EFTA00401802Set 9
2012-11-136p2,037w
KORS, NTI,
ORBT, PLUG, RGDX, SRA, SCON, SKS, VRS, DSS
Reporting Post-Close: CSCO, AEZS, API, BIOF, CIDM, DCIN, DVOX, EGL, EVOL, FIGI, GA, GALE, GFF, GSB, HMIN,
IAG, KOOL ... HSNI, SWI, HUM, MRCY, SIMG, UFI, XRX, MAT, BBY, NO, CELG
Non-Deal Roadshows: AEZS, AFSI, AMD, ANSS, B, BRO, CECE, CHKP, CHMT, CIR, CRUS, CTSH, DBD, ECPG, ENR,
EVER
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401802.pdf
EFTA01157694Set 9
31p4,775w
DUTY
-d-•
da_30 it2 c.1Me-"ev eei-m-ek--,49# doors C/O$-Aez
0000 Penore 7zer oferA- chi...se/at:, axe&
2336 Pennic.7 ... rice-7:td*
7,4:3 15 petrj-ff4.- 71,0,- ,: -.Aez,A--- C/ ;0,v qt- .4-7 iiir,C- e.
ent f10 /1170,7, ',Loy- ira,in earrik
https://www.justice.gov/epstein/files/DataSet%209/EFTA01157694.pdf
EFTA02114263Set 10
2014-02-248p1,984w
CRAY, GLUU, NOV, SAEX, SIRO
Shareholder Meetings: N/A
Equity/Mixed SheIfs: AKS, EXEL, APL (S250M), AEZS (S250M),
Other Newspaper Articles & Stories
Barron's cover: cautious on Kinder Morgan Energy Partners
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114263.pdf
EFTA02154634Set 10
2012-11-126p1,421w
Blair Healthcare (NYC)
Analyst/Investor Days: CZZ, CAH, RAI, MDSO, DNR
Non-Deal Roadshows: AEZS, BWC, CEC, CTSH, F, HSH, LPS, LSCC, MDVN, MINI, MSA, NVDA,
TRNX, ZAGG
Shareholder Meetings: PVSW
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154634.pdf
EFTA00390873Set 9
2013-05-078p2,555w
CHRW, DIS, DVA, EA, MCK, MDLZ, MRO, SYMC, TRIP, WFM, WMB, ACAD, ACTS,
AEZS, AMRE, ANDE, ARAY, ARB, ARC, ARTC, ASEI, AWK, AXLL, BIO, BIOL, BKEP, BWC, CCRN, CDXS, CHSP
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390873.pdf
EFTA00401614Set 9
2012-11-125p1,435w
Blair Healthcare (NYC)
Analyst/Investor Days: CZZ, CAH, RAI, MDSO, DNR
Non-Deal Roadshows: AEZS, BWC, CEC, CTSH, F, HSH, LPS, LSCC, MDVN, MINI, MSA, NVDA, TRNX, ZAGG
Shareholder Meetings: PVSW
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401614.pdf
EFTA00413482Set 9
2012-05-096p1,995w
Multiple brokers initiates GLOG, BMO upgrades
SMG/PKY/ARNA
Reporting Pre-Open: DF, M, TEVA, ABVT, AEZS, AGU, AH, AMRI, AOL, ARIA, ASFI, AXAS, BIOC,
BWEN, CGX, CV, ➢TG, ELOS, EMIS
https://www.justice.gov/epstein/files/DataSet%209/EFTA00413482.pdf
EFTA00406719Set 9
2012-08-146p1,737w
RGDX, SBSA, SKS, SORL, TW, VAL, VELT,
VSCP, TRIT, NLNK
Reporting Post-Close: JDSU, AEZS, AMCN, AOSL, BOBE, CDII, CIDM, CYCC, DSS, FACE, FFN, FIGI,
FLXS, FMD, GALE, JKHY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00406719.pdf
EFTA01157586Set 9
22p3,873w
/276-7,<:-) es-, -7-7Lire 4t, cc
.7...33O l acer-inee-Aez--.1.4.cA- - tr./i) s- 4c,,, r449-7;•e- Bch
AT, I /Oei-2-1,-)9,.16-O- tr.4.e,
/Po3n
https://www.justice.gov/epstein/files/DataSet%209/EFTA01157586.pdf
EFTA00390701Set 9
2013-05-088p2,645w
ENTG, ESI, FISI, FTR, GLDD, HYGS, IDXX, KGC, MHK, OCFC, PSX, SWFT,
TPI, USG, AEZS, XLS, BID, BRKL, CBR, CSX, DRH, KDN, KRO, NVE, ADTN, FCS, CWEI, NATR
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390701.pdf