EFTA01083266Set 9
2013-08-1925p11,630w
theadual terms and cceditictit of
Dr. Nikolies ooatiored einpbymam? I(11e panles are wending for
assigns, expressly waives against Company, Watermark Estate Management Services, diere to he a agreement ... Agreement (the
"Gates Released Claims"); and Muller releases, discharges and acquits the Gates Released
Panles, individually and in their representative capacities, from any and all Gates Released
Claims. This waiver
https://www.justice.gov/epstein/files/DataSet%209/EFTA01083266.pdf
EFTA00284673Set 9
2012-08-245p3,084w
IASCO 809 208.75 208.75 0.00 0.00 UW PerUnil
ANT 8,242012 011/29,2012 Buy PANL UNIVERSAL DISPLAY 8.600 42.1458 0.0125 362.561.38 NITA GSCO 0.00 107.50 107.50 0.00 0.00 UW PerUnil ... 011/29,2012 Buy PANL UNIVERSAL DISPLAY 3.400 42.1621 0.0125 143.393.64 REDI GSCO 0.00 42.50 42.50 0.00 0.00 UW PerUnil
......
ANT 8,242012 011/29,2012 Buy HIK/ HIBBETT SPORTING
https://www.justice.gov/epstein/files/DataSet%209/EFTA00284673.pdf
EFTA00284660Set 9
2012-07-176p3,226w
REDI GSCO 10.19 125.00 125.03 0.00 0.00 USO PPetUnil
-...........,. .........
ANT 7117/2012 07/20,2012 Short PANL UNIVERSAL DISPLAY 12,100 35.6014 0.0125 030.616.04 NITA GSCO ... PetUnil
P•ill
ANT 7117/2012 07/20,2012 Short PANL UNIVERSAL DISPLAY 12.900 35.5171 0.0125 457,999.07 REDI GSCO 10.0
27
0 161.25 161.25 0.00 0.00 USO PetUnil
......
ANT 7/17/2012 07/20
https://www.justice.gov/epstein/files/DataSet%209/EFTA00284660.pdf
EFTA02145737Set 10
8p1,904w
ICFI, IILG, IOC, ISIG, ITC, KRA, LEDR, LTD, MBI, MCHX, MMLP, MTSN,
MWE, NED, PANL, PODD, RGR, RJET, RLJ, RM SBRA, SRC, STAR, STNR, TSPT, UAN, UIHC,
VALE, VCRA, VSEC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02145737.pdf
EFTA00435925Set 9
2011-04-064p1,245w
EWBC, FFIC, FRC, GLPW, GVP, HGSI,
HI, III, ISTA, ITG, KMGB, LNDC, LXRX, MITL, PANL, PFS, PGN, SGMO, SHOO, SIGM, SQNM, THO,
TPCG, TRN, TWGP, UIL, VITA, WG, WOLF
https://www.justice.gov/epstein/files/DataSet%209/EFTA00435925.pdf
EFTA00390785Set 9
2013-05-097p2,239w
LTRE,
LUNA, MAIN, MCP, MDRX, MDVN, MNKD, NGVC, NKTR, NNI, NPTN, NSU, OPAY, OPTR, PANL, PDLI, PFMT, PRKR,
QTVVVV, RCMT, RICK, RNDY, RNF, RNIN, RTK, SAPE, SDBT, SF, SLXP, SONM
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390785.pdf
EFTA00410733Set 9
2012-06-225p1,541w
adds VOW GR & VOD LN to Conviction Buy List & cuts PTEC LN, DB initiates
PANL (buy)
Key Research: JPM initiates VFC (ow), MS upgrades ONYX, Think initiates MASI (buy), Baird
https://www.justice.gov/epstein/files/DataSet%209/EFTA00410733.pdf
EFTA00413482Set 9
2012-05-096p1,995w
MALL, MIM,
MKL, MKTG, MNKD, MTEX, MYRG, NNI, NP, NWK, OREX, OXGN, PANL, PODD, PRCP, PRSC, QTM, QUAD,
RWC, SATC, SCLN, SCMP, SF, SGI, SGMS, SRSL, STAN, STRL
https://www.justice.gov/epstein/files/DataSet%209/EFTA00413482.pdf
EFTA00435764Set 9
2011-04-124p1,433w
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, AHS, BRCD
Equity/Mixed Shelfs
https://www.justice.gov/epstein/files/DataSet%209/EFTA00435764.pdf
EFTA00433604Set 9
2011-05-254p1,352w
IMGN, IXYS, MAPP, MAR, MEAS, MINI, MWE,
NPO, NVMI, NXPI, NXY, OTEX, PANL, PDLI, PWR, RDWR, SFG, SRDX, SUPX, TMK, TRGP, TTC, USPH,
WCRX, WM, XRX, ZA, IVAC
Shareholder Meetings
https://www.justice.gov/epstein/files/DataSet%209/EFTA00433604.pdf
EFTA00433419Set 9
2011-05-244p1,388w
GPOR, HUM, IFT, IMGN, IPCL, ISIS, IXYS, JKHY, KNL, KNXA, MGRC, MINI, NXPI, PANL,
PDLI, PLAB, PWR, RDWR, ROCK, RP, SPSC, SRDX, SREV, SUPX, TROW, TTGT, WCRX, XNPT, IMAX
Shareholder
https://www.justice.gov/epstein/files/DataSet%209/EFTA00433419.pdf