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EFTA01784626
Dataset 10
2016-08-16
3p
731w
Subject:
**NEW ISSUE" E*TRADE Financial Corporation $1,000 Pref
From:
Barrett, Paul S
…to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series A, $0.01 par value, with a liquidation preference of $1,000 per share
FORMAT: SEC
Registered SIZE: $400mm (will not growl OFFER PRICE: $1000/ preferred share MATURITY: Perpetual IPT: 6.25%-6.375% PAR CALL DATE: On any dividend payment date on or after September 15, 2026 DIVIDENDS: Payable at a fixed rate of ( I% from the original issue date to September 15, 2026; and Thereafter payable at a floating…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01784626.pdf
EFTA02388944
Dataset 11
2017-04-19
5p
747w
Subject:
Fwd: " 1' NEW ISSUE CORPORATE: MORGAN STANLEY ( MS ) ***
From:
Richard Kahn
To:
Jeffrey E.
…Stanley is also pricing a MS new issue 7yr =loater today. Initial price talk is 3 =onth LIBOR + 130bps. Comparable issues trade at 3 Month LIBOR + 110bps. =o:p class=""> Issuer/Ticker Morgan =tanley ( MS ) Issuer =atings Moody's: A3/Stable/ S&P: BBB+/Stable/ Fitch: A/Stable/
Format SEC
Registered Ranking = Sr Unsecured Note 3 EFTA_R1_01411696 EFTA02388946 Total =ize &nbs=; Benchmark Tenor 7 Year Coupon =ype Floating Tranche =urrency =USD Optional =edemption The Issuer may…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02388944.pdf
EFTA02494004
Dataset 11
2015-07-27
4p
513w
Subject:
Re: New Issue $25 Par. The Charles Schwab Corporation (NYSE: SCHW) 6.00 % -
From:
jeffrey E. <
[email protected]
>
To:
Richard Kahn
…AM EDT To: &q=ot;Richard Kahn )" Subject:=/b> New Issue $25 Par: The Charles Schwab Corporation (NYSE: SCHW) 6.00=%- 6.125% Issuer: The Charles Schwab Corpor=tion (Ticker: SCHW) Securities Offered: Series C Non-Cumulative D=positary Shares Size: $250mm (10mm shares)</=> EFTA_R1_01617432 EFTA02494004 Expected Ratings: ESaa2/BBB/BB+ (5/5/S)</=>
Format: SEC
Registered<=u> Maturity Perpetual4=pan> Price Talk:=span style="font-size:11.0ptfont-family:"Calibri","sans-=erif";colorllf497d"> 6.0-6…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02494004.pdf
EFTA02454665
Dataset 11
2016-08-16
3p
830w
Subject:
Fwd: **NEW ISSUE** E*TRADE Financial Corporation $1,000 Pref
From:
jeffrey E. <
[email protected]
>
To:
Richard Kahn
…to-Floating Rate Non-Cumulative Perpetual Prefe=red Stock, Series A, $0.01 par value, with a liquidation preference of $1,=00 per share
FORMAT: SEC
Registered SIZE: $400mm [will not grow] OFFER PRICE: $1000 preferred share MATURITY: Perpetual IPT: 6.25%-6.375% PAR CALL DATE: On any dividend payment date on or after S=ptember 15, 2026 DIVIDENDS: Payable at a fixed rate of [ ]% from the original issue date to =eptember 15, 2026; and Thereafter payable at a floating rate…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02454665.pdf
EFTA02509628
Dataset 11
2015-03-12
5p
569w
Subject:
Re: MS Pfd
From:
jeffrey E. <
[email protected]
>
To:
Richard Kahn
…preferred coming today. EFTA_R1_01641067 EFTA02509628 Any questions give me a call.=/u> Best, Andrew </=> Issuer: Morgan Stanley (ticker: MS } Securities Offered:<=> Depositary sha=es each representing)/25th of a share of Fixed-to-Floating Rate Non-Cumula=ive Preferred Stock, Series J =A0 Size:<=p> $ Benchmark Expected Ratings:=/u> Ba3 / BB / BB (Moody's / S&P / Fitch)<=>
Format: SEC
Registered Maturity:<=u> Perpetual Price Guidance:</=> 5.75% area to, but excluding…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02509628.pdf
EFTA02675484
Dataset 11
2015-05-19
5p
570w
Subject:
Fwd: New Issue $25 Par: First Republic Bank (FRC) Non-Cumulative Perpetual Series F
From:
Richard Kahn
To:
jeffrey E.
…=isted on NYSE...similar issues currently trading are FRC.A and =RC.B EFTA_R1_01962354 EFTA02675484 Let me know if you =ave any questions. Best, Andrew $25 Par New Issue Syndicate Offering: First Republic Bank (FRC) Issuer: First Republic Bank (FRC) Securities Offered: Depositary Shares each Representing a 1/40th interest =n a Share of % Noncumulative Perpetual Series F Preferred =tock Size: $100mm (4mm shares) Expected Ratings: Baa3 / BBB—
Format: SEC
Registered Maturity: Perpetual Price Talk: 5.75% Area…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02675484.pdf
EFTA02714131
Dataset 11
2015-07-27
4p
443w
Subject:
Fwd: New Issue $25 Par: The Charles Schwab Corporation (NYSE: SCHW) 6.00 % -
From:
Richard Kahn <
To:
Jeffrey Epstein
…To: "Richard Kahn ( Subje=t: New Issue $25 Par: The Charles Schwab Corporation (NYSE: SCHW) 6.=0 %- 6.125% $25 Par New Issue Syndic=te Offering: The Charles Schwab Corpo=ation (SCHW) Issuer: The Charles Schwab Corporat=on (Ticker: SCHW) Securities Offered: Series C Non-Cumulative Dep=sitary Shares Size: $250mm (10mm shares)</=:p> Expected Ratings:=/b> Baa2/BBB/BB+ (S/S/S)<R:p> EFTA_R1_02138977 EFTA02714131
Format: SEC
Registered</=pan> Maturity Perpetual=/p> Price Talk: 6.0-6.125%…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02714131.pdf
EFTA00685853
Dataset 9
2017-02-28
2p
583w
Subject:
Fwd: New Issue $25 Par: Apollo Global Management, LLC (APO) Perpetual Preferred
From:
Richard Kahn
To:
Jeffrey Epstein <
[email protected]
>
…ratings are BBB+ / BBB and price talk is 6.375% - 6.50%. Here are details: $25 Par New Issue Syndicate Offering: Apollo Global Management, LLC (APO) Issuer: Apollo Global Management, LLC (Ticker: APO) Securities Offered: Series A Preferred Shares Size: $150mm (6mm $25 par securities) Expected Ratings: BBB+ / BBB (S&P / Fitch)
Format: SEC
Registered Maturity: Perpetual Price Guidance: 6.375% - 6.50% (fixed-for-life) Offer Price: $25 per security EFTA00685853 Payment Dates: Quarterly, on March 15, June 15…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00685853.pdf
EFTA01198067
Dataset 9
2015-07-27
2p
421w
Subject:
Fwd: New Issue $25 Par: The Charles Schwab Corporation (NYSE: SCHW) 6.00 %- 6.125%
From:
Richard Kahn <
To:
Jeffrey Epstein
[email protected]
>
…Date: July 27, 2015 at 11:52:33 AM EDT To: "Richard Kahn Subject: New Issue $25 Par: The Charles Schwab Corporation (NYSE: SCHW) 6.00 % - 6.125% $25 Par New Issue Syndicate Offering: The Charles Schwab Corporation (SCHW) Issuer: The Charles Schwab Corporation (Ticker: SCHW) Securities Offered: Series C Non-Cumulative Depositary Shares Size: $250mm (10mm shares) Expected Ratings: Baa2/BBB/BB+ (5/5/5)
Format: SEC
Registered Maturity Perpetual Price Talk: 6.0.6.125%; Fixed for life…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01198067.pdf
EFTA01035639
Dataset 9
2019-03-18
2p
492w
Subject:
Fwd: New Issue $25 Par: Brighthouse Financial, Inc. (BHF) Fixed for Life Perpetual
From:
Richard Kahn
To:
Jeffrey Epstein <
[email protected]
>
…Inc. (BHF) Securities Offered: Depositary share representing 1/1,000th Interest in a Share of %Non-Cumulative Preferred Stock, Series A Expected Ratings: Ba2/BBB-/BB+ (S/N/S) Size: $200mm (8mm $25 par depositary shares)
Format: SEC
Registered Maturity: Perpetual Price Talk: 6.625% Area(fixed for life Offer Price: $25.00 per share Payment Dates: Quarterly on 25th of March, June, September and December beginning 06/25/2019 Optional Deferral: Deferrable on one or more occasions for up…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01035639.pdf
EFTA01035021
Dataset 9
2019-03-25
3p
568w
Subject:
Re: New Issue $25 Par: Duke Energy Corporation (DUK) Fixed for Life Perpetual Preferred Stock;
From:
J
[email protected]
>
To:
Richard Kahn
…Atlas, Andrew S" $25 Par New Issue Syndicate Offering: Duke Energy Corporation (DUK) Issuer: Duke Energy Corporation (DUK) Securities Offered: Depositary Shares each representing a 1/1000th Interest in a Share of Series A Cumulative Perpetual Preferred Stock EFTA01035021 Expected Ratings: Baa3 / BBB / BBB- Size: $250mm (10mm $25 Par Depositary Shares)
Format: SEC
Registered Maturity: Perpetual Price Talk: 5.875-6.00% (Fixed for Life) Offer Price: $25.00 per share Payment Dates: Quarterly on the 16th of March, June…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01035021.pdf
EFTA01137315
Dataset 9
2015-05-19
2p
556w
Subject:
Fwd: New Issue $25 Par: First Republic Bank (FRC) Non-Cumulative Perpetual Series F Preferred Stock -
From:
Richard Kahn <
To:
"jeffrey E." <jetvacation(erginail.com>
…for Life. Expects to be listed on NYSE...similar issues currently trading are FRC.A and FRC.B Let me know if you have any questions. Best, Andrew $25 Par New Issue Syndicate Offering: First Republic Bank (FRC) Issuer: First Republic Bank (FRC) Securities Offered: Depositary Shares each Representing a 1140th interest in a Share of % Noncumulative Perpetual Series F Preferred Stock Size: $100mm (4mm shares) Expected Ratings: Baa3 / BBB-
Format: SEC
Registered Maturity: Perpetual Price Talk: 5.75% Area…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01137315.pdf
EFTA01043882
Dataset 9
2017-06-06
4p
656w
Subject:
Re: New Issue $25 Par: NGL Energy Partners LP (NGL) Fixed-to-Float Perpetual Preferred Units;
From:
"Jeffrey E." <
[email protected]
>
To:
Richard Kahn
…Good morning Rich. Morgan Stanley is pricing a NGL Energy new issue $25 par preferred in the 9% area. Details $25 Par New Issue Syndicate Offering: NGL Energy Partners LP (NGL) Issuer: NGL Energy Partners LP (NGL) Securities Offered: Class B Fixed-to-Floating Rate Cumulative Redeemable Preferred Units Size: $50mm (2mm $25-par units) Expected Ratings: Non-rated
Format: SEC
Registered Maturity: Perpetual Price Guidance: 9.00% area — Fixed-to-Float Offer Price: $25.00 per unit Distributions: When…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01043882.pdf
EFTA02031932
Dataset 10
2011-07-20
2p
719w
Subject:
FW: NEW ISSUE - PNC Fixed-to-Floater
From:
Giuffrida, David J
To:
[email protected]
[
[email protected]
]; epstein, jeffrey
…10 years. Please let us know if you're interested. Thanks ISSUER: THE PNC FINANCIAL SERVICES GROUP, INC ("PNC"] EXPECTED RATINGS: Baa3/BBB/A- (pos outlook,stable,stable) SIZE: Benchmark MATURITY: Perpetual TYPE: Depositary Shares Each Representing a 1/100th Interest in a share of Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series 0
FORMAT: SEC
Registered DIVIDENDS: Fixed until (XX/XX/2021), thereafter floats at 3mo LIBOR + original LIBOR spread. Payable semi-annual until (XX/XX/2021]…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02031932.pdf
EFTA01892983
Dataset 10
2012-08-20
3p
828w
Subject:
**NEW ISSUE** JPMORGAN CHASE & CO PREFERRED STOCK
From:
Jeffrey Epstein
To:
Barrett. Paul S
…Sent: Monday, August 20, 2012 8:47 AM Subject: **NEW ISSUE** JPMORGAN CHASE & CO PREFERRED STOCK ISSUER: JPMORGAN CHASE & CO. [Ticker: JPMJ EXPECTED RATINGS: Bal/BBB/BBB- SIZE: $500mm (20mm shares) TYPE: Depositary Shares Each Representing a 1/400th Interest in a Share of _% Non-Cumulative Perpetual Preferred Stock, Series O
FORMAT: SEC
Registered MATURITY: Perpetual OFFER PRICE: $25.00 per depositary share DIVIDENDS: When, as, and if declared, dividends will accrue and be payable quarterly in arrears, on the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01892983.pdf
EFTA02008010
Dataset 10
2012-08-20
2p
723w
Subject:
FW: "NEW ISSUE" JPMORGAN CHASE & CO PREFERRED STOCK
From:
Barrett, Paul
To:
jeeyacation mail.com 'eeyacation mail.com]; Jeffrey
[email protected]
]
…Sent: Monday, August 20, 2012 8:47 AM Subject: **NEW ISSUE" JPMORGAN CHASE a CO PREFERRED STOCK ISSUER: JPMORGAN CHASE & CO. (Ticker: JPMJ EXPECTED RATINGS: Bal/BBB/BBB- SIZE: $500mm (20mm shares) TYPE: Depositary Shares Each Representing a 1/400th Interest in a Share of % Non-Cumulative Perpetual Preferred Stock, Series 0
FORMAT: SEC
Registered MATURITY: Perpetual OFFER PRICE: $25.00 per depositary share DIVIDENDS: When, as, and if declared, dividends will accrue and be payable quarterly in arrears, on…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02008010.pdf
EFTA02704013
Dataset 11
2016-02-19
5p
433w
Subject:
Fwd: New Issue PEP
From:
Richard Kahn <
To:
jeffrey E.
…coming today that I wanted to show Southern Trust Company. EFTA_R1_02086522 EFTA02704013 Details: Issuer/Ticker PepsiCo Inc ( PEP ) Issue Ratings Moody's: Al/Stable/Expected S&P: A/Stable/Expected Fitch: A/Stable/Expected
Format SEC
Registered Ranking Sr Unsecured Note Total Size Benchmark Tenor 3 Year 10 Year Tap of 4.45% 04/46 Coupon Type Fixed and/or Float Fixed Fixed Tranche Currency 2 EFTA_R1_02086523 EFTA02704014 USD Optional Redemption No Call - Make Whole Call…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02704013.pdf
EFTA02704806
Dataset 11
2016-02-22
5p
467w
Subject:
Fwd: ESRX New Issue Corp Offering
From:
Richard Kahn
To:
Jeffrey E.
…b>ESRX New Issue =orp Offering Date: February 22, 2016 at 11:15:19 AM EST To: =/b>"Richard Kahn ( Hi Rich, ESRX Corporate Issue =ricing today that I wanted to show Southern Trust Company. Issuer/Ticker Express =cripts Holding Co ( ESRX EFTA_R1_02092873 EFTA02704806 Issue Ratings Moody's: =aa2/Stable/Expected S&P: =BB+/Stable/Expected Fitch: =BB/Stable/Expected
Format SEC
=egistered Ranking = Sr Unsecured Note Total =ize &nbs=; Benchmark Tenor 5 Year 10 Year Coupon…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02704806.pdf
EFTA00671309
Dataset 9
2016-07-11
2p
497w
Subject:
Fwd: New Issue $25 Par: Stifel Financial Corp (SF) Perpetual Preferred Stock; 6.50 -
From:
Richard Kahn <I
To:
Jeffrey Epstein <
…Corp. Price talk is 6.50% - 6.625%. Here are details: $25 Par New Issue Syndicate Offering: Stifel Financial Corp (SF) Issuer: Stifel Financial Corp (Ticker: SF) Securities Offered: Depositary Shares Each Representing 1/1000th interest in a Share of Non-Cumulative Preferred Stock, Series A Size: $75mm (3mm shares) Expected Ratings: BB- / 8+
Format: SEC
Registered Maturity: Perpetual Price Talk: 6.50 — 6.625% Area; Fixed for Life Offer Price: $25.00 per depositary share EFTA00671309 Dividends: Quarterly, in…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00671309.pdf
EFTA00822086
Dataset 9
2016-08-04
2p
388w
Subject:
Fwd: New Issue S25 Par: Seaspan Corporation Cumulative Preferred Stock: 8.00% -
From:
Richard Kahn
To:
"jeffrey E." <jeevacation(gmail.com>
…9:47:01 AM EDT To: "Richard Kahn ( )" < Hi Rich, Morgan Stanley is pricing a new issue SSW $25 Par Preferred today. Here are the details: Issuer: Seaspan Corporation (Ticker: "SSW ") Securities Offered: Series H, Cumulative Redeemable Perpetual Preferred Shares Size: $75mm (3mm $25 par Depositary Shares) Expected Ratings: NR/NR Price Guidance: 8.00% - 8.125% (fixed-for-life) Scheduled Maturity: Perpetual
Format: SEC
Registered Offer Price: $25.00 per Depositary Share Payment Dates: Quarterly, beginning October 30…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00822086.pdf
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