EFTA02125732Set 10
2013-10-047p1,721w
Conferences: No major conferences.
EFTA_R1_00763737
EFTA02125734
Analyst/Investor Days: TS
Non-Deal Roadshows: AERL, BCC, BDN, CHUY, DVN, FMER, GWW, HGR, PNW, PWR, XONE
Shareholder Meetings: CALM, AVAV, SMIT
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02125732.pdf
EFTA02129741Set 10
2013-08-228p2,017w
upgrade MBTN SW
Reporting Pre-Open: ANF, DLTR, GME, HRL, PDCO, SHLD, AERL, BKE, BONT, CATO, CYBX,
KIRK, LANC, NM, PERY, PLCE, SMRT, SSI, TAOM, TTC, TWMC
Reporting Post-Close
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02129741.pdf
EFTA02136101Set 10
2013-06-078p1,887w
Energy (Montreal), Sidoti Semi-Annual Microcap (NYC)
Analyst/Investor Days: WTM, OB
Non-Deal Roadshows: AERL, CCMP, CYBX, KEX, MMYT, NWY, PFPT, RVBD, SLP
Shareholder Meetings: WMT, BVN, SAI, RXII
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02136101.pdf
EFTA02153650Set 10
2012-11-296p1,638w
Brokerage & Market Structure (NYC)
Analyst/Investor Days: OMI, CPLA, VSAT
Non-Deal Roadshows: AEGR, AERL, AMAT, ARMH, BOKF, CA, CAKE, CPSI, CRBC, CRNCY, CS,
CTRX, CYOU, DMD, DWRE, EHTH, ELOS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02153650.pdf
EFTA02105372Set 10
2014-06-067p1,595w
forecast — RALY cuts forecast — CMTL boosts forecast
MTN revs better — KCOM LN numbers inline — AERL ID weak passenger data
Secondaries (announced/priced): HDSN, LG, CSGP, NVAX, RDUS, MBII, SCM (atm), BMPS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02105372.pdf
EFTA00387400Set 9
2013-07-177p1,921w
Conferences: Wells Fargo Fiber Summit (NYC)
Analyst/Investor Days: N/A
Non-Deal Roadshows: AERL, BXMT, CRK, EMKR, EXPR, GPS, GPT, MNRO, NPSP, TUP, EDE
Shareholder Meetings: BPAX, SEAC, MPG, SCS, SMTX
https://www.justice.gov/epstein/files/DataSet%209/EFTA00387400.pdf
EFTA00410573Set 9
2012-06-265p1,759w
Energy (SF), MS Transportation (Chicago)
Analyst/Investor Days: DG, NTAP, BMO, BDN
Non-Deal Roadshows: AERL, AGO, AVB, B, BBG, BMY, BRY, CTSH, CXPO, DELL, EXAS, FAST, ICUI,
INXN, IPXL
https://www.justice.gov/epstein/files/DataSet%209/EFTA00410573.pdf
EFTA00400698Set 9
2012-11-286p1,678w
Energy (Houston), JPM SMid Cap (NYC)
Analystllnvestor Days: N/A
EFTA00400700
Non•Deal Roadshows: ABC, AERL, AMAT, ARMH, BIRT, CS, CTRX, CVE, DLTR, ECA, EHTH, ELOS, ERIC, EXPE,
EXPO, FARM
https://www.justice.gov/epstein/files/DataSet%209/EFTA00400698.pdf
EFTA00428658Set 9
2011-09-125p1,637w
KeyBanc Basic Materials and Packaging
(NYC)
Analyst/Investor Days: CCE, AONE, TLEO
Non-Deal Roadshows: AERL, AMNB, BBT, ENS, ESV, HHS, IPXL, JOSE, LAVA, LGF, LXP, MGM, MKTG,
PVH, ST, TSEM
https://www.justice.gov/epstein/files/DataSet%209/EFTA00428658.pdf
EFTA00428205Set 9
2011-09-135p1,529w
Global Healthcare (NYC), DB Tech (LasVegas)
Analyst/Investor Days: HT2
Non-Deal Roadshows: AEGR, AERL, ALLT, AME, AMT., AXAS, BIN, BMC, COP, CPE, CPO, CSGP, CSU,
CTCT
https://www.justice.gov/epstein/files/DataSet%209/EFTA00428205.pdf
EFTA00433192Set 9
2011-05-315p1,376w
Conference
(CA), Sterne Agee Cornerstone of Industry (Chicago)
Analyst/Investor Days: N/A
Non-Deal Roadshows: AERL, CHRW, CQB, CRI, CRNT, MIG, MXIM, RNST, SMCI, UMBF, WB, WG
EFTA00433193
Shareholder Meetings
https://www.justice.gov/epstein/files/DataSet%209/EFTA00433192.pdf