Selected Transactions in Capital Markets

Selected Transactions
(proprietary and 20 .27. syndicate)

$157,500,000 $314,285,708 $49,999,998 $91,547,730 $372,600,000

Common Stock Common Stock Common Stock Common Stock Common Stock
Follow‐on IPO Follow‐on IPO Follow‐on

Selling Group Selling Group Selling Group Selling Group Selling Group

$187,795,000 $154,500,000 $299,000,000 $252,448,000 $753,480,000

Lloyds LBC LBC LBC

Follow‐on Follow‐on Follow‐on Follow‐on Follow‐on


$901,600,000 $38,644,000 $60,000,000 $19,750,002 $1,204,740,000
ANDATEE ANNALY
LBC CHINA MARINE CAPITAL
FUEL SERVICES MANAGEMENT
Follow‐on Follow‐on IPO Follow‐on Follow‐on


$575,000,000 $42,000,000 $96,000,000 $9,335,963 $165,000,000
ANNALY
CAPITAL
MANAGEMENT
Common Stock Common Stock Common Stock Units Common Stock
Follow‐on IPO Follow‐on Follow‐on Follow‐on


$59,200,000 $34,492,500 $29,000,000 $45,300,000 $58,900,000



$87,500,000 $72,375,000 $162,000,000 $64,000,000 $435,250,000
AUSTRALIA
ACQUISITION
CORP.
Follow‐on Follow‐on Follow‐on IPO Follow‐on


$304,062,000 $633,750,000 $797,812,500 $812,500,000 $783,000,000

Follow‐on Follow‐on Follow‐on Follow‐on IPO


$22,425,000 $12,500,000 $6,000,000 $301,875,000 $42,500,000
BIOMED
REALTY
TRUST, INC.
Common Stock Common Stock Units Common Stock Common Stock


$30,031,200 $22,000,000 $14,000,000 $91,375,000 $15,000,000
BLACKSTONE/GSO BOOZ
SENIOR FLOATING ALLEN
RATE TERM FUND HAMILTON
Units Common Stock Common Stock Units Common Stock
Follow‐on IPO IPO Follow‐on IPO

Selling Group Selling Group Selling Group Selling Group Lead Underwriter

$7,000,000 $3,520,000 $3,500,000 $6,100,000 $1,000,000

Acquisition of
Acquisition of Purple Monkey Acquisition of Acquisition of Common Stock
Objectware Inc.
Objectware Inc Studios, Inc.
Studios Inc Tenth Floor, Inc.
Tenth Floor Inc Indigio Group Inc.
Indigio Group Inc PIPE

Exclusive Advisor Exclusive Advisor Exclusive Advisor Exclusive Advisor Placement Agent

$34,875,000 $92,000,000 $96,525,000 $5,000,000 $48,750,000
CARIBOU
COFFEE
COMPANY


$1,800,000 $40,000,000 $14,512,500 $375,705,000 $280,197,000

Common Stock Units Units Common Stock Units


$64,000,000 $35,000,000 $35,000,000 $150,000,000 $128,375,000



$221,875,000 $475,000,000 $7,419,729 $6,300,000 $36,225,000
CHINA CHINA
ARMCO CORD BLOOD
METALS, INC. CORPORATION
Follow‐on Follow‐on PIPE IPO Follow‐on

Selling Group Selling Group Co‐Placement Agent Co‐Underwriter Selling Group

$96,000,000 $10,050,000 $17,500,000 $40,075,000 $60,000,000
CHINA JO‐JO
DRUGSTORES, INC.

ADS Common Stock Common Stock ADS Common Stock
IPO IPO Follow‐on IPO Follow‐on

Co‐Manager Selling Group Selling Group Selling Group Selling Group

$32,582,524 $84,247,622 $17,424,999 $179,500,000 $2,000,000,000
CHINA CHINA
SHENGDA VANTAGEPOINT
PACKAGING ACQUISITION
Common Stock ADS Units Common Stock Preferred Stock
IPO IPO IPO Follow‐on Follow‐on


$54,621,849 $257,583,473 $499,200,000 $200,625,000 $72,670,000
COMMONWEALTH
REIT

Warrants Warrants Common Stock Common Stock Common Stock
IPO IPO Follow‐on Follow‐on Follow‐on


$64,960,000 $200,000,000 $32,200,000 $60,600,000 $60,000,000
THE CUSHING MLP THE CUSHING MLP THE CUSHING MLP
TOTAL RETURN FUND TOTAL RETURN FUND TOTAL RETURN FUND



$193,500,000 $395,471,152 $168,350,000 $151,389,000 $247,000,000



$33,750,000 $168,000,000 $807,300,000 $762,500,000 $112,500,000
DOUGLAS
DYNAMICS



$101,250,000 $422,538,750 $351,225,000 $411,600,000 $210,600,000

Common Stock Units Units Units ADRs
IPO Follow‐on Follow‐on Follow‐on IPO


$312,624,000 $43,600,000 $504,953,500 $474,375,000 $1,244,900,000
ENERGY INCOME
AND
GROWTH FUND
Units Common Stock Common Stock Units Common Stock


$550,000,000 $155,480,000 $150,412,500 $85,000,000 $151,250,000



$126,500,000 $1,700,000,008 $22,000,000 $75,037,495 $18,000,000
FIFTH FLATWORLD
STREET ACQUISITION
FINANCE CORP. CORP.
Follow‐on Follow‐on IPO IPO IPO


$49,000,000 $210,840,000 $20,000,005 $81,000,000 $21,000,000



$50,000,000 $6,313,000,000 $15,774,000,000 $128,125,000 $106,110,000
GENCO
SHIPPING
& TRADING
Common Stock Common Stock Common Stock Units Units
Follow‐on Follow‐on IPO Follow‐on Follow‐on


$2,509,000 $27,600,000 $63,480,000 $100,106,250 $34,000,000
GENESIS
OPPORTUNITY FUND

Limited Partnership Common Stock Units Common Stock Common Stock
Interests IPO Follow‐on Follow‐on Follow‐on

Lead Placement Agent Selling Group Selling Group Selling Group Selling Group

$75,017,500 $166,666,670 $74,250,000 $186,875,000 $3,786,000,000
GREEN PLAINS
RENEWABLE
ENERGY, INC.
Follow‐on IPO Follow‐on Follow‐on IPO


$366,000,000 $1,231,250,000 $600,000 $62,500,000 $145,000,000



$74,000,000 $125,000,000 $1,900,000 $9,319,098 $400,000

ADRs Common Stock Convertible Debt Units Convertible Debt
IPO Follow‐on Bridge Loan PIPE Bridge Loan

Selling Group Selling Group Co‐Lead Placement Agent Co‐Lead Placement Agent Placement Agent

$81,600,000 $15,000,000 $2,015,000 $12,800,000 $20,670,000
INTERVEST
BANCSHARES
CORPORATION
Common Stock Common Stock Convertible Debt Debt Common Stock
IPO Follow‐on Bridge Loan Recapitalization Follow‐on

Selling Group Selling Group Co‐Placement Agent Exclusive Advisor Selling Group

$143,000,000 $200,000,000 $54,325,000 $156,275,000 $95,700,000

IPO Follow‐on Follow‐on Follow‐on Follow‐on


$625,000,000 $2,863,998,000 $22,968,000 $16,500,000 $312,000,000
KRONOS
WORLDWIDE



$40,000,000 $1,000,000 $400,000 $25,000,000 $98,975,000
L&L
ACQUISITION
CORP Convertible
Units Preffered Stock Convertible Debt Common Stock Common Stock
IPO Private Placement
Private Placement Private Placement
Private Placement Follow on
Follow‐on Follow on
Follow‐on

Selling Group Lead Placement Agent Lead Placement Agent Selling Group Selling Group

$148,800,000 $52,000,000 $77,000,000 $59,597,000 $11,500,000

ADRs ADRs Common Stock Common Stock Units


$10,000,000 $17,000,000 $32,000,000 $1,414,500,000 $206,250,000
LOAN OAK
ACQUISITION
CORP.
IPO Follow‐on IPO Follow‐on Follow‐on


$133,000,000 $42,000,000 $64,225,000 $90,217,400 $57,500,000

ADRs Common Stock Common Stock Common Stock Common Stock
IPO Follow‐on Follow‐on IPO IPO


$253,500,000 $8,250,000 $133,333,344 $3,150,000,000
MEDLEY
CAPITAL
MEDICAL CORPORATION
CONNECTIONS, INC. Common Stock Units Common Stock Common Stock
Follow‐on Follow‐on IPO Follow‐on

Exclusive Advisor Selling Group Selling Group Selling Group Selling Group

$6,350,000,000 $160,000,000 $605,475,000 $868,827,300 $3,700,000

MORLEX, INC.

Follow‐on Follow‐on Follow‐on Follow‐on PIPE

Selling Group Selling Group Selling Group Selling Group Lead Placement Agent

$50,000,000 $245,640,000 $225,150,000 $90,000,000 $1,642,857,156
NEWCASTLE
INVESTMENT
CORP.
Common Stock Units Common Stock Common Stock Common Stock
IPO Follow on
Follow‐on IPO


$24,000,000 $138,483,000 $42,795,000 $120,000,000 $107,500,000



$22,500,000 $36,500,000 $50,000,000 $72,800,000 $322,500,000
OSSEN PERRY ELLIS
INNOVATIONS INTERNATIONAL
INC.
ADRs Common Stock Common Stock Common Stock Common Stock
IPO IPO Follow‐on Follow‐on Follow‐on


$3,000,000 $729,000,000 $237,375,000 $1,150,000,000 $36,000,000
PRIME
ACQUISITION
CORP.


$320,400,000 $100,000,000 $984,000,000 $864,990,000 $135,300,000

IPO IPO Follow‐on Follow‐on IPO


$231,750,000 $261,075,000 $6,000,000 $362,950,000 $4,715,000

Follow‐on Follow‐on PIPE Follow‐on Follow‐on

Selling Group Selling Group Lead Placement Agent Selling Group Selling Group

$93,600,000 $39,375,000 $41,400,000 $60,000,000 $315,120,000

Follow‐on
Follow on Follow‐on
Follow on Follow‐on
Follow on IPO Follow‐on
Follow on


$1,015,000 $15,400,000 $162,500,000 $57,250,000 $95,000,000
SEACUBE
CONTAINER
LEASING LTD.
Limited Partnership Units Common Stock Common Stock Common Stock
Interest IPO IPO Follow‐on IPO

Lead Placement Agent Selling Group Selling Group Selling Group Selling Group

$25,000,000 $294,687,500 $568,800,000 $119,401,330 $6,666,665
SENIOR
HOUSING
PROPERTIES
Follow‐on Follow‐on Follow‐on IPO IPO

Selling Group Selling Group Selling Group Selling Group Underwriter

$234,480,000 $28,691,250 $25,906,425 $25,000,000 $483,708,225
SINO
CLEAN
ENERGY, INC. SMARTHEAT INC.
Common Stock Common Stock Common Stock Common Stock Voting Shares


$108,947,360 $114,641,975 $37,550,368 $160,000,000 $19,837,500

IPO Follow‐on Follow‐on Follow‐on IPO


$114,750,000 $205,437,500 $48,769,200 $278,565,000 $500,000,000

Common Stock Units Units Units Common Stock


$160,875,000 $193,600,000 $394,600,000 $142,575,206 $303,600,000

IPO Follow on
Follow‐on


$253,500,000 $1,039,999,991 $825,000 $5,000,000 $806,300,000

Common Stock Common Stock Convertible Debt Sale of Assets Common Stock
IPO Follow‐on Private Placement to Lenco Mobile Inc. IPO

Selling Group Selling Group Lead Placement Agent Fairness Opinion Selling Group

$108,154,266 $20,000,000 $701,250,000 $233,750,000 $161,200,000



$262,360,000 $775,000 $2,615,859 $1,700,000 $13,400,000

Units Promissory Note Common Stock Units Debt
Follow‐on PIPE PIPE PIPE Recapitalization

Selling Group Lead Placement Agent Lead Placement Agent Co‐Placement Agent Exclusive Advisor

$136,800,000 $94,325,000 $99,630,000 $97,438,000 $56,000,000



$30,000,000 $226,100,000 $198,999,996 $41,000,000 $1,060,000,000
TORTOISE
THL CREDIT, INC. MLP
FUND, INC.
IPO IPO IPO Follow‐on IPO


$37,920,000 $57,750,000 $498,700,000 $102,350,000 $181,500,000

Common Stock Common Stock Common Stock Common Stock Depository Shares
Follow on
Follow‐on


$127,050,000 $14,000,000 $45,125,000 $97,500,000 $182,787,174



$11,003,200 $668,437,500 $522,461,892 $119,340,000 $220,282,500

IPO Follow‐on Follow‐on Follow‐on Follow‐on


$89,000,000 $224,400,000 $124,782,500 $26,400,000 $1,074,815,000

Units Units Units Common Stock ADS


$10,000,000 $185,000,000 $55,200,000 $42,000,000
ZEUS ZIONS
MANAGEMENT BANCORPORATION
SERVICES INC.
Debt / Profit Participation Equity Warrant Common Stock ADS
Facility Financing Derivatives Offering Follow‐on IPO

Placement Agent Selling Group Selling Group Selling Group

Selected Transactions in Capital Markets

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Selected Transactions in Capital Markets