EFTA02105754Set 10
2014-06-048p1,913w
VOLVB SS strong ACT data
Secondaries (announced/priced): LG, ALSN, TSLX (convert), PODD (convert), VOW3 GY, REP SM,
SON PL (convert), EVK GY (convert), NRX FP (rights)
IPO's (filed/priced): CareDx
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02105754.pdf
EFTA02122552Set 10
2013-11-0710p3,010w
MTRX,
NAVG, NES, NFG, NKTR, NNI, NOG, NVAX, OCLR, OGXI, OLED, PCYC, PFMT, PLUS, PODD,
PRGN, PTIX, PXLW, RENT, RNDY, RNF, RNIN, RP, RPTP, RTK, SF, SFM, SGMS, SMLP, SMSI
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02122552.pdf
EFTA02145737Set 10
8p1,904w
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, WEBM
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02145737.pdf
EFTA00401937Set 9
2012-11-087p2,170w
LOCM, LTC, LUNA, MALL, MDRX, MFLX, MKL, MNTX, MTRX, NNI, OGXI,
OMEX, ORCC, OXGN, PODD, PSDV, PTIX, QTWW, RLH, RNDY, RNIN, SALM, SCMP, SD, SPRD, SQl, SQNM, STEM,
STRL, SYNM
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401937.pdf
EFTA00390785Set 9
2013-05-097p2,239w
shares priced at $40 (top-end)
US Key Research:
•• Barrington downgrades PODD, Evercore downgrades RAX, Janney downgrades CODI
•• Mizuho downgrades OFIX, Wells initiates INFI (op) & upgrades AWK, Brean cuts
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390785.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
EFTA00414284Set 9
2012-05-026p2,188w
SGYP, SILC, SREV, TSEM, TWI, XOMA, XRX, INFY, DOW
Shareholder Meetings: VR, PODD, TCAP, TX, CLNY, CPK, GD, PEP, POOL, RGR, RNB, TREX, UFS,
ATR, ATRO, BWLD, FRT, INPH, KMPR
https://www.justice.gov/epstein/files/DataSet%209/EFTA00414284.pdf