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EFTA00388343
Dataset 9
2013-06-26
7p
2,067w
Subject:
Early Tour 6.26.13
From:
Ike Groff
…Earnings are due out July 16th. Secondaries (announced/priced): CIDM, LXFT, FGP LN IPO's (announced &/or priced): NanoString Tech (NSTG) 5.4M shares priced at $10 (below), Green REIT plc IPO launch (€200M+ thru JPM & Davy, pricing July 12) IPO's (lock-up expires): Tumi Holdings (TUMI) US
Key Research
: •• Barcap reinstates NDAQ (ow), Citi downgrades MOSNHS, DB initiates ADS (buy) •• Jefferies upgrades ADBE (buy), JPM upgrades BSAC & downgrades RBCN •• Piper upgrades ARMH, Roth adds DGIT to focus list…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00388343.pdf
EFTA00387192
Dataset 9
2013-07-18
7p
2,112w
Subject:
Early Tour 7.18.13
…JAKK lowers sales view Secondaries (announced/priced): ACRX, TGTX, JAKK (convert), WWAV, SNTI IPO's (filed/priced): UCP (UCP) 7.75M-shares priced at $15 (low-end), OncoMed Pharmaceuticals(OMED) 4.8M shares priced at $17 (above range) US
Key Research
: Stifel initiates Shippers — STNG/NNA/CPLP/TNP/ANW (buys) & DSX/NMM/CMRE (holds) & SSW (sell) •• Wedbush initiates UA (op), Bernstein initiates FOXA (op), B. Riley initiates GUID (buy) • Raja downgrades CTXS, RBC initiates VTG, DB upgrades LNC/MET (buy)…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00387192.pdf
EFTA02154572
Dataset 10
2012-11-20
7p
1,779w
Subject:
Early Tour 11.20.12
…21.5M shares priced at C$17
Key Research
: Barcap initiates MPLX (ew) & upgrades EXPE, GS upgrades PENN/AKS and WFM/A (buy's) & cuts CLF
Key Research
: Dahlman Rose initiates GEOS (buy) and GGS/IO (hold), Jeff upgrades AXURIMMNNTV
Key Research
: Opco initiates MDCO (op) & downgrades EMR, Baird upgrades PNR/VVHZ, UBS downgrades INTC
Key Research
: Stifel initiates ISRG/BDX/ZMH/COV/JNJ/BCR/STJ/BAX (hold's) and SYK/CFN/BSX/EW (buy's)
Key Research
: MS initiates MPLX …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154572.pdf
EFTA02093112
Dataset 10
2014-10-15
8p
2,249w
Subject:
Early Tour 10.15.14
…5M shares (69.7% of outstanding) US
Key Research
: Barcap upgrades SBRA/HST & initiates CAPL (ew), BMO initiates FIS (mp), Stifel initiates GSM (buy) Drexel Hamilton initiates BAH (buy), GS initiates RCPT (buy) and adds MNST/NKE to Conviction Buy List JMP upgrades CAVM, Key downgrades THS, ISI initiates NBR (buy), MS downgrades INTC • Piper upgrades UNFI, Raja upgrades DIOD (strong buy), Roth downgrades DRTX, SunTrust upgrades CRL (buy) Europe
Key Research
: EFTA_R1_00693108 EFTA02093114 Bofa upgrades SSAB.A…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02093112.pdf
EFTA02108705
Dataset 10
2014-04-14
6p
1,515w
Subject:
Early Tour 4.14.14
From:
Ike Groff
…NA to sell 100 UK pubs — DUFN VX div unlikely — SY1 GR to buy Diana Deal Secondaries (announced/priced): CVM IPO's: Jumei International (JMEI) files $400M IPO through Goldman, Credit Suisse and JPMorgan, Parsley Energy (PE) files $400M IPO through Credit Suisse, Goldman Sachs, JPMorgan and Wells US
Key Research
: • Atlantic initiates LNKD (ow), Barcap upgrades PANW, DB upgrades BLMN (buy) & cuts MSFT • ISI upgrades DYN (buy), Jefferies initiates MDWD (buy) & upgrades LLY & cuts JNJ JMP initiates PCTY (mp)…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02108705.pdf
EFTA00413694
Dataset 9
2012-05-08
6p
2,161w
Subject:
Early Tour 5.8.12
From:
Ike Groff
…buy), Citi downgrades ERJ, FBR upgrades NNN
Key Research
: DB upgrades LPX (buy), Imperial initiates URS (op) & downgrades NCMI, Atlantic downgrades EP
Key Research
: JPM intiates ALNY (ow), Janney initiates APH (buy) and MOLX (newt), BB&T downgrades RAH
Key Research
: Mizuho downgrades MAKO, Baird upgrades CTSH & downgrades TNB & initiates RXN (op)
Key Research
: Raja initiates UIS (op) and CSC/PLT (mp's) and SAPE (strong buy), ISI initiates POM (hold)
Key Research
: MS upgrades DRC, Needham upgrades EA (buy)…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00413694.pdf
EFTA00406719
Dataset 9
2012-08-14
6p
1,737w
Subject:
Early Tour 8.14.12
From:
Ike Groff
…EROC IPO's: N/A
Key Research
: Barcap initiates SCSS (ow) & ZZ (uw) and PANW (ew), Key downgrades SCSC
Key Research
: GS downgrades DPZ/ENVI & resumes TIBX (neut) & initiates PANW (buy)
Key Research
: Citi initiates CYOU/GA/PWRD (buy's) & GAME/NTES (neut's) & downgrades GRPN
Key Research
: Janney downgrades NWY, CLSA initiates ARW/AVT/TECD (op) & IM (uw)
Key Research
: UBS initiates PANW (neut) & upgrades MCRO LN and ELN (buy), Piper initiates KYAK (neut)
Key Research
: DB downgrades SGMS…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00406719.pdf
EFTA00436427
Dataset 9
2011-03-30
4p
1,411w
Subject:
early tour 3.30.11
From:
Ike Groff <Ma
…$55M through Wells & JMP
Key Research
: Wells initiates BRKR/GEOI (op's) & WAT (mp), Moke initiates CTXS (op), Soleil initiates HCA (buy)
Key Research
: Baird upgrades STON, JMP initiates CWT (op) & downgrades RURL, FBR reiterates IFT (op) & positive NUAN
Key Research
: Bofa downgrades PHG/ITW & upgrades TIBX, Citi downgrades GCI & adds BLK to top picks live
Key Research
: BNP upgrades CON.GR, GS downgrades KSS & reduces target SWM & adds PM to conviction buy list
Key Research
: MF Global downgrades SBRY…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00436427.pdf
EFTA00409089
Dataset 9
2012-07-12
6p
1,994w
Subject:
Early Tour 7.12.12
From:
Ike Groff <MI >
…IMGN IPO's: N/A
Key Research
: Barcap initiates PVR/FMX (ow's) & KOF (ew)& downgrades LXK & upgrades AMCX
Key Research
: JPM initiates Y (neut) & upgrades CVX, Citi upgrades MRK (buy) & downgrades ADTN
Key Research
: Jeff downgrades EE, Piper initiates BKW/DNKN (ow's) & CBOU (neut), Canaccord cuts PRGO
Key Research
: ISI initiates ATHN/CTRX/MDAS/QSII (ow) & CERN/MDRX (mw) & HSIC/PDCO (uw), Jany cuts HRL (sell)
Key Research
: ISI initiates CVS/MCK/ABC (ow) & CAH/ESRX (mw) & WAG…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00409089.pdf
EFTA00403751
Dataset 9
2012-10-04
5p
1,632w
Subject:
Early Tour 10.4.12
From:
Ike Groff
…BERY) 29.4M-shares priced at $16
Key Research
: DB initiates LAMR (buy) & downgrades ECA (sell) & lowers HPQ pt, Jeff initiates CERN (hold),
Key Research
: MS initiates AME/RBC (ew's) and HUBB/CBST/NBIX/NPSP (ow's) and OPTR (uw)
Key Research
: UBS cuts ADTN/PLCM, Stifel downgrades ENS, Wells downgrades NOVA, JMP initiates ACCL (op)
Key Research
: RBC initiates CF (sp) & cuts UPS, Capstone initiated NILE (buy), Piper EFTA00403752 initiates QDEL (ow),
Key Research
: Nomura upgrades EBAY (buy…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00403751.pdf
EFTA02152106
Dataset 10
2013-01-02
5p
1,311w
Subject:
Early Tour 1.2.13
…IPO's: N/A
Key Research
: Barcap initiates WGP (ow) & reinstates WES (ow) & downgrades LNKD
Key Research
: CS downgrades WLP/MR, Jeff cuts AEO/ANN/SKUL/TGT & upgrades URBN
Key Research
: MS downgrades BF/A, UBS cuts HOV, JPM cuts NTLS, Raja upgrades QDEL EFTA_R1_00815919 EFTA02152107
Key Research
: Key upgrades VAL (buy), BMO initiates ABBV/ABT (op's) & upgrades SFD/BC
Key Research
: Piper downgrades TLYS, Citi cuts ASNA/ROST & upgrades PRXL (buy)
Key Research
: Numis upgrades DOM…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02152106.pdf
EFTA00410733
Dataset 9
2012-06-22
5p
1,541w
Subject:
Early Tour 6.22.12
From:
Ike Groff
…HIS, AEC IPO's: N/A
Key Research
: Barcap downgrades CIM, Imperial initiates TPC (op), Nomura initiates FB (buy), Piper upgrades TFM
Key Research
: Canaccord initiates SWKS (buy) & TQNT/RFMD (holds), Telsey initiates ADS/DFS/COF/AXP/V/MA
Key Research
: GS adds VOW GR & VOD LN to Conviction Buy List & cuts PTEC LN, DB initiates PANL (buy)
Key Research
: JPM initiates VFC (ow), MS upgrades ONYX, Think initiates MASI (buy), Baird initiates SHW (neut)
Key Research
: Bofa upgrades JACK…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00410733.pdf
EFTA02154660
Dataset 10
2012-11-23
5p
1,209w
Subject:
Early Tour 11.23.12
…
Key Research
: GS downgrades ASR, Stifel upgrades PO (buy), JPM upgrades AWC, RBC upgrades CSS CN, BMO initiates LYD CN (op)
Key Research
: DNB upgrade SONG NO, ABN upgrade AH NA, Exane upgrade PNN LN, Macq upgrade ENI IM
Key Research
: Nordea downgrade ALMB DC, Natixis initiate LAD LN (r), ING upgrade DE NA, BofAML upgrade BNP FP
Key Research
: HSBC downgrade FRA GY, Natixis initiate LTO IM (b), Nordea upgrade HMB SS, Natixis initiate PWL ID (n)
Key Research
…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154660.pdf
EFTA02155955
Dataset 10
2012-11-01
7p
1,651w
Subject:
Early Tour 11.1.12
From:
Henry Higdon
…IPO's: N/A
Key Research
: RBC downgrade TNTE NA, CS downgrade MNDI LN, GS downgrade BDEV LN
Key Research
: GS upgrade DOM LN, GS upgrade KGP LN, GS downgrade KON GY
Key Research
: GS upgrade ZAG AV, SocGen upgrade NXT LN, SocGen upgrade ABE SM
Key Research
: SocGen downgrade RXL FP, BofAML downgrade FME GY, BofAML downgrade CLN VX
Key Research
: BofAML downgrade BG/ LN, SocGen upgrade FP FP, Nordea downgrade SKAB SS
Key Research
: DB upgrade DANSKE DC…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02155955.pdf
EFTA02154412
Dataset 10
2012-11-16
7p
1,814w
Subject:
Early Tour 11.16.12
…files $200M through Both & GS
Key Research
: Barcap upgrades COP, Macquarie initiates FRAN (op) and ANN/CHS (op's)
Key Research
: Mizuho upgrades CPHD (buy), Compass Point initiates AMTD/ETFC/SCHW (neuts)
Key Research
: SunTrust initiates ISRGNAR (buy's) and HOLXJCPTS/IART/SYK/ZMH (neuts)
Key Research
: Piper upgrades ARTC, Wells upgrades NLY/HPY/IVR/MFA/CMO/HTS & initiates MITT (op)
Key Research
: Wells resumes CHKP/FTNT/FIRE (op's) and SYMC/PANW (mp's)
Key Research
: BMO cuts AEO…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154412.pdf
EFTA02154634
Dataset 10
2012-11-12
6p
1,421w
Subject:
Early Tour 11.12.12
…s (lock-up expires): Proofpoint (PFPT)
Key Research
: Bofa upgrades HIW/SLG and BBT (buy) & cuts ARE/KRCNNO, JPM upgrades DTSI & cuts CAT
Key Research
: Barcap upgrades ORA, Jeff cuts JNJ/NKTR & upgrades SQNM (buy) MS upgrades TRIP & cuts IQNT
Key Research
: CS downgrades JCPNRTX, Baird upgrades NAV, JPM and Stifel downgrade STRA, Citi upgrades CMA
Key Research
: Exane upgrades IHG LN, Citi downgrades RYA LN, Barclays initiates Russian Oil & Gas sector
Key Research
: GS reits conviction buy CFR VX…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154634.pdf
EFTA02139472
Dataset 10
2013-05-09
8p
2,231w
Subject:
Early Tour 5.9.13
…5.7M shares priced at $11.50 (midpt), Quintiles (O) 23.7M shares priced at $40 (top-end) EFTA_R1_00792377 EFTA02139474 US
Key Research
: • Barrington downgrades PODD, Evercore downgrades RAX, Janney downgrades CODI • Mizuho downgrades OFIX, Wells initiates INFI (op) & upgrades AWK, Brean cuts MFB • DB initiates KBR/FLR/CBI/PWR/MTZ (buys) & MDR/JEC (holds), Jefferies cuts BMC • Opco upgrades VSAT, GS downgrades TSLA, Citi downgrades TUMI/BLK Europe
Key Research
: e Citi upgrade KCO GY, ICL TI…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02139472.pdf
EFTA02143841
Dataset 10
7p
1,912w
Subject:
Early Tour 3.19.13
From:
MI
…HE, HPT, HEP, TICC, SBRA (atm) IPO's: N/A US
Key Research
: EFTA_R1_00800155 EFTA02143843 • Jefferies initiates ACAD (buy) & PSTI (hold), UBS downgrades AGCO/DE & upgrades PDCO (buy) • MS resumes CAR (uw) & downgrades KSS, GS downgrades JNPR (sell) & upgrades INFN & raises targets CYH/HCA/THC • Bofa downgrades RSH, BRiley initiates MEI (neut), MTabak downgrades CBRL, Stifel downgrades PDCE Europe
Key Research
: • UBS downgrade KABN SW, upgrade MEO GY, BERE downgrade WEIR LN JPM initiate KCHOL TI (ow), INCA…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02143841.pdf
EFTA02136008
Dataset 10
2013-06-14
7p
1,748w
Subject:
Early Tour 6.14.13
…$100M IPO through Goldman, Barclays, BofA and Citi US
Key Research
: EFTA_R1_00784638 EFTA02136009 • Barclays downgrades AXP, BNP upgrades CSC (buy), GS downgrades RBCN (sell) Jeff downgrades SO & upgrades OGE (buy) & initiates NLNK (buy). RBC downgrades MYGN • Mizuho initiate AVNR (buy), DA Davidson initiates FMBI/MBFI (buy) & VVTFC/FMER/TAYC (neutral) • KeyBanc upgrades HRL (buy), Opco upgrades GME, DB upgrades GRPN (buy), UBS downgrades STI Europe
Key Research
: • Barclays reits underweight OCDO LN, Berenberg raises pt ABI BB. JPM…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02136008.pdf
EFTA02135450
Dataset 10
2013-06-24
7p
1,582w
Subject:
Early Tour 6.24.13
From:
Ike Groff
…Telco -0.41% Lagging European Sectors: Fin Services -1.44%, Tech -1.37%, Healthcare -1.37% LPTN increases buyback — SBLK rights offering — JOSB seeking acquisitions Secondaries (announced/priced): UK GY IPO's (lock-up expires): Norwegian Cruise Line (NCLH) EFTA_R1_00783682 EFTA02135451 US
Key Research
: BMO initiates ECOM (op), Citi initiates BXMT (buy) & upgrades broker dealers (EV/FXCM/SCHWTTROW) • Compass Pt upgrades PHH (buy), GS upgrades CBOE/CME/GGG/POR & downgrades ITW/CNL GS initiates Homebuilders - MTH/RYL/TOL…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02135450.pdf
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