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EFTA01437349
Dataset 10
2017-12-19
3p
431w
Subject:
[10.01% p.a.
Callable
Yield Note with Contingent Coupon
From:
Vahe Stepanian < =>
To:
"Paul Barrett (
…
Callable
Yield Note with Contingent Coupon From: Vahe Stepanian < => Date: Tue, 19 Dec 2017 11:35:43 -0500 To: "Paul Barrett ( Cc: Stewart Oldfield Xavier Avila Joshua Shoshan Good Morning Paul- Hope all is well. Stew and I came across the below from our structured note desk and thought it may be interesting. They just launched a 2 year
Callable
Yield Note with a contingent coupon per the following details: Offering Summary:
Callable
Yield Note with Contingent Coupon…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01437349.pdf
EFTA01434542
Dataset 10
2018-02-07
6p
1,279w
Subject:
RE: Launched: [13.0]% p.a.
Callable
Yield Note with Contingent
From:
Paul Barrett <
To:
Martin Zeman
Subject: RE: Launched: [13.0]% p.a.
Callable
Yield Note with Contingent Coupon From: Paul Barrett < Date: Wed, 07 Feb 2018 17:14:03 -0500 To: Martin Zeman Cc: Stewart Oldfield Xavier Avila Vahe Stepanian < Joshua Shoshan < Davide-A Sferrazza When do you think the issuer calls it? What conditions are necessary? Paul Barrett Alpha Group Capital LLC 142 W 57th Street, 11th Floor, New York, NY 10019 (o) (c) From: Martin Zeman [mailto: Sent: Wednesday, Februar…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01434542.pdf
EFTA01437167
Dataset 10
2018-02-07
5p
1,124w
Subject:
Launched: [13.01% D.a.
Callable
Yield Note with Contingent Coupon
From:
Martin Zeman
To:
"Paul Barrett (
…any underlying, full downside risk of least performing index (100% loss potential), otherwise full return or principal. Initial Index Levels: S&P 500 & Russell 2000 and EURO STOXX 50 set on 2/9/18 close Fees: Target 1.50% up-front Product Risk Categorization:
Callable
Yield Notes with Contingent Coupon are categorized as Product Risk Level 3, "Contingently Protected Notes." Product Risk Level categorizations 1-4 are detailed on the Structured Products Agreement & Approval Form (DBTCA & DBSI versions enclosed), which…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01437167.pdf
EFTA01388082
Dataset 10
2018-02-07
1p
323w
Subject:
FW: bunched: [13.0]% p.a.
Callable
Yield Note with Contingent Coupon
From:
Stewart Oldfield
To:
Martin Zeman
…
Callable
Yield Note with Contingent Coupon Maybe better to have a call to discuss. I'm happy to be on that. If he wants certainty of call under specific circumstances, need to structure as an autocall, but yield will be slightly lower From: Paul Barrett [mak° Sent: Wednesday, February 07, 2018 5:14 PM To: Martin Zeman Cc: Stewart Oldfield ; Xavier Avila ; Vahe Stepanian >; Joshua Shoshan >; Davide-A Sferrazza Subject: RE: Launched: [13.0]% p.a.
Callable
Yield…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01388082.pdf
EFTA01435693
Dataset 10
2018-02-07
7p
1,322w
Subject:
RE: Launched: [13.01% p.a.
Callable
Yield Note with Contingent
From:
Martin Zeman <~MIEM>
To:
Paul Barrett
…any underlying, full downside risk of least performing index (100% loss potential), otherwise full return or principal. Initial Index Levels: S&P 500 & Russell 2000 and EURO STOXX 50 set on 2/9/18 close Fees: Target 1.50% up-front Product Risk Categorization:
Callable
Yield Notes with Contingent Coupon are categorized as Product Risk Level 3, "Contingently Protected Notes." Product Risk Level categorizations 1-4 are detailed on the Structured Products Agreement & Approval Form (DBTCA & DBSI versions enclosed), which…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01435693.pdf
EFTA01387686
Dataset 10
2018-02-07
1p
280w
Subject:
RE: Launched: [13.0]% p.a.
Callable
Yield Note with Contingent Coupon
From:
Martin Zeman
To:
Paul Barrett
…Avila Vahe Stepanian • Joshua Shoshan Davide-A Sferrazza Subject: RE: Launched: [13.0]% p.a.
Callable
Yield Note with Contingent Coupon Let's discuss tomorrow morning. From: Paul Barrett [mailto: Sent: Wednesday, February 07, 2018 5:14 PM To: Martin Zeman ic :• Cc: Stewart Oldfield ; Xavier Avila ; Vahe Stepanian Joshua Shoshan Davide-A Sferrazza < Subject: RE: Launched: [13.0]% p.a.
Callable
Yield Note with Contingent Coupon When do you think the issuer calls it? What conditions are necessary…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01387686.pdf
EFTA01436409
Dataset 10
2018-02-07
7p
1,340w
Subject:
FW: Launched: [13.0]% p.a.
Callable
Yield Note with Contingent
From:
Stewart Oldfield <a>
To:
Martin Zeman
Subject: FW: Launched: [13.0]% p.a.
Callable
Yield Note with Contingent Coupon From: Stewart Oldfield <a> Date: Wed, 07 Feb 2018 17:17:56 -0500 To: Martin Zeman Maybe better to have a call to discuss. I'm happy to be on that. If he wants certainty of call under specific circumstances, need to structure as an autocall, but yield will be slightly lower From: Paul Barrett [mailto: Sent: Wednesday, February 07, 2018 5:14 PM To: Martin Zeman…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01436409.pdf
EFTA01388674
Dataset 10
2018-02-07
1p
246w
Subject:
RE: Launched: (13.01% p.a.
Callable
Yield Note with Contingent Coupon [I]
From:
Martin Zeman
To:
Stewart 0ldfield
…2018 5:46:48 PM To: Stewart 0ldfield Subject: RE: Launched: (13.01% p.a.
Callable
Yield Note with Contingent Coupon [I] Classification: For internal use only Yeah, let's talk tomorrow with Mike Raphael on the line. From: Stewart Oldfield Sent: Wednesday, Februa 07 2018 5:18 PM To: Martin Zeman Subject: FW: Launched: [13.01% p.a.
Callable
Yield Note with Contingent Coupon Maybe better to have a call to discuss. I'm happy to be on that…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01388674.pdf
EFTA01438162
Dataset 10
2018-02-07
7p
1,382w
Subject:
RE: Launched: [13.0]% p.a.
Callable
Yield Note with Contingent
From:
Martin Zeman <
To:
Stewart Oldfield
…underlying, full downside risk of least performing index (100% loss potential), otherwise full return or principal. Initial Index Levels: S&P 500 & Russell 2000 and EURO STOXX 50 set on 2/9/18 close Fees: Target 1.50% up-front EFTA01438165 Product Risk Categorization:
Callable
Yield Notes with Contingent Coupon are categorized as Product Risk Level 3, "Contingently Protected Notes." Product Risk Level categorizations 1-4 are detailed on the Structured Products Agreement & Approval Form (DBTCA & DBSI versions enclosed), which…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01438162.pdf
EFTA01387507
Dataset 10
2018-10-12
1p
418w
Subject:
RE: Paul -> Offering Launched: At least [12.00]% p.a.
Callable
Yield Note with Contingent Coupon
From:
Martin Zeman
To:
Martin Zeman
…Launched: At least [12.00]% p.a.
Callable
Yield Note with Contingent Coupon Happy to be on a call if you need From: Martin Zeman Sent: Friday, October 12, 2018 9:34 AM To: 'Paul Barrett Cc: Stewart Oldfield < >; Alan Brody < ; A Sferrazza <=- Subject: Paul -> Offering Launched: At least [12.00J% p.a.
Callable
Yield Note with Contingent Coupon Paul, We are launching the below note next Wednesday. Do you have any interest to join…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01387507.pdf
EFTA01425307
Dataset 10
2018-10-12
6p
1,456w
Subject:
Paul -> Offering Launched: At least [12.001% p.a.
Callable
Yield
From:
Martin Zeman < la>
To:
"Paul Barrett (Ma" < II>
…quarterly basis. All note terms, including coupon payments, and final redemption payment, are subject to the solvency of the note issuer. Product Risk Categorization:
Callable
Yield Notes with Contingent Coupon are categorized as Product Risk Level 3, "Contingently Protected Notes." Product Risk Level categorizations 1-4 are detailed on the Structured Products Agreement & Approval Form (DBTCA & DBSI versions enclosed), which, prior to any purchase of a structured product, must be completed by the client. This is not an offer, recommendation…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425307.pdf
EFTA01372051
Dataset 10
2018-12-01
1p
321w
…Cosi Cost Baas Market Price Market Value Gainless Interest Annual Income Yield FIXED INCOME (continued) Corporate Bonds (continued) ASSURANT INC FXD TO FLTG SUB NT Security Identdier 04621MK4 7000%03/271488/E OTD 03127/13
CALLABLE
03/27/28 Ej 110 000M oody Rating BA1 03129118 2,000,000 .000 101.9840 2,039.689 71 95.0000 1.900 000 00 139.689.71 36,555 56 140,000 00 7.36% Original Cost Basis: $2.040.006.00…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372051.pdf
EFTA01430088
Dataset 10
2018-12-01
148p
19,587w
…FOREIGN SECURITY 1ST CPN DTE 11/24/13Moody Rating Ba2 S & P Rating BB+ 06/01/18 1,000,000.000 DEUTSCHE BK AG N Y BRH VAR 4.875% 12/01/32 B/E DTD 12/01/17
CALLABLE
12/01/27 06/01/18 91.7780 1,981,300.00 100.8010 Original Cost Basis: $1,981,300.00 Security Identifier: 2,016,020.00 34,720.00 35,041.67 145,000.00 7.19% 95.5000…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01430088.pdf
EFTA01455049
Dataset 10
2012-01-30
1p
357w
…E 6.250% 02101122 EUE OTO 01117/12
CALLABLE
02101122 Moody Rating BMI S & P Rating BBB. 01/30/12'.3.1? 3,000,000.000 99.8000 2994,009.46 108 5000 3,255,000.00 260,990 54 93,750 00 187,500.00 5.76% Original Cost Basis: $2,992.564.97 BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: ISM/ US06739FHK03 7.750% 04110123 B/E DID 04110/13
CALLABLE
04110118 S& P Rating BB+ 04833…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455049.pdf
EFTA01455018
Dataset 10
1p
313w
…Cost Cost Basis Market Prise Market Value Gain/ Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) IPAYM ENT INC OTD SR NT Security identifier: 46262EAE5 10.250% 05115)18 WE DTD 11115111
CALLABLE
05115/15 41 105.125 Moody Rating CAA3 S& P Rating CC 10102/12'.12,13 500,000.000 91.7360 458,681.88 85.5000 427,500.00 -31,181.88 10,819 44 51,250.00 11.98% Original Cost Basis: S445…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455018.pdf
EFTA01452689
Dataset 10
2008-04-23
1p
328w
…30158 WE DTD 04/30/08
CALLABLE
05/15118 Moody Rating BA3 S8 P Rating BB+ WIWI 1 %Elk 2,000,000.000 102.7500 2,055,000.00 111.2800 2,225,200.00 170,200.00 34,305.56 182,500.00 7.30% Original Cost Basis: $2,055,000.00 GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 369622SNII A 7.125% 06112162 B/E 010 06112/12
CALLABLE
06/15(22 Moody Rating BAA1…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01452689.pdf
EFTA01383459
Dataset 10
2019-01-01
1p
303w
…000 $3,848,962.56 $3,621,600.00 4227,362.56 $599.04 6215,653.68 SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400 FU2 6250% 0117162 WE DTD 0/1712
CALLABLE
02/0122 1)0.000Moody Rating Beat Sd P Rating 880 01130112 ' •x° 3,000,000.000 99.9090 2,997,261.33 94.0000 2,820,000.00 -177,261.33 93.750.00 187,500 00 6.64% Original Cost Basis: $2,992…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01383459.pdf
EFTA01372068
Dataset 10
2019-01-01
1p
305w
…000 $3,848,962.56 $3,621,600.00 4227,362.56 $599.04 3215,653.68 SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2 6250% 0117162 WE DTD 0/1712
CALLABLE
02/0122 1)0.000M oody Rating 8aa1Sd P Rating 880 01130112 ' •x° 3,000,000.000 99.9090 2,997,261.33 94.0000 2,820,000.00 -177,261.33 93.750.00 187,500 00 6.64% Original Cost Basis: 52,992,564…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372068.pdf
EFTA01455327
Dataset 10
2013-04-10
1p
364w
…Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest AA nual Income Yield Fixed Income (44tiinu40) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT Security identifier 08730FHKO ISINSUS06739FIIK03 7.750% 04/10/23 B/E OTD 04/10/13
CALLABLE
04110/18 S8 P Rating BB• 04103113 '.17,13 300.000.000 100.0000 300,000.00 111.2500 333,750.00 33,750.00 9.106.25 23,250.00 6.96% Original Cost Buis…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455327.pdf
EFTA01410573
Dataset 10
2014-06-05
58p
7,430w
…09 S & P Rating B+ 12/04/13 *,3,12 2,500,000.000 Security Identifier: P7807HAF2 98.1130 EARTHLINK INC GTD SR NT FULLY EXCHANGED CUSIP FROM 270321AB8 8.875% 05/15/19 B/E DTD 05/17/11
CALLABLE
07/01/15 S & P Rating CCC+ 10/22/12 *,3,12 10/23/12 *,3,12 Total Noncovered Total 146,000.000 600,000.000 746,000.000 746,000.000 LLOYDS TSB BK PLC EURO ISSUE MEDIUM…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01410573.pdf
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