| 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 |
42.0 USD |
| Jan 2010 |
I.D. Systems, Inc. |
M&A:Acquisition of Asset Intelligence, LLC |
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 |
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 |
Aerospace & Defense |
60.0 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 |
Ascent Solar Technologies |
Registered Direct |
Co-Mgr |
Alternative Energy |
30.0 USD |
| Oct 2009 |
Scientific Games Corporation |
Senior Subordinated Notes |
Co-Mgr |
Consumer |
125.0 USD |
| Sep 2009 |
Moog Inc |
Follow-on Offering |
Books |
Aerospace & Defense |
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 |
Aerospace & Defense |
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 |
Aerospace & Defense |
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 |
| Jan 2009 |
NitroMed, Inc. |
M&A:Sale to Deerfield Management |
Target Advisor |
Health Care |
36.9 USD |
| Nov 2008 |
Radius Health |
Private Placement |
Sole Agent |
Health Care |
15.0 USD |
| Oct 2008 |
Genelabs Technologies, Inc. |
M&A:Sale to GlaxoSmithKline plc |
Target Advisor |
Health Care |
57.0 USD |
| Oct 2008 |
SpaceDev, Inc. |
M&A:Sale to Sierra Nevada Corporation |
Target Advisor |
Aerospace & Defense |
38.0 USD |
| Sep 2008 |
Pharmacopeia, Inc. |
M&A:Sale to Ligand Pharmaceuticals Incorporated |
Target Advisor |
Health Care |
55.0 USD |
| Sep 2008 |
Grand Toys International Limited |
M&A:Sale of International Playthings, Inc. to Epoch Co., Ltd |
Target Advisor |
Consumer |
Undisclosed |
| Sep 2008 |
AviaraDx, Inc. |
M&A:Sale to BioMerieux SA |
Target Advisor |
Health Care |
60.0 USD |
| Sep 2008 |
Novacea, Inc. |
M&A:Merger with Transcept Pharmaceuticals, Inc. |
Target Advisor |
Health Care |
103.0 USD |
| Aug 2008 |
Rackspace |
Initial Public Offering |
Co-Mgr |
Telecommunications |
187.5 USD |
| Aug 2008 |
PhotoMedex, Inc. |
M&A:Acquistion of Photo Therapeutics Group Ltd. |
Acquiror Advisor |
Health Care |
13.0 USD |
| Jul 2008 |
CardioNet |
Follow-on Offering |
Co-Mgr |
Health Care |
132.5 USD |
| Jul 2008 |
XO Communications |
M&A:Advisor to the Special Committee of the Board of Directors and provided Fairness Opinions |
Fairness Opinion |
Telecommunications |
780.0 USD |
| Jul 2008 |
EnerDel, Inc. |
M&A:Sale of interest in the company. |
Fairness Opinion |
Alternative Energy |
Undisclosed |
| Jul 2008 |
POCO Graphite, Inc |
M&A:Sale to Entegris, Inc. |
Target Advisor |
Technology |
158.0 USD |
| Jul 2008 |
Pharmasset |
Registered Direct |
Co-Agent |
Health Care |
25.9 USD |
| Jul 2008 |
Chanticleer Holdings, Inc. |
M&A:Asset Purchase of Texas Wings Incorporated |
Acquiror Advisor |
Consumer |
106.0 USD |
| Jun 2008 |
Celebrate Express, Inc. |
M&A:Sale to Liberty Media Corporation |
Target Advisor |
Consumer |
31.0 USD |
| Jun 2008 |
CAD Sciences LLC |
M&A:Asset Sale to iCAD, Inc. |
Target Advisor |
Health Care |
5.0 USD |
| Jun 2008 |
RHI Entertainment |
Initial Public Offering |
Co-Mgr |
Technology |
189.0 USD |
| Jun 2008 |
Landry's Restaurants Inc |
M&A:Sale to Fertitta Holdings, Inc. |
Target Advisor |
Consumer |
1,200.0 USD |
| May 2008 |
Natus Medical |
Follow-on Offering |
Books |
Health Care |
89.7 USD |
| May 2008 |
Amarin |
PIPE |
Sole Agent |
Health Care |
30.0 USD |
| May 2008 |
Hughes Communications |
Follow-on Offering |
Co-Mgr |
Telecommunications |
112.0 USD |
| May 2008 |
Smith & Wesson |
Registered Direct |
Co-Agent |
Aerospace & Defense |
34.4 USD |
| May 2008 |
Ascent Solar |
Follow-on Offering |
Co-Mgr |
Alternative Energy |
61.2 USD |
| May 2008 |
Iomai Corporation |
M&A:Sale to Intercell AG |
Target Advisor |
Health Care |
189.0 USD |
| May 2008 |
DTS, Inc. |
M&A:Sale of Digital Cinema business to Beaufort California, Inc. |
Target Advisor |
Technology |
15.0 USD |
| Apr 2008 |
Constant Contact |
Follow-on Offering |
Co-Mgr |
Technology |
83.5 USD |
| Apr 2008 |
LDK Solar |
Convertible |
Lead-Mgr |
Alternative Energy |
400.0 USD |
| Mar 2008 |
Visa |
Initial Public Offering |
Co-Mgr |
Technology |
19,650.4 USD |
| Mar 2008 |
XO Communications |
M&A:Advisor to Special Committee and provided Fairness Opinion |
Fairness Opinion |
Telecommunications |
75.0 USD |
| Mar 2008 |
Verus Pharmaceuticals Inc - TwinjectR Epinephrine Auto-inject |
M&A:Sale of Twinject to Sciele Pharma Inc |
Target Advisor |
Health Care |
29.0 USD |
| Mar 2008 |
Sterling Services |
Private Placement |
Sole Agent |
Technology |
50.0 USD |
| Feb 2008 |
Genoptix |
Follow-on Offering |
Co-Mgr |
Health Care |
61.2 USD |
| Feb 2008 |
CollaGenex Pharmaceuticals, Inc |
M&A:Sale to Galderma S.A. |
Target Advisor |
Health Care |
420.0 USD |
| Feb 2008 |
Macrovision Corporation |
M&A:Sale of Software Business Unit to Thoma Cressey Bravo |
Target Advisor |
Technology |
200.0 USD |
| Feb 2008 |
MAKO Surgical |
Initial Public Offering |
Co-Mgr |
Health Care |
51.0 USD |
| Feb 2008 |
Acorda Therapeutics |
Follow-on Offering |
Co-Mgr |
Health Care |
81.6 USD |
| Feb 2008 |
EKR Thearpeutics, Inc |
M&A:Acquisition of the Cardiovascular Products from PDL BioPharma, Inc. |
Acquiror Advisor |
Health Care |
170.0 USD |
| Jan 2008 |
Arbor Networks |
M&A:Acquisition of Ellacoya Networks |
Acquiror Advisor |
Technology |
Undisclosed |
| Dec 2007 |
Ardea Biosciences |
Registered Direct |
Co-Agent |
Health Care |
40.0 USD |
| Dec 2007 |
Cougar Biotechnology |
PIPE |
Co-Agent |
Health Care |
87.0 USD |
| Dec 2007 |
Boston Scientific |
M&A:Sale of Fliud Management Venous Access business to Avista Capital Partners |
Target Advisor |
Health Care |
425.0 USD |
| Dec 2007 |
Comverge |
Follow-on Offering |
Co-Mgr |
Alternative Energy |
133.4 USD |
| Nov 2007 |
Oncotech |
M&A:Sale to Exiqon A/S |
Target Advisor |
Health Care |
45.0 USD |
| Nov 2007 |
Exelixis, Inc. |
M&A:Sale of 80.1% stake in Artemis Pharmaceuticals GmbH |
Target Advisor |
Health Care |
20.0 USD |
| Nov 2007 |
EnteroMedics |
Initial Public Offering |
Co-Lead |
Health Care |
40.0 USD |
| Nov 2007 |
Tutogen |
M&A:Merger with Regeneration Technologies, Inc |
Target Advisor |
Health Care |
263.0 USD |
| Nov 2007 |
Mylan |
Follow-on Offering |
Co-Mgr |
Health Care |
749.0 USD |
| Nov 2007 |
Mylan |
Convertible |
Co-Mgr |
Health Care |
2,139.0 USD |
| Nov 2007 |
Bookham |
Follow-on Offering |
Co-Lead |
Technology |
44.0 USD |
| Nov 2007 |
Kona Grill |
PIPE |
Lead Agent |
Consumer |
10.6 USD |
| Nov 2007 |
Akeena Solar |
PIPE |
Sole Agent |
Alternative Energy |
26.1 USD |
| Nov 2007 |
SoundBite Communications |
Initial Public Offering |
Books |
Technology |
41.6 USD |
| Oct 2007 |
012 Smile.Communications |
Initial Public Offering |
Co-Lead |
Technology |
80.1 USD |
| Oct 2007 |
EDAP |
PIPE |
Lead Agent |
Health Care |
20.0 USD |
| Oct 2007 |
Genoptix |
Initial Public Offering |
Co-Mgr |
Health Care |
97.8 USD |
| Oct 2007 |
Covad Communications Group Inc |
M&A:Sale to Platinum Equity Partners |
Target Advisor |
Telecommunications |
304.0 USD |
| Oct 2007 |
Ulta Salon, Cosmetics & Fragrance |
Initial Public Offering |
Co-Mgr |
Consumer |
176.8 USD |
| Oct 2007 |
DealerTrak |
Follow-on Offering |
Co-Mgr |
Technology |
240.1 USD |
| Oct 2007 |
TranS1 |
Initial Public Offering |
Co-Mgr |
Health Care |
94.9 USD |
| Oct 2007 |
Natus Medical Incorporated |
M&A:Acquisition of Excel-Tech Ltd |
Acquiror Advisor |
Health Care |
64.0 USD |
| Oct 2007 |
NanoDrop Technologies |
M&A:Sale to Thermo Fisher Scientific |
Target Advisor |
Health Care |
Undisclosed |
| Oct 2007 |
Targanta Therapeutics |
Initial Public Offering |
Co-Mgr |
Health Care |
57.5 USD |
| Oct 2007 |
Constant Contact |
Initial Public Offering |
Co-Mgr |
Technology |
123.3 USD |
| Sep 2007 |
Esprit Pharma, Inc |
M&A:Sale to Allergan, Inc |
Target Advisor |
Health Care |
370.0 USD |
| Sep 2007 |
Renovis, Inc. |
M&A:Merger with Evotech AG |
Target Advisor |
Health Care |
152.0 USD |
| Aug 2007 |
Double-Take Software |
Follow-on Offering |
Books |
Technology |
51.3 USD |
| Aug 2007 |
First Solar |
Follow-on Offering |
Co-Mgr |
Alternative Energy |
698.3 USD |
| Aug 2007 |
Masimo Corporation |
Initial Public Offering |
Co-Mgr |
Health Care |
233.0 USD |
| Aug 2007 |
Virtusa |
Initial Public Offering |
Co-Mgr |
Technology |
61.6 USD |
| Aug 2007 |
Sucampo |
Initial Public Offering |
Books |
Health Care |
49.6 USD |
| Aug 2007 |
Electro-optical |
PIPE |
Lead Agent |
Health Care |
11.5 USD |
| Jul 2007 |
Cambridge Display Technology |
M&A:Sale to Sumitomo Chemical |
Target Advisor |
Telecommunications |
285.0 USD |
| Jul 2007 |
SunPower |
Convertible |
Co-Mgr |
Alternative Energy |
225.0 USD |
| Jul 2007 |
SunPower |
Follow-on Offering |
Co-Mgr |
Alternative Energy |
173.8 USD |
| Jul 2007 |
BladeLogic |
Initial Public Offering |
Co-Mgr |
Technology |
97.8 USD |
| Jun 2007 |
pSivida |
Registered Direct |
Lead Agent |
Health Care |
18.0 USD |
| Jun 2007 |
AuthenTec |
Initial Public Offering |
Co-Lead |
Technology |
82.5 USD |
| Jun 2007 |
BioFuel Energy |
Initial Public Offering |
Co-Mgr |
Alternative Energy |
63.4 USD |
| Jun 2007 |
Acusphere |
Registered Direct |
Sole Agent |
Health Care |
20.0 USD |
| Jun 2007 |
Citi Trends |
Follow-on Offering |
Co-Mgr |
Consumer |
93.1 USD |
| Jun 2007 |
Athersys |
PIPE |
Co-Agent |
Health Care |
65.0 USD |
| Jun 2007 |
Einstein Noah Restaurant Group |
Follow-on Offering |
Books |
Consumer |
90.0 USD |
| Jun 2007 |
AOI Medical |
Initial Public Offering |
Books |
Health Care |
16.0 USD |
| Jun 2007 |
Cogent Communications Group |
Convertible |
Co-Lead |
Telecommunications |
200.0 USD |
| Jun 2007 |
Verid, Inc |
M&A:Sale to EMC |
Target Advisor |
Telecommunications |
Undisclosed |
| May 2007 |
Trina Solar |
Follow-on Offering |
Co-Lead |
Alternative Energy |
243.3 USD |
| May 2007 |
ORBCOMM |
Follow-on Offering |
Books |
Aerospace & Defense |
92.6 USD |
| May 2007 |
TransTech Services Partners (SPAC) |
Initial Public Offering |
Books |
Technology |
41.4 USD |
| May 2007 |
Evergreen Solar |
Follow-on Offering |
Co-Mgr |
Alternative Energy |
142.3 USD |
| May 2007 |
Sunesis Pharmaceuticals |
Follow-on Offering |
Co-Mgr |
Health Care |
21.0 USD |
| May 2007 |
Spirit Aerosystems |
Follow-on Offering |
Co-Mgr |
Aerospace & Defense |
1,150.4 USD |
| May 2007 |
Nanjing PV (China Sunergy Co.) |
Initial Public Offering |
Co-Mgr |
Alternative Energy |
107.5 USD |
| May 2007 |
TechTarget |
Initial Public Offering |
Co-Mgr |
Technology |
115.1 USD |
| May 2007 |
Pharmion Corp |
Follow-on Offering |
Co-Mgr |
Health Care |
138.0 USD |
| May 2007 |
Exar Corp. |
M&A:Merger with Sipex |
Acquiror Advisor |
Telecommunications |
242.0 USD |
| May 2007 |
Backcountry.com |
M&A:Sale to Liberty Media |
Target Advisor |
Consumer |
Undisclosed |
| May 2007 |
Silicom Connectivity Solutions |
PIPE |
Co-Agent |
Technology |
17.9 USD |
| May 2007 |
Qiao Xing Mobile Communication |
Initial Public Offering |
Co-Mgr |
Telecommunications |
160.0 USD |
| May 2007 |
Epicor Software |
Convertible |
Co-Mgr |
Technology |
230.0 USD |
| Apr 2007 |
Physicans Formula |
Follow-on Offering |
Co-Mgr |
Consumer |
104.8 USD |
| Apr 2007 |
Altus Pharmaceuticals |
Follow-on Offering |
Co-Mgr |
Health Care |
96.2 USD |
| Apr 2007 |
Xign Corp |
M&A:Sale to JPMorgan Chase & Co. |
Target Advisor |
Telecommunications |
Undisclosed |
| Apr 2007 |
Comverge |
Initial Public Offering |
Co-Mgr |
Alternative Energy |
109.7 USD |
| Apr 2007 |
TLC Vision Corporation |
M&A:Modified "Dutch Auction" |
General Advisor |
Health Care |
115.0 USD |
| Mar 2007 |
SenoRx |
Initial Public Offering |
Co-Mgr |
Health Care |
50.6 USD |
| Mar 2007 |
Terremark Worldwide |
Follow-on Offering |
Co-Mgr |
Telecommunications |
92.9 USD |
| Mar 2007 |
BigBand Networks |
Initial Public Offering |
Co-Mgr |
Telecommunications |
160.0 USD |