EFTA00390625Set 9
2013-05-137p1,926w
Research:
•• Citi upgrades BEN (buy), FWM initiates FWM (op), DB cuts AZ, Barcap upgrades HIG & cuts MLNX
EFTA00390626
•• GS cuts CTRIP (neut), Jeff upgrades ESRX/DFT (buys), KBW upgrades APO & cuts ... downgrades HIW & upgrades PCYC/CDNS, Barcap upgrades AIG, Key upgrades OC
•• UBS assumes BEN (buy) & IVZ/CG (neut's) & downgrades CHRW, MS & Barcap upgrades GLW
• CS upgrades SONM, Brean downgrades SWX
Europe
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390625.pdf
EFTA00355983Set 9
2014-12-236p1,621w
through RBC, Canaccord, and BMO
US Key Research:
• Ascendiant initiates JCI (buy), Barcap initiates AXTA (ew) & reinstates FLT (ow), CS initiates FUN (op), Wells initiates
SONS (op)
• Drexel initiates ... Drexel Hamilton initiates
CRM (hold)
Europe Key Research:
• Banca Akros upgrades CVAL IM, Barcap initiates IEH LN (ew), Bryan Gamier downgrades SOI FP, Handlesbanken cuts
DNB NO/RCL
• Exane cuts
https://www.justice.gov/epstein/files/DataSet%209/EFTA00355983.pdf
EFTA02148758Set 10
2013-02-129p2,266w
trading -1.6%)
• Barclays O4 below on higher impairments and costs, 3700 job cuts, BarCap solid (trading +3.9%)
• Michelin O4 volumes miss, FCF strong, stable outlook, pricing ongoing concern (trading ... Research:
• Bernstein downgrades FB, Avondale upgrades NWY, Multiple brokers initiate CONE & resume CBB
• Barcap reinstates CHK/DD/PPG (ew's) & assumes IDCC (ew) & initiates LGCY (ow)
• Evercore upgrades DLR/ARE & downgrades
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02148758.pdf
EFTA00414851Set 9
2012-04-206p1,746w
downgrades FHN
Key Research: JPM upgrades BRO & downgrades MMC, JMP initiates SYNM (mp), Barcap re-
initiates PAA/ETE (ow's)
Reporting Pre-Open ... Rhode Island, Delaware, NY & PA), S&P/CaseShiller Home Price
Index, Richmond Fed Manufacturing Index, Barcap Retail and Restaurant Conference (NYC),
Earnings (ALXN
https://www.justice.gov/epstein/files/DataSet%209/EFTA00414851.pdf
EFTA00390481Set 9
2013-05-157p2,139w
Esperion Therapeutics (ESPR) files for $70M through Credit Suisse and Citigroup
US Key Research:
• Barcap assumes NYX/AMTD (ew's) & JNS/WDR/ETFC/SCHW (uw's) & reinstates FXCM (ow)
• Citi upgrades ... reinstates SWY (sell) & downgrades GLNG (sell), Barcap cuts WDR
• Piper initiates HALO (ow) & PDLI (neut) & cuts EAT, Wells downgrades RGP & initiates UIL (op)
•• Baird initiates LNKD (neut), Opco downgrades RENN
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390481.pdf
EFTA00414887Set 9
2012-04-235p1,514w
respectively earnings expected 4.25
Secondaries (announced/priced): N/A
IPO's: N/A
Key Research: Barcap upgrades HTWR/AZN LN & downgrades NOVOB DC, BMO downgrades CHSI
Key Research: JPM upgrades ARM LN & initiates ... Rhode Island, Delaware, NY & PA), S&P/CaseShiller Home Price
Index, Richmond Fed Manufacturing Index, Barcap Retail and Restaurant Conference (NYC),
Earnings (ALXN
https://www.justice.gov/epstein/files/DataSet%209/EFTA00414887.pdf
EFTA02112117Set 10
2014-03-118p2,090w
Petroleum launches IPO ($500M)
IPO's (lock-up expires): RetailMeNot (SAE)
US Key Research:
• Barcap initiates MGIC (ew), Canaccrod initiates DXLG (buy), UBS initiates TMH (buy)
Ascendiant initiates NEON/RFMD/SWKS/TWNT/TSEM/TXN ... Musculoskeletal (New Orleans), ISI Industrials
(NYC)
Conferences: Bota Consumer & Retail (NYC), Piper TMT (NYC), Barcap Healthcare (Miami)
Analyst/Investor Days: EFX, DLPH, MMC, AIZ, CVX, SXC, SXCP
Non-Deal Roadshows
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02112117.pdf
EFTA02090749Set 10
2014-11-187p1,856w
expired): SunEdison Semi (SEMI) 33.2M shares (82.2% of outstanding)
US Key Research:
• Barcap initiates EA (ow) and GIB/OTEX (ow) and CSU CN (ew) & upgrades WMGI, Evercore
downgrades ... HP/PTEN (neut)
Europe Key Research:
Banca IMI upgrades CE IM (buy), Barcap upgrades REP SM & upgrades Euro Telecom Services
industry, DB cuts PNN LN
• Citi initiates
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02090749.pdf
EFTA02106578Set 10
2014-04-298p2,307w
lock-up expiration): Container Store (TCS)
EFTA_R1_00722826
EFTA02106580
US Key Research:
• Barcap upgrades CHH & initiates FIVN (ow), Berenberg initiates CCLJNCHL/RCH (buy)
• GS initiates OPWR (buy), JMP initiates TSLX ... ZLTQ
Economic Data: S&P/Case-Shiller Home Price Index @ 9am, Consumer Confidence Index @ 10am
Conferences: Barcap Retail and Consumer Discretionary (NYC)
Analyst/Investor Days: N/A
Non-Deal Roadshows: AMD, BBRY, CPRX
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02106578.pdf
EFTA02130329Set 10
2013-09-038p1,866w
Secondaries (announced/priced): MNDL, KYN, BAH, EPAM, TEU, EXR
IPO's: N/A
US Key Research:
Barcap upgrades KEG & downgrades ESV & initiates XON (ew), Multiple brokers upgrade NOK
• DB initiates QEPMNUME ... 58am, Construction Spending / ISM Manufacturing & Prices Paid
/ IBD/TIPP Economic Optimism @ 10am
Conferences: Barcap Back to School (Boston), Citi Tech (NYC)
Analyst/Investor Days: N/A
Non-Deal Roadshows: HON, IART, INCY, USPH
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02130329.pdf
EFTA00401614Set 9
2012-11-125p1,435w
upgrades HIW/SLG and BBT (buy) & cuts ARE/KRCNNO, JPM upgrades DTSI & cuts CAT
Key Research: Barcap upgrades ORA, Jeff cuts JNJ/NKTR & upgrades SQNM (buy) MS upgrades TRIP & cuts IQNT
Key Research ... This Week
Tuesday: NFIB Small Business Optimism Index, Bofa Banking & Fin Services Conference (NYC), Barcap Auto Conference
(NYC), MS Global Consumer (NYC), Earnings (HD, TJX, SKS, CSCO)
Wednesday: FOMC Minutes
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401614.pdf
EFTA00357139Set 9
2014-12-096p1,973w
upgrades LECO (buy)
Europe Key Research:
EFTA00357140
• Bofa downgrades BAYN GR/SHP LN/GSK LN/PGHN SW, Barcap downgrades ALV GRIHNR1 GR/MUV2 GR/PHNX LN
& upgrades UNI IM
• Berenberg initiates ... 30pm
Conferences: Raja Systems, Semiconductors, Software & Supply Chain (NYC), UBS Media & Communications (NYC)
Conferences: Barcap Tech (SF), BMO Tech & Digital Media (NYC), GS US Fin Services (NYC), Wells Energy Symposium
https://www.justice.gov/epstein/files/DataSet%209/EFTA00357139.pdf
EFTA00371439Set 9
2014-04-076p1,630w
lock-up expires): Antero Resources (AR), MacroGenics (MGNX) Western Refining (WNRL)
US Key Research:
•• Barcap initiates TRLA (ew), DB upgrades ANNEM & initiates MCHX (buy)
•• GS downgrades CNVR (sell) & initiates ... Europe Key Research:
• Banca IMI upgrades TFI IM, Banco Santander upgrades CABK SM, Barcap upgrades GRT SJ
• Berenberg downgrades OSR GR/ZAG AV/BRBY LN/MONI LN, CS reinstates FP FP (op)
EFTA00371440
https://www.justice.gov/epstein/files/DataSet%209/EFTA00371439.pdf
EFTA00402020Set 9
2012-11-096p1,838w
rights), PRGX, LGCY, TUMI, PAA
IPO's: N/A
Key Research: Janney downgrades DIS, Barcap upgrades HFC & downgrades CTXS, Jeff upgrades MNT/MOH
Key Research: Nomura upgrades MMM, Raja initiates ABMD ... CSOD)
Tuesday: NFIB Small Business Optimism Index, Bofa Banking & Fin Services Conference (NYC), Barcap Auto Conference
(NYC), MS Global Consumer (NYC), Earnings (HD, TJX, SKS, CSCO)
Wednesday: FOMC Minutes
https://www.justice.gov/epstein/files/DataSet%209/EFTA00402020.pdf
EFTA02416307Set 11
2010-10-271p185w
Jeffrey EpsteinUeevacation@gmaii.comj
From: PETER MANDELSON
Sent Wed 10/27/2010 8:27:01 AM
Subject Re: barcap
he is american but taking over whole ofbarclays. Revealed how badly the banks need
strategy/strategist ... 27/10/10, Jeffrey Epstein tevacation@gmaiLcom> wrote:
From: Jeffrey Epstein leevacation@gmail.com>
Subject: Re: barcap
To: "PETER MANDELSON"
Date: Wednesday, 27 October, 2010, 9:23
no
IMAIMISPETER MANDELSON
wrote:
Had a good
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02416307.pdf
EFTA02111491Set 10
8p1,850w
outstanding), Taminco (TAM) 37.2M shares (56.0% of outstanding)
US Key Research:
• Barcap cuts URBN & upgrades GGP/BDN, DB cuts AIG & upgrades PAY
Jefferies downgrades AMRE, MS downgrades AEP, Stifel downgrades ... Beach), JPM Aviation, Transport, & Industrials
(NYC)
Conferences: Bofa Consumer & Retail (NYC), Piper TMT (NYC), Barcap Healthcare (Miami), UBS
Consumer (Boston)
Conferences: GS Agribusiness (NYC), Northland Growth (NYC), Citi Asset Manager
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02111491.pdf
EFTA02114020Set 10
2014-02-198p2,006w
Estate Plc (pricing Feb 26)
US Key Research:
r B. Riley initiates VCRA (buy), Barcap downgrades APL, DNB downgrades GLOG (hold)
Evercore upgrades GOGO (ow), GS upgrades ... Williams @ 7pm (NYC)
Conferences: EnerCom's The Oil & Services Conference 12 (SF), Barcap Industrial Select (Miami)
Analyst/Investor Days: KPN NA, DOV
Non-Deal Roadshows: ACI, ALJ, BKU, CDNS, CI, CPST
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114020.pdf
EFTA02154634Set 10
2012-11-126p1,421w
upgrades HIW/SLG and BBT (buy) & cuts ARE/KRCNNO, JPM upgrades DTSI
& cuts CAT
Key Research: Barcap upgrades ORA, Jeff cuts JNJ/NKTR & upgrades SQNM (buy) MS upgrades
TRIP & cuts IQNT
Key Research ... This Week
Tuesday: NFIB Small Business Optimism Index, Bofa Banking & Fin Services Conference (NYC),
Barcap Auto Conference (NYC), MS Global Consumer (NYC), Earnings (HD, TJX, SKS, CSCO)
Wednesday: FOMC Minutes
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154634.pdf
EFTA02151927Set 10
2013-01-047p1,556w
Baird resumes ACHN/GILD/ITMN (op's) & CBST (neut), Stifel upgrades APKT/ARUN
(buy's)
Key Research: Barcap initiates PSECNVHF (ow's) & MCC/TICC/ABBV (ew's), DB cuts ABT/RUTH &
upgrades TXRH
Key Research: Citi ... upgrades STI (buy)
Key Research: Raja upgrades FST & cuts KEY, CLSA upgrades HRL, Barcap reinstates HUM (ow),
DB upgrades JNJ (buy)
Key Research: JMP initiates EW (mp), Longbow initiates
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02151927.pdf
EFTA02108705Set 10
2014-04-146p1,515w
Credit Suisse, Goldman Sachs, JPMorgan and Wells
US Key Research:
• Atlantic initiates LNKD (ow), Barcap upgrades PANW, DB upgrades BLMN (buy) & cuts MSFT
• ISI upgrades DYN (buy), Jefferies initiates MDWD ... sell), Numis upgrades JLT LN
• DnB downgrades TLSN SS, Barcap downgrades TFG SJ, ING initiates WKL NA/REL LN (hold)
Jefferies initiates EVR LN (hold), Liberum downgrades TEC FP, Mediobanca resumes
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02108705.pdf