EFTA01351030.pdf

Subject: RE: Fw: Epstein - Assets to transfer [C] From: Lisa D Hurd a> Date: Tue, 03 Dec 2013 10:56:45 -0500 To: Cc: Amanda Kirby Vahe Stepanian Classification: Confidential Hi Janet, Pershing should be out in the market shortly for this transfer. Thank you, if you have any questions, please contact me. Kind regards, Lisa Hurd (Embedded image moved to file: pic20088.gif) Lisa D Hurd ACATS Deutsche Bank Securities Inc. Private Wealth Management US Operations 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email (Embedded image moved to file: pic26935.gif) Fron (ain Janet E" To: Vahe Stepanian/db/- Cc: Amanda , " " , Lisa D , PB- Service1318 <PB- EFTA01351030  Date: 12/03/2013 09:37 AM Subject: RE: Fw: Epstein - Assets to transfer [C] HI Vahe, Our Global Settlements has stated that the below free delivery is failing due to no counterparty instructions. I understand if you were late setting this up yesterday since we did not finalize all details until late afternoon. Let me know when you are set up to receive the below security and I will advise my back office. JPM Southern Trust Co., Inc.(—) — Assets to be transferred to Pershing LLC A/C # 2,000,000 PETROLEOS DE VENEZUELA S 5% OCT 28 2015 HELD BY EUROCLEAR ISIN - Pershing Euroclear # = Please confirm t/d, s/d and amount so that we can match. Units — 2,000,000 Market Value - $1,616,000.00 JPM Euroclear # Thank You! Janet Young Janet E. Young' Vice President I Private Bank' J.P. Morgan NMLS ID # - 500 Stanton Christiana Road, Newark DE 19713 T: I F: Alternate contacts: Gina Magliocco and Jason Grosse' T: I F: To ensure a rom t res onse, please direct our re l to our team: T: I F: From: Young, Janet E Sent: Monday, December 02, 2013 3:40 PM EFTA01351031 To: Vahe Stepanian Cc: Amanda Kirby; ; Lisa D Hurd; PB-Service1318 Subject: RE: Fw: Epstein - Assets to transfer [C] Vahe Current market values are noted next to the security names below. JPM Southern Financial, LLC - Assets to be transferred to Pershing LLC A/C # — Southern Financial, LLC 3,000,000 LBG CAPITAL NO.1 PLC 144A VAR RT 12/29/2049 HELD BY EUROCLEAR ISIN: - Pershing Euroclear # = . Please confirm t/d, s/d and amount so that we can match free delivery. Units 3,000,000 - Market Value - $3,220,320.00 LLOYDS BANK PLC MTN 9 7/8% DEC 16 2021 DTD 12/16/2011 HELD BY EUROCLEAR ISIN: - Pershing Euroclear # = . Please confirm t/d, s/d and amount so that we can match free delivery. Units — 1,500,000 Market Value - $1,785,435.00 2,500,000 PETROLEOS DE VENEZUELA S 5% OCT 28 2015 HELD BY EUROCLEAR ISIN - Pershing Euroclear # = . Please confirm t/d, s/d and amount so that we can match free delivery. Units — 2,500,000 Market Value - $2,020,000.00 JPM Southern Trust Co., Inc.(—) — Assets to be transferred to Pershing LLC A/C # 2,000,000 PETROLEOS DE VENEZUELA S 5% OCT 28 2015 HELD BY EUROCLEAR ISIN - Pershing Euroclear # = Please confirm t/d, s/d and amount so that we can match. Units — 2,000,000 Market Value - $1,616,000.00 Best Regards, Janet Young Janet E. Young' Vice President I Private Bank' J.P. Morgan I NMLS ID # - 500 Stanton Christiana Road, Newark DE 19713 T: I F: EFTA01351032 Alternate contacts: Gina Magliocco and Jason Grosse' T: F: From: Vahe Stepanian [mailto: Sent: Monday, December 02, 2013 3:22 PM To: Young, Janet E Cc: Amanda Kirby; ; Lisa D Hurd; PB-Service1318 Subject: RE: Fw: Epstein - Assets to transfer [C] Classification: Confidential Great, thanks Janet. My back office tells me that we also need values for the Euroclear positions. Can you please clarify? Thank you, Vahe (Embedded image moved to file: pic21847.gif) Vahe Stepanian Associate t Wealth Investment Coverage Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue - 26th Floor New York, NY 10154-0004 Tel. Fax Mobile Email (Embedded image moved to file: pic18124.gif) m: To: Vahe Stepanian/db/- EFTA01351033  Cc: Amanda , Lisa D PB-Service1318 " Dat 12/02/2013 03:15 PM e: Sub RE: Fw: Epstein - Assets to transfer [C] jec t: Vahe, We are setting up the global deliveries for each account as TD 12/02/13 and SD 12/03/13. Best Regards, Janet Young Janet E. Young' Vice President I Private Bank' J.P. Morgan NMLS ID # - 500 Stanton Christiana Road, Newark DE 19713 T: I F: Alternate contacts: Gina Magliocco and Jason Grosse' T: I F: To ensure a rom t res onse, please direct our re l to our team: T: I F: From: Vahe Stepanian [mailto: Sent: Monday, December 02, 2013 10:23 AM EFTA01351034 To: Young, Janet E Cc: Amanda Kirby; Lisa D Hurd; PB-Service1318; Subject: Re: Fw: Epstein - Assets to transfer [C] Classification: Confidential Janet, Hope you had a great weekend. Thank you in advance for your help with the below. Please see my notes below in red. JPM Southern Financial, LLC - Assets to be transferred to Pershing LLC A/C # — Southern Financial, LLC 2,000,000 HSBC Cont Buffer SXSE 08/29/14 80% EKO BARRIER- 4% CPN / 17% CAP Cusip: — tx via DTC - Okay to free deliver: Pershing DTC # = 1,000,000 JPM CONT BUFF EQ SX7P 10/16/14 85% CONTIN BARRIER- 0% CPN / 25% CAP Cusip: — tx via DTC - Okay to free deliver: Pershing DTC # = 2,000,000 SG MARKET PLUS WTI CRUDE 08/05/14 LNKD TO CL1 78.75% BARRIE - ,UNCAPPED Cusip: — tx via DTC- Okay to free deliver: Pershing DTC # = 3,000,000 LBG CAPITAL NO.1 PLC 144A VAR RT 12/29/2049 HELD BY EUROCLEAR ISIN: - Pershing Euroclear # = . Please confirm t/d, s/d and amount so that we can match free delivery. LLOYDS BANK PLC MTN 9 7/8% DEC 16 2021 DTD 12/16/2011 HELD BY EUROCLEAR ISIN: - Pershing Euroclear # = . Please confirm t/d, s/d and amount so that we can match free delivery. 2,500,000 PETROLEOS DE VENEZUELA S 5% OCT 28 2015 HELD BY EUROCLEAR ISIN - Pershing Euroclear # = . Please confirm t/d, s/d and amount so that we can match free delivery. EUR 291,846.67 — EURO cash wire instructions needed. Relevant instructions: Bank: MI Frankfurt SWIFT: Account name: Pershing LLC EFTA01351035 IBAN: For Further credit to: Southern Financial, LLC Account #: 3PM Southern Trust Co., Inc.( ) — Assets to be transferred to Pershing LLC A/C # 2,000,000 PETROLEOS DE VENEZUELA S 5% OCT 28 2015 HELD BY EUROCLEAR ISIN - Pershing Euroclear # = . Please confirm t/d, s/d and amount so that we can match. Thank you, Vahe (Embedded image moved to file: pic20508.gif) Vahe Stepanian Associate I Wealth Investment Coverage Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue - 26th Floor New York, NY 10154-0004 Tel. Fax Mobile Email (Embedded image moved to file: pic23954.gif) Forwarded by Amanda Kirby/db/dbcom on 11/27/2013 02:47 PM > To: Amanda , Lisa D Cc: PB-Service1318 Harry Batter EFTA01351036  Date: 11/27/2013 02:40 PM Subjec Epstein - Assets to transfer t: Amanda and Lisa, Below is a summary of assets that we are in the process of transferring to Pershing LLC. They should be transferred in the next several business days. Please let me know what information you need to accept in the EUROCLEAR global securities. We are also going to need EURO wire instructions so that the currency can be transferred too. 3PM Southern Financial, LLC - Assets to be transferred to Pershing LLC A/C # — Southern Financial, LLC 2,000,000 HSBC Cont Buffer SXSE 08/29/14 80% EKO BARRIER- 4% CPN / 17% CAP Cusip: — tx via DTC 1,000,000 3PM CONT BUFF EQ SX7P 10/16/14 85% CONTIN BARRIER- 0% CPN / 25% CAP Cusip: — tx via DTC 2,000,000 SG MARKET PLUS WTI CRUDE 08/05/14 LNKD TO CL1 78.75% BARRIER- 10%CPN ,UNCAPPED Cusip: — tx via DTC 3,000,000 LBG CAPITAL NO.1 PLC 144A VAR RT 12/29/2049 HELD BY EUROCLEAR ISIN: LLOYDS BANK PLC MTN 9 7/8% DEC 16 2021 DTD 12/16/2011 HELD BY EUROCLEAR EFTA01351037 ISIN: 2,500,000 PETROLEOS DE VENEZUELA S 5% OCT 28 2015 HELD BY EUROCLEAR ISIN EUR 291,846.67 — EURO cash wire instructions needed JPM Southern Trust Co., Inc.( ) — Assets to be transferred to Pershing LLC A/C # 2,000,000 PETROLEOS DE VENEZUELA S 5% OCT 28 2015 HELD BY EUROCLEAR ISIN Thank You! Janet Young Janet E. Young' Vice President I Private Bank' J.P. Morgan I NMLS ID # - 500 Stanton Christiana Road, Newark DE 19713 T: F: Alternate contacts: Gina Magliocco and Jason Grosse' T: I F: To ensure a rompt response, please direct our repl to our team: T: I F: This email is confidential and subject to important disclaimers and conditions including on offers for the purchase or sale of securities, accuracy and completeness of information, viruses, confidentiality, legal privilege, and legal entity disclaimers, available at http://www.jpmorgan.com/pages/disclosures/email. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information EFTA01351038 contained in this communication should not be regarded as such. This email is confidential and subject to important disclaimers and conditions including on offers for the purchase or sale of securities, accuracy and completeness of information, viruses, confidentiality, legal privilege, and legal entity disclaimers, available at http://www.jpmorgan.com/pages/disclosures/email. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This email is confidential and subject to important disclaimers and conditions including on offers for the purchase or sale of securities, accuracy and completeness of information, viruses, confidentiality, legal privilege, and legal entity disclaimers, available at http://www.jpmorgan.com/pages/disclosures/email. EFTA01351039