EFTA02123600Set 10
2013-10-299p2,436w
ACPW, AEGN, AFG, AJG, ANEN, ARTC, AZPN, BBOX, BGFV, BTUI, BUSE, BWLD,
BXMT, CACI, CALX, CAP, CBI, CBT, CCUR, CERS, CLD, CRL, CRUS, CSFL, CSGS, CVD, CYNI
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02123600.pdf
EFTA02111491Set 10
8p1,850w
upgrades PAY
Jefferies downgrades AMRE, MS downgrades AEP, Stifel downgrades SNTA
GS upgrades CALX and RAD/INFN/MCK (buy) & cuts ABC/MSI, KBW upgrades HTGC
• Piper assumes INVN/ISIL/SLAB (ow), CS upgrades PMC & cuts
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02111491.pdf
EFTA02106578Set 10
2014-04-298p2,307w
ANIK, APAM, ARI,
ATM, AXS, AZPN, BBRG, BCRH, BGFV, BOOM, BSAC, BTUI, BXMT, CACC, CALX, CAP, CCG,
CCUR, CEB, CEMP, CGI, CHE, CLD, CLUB, CMRE, CNQR, COLM, CRAY, CSCD, CTIC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02106578.pdf
EFTA00396305Set 9
2013-02-057p2,340w
CERN, CME, CMG, DIS, EQR, EXPE, FISV, GNW, KIM, UNM, AEC, AKR, ALTE, BMR,
CALX, CBL, CPTS, CSCD, CYTK, EMKR, ENTR, EPM, FLXS, GLUU, HAIN, HBI, HMN, HNI, INFN, JIVE
https://www.justice.gov/epstein/files/DataSet%209/EFTA00396305.pdf
EFTA00407720Set 9
2012-07-317p2,168w
AFFX, AHC, AJG, AMRS, ATML, AQH, AXS, BBOX, BERG, BGFV, BOOM, BRE, ETUI, BVN,
CALX, CATM, CBT, CCG, CECO, CHEF, CHSP, CLD, CNL, CNW, CODE, CPTS, CRAY, CSCD
https://www.justice.gov/epstein/files/DataSet%209/EFTA00407720.pdf
EFTA00433604Set 9
2011-05-254p1,352w
NOVA, TAP, THOR, VGR, TOWN, CLNE, DEI, FPTB,
FSLR, OFI, PPBI, VMW, HNRG, ABR, CALX, CBNK, CBU, NECB, SURW, CYBI, SFLY, KAI, HCII, MSL,
RCKY, SPRT, NG, SOQ, QBC
EFTA00433605
https://www.justice.gov/epstein/files/DataSet%209/EFTA00433604.pdf
EFTA02119766Set 10
2013-12-027p1,830w
BioFest (Boston), Bofa Leveraged Finance (Boca Raton)
Analyst/Investor Days: VALE
Non-Deal Roadshows: ASH, CALX, DCI, IMAX, INGR, KERX, MHK, MILL, OSUR, PGH, VTNR,
SGMO, RATE
Shareholder Meetings: STM, CMGE
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02119766.pdf