EFTA01079016Set 9
2015-12-3169p22,497w
6/12), OMAM (as of
10/14), PZN, SAMG (as of 9/13), TROW and WDR.
Source: SNL Database, Berkshire Capital research
Berkshire Capital Page 8
EFTA01079025
Rockefeller Financial Services, Inc.
Market & Industry ... 6/12), OMAM (as of
10/14), PZN, SAMG (as of 9/13), TROW and WDR.
Source: SNL Database, Berkshire Capital research
Berkshire Capital Page 9
EFTA01079026
Rockefeller Financial Services, Inc.
Market & Industry ... 6/12),
OMAM (as of 10/14), PZN, SAMG (as of 9/13), TROW and WDR.
Source: SNL Database, Berkshire Capital research
Berkshire Capital Page 10
EFTA01079027
Rockefeller Financial Services, Inc.
Market & Industry
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079016.pdf
EFTA00370756Set 9
2014-04-247p2,191w
NDAQ, NLSN, NUE, PHM, RTN, SCG, SIAL, SIRI, SWK,
TROW, TWC, UPS, VZ, WM, WYN, ZMH, AAL, ADES, AMAG, ASPS, AVT, BC, BCO, BKU, CAB, CAM, CAT, CCE, CCMP ... CSFL, GIFI, GRC, JNJ, KCLI, MBWM, MTG, NEU, ODP, PEBO, RF, SNV, SRCE, THS,
TROW, WMK, WRI, SAIA, ACI, ASR, CAS, FNLC, LECO
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370756.pdf
EFTA02107482Set 10
2014-04-248p2,185w
NDAQ, NLSN, NUE,
PHM, RTN, SCG, SIAL, SIRI, SWK, TROW, TWC, UPS, VZ, WM, WYN, ZMH, AAL, ADES, AMAG,
ASPS, AVT, BC, BCO, BKU, CAB, CAM, CAT, CCE, CCMP ... CSFL, GIFI, GRC, JNJ, KCLI, MBWM, MTG, NEU,
ODP, PEBO, RF, SNV, SRCE, THS, TROW, WMK, WRI, SAIA, ACI, ASR, CAS, FNLC, LECO
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02107482.pdf
EFTA00400698Set 9
2012-11-286p1,678w
OSIS, PACW, PERI, PERY, PRA, QRE, RBA,
RTIX, SGNT, SNTS, SONC, SRDX, STRM, TASR, TROW, UPS, VAR, VRX, WFR, WU, WWW, ALK, DAL
Shareholder Meetings: LTXC, ECTY
Equity/Mixed SheIfs
https://www.justice.gov/epstein/files/DataSet%209/EFTA00400698.pdf
EFTA00386142Set 9
2013-08-057p1,862w
ANAC
Non-Deal Roadshows: CL, CRL, CY, FDX, FFBC, IART, INCY, INTC, RDWR, RLI, TROW, TTWO, VIMC
Shareholder Meetings: LPHI
Equity/Mixed Shelfs: COBZ ($100M), MDC ($1.5B), KERX ($150M)
Other
https://www.justice.gov/epstein/files/DataSet%209/EFTA00386142.pdf
EFTA00434602Set 9
2011-04-215p1,693w
TROW,
TRV, UNH, VZ, XRX, ADS, AIT, AKZOY, ALK, AMRB, BLK, BX, CLS, CNH, COV, CP, CPX, CRRC, CSR,
CY, ENTG, ESI, FLWS, FNFG, GMT, GNTX, GPK, HAFC, HOME, HUB.B
https://www.justice.gov/epstein/files/DataSet%209/EFTA00434602.pdf
EFTA00400348Set 9
2012-11-306p1,660w
CLDX, CPSI, CYOU, EHTH, EXAS, GSE, HSIC, HWD, ING, KAI, LMAT,
SOHU, SYNC, TROW, UPS
Shareholder Meetings: XIN, ZOOM, CRFN, CRMD, ELMD, ARAY
Equity/Mixed Shelfs: FRO ($200M), GLAD ($300M
https://www.justice.gov/epstein/files/DataSet%209/EFTA00400348.pdf