EFTA00386261Set 9
2013-07-319p3,206w
upgrade ALU FP, MS initiate BPOST BB (ew)
• Barc downgrade URKA LI, SDF GY, +ve IN LN, ING FP, ING upgrade VST PW
•• SocGen downgrade BARC ... downgrade URKA LI, ICL IT
•• Citi downgrade URKA LI, SDF GY, names SSE LN least pref — replace PNN LN
•• DBK downgrade NXT LN, upgrade IN LN, PWTN SW, MAQ downgrade ... SDF GY
• Mirabaud upgrade ABI BB, RBC downgrade STHR LN, Investec upgrade GKN LN
• HSBC upgrade WCH GY, ETL FP, downgrade SDF GY, TLPR LN, ICL IT, URKA LI
• BofAML
https://www.justice.gov/epstein/files/DataSet%209/EFTA00386261.pdf
EFTA00397049Set 9
2013-01-257p2,119w
AKZA NA / d/g VCT LN, WCH GY, LXS GY, SDF GY / Initiate: OMV AV (ew), EZJ LN (ow — top pick),
Al FP (ew), AKE FP (ew), BASF GY ... GY (ew), SYNN VX (uw), URKA LI (ew),
SYNT LN (ow), SDF GY (uw), YAR NO (ew)
• UBS European Steel: (downgrade SZG GY, MT NA) upgrade EZJ GY, downgrade KNIN
https://www.justice.gov/epstein/files/DataSet%209/EFTA00397049.pdf
EFTA02143854Set 10
7p1,691w
downgrade KER
PW
• Carnegie downgrade MMO1V FH, CBK upgrade NDX1 GY, SDF GY, initiate LEG GY (add)
• Nordea downgrade STCAS FH, RBC upgrade IPF LN, downgrade PFG LN, initiate
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02143854.pdf
EFTA00376741Set 9
2014-01-088p2,248w
GY, B1O3 GY, RBC downgrade DETNOR NO
• JEFF upgrade MARS LN, KepChev double upgrade SDF GY, MAQ downgrade DNB NO
• JPM downgrade SCR FP, DEB LN, EVD GY, O1BC GY
https://www.justice.gov/epstein/files/DataSet%209/EFTA00376741.pdf
EFTA02121749Set 10
2013-11-089p2,318w
Evercore upgrades RJET, Wedbush initiates TWTR (neut)
Europe Key Research:
r JPM upgrade SDF GY, AKZA NA, GS upgrade BAB LN, MS downgrade LUPE SS, upgrade SSABA
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02121749.pdf
EFTA00329451Set 9
2016-02-047p2,413w
SNCR
• Longbow downgrades BWLD & upgrades KMT, Piper downgrades PACB
Europe Key Research:
•• Liberum upgrades SDF GY & ICL IT, Jefferies initiates SRG IM (buy), Citi downgrades G IM (sell), Barcap downgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00329451.pdf
EFTA02143623Set 10
2013-04-097p1,654w
Medio downgrade 1913 HK, AMP IM
• BEREN downgrade SDF GY, upgrade SYNN VX, initiate YAR NO (b), URKA LI )h), RenCap initiate
MOEX RU (b)
Reporting Pre-Open: ZEP, SYRG
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02143623.pdf
EFTA02122294Set 10
2013-11-139p2,367w
upgrade KMG LN, PZC LN, Nordea upgrade MEO1V FH, KOA NO
• DBK upgrade SDF GY, downgrade CGCBV FH, Natixis downgrade ITRK LN, MELE BB
EFTA_R1_00756919
EFTA02122297
• Cana upgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02122294.pdf
EFTA00396305Set 9
2013-02-057p2,340w
Natixis downgrade BN FP, Chev downgrade RDSA LN, +ve UHR VX, Mainfirst —ve SDF GY
•• Oddo Euro Construction: (top pick HOLN VX, worst pick CRH ID), downgrade
https://www.justice.gov/epstein/files/DataSet%209/EFTA00396305.pdf