EFTA00408946Set 9
2012-07-115p1,519w
SYT/DUK, BMO
downgrades SUI
Key Research: Jefferies downgrades HMSY/AGP, Stifel downgrades HGG, Wells initiates VPHM
(mp) and REXX (op)
Key Research: Susquehanna initiates NXPI (neut), JMP initiates JNPR (mp), Baird ... NKTR, ORCL, OREX, PAA, REIS, REXX, SCVL, SGNT,
SJM, SPG, TKOMY, TREE, VPHM
Shareholder Meetings: GNVC, FBNK, CVCO, HKAC, SCS, NLST, KUTV
Equity/Mixed Shelfs: N/A
S&P 600 change (after
https://www.justice.gov/epstein/files/DataSet%209/EFTA00408946.pdf
EFTA02145737Set 10
8p1,904w
HTWR, ICA,
INXN, ITT, LAMR, LTXC, MVIS, OGE, PACT, PDCE, SRT, STWD, SUSS, SWC, VPHM, XIN
Reporting Post-Close: JCP, LTD, MNST, MYL, PLL, ADC, AFCE, AGO, AHT, AMSF, AMSWA
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02145737.pdf
EFTA02167989Set 10
2012-05-298p2,736w
June 131 2012
• Featuring: BYI, CROX, MW, DOV, FLS, MTZ, FRC, SEIC, V, CIS, VPHM, CCI,
RLD, FNSR, FORM, JDSU, NEWP, LSTR
• Invitation is attached //Please email to register
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02167989.pdf
EFTA02123847Set 10
2013-10-3110p2,550w
ROIC, SFY, SHOO, SIR,
SMA, SMP, SRI, STFC, STRA, THRM, TUC, TYPE, ULBI, VICL, VPHM, WNR, WST, WWE, ZEUS,
EFTA_R1_00759683
EFTA02123851
O, SNAK
Reporting Post-Close
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02123847.pdf
EFTA02149039Set 10
2013-01-308p1,848w
Deal Roadshows: AHT, CSGP, DLA, EAT, EFC, FDS, GFI, IMAX, MLHR, MTDR, THLD, VAR,
VPHM
Shareholder Meetings: EAGL, MWA, SBH, GIB, HTHC, MGAM, SCHN, YDNT, V, LVB, XCO
Equity/Mixed Shelfs
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02149039.pdf
EFTA00386460Set 9
2013-08-018p2,693w
SNMK, SNN, SNTA, SPAR, SRI, STFC, TEVA, THRM, TMS, TRGP, TUC, UAN, ULBI,
VICL, VPHM, WLT, WNR, WST, WWE
Reporting Post-Close: AIG, AIV, ATVI
https://www.justice.gov/epstein/files/DataSet%209/EFTA00386460.pdf
EFTA00411369Set 9
5p1,719w
LTXC, MFI, MHLD, NEE, PETS, PPG, PRGX, PVCT, QLTY,
R, RTN, SIVB, STO, TTX, VPHM, VRTU, PPS
Shareholder Meetings: ENG, DLPH, ACIW, ICCC, AOL, CTP, IRM, LCC, SLXP, SUMR, VNDA
https://www.justice.gov/epstein/files/DataSet%209/EFTA00411369.pdf
EFTA00417991Set 9
2012-03-155p1,488w
IRET,
KLAC, LEN, LTXC, MSFT, QGEN, SGEN, SON, SRI, STAA, TDC, TFX, THR, TSS, VPHM, WWD, ALEX, NAV
Shareholder Meetings: OMN, ASA, BLD, HURC, NEI, SHFL, FFIV
Equity/Mixed Shelfs: GEVO
https://www.justice.gov/epstein/files/DataSet%209/EFTA00417991.pdf