EFTA01121588Set 9
2013-05-3114p10,128w
Energy 8.54% (5115.550) $113,415 9-Nov-12 23.11 22.68 (52.135)
7-Dec-12 QRE 2300 Qr Energy Lp USD Energy ... QRE 2,700 Qr Energy Lp USD Energy 1135% (551.786) 551,624 12-Apr-12 19.18 19.12 (5162)
8-Mar-12 an 1250 Quality Distribution Inc USD Industrial
https://www.justice.gov/epstein/files/DataSet%209/EFTA01121588.pdf
EFTA00400698Set 9
2012-11-286p1,678w
ICGE, KAI, LEG, LSE, MGAM, MHLD, MSPD, NOAH, OSIS, PACW, PERI, PERY, PRA, QRE, RBA,
RTIX, SGNT, SNTS, SONC, SRDX, STRM, TASR, TROW
https://www.justice.gov/epstein/files/DataSet%209/EFTA00400698.pdf
EFTA01729830Set 10
100p14,511w
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&Qre 0 41 ot, itao
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1 SIGNED
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01729830.pdf
EFTA00390701Set 9
2013-05-088p2,645w
MEMP, MFB, MPEL, NAVB, NEON, NICE, NSPH, NXST, PCRX, PHMD, POZN, PPP, QRE, SCON, SFUN, SKYW, SODA,
SPAR, STWD, SUSP, SUSS, SXE, TM, TPLM, TRMD, TRR, TTI, VITC, VVUS
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390701.pdf
EFTA02145166Set 10
2013-03-148p2,074w
Research:
• Barcap assumes ETN (ew) & upgrades AL & downgrades AER, GS downgrades CNW & initiates
QRE (neut)
• JPM upgrades MBT & cuts AMXN, MS downgrades ARG, Roth initiates QUIK (buy), Stifel upgrades
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02145166.pdf
EFTA00401937Set 9
2012-11-087p2,170w
NNBR, NOG, NTLS, NXTM, ORBC, PENX, PESI, PFSW, PGNX, PMFG, PMT, PNX, POR, POZN, QRE,
RGEN, RMTI, RSTI, SJI, SMBL, SMG, SNMX, SNSS, SPP, SVNT
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401937.pdf
EFTA02113889Set 10
2014-03-038p1,931w
Open: ACW, AKRX, CLDX, CORE, DNDN, EVEP, EXLS, FNMA, IEP, JKS, MGM
NUS, PERI, QRE, RDNT, ROC, SSW, SSYS, SWC
Reporting Post-Close: ACRX, ACUR, AMBC, APTS, ASNA, DXPE, FOLD
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02113889.pdf
EFTA02090749Set 10
2014-11-187p1,856w
TSRA, TTGT, TWOU, TXT, USG, VEC, VJET, ZAGG
Shareholder Meetings: BYI, MAYS, BPHX, TNAV, QRE, THTI
Equity/Mixed Shelfs: WAVE ($15M), TYC
Other Newspaper Articles & Stories
WSJ negative: Tiffany
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02090749.pdf