EFTA02153650Set 10
2012-11-296p1,638w
least preferred
Key Research: Nordea downgrade GETIB SS, Nordea downgrade UIE DC, MS upgrade VOLVB SS
Key Research: MS downgrade Fl IM, MS downgrade DAI GY, MS upgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02153650.pdf
EFTA02122294Set 10
2013-11-139p2,367w
list, upgrade WOS LN, ATO FP, Citi upgrade NHY NO, AKE FP
• Barc downgrade VOLVB SS, CS downgrade AMEC LN, SECUB SS, upgrade WG/ LN
• Exane downgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02122294.pdf
EFTA02105754Set 10
2014-06-048p1,913w
light — MATAS DC touch light
HEXAB SS delays targets - MONI LN new co-CEO — VOLVB SS strong ACT data
Secondaries (announced/priced): LG, ALSN, TSLX (convert), PODD (convert), VOW3
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02105754.pdf
EFTA02114263Set 10
2014-02-248p1,984w
upgrades APAM/CM (buy) & cuts TD/TSU
Europe Key Research:
• BofAml downgrade VOW GY, Citi upgrade VOLVB SS, DB downgrade BBY LN, DG FP
Bare upgrade SCVB SS, FP FP, downgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114263.pdf
EFTA02134840Set 10
2013-07-017p1,813w
HUFVA SS, Investec upgrade RBS LN
• GS remove PKN PW from focus list, remove VOLVB SS from cony buy list
• JEFF upgrade CSR LN, Mira upgrade SAB LN, Beren reit
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02134840.pdf
EFTA02120424Set 10
2013-11-268p2,017w
Medio upgrade EFGN SW, Natixis downgrade FUR NA
Investec upgrade DLAR LN, DNB upgrade VOLVB SS, SONG NO, Panm upgrade DLAR LN
• RBC downgrade MGGT LN, upgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02120424.pdf
EFTA00391981Set 9
2013-04-196p1,843w
upgrade FRES LN
• MS upgrade FUM1V FH, Fl IM, downgrade SEV FP, VOLVB SS, resume MAN GY (ew), Oriel u/g RCP LN, d/g REX LN
• SocGen upgrade GLEN
https://www.justice.gov/epstein/files/DataSet%209/EFTA00391981.pdf
EFTA02141874Set 10
2013-04-198p1,816w
upgrade FRES LN
MS upgrade FUM1V FH, Fl IM, downgrade SEV FP, VOLVB SS, resume MAN GY (ew), Oriel u/g
RCP LN, d/9 REX LN
SocGen upgrade GLEN
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02141874.pdf
EFTA00396177Set 9
2013-02-116p1,674w
downgrade ELN ID, +ve PP FP
•• SocGen upgrade KPN NA, downgrade VOLVB SS, CS upgrade MND SJ, downgrade SAP SJ, UPM1V FH
• DB downgrade DANSKE DC, upgrade DMGT LN, Exane
https://www.justice.gov/epstein/files/DataSet%209/EFTA00396177.pdf
EFTA02149177Set 10
2013-02-118p1,669w
downgrade ELN ID, +ve
PP FP
• SocGen upgrade KPN NA, downgrade VOLVB SS, CS upgrade MND SJ, downgrade SAP SJ,
UPM1V FH
• DB downgrade DANSKE DC, upgrade DMGT LN, Exane
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02149177.pdf
EFTA02125732Set 10
2013-10-047p1,721w
HOME LN, DTE GY
• Nomura upgrade SAN SM, downgrade BBVA SM, GS downgrade VOLVB SS
• Citi downgrade European Steel (downgrade VOE AV, SZG GY), PTC PL
• BofAML initiate
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02125732.pdf
EFTA00614919Set 9
2014-10-1411p3,779w
Equity $ 429,836 s 0.01%
VOLVB SS Equity $ 1,619,203 s (21,852,940) 0.03%
VTI US Equity $ (1,768,598) s 26,314,104 -0.03%
WAG US Equity
https://www.justice.gov/epstein/files/DataSet%209/EFTA00614919.pdf
EFTA00293365Set 9
2014-10-1411p3,779w
Equity $ 429,836 s 0.01%
VOLVB SS Equity $ 1,619,203 s (21,852,940) 0.03%
VTI US Equity $ (1,768,598) s 26,314,104 -0.03%
WAG US Equity
https://www.justice.gov/epstein/files/DataSet%209/EFTA00293365.pdf