EFTA02429600Set 11
2010-02-259p679w
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https://www.justice.gov/epstein/files/DataSet%2011/EFTA02429600.pdf
EFTA00763070Set 9
2010-02-257p672w
redistribute any portion of this
communication. Internet communications are not secure and therefore KBW. Inc. and its affiliates do not accept legal responsibility for the contents of this
message. Although ... product or service, an official confirmation of any
transaction, or an official statement of KBW, Inc. or any of its affuiates. This communication is not intended for distribution ... would be contrary to law or regulation, or which would subject any KBW Inc. or any aft-Cate to any registration requirement
within such location. We do not accept email
https://www.justice.gov/epstein/files/DataSet%209/EFTA00763070.pdf
EFTA00811897Set 9
2018-09-307p2,380w
Mean°
Magian (mandatory convert from preferred) AGN 3/1/18 7,066 - 1,354,623 - _ 0
KBW Re 'mat Bank ETF KRE 11/16/17 9.000 503.167 568.350 534.780 31,613
Carvana CVNA 9/4/18 ... Raytheon RTN 577/18 2,400 491,880 478,560 495,984 4,104
KBW Regional Bank ETF KRE 3/26/18
https://www.justice.gov/epstein/files/DataSet%209/EFTA00811897.pdf
EFTA00811912Set 9
2018-10-317p2,226w
Southern Trust Co. - Equities (Merrill)
KBW Regional Bank ETF KRE 11/16/17 9,000 503,167 534,780 485.910 -17,257
Carvana CVNA 914/18 ... Raytheon RTN 5(7/18 2,400 491.880 495,984 420,096 -71.784
KBW Regional Bank ETF KRE 3/26/18 20,000 1.210.847 1.188.400 1.079.800 -131.047
Total Southern Trust Co. - Equities (Interactive
https://www.justice.gov/epstein/files/DataSet%209/EFTA00811912.pdf
EFTA00407451Set 9
2012-08-016p2,004w
downgrades BMC, Roth upgrades RTIX (buy)
Key Research: W Blair downgrades LMNX, KBW downgrades HPY, Opco downgrades MGRC
Key Research: Imperial resumes BA (in-line) & initiates PCP (op), Miller Tabak ... Spending @ 10am, FOMC Rate Decision @
2:15pm
DOE crude oil inventories @ 10:30am
Conferences: KBW Community Bank (NYC)
Analyst/Investor Days: N/A
Non-Deal Roadshows: AGCO, AIXG, ALB, ALTR, AOS, ARMH
https://www.justice.gov/epstein/files/DataSet%209/EFTA00407451.pdf
EFTA02137279Set 10
2013-06-048p1,909w
MDRX (neut) & CERN (buy), Wells upgrades CMENVAC & initiates IART (mp)
• RBC cuts CP CN/PVH, KBW cuts FDEF, BMO initiates EGN (op), Longbow initiates LSI (buy)
Wells initiates SEAS/MPWR ... China
Summit (Beijing)
Conferences: Jefferies Global Healthcare (NYC), Needham Internet & Digital Media (NYC), KBW
Mortgage Finance (NYC)
Conferences: RBC Communications, Tech, & Semiconductors (Boston), Stephens Spring Investment
Conf (NYC)
Conferences: Bofa
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02137279.pdf
EFTA00414238Set 9
2012-05-046p1,839w
downgrades
DRWI,
Key Research: Dougherty downgrades CBOU, Key initiates HUN (buy), JPM upgrades WFM, KBW cuts
KBW
Key Research: Barcap upgrades ALL/SBH & downgrades PRU, Baird upgrades AHS & downgrades GPRO
https://www.justice.gov/epstein/files/DataSet%209/EFTA00414238.pdf
EFTA00811705Set 9
2018-04-3010p3,046w
Raytheon 3/20/18 3,600 763,284 776,952 737,784 -25,500
KBW Regional Bank ETF (KRE) 3/26/18 ... Corn Inc 10/3/17 20,000 759.982 809,800 730,200 -29 782
KBW Regional Bank ETF (KRE) 11/16/17 9,000 503,167 643,610 554.760 51,593
ON Semiconductor 6/8/17
https://www.justice.gov/epstein/files/DataSet%209/EFTA00811705.pdf
EFTA00798088Set 9
2017-11-0128p11,309w
Global Management's (APO) CEO Leon Black on Q3 2... https:/lseckingalpha.com/article/4119277-apollo-global-manag...
Robert Lee - KBW
Gerald O'Hara - Jefferies
Operator
Good morning, and welcome to Apollo Global Management ... predict it right now.
Operator
Our next question comes from Robert Lee with KBW.
Robert Lee
I guess, Josh, I was curious about, you talked about where you kind
https://www.justice.gov/epstein/files/DataSet%209/EFTA00798088.pdf
EFTA00811866Set 9
2018-08-319p2,586w
3/1/18 7,066 1,515,900 1,300,780 1,354,623 -161,277
KBW Regional Bank ETF KRE 11/16/17 9,000 503,167 553,590 568.350 65,183
Facebook ... Raytheon RTN 57/18 2,400 491,880 475,920 478,580 -13,320
KBW Regional Bank ETF KRE 326/18
https://www.justice.gov/epstein/files/DataSet%209/EFTA00811866.pdf
EFTA00811948Set 9
2019-01-317p2,042w
Asset Description Symbol Date Cost Value Value Gain (Loss)
Southern Trust Co. - Equities (Merrill)
KBW Regional Bank ETF KRE 11/16/17 9,000 503,167 421,110 476,640 -26527
Carvana ... Raytheon RTN 5/7/18 2,400 491,880 368,040 395,424 -96,456
KBW Regional Bank ETF KRE 3/26/18 20,000 1.210.847 935.800 1.059.200 -151,647
Total Southern Trust
https://www.justice.gov/epstein/files/DataSet%209/EFTA00811948.pdf
EFTA02145737Set 10
8p1,904w
Research:
• Multiple brokers initiates NCLH, CS downgrades VRSN & upgrades MDRX, Jeff downgrades FCFS
KBW upgrades AZ, JPM downgrades SSP, BB&T downgrades FDX, JPM & GS cut GTI
Longbow upgrades IP/RKT ... Baird Business Solutions (NYC), Wells Real Estate Securities (NYC), Bofa Global
Agriculture (Miami)
Conferences: KBW Boston Banks (Boston), Key Consumer (NYC), RBC Healthcare (NYC)
Analyst/Investor Days: CR, EAT, CSTR
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02145737.pdf
EFTA00420114Set 9
2012-02-105p1,692w
AMGN/AVEO (ew's) & ONXX (uw), Raja
initiates LPSN (op) & SCOR/RLOC (mp's)
Key Research: KBW downgrades ANCB, CS downgrades JDSU, Bofa downgrades FII/SIAL & reinstates
LSI (buy), RBC downgrades 0
Reporting ... NTAP, NVDA,
VMC,
Thursday: PPI, Housing Starts, Philadelphia Fed Index, KBW Cards/Payments/Financial Tech
Symposium (NYC), Earnings (APA, DISCA, DTE, DTV, DUK, PCG, PGN, SJM, TAP, VFC, WM, BIDU
https://www.justice.gov/epstein/files/DataSet%209/EFTA00420114.pdf
EFTA02120846Set 10
2013-11-199p2,186w
AERI (buy)
MLV & Co initiates DDR/EQYIFRT/ROIC (buy's) & AAT/ KIM (holds), Citi upgrades QGEN
• KBW upgrades RCKB/UBNK, Canaccord initiates GST (buy), Opco initiates UNXL (perform)
CS initiates AVP/COTY (neut ... Conferences: Barcap Select Growth (NYC), Sterne Agee Small-Mid Cap 1x1's (Philadelphia), KBW
Securities Brokerage & Market Structure (NYC)
Conferences: Lazard Healthcare (NYC), MS Consumer (Sausalito)
Analyst/Investor Days: NOK1V
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02120846.pdf
EFTA02101743Set 10
2014-07-259p2,302w
Pending Home Sales June, Dallas Fed Manufacturing Activity
Index, Markit US Composite & Services PMI, KBW Community Bank Investor Conference (NYC),
Earnings
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02101743.pdf
EFTA02153650Set 10
2012-11-296p1,638w
Aerospace & Defense (NYC), Jeff Global Energy
(Houston)
Conferences: JPM SMid Cap (NYC), KBW Brokerage & Market Structure (NYC)
Analyst/Investor Days: OMI, CPLA, VSAT
Non-Deal Roadshows: AEGR, AERL, AMAT, ARMH, BOKF
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02153650.pdf
EFTA02107535Set 10
2014-05-057p1,601w
ARIA (buy), BMO downgrades EL, JPM upgrades LLL/LLI/WCC, Bern upgrades
ORCL
JMP downgrades RWT, KBW upgrades OZM
Europe Key Research:
• Natixis downgrades IHG LN, Pareto initiates
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02107535.pdf