EFTA01437758Set 10
2016-10-18227p26,387w
RPAI
TCO
PGRE
FRT
SRC
KW
CIO
AFCO
MPW
BMO, 10/20
AMC, 10/19
AMC, 10/24
AMC, 10/24
AMC, 10/24
AMC, 10/25
BMO, 10/26
AMC, 10/25
AMC, 10/25
AMC, 10/25 ... 10/26
AMC, 10/26
EFTA01437770
AMC, 10/26
AMC, 10/27
BMO, 10/28
BMO, 10/28
AMC, 10/27
AMC, 10/27
AMC, 10/27
BMO, 10/31
AMC, 10/31
AMC, 10/31
AMC, 10/31
AMC, 11/1
AMC, 11/1 ... BMO, 11/2
AMC, 11/1
AMC, 11/1
AMC, 11/2
AMC, 11/2
AMC, 11/2
AMC, 11/3
BMO, 11/7
Dial In
Call Time
Number
Code
(if needed DB1
12:00PM 81585906
2:00PM
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01437758.pdf
Lynch, Pierce, Fenner & Smith
Incorporated acted as syndication agent and lender, and affiliates of BMO Capital Markets Corp., Fifth Third Securities. Inc., SG Americas Securities. LLC,
PNC Capital Markets ... affiliate of Merrill Lynch, Pierce, Fenner & Smith Incorporated will act as syndication agent, BMO Capital Markets Corp.,
Fifth Third Securities, Inc., SG Americas Securities. LLC and PNC Capital Markets ... Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, BNP Panbas
Securities Corp.. BMO Capital Markets Corp., Deutsche Bank Securities, Inc., PNC Capital Markets LLC, Fifth Third Securities
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378062.pdf
EFTA00855773Set 9
2015-05-295p1,338w
York, NY — 2006-2011
Lower middle market private equity firm; spun off from BMO Capital Markets with a team of 18 in 2006.
Chief Financial Officer and Vice President ... Jersey.
Accomplishments
• Led successful transition of accounting, finance, operations, and tax functions from BMO Capital Markets to Halyard
Capital Management; quickly established all formal accounting policies, internal controls and reporting ... including taking advantage of certain tax benefits in connection with the spin off
from BMO Capital Markets and successfully renegotiated office lease to a lower rate.
EFTA00855775
• Enhanced firm
https://www.justice.gov/epstein/files/DataSet%209/EFTA00855773.pdf
EFTA02148758Set 10
2013-02-129p2,266w
shares priced at $28, Tetraphase
Pharmaceuticals (TTPH) files for $86.25M through Barclays and BMO
US Key Research:
• Bernstein downgrades FB, Avondale upgrades NWY, Multiple brokers initiate CONE & resume ... downgrades STR & upgrades RGLD
(buy)
• Bofa upgrades SPH (buy), Brean Murray upgrades NTAP (buy), BMO downgrades NBL, Bernstein
upgrades SJM
Europe Key Research:
• UBS Euro Beverages (downgrade HEIA ... AMAT, CSCO,
MDLZ, WFM)
Thursday: G20 Fin Min/CB meeting (Feb 14-15), BMO Auto Finance Conference (Toronto), Earnings
(APA, BWA, DISCA, GM, PEP, TAP, WM)
Friday: Empire Manufacturing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02148758.pdf
EFTA02101572Set 10
2014-07-239p2,236w
trading +2.5%)
• Xilinx light quarter on Comms weakness & rev outlook well short of ests (BMO & WBlair d/g)
(trading -7%)
• Covanta solid quarter as eps & revenues beat ests & reaffirmed forecast (trading ... EFTA_R1_00710077
EFTA02101574
• Barcap initiates TSE (ew), Bernstein downgrades RTN, Baird downgrades MCD/DRH
• BMO cuts XLNX, Canaccord cuts HXL, Goldman upgrades LIP (buy) & reinstates MW (buy)
• DB initiates ACT/ENDP/MNK/MYUPRGO/TEVA ... cuts CBST
• JPM downgrades DD/CATM/FMER & initiates GT (ow) and CTB (neut), ISI & BMO up AAPL pt
• Landesbank upgrades MCD (buy), Opco initiates MAA (op) & ARCP/CXP (pert)
• Mizuho initiates DEI/ESS/HCPNTR
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02101572.pdf
EFTA00424491Set 9
2011-11-042p657w
From: Ike Groff
To: la
Subject: RE: BMO Holiday show/brunch
Date: Fri, 04 Nov 2011 16:13:27 +0000
Yes not sure I want to do it
Original Message
From ... mailto:
Sent: Friday, November 04, 2011 12:13 PM
To: Ike Groff
Subject: Re: BMO Holiday show/brunch
Sounds fun. 9 am is so early
https://www.justice.gov/epstein/files/DataSet%209/EFTA00424491.pdf
EFTA00435764Set 9
2011-04-124p1,433w
Piper initiates AVII (ow), SocGen initiates UK Food
& Staples Retailers (uw)
Key Research: BMO downgrades AA, JMP downgrades AMMD & initiates BX (op), UBS downgrades ELN
& upgrades LVLT
Key Research: Barcap ... Post
Office of the Superintendent of Financial Institutions investigating savings
product sold by BMO Financial - Globe and Mail
TimberWest seeks bids that will better its C$1B offer from
https://www.justice.gov/epstein/files/DataSet%209/EFTA00435764.pdf
EFTA00401937Set 9
2012-11-087p2,170w
Bofa reinstates BX/LM/MS (neut's) and TROW/BEN/GS/KKR (buy's), Evercore cuts CBS,
Key Research: BMO upgrades CMI/HNT, Baird upgrades FMER, RBC upgrades ED/SO, Wedbush initiates CREE (op)
Key Research: Citi ... Consumer Comfort @ 9:45am
Fed Speakers: Bullard @ 8pm (St. Louis)
Conferences: Wells TMT (NYC), BMO Digital Media (NYC), Stifel Midwest One-on-Ones (Chicago)
EFTA00401940
Analyst/Investor Days: PEI, K, XXIA
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401937.pdf
EFTA00396065Set 9
2013-02-087p1,998w
Close: FUBC, MTGE, SYUT
Economic Data: Trade Balance @ 8:30am, Wholesale Inventories @ 10am
Conferences: BMO Infrastructure & Utilities (Toronto)
Analyst/Investor Days: HAS, GLW, MAT
Non-Deal Roadshows: BOKF, DEPO, DSPG ... AMAT, CSCO, MDLZ, WFM)
Thursday: G20 Fin Min/CB meeting (Feb 14-15), BMO Auto Finance Conference (Toronto), Earnings (APA, BWA, DISCA,
GM, PEP, TAP, WM)
Friday: Empire Manufacturing
https://www.justice.gov/epstein/files/DataSet%209/EFTA00396065.pdf
EFTA02710272Set 11
2015-05-295p1,200w
York, NY —=20O6-2011
Lower middle market private equity firm; spun off from BMO =apital Markets with a team of 18 in 20O6.
Chief Financial Officer and Vice President ... Jersey.
Accomplishments
• =/span>Led successful transition of accounting, finance, operations, =nd tax functions from BMO Capital
Markets to Halyard Capital =anagement; quickly established all formal accounting policies, internal =ontrols
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02710272.pdf
EFTA00390481Set 9
2013-05-157p2,139w
Wells downgrades RGP & initiates UIL (op)
•• Baird initiates LNKD (neut), Opco downgrades RENN, BMO upgrades ARO/PSB, Longbow cuts MOLX
•• Raja downgrades BC, CS cuts CLX & upgrades RBC, Evercore initiates ... Global Energy & Utilities (Boston), Bofa Global Transportation (Boston)
Conferences: Bofa Metals and Mining (Barcelona), BMO Farm to Market (NYC)
Analyst/Investor Days: SPWR, SAP
Non-Deal Roadshows: APR ARTC
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390481.pdf
EFTA00376741Set 9
2014-01-088p2,248w
Research:
Bofa upgrades IART & cuts TCS, Barcap cuts HUMIMGLN, Berenberg cuts VECO
• BMO downgrades LLY, BTIG initiates BSX/ELGX/STJ (buy) & MDT (neut)
•• Compass point downgrades KFN, CRT initiates RGRISWHC ... PDCE/MCD/PNRA, UBS initiates BWLD (buy) & CAKE/MCD (neut) & DRI (up)
• JPM downgrades CAH/CLX & upgrades RAH, BMO downgrades LLY/INGR,
• RBC upgrades HP/ROC, Citi upgrades HON, Baird initiates GEVA, Raja downgrades THC
• Stifel
https://www.justice.gov/epstein/files/DataSet%209/EFTA00376741.pdf
EFTA02113512Set 10
2014-02-258p2,046w
Reporting Pre-Open: AMT, EXPD, FE, HD, M, ANFI, ARIA, ASTE, AYR, BLMN, BMO CN, CAS,
CBRL, CBRL, CRZO, CTG, DPZ, DRH, EME, EXH, EXLP, FCH, FNP, GLDD ... P/Case-Shiller Home Price Index @ 9am, Consumer Confidence! Richmond Fed
Manufacturing Index © 10am
Conferences: BMO Metals and Mining (Hollywood, FL), Citi Global Healthcare (NYC), JPM High Yield
& Leveraged Finance (Miami)
Conferences
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02113512.pdf
EFTA02120415Set 10
2013-12-119p2,318w
neut) and ERIC (buy) & cuts AVNR
▪ B. Riley initiates OSTK (neut), Raja upgrades CRL, BMO cuts MWV, Wells upgrades RDWR
• Jefferies initiates DDD/SSYS/XONE (buy) & VJET/ARCM SS (hold), Janney initiates EOPN ... Budget Statement @ 2pm
DOE crude oil inventories © 10:30am
Conferences: UBS Media & Communications (NYC), BMO Tech, Media, & Entertainment (NYC), GS
Fin Services (NYC)
Conferences: JPM SMid Cap (Chicago), Opco Healthcare
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02120415.pdf
EFTA00407579Set 9
2012-08-026p1,928w
downgrades VE,
GS initiates AVGO (neut)
Key Research: RBC downgrades OC, CS upgrades RAH, BMO upgrades WMGI, Macquarie upgrades LPL,
Bofa cuts MGM
Key Research: Longbow downgrades HOG & initiates WERN/KNX ... 30am, Bloomberg Consumer Comfort / ISM New York PMI @ 9:45am, Factory Orders @
10am
Conferences: BMO Biotech Corporate Access Day (SF)
Analyst/Investor Days: KRA, COLM
Non-Deal Roadshows: AGCO, AIXG
https://www.justice.gov/epstein/files/DataSet%209/EFTA00407579.pdf
EFTA00387400Set 9
2013-07-177p1,921w
trading -2%)
EFTA00387400
• Packaging Corp O2 net +43% helped by higher costs & solid guidance (BMO cuts) (trading +3%)
• L'Oreal O2 broadly inline, sales growth below, luxury decelerated, FY unchanged ... TAYC/MBFI
•• FBR upgrades ADBE, Baird upgrades BWA, Canaccord downgrades GSS (sell)
•• Raja downgrades ININ, BMO cuts PKG, Williams Capital cuts NVE
Europe Key Research:
• CS downgrade ULVR LN, JMAT
https://www.justice.gov/epstein/files/DataSet%209/EFTA00387400.pdf
EFTA02128729Set 10
2013-09-138p1,870w
DRWI, TCFC, FLTX, MKTO, EMKR, TDC
DC
IPO's: N/A
US Key Research:
• BMO downgrades ALU, Brean upgrades CPIOVVGL (buys), Cantor initiates LH (buy)
CS upgrades WFT/SWY/LULU & cuts ... Events Next Week
Monday: Japan & Malaysia closed for holiday, Empire Manufacturing, US Aug IP, BMO Real Estate
Conference (Chicago), MS Industrials & Autos Conference (Laguna Beach)
Tuesday: CPI, TIC Flows, NAHB
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02128729.pdf