Epstein Files Search

EFTA01392869Dataset 10

1p456w

.. •. Option Objectives (check ALL that apply): OL Income (covered cal writing) (Zi Portfolio Protection (protective puts) Eel Speculation (spreads & uncovered writing) Chianti") Strategy Requests (Please check as many of the following strategies sought to be employed) tu 1. Covered Call Writing MecleateAds Calls fully covered by underlying stock. Stock may be called at any time of at expiration, requiiing owner to sell at strike price. M 2. Purchasing Options Involves Sonstartial Risk tntire premium is at risk. Profit or loss…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392869.pdf

EFTA01453161Dataset 10

1p443w

…the client must purchase the underlying stock at the strike price, which may be substantially higher than the then-current market price. O 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Wnting uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. I have read and understand all of the conditions and stipulations on the reverse side…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01453161.pdf

EFTA01454017Dataset 10

1p444w

…the client must purchase the underlying stock at the strike price, which may be substantially higher than the then-current market price. O 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Wnting uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. I have read and understand all of the conditions and stipulations on the reverse side…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454017.pdf

EFTA01355782Dataset 10

1p425w

…of option. 4. Uncovered Put Writing — Margin account end spacial statement for uncovered option writers required. asyclivekyaitistantial Risk Ilessignod, the chin must purchase the underlying stock at the strike price, which may be substantially higher than the thencitrent market price. S. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. legiadkak Writing uncovered calls invelveS unlimited firunpol risk. Option assignments require purchase of the underlying stock in open market to elfOct delivery to purchaser of option. . . . …

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355782.pdf

EFTA01454073Dataset 10

1p443w

…the client must purchase the underlying stock at the strike price, which may be substantially higher than the then-current market price. O 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Wnting uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. I have read and understand all of the conditions and stipulations on the reverse side…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454073.pdf

EFTA01392958Dataset 10

1p425w

…of option. 4. Uncovered Put Writing — Margin account end spacial statement for uncovered option writers required. asyclivekyaitistantial Risk Ilessignod, the chin must purchase the underlying stock at the strike price, which may be substantially higher than the thencitrent market price. S. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. legiadkak Writing uncovered calls invelveS unlimited firunpol risk. Option assignments require purchase of the underlying stock in open market to elfOct delivery to purchaser of option. . . . …

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392958.pdf

EFTA01392928Dataset 10

1p496w

…rice V, 5. Uncovered Call Writing—Margin th-aatifil erd tAatenwrit for Lett:Metred whorl writers reguirwi. Involves Substannie Risk Writing uncovered calls involves unlineted Financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of %eke:. hit lead and oi star at the middensanti slyulations on the reverse side of this form in regaid to trading in options and represent that tracings opti Jo suitable in ht of my investment objectivos…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392928.pdf

EFTA01380002Dataset 10

1p486w

…the client must purchase the underlying stock at the strike price, which may be substantially higher than the then current market price Fe S. Uncovered Call Writing—Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. L have read and ell of the conditions and stipulations on the reverse side of…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01380002.pdf

EFTA01445154Dataset 10

10p2,732w

…the client must purchase the underlying stock at the strike price, which may be substantially higher than the then-current market price 5. Uncovered Call Writing—Margin account and special statement for uncovered option writers required. Involves Substantial Risk. EFTA01445156 Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. I have read and understand all of the conditions and stipulations on the reverse side…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01445154.pdf

EFTA01387528Dataset 10

1p659w

…Am/CARLE BOXES TYPES OF OPTIONS REQUESTED W EQUITY CA INDEX REQUESTED OPTIONS TRADING STRATEGY (higher risk codes include strategies in lower risk codes) DES STRATEGY B CTIV EXPFRIENCE USING TEGY PROTECTIVE PUT BUYING INVESTMENT HEDGE I: A COVERED CALL WRITING INCOME/INVESTMENT HEDGE 0 NONE O MODERATE O EXTENSIVE SPREADS SPECULATION PUT/CALL BUYING SPECULATION C e STRADDLFJCOMBO BUYING SPECULATION O NONE O MODERATE 0 EXTENSIVE STRADDLFJCOMBO WRITING SPECULATION/HIGH RISK INCOME RATIO WRITING SPECULATIOWHIGH RISK INCOME ta C…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01387528.pdf

EFTA01375730Dataset 10

1p679w

…RISK INCOME PLEASE CHECK ALL APPLICABLE BOXES TYPES OF OPTIONS REQUESTED O F.QUny O INDEX REQUESTED OPTIONS TRADING STRATEGY (higher risk codes include strategies in lower risk codes) CODES STRATEGY OBJECTIVES EXPERIENCE USING STRATEGY PROTECTIVE PUT BUYING INVESTMENT HEDGE • A COVERED CALL WRITING INCOME/INVESTMENT HEDOE O NONE O MODERATE O EXTENSIVE SPREADS SPECULATION PUT/CALL BUYING SPECULATION II STRADDLE/COMBO BUYING SPECULATION O NONE O MODERATE O EXTENSIVE STRADDLE/COME/O WRITING SPECULATION/HIGH RISK INCOME RATIO WRITING …

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01375730.pdf

EFTA01444786Dataset 10

2003-08-1814p3,620w

…the client must purchase the underiying stock at the strike price, which may be substantially higher than the then-current market price. 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. Involves Substantial Risk. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase ofthe underiying stock in open market to effect delivery to purchaser of option. I have read and understand all of the conditions and stipulations on the reverse side of this…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01444786.pdf

EFTA01375204Dataset 10

1p659w

…Am/CARLE BOXES TYPES OF OPTIONS REQUESTED W EQUITY CA INDEX REQUESTED OPTIONS TRADING STRATEGY (higher risk codes include strategies in lower risk codes) DES STRATEGY B CTIV EXPFRIENCE USING TEGY PROTECTIVE PUT BUYING INVESTMENT HEDGE I: A COVERED CALL WRITING INCOME/INVESTMENT HEDGE 0 NONE O MODERATE O EXTENSIVE SPREADS SPECULATION PUT/CALL BUYING SPECULATION C e STRADDLFJCOMBO BUYING SPECULATION O NONE O MODERATE 0 EXTENSIVE STRADDLFJCOMBO WRITING SPECULATION/HIGH RISK INCOME RATIO WRITING SPECULATIOWHIGH RISK INCOME ta C…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01375204.pdf

EFTA01380441Dataset 10

1p680w

…O NO INVESTMENT OBJECTIVES D INVESTMENT HEDGE O INCOME ▪ SPECULATION O HIGH RISK INCOME PLEASE CHECK ALL APPLICABLE BOXES TYPES OF OPTIONS REQUESTED O F.QUny O INDEX REQUESTED OPTIONS TRADING STRATEGY (higher risk codes include strategies in lower risk codes) CODES STRATEGY OBJECTIVES EXPERIENCE USING STRATEGY PROTECTIVE PUT BUYING INVESTMENT HEDGE • A COVERED CALL WRITING INCOME/INVESTMENT HEDOE O NONE O MODERATE O EXTENSIVE SPREADS SPECULATION PUT/CALL BUYING SPECULATION II STRADDLE/COMBO BUYING SPECULATION O NONE O…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01380441.pdf

EFTA01436009Dataset 10

10p2,617w

…director, executive officer or general partner of the issuer of the securities being offered. EFTA01436011 Average # Trades Per Year Average Size of Trades In $ Types of Previous Option Experience Covered Call Writing Purchased Options Option Spreads Uncovered Put Writing Uncovered Call Writing None WM179078 SPAA DBSI 011017.083017 Page 2 of 5 EFTA01436012 Representations Relating to Qualification of the Client (Continued) I represent that Client qualifies as a "Qualified Purchaser" as defined in the Investment Company Act of 1940…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01436009.pdf

EFTA00165817Dataset 9

5p3,695w

…han the then-current market price. 1.{.! 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. Inv°tuns aubsieptial R sir. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the underlying stock in open market to effect delivery to purchaser of option. I have read and understand a41 of the conditions ale stipolations on the reverse side of this form in regard to trading in options and represent that trading in options…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00165817.pdf

EFTA01355754Dataset 10

1p444w

…the client must purchase the underlying stock at the strike price. which may be substantially higher than the then-cuirent market price. a 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. klyoiye5 Scobstiti. Writing uncovered calls involves unlimited financial risk. Option assignments require purchase of the =Jellying stock in open market to effect delivery to purchaser of option. I have read and understand all of the conditions and stipulations on the reverse side of…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355754.pdf

EFTA01370536Dataset 10

1p390w

Investment Experience of Account Owner(s) Year First Average M Trades Average Size of Types of Previous Option Traded Per Year Trades in $ Experience Options Covered Call Writing Equities Purchased Options Fixed Income Option Spreads Commodities and Futures Uncovered Put Writing Structured Products Uncovered Call Writing OTC Derivatives None Foreign Currency Alternative Investments (Hedge Funds, Private Equity) Investment Objectives for the Client Account (Select up to two adjacent objectives): Capital Preservation 1 Income Growth Aggressive Growth Representations Relating to…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370536.pdf

EFTA01393020Dataset 10

1p437w

0 0 Option Objectives (check ALL that apply): Income (covered cat writing) Portfolio Protection (protective puts) al Speculation (spreads 8 uncovered writing) Clients) Strategy Requests (Please check as many of the following strategies sought to be employed) I Covered-Call Writing Moderateftia Calls fully covered by underlying stock. Stock may be called at any lime or at expiration. requiring owner to sell at strike price. 2. Purchasing Options Involves $utstalitial Rik, Enure premium is at risk. Profit or loss usually…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393020.pdf

EFTA01376755Dataset 10

1p759w

OPTION DEPT. PPROVAL: Date Comments: "1 Covered Cal Writing Purcnasing Options ; Option Spreads Uncovered Put Writing Uncovered Call Writing Risks, Prohibitions and General Information Concerning Option Trading Important: Please read this appendix I understand that options transactions involve a high degree of risk and offer no guarantee of gain or assurance against loss. Accordingly, I understand that prior to engaging in any option transaction, I should review my present financial situation and determine whether it is advisable to incur the…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376755.pdf