EFTA00435925Set 9
2011-04-064p1,245w
RGNC
Non-Deal Roadshows: ABMD, ACET, ALG, CAR, CCJ, CVS, EPM, EWBC, FFIC, FRC, GLPW, GVP, HGSI,
HI, III, ISTA, ITG, KMGB, LNDC, LXRX, MITL, PANL, PFS, PGN, SGMO, SHOO
https://www.justice.gov/epstein/files/DataSet%209/EFTA00435925.pdf
EFTA00387400Set 9
2013-07-177p1,921w
SNDK, XLNX, AF, ALB, BPFH, CATY, CCK, CLB, CNS,
CVA, CVBF, CYS, EPB, EWBC, GHL, HNI, JAKK, KMP, KMR, LHO, PCBK, PLXS, PTP, RLI, SCSS, STLD, UFPI, UMPQ,
ZHNE
Economic
https://www.justice.gov/epstein/files/DataSet%209/EFTA00387400.pdf
EFTA00407451Set 9
2012-08-016p2,004w
Deal Roadshows: AGCO, AIXG, ALB, ALTR, AOS, ARMH, ASBC, AYI, BBT, CASH, CLSN, COL, EWBC,
F, FET, FFIC, GHM, HF, IART, INTU, IPHI, JPM, LCAV, NSPR, NU, PBCT, PRK, PTEN
https://www.justice.gov/epstein/files/DataSet%209/EFTA00407451.pdf
EFTA00397162Set 9
2013-01-237p2,279w
SLTM, WSR, AF, BANR, BXS,
CATY, CBST, CGI, CMRE, CNS, EGBN, EWBC, EXAR, FBC, FNB, GHL, HRC, HXL, INVN, ISSC, LOGI, MLNX, NVEC,
OCFC, PBNY, PLCM, PMTC, RJF, RLI, SUSQ
https://www.justice.gov/epstein/files/DataSet%209/EFTA00397162.pdf
EFTA00370915Set 9
2014-04-166p1,831w
PBCT, SLM, SNDK, AF, ALB, BAP, BGS, BMI, CATY, CCK, CNS,
EFII, EGP, EWBC, FLXS, GOOG, HBHC, HNI, KMP, KMR, KSU, NSR, PCBK, PTP, RLI, STLD, TPLM, UFPI, URI
Economic
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370915.pdf
EFTA00407720Set 9
2012-07-317p2,168w
Analyst/Investor Days: N/A
Non-Deal Roadshows: ALB, ALTR, AVAV, AYI, CELG, CMA, COL, COP, EWBC, FET, GHM, GPC, INTU,
KMX, MOG.A, NSPR, RTN, SANM, SQNS, WAG, WPI
Shareholder Meetings: MTOX
https://www.justice.gov/epstein/files/DataSet%209/EFTA00407720.pdf
EFTA00425821Set 9
2011-10-195p1,652w
BANR, BWLD, CAKE, CATY, CBST, CLB, CNS, COHU, CRUS, CVA, CVBF, CYS, DTLK, EGHT, EWBC,
EXPO, FNB, FNF, FWRD, GHL, GLF, HCCI, HNI, IEX, KMP, LHO, MCRI, MKSI, NE, NVEC
https://www.justice.gov/epstein/files/DataSet%209/EFTA00425821.pdf
EFTA00433419Set 9
2011-05-244p1,388w
DBLE, DGLY, BRE, KRC, ELON, NTGR, PFBC, CLI, PMD, ANCX, FCLF, VPFG,
OMCL, TSRA, EWBC, DL
EFTA00433420
Equity/Mixed Shelfs: APA
Other Newspaper Articles & Stories
WSJ positive: McDonalds
https://www.justice.gov/epstein/files/DataSet%209/EFTA00433419.pdf
EFTA02154470Set 10
2012-11-157p1,892w
through Gifford
Key Research: DB initiates WPRT (buy), Piper upgrades HOTT, Wells upgrades EWBC & initiates
HAR (mp)
Key Research: CLSA upgrades BHI and HAL (buy), GS cuts CVC, Raja upgrades
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154470.pdf
EFTA02114961Set 10
2014-02-048p2,280w
Terminals (WPT), Midstream Partners (QEP)
US Key Research:
Barcap initiates GLYC/GASS (ow), DB upgrades EWBC (buy), Barrington upgrades ANGI
• Jefferies downgrades SLCA & upgrades PFE (buy), Jefferies & Stifel initiates GLYC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114961.pdf