EFTA02134627Set 10
8p1,943w
Deal Roadshows: CSGP, CWCO, DSCI, LNDC, TYL
Shareholder Meetings: QBAK, AGNC, BBBY, ESMC, PLUG, MDVN, BKFG, ROYL, SPPI
Equity/Mixed SheIfs: IRET
S&P 500 change (after close): News Corp (NWSAV
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02134627.pdf
EFTA02154634Set 10
2012-11-126p1,421w
MDSO, DNR
Non-Deal Roadshows: AEZS, BWC, CEC, CTSH, F, HSH, LPS, LSCC, MDVN, MINI, MSA, NVDA,
TRNX, ZAGG
Shareholder Meetings: PVSW
EFTA_R1_00820735
EFTA02154636
Equity/Mixed Shelfs: AVT, TNGN
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154634.pdf
EFTA00300337Set 9
2014-05-229p5,425w
Pharmaceuticals (ENTA), Gilead Sciences (GILD),
Idenix Pharmaceuticals (IDIX), InterMune (ITMN), Ironwood Pharmaceuticals (IRWD), Medivation (MDVN), Merrimack
Pharmaceuticals (MACK), NPS Pharmaceuticals (NPSP), Ophthotech (OPHT), PTC Therapeutics (PTCT), Regeneron Pharmaceuticals
(REGN), Synageva
https://www.justice.gov/epstein/files/DataSet%209/EFTA00300337.pdf
EFTA00413694Set 9
2012-05-086p2,161w
GSIG, HCKT, MINX, HTGC, IILG, INFI, ISIS,
JAll, JIVE, KCG, LCI, LPSN, LTRE, MDVN, MED, MELI, MEMS, MLR, MODL, MAX, MTSI, NILE, OMER,
OPWV, ORA, OUTD, PIP, PL, POWL, PRMW
https://www.justice.gov/epstein/files/DataSet%209/EFTA00413694.pdf
EFTA00401802Set 9
2012-11-136p2,037w
ECPG, ENR,
EVER, GOLD, GPOR, HNI, HSH, IMO, INTC, INVN, IPAS, KOP, LPS, MDVN, MSA, MTDR, NTGR, OSK, PBNY, PSSI,
PWE, RBCN, SHF, SLG, SPSC, SYNA, TRNX, WNC, XPO, ZAGG
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401802.pdf
EFTA00401614Set 9
2012-11-125p1,435w
MDSO, DNR
Non-Deal Roadshows: AEZS, BWC, CEC, CTSH, F, HSH, LPS, LSCC, MDVN, MINI, MSA, NVDA, TRNX, ZAGG
Shareholder Meetings: PVSW
Equity/Mixed Shelfs: AVT, TNGN, VGR
Other Newspaper Articles
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401614.pdf
EFTA00390785Set 9
2013-05-097p2,239w
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, RICK
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390785.pdf
EFTA00370915Set 9
2014-04-166p1,831w
NMBL (op), Baird initiates LPI (op), UBS upgrades NMBL (buy) & cuts NTAP
• Canaccord initiates MDVN (hold) and NPSP/REGN/LPTN (buy), MS upgrades PDS
• Multiple brokers initiate ATEN, MS downgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370915.pdf
EFTA00388231Set 9
2013-06-287p1,959w
Deal Roadshows: CSGP, CWCO, DSCI, LNDC, TYL
Shareholder Meetings: QBAK, AGNC, BBBY, ESMC, PLUG, MDVN, BKFG, ROYL, SPPI
Equity/Mixed Shelfs: IRET
EFTA00388233
IM 500 change (after close): News Corp (NWSAV
https://www.justice.gov/epstein/files/DataSet%209/EFTA00388231.pdf
EFTA00402020Set 9
2012-11-096p1,838w
XTEX, XTXI, YONG, HEK
EFTA00402022
Reporting Post-Close: CRDN, CWCO, LVB, MDVN, SYUT, TIGR, WAVX, XIDE
Economic Data: Import Price Index @ 8:30am, U. of Michigan Confidence @ 9:55am, Wholesale
https://www.justice.gov/epstein/files/DataSet%209/EFTA00402020.pdf
EFTA00418136Set 9
2012-03-135p1,602w
with the customer needing 28% higher for breakeven earnings 5.11
Secondaries (announced/priced): XPO, SB, MDVN ($175M), MWE, SLXP ($500M convert), TNGO
IPO's: N/A
EFTA00418137
Key Research: Bernstein upgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00418136.pdf
EFTA02154470Set 10
2012-11-157p1,892w
CRUS, CSV, EA, GPOR, HOT, HSIC, INCY, INTC, KAR, LECO,
LNCE, LNDC, LPI, MAND, MDVN, MKSI, OMCL, OSK, PARS, PWE, SFY, SNH, SNSS, URG, USG,
VCLK, XIDE, TISA
Shareholder Meetings
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154470.pdf
EFTA02154412Set 10
2012-11-167p1,814w
NTCT, CI, DGX
Non-Deal Roadshows: ALV, BCS, BMC, CPST, CTL, INCY, LNCE, MANU, MDVN, MOVE, NWL,
PAAS, SFY, SNSS, TASR, TDG
Shareholder Meetings: TW, CGI, MCRS, TAX, LEI
Equity/Mixed
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154412.pdf
EFTA02121969Set 10
2013-11-129p2,327w
DSCO, EARN, EGL, EMAN, ERA, EVOL, FI, FPRX, GNMK, GSB, GTE, HPTX, ICEL, MBI,
MDVN, MGNX, MPO, MWE, NGL, NLST, NQ, ONP, ONTX, ONTY, OXGN, PBPB, PDII, PEGA,
PRKR, PRMW
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02121969.pdf
EFTA02139472Set 10
2013-05-098p2,231w
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, RICK
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02139472.pdf