EFTA02137279Set 10
2013-06-048p1,909w
Baird initiates RPMNAL (neut's) & downgrades DIOD/FCS, Piper initiates ISIL (ow),
• GS initiates MDRX (neut) & CERN (buy), Wells upgrades CMENVAC & initiates IART (mp)
• RBC cuts CP CN/PVH, KBW cuts FDEF
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02137279.pdf
EFTA02122552Set 10
2013-11-0710p3,010w
INFI, INVE, JJSF, JOE, KCAP,
KTOS, LCI, LGP, LOCM, LUNA, MAIN, MBII, MCP, MDRX, MFLX, MITK, MNTX, MSCC, MTD, MTRX,
NAVG, NES, NFG, NKTR, NNI, NOG, NVAX, OCLR, OGXI, OLED
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02122552.pdf
EFTA02145737Set 10
8p1,904w
pricing in March)
US Key Research:
• Multiple brokers initiates NCLH, CS downgrades VRSN & upgrades MDRX, Jeff downgrades FCFS
KBW upgrades AZ, JPM downgrades SSP, BB&T downgrades
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02145737.pdf
EFTA02143300Set 10
2013-03-287p1,793w
neut), MS initiates UTX (ow)
• Wells downgrades VHS, Needham downgrades ASTM, B. Riley initiates MDRX (neut)
• JMP initiates BIIB/REGN/SGMO (mp's), Guggenheim initiates GS (buy) & MS (neut)
Europe Key Research
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02143300.pdf
EFTA00433695Set 9
2011-05-205p1,297w
ZOLL
Shareholder Meetings: ICE, CMS, CPRX, IPHS, TGX, AET, AON, FONR, HRT, IVD, MDRX, NEE, POM,
SAFT, SPN, TWX, AMGN, NETL, NMRX, SGY, IRIS, WCN, SLW, SPU, GVA, SGEN
Equity/Mixed
https://www.justice.gov/epstein/files/DataSet%209/EFTA00433695.pdf
EFTA00401937Set 9
2012-11-087p2,170w
JAZZ, JJSF, JSDA,
KCAP, KMPR, KTEC, KTOS, KYAK, LCI, LGF, LOCM, LTC, LUNA, MALL, MDRX, MFLX, MKL, MNTX, MTRX, NNI, OGXI,
OMEX, ORCC, OXGN, PODD, PSDV, PTIX, QTWW, RLH, RNDY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401937.pdf
EFTA00390785Set 9
2013-05-097p2,239w
IMUC, INWK, JOBS, KOOL, KTOS, LEDR, LLNW, LOCM, LPDX, LPR, LTRE,
LUNA, MAIN, MCP, MDRX, MDVN, MNKD, NGVC, NKTR, NNI, NPTN, NSU, OPAY, OPTR, PANL, PDLI, PFMT, PRKR,
QTVVVV, RCMT
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390785.pdf
EFTA00402020Set 9
2012-11-096p1,838w
MNT/MOH
Key Research: Nomura upgrades MMM, Raja initiates ABMD (mp) & upgrades CCOI, Piper cuts MDRX
Key Research: Baird upgrades FAST, Mizuho initiates FRX (buy), JPM upgrades MRO & downgrades CSCO
https://www.justice.gov/epstein/files/DataSet%209/EFTA00402020.pdf
EFTA02139472Set 10
2013-05-098p2,231w
IMUC, INWK, JOBS, KOOL, KTOS, LEDR, LLNW, LOCM, LPDX, LPR, LTRE, LUNA, MAIN,
MCP, MDRX, MDVN, MNKD, NGVC, NKTR, NNI, NPTN, NSU, OPAY, OPTR, PANL, PDLI, PFMT,
PRKR, QTWW, RCMT
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02139472.pdf