EFTA02121969Set 10
2013-11-129p2,327w
ESEA, ETAK, EVEP, FVE, GRH, GTXI, HNR,
HSOL, HTH, HWCC, INO, INSY, LEAF, LIWA, LMIA, LXRX, MPAA, MVIS, NAFC, NMFC, NS, NSH,
NYLD, OREX, PERI, RDA, ROC, RRST, SATS, SCLN
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02121969.pdf
EFTA00410573Set 9
2012-06-265p1,759w
ACAS, MNTG
Shareholder Meetings: ROHI, TESS, UTHR, CCTC, DHT, AGX, CCOM, GORO, LMIA, PIR, TRIP, MINI,
EFTA00410575
BTX, RSYS, HOGS
Equity/Mixed Shelfs: N/A
S&P 500 change (after close June
https://www.justice.gov/epstein/files/DataSet%209/EFTA00410573.pdf
EFTA00413694Set 9
2012-05-086p2,161w
GNRC, GTXI, ABC, HK, HL, IBI, IDSA, INSM, KWK, LIOX, LMCA, LMIA, LNCE, LRN, MDF, MEDW,
NVE, NXST, NXTM, OHI, OMX, PCX, PDC, PESI, PIKE, PRX, PTRY, RAIL, RST, SCON
https://www.justice.gov/epstein/files/DataSet%209/EFTA00413694.pdf
EFTA00401937Set 9
2012-11-087p2,170w
GLCH, GLP, GTXI, HDNG, HII, HK, IDN, INXN, IPCC, KIOR, KLIC, KOP, LCUT, LDL, LMIA, MGA, MWIV,
MWW, MGS, NNBR, NOG, NTLS, NXTM, ORBC, PENX, PESI, PFSW, PGNX, PMFG
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401937.pdf
EFTA00388343Set 9
2013-06-267p2,067w
TGTX, VRNM, WIN, SIRI
Shareholder Meetings: HMPT, RBCN, UTHR, OXR, ENS, APOG, LMIA, CKH, CTIC, SRTI, CRWN, RBY, SA, GTE,
MRVL, HOGS
Equity/Mixed Shelfs: BRKS ($200M)
IM 600 change (after
https://www.justice.gov/epstein/files/DataSet%209/EFTA00388343.pdf
EFTA00390547Set 9
2013-05-106p1,832w
AXAS, BECN, BTN, CDTI, DRH, EGT, ERF, ETAK, EVEP, GFI, HL, HZNP, LIWA, LMIA,
LXRX, MGA, PGNX, RDNT, SIRO, STRL, TRLG, URRE, USAT, VTG, WCRX, XIN, YONG
Reporting Post-Close
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390547.pdf
EFTA00435764Set 9
2011-04-124p1,433w
HIBB, HITK, HNR, HNZ, HWCC, INSM, KFY, KRA, LMIA, LNG, LTD, LXP, LXU,
MINI, MSA, NLSN, NTSP, PANL, PRA, SCG, SGMO, TDS, TK, TPCG, TRGT, QCOR
Shareholder Meetings: EHP, BKSC
https://www.justice.gov/epstein/files/DataSet%209/EFTA00435764.pdf