 7.375% 11/01/16 B/E DTD 10/12/06 N/C 1200000 1293000 CORPORATE BOND USD 1293000 CASH Long 107.75 BAC.HDX 060505DT8 BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED TO FLOAT 8.125% 04/30/58 B/E DTD 04/30/08 CLB CLB 05/15/18 @100.000 3000000 3270000 CORPORATE BOND USD 3270000 CASH Long 109 Totals SUM(E4:E11)=2.354913012366E7 Confidential EFTA01470900 Account # Account Account Short Name: EPSTEIN Account Short Name: EPSTEIN Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. DWGI MMFDWGI DWS GOVERNMENT CASH INSTL 2041130.94 2041130.94 MONEY FUND 2041130.94 CASH Long 1 Totals SUM(E4)=2041130.94 Confidential EFTA01470901 Account # • Account • Account Short Name: ccount Short Name: EPSTEIN Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. DBDA MMFDBDA INSURED DEPOSITS PROGRAM 667098.79 667098.79 MONEY FUND 667098.79 CASH Long 1 Totals SUM(E4)=667098.79 Confidential EFTA01470902  ccount Account Short Name: EPSTEIN Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. Totals SUM(E4)=0.0 Confidential EFTA01470903 Account # Account Short Name: EPSTEIN Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. Totals SUM(E4)=0.0 Confidential EFTA01470904 Account # Account Short Name: EPSTEIN Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. Totals SUM(E4)=0.0 Confidential EFTA01470905 Account # Account Short Name: EPSTEI • 1%, Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. Totals SUM(E4)=0.0 Confidential EFTA01470906 Account # Account Short Name: Symbol CUSIP EPSTEIN Sec. Description Quantity Position Val. Sec. Type Position Held USDE Val. Acct. Type Trans. Type Last Price3 Price Date Chg. DBDA MMFDBDA INSURED DEPOSITS PROGRAM 233017.58 233017.58 MONEY FUND 233017.58 CASH Long 1 Totals SUM(E4)=233017.58 Confidential EFTA01470907