EFTA01592777Set 10
2005-07-0139p4,367w
RETURN
FROM 746FY0 TO 2F8EE0
S/D FINANCING
FROM 2F8EE0 TO 746FY0
-40,000 CV THERAPEUTICS INC CVT
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
2,220 PPL CORP ... 736FY0 FROM 746FY0
-2,220 PPL CORP
DONE AT EDGETRADE.COM INC.
40,000 CV THERAPEUTICS INC CVT
03.2500 08/16/2013
CORRECTION
DONE AT LEHMAN BROTHERS INC
FROM 746FY0 TO 736FY0
746FY0 ... FROM 2F8EE0 TO 746FY0
MARK TO MARKET
FUNDS RECEIVED BY WIRE
-10,000 CV THERAPEUTICS INC CVT
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
15,000 CV THERAPEUTICS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01592777.pdf
EFTA01593457Set 10
2005-07-0150p5,193w
DESCRIPTION
FUNDS PAID BY WIRE
WIRE TO CITIBANK
MARK TO MARKET
40,000 CV THERAPEUTICS INC CVT
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
MARK TO MARKET ... 746FY0 TO 736FY0 USD/CHF
MARK TO MARKET
FUNDS RECEIVED BY WIRE
20,000 CV THERAPEUTICS INC CVT
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-20,000 CV THERAPEUTICS ... INC CVT
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
40,000 CV THERAPEUTICS INC CVT
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
-40,000 CV THERAPEUTICS
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01593457.pdf
EFTA00598622Set 9
14p8,563w
common equity securities of the following companies covered in
Morgan Stanley Research: Akebia Therapeutics Inc. Alnylam Pharmaceuticals, AMAG Pharmaceuticals. Inc.. Auxilium Pharmaceuticals. Cubist
Pharmaceuticals Inc., GW Pharmaceuticals PLC. Idenix ... managed or co-managed a public offering (or 144A offering) of securities of Akebia Therapeutics Inc.
AMAG Pharmaceuticals, Inc., Amgen Inc., Celgene Corp. Chimenx Inc. Cubist Pharmaceuticals Inc., Gilead Sciences ... last 12 months. Morgan Stanley has received compensation for investment banking services from Akebia Therapeutics Inc, AMAG
Pharmaceuticals. Inc.. Amgen Inc.. Biogen Idec Inc., Celgene Corp. Chimerix Inc
https://www.justice.gov/epstein/files/DataSet%209/EFTA00598622.pdf
EFTA01199422Set 9
14p8,572w
common equity securities of the following companies covered in
Morgan Stanley Research: Akebia Therapeutics Inc. Alnylam Pharmaceuticals, AMAG Pharmaceuticals. Inc.. Auxilium Pharmaceuticals. Cubist
Pharmaceuticals Inc., GW Pharmaceuticals PLC. Idenix ... managed or co-managed a public offering (or 144A offering) of securities of Akebia Therapeutics Inc.
AMAG Pharmaceuticals, Inc., gen Inc., Celgene Corp. Chimerix Inc. Cubist Pharmaceuticals Inc., Gilead Sciences ... last 12 months. Morgan Stanley has received compensation for investment banking services from Akebia Therapeutics Inc, AMAG
Pharmaceuticals. Inc.. Amgen Inc.. Biogen Idec Inc., Celgene Corp. Chimerix Inc
https://www.justice.gov/epstein/files/DataSet%209/EFTA01199422.pdf
EFTA00598607Set 9
2014-07-2313p8,093w
common equity securities of the following companies covered in
Morgan Stanley Research: Akebia Therapeutics Inc. Alnylam Pharmaceuticals, AMAG Pharmaceuticals. Inc.. Auxilium Pharmaceuticals. Cubist
Pharmaceuticals Inc., GW Pharmaceuticals PLC. Idenix ... last 12 months. Morgan Stanley has received compensation for investment banking services from Akebia Therapeutics Inc, AMAG
Pharmaceuticals. Inc.. Amgen Inc.. Biogen Mac Inc.. Celgene Corp, Chimerix ... expects to receive or intends to seek compensation for investment banking services from Akebia
Therapeutics Inc. Alexion -Pharmaceuticals. Alnylam.Pharmaceuticals, AMAG Pharmaceuticals, Inc.. Amgen Inc., Auxilium Pharmaceuticals.
Slogan idec Inc
https://www.justice.gov/epstein/files/DataSet%209/EFTA00598607.pdf
EFTA01199408Set 9
2014-07-2313p8,089w
common equity securities of the following companies covered in
Morgan Stanley Research: Akebia Therapeutics Inc. Alnylam Pharmaceuticals, AMAG Pharmaceuticals. Inc.. Auxilium Pharmaceuticals. Cubist
Pharmaceuticals Inc., GW Pharmaceuticals PLC. Idenix ... last 12 months. Morgan Stanley has received compensation for investment banking services from Akebia Therapeutics Inc, AMAG
Pharmaceuticals. Inc.. Amgen Inc.. Biogen Mac Inc.. Celgene Corp, Chimerix ... expects to receive or intends to seek compensation for investment banking services from Akebia
Therapeutics Inc. Alexion -Pharmaceuticals. Alnylam.Pharmaceuticals, AMAG Pharmaceuticals, Inc.. Amgen Inc., Auxilium Pharmaceuticals.
Slogan idec Inc
https://www.justice.gov/epstein/files/DataSet%209/EFTA01199408.pdf
EFTA02519480Set 11
2013-10-167p1,049w
Luminex Corporation
M2S, Inc.
MAKO Surgical Corp.
MBio Diagnostics, Inc.
MDxHealth, Inc.
Mederi Therapeutics Inc.
Mediplus Ltd
Medtronic, Inc.
MELA Sciences
Mercator MedSystems, Inc.
Miceli Technologies, Inc.
Micronics, Inc.
Minerva ... Novocure
NuMED Inc
NxThera, Inc.
OBMedical Company•
Olympus America Inc.*
OPHTEC USA, Inc.
Oraya Therapeutics, Inc.
OrbusNeich Medical, Inc.
OrthoCor Medical, Inc.
OrthogenRx, Inc.
OrthoSensor, Inc.
Otsuka America Pharmaceutical, Inc
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02519480.pdf
EFTA01581909Set 10
2005-07-011p244w
CORP 59.77920 92,646.13
DONE AT EDGETRADE.COM INC.
01 07/05 BOUGHT 20,000 CV THERAPEUTICS INC CVT 105.56250 21,112.50
03.2500 08/16/2013
CORRECTION
AS OF 07/01/05
DONE AT MERRILL LYNCH ... PIERCE,
FENNER AND SMITH, INC.
01 07/05 SOLD -40,000 CV THERAPEUTICS INC CVT 104.80400 41,936.04
03.2500 08/16/2013
DONE AT KEG FINANCIAL PRODUCTS
01 07/06 MRKD/MARKET MARK TO MARKET ... 07/06 WIRED FUNDS RECEIVED BY WIRE 36,339.00
01 07/06 JOURNAL -20,000 CV THERAPEUTICS INC CVT 21,112.50
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736F10 FROM 746FY0
01 07/06
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01581909.pdf
EFTA01581908Set 10
2005-07-011p215w
TYPE DATE TRANSACTION QUANTITY DESCRIPTION PRICE DEBIT CREDIT
01 07/05 JOURNAL -20,000 CV THERAPEUTICS INC CVT 21,112.50
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO FROM
01 07/05 JOURNAL ... THERAPEUTICS INC CVT 21,112.50
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO FROM
01 07/05 JOURNAL -40,000 CV THERAPEUTICS INC CVT 40,000.00
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO FROM ... 07/05 JOURNAL 40,000 CV THERAPEUTICS INC CVT 40,014.44
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO FROM
01 07/05 JOURNAL 40,000 CV THERAPEUTICS INC CVT 41,936.04
03.2500 08/16/2013
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01581908.pdf
EFTA01582244Set 10
2005-07-011p214w
TYPE DATE TRANSACTION QUANTITY DESCRIPTION PRICE DEBIT CREDIT
01 07/05 JOURNAL 10,000 CV THERAPEUTICS INC CVT 10,553.61
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO FROM
01 07/05 JOURNAL ... THERAPEUTICS INC CVT 15,767.92
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO FROM
01 07/05 JOURNAL 20,000 CV THERAPEUTICS INC CVT 21,112.50
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO FROM ... 07/05 MRKD/MARKET MARK TO MARKET 84,015.44
03 07/05 JOURNAL -426 CV THERAPEUTICS INC 9,358.50
OFFSHORE ARRANGING FLIP
TO FROM
03 07/05 JOURNAL -1,550 PPL CORP
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01582244.pdf
EFTA01582243Set 10
2005-07-011p240w
07/01 MRKD/MARKET MARK TO MARKET 185,158.11
01 07/01 JOURNAL 40,000 CV THERAPEUTICS INC CVT 40,014.44
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736F10 FROM 746FY0
03 07/01 MRKD/MARKET ... 07/05 WIRED FUNDS RECEIVED BY WIRE 24,090.73
01 07/05 JOURNAL 20,000 CV THERAPEUTICS INC CVT 21,112.50
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736F10 FROM 746FY0
01 07/05 ... JOURNAL -20,000 CV THERAPEUTICS INC CVT 21,112.50
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736FY0 FROM 746FY0
01 07/05 JOURNAL 40,000 CV THERAPEUTICS INC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01582243.pdf
EFTA01582069Set 10
2006-02-011p239w
WIRE 22,698.00
746F10 HIGHBRIDGE CAPITAL MANA
01 02/02 JOURNAL 15,000 CV THERAPEUTICS INC CVT 18,132.73
03.2500 08/16/2013
OFFSHORE ARRANGING FLIP
TO 736F10 FROM 746FY0
03 02/02 JOURNAL ... THERAPEUTICS INC 11,139.90
OFFSHORE ARRANGING FLIP
TO 736F10 FROM 746F10
01 02/02 SOLD -15,000 CV THERAPEUTICS INC CVT 118.98000 18,132.73
03.2500 08/16/2013
DONE AT CITIGROUP GLOBAL
MARKETS ... INC.
03 02/02 BOUGHT 426 CV THERAPEUTICS INC 26.15000 11,139.90
DONE AT CITIGROUP GLOBAL
MARKETS INC.
01 02/03 ADJUSTMENT ADJUST CREDIT INTEREST 8,496.06
CREDIT SUISSE SECURITIES
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01582069.pdf
EFTA01581907Set 10
2005-07-011p247w
WiANCING 86,438.02
FROM MIBEE0 TO II6FY0
01 07/01 JOURNAL -40,000 CV THERAPEUTICS INC CVT 40,014.44
03.2500 08/16/2013
OFFSHORE ARRANQLAG FLIP
TOIII6FY0 FROMIII6FY0
03 07/01 JOURNAL ... CORP 59.78920 132,715.37
DONE AT EDGETRADE.COM INC.
01 07/01 BOUGHT 40,000 CV THERAPEUTICS INC CVT 100.00000 40,000.00
03.2500 08/16/2013
CORRECTION
DONE As LEHMAN BROTHERS INC
01 07/05 ... 07/05 WIRED FUNDS RECEIVED BY WIRE 43,875.00
01 07/05 JOURNAL -10,000 CV THERAPEUTICS INC CVT 10,553.61
03.2500 08/16/2013
OF ORE ARRANIIIr FLIP
TO 6FY0 FROM 6FY0
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01581907.pdf