EFTA02155955Dataset 10
2012-11-017p1,651w
Subject: Early Tour 11.1.12
From: Henry Higdon
…LVS, MELT, MERC, MHGC, MHK, MTD, NEM, NILE, PBI, PCLN, RATE, SAM, SBUX, SFLY, SWKS, SWN, TRIP, TXRH, UNTD, VCLK, VNO, WBMD, WMS, YELP, ZAGG Economic Data: ADP Employment @ 8:15am, Jobless Claims c 8:30am, ISM & Construction Spending & Consumer Confidence @ 10am, Auto Sales Conferences: Morgan Stanley Metals & Mining European Tour Analyst/Investor Days: TXN, VAR Non-Deal Roadshows: N/A Shareholder Meetings: N/A Equity/Mixed Shelfs: N/A Other Newspaper Articles & Stories • Barclays to pay $470m for electricity…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02155955.pdf
EFTA02112117Dataset 10
2014-03-118p2,090w
Subject: Early Tour 3.11.14
…IPO's (lock-up expires): RetailMeNot (SAE) US Key Research: • Barcap initiates MGIC (ew), Canaccrod initiates DXLG (buy), UBS initiates TMH (buy) Ascendiant initiates NEON/RFMD/SWKS/TWNT/TSEM/TXN (buy) & INTC (sell) Bernstein initiates CSCO/FFIV/UBNT (op) & JNPR (mp) & ARUN/RKUS (up) GS adds CDW to Conviction Buy List & upgrades ITMN (buy) & downgrades VIPS EFTA_R1_00734481 EFTA02112119 • Imperial initiates FLIR (in-line) and ISH (op), Piper initiates BLOX (ow) RBC downgrades TGI & upgrades WAIR, Stifel downgrades (INGN)…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02112117.pdf
EFTA02114020Dataset 10
2014-02-198p2,006w
Subject: Early Tour 2.19.14
…NE, NOV, OMCL, PRXL, PSEC, PSTI, RBA, SALE, SN, SPB, SWKS, SYNA Shareholder Meetings: CHFN, LEE, UTI, TRER, VAL, SIRO, ATW EFTA_R1_00738486 EFTA02114023 Equity/Mixed Shelfs: ADXS ($50M), MWE (SUB) Other Newspaper Articles & Stories WSJ positive: Duke Energy (DUK) WSJ • Netflix-Traffic Feud Leads to Video Slowdown WSJ • Raising Minimum Wage Reduces Jobs, Poverty, Study Says WSJ • Inside Target, CEO Gregg Steinhafel Struggles to Contain Giant Cybertheft WSJ • Fed Sets Rules for Foreign Banks WSJ • As Coffee Soars…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114020.pdf
EFTA02153545Dataset 10
2012-12-036p1,477w
Subject: Early Tour 12.3.12
…HA, SLG, NRGY, DOW EFTA_R1_00819254 EFTA02153547 Non-Deal Roadshows: ACI, AMRE, BIOS, CKSW, CLX, CYOU, ECL, GRMN, KNL, OFG, PVTB, SOHU, STI, SWKS, SXL, TECD, TOT, WRLS, OGE Shareholder Meetings: DQ, CXDC, KNXA, GEOY, FMAR, FNSR, AIRM, Equity/Mixed Shelfs: OILT ($600M), NTAP, TBBK ($100M) Other Newspaper Articles & Stories Barron's cover: Discusses philanthropy in America Barron's Barron's positive: Liberty Media (LMCA) Barron's, Transocean (RIG) Barron's, HomeTrust Bancshares (HTBI) Barron's WSJ cautious: Netffix…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02153545.pdf
EFTA02105372Dataset 10
2014-06-067p1,595w
Subject: Early Tour 6.6.14
…downgrades EDPR PL, DNB initiates VARDIA NO (buy) Reporting Pre-Open: KMG, MDI CN, PNY Reporting Post-Close: JOSB, ODC Economic Data: May Employment Report 8:30am, Consumer Credit i 3pm Conferences: WWDC (SF) Analyst/Investor Days: TRV, AAWW, MWE Non-Deal Roadshows: AXGN, CODE, ELOS, FRP, HIVE, IHG, KFX, ORM, PCP, PPO, SGI, SWKS, WCC, XRX Shareholder Meetings: ENT, WMT, BABY, LDOS, VAC, DLLR, FVE, TAXI, TGTX, ACAD, GRMN, LAYN, MWE, ADNC, ONTY, IMMR, CAP, PULS, SBSA Equity/Mixed…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02105372.pdf
EFTA02149039Dataset 10
2013-01-308p1,848w
Subject: Early Tour 1.30.13
From: MN
…KNX, KRC, LVS, MEOH, MKSI, MRLN, MX, NOW, NXPI, QTM, RCKB, REG, SGI, SHOR, SLG, SRDX, STM, SWKS, TFSL, TGI, TSCO, TTEK, USLM, VHS, VRTU, WASH Economic Data: MBA Mortgage Applications @ 7am, ADP Employment Change @ 8:15am, GDP / Personal Consumption @ 8:30, FOMC Rate Decision @ 2:15pm DOE crude oil inventories @ 10:30am, Treasury Auction of 7-yr Notes @ 1pm ($29B) Conferences: No major conferences. Analyst/Investor Days: VELT, KMI EFTA_R1_00808720 EFTA02149042 Non-Deal Roadshows: AHT, CSGP, DLA…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02149039.pdf
EFTA00410733Dataset 9
2012-06-225p1,541w
Subject: Early Tour 6.22.12
From: Ike Groff
…announced/priced): CNDO, CNCO, 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…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00410733.pdf
EFTA00370946Dataset 9
2014-04-176p1,714w
Subject: Early Tour 4.17.14
From: Ike Groff
…$9.50 (below), Vital Therpies (VTL) 4.5M shares priced at $12 (below), Zoosk (ZSK) files $100M IPO through Bofa, Citi, RBC IPO's (lock-up expiration): Waterstone Financial (WSBF), Fuel Cell Energy (FCEL), First Republic Bank (FRC) US Key Research: EFTA00370947 • BMO initiates RFMD/SWKS/TWNT (mp), DB upgrades EFX (buy), Leerink downgrades MDCO • Raja initiates GBDC/HAFC (op), Vertical initiates DMRC (buy), RBC initiates PCL (op) • Jefferies upgrades EFX/EIX (buy), JPM upgrades GOGO/BWP, Longbow initiates NCLH …
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370946.pdf
EFTA00400426Dataset 9
2012-12-035p1,488w
Subject: Early Tour 12.3.12
From: Ike Groff
…DOW Non-Deal Roadshows: ACI, AMRE, BIOS, CKSW, CLX, CYOU, ECL, GRMN, KNL, OFG, PVTB, SOHU, STI, SWKS, SXL, TECD, TOT, WRLS, OGE Shareholder Meetings: DO, CXDC, KNXA, GEOY, FMAR, FNSR, AIRM, Equity/Mixed Shelfs: OILT ($600M), NTAP, TBBK ($100M) Other Newspaper Articles & Stories Barron's cover: Discusses philanthropy in America Barron's Barron's positive: Liberty Media (LMCA) Barron's, Transocean (RIG) Barron's HomeTrust Bancshares (HTBI) Barron's WSJ cautious: Netflix (NFLX) WSJ EFTA00400428 • Global Gas Push Stalls…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00400426.pdf
EFTA00387192Dataset 9
2013-07-187p2,112w
Subject: Early Tour 7.18.13
…CE, COBZ, CPHD, CYN, CYT, EFII, EGP, ELY, FWRD, GRT, HUBG, ICUI, MATW, OCFC, PGI, SWKS, WAL, WHG Economic Data: Jobless Claims @ 8:30am, Bloomberg Consumer Comfort & Economic Expectations @ 9:45am, Philadelphia Fed / Leading Indicators @ 10am EIA natural gas storage @ 10:30am, Treasury auction in 10yr TIPS @ 1pm ($15B) Conferences: No major conferences Analyst/Investor Days: PGNX Non-Deal Roadshows: AMRN, CHTP, DRH, SJM Shareholder Meetings: AMCN, DELL, FINL, TGI, CCEL, GPOR, MOD, SILU, CAW Equity/Mixed Shelfs: ONVO (S100M…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00387192.pdf
EFTA00370849Dataset 9
2014-04-226p1,752w
Subject: Early Tour 4.22.14
From: Ike Groff
…AMSG, BBNK, BUSE, CBST, CBU, CREE, CSFL, CVA, CYT, ETH, FBC, FMBI, FULT, HA, HAFC, HLIT, lEX, IRBT, PFBC, PKG, RNST, RPT, SANM, SKX, SMCI, SWKS, TIS, TRMK, UIS, UMBF, VASC, VICR, VMI, VMW, VPFG, WRB, WSBC, WWD, ROOM, ZIXI Economic Data: House Price Index @ 9am, Existing Home Sales @ 10am Treasury auction in 2yr notes @ 1pm, API crude oil inventories @ 4:30pm Conferences: no major conferences Analystlinvestor Days: GME, MED, REGI Non-Deal Roadshows: BAC, CEMP, EXAM, GPN, HLSS, KEYW…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00370849.pdf
EFTA00380436Dataset 9
2013-10-308p2,669w
Subject: Early Tour 10.30.13
From: Ike Groff
…PSMT, PVA, QUIK, RAIL, RATE, RKUS, RM, RNWK, ROVI, RRTS, SAM, SGI, SGK, SHOR, SIGI, SJW, SKUL, SLRC, SPRT, SPWR, SSNI, SSW, STAA, STNR, STR, SUNS, SWKS, TFSL, THG, THOR, TRN, TSYS, TTEC, TTMI, TTS, TUES, UIHC, UNTD, VNR, WPZ, WTW, ZLTQ EFTA00380439 Economic Data: MBA Mortgage Applications @ 7am, ADP Employment Change @ 8:15am, CPI @ 8:30am, FOMC Rate Decision @ 2pm Conferences: No major conferences Analyst/Investor Days: JBL, KR, MAT Non-Deal Roadshows: BDSI, CA, CASY, CVLT, DTLK, GME…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00380436.pdf