EFTA00199200Set 9
632p144,902w
EXECUTION BY INET
COMMISSION 48.00
SEC FEE 1.48
12114/01 12/11/01 BOUGHT WILLIAMS SONOMA INC WSM 1.600 39.07820 62,636.12
SEE NOTE 5 ON BACK
COVER SHORT,
EXECUTION BY BUCK
COMMISSION ... CIRCUMSTANCE
SHORT,
EXECUTION BY INET
COMMISSION 21,00
12/17/01 12/12/01 BOUGHT WILLIAMS SONOMA INC WSM 1.600 38.16000 61,167.00
SEE NOTE '5' ON BMX
COVER SNORT,
EXECUTION BY BUCK
COMMISSION
https://www.justice.gov/epstein/files/DataSet%209/EFTA00199200.pdf
EFTA02121449Set 10
2013-11-208p1,904w
SPLS reports pre-open-
- GMCR, LTD, BC, JACK, POST, WSM #'s post close—
• La-Z-Boy Q2 epslrevs easily beat as net more than doubled & boosted dividend by 50% (trading ... Post-Close: GMCR, LTD, BC, DATE, DL, JACK, KONG, NED, NMIH, PLNR, POST,
VVTV, WSM
Economic Data: CPI / MBA Mortgage Applications / Retail Sales @ 8:30am, Existing Home Sales /
Business Inventories
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02121449.pdf
EFTA02130329Set 10
2013-09-038p1,866w
cuts
DF
BMO cuts LEAP, JPM upgrades O1, Canaccord downgrades WSM, Compass Point upgrades GDOT
(buy)
• Stifel initiates FOXF (hold) and CVT (hold)
Europe Key Research:
JPM u/g TALK ... Boston), Citi Tech (NYC)
Analyst/Investor Days: N/A
Non-Deal Roadshows: HON, IART, INCY, USPH, WSM
Shareholder Meetings: FNSR, HIMX, SPRD
Equity/Mixed Shelfs: OVAS ($100M), CUR ($50M), GOOD ($300M)
Other Newspaper
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02130329.pdf
EFTA02143841Set 10
7p1,912w
30am. SPA's -1 handle = 1546.40 last.
***Housing Starts & Building Permits @ 8:30am***
•**ADBE & WSM reports #'s after close***
• Electronic Arts CEO to step down & O4 outlook ... SBLK, SVNT, WAC
Reporting Post-Close: ADBE, CTAS, AIR, FRAN, LFL, PRMW, WSM
Economic Data: Housing Starts & Building Permits @ 8:30am
API crude oil inventories © 4:30pm
Conferences: Howard Weil
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02143841.pdf
EFTA00612219Set 9
13p7,996w
6h6to, cow.. futro...414W vow Tr: De" entry Lovol Cum...Pm. Cr/IntOtt WSM
coovioeseo Pashas/ med
IeMx•l0 01.0.44013 Omn.lMMeneo W t= :ornawi.Colc. 4.M• Xo •31% lan w/WM ... coo6.,...., fl are, Gentiky Olvirliend reld bwilmslry Inliry IF•ke Ciann1Pel. GONADS, WSM
1243410 M MM 0.) ' rm03 1301 511.39 nt%
110X.11 7999920 Str9076 Mt I379 OD COMPronkinbitt 51966 S1399
https://www.justice.gov/epstein/files/DataSet%209/EFTA00612219.pdf
EFTA02153545Set 10
2012-12-036p1,477w
DELL (buy) & downgrades JNS/ELX/QLGC (sell's), DB upgrades
IGTrrOT (buys), MS upgrades WSM
Key Research: Stifel upgrades WWAV, Bernsein downgrades EIX, JMP upgrades BSX, UBS
downgrades TEVA, Nomuta cuts
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02153545.pdf
EFTA02097378Set 10
2014-09-118p2,083w
RPTP, RUTH, SIMO, SIRI, STXS, SXCP, TRIB,
TSRO, USG, VTNR, VTSS, VVTV, WAGE, WSM, XLRN, XPO
Shareholder Meetings: LNG, OXBT, HRB, MCZ
Equity/Mixed Shelfs: IMMY ($75M), ARPI ($16)
EFTA
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02097378.pdf
EFTA02111491Set 10
8p1,850w
HMIN, IRET, JONE, KCAP, KKD, MTDR, MTN,
OREX, PRSC, SGMS, STEM, SUPN, ULTR, UMH, WSM
Economic Data: MBA Mortgage Apps c lam
DOE crude oil inventories c 10:30am
Conferences
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02111491.pdf
EFTA00400426Set 9
2012-12-035p1,488w
DELL (buy) & downgrades JNS/ELYJQLGC (sell's), DB upgrades IGT/TOT (buys),
MS upgrades WSM
Key Research: Stifel upgrades WWAV, Bernsein downgrades EIX, JMP upgrades BSX, UBS downgrades TEVA, Nomuta
cuts
https://www.justice.gov/epstein/files/DataSet%209/EFTA00400426.pdf