EFTA02129741Set 10
2013-08-228p2,017w
initiates VRTXIREGN (op's), Stifel initiates TSLA (hold)
EFTA_R1_00772022
EFTA02129743
• Wells initiates BCRX (op) & upgrades PCP, SocGen downgrades CRH/TI
• Longbow downgrades FUL, Raja upgrades MRO, Stephens initiates ... Infrastructure (Las Vegas), Raja Banks (Chicago)
Analyst/Investor Days: GWAY
Non-Deal Roadshows: AMAT, BCRX, BYD, CFX, CY, FCN, FINL, GBCI, HSTM, HTM, IPAS, KERX,
MMC, N, P, PRO, PSMI
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02129741.pdf
EFTA00407579Set 9
2012-08-026p1,928w
AAWW, AB, ABMD,
AGEN, ALE, AMSC, ANSS, API, ARIA, ARQL, AVD, AVEO, AYR, BBG, BCRX, BKCC, BRY, BWINB, BXC,
CBOE, CIR, CKP, CNSL, CRIS, DSCO, DSX, DUSA, DW, DXYN, ELNK
https://www.justice.gov/epstein/files/DataSet%209/EFTA00407579.pdf
EFTA00401937Set 9
2012-11-087p2,170w
AAON, AAP, ACIW, AINV, ALR, ALTI, AMCX, AMRC, APEI, APU,
ARX, BCRX, BDC, BIOC, BITA, BKCC, CHAS, CASM, CBRX, CG, CORE, CRTX, DUSA, EBIX, ES, EZCH, FCN, FLO,
FSYS, FXCM
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401937.pdf
EFTA00386460Set 9
2013-08-018p2,693w
spot, but gets called away with stock up 1.5%.
Secondaries (announced/priced): LYB, BCRX, LRY, BYD, EAD FP
IPO's (filed/priced): American Homes 4 Rent (AMH) 44.1M-share IPO priced
https://www.justice.gov/epstein/files/DataSet%209/EFTA00386460.pdf
EFTA00417991Set 9
2012-03-155p1,488w
Days: EPL, MDU, SFY, NANO, STR, RSTI, LRN, UTX
Non-Deal Roadshows: AAWW, BERG, BCRX, SIP, CCOI, CHEF, CHMT, CKSW, CLPHY, CNDO, CNQR, COV,
CRNT, DK, DVN, DXPE, ECL, EFII
https://www.justice.gov/epstein/files/DataSet%209/EFTA00417991.pdf
EFTA00370946Set 9
2014-04-176p1,714w
Conferences: No major conferences
Analyst/Investor Days: PDCE, LULU, DIS
EFTA00370948
Non-Deal Roadshows: ABTL, BCRX, CVX, DRQ, EGL, FUL, FXEN, MSM, ORCL
Shareholder Meetings: BAXS, CCOI, ISSC, OC, PBCT
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370946.pdf
EFTA00371439Set 9
2014-04-076p1,630w
45am (LA)
Conferences: No major conferences
Analyst/Investor Days: N/A
Non-Deal Roadshows: ACAD, AGII, BCRX, CBS, CPT, FLML, FMI, GDP, Gill, IMRS, MHR, MU, PRGN, SLXP, TWX,
WRES
Shareholder Meetings
https://www.justice.gov/epstein/files/DataSet%209/EFTA00371439.pdf
EFTA00386261Set 9
2013-07-319p3,206w
QCOR sales gained — RVBD sees eps/revs below — SIMG topped
Secondaries (announced/priced): NLCH, TRS, STNG, BCRX, CUZ, FER SM
IPO's: N/A
US Key Research:
•• Atlantic downgrades XYL, Jefferies downgrades OPTR
https://www.justice.gov/epstein/files/DataSet%209/EFTA00386261.pdf
EFTA00425821Set 9
2011-10-195p1,652w
China Investor (Macau)
Analyst/Investor Days: PETD, SNSS
Non-Deal Roadshows: ANW, ARAM, ARE, AWH, BCRX, CASY, CBK, CWH, END, LPR, NOVA, PRGS, SMGKF
Shareholder Meetings: AHCI, CTRP, ANV
Equity/Mixed Shelfs
https://www.justice.gov/epstein/files/DataSet%209/EFTA00425821.pdf
EFTA02114290Set 10
2014-02-218p2,059w
Stifel cuts JWN & initiates IRG (buy), UBS downgrades SXL, GS upgrades TOT
• Piper initiates BCRX (ow), Baird initiates NLSN (neut), Sterne Agee initiates AVHI (neut)
• Macquarie initiates CASY/PTRY (neut
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114290.pdf
EFTA02131300Set 10
2013-08-0610p2,632w
AFSI, AKRX, ALLT, AMRI,
ARCC, ARCO, AYR, BBEP, BCRX, BIP, BLRX, BPI, CCC, CGEN, CKP, CNK, CRTX, CTCH, CTCM,
CTSH, DBD, DGIT, DISH, DW, DWRE, DWSN, EE, ENDP, EXH, EXLP
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02131300.pdf