EFTA00293598Set 9
2012-09-072p1,217w
profit.
Last month, we also finished covering our short position in GSV Capital (NASDAQ GSVC), which has been
our largest winner on the short side of the portfolio this year ... GSVC is a small cap, publicly traded
venture capital fund with holdings in pre- and post-IPO tech firms, such as Twitter, Dropbox, and, most
notably, Facebook. We shorted GSVC ... Facebook IPO. Given the considerable enthusiasm ahead of Facebook's IPO, we believed that GSVC had
traded up as a result of people looking for any possible way to participate
https://www.justice.gov/epstein/files/DataSet%209/EFTA00293598.pdf
EFTA02105754Set 10
2014-06-048p1,913w
Janney Tech Bus Tour (Silicon Valley)
Analyst/Investor Days: CIE, CMP, PRU, IL, SCG, LTM, GSVC
Non-Deal Roadshows: ABTL, ACCO, AFSI, AJG, ALLT, APEI, AVT, BOH, BONE, CAS, CATM,
CIMT ... FDUS, NYCB, VSI, PWE, AAOI, MTDR, P, WNR, WBR, EGY, LGND, QCCO, RP,
Z, GSVC, AMBA, BMRN, CAB, LF, IM, TAP, PMT, EQIX, HTWR, LVS, QLYS, TECD, SPRT, CSOD,
RKUS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02105754.pdf
EFTA00370849Set 9
2014-04-226p1,752w
assumes NKTR/PCRX/SHPG/SLXP/TEVANRX (buy) & AGN/SGNT/SUPN (hold)
•• KBW upgrades LION, Raja initiates ERIC (mp), Roth initiates GSVC (buy)
•• Stifel initiates EVDY (buy), Citi upgrades AZN (buy), Piper assumes RKUS (ow)
EFTA00370850
• Stifel ... sell), Raja upgrades MAIN/RUTH and GRGI (strong buy) and cuts DFRG
• Roth initiates GSVC (buy), BMO upgrades HD, B. Riley initiates IMMR (buy)
• Evercore upgrades INTU, Steme initiates SYNA
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370849.pdf
EFTA02122552Set 10
2013-11-0710p3,010w
ENSG, EPAM, EZPW, FARM, FC, FDUS, FEYE, FF, FUEL, FXXEN, GAZA,
GERN, GLPW, GPRN, GSVC, GXP, HASI, HE, HTGC, IDSY, Ill, IL, INFI, INVE, JJSF, JOE, KCAP,
KTOS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02122552.pdf
EFTA02123847Set 10
2013-10-3110p2,550w
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, WBMD, CEMI
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02123847.pdf
EFTA00380436Set 9
2013-10-308p2,669w
Analyst/Investor Days: JBL, KR, MAT
Non-Deal Roadshows: BDSI, CA, CASY, CVLT, DTLK, GME, GSVC, IRBT, LTM, PLXS, PSDV, SLH, SONS, STT, TXI,
XOOM, HA
Shareholder Meetings
https://www.justice.gov/epstein/files/DataSet%209/EFTA00380436.pdf
EFTA00390701Set 9
2013-05-088p2,645w
EXAM, FLTX, FSC, GCOM, GIVN, GMCR,
GNMK, GROW, GRPN, GSIG, GSS, GSVC, HALO, HE, HEK, HNSN, HTHT, IL, IMMU, INTL, IPAR, IPAS, JCOM, JOW,
KERX, LCI, LGND, LHCG, LPSN, LRAD
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390701.pdf