EFTA02149039Set 10
2013-01-308p1,848w
Decision @ 2:15pm*"
***BA, HCBK, HES, LLL, MPC, MWV, NOC earnings pre-open—
***AVG, CTXS, EA, FB, JDSU, LVS, MUR, O1, OCOM #'s post close***
EFTA_R1_00808717
EFTA02149039
• Amazon ... SLAB, SMED, SPILL, STBZ, TCB, UTL, VLY,
WRLD
Reporting Post-Close: AMP, AVB, COP, CTXS, EA, FB, JDSU, MUR, O1, QCOM, AFOP, ALGN,
ALGT, AMCC, AOSL, ATW, AVNW, BRKL, BVSN
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02149039.pdf
EFTA00370756Set 9
2014-04-247p2,191w
hours strength in the US
following earnings beats from the likes of AAPL, FB, CTXS, TXN, etc. On the M&A front, Alstom +13% on
the Bloomberg story that ... AXIS SS #'s inline — KESBV FH #'s light — KCR1V FH #'s weak
Secondaries (announced/priced): CTXS ($1.25B convert), HEAR, NSLP, AGIO, HASI, SXCP, YGE, TNP, SRPT
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370756.pdf
EFTA02107482Set 10
2014-04-248p2,185w
hours strength
in the US following earnings beats from the likes of AAPL, FB, CTXS, TXN, etc. On the M&A
front, Alstom +13% on the Bloomberg story that ... inline — KESBV FH tt's light — KCR1V FH Ns weak
Secondaries (announced/priced): CTXS ($1.25B convert), HEAR, NSLP, AGIO, HASI, SXCP, YGE,
TNP, SRPT
IPO's: N/A
US Key Research
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02107482.pdf
EFTA02101572Set 10
2014-07-239p2,236w
CHKP,DAL,DOW,EMC,FCX,GD,NSC,NOC,PEP reports preopen•"
***T,AVB,CA,CTXS,CCIETFC,FFIV,FS,FLS,GILD,ILMN,C)COM,TRIP #'s post close***
EFTA ... SEIC, SLGN, SCL, MDCO, TUP, UTL, YDKN
Reporting Post-Close: AIZ, T, AVB, CA, CTXS, CCI, ETFC, EFX, FFIV, FB, FLS, GILD, ILMN, MAC,
NXPI, ORLY, QCOM, TMK, TSCO, TRIP
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02101572.pdf
EFTA00402020Set 9
2012-11-096p1,838w
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 (mp) & upgrades CCOI, Piper
https://www.justice.gov/epstein/files/DataSet%209/EFTA00402020.pdf
EFTA00414887Set 9
2012-04-235p1,514w
cash rate, Earnings (BA,
CAT, GLW, GD, DPS, HST, LO, S, SAP GR, CTXS)
Thursday: Chicago Fed Nat Activity Index, Pending Home Sales, Kansas City Manufacturing,
Japan CPI & IP, Earnings
https://www.justice.gov/epstein/files/DataSet%209/EFTA00414887.pdf
EFTA00387192Set 9
2013-07-187p2,112w
initiates UA (op), Bernstein initiates FOXA (op), B. Riley initiates GUID (buy)
• Raja downgrades CTXS, RBC initiates VTG, DB upgrades LNC/MET (buy), Citi initiates HCN (neut)
• Wells initiates CHUY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00387192.pdf
EFTA00433604Set 9
2011-05-254p1,352w
Communications/Media & Tech (NY), Macquarie Global Energy
Analyst/Investor Days: ARW, PSSI, SFG, TMO, ARCC, YROO, CTXS, MSFT
Non-Deal Roadshows: ADPI, AGN, ALLT, ALTH, ALTR, APC, APEI, AUTH, CALL
https://www.justice.gov/epstein/files/DataSet%209/EFTA00433604.pdf
EFTA00397049Set 9
2013-01-257p2,119w
Blackberry 10, ADP Employment Change, Earnings (BA, MPC, NOC, ROK, COP, CTXS, FB, MUR, QCOM)
Thursday: Spain short-selling ban set to expire after the close, Chicago PMI, Personal Income
https://www.justice.gov/epstein/files/DataSet%209/EFTA00397049.pdf
EFTA02121389Set 10
2020-11-139p2,210w
FFIV, ACIW, NUVA, LGND, ALK, ROK
Non-Deal Roadshows: ATE, BBT, CIT, COV, CRNCY, CTXS, DWA, ENS, EXAR, FARM, FULT, IG,
IMAX, INCY, LMT, MOSY, MPWR, NTAP, NVDA, OMEX
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02121389.pdf
EFTA02123847Set 10
2013-10-3110p2,550w
Conferences: No major conferences
Analyst/Investor Days: TQNT, EW, NMM
Non-Deal Roadshows: ASC, BABY, CTXS, CVLT, GSVC, LPTN, REX, SLH, SNN, TSI, USG, XOOM
Shareholder Meetings: CMRE, DRYS, ORIG, PIKE
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02123847.pdf
EFTA00414851Set 9
2012-04-206p1,746w
cash rate, Earnings (BA,
CAT, GLW, GD, DPS, HST, LO, S, SAP GR, CTXS)
Thursday: Chicago Fed Nat Activity Index, Pending Home Sales, Kansas City Manufacturing,
Japan CPI & IP, Earnings
https://www.justice.gov/epstein/files/DataSet%209/EFTA00414851.pdf