| Feb 2012 |
Cempra Pharmaceuticals |
Initial Public Offering |
Co-Lead |
Health Care |
50.4 USD |
| Feb 2012 |
Ardea Biosciences |
Private Placement |
Co-Lead |
Health Care |
166.2 USD |
| Feb 2012 |
AVG Technologies |
Initial Public Offering |
Co-Mgr |
Technology |
128.0 USD |
| Feb 2012 |
MannKind Corporation |
Follow-on Offering |
Co-Lead |
Health Care |
75.0 USD |
| Jan 2012 |
Hale and Hearty |
M&A:Sale to Tripointe Capital Partners |
Target Advisor |
Consumer |
Undisclosed |
| Jan 2012 |
ImmunoCellular |
Follow-on Offering |
Lead-Mgr |
Health Care |
10.4 USD |
| Jan 2012 |
Synageva |
Private Placement |
Co-Agent |
Health Care |
90.0 USD |
| Dec 2011 |
Ariad Pharmaceuticals |
Private Placement |
Books |
Health Care |
257.6 USD |
| Dec 2011 |
Sanchez Energy |
Initial Public Offering |
Co-Mgr |
A&D/Industrial |
220.0 USD |
| Dec 2011 |
Neonode |
Registered Direct |
Lead Agent |
Technology |
18.4 USD |
| Nov 2011 |
Dynavax Technologies |
Private Placement |
Lead Agent |
Health Care |
69.0 USD |
| Nov 2011 |
Access Pharmaceuticals |
PIPE |
Lead Agent |
Health Care |
4.8 USD |
| Nov 2011 |
Cadence Pharmaceuticals |
Follow-on Offering |
Co-Mgr |
Health Care |
81.8 USD |
| Nov 2011 |
Transition Theraeputics |
Private Placement |
Co-Agent |
Health Care |
5.0 USD |
| Nov 2011 |
Pixtronix |
M&A |
General Advisor |
Technology |
Undisclosed |
| Sep 2011 |
Zhenai Inc. |
M&A |
Target Advisor |
Consumer |
Undisclosed |
| Sep 2011 |
VIP Store |
Private Placement |
Lead Agent |
Consumer |
23.7 USD |
| Sep 2011 |
Raptor Pharmaceutical Corp |
Follow-on Offering |
Co-Mgr |
Health Care |
46.0 USD |
| Sep 2011 |
RPX Corp |
Follow-on Offering |
Co-Mgr |
Technology |
70.7 USD |
| Aug 2011 |
Horizon Pharma Inc |
Initial Public Offering |
Books |
Health Care |
49.5 USD |
| Jul 2011 |
CytRx Corp |
Follow-on Offering |
Books |
Health Care |
20.4 USD |
| Jul 2011 |
Plextronics, Inc. |
M&A |
General Advisor |
Technology |
Undisclosed |
| Jul 2011 |
Endocyte Inc |
Follow-on Offering |
Co-Mgr |
Health Care |
81.9 USD |
| Jul 2011 |
General Dynamics |
Senior Notes |
Co-Mgr |
A&D/Industrial |
1,500.0 USD |
| Jun 2011 |
BzzAgent, Inc. |
M&A:Sale to dunbumby Ltd. |
Target Advisor |
Technology |
Undisclosed |
| Jun 2011 |
Ideeli |
Private Placement:Next World Capital |
Sole Agent |
Consumer |
41.0 USD |
| May 2011 |
Identive Group Inc |
Follow-on Offering |
Books |
Technology |
20.0 USD |
| May 2011 |
Kenexa |
Follow-on Offering |
Books |
Technology |
95.7 USD |
| May 2011 |
Complete Genomics Inc |
Follow-on Offering |
Co-Mgr |
Health Care |
79.1 USD |
| May 2011 |
Alexandria Real Estate Equities Inc |
Follow-on Offering |
Co-Mgr |
Other |
471.9 USD |
| May 2011 |
RPX Corp |
Initial Public Offering |
Co-Mgr |
Technology |
184.2 USD |
| Apr 2011 |
Oncothyreon Inc |
Follow-on Offering |
Books |
Health Care |
46.0 USD |
| Apr 2011 |
Phoenix New Media Ltd |
Initial Public Offering |
Co-Mgr |
Technology |
161.5 USD |
| Apr 2011 |
NovaMed Pharmaceuticals |
M&A:Sale to SciClone Pharmaceuticals |
Target Advisor |
Health Care |
105.0 USD |
| Apr 2011 |
Zipcar, Inc. |
Initial Public Offering |
Co-Mgr |
Consumer |
200.5 USD |
| Apr 2011 |
PolyMedix Inc. |
Registered Direct |
Books |
Health Care |
20.0 USD |
| Apr 2011 |
Global Defense Technology & Systems, Inc. |
M&A:Sale to Ares Management LLC |
Target Advisor |
A&D/Industrial |
315.0 USD |
| Mar 2011 |
Qihoo 360 Technology Co. Ltd. |
Initial Public Offering |
Co-Mgr |
Technology |
201.9 USD |
| Mar 2011 |
Universal Display Corporation |
Follow-on Offering |
Co-Mgr |
Technology |
264.5 USD |
| Mar 2011 |
Zhongpin Inc. |
Follow-on Offering |
Co-Mgr |
Consumer |
70.5 USD |
| Mar 2011 |
Threshold Pharmaceuticals, Inc. |
Registered Direct |
Books |
Health Care |
30.1 USD |
| Mar 2011 |
Exelixis, Inc. |
Follow-on Offering |
Joint-Books |
Health Care |
189.8 USD |
| Mar 2011 |
HCA Holdings, Inc. |
Initial Public Offering |
Co-Mgr |
Health Care |
4,353.9 USD |
| Mar 2011 |
Fabrinet, Inc. |
Follow-on Offering |
Co-Mgr |
Technology |
236.3 USD |
| Mar 2011 |
Smith & Wesson Holding Corporation |
Senior Notes Exchange |
Sole Exchange Agent |
A&D/Industrial |
50.0 USD |
| Feb 2011 |
Zuoan Fashion Limited |
Initial Public Offering |
Books |
Consumer |
42.0 USD |
| Feb 2011 |
AcelRx Pharmaceuticals, Inc. |
Initial Public Offering |
Co-Mgr |
Health Care |
40.0 USD |
| Feb 2011 |
Fluidigm Corporation |
Initial Public Offering |
Co-Mgr |
Health Care |
86.3 USD |
| Feb 2011 |
Tegal Corporation |
M&A:Sale of DRIE assets to SPP Process Technology Systems Ltd. |
Target Advisor |
Technology |
2.1 USD |
| Feb 2011 |
BG Medicine, Inc. |
Initial Public Offering |
Co-Mgr |
Health Care |
40.3 USD |
| Feb 2011 |
Savient Pharmaceuticals, Inc. |
Convertible |
Co-Mgr |
Health Care |
230.0 USD |
| Jan 2011 |
Bionovo, Inc. |
Follow-on Offering |
Books |
Health Care |
30.0 USD |
| Dec 2010 |
BroadSoft, Inc. |
Follow-on Offering |
Co-Mgr |
Technology |
134.1 USD |
| Dec 2010 |
LineSider Technologies, Inc. |
M&A:Sale to Cisco Systems, Inc. |
Target Advisor |
Technology |
Undisclosed |
| Dec 2010 |
Lentuo International Inc. |
Initial Public Offering |
Books |
Consumer |
52.0 USD |
| Dec 2010 |
Camelot Information Systems Inc. |
Follow-on Offering |
Co-Mgr |
Technology |
160.6 USD |
| Dec 2010 |
Momenta Pharmaceuticals, Inc. |
Wall-Cross Follow-On |
Co-Mgr |
Health Care |
60.5 USD |
| Dec 2010 |
Bona Film Group Limited |
Initial Public Offering |
Co-Mgr |
Technology |
99.8 USD |
| Dec 2010 |
E-Commerce China Dangdang Inc. |
Initial Public Offering |
Co-Mgr |
Technology |
312.8 USD |
| Nov 2010 |
Novatel Wireless Inc |
M&A:Acquisition of Enfora, Inc. |
Acquiror Advisor |
Technology |
64.5 USD |
| Nov 2010 |
Orckit Communications Ltd. |
Registered Direct |
Lead Agent |
Telecommunications |
8.4 USD |
| Nov 2010 |
Anacor Pharmaceuticals, Inc. |
Initial Public Offering |
Co-Mgr |
Health Care |
66.9 USD |
| Nov 2010 |
China Xiniya Fashion, Ltd. |
Initial Public Offering |
Books |
Consumer |
88.0 USD |
| Nov 2010 |
NeoStem, Inc. |
Registered Direct |
Lead Agent |
Health Care |
19.2 USD |
| Nov 2010 |
Ascent Solar Technologies, Inc. |
Wall-Cross Follow-On |
Books |
Alternative Energy |
21.8 USD |
| Nov 2010 |
Complete Genomics, Inc. |
Initial Public Offering |
Co-Mgr |
Health Care |
54.0 USD |
| Oct 2010 |
Dynavax Technologies Corp |
Wall-Cross Follow-On |
Co-Mgr |
Health Care |
45.0 USD |
| Oct 2010 |
FusionStorm |
M&A:Sale of Jeskell, its federal sales division, to CAS Saverne |
Target Advisor |
Technology |
Undisclosed |
| Oct 2010 |
Lee's Pharmaceuitcal Holdings Limited |
PIPE |
Exclusive Agent |
Health Care |
5.0 USD |
| Oct 2010 |
MedPro Safety Products, Inc. |
Senior Secured Notes |
Lead Agent |
Health Care |
5.0 USD |
| Sep 2010 |
Sunesis Pharmaceuticals Inc. |
Registered Direct |
Lead Agent |
Health Care |
15.5 USD |
| Sep 2010 |
Country Style Cooking Restaurant Chain Co., Ltd. |
Initial Public Offering |
Co-Mgr |
Consumer |
94.9 USD |
| Sep 2010 |
Aspen Technology, Inc. |
Follow-on Offering |
Co-Mgr |
Technology |
186.3 USD |
| Sep 2010 |
Scientific Games Corporation |
Senior Subordinated Notes |
Co-Mgr |
Technology |
250.0 USD |
| Sep 2010 |
MedPro Safety Products, Inc. |
Senior Secured Notes |
Lead Agent |
Health Care |
25.0 USD |
| Aug 2010 |
China Kanghui Holdings |
Initial Public Offering |
Co-Mgr |
Health Care |
78.7 USD |
| Aug 2010 |
MetLife, Inc. |
Follow-on Offering |
Co-Mgr |
Financial Technology Group |
3,622.5 USD |
| Jul 2010 |
Camelot Information Systems Inc. |
Initial Public Offering |
Co-Mgr |
Technology |
147.6 USD |
| Jul 2010 |
SMART Technologies, Inc. |
Initial Public Offering |
Co-Mgr |
Technology |
660.1 USD |
| Jun 2010 |
Woot, Inc. |
M&A:Sale to Amazon.com |
Target Advisor |
Consumer |
Undisclosed |
| Jun 2010 |
Sorbent Therapeutics, Inc. |
Private Placement |
Exclusive Agent |
Health Care |
21.5 USD |
| Jun 2010 |
HiSoft Technology International Ltd |
Initial Public Offering |
Co-Mgr |
Technology |
85.1 USD |
| Jun 2010 |
Fabrinet, Inc. |
Initial Public Offering |
Co-Mgr |
Technology |
97.8 USD |
| Jun 2010 |
Broadsoft, Inc. |
Initial Public Offering |
Co-Mgr |
Technology |
67.5 USD |
| Jun 2010 |
China New Borun Corp |
Initial Public Offering |
Co-Mgr |
Consumer |
40.1 USD |
| May 2010 |
Rubio's Restaurants, Inc. |
M&A:Sale to Mill Road Capital, L.P. |
Target Advisor |
Consumer |
91.0 USD |
| Apr 2010 |
Next Window |
M&A:Sale to SMART Technologies |
Target Advisor |
Technology |
Undisclosed |
| Apr 2010 |
Alimera Sciences, Inc. |
Initial Public Offering |
Co-Mgr |
Health Care |
72.1 USD |
| Apr 2010 |
ViaWest, Inc. |
M&A:Sale to Oak Hill Capital Partners |
Target Advisor |
Telecommunications |
Undisclosed |
| Apr 2010 |
Alphatec Holdings, Inc. |
Follow-on Offering |
Co-Mgr |
Health Care |
92.0 USD |
| Apr 2010 |
STR Holdings, Inc. |
Follow-on Offering |
Co-Mgr |
Alternative Energy |
150.9 USD |
| Apr 2010 |
Wingstop Restaurants, Inc. |
M&A:Sale to Roark Capital Group |
Target Advisor |
Consumer |
Undisclosed |
| Apr 2010 |
ManTech International Corp. |
Senior Notes |
Co-Mgr |
A&D/Industrial |
200.0 USD |
| Mar 2010 |
Meru Networks, Inc. |
Initial Public Offering |
Co-Mgr |
Technology |
75.7 USD |
| Mar 2010 |
Tegal Corp. |
M&A:Strategic Advisory/Sale of Assets |
Target Advisor |
Technology |
Undisclosed |
| Mar 2010 |
Lexicon Pharmaceuticals, Inc. |
Follow-on Offering |
Co-Mgr |
Health Care |
111.0 USD |
| Mar 2010 |
Financial Engines, Inc. |
Initial Public Offering |
Co-Mgr |
Financial Technology Group |
146.3 USD |
| Mar 2010 |
Artificial Muscle, Inc. |
M&A:Sale to Bayer MaterialScience LLC |
Target Advisor |
Technology |
Undisclosed |
| Mar 2010 |
Anthera Pharmaceuticals, Inc. |
Initial Public Offering |
Co-Mgr |
Health Care |
46.2 USD |
| Feb 2010 |
Prudent Energy |
Private Placement |
Exclusive Agent |
Alternative Energy |
22.0 USD |
| Jan 2010 |
I.D. Systems, Inc. |
M&A:Acquisition of GE Asset Intelligence |
Acquiror Advisor |
Technology |
15.0 USD |
| Jan 2010 |
Global Capacity, Inc. |
M&A:Sale of Certain Telecom Assets to Global Telecom & Technology, Inc. |
Target Advisor |
Telecommunications |
8.0 USD |
| Dec 2009 |
Opalis Software, Inc |
M&A:Sale to Microsoft |
Target Advisor |
Technology |
Undisclosed |
| Dec 2009 |
SIGA Technologies |
Registered Direct |
Co-Agent |
Health Care |
20.0 USD |
| Dec 2009 |
Vista Equity Partners |
M&A:Acquisition of Intuit's Real Estate Solutions Business |
Acquiror Advisor |
Technology |
128.0 USD |
| Nov 2009 |
Affymax, Inc. |
Wall-Cross Follow-On |
Joint-Books |
Health Care |
86.3 USD |
| Nov 2009 |
Global Defense Technology & Systems |
Initial Public Offering |
Books |
A&D/Industrial |
60.0 USD |
| Nov 2009 |
Delcath Systems Inc |
Follow-on Offering |
Books |
Health Care |
35.2 USD |
| Nov 2009 |
STR Holdings Inc |
Initial Public Offering |
Co-Mgr |
Alternative Energy |
123.0 USD |
| Oct 2009 |
China Integrated Energy |
Follow-on Offering |
Co-Mgr |
Alternative Energy |
33.1 USD |
| Oct 2009 |
Retail Convergence Inc. |
M&A:Sale to GSI Commerce Inc. |
Target Advisor |
Technology |
350.0 USD |
| Oct 2009 |
Eurand NV |
Follow-on Offering |
Co-Mgr |
Health Care |
95.6 USD |
| Oct 2009 |
China BAK Battery |
Registered Direct |
Exclusive Agent |
Alternative Energy |
20.6 USD |
| Oct 2009 |
Amarin |
PIPE |
Exclusive Agent |
Health Care |
70.0 USD |
| Oct 2009 |
Vanda Pharmaceuticals |
M&A:Collaboration with Novartis Pharma AG involving Fanapt |
General Advisor |
Health Care |
465.0 USD |
| Oct 2009 |
Scientific Games Corporation |
Senior Subordinated Notes |
Co-Mgr |
Consumer |
125.0 USD |
| Oct 2009 |
Ascent Solar Technologies |
Registered Direct |
Co-Mgr |
Alternative Energy |
30.0 USD |
| Oct 2009 |
Retail Convergence |
M&A:Sale to GSI Commerce |
Target Advisor |
Consumer |
350.0 USD |
| Sep 2009 |
Moog Inc |
Follow-on Offering |
Books |
A&D/Industrial |
73.8 USD |
| Sep 2009 |
Fusion Storm, Inc. |
Combined Senior Secured Credit Facility with GE |
Exclusive Advisor/Debt Restructuring |
Technology |
60.0 USD |
| Sep 2009 |
RTI International Metals |
Follow-on Offering |
Co-Mgr |
A&D/Industrial |
134.6 USD |
| Sep 2009 |
Victory Pharma |
Private Placement |
Exclusive Agent |
Health Care |
45.0 USD |
| Aug 2009 |
Charlotte Russe Holding, Inc. |
M&A:Sale to Advent International Corporation |
Target Advisor |
Consumer |
380.0 USD |
| Aug 2009 |
Cerus |
Registered Direct |
Sole Agent |
Health Care |
13.2 USD |
| Aug 2009 |
Virage Logic Corporation |
M&A:Acquisition of ARC International plc |
Acquiror Advisor |
Technology |
41.0 USD |
| Aug 2009 |
Mindspeed Technologies |
Registered Direct |
Sole Agent |
Technology |
9.7 USD |
| Jul 2009 |
Fuqi International |
Follow-on Offering |
Co-Mgr |
Consumer |
120.0 USD |
| Jul 2009 |
Antares Pharma |
Registered Direct |
Lead Agent |
Health Care |
12.0 USD |
| Jul 2009 |
VanceInfo Technologies |
Follow-on Offering |
Co-Mgr |
Technology |
68.7 USD |
| Jun 2009 |
Anadys Pharmaceuticals |
Registered Direct |
Sole Agent |
Health Care |
17.5 USD |
| May 2009 |
TVN Entertainment Corporation |
M&A:Sale to Avail Media, Inc. |
Target Advisor |
Telecommunications |
Undisclosed |
| May 2009 |
Nanogen, Inc. |
M&A:Asset Sale to the ELITech Group |
Target Advisor |
Health Care |
25.7 USD |
| May 2009 |
Smith & Wesson |
Registered Direct |
Co-Mgr |
A&D/Industrial |
37.5 USD |
| May 2009 |
Sunesis Pharmaceuticals |
PIPE |
Financial Advisor |
Health Care |
10.0 USD |
| Apr 2009 |
Gmarket Inc. |
M&A:Sale to eBay Inc. |
Target Advisor |
Consumer |
1,200.0 USD |
| Mar 2009 |
Akeena Solar |
PIPE |
Sole Agent |
Alternative Energy |
2.0 USD |
| Feb 2009 |
Vertex |
Follow-on Offering |
Co-Mgr |
Health Care |
320.0 USD |