EFTA02143854Dataset 10
7p1,691w
…PW • Carnegie downgrade MMO1V FH, CBK upgrade NDX1 GY, SDF GY, initiate LEG GY (add) • Nordea downgrade STCAS FH, RBC upgrade IPF LN, downgrade PFG LN, initiate TPK LN (op) • Numis upgrade BRK LN, downgrade SYNT LN, GFS LN, Equita upgrade A2A IM, ENI IM BERE upgrade LEG GY, ABBN VX, JEFF upgrade ARM LN, HSV LN, Akros downgrade LR IM Reporting Pre-Open: BWS, CDTI, CRME, CTRN, DXLG, FSS, HIBB, JST, JVA, KUTV, LIWA, PGNX, SNMX, STON, URRE, ZGNX…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02143854.pdf
EFTA02143841Dataset 10
7p1,912w
Subject: Early Tour 3.19.13
From: MI
…CBK upgrade GU GY, Shore upgrade HSBA LN, Investec downgrade ROR LN, upgrade RBS LN • Numis downgrade BBY LN, Oddo upgrade TOD IM, Cantor upgrade PFL LN, IMI downgrade ISG IM Nordea downgrade NHY NO, ERICB SS, DB downgrade DUFN SW, FRES LN, TKA AV BERN initiate W0H DC (up), SOON VX (up), GN DC (mp), AMP IM (mp) Reporting Pre-Open: AN, DSW, FDS, MBT, RNF, RTK, SBLK, SVNT, WAC Reporting Post-Close: ADBE, CTAS, AIR, FRAN, LFL, PRMW…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02143841.pdf
EFTA02123847Dataset 10
2013-10-3110p2,550w
Subject: Early Tour 10.31.13
…STL NO, upgrade POH1S FH SocGen downgrade IBE SM, upgrade CLN VX, GS downgrade LOND LN Maq remove ENI IM from cony buy, JEFF downgrade OR FP, upgrade HNE3 GY • Norea downgrade STL NO, Lampe upgrade BAS GY, downgrade FRA GY Natixis upgrade SAN FP, ENI IM, Akros downgrade F IM, upgrade IND IM • CBK downgrade SIE GY, KepChev downgrade DB1 GY, VOE AV Reporting Pre-Open: ABC, AVP, BEAM, CAH, CI, CLX, COP, DISCA, EL, HAR, IRM, IVZ, MA…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02123847.pdf
EFTA00407720Dataset 9
2012-07-317p2,168w
Subject: Early Tour 7.31.12
From: Ike Groff <Ma
…downgrades PMCS & initiates CMCSA/DTV/TWC (buy's) and CHTR/CVC/DISH (hold) Key Research: Wedbush downgrades LNN, Wunderlich downgrades PMCS, CS downgrades CBI Key Research: Swedbank downgrades ESV, Axiom initiates X (seil), Citi removes CVC from Top Picks Live Key Research: DB upgrades AF FP & downgrades STL NO/ITV LN, Barcap upgrades DAI GR Key Research: Nomura upgrades FP FP, Helvea upgrades ROG VX, Raja downgrades RYA ID Reporting Pre-Open: ADM, AET, CMI, COH, DISCA, ECL, ETR, GT…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00407720.pdf
EFTA00425821Dataset 9
2011-10-195p1,652w
Subject: early tour 10.19.11
From: Ike Groff <MI >
…Mizuho initiates CVS (buy) & WAG (n), FBN downgrades IBM, JPM downgrades JAG, UBS initiates CMG (n) Key Research: William Blair initiates ASGN (op), Baird upgrades UNF, MS initiates APC (ow) & downgrades ATW/RDC Key Research: BB&T upgrades CNW (buy) & downgrades LNC, MKM initiates BMY (sell), Collin Stewart initiates BA (buy) Key Research: Lazard initiates LNKD (n), Canaccord downgrades RRC, Bofa upgrades CP, GS upgrades HOT GY Reporting Pre-Open: ABT, APH, APOL, BK, BLK, CMA, FCX, MS, MTB, NTRS…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00425821.pdf
EFTA00428205Dataset 9
2011-09-135p1,529w
Subject: early tour 9.13.11
From: Ike Groff
…AXTI (neutral), Merriman initiates DLB (neutral), Multiple MTGE initiations, MS downgrades QLIK & SWI Key Research: Wells initiates Chemicals (DOW/LYB/GGC/OLN/WLK/POL/PPG/SOA/HUN/KRO/DD/AGNC) & AGNC (op) Key Research: Wedbush initiates CAVM (neutral) & assumes NVDA/TXN (op's) & LSI (neutral), Janey initiates SODA (buy) Key Research: Ticonderoga initiates BX (buy) / KKR (neutral) / APO (buy), JPM downgrades SHO, Citi adds FINL to top picks live & replaces FL Reporting Pre-Open: BBY, CBRL, DFZ, GNET, PMFG Reporting…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00428205.pdf
EFTA02131269Dataset 10
2013-08-209p2,085w
Subject: Early Tour 8.20.13
…Basic Resources, Construction, Autos/Parts all leading the way lower on general de-risking. Some MM in the German real estate sector with Deutsche Wohnen agreeing to buy GSW Immobilien (GIB GY) in an all-stock deal. Volumes stronger today and currently tracking 115% of the 3m average. US 10yr yield backing up -7.3bps to 2.8078%. Several retailers reporting pre-open in the US. SPA's -2 handles = 1642.10 last. ***BBY, DKS, HD, JCP, TJX, BKS…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02131269.pdf
EFTA02114290Dataset 10
2014-02-218p2,059w
Subject: Early Tour 2.21.14
…SPA's +3 handles = 1840 last. **Existing Home Sales @ 10am, Options Expiration Today*" ***CHTR & DISH reporting pre-open, Volkswagen #'s due today as well*** "*USA vs Canada Men's Hockey Semi-Finals @ 12pm EST*" • Hewlett-Packard revs/eps for O1 beat estimates on increased server demand (trading +3.4%) • Brookdale to buy Emeritus Senior Living in $2.8B deal (ESC holders get 0.95 BKD shares) • Priceline.com O4 results beat estimates on better than expected European earnings (trading…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114290.pdf
EFTA02154470Dataset 10
2012-11-157p1,892w
Subject: Early Tour 11.15.12
…TWC, Barcap upgrades BAG LN, Bernstein downgrades KPN NA, BMO upgrades IMG CN Key Research: DB upgrades TKA AV (buy), BNP downgrades KN FP, GS upgrades HOC LN & cuts NYR BB Key Research: JPM cuts GAS SM, MS upgrades DIA IM, Macquarie upgrades S92 GR, UBS upgrades POP SM EFTA_R1_00820518 EFTA02154472 Key Research: SocGen upgrades OPHR LN/DIM FP/BVIC LN/BAG LN & downgrades SRS IM Reporting Pre-Open: DLTR, GME, HP, ROST, TGT, VIAB, WMT, AHONY, AMAP…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154470.pdf
EFTA02123897Dataset 10
2013-10-288p1,901w
Subject: Early Tour 10.28.13
…last. "industrial Production @ 9:15am, Pending Home Sales t 10am, Dallas Fed CD 10:30amm "'BBB, EW, L, MRK reporting pre-open / AAPL, STX, HLF, LINE reporting after close*" • JPM agrees to pay $5.1 billion to settle mortgage claims with FHFA over Fannie & Freddie EFTA_R1_00759744 EFTA02123897 • Intercontinental Hotels Q3 US RevPar growth +3.5% = touch light (Sep weak at +1.6%) (trading - 2.1%) • Assa Abloy O3 net income inline, revs & EBIT slight ahead, solid outlook…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02123897.pdf
EFTA02114263Dataset 10
2014-02-248p1,984w
Subject: Early Tour 2.24.14
…FP '.• JEFF downgrade SPRT LN, JPM upgrade OSC GY, SCVB SS, THR BB KBC upgrade THR BB, KepChev initiate FER SM (b), Natixis downgrade BKIA SM, VOW GY EFTA_R1_00738952 EFTA02114265 - Nordea downgrade LUMI SS, MATAS DC, CBK downgrade AIXA GY, HSBC downgrade PSG SM r UBS upgrade GOG LN, downgrade ATL IM, RBC upgrade SVT Ln, UU/ LN, PNN LN Reporting Pre-Open: ALX, ATHM, AWI, CTCH, ECYT, EE, GTAT, KOS, MHR, MOBI, PANW, ROG, ROSE, SMP, SING…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114263.pdf
EFTA02128729Dataset 10
2013-09-138p1,870w
Subject: Early Tour 9.13.13
…Oddo restart ALO FP (n), Natixis upgrade NK FP • Exane downgrade HAV FP, KepChev upgrade RHK GY, downgrade SEM AV • HSBC upgrade MPI LN, remove G1A GY from super 1 — add BAS GY Reporting Pre-Open: OPTT Reporting Post-Close: 747A Economic Data: PPI / Retail Sales © 8:30am, U. of Michigan Consumer Confidence @ 9:55am, Business Inventories © 10am Conferences: Bofa Healthcare (London). Barcap Energy (NYC), UBS Paper & Forest Products (NYC) Analyst/Investor Days: PFG EFTA_R1_00769751 EFTA02128731…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02128729.pdf
EFTA02121449Dataset 10
2013-11-208p1,904w
Subject: Early Tour 11.20.13
…uw), BDEV LN (ow) • Barclays downgrade WDI CY, upgrade MEO CY, CBK downgrade GFK GY • DBK downgrade ECM LN, DZ Bank downgrade GWI1 GY • HSBC downgrade WEIR LN, AB1 GY, SMIN LN, upgrade EZJ LN, DNB NO • JPM upgrade KCOM LN, SMWH LN, downgrade DAY LN, Natixis downgrade GFT FP Soc Gen upgrade VAC FP, downgrade NDA SS, DANSKE DC Reporting Pre-Open: ADT, DE, JCP, LOW, SJM, SPLS Reporting Post-Close: GMCR, LTD, BC, DATE, DL, JACK, KONG, NED…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02121449.pdf
EFTA02143623Dataset 10
2013-04-097p1,654w
Subject: Early Tour 4.9.13
…LN, POG LN, ABG LN, Medio downgrade 1913 HK, AMP IM • BEREN downgrade SDF GY, upgrade SYNN VX, initiate YAR NO (b), URKA LI )h), RenCap initiate MOEX RU (b) Reporting Pre-Open: ZEP, SYRG Reporting Post-Close: ADTN, ATNY, CCIH, PSMT, SEAC Economic Data: NFIB Small Business Optimism @ 7:30am, JOLTs Job Openings / Wholesale Inventories © 10am Treasury Auction of 3-yr Notes @ 1pm ($32B), API crude oil inventories © 4:30pm Fed Speakers: Lacker @ 9:30am (Richmond, VA…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02143623.pdf
EFTA02101572Dataset 10
2014-07-239p2,236w
…LN (op), GS initiates BME LN (buy), Jefferies initiates PLND LN (up) & BME LN (buy) • JPM upgrades MUV2 GY & EDR SM, LBBW downgrades BOSS GY, Natixis upgrades ARM LN Nordea downgrades KRA1V FH, Numis upgrades RSW LN, Oddo upgrades HAV FP • Oriel initiates BTG LN (sell), SEB upgrades KESBV FH & ADDTB SS & downgrades KRA1V FH • ShoreCap upgrades CPI LN, SocGen upgrades BMPS IM, UBS downgrades CORA NA Reporting Pre-Open: APD, APH, BIIB, BA, CHKP, DAL, DOW, EMC, FCX, GD…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02101572.pdf
EFTA02112117Dataset 10
2014-03-118p2,090w
Subject: Early Tour 3.11.14
…LN, RBC upgrades EN FP & AV/ LN Mediobanca upgrades BC IM, MS downgrades MIC SS, Kepler upgrades SYNN VX & downgrades WDF IM Kepler re-initiates RI FP (hold) & MF FP (buy), Exane downgrades AIXA GY, Liberum downgrades JMAT LN Investec downgrades RWE GY, Natixis downgrades ILD FP & ZC FP, HSBC upgrades SY1 GY • Espirito upgrades SON PL & downgrades WEIR LN, Panmure upgrades CCC LN, ABN downgrades USG NA Reporting Pre-Open: AEO, AFAM, ARCO, BONT, BPI, CBLI, CMN, CTC, DKS…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02112117.pdf
EFTA02149177Dataset 10
2013-02-118p1,669w
Subject: Early Tour 2.11.13
…DC, upgrade DMGT LN, Exane upgrade TSCO LN, Chev downgrade TLSN NO Swedbank downgrade GETIB SS, NOVOB DC, upgrade RATOA SS, Mediobanca upgrade SWEDA SS • Natixis downgrade NOVOB DC, upgrade NESN VX, Bere upgrade ROS AV, SEB downgrade CARLB DC EFTA_R1_00808870 EFTA02149179 Nordea downgrade CRA1V FH, downgrade EVRY NO, REC NO, KOG NO, Oriel downgrade PFC LN Reporting Pre-Open: LOW, ACAS, ASFI, BWP, CAN, MDCI, NAT, NSSC, RDN, WPP Reporting Post-Close: DNB, MAS, ACGL, AFG, API…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02149177.pdf
EFTA02142802Dataset 10
2013-04-087p1,595w
Subject: Early Tour 4.8.13
…ISP IM, UCG IM, JEFF initiate ELM LN (b), VCT LN (h), SYNT LN (h) • SEB downgrade WDH DC, upgrade INDUA SS, Espirito upgrade AGK LN, Nordea upgrade FIS1V FH EFTA_R1_00798807 EFTA02142804 Reporting Pre-Open: AZZ Reporting Post-Close: AA, ANGO, MG, SHLM Economic Data: No major releases Fed Speakers: Pianalto @ 8:30am (West Palm Beach, FI), Bernanke i 7:15pm (Atlanta Fed Conf) Conferences: No major confereces Analyst/Investor Days: HILL Non-Deal Roadshows: ACW, AMRC, ARIA…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02142802.pdf
EFTA02105379Dataset 10
2014-05-159p2,369w
Subject: Early Tour 5.15.14
…LN, DNB upgrades ARCHER NO • ING downgrades EVS BB, Intermonte downgrades BLZ IM, Nordea downgrades LSG NO, SocGen EFTA_R1_00719758 EFTA02105382 downgrades SRS IM Equita upgrades IP IM, Mediobanca upgrades IP IM, Commerzbank downgrades LEG GY, Numis upgrades KIE LN RBC downgrades CPG LN, FP FP, STL NO and upgrades BP/ LN, SocGen initiates FUM1V FH (sell) UBS adds IAP LN to least preferred list (sell) Reporting Pre-Open: CA, KSS, WMT, AAP, ACAT, ADGE, ADHD, AMS, ATK, BASI…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02105379.pdf