Lloyd Bancaire Tombstones

$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


$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


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


$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 $435,250,000AUSTRALIAACQUISITION

CORP.Common Stock Common Stock Common Stock Units Common Stock

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


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$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


$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


$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


$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


$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


$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


$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


$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


$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 $112,500,000DOUGLASDYNAMICS



$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


$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


$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


$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


$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 $106,110,000GENCO

SHIPPING& TRADING

Common Stock Common Stock Common Stock Units UnitsFollow‐on Follow‐on IPO Follow‐on Follow‐on


$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


$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


$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


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

WORLDWIDE



$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


$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


$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


$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


$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 $322,500,000OSSEN PERRY ELLIS

INNOVATIONS INTERNATIONALINC.

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


$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


$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


$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


$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


$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


$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


$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


$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


$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



$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


$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


$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

Common Stock Common Stock Common Stock Common Stock Common StockIPO 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 ADSFollow‐on Follow‐on Follow‐on Follow‐on Follow‐on


$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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Lloyd Bancaire Tombstones