EFTA02123600Set 10
2013-10-299p2,436w
CERS, CLD, CRL, CRUS, CSFL, CSGS, CVD, CYNI,
DAC, DLB, DLR, DWA, EEP, ENTR, EXAR, FALC, FEIC, FLEX, FSP, GPRE, HCC, HGR, HIW, IACI,
INVN, IPHI, ISSI, KFRC, KTCC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02123600.pdf
EFTA02122294Set 10
2013-11-139p2,367w
AMSF, APP, ARI, ARTX, ATE, BIOS, CEMI, CGEN, COV, CRNCY,
CTRL, DNR, EIG, ENS, EXAR, FARM, FLO, GIVN, HBAN, KEY, LLY, LNKD, MDC, MEAS, MLHR,
MOSY, MOVE
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02122294.pdf
EFTA02107535Set 10
2014-05-057p1,601w
Reporting Pre-Open: OXY, PFE, SYY, TSN, ALCS, ALX, AMP, AUXL, BCPC, BIP, BSFT, EXAR,
FRM, FSTR, GSM, INFU, IVR, KOP, KOS, NGS, NHI, NSSC, OWW, PETS, QLTY, RLGY, TESO
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02107535.pdf
EFTA02113512Set 10
2014-02-258p2,046w
EFTA02113515
Non-Deal Roadshows: ABB, AMCC, ARAY, ASUR, CIG, DCI, ECHO, EL, EPM, EXAR, FLWS, HA,
HAIN, HLIT, MRVL, OSK, PSTI, R, RDWR, SYNA, TLOG, TOT, WETF, WNC, WWE, ROOM
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02113512.pdf
EFTA02090749Set 10
2014-11-187p1,856w
AKRX, AMCX, AIRS,
AVD, AWAY, CAH, CARB, CPHD, CSGP, CSII, CTCT, BRIT, ELLI, EVOL, EXAR, FXCB, G, GIMO,
GLW, HELE, HGR, HLSS, HSIC, HSN, IEX, INWK, ISIS, KAR, LIOX, MODN
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02090749.pdf
EFTA02121389Set 10
2020-11-139p2,210w
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, POL, PXLW, RFMD
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02121389.pdf
EFTA00407579Set 9
2012-08-026p1,928w
shares priced at $11.50
Key Research: DB downgrades DRYS & upgrades RNR, Stifel initiates EXAR (buy), Bofa
downgrades FMS
Key Research: Piper downgrades HRC/HOTT, Baird upgrades FSLR & downgrades ANF, Citi
downgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00407579.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
EFTA00414089Set 9
2012-05-036p2,104w
CPIX, CUBE, DLB, DOLE, DRC, DRIV, DRRX, EBS, EGO,
EIHI, ENOC, ERIE, ESC, EXAR, EXEL, EXM, FACE, FALC, FFG, FSR, FURX, GSIT, GUID, GXP, HAIN,
HAYN, HCCI, HEK, HME, HTSI
https://www.justice.gov/epstein/files/DataSet%209/EFTA00414089.pdf
EFTA00390701Set 9
2013-05-088p2,645w
MEOH, MFLX, NLSN, NOAH, NVO, NXPI, OMN, PPC, RNST, RTIX, SEAC, SPG, WLP, WYN, EXAR
Shareholder Meetings: CBI, CNO, DNB, OPTR, KWR, RGC, TCAP
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390701.pdf
EFTA02145166Set 10
2013-03-148p2,074w
BAESY, BCE, CARB, CDE, CMWAY, BRUS, CY,
DAN, DMD, DTLK, ENH, EPR, EQIX, ET, EXAR, FOR, HBHC, ICUI, INWK, IPXL, IRF, ISS, MDT,
MWA, NEU, NOG, NQ, PCOM, R, RATE
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02145166.pdf