EFTA02153545Set 10
2012-12-036p1,477w
EFTA02153547
Non-Deal Roadshows: ACI, AMRE, BIOS, CKSW, CLX, CYOU, ECL, GRMN, KNL, OFG, PVTB,
SOHU, STI, SWKS, SXL, TECD, TOT, WRLS, OGE
Shareholder Meetings: DQ, CXDC, KNXA, GEOY, FMAR
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02153545.pdf
EFTA02092911Set 10
2014-10-168p2,182w
MYCC, CY, DOV, FCS, FRC, HOMB, HLSS, IIIN, VAC, NTCT, ORB, POOL, PPG,
PFBC, PVTB, SASR, SIFY, SON, SVU, SYNT, TZOO, WBS, WGO, WNS
Reporting Post-Close: COF, GOOG, PBCT
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02092911.pdf
EFTA02097378Set 10
2014-09-118p2,083w
WTSL eps missed — GOGO T-Mobile pact — FIVE comps missed
Secondaries (announced/priced): NBR (block), PVTB, INVE, CYBR, SCL CN, TEF SM (convert), LSE
LN rights begin trading (LSEN
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02097378.pdf
EFTA00400426Set 9
2012-12-035p1,488w
Deal Roadshows: ACI, AMRE, BIOS, CKSW, CLX, CYOU, ECL, GRMN, KNL, OFG, PVTB, SOHU, STI, SWKS,
SXL, TECD, TOT, WRLS, OGE
Shareholder Meetings: DO, CXDC, KNXA, GEOY, FMAR, FNSR, AIRM
https://www.justice.gov/epstein/files/DataSet%209/EFTA00400426.pdf
EFTA00390481Set 9
2013-05-157p2,139w
Deal Roadshows: APR ARTC, BDE, BOH, COH, GMO, GVA, KERX, LMAT, MCO, PCCC, PVTB, RBA, RBS, RTEC,
SBNY, SIRI, SLG, TEX, THS, TMK, TRI, UBSH, USG, VLO
Shareholder Meetings
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390481.pdf
EFTA00370946Set 9
2014-04-176p1,714w
ALSN, BX, CNET, CY, FCFS, FCS, FHN, HLSS, HOMB, IIIN, KNL, NPBC, ORB,
POOL, PVTB, SASR, SON, SYNT, TZOO, WBS, WSO, ZX
Reporting Post-Close: ACTG, AMD, AMRB, ASBC, ATHN
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370946.pdf
EFTA00402020Set 9
2012-11-096p1,838w
FAST, Mizuho initiates FRX (buy), JPM upgrades MRO & downgrades CSCO
Key Research: Wells initiates PVTB (mp), BB&T initiates WWW (hold), Steme Agree upgrades OZRK (buy)
Key Research: Key upgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00402020.pdf
EFTA00387192Set 9
2013-07-187p2,112w
HAWK, HLSS, HOMB, IIIN, MYE,
NOK, NTCT, ORB, OSTK, POOL, PVTB, SASR, SCHL, SEIC, SFNC, SIFY, SON, SVU, SYNT, TZPP, UTEK, VAC, VMI,
WSO
Reporting Post-Close
https://www.justice.gov/epstein/files/DataSet%209/EFTA00387192.pdf