EPSTEIN
page 2 / 948 . OCR, unverified
passed on to the SEC for domestic trades, or the relevant party for foreign
trades.
Your question made me notice a mistake on my behalf when I went back to
check the fees — please see the attached revised spreadsheet.
I didn't adjust the Naspers trade commission for FX — the trade was done in
ZAR, so the commission was USD 100 (not USD 1,365), and thus the 17,711.18
of fees on that trade is actually USD 1,297.52. We confirmed that the
Johannesburg Stock Exchange charges 25bps on buys, hence the larger fee on
this trade compared to the others.
From: Stewart Oldfield
Sent: Monday, December
To: Davide-A Sferrazza
: V h St
Xavier Avila
Joshua Shosha
Liam Osulliva
Subject: RE: Paul Barrett / Epstein week of 12/11/17 [C]
Classification: Confidential
Thanks. Do we recognize the fees as well?
Martin Zeman
From: Davide-A Sferrazza
EFTA01420332
--- PAGE 2 ---
Sent: Monday, December 18, 2017 11:28 AM
To: Stewart Oldfield
Xavier Avila
Joshua Shoshan
Liam Osullivan
u jec : •au :arre
/ Epstein week of 12/11/17 [C]
Classification: Confidential
Martin Zeman
In addition to the commissions/sales credits for the trades attached, Paul
executed another FX forward on Friday that generated —$3k in revenue.
Please let us know if you have any questions or comments — thanks!
Regards,
Davide
{cid:image001.gif@OlD259D5.3E2DFOF0}
Davide Sferrazza
Analyst I Key Client Partners
Deutsche Bank Securities, Inc.
Deutsche Bank Wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
Tel.
Mobil
Email
EFTA01420333
--- SOURCE: IMAGES__0068__EFTA01420334.txt ---
METADATA_SOURCE: IMAGES0068
METADATA_FILENAME: EFTA01420334.pdf
----------------------------------------
Sheetl
Account #
Account Short Name:
Base CCY:
USD
Transaction Type :
DATE
TRADE DATE
PRICE
NET AMT.
(TRANS. CCY)
COMM.
SALES CREDIT
FEES
ACTIVITY
TRANS. CCY
12/15/2017
12/15/2017
12/18/2017
CALL 100 BROADCOM
LTD SHS
ISIN#SG99990
14823
EXP 02-16-18@250.0000PTION ROOT= AVGO
AVGO 02162018 C 250
SELL
-20
18.435 3680
3.14
6.86
Sell -20.00000 Cs of AVGO 02162018 C 250 at 18.435000000
USD
12/15/2017
12/15/2017
12/18/2017
CALL 100 BROADCOM
LTD SHS
ISIN#5G99990
14823
EXP 01-19-180260.0000PTION ROOT= AVGO
AVGO 01192018 C 260
SELL
-20
10.5965 2112
6.51
6.49
Sell -20.00000 Cs of AVGO 01192018 C 260 at 10.596500000
USD
12/13/2017
12/13/2017
12/15/2017
AMERICAN AXLE &
MFG HLDGS INC COM
AXL
SELL
-1700
17.25
29218.32
100
6.68
Sell -1700.00000 share(s) of AXL at 17.25000
0000
USD
12/15/2017
12/15/2017
12/18/2017
PUT 100 GILEAD
SCIENCES INC
EXP 01-19-18
875.000 OPTION ROOT= GILD
GILD 01192018 P 75
SELL
-125
1.71
20993.50
375
O
6.50
Sell -125.00000 Ps of GILD 01192018 P 75 at 1.710000000 USD
12/11/2017
12/11/2017
12/11/2017
DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0
866.04 0
MONEY MARKET FUND
INCOME RECEIVED
USD
12/13/2017
12/13/2017
12/13/2017
U.S.DOLLARS CURRENCY
516860.04
O
MONEY FUND REDEMPTION
USD
12/11/2017
12/11/2017
12/11/2017
U.S.DOLLARS CURRENCY
1801978.53
O
MONEY FUND REDEMPTION
USD
12/12/2017
12/12/2017
12/12/2017
U.S.DOLLARS CURRENCY
-1477727.63
O
MONEY FUND PURCHASE
USD
12/12/2017
12/12/2017
12/13/2017
SOUTH AFRICAN RAND CURRENCY
BUY
7074755.98
13.687953
-516860.04
FOREIGN CURRENCY EXCHANGE
USD
12/15/2017
N/A
12/15/2017
GENERAL ELEC CO GTD FXD-TO-FLTG RT NON-CUMULATIVE PERPETUAL
PREFERRED 4.000% 12/03/65 REG DTD 12/03/15 CLB CLB 06/15/22 @100.000
GE4317670
49380
CASH DIVIDEND RECEIVED USD
12/11/2017
12/11/2017
12/12/2017
CALL 100 SPDR S&P
500 ETF TR TR UNIT EXP 03-16-18
@270.000OPTION ROOT= SPY
SPY 03162018 C 270
BUY
900
2.89
-262806 2700
Buy
12/15/2017
14823
EXP
12/15/2017
14823
EXP
12/13/2017
1700
-28900 0
12/12/2017
12/12/2017
12/15/2017
15889
NAPRF
BUY
2000
3527.8399
2000.00000 of NAPRF at 3527.839900000
ZAR
USD
SUMIF(047:$N$21,122,$J$7:$J$21)=3415
ZAR
SUMIF(047:$N$21,123,$J$7:#J$21)=1365
USD Equiv Subtotals
J22+(J23/13.65)=3515
Total
SUM(J24:K24)=3600
&"arial unicode ms,Regular"Confidential
EPSTEIN
All Transactions
Duration :
STLMNT DATE
SEC. DESCRIPTION
Week
SYMBOL BUY/SELL
QUANTITY
900.00000 Cs of SPY 03162018 C 270 at 2.890000000
USD
12/15/2017
12/18/2017
CALL 100 BROADCOM
LTD SUS
12-15-178260.0000PTION ROOT= AVGO
AVGO 12152017 C 260
BUY
Buy 20.00000 Cs of AVGO 12152017 C 260 at 5.365000000
12/15/2017
12/18/2017
CALL 100 BROADCOM
LTD SHS
12-15-178250.0000PTION ROOT= AVGO
AVGO 12152017 C 250
BUY
Buy 20.00000 Cs of AVGO 12152017 C 250 at 12.110000000
12/12/2017
12/15/2017
AMERICAN AXLE &
MFG HLDGS INC COM
Buy 1700.00000 share(s) of AXL
NASPERS LIMITED
LTD
-7074755.98
1365
ISIN#5G99990
5.365
-107
USD
ISIN#5G99990
12.11
-242
USD
AXL
BUY
at 17.000000000 USD
ISIN#ZAE0000
17711.18
Buy
SUMIF($N#7:$N$21,122,$K$7:$K$21)=85
SUMIF($N#7:$N$21,123,$K$7:$K$21)=0
K22+(K23/13.65)=85
EFTA01420334
--- SOURCE: IMAGES__0068__EFTA01420335.txt ---