EFTA02121969Set 10
2013-11-129p2,327w
GIVN, GPN, MCZ, MLHR, NWL, OZM, PSEM, RGLD, RUTH, SPDC, SPSC, STAG,
SUPX, TBBK, TXT, WTS
Shareholder Meetings: FMD, TEU, PRCP, ADP, EL, VSR, IMGN, RNWK, HTHT
EquitylMixed Shells
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02121969.pdf
EFTA02148758Set 10
2013-02-129p2,266w
CODE, GILD, GSM, HAIN, I-IF, HNI,
KEYN, KKR, LIFE, MAT, OSIS, PACE, PPHM, SPSC, STO, SWIR, TCRD, UTL, VOXX, XXIA, AJG
Shareholder Meetings: KBW, MSCC, FICO, FRNK, MSPD
Equity/Mixed
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02148758.pdf
EFTA02115859Set 10
2014-02-069p2,419w
NTGR, ONNN, OPEN, OUTR, PDEX, PDM, PHX, POST, PXLW, RENT, RNG,
SMT, SOFO, SPSC, SQl, SREV, SSD, THRX, TPX, UBNT, UEPS, UW, WHG, WWWW, ZIGO
Economic Data: RBC Consumer Outlook
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02115859.pdf
EFTA02120846Set 10
2013-11-199p2,186w
when shares were trading
north of $22
Secondaries (announced/priced): RAI, CSII, MEMP, NCT, DWRE, SPSC, TLLP, SFM, NEE, OILT,
BXMT (convert), KBC BB, DWNI GY (convert), EVK GY (convert), Kepco
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02120846.pdf
EFTA02090749Set 10
2014-11-187p1,856w
EFTA02090752
NSTG, ORPN, OSUR, OZM, PRGS, QSII, RVNC, SATS, SCOR, SHI, SHW, SPSC, SYRG, TCPI,
WMO, TSRA, TTGT, TWOU, TXT, USG, VEC, VJET, ZAGG
Shareholder Meetings: BYI, MAYS, BPHX, TNAV
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02090749.pdf
EFTA00413694Set 9
2012-05-086p2,161w
MASI, MIPS, MJN, MRCY, NE, OCZ, RVBD, S, SCAN, SIRO, SO, SPSC, TMK, TUP, UMBF, WDC, WRE, XLNX
Shareholder Meetings: MT, CVD, CRL, VIAS, CMLS, CNS, CNW, COKE, DEXO
https://www.justice.gov/epstein/files/DataSet%209/EFTA00413694.pdf
EFTA00401802Set 9
2012-11-136p2,037w
IPAS, KOP, LPS, MDVN, MSA, MTDR, NTGR, OSK, PBNY, PSSI,
PWE, RBCN, SHF, SLG, SPSC, SYNA, TRNX, WNC, XPO, ZAGG, LKO, ABAX
Shareholder Meetings: ETH, FFHL, PRCP
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401802.pdf
EFTA00411369Set 9
5p1,719w
LNKD, MELI, NWPX, AETI, RCMT, MNOV, CYD, DATE, TBOW
Equity/Mixed Shelfs: GNW, SPSC ($100M), COT ($300M), NCT, LO, CXPO ($250M)
Other Newspaper Articles & Stories
WSJ cautious: Netflix (NFLX
https://www.justice.gov/epstein/files/DataSet%209/EFTA00411369.pdf
EFTA00433419Set 9
2011-05-244p1,388w
IXYS, JKHY, KNL, KNXA, MGRC, MINI, NXPI, PANL,
PDLI, PLAB, PWR, RDWR, ROCK, RP, SPSC, SRDX, SREV, SUPX, TROW, TTGT, WCRX, XNPT, IMAX
Shareholder Meetings: AMLN, VSCP, FIG, HEES, ZLCS
https://www.justice.gov/epstein/files/DataSet%209/EFTA00433419.pdf
EFTA00396443Set 9
2013-02-067p2,142w
PSMI, PTP, QBAK,
QUIK, RE, RLD, RLOG, RNR, RNWK, RRTS, SGMO, SGU, SMT, SPB, SPSC, SREV, SWIR, SWM, SWS, THG, TIS,
TQNT, TRLG, TWO, TYL, UHAL, VSAT, WGL, WMS, XIDE
https://www.justice.gov/epstein/files/DataSet%209/EFTA00396443.pdf
EFTA00370756Set 9
2014-04-247p2,191w
OCFC, OLN, P, PCTI, PDFS, PEB, PGI, OLIK, RGA, RGC, SBCF, SHOR, SIVB, SPN, SPSC, SPWR, SSD,
STRT, STS, SWFT, SYNA, TCO, TFSL, TNAV, UACL, UHS, VR, WFT, WIRE, WOOF
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370756.pdf
EFTA02107482Set 10
2014-04-248p2,185w
OCFC, OLN, P, PCTI, PDFS, PEB, PGI, QLIK, RGA, RGC, SBCF, SHOR, SIVB, SPN, SPSC, SPWR,
SSD, STRT, STS, SWFT, SYNA, TCO, TFSL, TNAV, UACL, UHS, VR, WFT, WIRE, WOOF
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02107482.pdf
EFTA02145166Set 10
2013-03-148p2,074w
PCOM, R, RATE, RDEN, RLJ, SCBFF, SIRI, SNY, SON, SPA, SPSC, SWFT,
TRAK, TSLA, V, VOD, VRTU, WX, XPO, ZAGG, PRKR
Shareholder Meetings: ADT, ASA, FSC, HURC, PTRY, RSTI, DSTI
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02145166.pdf