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$157,500,000 $314,285,708 $49,999,998 $91,547,730 $372,600,000
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐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
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$901,600,000 $38,644,000 $60,000,000 $19,750,002 $1,204,740,000ANDATEE ANNALY
CHINA MARINE CAPITAL
FUEL SERVICES MANAGEMENTCommon Stock Common Stock Common Stock Common Stock Common Stock
Follow‐on Follow‐on IPO Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
Selected Transactions (proprietary and 20лт ǘƘNJƻdzƎƘ мн.27.нлмн syndicate)
$575,000,000 $42,000,000 $96,000,000 $9,335,963 $165,000,000ANNALY
CAPITAL
MANAGEMENTCommon Stock Common Stock Common Stock Units Common Stock
Follow‐on IPO Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$59,200,000 $34,492,500 $29,000,000 $45,300,000 $58,900,000
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$87,500,000 $72,375,000 $162,000,000 $64,000,000 $435,250,000AUSTRALIAACQUISITION
CORP.Common Stock Common Stock Common Stock Units Common Stock
Follow‐on Follow‐on Follow‐on IPO Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$304,062,000 $633,750,000 $797,812,500 $812,500,000 $783,000,000
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on Follow‐on Follow‐on Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$22,425,000 $12,500,000 $6,000,000 $301,875,000 $42,500,000BIOMEDREALTY
TRUST, INC.Common Stock Common Stock Units Common Stock Common Stock
Follow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$30,031,200 $22,000,000 $14,000,000 $91,375,000 $15,000,000BLACKSTONE/GSO BOOZSENIOR FLOATING ALLENRATE 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 ofAcquisition of Purple Monkey Acquisition of Acquisition of Common Stock Objectware Inc Studios Inc Tenth Floor Inc Indigio Group Inc PIPEObjectware Inc. Studios, Inc. Tenth Floor, 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 $48,750,000CARIBOU
COFFEE
COMPANYCommon Stock Common Stock Units Common Stock Common Stock
Follow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$1,800,000 $40,000,000 $14,512,500 $375,705,000 $280,197,000
Common Stock Units Units Common Stock UnitsFollow‐on IPO Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$64,000,000 $35,000,000 $35,000,000 $150,000,000 $128,375,000
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on Follow‐on Follow‐on IPO Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$221,875,000 $475,000,000 $7,419,729 $6,300,000 $36,225,000CHINA CHINAARMCO CORD BLOOD
METALS, INC. CORPORATIONCommon Stock Common Stock Common Stock Common Stock Common Stock
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 $60,000,000CHINA JO‐JO
DRUGSTORES, INC.
ADS Common Stock Common Stock ADS Common StockIPO 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 $2,000,000,000CHINA CHINA
SHENGDA VANTAGEPOINTPACKAGING ACQUISITION
Common Stock ADS Units Common Stock Preferred StockIPO IPO IPO Follow‐on Follow‐onIPO IPO IPO Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$54,621,849 $257,583,473 $499,200,000 $200,625,000 $72,670,000COMMONWEALTH
REIT
Warrants Warrants Common Stock Common Stock Common StockIPO IPO Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$64,960,000 $200,000,000 $32,200,000 $60,600,000 $60,000,000THE CUSHING MLP THE CUSHING MLP THE CUSHING MLP
TOTAL RETURN FUND TOTAL RETURN FUND TOTAL RETURN FUND
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on IPO Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$193,500,000 $395,471,152 $168,350,000 $151,389,000 $247,000,000
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$33,750,000 $168,000,000 $807,300,000 $762,500,000 $112,500,000DOUGLASDYNAMICS
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on Follow‐on Follow‐on Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$101,250,000 $422,538,750 $351,225,000 $411,600,000 $210,600,000
Common Stock Units Units Units ADRsIPO Follow‐on Follow‐on Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$312,624,000 $43,600,000 $504,953,500 $474,375,000 $1,244,900,000ENERGY INCOME
ANDGROWTH FUND
Units Common Stock Common Stock Units Common StockFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$550,000,000 $155,480,000 $150,412,500 $85,000,000 $151,250,000
Common Stock Common Stock Units Common Stock Common StockFollow‐on Follow‐on Follow‐on IPO Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$126,500,000 $1,700,000,008 $22,000,000 $75,037,495 $18,000,000FIFTH FLATWORLDSTREET ACQUISITION
FINANCE CORP. CORP.Common Stock Common Stock Units Common Stock Common Stock
Follow‐on Follow‐on IPO IPO IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$49,000,000 $210,840,000 $20,000,005 $81,000,000 $21,000,000
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on IPO Follow‐on IPO Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$50,000,000 $6,313,000,000 $15,774,000,000 $128,125,000 $106,110,000GENCO
SHIPPING& TRADING
Common Stock Common Stock Common Stock Units UnitsFollow‐on Follow‐on IPO Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$2,509,000 $27,600,000 $63,480,000 $100,106,250 $34,000,000GENESIS
OPPORTUNITY FUND
Limited Partnership Common Stock Units Common Stock Common StockInterests 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 $3,786,000,000GREEN PLAINSRENEWABLE ENERGY, INC.
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on IPO Follow‐on Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$366,000,000 $1,231,250,000 $600,000 $62,500,000 $145,000,000
Common Stock Common Stock Units Common Stock Common StockFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$74,000,000 $125,000,000 $1,900,000 $9,319,098 $400,000
ADRs Common Stock Convertible Debt Units Convertible DebtIPO 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 $20,670,000INTERVEST
BANCSHARESCORPORATION
Common Stock Common Stock Convertible Debt Debt Common StockIPO 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
Common Stock Common Stock Common Stock Common Stock Common StockIPO Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$625,000,000 $2,863,998,000 $22,968,000 $16,500,000 $312,000,000KRONOS
WORLDWIDE
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on IPO Follow‐on IPO Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$40,000,000 $1,000,000 $400,000 $25,000,000 $98,975,000L&L
ACQUISITIONCORP ConvertibleUnits Preffered Stock Convertible Debt Common Stock Common StockIPO Private Placement Private Placement Follow‐on Follow‐onIPO Private Placement Private Placement 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 UnitsFollow‐on IPO Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$10,000,000 $17,000,000 $32,000,000 $1,414,500,000 $206,250,000LOAN OAK ACQUISITION
CORP.Common Stock Common Stock Units Common Stock Common Stock
IPO Follow‐on IPO Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$133,000,000 $42,000,000 $64,225,000 $90,217,400 $57,500,000
ADRs Common Stock Common Stock Common Stock Common StockIPO Follow‐on Follow‐on IPO IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$253,500,000 $8,250,000 $133,333,344 $3,150,000,000MEDLEY CAPITAL
MEDICAL CORPORATIONCONNECTIONS, 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.
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐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 $1,642,857,156NEWCASTLEINVESTMENT
CORP.Common Stock Units Common Stock Common Stock Common Stock
IPO Follow‐on Follow‐on Follow‐on IPOIPO Follow on Follow on Follow on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$24,000,000 $138,483,000 $42,795,000 $120,000,000 $107,500,000
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$22,500,000 $36,500,000 $50,000,000 $72,800,000 $322,500,000OSSEN PERRY ELLIS
INNOVATIONS INTERNATIONALINC.
ADRs Common Stock Common Stock Common Stock Common StockIPO IPO Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$3,000,000 $729,000,000 $237,375,000 $1,150,000,000 $36,000,000PRIME
ACQUISITIONCORP.
Common Stock Common Stock Common Stock Units Common StockFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$320,400,000 $100,000,000 $984,000,000 $864,990,000 $135,300,000
Common Stock Common Stock Common Stock Common Stock Common StockIPO IPO Follow‐on Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$231,750,000 $261,075,000 $6,000,000 $362,950,000 $4,715,000
Common Stock Common Stock Common Stock Units UnitsFollow‐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
Common Stock Common Stock Common Stock Common Stock Common StockFollow on Follow on Follow on IPO Follow onFollow‐on Follow‐on Follow‐on IPO Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$1,015,000 $15,400,000 $162,500,000 $57,250,000 $95,000,000SEACUBE CONTAINERLEASING LTD.
Limited Partnership Units Common Stock Common Stock Common StockInterest 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 $6,666,665SENIOR
HOUSINGPROPERTIES
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐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 $483,708,225SINO
CLEANENERGY, INC. SMARTHEAT INC.
Common Stock Common Stock Common Stock Common Stock Voting SharesFollow‐on Follow‐on Follow‐on Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$108,947,360 $114,641,975 $37,550,368 $160,000,000 $19,837,500
Common Stock Common Stock Common Stock Common Stock Common StockIPO Follow‐on Follow‐on Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$114,750,000 $205,437,500 $48,769,200 $278,565,000 $500,000,000
Common Stock Units Units Units Common StockFollow‐on Follow‐on Follow‐on Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$160,875,000 $193,600,000 $394,600,000 $142,575,206 $303,600,000
Common Stock Common Stock Common Stock Units Common StockIPO Follow‐on Follow‐on Follow‐on Follow‐onIPO Follow on Follow on Follow on Follow on
Selling Group Selling Group Selling Group Selling Group Selling Group
$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 StockIPO 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
Common Stock Common Stock Common Stock Units UnitsFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$262,360,000 $775,000 $2,615,859 $1,700,000 $13,400,000
Units Promissory Note Common Stock Units DebtFollow‐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
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on Follow‐on Follow‐on Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$30,000,000 $226,100,000 $198,999,996 $41,000,000 $1,060,000,000TORTOISE
THL CREDIT, INC. MLPFUND, INC.
Common Stock Common Stock Common Stock Common Stock Common StockIPO IPO IPO Follow‐on IPO
Selling Group Selling Group Selling Group Selling Group Selling Group
$37,920,000 $57,750,000 $498,700,000 $102,350,000 $181,500,000
Common Stock Common Stock Common Stock Common Stock Depository SharesFollow‐on Follow‐on Follow‐on Follow‐on Follow‐onFollow on Follow on Follow on Follow on Follow on
Selling Group Selling Group Selling Group Selling Group Selling Group
$127,050,000 $14,000,000 $45,125,000 $97,500,000 $182,787,174
Common Stock Common Stock Common Stock Common Stock Common StockFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$11,003,200 $668,437,500 $522,461,892 $119,340,000 $220,282,500
Common Stock Common Stock Common Stock Common Stock Common StockIPO Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$89,000,000 $224,400,000 $124,782,500 $26,400,000 $1,074,815,000
Units Units Units Common Stock ADSFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on
Selling Group Selling Group Selling Group Selling Group Selling Group
$10,000,000 $185,000,000 $55,200,000 $42,000,000ZEUS ZIONS
MANAGEMENT BANCORPORATIONSERVICES INC.
Debt / Profit Participation Equity Warrant Common Stock ADSFacility Financing Derivatives Offering Follow‐on IPO
Placement Agent Selling Group Selling Group Selling Group
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