EFTA00361841Set 9
2014-09-246p1,819w
neut) and SRPT (op), Brean initiates WGBS (buy)
•• GS downgrades MDVN/ASNA & upgrades SAGE/WX (buy), Exane initiates ALV (op)
•• • Citi initiates STT (buy) and BK/NTRS (neut), JMP upgrades MRVL, JPM downgrades ... initiates IMS (buy), William Blair upgrades FCN
Europe Key Research:
•• MS upgrades RIO LN, Exane downgrades EKTAB SS, Kepler initiates NHY NO (b) & SIK VX (reduce)
•• • Commerzbank upgrades ... POLY LN from least preferred list, DB downgrades OGKE RX
•• Citi downgrades RMV LN, Exane initiates ALIV SS (op), Bernstein upgrades REL LN, Macquarie downgrades TSCO LN
• Davy upgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00361841.pdf
EFTA02096339Set 10
8p1,817w
neut) and SRPT (op), Brean initiates WGBS (buy)
• GS downgrades MDVN/ASNA & upgrades SAGE/WX (buy), Exane initiates ALV (op)
Citi initiates STT (buy) and BK/NTRS (neut), JMP upgrades MRVL, JPM downgrades ... initiates IMS (buy), William Blair upgrades FCN
Europe Key Research:
• MS upgrades RIO LN, Exane downgrades EKTAB SS, Kepler initiates NHY NO (b) & SIK VX
(reduce)
• Commerzbank upgrades ... POLY LN from least preferred list, DB
downgrades OGKE RX
Citi downgrades RMV LN, Exane initiates ALIV SS (op), Bernstein upgrades REL LN, Macquarie
downgrades TSCO LN
• Davy upgrades
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02096339.pdf
EFTA02120823Set 10
2013-11-279p2,140w
downgrade YAR NO, GS initiate ELI BB (n), HSBC downgrade MOBB
BB
• Exane initiate CGG FP (op), SUBC NO (op), WG/ LN (op), PFC LN (n), SDRL ... Exane initiate TEC FP (n), AMEC LN (up), Oddo downgrade RCO FP, UBS downgrade MTX GY,
MTO LN
JEFF initiate BREE LW (b), TYMN LN (b), MLSH LN (h), KepChev
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02120823.pdf
EFTA02134627Set 10
8p1,943w
BVIC LN, JPM initiates GN DC (ow) & downgrades HSV LN, DB upgrades VOD
LN
• Exane downgrades HNR1 GY & MUV2 GY, Kepler says stay underweight Telecom sector, Kepler
reits sell PSON ... Exane upgrades SDR LN, Commerzbank upgrades DEX GY and downgrades G1A GY, CS reits buy
TSCO LN
• Nomura downgrades HEIA NA, MS assumes coverage: EDPR
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02134627.pdf
EFTA00417391Set 9
2012-03-195p1,439w
upgrades NUE/STLD (buy's)
Key Research: Enskilda downgrades HMB SS, HSBC downgrades AIXA GY/VIP, Exane positive LLOY
LN
Key Research: Berenberg upgrades IFX GY, Exane upgrades ANTO LN, Jefferies upgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00417391.pdf
EFTA00388080Set 9
2013-07-037p2,034w
downgrade DOM LN
•• JPM downgrade BMW GY, APPC AB, upgrade PETROCH AB, NOK1V FH, Exane downgrade FME GY
• Nomura upgrade ELI1V FH & downgrade TEL2B SS, Carg upgrade GETIB SS, Exane
https://www.justice.gov/epstein/files/DataSet%209/EFTA00388080.pdf
EFTA00388231Set 9
2013-06-287p1,959w
BVIC LN, JPM initiates GN DC (ow) & downgrades HSV LN, DB upgrades VOD LN
• Exane downgrades HNR1 GY & MUV2 GY, Kepler says stay underweight Telecom sector, Kepler reits sell PSON ... Exane upgrades SDR LN, Commerzbank upgrades DEX GY and downgrades G1A GY, CS reits buy TSCO LN
• Nomura downgrades HEIA NA, MS assumes coverage: EDPR
https://www.justice.gov/epstein/files/DataSet%209/EFTA00388231.pdf
EFTA00397162Set 9
2013-01-237p2,279w
upgrades VZ (buy), MS & Bernstein cuts SNV, Bernstein upgrades COST
EFTA00397164
Europe Key Research:
• Exane Iberian Utilities: (reinitiate o/p EDP PL & GAS SM , neutral EDPR PL, u/p ANA SM, EGPW ... Exane upgrade MPI LN, GS upgrade SGSN VX, Cantor initiates IHG LN &AC FP (buys)
• JPM downgrades (BDEV LN, BWY LN, BVS LN, RDW LN, TW/ LN), SocGen downgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00397162.pdf
EFTA02135512Set 10
2013-07-038p2,038w
downgrade
DOM LN
JPM downgrade BMW GY, APPC AB, upgrade PETROCH AB, NOK1V FH, Exane downgrade FME
GY
• Nomura upgrade ELI1V FH & downgrade TEL2B SS, Carg upgrade GETIB SS, Exane
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02135512.pdf
EFTA02105754Set 10
2014-06-048p1,913w
TIBX, BMO upgrades CP, Mizuho cuts TIBX
Europe Key Research:
Investec downgrades IMI LN, Exane downgrades SHBA SS, Kepler downgrades EN FP & upgrades
TNTE NA
• Jefferies initiates ... initiates DORIAN NO (buy), Evli upgrades AMAS FH & downgrades AKTAV FH, Exane
upgrades SPM IM
• GS downgrades SOL SJ & PFV GR, HSBC downgrades BARC LN & upgrades FUM1V FH
JPM upgrades
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02105754.pdf
EFTA01593202Set 10
2006-05-0151p5,688w
05/22 BOUGHT
03 05/22 BOUGHT
7,741 DEUTSCHE POST AG
CORRECTION
DONE AT EXANE, INC.
7,840 DEUTSCHE POST AG
CORRECTION
DONE AT DEUTSCHE BNK/ALEX
BROWN
5,500 DEUTSCHE POST ... 05/26 BOUGHT
QUANTITY DESCRIPTION
-200,000 KFW 0.5 02/03/10
00.5000 02/03/2010
DONE AT EXANE, INC.
-200,000 KFW 0.5 02/03/10
00.5000 02/03/2010
DONE AT DEUTSCHE BNK/ALEX
BROWN
MARK TO MARKET
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01593202.pdf
EFTA02121969Set 10
2013-11-129p2,327w
Barc initiate FCAM LN (uw), Cana downgrade CSN LN
• DBK upgrade EDP PL, Exane upgrade SHB LN, GS upgrade EUR PW, downgrade RBS LN
HSBC upgrade AFX GR, STR3
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02121969.pdf
EFTA02148758Set 10
2013-02-129p2,266w
insurance: (ALV GY (b), CS FP (h), ZURN VX (h)) downgrade VMED LN
• Exane downgrade SDRL NO, upgrade SUBC NO, initiate WG/ LN (op), PFC LN (n), AMEC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02148758.pdf
EFTA02154660Set 10
2012-11-235p1,209w
initiates LYD CN (op)
Key Research: DNB upgrade SONG NO, ABN upgrade AH NA, Exane upgrade PNN LN, Macq upgrade
ENI IM
Key Research: Nordea downgrade ALMB DC, Natixis initiate
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154660.pdf