Transactions
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Through every stage of your company’s growth, we’re there to make sure your needs are being met. What’s more, we’re always looking for new ways to help you succeed.
Below is a list of Piper Jaffray clients' recent successes across the U.S., Asia and Europe.
Note: This is a representative sampling of recent efforts and is not intended to be a full accounting of activity.
Services in each region in which we operate are provided by the locally licensed Piper Jaffray affiliate in that region.
| Date | Client | Type | Ticker | Deal Size ($ in MM) | Team |
| 03/06 | 180 Connect, Inc. | Convertible PIPE | NYSE: NCT.U | 10.7 | Technology, Media and Telecommunications |
| 07/07 | 24/7 Real Media, Inc. | Seller Advisory | 649.0 | Technology, Media and Telecommunications | |
| 06/09 | 361 Degree International Ltd | Leveraged Buyout | SEHK: 1361 | 262.4 | Consumer |
| 09/04 | 51job, Inc. | Initial Public Offering | NASDAQ: JOBS | 84.5 | Technology, Media and Telecommunications |
| 04/07 | ACADIA Pharmaceuticals Inc. | Follow-On Offering | NASDAQ: ACAD | 102.5 | Health Care |
| 04/06 | ACADIA Pharmaceuticals Inc. | Follow-On Offering | NASDAQ: ACAD | 63.4 | Health Care |
| 04/05 | ACADIA Pharmaceuticals Inc. | PIPE | NASDAQ: ACAD | 36.0 | Health Care |
| 05/04 | ACADIA Pharmaceuticals Inc. | Initial Public Offering | NASDAQ: ACAD | 35.0 | Health Care |
| 05/04 | Accubuilt, Inc., a portfolio company of PNC Equity Management Corp. | Seller Advisory | Undisclosed | Industrial Growth | |
| 02/07 | Accuray Incorporated | Initial Public Offering | NASDAQ: ARAY | 331.2 | Health Care |
| 02/08 | Acorda Therapeutics, Inc. | Follow-On Offering | NASDAQ: ACOR | 81.6 | Health Care |
| 06/07 | Acorda Therapeutics, Inc. | Follow-On Offering | NYSE: ACOR | 79.8 | Health Care |
| 02/06 | Acordia Therapeutics, Inc. | Initial Public Offering | NYSE: ACOR | 36.5 | Health Care |
| 09/06 | Actions Semiconductor Co., Ltd. | Follow-On Offering | NASDAQ: ACTS | 99.9 | Clean Technology and Renewables |
| 02/05 | Acusphere, Inc. | Convertible | NYSE: ACUS | 45.0 | Health Care |
| 09/05 | Acusphere, Inc. | Registered Direct | NYSE: ACUS | 18.7 | Health Care |
| 08/05 | Advanced Analogic Technologies Inc. | Initial Public Offering | NASDAQ: AATI | 121.9 | Technology, Media and Telecommunications |
| 11/05 | Advanced Neuromodulation Systems, Inc. | Seller Advisory | 1189.4 | Health Care | |
| 09/07 | Aegis Loan Servicing, a division of Aegis Mortgage Corporation, a portfolio company of Cerberus Capital Management | Seller Advisory | Undisclosed | Financial Institutions | |
| 07/04 | Affirmative Insurance Holdings, Inc. | Initial Public Offering | NASDAQ: AFFM | 131.5 | Financial Institutions |
| 07/05 | AGA Medical Corp., shareholder interest | Seller Advisory | Undisclosed | Health Care | |
| 02/08 | AGEIA Technologies, Inc. | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 09/09 | Agent Logic Inc. | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 11/07 | Agria Corp. | Initial Public Offering | NYSE: GRO | 283.0 | Consumer |
| 03/05 | Aladdin Knowledge Systems Ltd. | Follow-On Offering | NYSE: ALDN | 49.3 | Technology, Media and Telecommunications |
| 11/06 | Alexion Pharmaceuticals Inc. | Follow-On Offering | NASDAQ: ALXN | 148.4 | Health Care |
| 03/06 | Alexza Pharmaceuticals Inc. | Initial Public Offering | NASDAQ: ALXA | 50.6 | Health Care |
| 11/06 | Alliance Imaging Inc. | Follow-On Offering | NYSE: AIQ | 52.9 | Health Care |
| 06/04 | Allscripts Healthcare Solutions Inc. | Convertible | NASDAQ: MDRX | 82.5 | Health Care |
| 02/06 | Allscripts Healthcare Solutions Inc. | Follow-On Offering | NASDAQ: MDRX | 149.0 | Health Care |
| 09/05 | Almedica International Inc. | Seller Advisory | Undisclosed | Health Care | |
| 01/06 | Alnylam Pharmaceuticals, Inc. | Follow-On Offering | NASDAQ: ALNY | 66.5 | Health Care |
| 05/04 | Alnylam Pharmaceuticals, Inc. | Initial Public Offering | NASDAQ: ALNY | 34.5 | Health Care |
| 04/10 | Alpha & Omega Semiconductor, Ltd. | Initial Public Offering | NASDAQ: AOSL | 91.6 | Technology, Media and Telecommunications |
| 12/06 | Alpha & Omega Semiconductor, Ltd. | Private Placement | 32.0 | Technology, Media and Telecommunications | |
| 07/09 | Amber Energy Limited | Initial Public Offering | SEHK: 90 | 24.5 | Industrial Growth |
| 03/06 | American Capital Strategies, Ltd. | Follow-On Offering | NASDAQ: ACAS | 487.3 | Financial Institutions |
| 03/05 | American Capital Strategies, Ltd. | Follow-On Offering | NASDAQ: ACAS | 315.0 | Financial Institutions |
| 07/04 | American Capital Strategies, Ltd. | Follow-On Offering | NASDAQ: ACAS | 123.9 | Financial Institutions |
| 07/04 | American Coin Merchandising, Inc., a portfolio company of Wellspring Capital Management | Seller Advisory | 235.0 | Industrial Growth | |
| 07/04 | American Medical Systems Holdings Inc. | Buyer Advisory | Undisclosed | Health Care | |
| 06/06 | American Medical Systems Holdings, Inc. | Convertible | NASDAQ: AMMD | 373.8 | Health Care |
| 01/07 | American Medical Systems Holdings, Inc. | Seller Advisory | Undisclosed | Health Care | |
| 07/06 | American Medical Systems Holdings, Inc. | Buyer Advisory | 715.0 | Health Care | |
| 06/07 | American Oriental Bioengineering Inc. | Follow-On Offering | NYSE: AOB | 83.1 | Health Care |
| 12/08 | American Public Education Inc. | Follow-On Offering | NYSE: APEI | 158.5 | Technology, Media and Telecommunications |
| 11/07 | American Public Education Inc. | Initial Public Offering | NYSE: APEI | 107.8 | Technology, Media and Telecommunications |
| 02/08 | American Public Education Inc. | Follow-On Offering | NYSE: APEI | 150.7 | Technology, Media and Telecommunications |
| 10/05 | America's Body Company, a portfolio company of Linsalata Capital Partners | Seller Advisory | Undisclosed | Industrial Growth | |
| 03/07 | AMIS Holdings, Inc. | Follow-On Offering | NYSE: AMIS | 206.3 | Technology, Media and Telecommunications |
| 05/10 | Anadys Pharmaceuticals Inc. | Registered Direct | NASDAQ: ANDS | 12.5 | Health Care |
| 08/05 | Anadys Pharmaceuticals, Inc. | Follow-On Offering | NASDAQ: ANDS | 71.3 | Health Care |
| 11/09 | Ancestry.com Inc. | Initial Public Offering | NASDAQ: ACOM | 100.0 | Technology, Media and Telecommunications |
| 06/06 | Andersen Corporation | Buyer Advisory | Undisclosed | Industrial Growth | |
| 05/05 | Andersen Corporation | Buyer Advisory | Undisclosed | Industrial Growth | |
| 01/07 | Animal Health International, Inc. | Initial Public Offering | NASDAQ: AHII | 129.8 | Health Care |
| 05/04 | Animas Corporation | Initial Public Offering | NASDAQ: PUMP | 73.3 | Health Care |
| 02/06 | Animas Corporation | Seller Advisory | 518.6 | Health Care | |
| 08/05 | Anthracite Capital, Inc. | Follow-On Offering | NYSE: AHR | 20.0 | Financial Institutions |
| 12/07 | Apogee Enterprises, Inc. | Buyer Advisory | 43.6 | Industrial Growth | |
| 08/06 | Applied Financial, LLC | Seller Advisory | Undisclosed | Financial Institutions | |
| 01/08 | AppTec Laboratory Services, Inc. | Seller Advisory | 163.0 | Health Care | |
| 02/09 | Aradigm Corporation | Registered Direct | NYSE: ARDM | 4.5 | Health Care |
| 01/10 | Arch Aluminum & Glass Co., Inc. | Seller Advisory | 64.0 | Industrial Growth | |
| 10/04 | Arch Aluminum & Glass Co., Inc., an investment of Long Point Capital | Seller Advisory | Undisclosed | Industrial Growth | |
| 08/04 | Archipelago Holdings, Inc. | Initial Public Offering | NYSE: ARCA | 145.5 | Financial Institutions |
| 11/09 | Archipelago Learning, Inc. | Initial Public Offering | NASDAQ: ARCL | 118.6 | Technology, Media and Telecommunications |
| 12/07 | Ardea Biosciences, Inc. | PIPE | NASDAQ: RDEA | 40.0 | Health Care |
| 12/06 | Arena Pharmaceuticals, Inc. | Follow-On Offering | NASDAQ: ARNA | 174.7 | Health Care |
| 01/06 | Arena Pharmaceuticals, Inc. | Follow-On Offering | NASDAQ: ARNA | 179.8 | Health Care |
| 02/05 | Arena Pharmaceuticals, Inc. | Follow-On Offering | NASDAQ: ARNA | 51.8 | Health Care |
| 05/07 | Array BioPharma, Inc. | Follow-On Offering | NASDAQ: ARRY | 91.0 | Health Care |
| 12/04 | Array BioPharma, Inc. | Follow-On Offering | NASDAQ: ARRY | 71.3 | Health Care |
| 09/07 | Associated Grocers, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 06/09 | Assured Guaranty Ltd. | Follow-On Offering | NYSE: AGO | 487.0 | Financial Institutions |
| 01/08 | ATA Inc. | Initial Public Offering | NASDAQ: ATAI | 46.3 | Technology, Media and Telecommunications |
| 09/07 | AthenaHealth Inc. | Initial Public Offering | NYSE: ATHN | 130.1 | Health Care |
| 12/09 | ATI Enterprises Inc. | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 10/07 | Atlantis Components, Inc. | Seller Advisory | 71.0 | Health Care | |
| 05/07 | Atlantis Components, Inc. | Private Placement | 12.0 | Health Care | |
| 05/07 | AtriCure, Inc. | PIPE | NASDAQ: ATRC | 16.5 | Health Care |
| 08/05 | AtriCure, Inc. | Initial Public Offering | NASDAQ: ATRC | 55.2 | Health Care |
| 10/05 | ATS Medical Inc. | Convertible PIPE | NASDAQ: ATSI | 22.4 | Health Care |
| 10/06 | ATS Medical Inc. | Buyer Advisory | 58.0 | Health Care | |
| 07/04 | Auxilium Pharmaceuticals Inc. | Follow-On Offering | NYSE: AUXL | 41.3 | Health Care |
| 05/09 | Avalon Pharmaceuticals Inc. | Seller Advisory | 10.0 | Health Care | |
| 03/08 | AVANIR Pharmaceuticals | Registered Direct | NYSE: AVNR | 40.0 | Health Care |
| 08/05 | Avid Technology, Inc. | Buyer Advisory | 312.0 | Technology, Media and Telecommunications | |
| 08/04 | Avid Technology, Inc. | Buyer Advisory | 209.5 | Technology, Media and Telecommunications | |
| 10/04 | B&G Foods, Inc. | Initial Public Offering | NYSE: BGS | 300.0 | Consumer |
| 03/09 | Bacchus Vascular, Inc. | Seller Advisory | Undisclosed | Health Care | |
| 08/05 | Baidu.com, Inc. | Initial Public Offering | NASDAQ: BIDU | 124.3 | Technology, Media and Telecommunications |
| 03/07 | Bare Escentuals, Inc. | Follow-On Offering | NASDAQ: BARE | 476.1 | Consumer |
| 09/06 | Bare Escentuals, Inc. | Initial Public Offering | NASDAQ: BARE | 404.8 | Consumer |
| 10/07 | BarrierSafe Solutions, a portfolio company of Riverside Parnters and StoneCreek Capital | Seller Advisory | Undisclosed | Industrial Growth | |
| 07/06 | Beacon Holdings Corporation, a portfolio company of the Riverside Company | Seller Advisory | 95.5 | Industrial Growth | |
| 05/05 | Bear Creek Country Kitchens LLC | Seller Advisory | Undisclosed | Consumer | |
| 08/04 | Becker Underwood, Inc., a portfolio company of Century Park Capital Partners | Seller Advisory | Undisclosed | Industrial Growth | |
| 12/04 | Bell Automotive Products, Inc., a portfolio company of Brentwood Associates | Seller Advisory | 60.0 | Industrial Growth | |
| 08/10 | Benefitfocus.com, Inc. | Private Placement | 30.0 | Health Care | |
| 10/06 | Berbee Information Networks Corporation | Seller Advisory | 184.0 | Technology, Media and Telecommunications | |
| 11/09 | Big Idea Holdings, LLC | Private Placement | 10.0 | Consumer | |
| 11/07 | BioForm Medical, Inc. | Initial Public Offering | NASDAQ: BFRM | 92.0 | Health Care |
| 02/09 | BioTrove, Inc. | Private Placement | 20.0 | Health Care | |
| 03/05 | BlackRidge Financial, Inc. | Private Placement | 25.0 | Financial Institutions | |
| 03/08 | Blu Dot Design & Manufacturing, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 02/08 | BPW Acquisition Corp. | Initial Public Offering | NASDAQ: BPW | 350.0 | Financial Institutions |
| 06/06 | Bravo Development, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 04/09 | Bridgepoint Education | Initial Public Offering | NYSE: BPI | 163.0 | Technology, Media and Telecommunications |
| 08/09 | Brightoil Petroleum (Holdings) Limited | Convertible | SEHK: 933 | 120.0 | Industrial Growth |
| 11/09 | Brightoil Petroleum (Holdings) Limited | Buyer Advisory | 52.5 | Industrial Growth | |
| 11/09 | Brightoil Petroleum (Holdings) Limited | Merger Advisory | 40.8 | Industrial Growth | |
| 03/06 | BriteSmile, Inc., Associated Center Business | Seller Advisory | 35.0 | Health Care | |
| 07/06 | BulkRegister | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 01/05 | Bumble Bee Seafoods, LLC | Buyer Advisory | 45.0 | Consumer | |
| 09/06 | Bunn Capitol Company | Seller Advisory | Undisclosed | Consumer | |
| 11/06 | Cache, Inc. | Follow-On Offering | NASDAQ: CACH | 49.1 | Consumer |
| 08/08 | CAI International Inc. | Follow-On Offering | NYSE: CAP | 34.9 | Financial Institutions |
| 05/07 | CAI International Inc. | Initial Public Offering | NYSE: CAP | 87.0 | Financial Institutions |
| 09/04 | California & Washington Company | Seller Advisory | Undisclosed | Consumer | |
| 09/04 | CallWave, Inc. | Initial Public Offering | NYSE: CALL | 40.0 | Technology, Media and Telecommunications |
| 02/04 | Cameron Health, Inc. | Seller Advisory | Undisclosed | Health Care | |
| 05/08 | Cameron Health, Inc. | Private Placement | 50.0 | Health Care | |
| 02/08 | Cameron Mitchell Restaurants, LLC | Seller Advisory | 94.0 | Consumer | |
| 12/07 | Canadian Solar, Inc. | Convertible | NASDAQ: CSIQ | 75.0 | Clean Technology and Renewables |
| 10/09 | Canadian Solar, Inc. | Follow-On Offering | NASDAQ: CSIQ | 108.7 | Clean Technology and Renewables |
| 07/08 | Canadian Solar, Inc. | Follow-On Offering | NASDAQ: CSIQ | 119.0 | Clean Technology and Renewables |
| 11/06 | Canadian Solar, Inc. | Initial Public Offering | NASDAQ: CSIQ | 115.5 | Clean Technology and Renewables |
| 06/08 | Canadian Solar, Inc. | Convertible | NASDAQ: CSIQ | 74.0 | Clean Technology and Renewables |
| 05/06 | CancerVax Corporation | Merger Advisory | 94.0 | Health Care | |
| 05/07 | Capella Education Co. | Follow-On Offering | NASDAQ: CPLA | 144.3 | Technology, Media and Telecommunications |
| 11/06 | Capella Education Co. | Initial Public Offering | NASDAQ: CPLA | 92.0 | Technology, Media and Telecommunications |
| 03/06 | CapitalSource Inc. | Follow-On Offering | NYSE: CSE | 413.6 | Financial Institutions |
| 10/05 | CapitalSource Inc. | Follow-On Offering | NYSE: CSE | 429.3 | Financial Institutions |
| 05/10 | Captain D's, LLC | Seller Advisory | Undisclosed | Consumer | |
| 12/04 | Captain D's, LLC, a portfolio company of Lone Star Funds | Seller Advisory | Undisclosed | Consumer | |
| 07/06 | Cardiovascular Systems, Inc. | Private Placement | 25.0 | Health Care | |
| 08/10 | Cardtronics Inc. | Follow-On Offering | NASDAQ: CATM | 98.0 | Financial Institutions |
| 03/10 | Cardtronics, Inc. | Follow-On Offering | NASDAQ: CATM | 84.0 | Financial Institutions |
| 12/07 | Cardtronics, Inc. | Initial Public Offering | NASDAQ: CATM | 120.0 | Financial Institutions |
| 06/07 | Care Investment Trust Inc. | Initial Public Offering | NYSE: CRE | 225.0 | Financial Institutions |
| 10/07 | Carey International, a portfolio company of Chartwell Investments | Seller Advisory | 60.0 | Industrial Growth | |
| 12/04 | Cash America International, Inc. | Fairness Opinion | 120.0 | Financial Institutions | |
| 04/07 | Castle Brands Inc. | PIPE | NYSE: ROX | 21.0 | Consumer |
| 03/07 | CastlePoint Holdings, Ltd. | Initial Public Offering | NYSE: CPHL | 127.8 | Financial Institutions |
| 05/06 | Catalina Restaurant Group, Inc., a portfolio company of Wexford Capital LLC | Seller Advisory | Undisclosed | Consumer | |
| 11/06 | Celgene Corporation | Follow-On Offering | NASDAQ: CELG | 1032.0 | Health Care |
| 02/10 | Centaur Services Ltd. | Seller Advisory | 47.0 | Health Care | |
| 05/09 | Cephalon, Inc. | Convertible | NASDAQ: CEPH | 500.0 | Health Care |
| 05/09 | Cephalon, Inc. | Follow-On Offering | NASDAQ: CEPH | 300.0 | Health Care |
| 01/08 | CGEN Digital Media Network Co. Ltd. | Seller Advisory | 350.0 | Technology, Media and Telecommunications | |
| 06/10 | Chaowei Power Holdings Ltd. | Initial Public Offering | SEHK: 951 | 70.0 | Industrial Growth |
| 06/04 | Charles River Associates Inc. | Convertible | NYSE: CRAI | 90.0 | Technology, Media and Telecommunications |
| 05/10 | Charm Communications Inc. | Initial Public Offering | NASDAQ: CHRM | 74.2 | Technology, Media and Telecommunications |
| 11/09 | Chef Solutions, LLC | Private Placement | 24.0 | Consumer | |
| 06/09 | Chemspec International Limited | Initial Public Offering | NASDAQ: CPC | 72.8 | Clean Technology and Renewables |
| 01/10 | CHF Solutions Inc. | Seller Advisory | Undisclosed | Health Care | |
| 09/05 | ChildrenFirst, Inc., a portfolio company of Carousel Capital Partners & Corporate Partners LLC | Seller Advisory | 61.0 | Technology, Media and Telecommunications | |
| 03/10 | China Chief Cable TV Group Ltd. | Follow-On Offering | SEHK: 8153 | 32.9 | Technology, Media and Telecommunications |
| 12/09 | China Corn Oil Company Limited | Initial Public Offering | SEHK: 1006 | 80.0 | Consumer |
| 10/07 | China Digital TV Holding Co. Ltd. | American Depository Receipt | NYSE: STV | 220.8 | Technology, Media and Telecommunications |
| 07/08 | China Distance Education Holdings Ltd. | Initial Public Offering | NYSE: DL | 61.3 | Technology, Media and Telecommunications |
| 03/06 | China GrenTech Corporation Limited | Initial Public Offering | NASDAQ: GRRF | 112.5 | Technology, Media and Telecommunications |
| 08/10 | China Kanghui Holdings | Initial Public Offering | NYSE: KH | 68.4 | Health Care |
| 09/09 | China Lilang Ltd | Initial Public Offering | SEHK: 1234 | 150.0 | Consumer |
| 06/10 | China New Borun Corp. | Initial Public Offering | NYSE: BORN | 40.1 | Consumer |
| 12/07 | ChinaEdu Corporation | Initial Public Offering | NASDAQ: CEDU | 68.2 | Technology, Media and Telecommunications |
| 03/07 | Churchill Capital, Mezzanine Finance Business | Seller Advisory | Undisclosed | Financial Institutions | |
| 02/06 | Churchill Financial Holdings, LLC | Private Placement | 112.5 | Financial Institutions | |
| 06/07 | Citi Trends, Inc. | Follow-On Offering | NASDAQ: CTRN | 81.0 | Consumer |
| 01/06 | Citi Trends, Inc. | Follow-On Offering | NASDAQ: CTRN | 81.4 | Consumer |
| 05/05 | Citi Trends, Inc. | Initial Public Offering | NASDAQ: CTRN | 62.0 | Consumer |
| 10/05 | Claim Jumper Restaurants LLC | Seller Advisory | Undisclosed | Consumer | |
| 12/06 | Classic Party Rentals, a portfolio company of Dubin Clark & Company | Seller Advisory | Undisclosed | Industrial Growth | |
| 03/06 | Clayton Holdings, Inc. | Initial Public Offering | NYSE: CLAY | 146.6 | Financial Institutions |
| 04/05 | Clayton Services, Inc. and The Murrayhill Company | Merger Advisory | Undisclosed | Financial Institutions | |
| 11/05 | Clearant ,Inc. | PIPE | OTC: CLRA | 12.0 | Health Care |
| 10/09 | Clinical Data, Inc. | Registered Direct | NASDAQ: CLDA | 47.4 | Health Care |
| 06/06 | Club Staffing Inc., a portfolio company of Olympus Partners | Seller Advisory | Undisclosed | Health Care | |
| 07/10 | Cninsure Inc. | Follow-On Offering | NASDAQ: CISG | 115.0 | Financial Institutions |
| 10/07 | CNinsure inc. | Initial Public Offering | NYSE: CISG | 216.4 | Financial Institutions |
| 05/04 | Coastal Bancorp, Inc. | Seller Advisory | 230.0 | Financial Institutions | |
| 04/10 | Codexis, Inc. | Initial Public Offering | NASDAQ: CDXS | 78.0 | Clean Technology and Renewables |
| 08/05 | Colder Products Company | Seller Advisory | Undisclosed | Industrial Growth | |
| 09/05 | CombiMatrix Corporation | Registered Direct | NASDAQ: CBMX | 10.5 | Health Care |
| 11/09 | Compellent Technologies, Inc. | Follow-On Offering | NYSE: CML | 73.9 | Technology, Media and Telecommunications |
| 10/07 | Compellent Technologies, Inc. | Initial Public Offering | NYSE: CML | 81.0 | Technology, Media and Telecommunications |
| 10/09 | Comtec Solar Technology Co., Ltd. | Initial Public Offering | SEHK: 712 | 68.0 | Clean Technology and Renewables |
| 09/06 | Confluent Surgical, Inc. | Seller Advisory | 245.0 | Health Care | |
| 03/05 | Connetics Corporation | Convertible | NYSE: CNCT | 150.0 | Health Care |
| 05/07 | ConvergeOne Holdings Corporation, a portfolio company of Nautic Partners | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 04/10 | Convio, Inc. | Initial Public Offering | NASDAQ: CNVO | 46.2 | Technology, Media and Telecommunications |
| 07/04 | Convio, Inc. | Private Placement | 15.0 | Technology, Media and Telecommunications | |
| 04/06 | Corel Corporation | Initial Public Offering | NASDAQ: CREL | 104.0 | Technology, Media and Telecommunications |
| 12/05 | Corgentech Inc. | Buyer Advisory | 101.6 | Health Care | |
| 10/05 | CoTherix, Inc. | Follow-On Offering | NASDAQ: CTRX | 67.3 | Health Care |
| 02/05 | CoTherix, Inc. | Follow-On Offering | NASDAQ: CTRX | 37.8 | Health Care |
| 10/04 | CoTherix, Inc. | Initial Public Offering | NASDAQ: CTRX | 30.0 | Health Care |
| 06/05 | CRA International | Follow-On Offering | NYSE: CRAI | 102.1 | Technology, Media and Telecommunications |
| 12/06 | Credence Systems Corp. | Convertible | NYSE: CMOS | 122.5 | Technology, Media and Telecommunications |
| 08/08 | Credence Systems GmbH | Fairness Opinion | Undisclosed | Technology, Media and Telecommunications | |
| 09/09 | Cree Inc. | Follow-On Offering | NASDAQ: CREE | 449.1 | Technology, Media and Telecommunications |
| 05/04 | Critical Therapeutics Inc. | Initial Public Offering | NASDAQ: CRTX | 42.8 | Health Care |
| 08/06 | Crocs, Inc. | Follow-On Offering | NASDAQ: CROX | 247.8 | Consumer |
| 02/06 | Crocs, Inc. | Initial Public Offering | NASDAQ: CROX | 239.1 | Consumer |
| 03/05 | CryoLife, Inc. | Convertible | NYSE: CRY | 20.0 | Health Care |
| 06/04 | CTI Molecular Imaging Inc. | Buyer Advisory | 41.0 | Health Care | |
| 12/04 | Ctrip.com International Ltd. | Follow-On Offering | NASDAQ: CTRP | 92.8 | Technology, Media and Telecommunications |
| 10/09 | CuraGen Corp. | Seller Advisory | 93.5 | Health Care | |
| 05/04 | CV Therapeutics Inc. | Convertible | NYSE: CVTX | 150.0 | Health Care |
| 06/05 | CV Therapeutics, Inc. | Follow-On Offering | NYSE: CVTX | 180.4 | Health Care |
| 07/08 | Cytochroma Inc. | Private Placement | 45.0 | Health Care | |
| 03/09 | Cytori Therapeutics Inc. | Registered Direct | NASDAQ: CYTX | 10.0 | Health Care |
| 08/08 | Cytori Therapeutics Inc. | Registered Direct | NASDAQ: CYTX | 17.0 | Health Care |
| 02/07 | Cytori Therapeutics Inc. | Registered Direct | NASDAQ: CYTX | 21.5 | Health Care |
| 08/06 | Cytori Therapeutics Inc. | Registered Direct | NASDAQ: CYTX | 16.8 | Health Care |
| 03/04 | Cytyc Corporation | Convertible | NASDAQ: CYTC | 250.0 | Health Care |
| 03/05 | Cytyc Corporation | Buyer Advisory | 160.0 | Health Care | |
| 03/06 | Dave & Buster's Inc. | Seller Advisory | 375.0 | Consumer | |
| 11/04 | Dealix Corporation | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 08/04 | Decide Interactive | Seller Advisory | 33.5 | Technology, Media and Telecommunications | |
| 05/04 | Deckers Outdoor Corporation | Follow-On Offering | NASDAQ: DECK | 86.6 | Consumer |
| 11/06 | deCODE Genetics, Inc. | Convertible | NASDAQ: DCGN | 80.0 | Health Care |
| 04/04 | deCODE Genetics, Inc. | Convertible | NASDAQ: DCGN | 150.0 | Health Care |
| 06/09 | Delcath Systems, Inc. | Registered Direct | NASDAQ: DCTH | 3.0 | Health Care |
| 07/05 | Department 56, Inc. | Buyer Advisory | 190.0 | Consumer | |
| 10/05 | Devax, Inc. | Private Placement | 32.0 | Health Care | |
| 01/09 | Dexcom, Inc. | Registered Direct | NASDAQ: DXCM | 48.0 | Health Care |
| 03/07 | DexCom, Inc. | Convertible | NASDAQ: DXCM | 60.0 | Health Care |
| 04/06 | DexCom, Inc. | Follow-On Offering | NASDAQ: DXCM | 132.0 | Health Care |
| 04/05 | DexCom, Inc. | Initial Public Offering | NASDAQ: DXCM | 56.4 | Health Care |
| 12/04 | DexCom, Inc. | Private Placement | 22.5 | Health Care | |
| 03/04 | Dharmacon, Inc. | Seller Advisory | 84.0 | Health Care | |
| 07/05 | Diamond Foods, Inc. | Initial Public Offering | NASDAQ: DMND | 117.3 | Consumer |
| 05/06 | Diamond Foods, Inc. | Buyer Advisory | 18.0 | Consumer | |
| 12/09 | Discrete Wireless, Inc. | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 10/08 | DNA Diagnostics Center, Inc. | Seller Advisory | Undisclosed | Health Care | |
| 08/07 | Dolan Media Co. | Initial Public Offering | NYSE: DM | 224.4 | Technology, Media and Telecommunications |
| 06/06 | Dollar Financial Corp. | Follow-On Offering | NASDAQ: DLLR | 95.7 | Financial Institutions |
| 01/05 | Dollar Financial Corp. | Initial Public Offering | NASDAQ: DLLR | 120.0 | Financial Institutions |
| 05/10 | Douglas Dynamics, Inc. | Initial Public Offering | NYSE: PLOW | 112.5 | Industrial Growth |
| 04/08 | Douglas Theatre Company | Merger Advisory | 40.5 | Industrial Growth | |
| 10/09 | DragonWave Inc. | Follow-On Offering | NASDAQ: DRWI | 129.7 | Technology, Media and Telecommunications |
| 01/10 | Duoyuan Global Water Inc. | Follow-On Offering | NYSE: DGW | 104.6 | Clean Technology and Renewables |
| 06/09 | Duoyuan Global Water Inc. | Initial Public Offering | NYSE: DGW | 101.2 | Clean Technology and Renewables |
| 11/09 | Duoyuan Printing, Inc. | Initial Public Offering | NYSE: DYP | 54.9 | Industrial Growth |
| 04/10 | Dynavox Inc. | Initial Public Offering | NASDAQ: DVOX | 140.6 | Health Care |
| 03/06 | Eagle Test Systems Inc. | Initial Public Offering | NYSE: EGLT | 100.8 | Technology, Media and Telecommunications |
| 12/08 | Eclipsys Corp. | Buyer Advisory | 38.5 | Health Care | |
| 10/08 | Eclipsys Corp. | Buyer Advisory | 43.0 | Health Care | |
| 02/08 | Eclipsys Corp. | Buyer Advisory | 53.0 | Health Care | |
| 04/10 | Education Connection Services, Inc. | Seller Advisory | 500.0 | Technology, Media and Telecommunications | |
| 10/09 | Education Management Corporation | Initial Public Offering | NASDAQ: EDMC | 414.0 | Technology, Media and Telecommunications |
| 06/07 | Einstein Noah Restaurant Group | Follow-On Offering | NYSE: BAGL | 90.0 | Consumer |
| 11/05 | El Pollo Loco Inc., a portfolio company of American Securities Capital Partners, L.P. | Seller Advisory | Undisclosed | Consumer | |
| 03/07 | Electroglas, Inc. | Convertible | OTC: EGLSQ | 25.8 | Technology, Media and Telecommunications |
| 02/05 | Emageon Inc. | Initial Public Offering | NASDAQ: EMAG | 74.8 | Health Care |
| 08/09 | Emdeon Inc | Initial Public Offering | NYSE: EM | 422.5 | Health Care |
| 01/05 | Endocardial Solutions, Inc. | Seller Advisory | 270.3 | Health Care | |
| 07/09 | Endologix, Inc. | Registered Direct | NASDAQ: ELGX | 16.0 | Health Care |
| 03/06 | Energy Conversion Devices, Inc. | Follow-On Offering | NASDAQ: ENER | 394.5 | Clean Technology and Renewables |
| 07/08 | EnergySolutions, Inc. | Follow-On Offering | NYSE: ES | 764.8 | Clean Technology and Renewables |
| 10/07 | Engineered Materials Solutions, a portfolio company of Blue Point Capital Partners | Seller Advisory | Undisclosed | Industrial Growth | |
| 07/06 | EnteroMedics, Inc. | Private Placement | 45.2 | Health Care | |
| 07/08 | EP MedSystems Inc. | Seller Advisory | 91.0 | Health Care | |
| 05/07 | Epicor Software Corporation | Convertible | NASDAQ: EPIC | 200.0 | Technology, Media and Telecommunications |
| 12/05 | Epicor Software Corporation | Buyer Advisory | 121.0 | Technology, Media and Telecommunications | |
| 06/09 | Equinix, Inc. | Convertible | NASDAQ: EQIX | 373.8 | Technology, Media and Telecommunications |
| 11/05 | ESCORT Inc., a portfolio company of American Capital Strategies, Ltd. | Seller Advisory | Undisclosed | Industrial Growth | |
| 04/07 | ev3 Inc. | Follow-On Offering | NASDAQ: EVVV | 166.3 | Health Care |
| 06/05 | ev3 Inc. | Initial Public Offering | NASDAQ: EVVV | 164.7 | Health Care |
| 01/06 | ev3 Inc. | Buyer Advisory | 105.9 | Health Care | |
| 04/10 | Evergreen Solar Inc. | Convertible | NASDAQ: ESLR | 165.0 | Clean Technology and Renewables |
| 05/09 | Evergreen Solar, Inc. | Registered Direct | NASDAQ: ESLR | 76.6 | Clean Technology and Renewables |
| 05/07 | Evergreen Solar, Inc. | Follow-On Offering | NASDAQ: ESLR | 142.3 | Clean Technology and Renewables |
| 06/08 | Evergreen Solar, Inc. | Convertible | NASDAQ: ESLR | 373.8 | Clean Technology and Renewables |
| 09/07 | Everlast Worldwide Inc. | Seller Advisory | 191.0 | Consumer | |
| 12/05 | Excel Bank Corporation | Private Placement | 12.0 | Financial Institutions | |
| 11/06 | Excelligence Learning Corporation | Seller Advisory | 125.3 | Technology, Media and Telecommunications | |
| 10/06 | Exelixis Inc. | Follow-On Offering | NASDAQ: EXEL | 96.6 | Health Care |
| 10/05 | Exopack Holding Corp., a portfolio company of The Sterling Group | Seller Advisory | Undisclosed | Industrial Growth | |
| 05/10 | Express Inc. | Initial Public Offering | NYSE: EXPR | 272.0 | Consumer |
| 02/08 | eyeonics, Inc. | Merger Advisory | Undisclosed | Health Care | |
| 07/04 | Fantastic Foods, Inc. and Napa Valley Kitchens, Inc., subsidiaries of Homegrown Natural Foods, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 08/08 | Ferro Corporation | Convertible | NYSE: FOE | 172.5 | Industrial Growth |
| 04/09 | Fidelity National Financial, Inc. | Follow-On Offering | NYSE: FNF | 345.2 | Financial Institutions |
| 03/10 | Financial Engines, Inc. | Initial Public Offering | NASDAQ: FNGN | 146.3 | Financial Institutions |
| 04/04 | Financial Federal Corp. | Convertible | NYSE: FIF | 175.0 | Financial Institutions |
| 11/04 | Fingerhut Direct Marketing, Inc. | Private Placement | 18.0 | Consumer | |
| 02/04 | Fingerhut Direct Marketing, Inc. | Private Placement | 32.5 | Consumer | |
| 10/09 | Finisar Corp. | Convertible | NASDAQ: FNSR | 139.1 | Technology, Media and Telecommunications |
| 10/06 | Finisar Corp. | Convertible | NYSE: FNSR | 100.0 | Technology, Media and Telecommunications |
| 03/10 | Finisar Corporation | Follow-On Offering | NASDAQ: FNSR | 139.1 | Technology, Media and Telecommunications |
| 08/07 | First Solar Inc. | Follow-On Offering | NYSE: FSLR | 698.3 | Clean Technology and Renewables |
| 11/06 | First Solar Inc. | Initial Public Offering | NYSE: FSLR | 458.9 | Clean Technology and Renewables |
| 04/08 | FMG Acquisition Corp. | Fairness Opinion | 95.0 | Financial Institutions | |
| 11/07 | Focus Media Holding Ltd. | American Depository Receipt | NASDAQ: FMCN | 888.4 | Technology, Media and Telecommunications |
| 06/06 | Focus Media Holding Ltd. | Follow-On Offering | NASDAQ: FMCN | 415.8 | Technology, Media and Telecommunications |
| 01/06 | Focus Media Holding Ltd. | Follow-On Offering | NASDAQ: FMCN | 322.6 | Technology, Media and Telecommunications |
| 07/05 | Focus Media Holding Ltd. | Initial Public Offering | NASDAQ: FMCN | 197.5 | Technology, Media and Telecommunications |
| 04/09 | Fortegra Financial Corporation | Buyer Advisory | Undisclosed | Financial Institutions | |
| 10/04 | FoxHollow Technologies, Inc. | Initial Public Offering | NYSE: FOXH | 72.5 | Health Care |
| 11/07 | Fresh Del Monte Produce Inc. | Follow-On Offering | NYSE: FDP | 289.7 | Consumer |
| 02/05 | FTD Group, Inc. | Initial Public Offering | NYSE: FTD | 176.0 | Technology, Media and Telecommunications |
| 12/09 | Fufeng Group Limited | Block Trade | SEHK: 546 | 36.0 | Industrial Growth |
| 10/05 | Garden Fresh Holdings, Inc., a portfolio company of Centre Partners Management LLC and Fairmont Capital, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 08/05 | GED Integrated Solutions, Inc., a portfolio company of Morgenthaler Partners | Seller Advisory | Undisclosed | Industrial Growth | |
| 05/10 | GenMark Diagnostics, Inc. | Initial Public Offering | NASDAQ: GNMK | 27.6 | Health Care |
| 05/07 | Genomic Health Inc. | Follow-On Offering | NASDAQ: GHDX | 46.5 | Health Care |
| 09/05 | Genomic Health Inc. | Initial Public Offering | NASDAQ: GHDX | 60.2 | Health Care |
| 08/05 | Genta Incorporated | Registered Direct | OTC: GETA | 17.5 | Health Care |
| 09/09 | Gevo, Inc. | Private Placement | 32.5 | Clean Technology and Renewables | |
| 11/07 | Giant Interactive Group Inc. | American Depository Receipt | NYSE: GA | 1019.5 | Technology, Media and Telecommunications |
| 12/09 | G-III Apparel Group Ltd. | Registered Direct | NASDAQ: GIII | 37.2 | Consumer |
| 10/04 | Gold Kist Holdings Inc. | Initial Public Offering | NYSE: GKIS | 132.0 | Consumer |
| 07/05 | Golf Galaxy, Inc. | Initial Public Offering | 63.6 | Consumer | |
| 02/07 | Golf Galaxy, Inc. | Merger Advisory | 225.0 | Consumer | |
| 08/10 | Gordmans Stores, Inc | Initial Public Offering | NASDAQ: GMAN | 58.9 | Consumer |
| 09/09 | Grand Canyon Education, Inc. | Follow-On Offering | NASDAQ: LOPE | 113.9 | Technology, Media and Telecommunications |
| 11/08 | Grand Canyon Education, Inc. | Initial Public Offering | NYSE: LOPE | 144.9 | Technology, Media and Telecommunications |
| 06/04 | Great Plains Energy Inc. | Convertible | NYSE: GXP | 163.6 | Other |
| 03/07 | Greatbatch, Inc. | Convertible | NYSE: GB | 80.0 | Health Care |
| 07/10 | Green Dot Corporation | Initial Public Offering | NYSE: GDOT | 188.7 | Financial Institutions |
| 03/10 | Green Plains Renewable Energy, Inc. | Follow-On Offering | NASDAQ: GPRE | 85.4 | Clean Technology and Renewables |
| 12/04 | Greenfield Online, Inc. | Follow-On Offering | NASDAQ: SRVY | 125.3 | Technology, Media and Telecommunications |
| 07/04 | Greenfield Online, Inc. | Follow-On Offering | NASDAQ: SRVY | 74.8 | Technology, Media and Telecommunications |
| 02/05 | Greenfield Online, Inc. | Buyer Advisory | 30.0 | Technology, Media and Telecommunications | |
| 07/08 | GT Solar International, Inc. | Initial Public Offering | NASDAQ: SOLR | 499.9 | Clean Technology and Renewables |
| 12/07 | Gushan Environmental Energy Ltd. | Initial Public Offering | NYSE: GU | 184.6 | Clean Technology and Renewables |
| 10/06 | Hallmark Financial Services | Follow-On Offering | NASDAQ: HAF | 27.0 | Financial Institutions |
| 10/09 | Hana Biosciences, Inc. | PIPE | OTC: HNAB | 12.4 | Health Care |
| 01/06 | Hand Innovations LLC | Seller Advisory | Undisclosed | Health Care | |
| 04/10 | Hansen Medical, Inc. | Registered Direct | NASDAQ: HNSN | 32.2 | Health Care |
| 04/09 | Hansen Medical, Inc. | Registered Direct | NASDAQ: HNSN | 38.0 | Health Care |
| 06/04 | Hansen Natural | Block Trade | NASDAQ: HANS | 11.5 | Consumer |
| 04/04 | Hat World Corporation, a portfolio company of Saunders Karp & Megrue | Seller Advisory | 177.4 | Consumer | |
| 11/05 | Healthcare Finance Group, Inc. | Private Placement | 32.5 | Financial Institutions | |
| 11/04 | HealthExtras, Inc. | Follow-On Offering | NYSE: HLEX | 84.0 | Health Care |
| 10/08 | HealthPlan Holdings, Inc. | Seller Advisory | Undisclosed | Health Care | |
| 03/08 | Heritage-Crystal Clean Inc. | Initial Public Offering | NASDAQ: HCCI | 25.3 | Technology, Media and Telecommunications |
| 07/07 | hhgregg Appliances, Inc. | Initial Public Offering | NYSE: HGG | 121.9 | Consumer |
| 06/10 | Higher One Holdings Inc. | Initial Public Offering | NYSE: ONE | 124.2 | Financial Institutions |
| 03/06 | HIMAX Technologies Inc. | Initial Public Offering | NASDAQ: HIMX | 510.6 | Technology, Media and Telecommunications |
| 08/07 | HireRight, Inc. | Initial Public Offering | NYSE: HIRE | 65.6 | Technology, Media and Telecommunications |
| 07/05 | Hittite Microwave Corporation | Initial Public Offering | NASDAQ: HITT | 88.0 | Technology, Media and Telecommunications |
| 08/05 | Hoku Scientific, Inc. | Initial Public Offering | NASDAQ: HOKU | 21.0 | Technology, Media and Telecommunications |
| 06/06 | Home BancShares, Inc. | Initial Public Offering | NASDAQ: HOMB | 51.8 | Financial Institutions |
| 09/06 | Home Diagnostics Inc. | Initial Public Offering | NASDAQ: HDIX | 79.2 | Health Care |
| 03/05 | Horizon Health Corporation | Follow-On Offering | NYSE: HORC | 62.5 | Health Care |
| 04/05 | Hormel Foods Corporation | Buyer Advisory | Undisclosed | Consumer | |
| 12/04 | Hormel Foods Corporation | Buyer Advisory | 185.7 | Consumer | |
| 12/04 | HouseValues, Inc. | Initial Public Offering | NYSE: SOLD | 94.0 | Technology, Media and Telecommunications |
| 02/05 | Hurray! Holding Co., Ltd. | Initial Public Offering | NASDAQ: HRAY | 70.5 | Technology, Media and Telecommunications |
| 05/06 | HydroGen Corporation | PIPE | OTC: HYDGQ | 25.8 | Technology, Media and Telecommunications |
| 12/06 | Iconix Brand Group | Follow-On Offering | NASDAQ: ICON | 260.2 | Consumer |
| 07/05 | icrossing, Inc. | Private Placement | 13.0 | Technology, Media and Telecommunications | |
| 05/05 | IDX Systems Corporation | Block Trade | NYSE: IDXC | 47.3 | Health Care |
| 10/06 | IHS Inc. | Follow-On Offering | NYSE: IHS | 323.6 | Technology, Media and Telecommunications |
| 11/05 | IHS Inc. | Initial Public Offering | NYSE: IHS | 267.1 | Technology, Media and Telecommunications |
| 09/06 | Incyte Corporation | Convertible | NASDAQ: INCY | 151.8 | Health Care |
| 02/04 | Incyte Corporation | Convertible | NASDAQ: INCY | 250.0 | Health Care |
| 09/05 | Industrial Container Services, LLC, a portfolio company of CIC Partners | Seller Advisory | Undisclosed | Industrial Growth | |
| 01/07 | InnerWorkings, Inc. | Follow-On Offering | NASDAQ: INWK | 108.0 | Technology, Media and Telecommunications |
| 08/06 | InnerWorkings, Inc. | Initial Public Offering | NASDAQ: INWK | 109.6 | Technology, Media and Telecommunications |
| 07/04 | Inspire Pharmaceuticals Inc. | Follow-On Offering | NYSE: ISPH | 82.8 | Health Care |
| 02/10 | IntegraMed America, Inc. | Follow-On Offering | NASDAQ: INMD | 21.0 | Health Care |
| 09/05 | Integrated Circuit Systems, Inc. | Merger Advisory | 1700.0 | Technology, Media and Telecommunications | |
| 12/07 | Intellon Corp. | Initial Public Offering | NASDAQ: ITLN | 51.1 | Clean Technology and Renewables |
| 12/07 | Intellon Corp. | Initial Public Offering | NASDAQ: ITLN | 51.1 | Technology, Media and Telecommunications |
| 08/07 | International Fight League, Inc. | PIPE | OTC: IFLI | 12.7 | Consumer |
| 12/06 | International Fight League, Inc. | PIPE | OTC: IFLI | 24.2 | Consumer |
| 02/05 | International Multifoods, U.S. Foodservice & Bakery Products, a division of The J.M. Smucker Company | Seller Advisory | 43.0 | Consumer | |
| 06/04 | Interpore International, Inc. | Seller Advisory | 282.0 | Health Care | |
| 07/04 | Intersil Corporation | Buyer Advisory | 529.0 | Technology, Media and Telecommunications | |
| 05/04 | IntraBiotics Pharmaceuticals Inc. | Follow-On Offering | NYSE: IBPI | 44.9 | Health Care |
| 04/10 | Invatec | Seller Advisory | 500.0 | Health Care | |
| 03/09 | iScience Interventional, Inc. | Private Placement | 20.5 | Health Care | |
| 12/07 | iTradeNetwork, Inc. | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 12/05 | iTradeNetwork, Inc. | Private Placement | 24.5 | Technology, Media and Telecommunications | |
| 05/04 | J. Manheimer Inc. | Seller Advisory | Undisclosed | Industrial Growth | |
| 05/08 | JA Solar Holdings Co., Ltd. | Convertible | NASDAQ: JASO | 400.0 | Clean Technology and Renewables |
| 10/07 | JA Solar Holdings Co., Ltd. | Follow-On Offering | NASDAQ: JASO | 305.7 | Clean Technology and Renewables |
| 02/07 | JA Solar Holdings Co., Ltd. | Initial Public Offering | NASDAQ: JASO | 258.8 | Clean Technology and Renewables |
| 11/06 | Jamba Juice Company | Merger Advisory | 265.0 | Consumer | |
| 08/07 | JDS Pharmaceuticals, LLC | Seller Advisory | 125.0 | Health Care | |
| 07/04 | Jerr-Dan Corp., a portfolio company of Littlejohn & Co. | Seller Advisory | 80.0 | Industrial Growth | |
| 02/05 | JHT Holdings, Inc., a portfolio company of Merit Capital Partners, LLC | Seller Advisory | Undisclosed | Industrial Growth | |
| 03/07 | Johnny Rockets Group, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 07/07 | Jonathan Engineered Solutions, a portfolio company of Industrial Growth Partners | Seller Advisory | Undisclosed | Industrial Growth | |
| 06/06 | Jones Soda Co. | PIPE | NYSE: JSDA | 30.0 | Consumer |
| 05/09 | Junefield Department Store Group Limited | Buyer Advisory | 14.2 | Industrial Growth | |
| 08/04 | JupiterMedia Corp. | Block Trade | 18.8 | Technology, Media and Telecommunications | |
| 05/04 | JupiterMedia Corp. | Follow-On Offering | 40.1 | Technology, Media and Telecommunications | |
| 06/04 | K2 Inc. | Follow-On Offering | NYSE: KTO | 99.2 | Consumer |
| 06/06 | K2M, Inc. | Private Placement | 21.5 | Health Care | |
| 11/07 | Kele, Inc. | Seller Advisory | Undisclosed | Industrial Growth | |
| 02/07 | Kellermeyer Building Services, a portfolio company of CIVC Partners | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 06/04 | Kellwood Company | Convertible | 200.0 | Consumer | |
| 04/10 | Kilroy Realty Corp. | Follow-On Offering | NYSE: KRC | 312.8 | Industrial Growth |
| 06/04 | Kinetic Concepts Inc. | Follow-On Offering | NYSE: KCI | 764.8 | Health Care |
| 07/08 | Kintera Inc. | Seller Advisory | 45.7 | Technology, Media and Telecommunications | |
| 03/07 | Komag, Inc. | Convertible | NYSE: KOMG | 220.0 | Technology, Media and Telecommunications |
| 01/04 | Komag, Inc. | Convertible | NYSE: KOMG | 80.5 | Technology, Media and Telecommunications |
| 06/04 | LabOne Inc. | Convertible | NYSE: LABS | 103.5 | Health Care |
| 08/05 | Lancaster Laboratories, Inc. and its key shareholder, Goldner Hawn Johnson & Morrison | Seller Advisory | 150.0 | Health Care | |
| 06/05 | Langer, Inc. | Follow-On Offering | NYSE: GAIT | 32.5 | Health Care |
| 05/10 | Lansen Pharmaceutical Holdings Ltd. | Initial Public Offering | SEHK: 503 | 78.7 | Health Care |
| 12/07 | Lanx, Inc. | Private Placement | 25.0 | Health Care | |
| 05/07 | LDK Solar Hi-Tech Co. Ltd. | American Depository Receipt | NYSE: LDK | 486.0 | Clean Technology and Renewables |
| 09/07 | LDR Holding Corporation | Private Placement | 25.0 | Health Care | |
| 07/08 | Leggett & Platt, Inc. Leggett & Platt Aluminum Group | Seller Advisory | 350.0 | Industrial Growth | |
| 06/04 | Life Time Fitness Inc. | Initial Public Offering | NYSE: LTM | 210.6 | Consumer |
| 03/08 | Lifecore Biomedical, Inc. | Seller Advisory | 239.0 | Health Care | |
| 06/07 | Limelight Networks, Inc. | Initial Public Offering | NASDAQ: LLNW | 276.0 | Technology, Media and Telecommunications |
| 03/09 | Lionsgate | Buyer Advisory | 255.0 | Technology, Media and Telecommunications | |
| 08/06 | LipoScience, Inc. | Private Placement | 13.0 | Health Care | |
| 03/08 | LNK Partners | Buyer Advisory | Undisclosed | Consumer | |
| 02/07 | Locus Pharmaceuticals, Inc. | Private Placement | 30.2 | Health Care | |
| 11/09 | LogMeIn, Inc. | Follow-On Offering | NASDAQ: LOGM | 57.8 | Technology, Media and Telecommunications |
| 06/09 | LogMeIn, Inc. | Initial Public Offering | NASDAQ: LOGM | 122.7 | Technology, Media and Telecommunications |
| 07/08 | Lone Star Funds | Buyer Advisory | 5900.0 | Financial Institutions | |
| 12/06 | Lone Star Funds | Buyer Advisory | 586.0 | Consumer | |
| 01/05 | Lone Star Funds | Buyer Advisory | 660.0 | Consumer | |
| 10/07 | Lone Star U.S. Acquisitions, LLC | Buyer Advisory | 300.0 | Financial Institutions | |
| 11/07 | Lumber Liquidators Inc. | Initial Public Offering | NYSE: LL | 110.0 | Consumer |
| 06/09 | Lumena Resources Group | Initial Public Offering | SEHK: 67 | 170.6 | Industrial Growth |
| 04/10 | Macerich Co. | Follow-On Offering | NYSE: MAC | 1230.0 | Industrial Growth |
| 04/07 | Magma Design Automation | Convertible | NASDAQ: LAVA | 49.9 | Technology, Media and Telecommunications |
| 08/09 | MAKO Surgical Corp. | Registered Direct | NASDAQ: MAKO | 58.4 | Health Care |
| 07/04 | MannKind Corp. | Initial Public Offering | NASDAQ: MNKD | 91.8 | Health Care |
| 02/05 | Marchex, Inc. | Convertible | NASDAQ: MCHX | 57.5 | Technology, Media and Telecommunications |
| 02/05 | Marchex, Inc. | Initial Public Offering | NASDAQ: MCHX | 184.0 | Technology, Media and Telecommunications |
| 04/08 | Market Track, LLC | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 11/06 | Marlin Business Services, Inc. | Follow-On Offering | NASDAQ: MRLN | 22.0 | Financial Institutions |
| 11/07 | Marshall BankFirst SVS | Seller Advisory | 60.6 | Financial Institutions | |
| 03/05 | Marshall Retail Group, LLC, a portfolio company of ICV Capital Partners, LLC | Seller Advisory | Undisclosed | Consumer | |
| 12/04 | Marvin Windows and Doors | Buyer Advisory | Undisclosed | Industrial Growth | |
| 08/07 | Masimo Corporation | Initial Public Offering | NASDAQ: MASI | 232.9 | Health Care |
| 09/06 | MathStar, Inc. | PIPE | OTC: MATH | 12.6 | Technology, Media and Telecommunications |
| 01/06 | Maxim Pharmaceuticals Inc. | Merger Advisory | 38.1 | Health Care | |
| 04/07 | MBA Polymers, Inc. | Private Placement | 22.0 | Clean Technology and Renewables | |
| 10/06 | MCG Capital Corporation | Follow-On Offering | NASDAQ: MCGC | 72.5 | Financial Institutions |
| 06/05 | MCG Capital Corporation | Follow-On Offering | NASDAQ: MCGC | 75.6 | Financial Institutions |
| 03/05 | MCG Capital Corporation | Follow-On Offering | NASDAQ: MCGC | 31.5 | Financial Institutions |
| 09/04 | MCG Capital Corporation | Follow-On Offering | NASDAQ: MCGC | 40.7 | Financial Institutions |
| 12/07 | MedAssets | Initial Public Offering | NASDAQ: MDAS | 212.8 | Health Care |
| 04/10 | Medquist Inc., a portfolio company of CBay Systems | Buyer Advisory | 116.3 | Health Care | |
| 06/04 | MedSource Technologies, Inc. | Seller Advisory | 230.0 | Health Care | |
| 04/09 | Medtronic, Inc. | Buyer Advisory | 700.0 | Health Care | |
| 11/07 | Medtronic, Inc. | Buyer Advisory | 420.0 | Health Care | |
| 02/10 | Merz GmbH & Co. KGaA | Buyer Advisory | 253.0 | Health Care | |
| 03/06 | Metabasis Therapeutics | Registered Direct | NASDAQ: MBRX | 40.0 | Health Care |
| 11/06 | Metabolix Inc. | Initial Public Offering | NASDAQ: MBLX | 109.5 | Clean Technology and Renewables |
| 02/04 | MGI PHARMA, INC. | Convertible | 348.0 | Health Care | |
| 04/10 | MGIC Investment Corp. | Convertible | MTG | 345.0 | Financial Institutions |
| 03/08 | MGIC Investment Corp. | Convertible | NYSE: MTG | 390.0 | Financial Institutions |
| 04/10 | MGIC Investment Corp. | Follow-On Offering | NYSE: MTG | 805.0 | Financial Institutions |
| 03/08 | MGIC Investment Corp. | Follow-On Offering | NYSE: MTG | 483.0 | Financial Institutions |
| 03/10 | Micromet, Inc. | Follow-On Offering | NASDAQ: MITI | 80.5 | Health Care |
| 07/09 | Micromet, Inc. | Registered Direct | NASDAQ: MITI | 80.5 | Health Care |
| 09/08 | Micromet, Inc. | PIPE | NASDAQ: MITI | 40.0 | Health Care |
| 06/07 | MidCountry Bank | Buyer Advisory | Undisclosed | Financial Institutions | |
| 05/07 | MidCountry Financial Corp. | Private Placement | 55.0 | Financial Institutions | |
| 10/04 | MidCountry Financial Corp. | Private Placement | 80.0 | Financial Institutions | |
| 08/04 | MidCountry Financial Corp. | Private Placement | 30.0 | Financial Institutions | |
| 07/04 | Mimi's Cafe Inc. | Seller Advisory | 182.0 | Consumer | |
| 09/06 | Mindray Medical International Ltd. | American Depository Receipt | NYSE: MR | 310.5 | Health Care |
| 04/10 | Mitel Networks Corp. | Initial Public Offering | NASDAQ: MITL | 147.4 | Technology, Media and Telecommunications |
| 12/09 | Mobi Development Co., Ltd. | Initial Public Offering | SEHK: 947 | 76.0 | Technology, Media and Telecommunications |
| 07/10 | Molycorp, Inc. | Initial Public Offering | NYSE: MCP | 393.8 | Clean Technology and Renewables |
| 01/07 | Monogram Biosciences, Inc. | Convertible | 30.0 | Health Care | |
| 11/04 | Monolithic Power Systems | Initial Public Offering | NASDAQ: MPWR | 53.4 | Technology, Media and Telecommunications |
| 07/04 | MortgageIT Holdings, Inc. | Initial Public Offering | NYSE: MHL | 175.2 | Financial Institutions |
| 02/06 | Morton's Restaurant Group Inc. | Initial Public Offering | NYSE: MRT | 174.5 | Consumer |
| 11/07 | MRU Holdings, Inc. | PIPE | OTC: UNCL | 24.4 | Financial Institutions |
| 04/09 | Muze Inc. | Seller Advisory | 16.5 | Technology, Media and Telecommunications | |
| 04/07 | MWI Veterinary Supply, Inc. | Follow-On Offering | NASDAQ: MWIV | 93.6 | Health Care |
| 07/06 | MWI Veterinary Supply, Inc. | Follow-On Offering | NASDAQ: MWIV | 100.7 | Health Care |
| 08/05 | MWI Veterinary Supply, Inc. | Initial Public Offering | NASDAQ: MWIV | 84.7 | Health Care |
| 11/05 | Myriad Genetics, Inc. | Follow-On Offering | NYSE: MYGN | 149.0 | Health Care |
| 07/05 | Nancy's Specialty Foods, Inc., a portfolio company of Kohlberg & Co., LLC | Seller Advisory | Undisclosed | Consumer | |
| 12/09 | Nanometrics Inc. | Registered Direct | NASDAQ: NANO | 33.8 | Technology, Media and Telecommunications |
| 10/09 | Nanosphere, Inc. | Registered Direct | NASDAQ: NSPH | 37.8 | Health Care |
| 11/07 | Nanosphere, Inc. | Initial Public Offering | NYSE: NSPH | 98.0 | Health Care |
| 06/05 | National Semiconductor Corporation, cordless business unit | Seller Advisory | 60.0 | Technology, Media and Telecommunications | |
| 05/05 | NAVTEQ Corporation | Follow-On Offering | NYSE: NVT | 1241.3 | Technology, Media and Telecommunications |
| 08/04 | NAVTEQ Corporation | Initial Public Offering | NYSE: NVT | 1012.0 | Technology, Media and Telecommunications |
| 09/04 | Ness Technologies, Inc. | Initial Public Offering | NASDAQ: NSTC | 161.1 | Technology, Media and Telecommunications |
| 10/09 | NetStreams, Inc. | Seller Advisory | 7.0 | Technology, Media and Telecommunications | |
| 03/05 | Neurochem Inc. | Follow-On Offering | NYSE: NRMX | 61.2 | Health Care |
| 09/04 | New Century REIT, Inc. | Initial Public Offering | NYSE: NEW | 783.0 | Financial Institutions |
| 02/07 | New Oriental Education & Technology Group Inc. | Follow-On Offering | NYSE: EDU | 303.0 | Technology, Media and Telecommunications |
| 09/06 | New Oriental Education & Technology Group Inc. | Initial Public Offering | NYSE: EDU | 129.4 | Technology, Media and Telecommunications |
| 01/06 | New York & Company, Inc. | Follow-On Offering | NYSE: NWY | 148.9 | Consumer |
| 10/04 | New York & Company, Inc. | Initial Public Offering | NYSE: NWY | 195.5 | Consumer |
| 04/06 | NicOx S.A. | PIPE | ENXTPA: COX | 45.3 | Health Care |
| 05/06 | Nielsen & Bainbridge, a portfolio company of The Jordan Company | Seller Advisory | Undisclosed | Industrial Growth | |
| 10/06 | Nighthawk Radiology Holdings, Inc. | Follow-On Offering | NYSE: NHWK | 117.0 | Health Care |
| 02/06 | Nighthawk Radiology Holdings, Inc. | Initial Public Offering | NYSE: NHWK | 115.9 | Health Care |
| 07/07 | NightHawk Radiology Holdings, Inc. | Fairness Opinion | 62.5 | Health Care | |
| 03/06 | NLS Animal Health | Seller Advisory | Undisclosed | Health Care | |
| 07/05 | Norwesco, Inc., a portfolio company of Norwest Equity Partners and Brockway Moran & Partners | Seller Advisory | 162.0 | Industrial Growth | |
| 03/04 | Novacept, Inc. | Seller Advisory | 325.0 | Health Care | |
| 11/09 | Novavax, Inc. | Registered Direct | NASDAQ: NVAX | 22.4 | Health Care |
| 05/09 | Nubrands Group Holdings Limited | Buyer Advisory | 197.6 | Industrial Growth | |
| 09/05 | Numatics, Incorporated | Seller Advisory | Undisclosed | Industrial Growth | |
| 08/07 | Nursefinders, Inc., a portfolio company of Gryphon Investors | Seller Advisory | Undisclosed | Health Care | |
| 02/06 | Oasis Outsourcing, Inc., a portfolio company of H.I.G. Capital | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 08/09 | Ocwen Financial Corp | Follow-On Offering | NYSE: OCN | 289.8 | Financial Institutions |
| 05/07 | Omnicell, Inc. | Follow-On Offering | NASDAQ: OMCL | 96.4 | Health Care |
| 04/10 | O-Net Communications (Group) Ltd. | Initial Public Offering | SEHK: 877 | 72.2 | Technology, Media and Telecommunications |
| 08/06 | Onyx Software Corporation | Seller Advisory | 92.0 | Technology, Media and Telecommunications | |
| 05/04 | Open Solutions Inc. | Follow-On Offering | 109.7 | Technology, Media and Telecommunications | |
| 06/09 | Optimal Reading Services Group, Inc. | Private Placement | Health Care | ||
| 08/09 | OptiMedica Corporation | Private Placement | 30.0 | Health Care | |
| 10/07 | Optimer Pharmaceuticals, Inc. | PIPE | NASDAQ: OPTR | 35.9 | Health Care |
| 02/07 | Optimer Pharmaceuticals, Inc. | Initial Public Offering | NASDAQ: OPTR | 56.4 | Health Care |
| 11/07 | Optimost LLC | Seller Advisory | 52.0 | Technology, Media and Telecommunications | |
| 10/04 | Option Care Inc. | Convertible | NYSE: OPTN | 86.3 | Health Care |
| 11/04 | Opus Medical, Inc. | Seller Advisory | 130.0 | Health Care | |
| 05/07 | ORBCOMM, Inc. | Follow-On Offering | NASDAQ: ORBC | 80.5 | Technology, Media and Telecommunications |
| 07/07 | Orbitz Worldwide Inc. | Initial Public Offering | NYSE: OWW | 510.0 | Technology, Media and Telecommunications |
| 03/04 | Orchids Paper Products Company | Leveraged Buyout | Undisclosed | Industrial Growth | |
| 03/04 | Oregon Chai, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 04/07 | Oscient Pharmaceuticals Corp. | Convertible | OTC: OSCI | 60.0 | Health Care |
| 06/07 | Outback Steakhouse, a portfolio company of OSI Restaurant Partners, Inc. | Fairness Opinion | 3482.0 | Consumer | |
| 11/04 | Overstock.com Inc. | Convertible | NASDAQ: OSTK | 120.0 | Technology, Media and Telecommunications |
| 11/04 | Overstock.com Inc. | Follow-On Offering | NASDAQ: OSTK | 79.4 | Technology, Media and Telecommunications |
| 01/06 | P.F. Chang's China Bistro, Inc. | Buyer Advisory | Undisclosed | Consumer | |
| 11/09 | ParkerVision, Inc. | Registered Direct | NASDAQ: PRKR | 16.0 | Technology, Media and Telecommunications |
| 06/06 | Patriot Capital Funding, Inc. | Follow-On Offering | NASDAQ: PCAP | 41.8 | Financial Institutions |
| 07/05 | Patriot Capital Funding, Inc. | Initial Public Offering | NASDAQ: PCAP | 150.3 | Financial Institutions |
| 12/04 | Peak Industries, Inc. | Seller Advisory | 44.0 | Health Care | |
| 01/07 | Pemstar, Inc. | Fairness Opinion | 298.4 | Technology, Media and Telecommunications | |
| 07/09 | People Media | Seller Advisory | 80.0 | Technology, Media and Telecommunications | |
| 11/06 | PeopleSupport, Inc. | Follow-On Offering | NYSE: PSPT | 96.6 | Technology, Media and Telecommunications |
| 10/04 | PeopleSupport, Inc. | Initial Public Offering | NYSE: PSPT | 51.9 | Technology, Media and Telecommunications |
| 05/07 | Phase Forward Incorporated | Follow-On Offering | NASDAQ: PFWD | 82.5 | Health Care |
| 07/04 | Phase Forward Incorporated | Initial Public Offering | NASDAQ: PFWD | 41.9 | Health Care |
| 05/06 | Phillips-Van Heusen Corporation | Follow-On Offering | NYSE: PVH | 382.2 | Consumer |
| 07/05 | Phillips-Van Heusen Corporation | Follow-On Offering | NYSE: PVH | 240.5 | Consumer |
| 04/07 | Physicians Formula Holdings Inc. | Follow-On Offering | NASDAQ: FACE | 104.8 | Consumer |
| 11/06 | Physicians Formula Holdings Inc. | Initial Public Offering | NASDAQ: FACE | 143.4 | Consumer |
| 02/07 | PlayCore Holdings, Inc., a portfolio company of Chartwell Investments | Seller Advisory | Undisclosed | Industrial Growth | |
| 02/04 | PMC Commercial Trust | Merger Advisory | 72.2 | Financial Institutions | |
| 11/04 | Portfolio Recovery Associates, Inc. | Follow-On Offering | NASDAQ: PRAA | 67.4 | Financial Institutions |
| 06/04 | PowerDsine Ltd. | Initial Public Offering | NYSE: PDSN | 79.4 | Technology, Media and Telecommunications |
| 04/09 | Power-One, Inc. | Convertible PIPE | NASDAQ: PWER | 60.0 | Clean Technology and Renewables |
| 12/05 | Precision Camera & Video Repair, Inc., a portfolio company of Calvert Street Capital Partners | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 11/08 | Precision Therapeutics, Inc. | Private Placement | 43.0 | Health Care | |
| 06/04 | Premier Lease Services, L.C. | Seller Advisory | 34.0 | Financial Institutions | |
| 06/05 | Premium Standard Farms | Initial Public Offering | NYSE: PORK | 138.7 | Consumer |
| 02/05 | Prestige Brands Holdings Inc. | Initial Public Offering | NYSE: PBH | 515.2 | Consumer |
| 07/04 | QualServ Corporation, a portfolio company of Mercury Capital, Inc. | Seller Advisory | Undisclosed | Industrial Growth | |
| 02/05 | Quixote Corporation | Convertible PIPE | NASDAQ: QUIX | 40.0 | Technology, Media and Telecommunications |
| 06/05 | Rackable Systems Inc. | Initial Public Offering | 75.0 | Technology, Media and Telecommunications | |
| 07/09 | Radiac Abrasives Inc. | Seller Advisory | Undisclosed | Industrial Growth | |
| 01/04 | Radiant Systems, Inc. | Buyer Advisory | 45.2 | Technology, Media and Telecommunications | |
| 02/10 | RadPharm Inc. | Seller Advisory | Undisclosed | Health Care | |
| 06/04 | RAIT Investment Trust | Follow-On Offering | NYSE: RAS | 55.8 | Financial Institutions |
| 06/07 | RAM Holdings Ltd. | Follow-On Offering | OTC: RAMR | 72.1 | Financial Institutions |
| 11/08 | Ramgen Power Systems, LLC | Private Placement | Clean Technology and Renewables | ||
| 07/04 | RC2 Corporation | Follow-On Offering | NASDAQ: RCRC | 89.1 | Consumer |
| 05/10 | ReachLocal, Inc. | Initial Public Offering | NASDAQ: RLOC | 62.3 | Technology, Media and Telecommunications |
| 08/06 | Real Mex Restaurants, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 07/10 | RealD Inc. | Initial Public Offering | NYSE: RLD | 230.0 | Technology, Media and Telecommunications |
| 05/06 | Reddy Ice Holdings, Inc. | Follow-On Offering | NYSE: FRZ | 98.9 | Consumer |
| 12/06 | RegeneRx Biopharmaceuticals | PIPE | AMEX: RGN | 9.6 | Health Care |
| 07/08 | Reliant Technologies | Merger Advisory | 95.0 | Health Care | |
| 06/08 | ReneSola Ltd. | Follow-On Offering | AIM: SOLA | 212.2 | Clean Technology and Renewables |
| 01/08 | ReneSola Ltd. | Initial Public Offering | AIM: SOLA | 130.0 | Clean Technology and Renewables |
| 09/05 | Renovis, Inc. | Follow-On Offering | NYSE: RNVS | 54.0 | Health Care |
| 06/04 | ResCare Inc. | Seller Advisory | 83.4 | Health Care | |
| 10/04 | Residential Services Group, Inc., a portfolio company of Wellspring Capital Management | Seller Advisory | 150.0 | Industrial Growth | |
| 02/06 | Resource Capital Corp. | Initial Public Offering | NYSE: RSO | 60.0 | Financial Institutions |
| 04/07 | Rex Stores Corporation | Fairness Opinion | Undisclosed | Consumer | |
| 11/05 | Richardson Electronics, Ltd. | Convertible PIPE | NASDAQ: RELL | 25.0 | Technology, Media and Telecommunications |
| 01/07 | RITA Medical Systems, Inc. | Seller Advisory | 220.0 | Health Care | |
| 06/04 | Rockford Corporation | Convertible | NASDAQ: ROFO | 12.5 | Consumer |
| 05/06 | Rocky Shoes & Boots Inc. | Follow-On Offering | NYSE: RCKY | 11.3 | Consumer |
| 04/09 | Rosetta Stone Inc. | Initial Public Offering | NYSE: RST | 129.4 | Technology, Media and Telecommunications |
| 03/10 | Rovi Corporation | Convertible | NASDAQ: ROVI | 460.0 | Technology, Media and Telecommunications |
| 12/04 | Roxio, Inc. (consumer software division) | Seller Advisory | 85.0 | Technology, Media and Telecommunications | |
| 08/05 | Royce Medical Holding Inc. | Seller Advisory | 216.0 | Health Care | |
| 12/07 | Rudolph Technologies, Inc. | Buyer Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 02/06 | Rudolph Technologies, Inc. | Merger Advisory | 193.0 | Technology, Media and Telecommunications | |
| 02/10 | rue21, Inc | Follow-On Offering | NASDAQ: RUE | 172.5 | Consumer |
| 11/09 | rue21, Inc. | Initial Public Offering | NASDAQ: RUE | 147.8 | Consumer |
| 08/05 | Ruth's Chris Steak House, Inc. | Initial Public Offering | NASDAQ: RUTH | 269.1 | Consumer |
| 10/06 | RxKinetix Inc. | Seller Advisory | 20.0 | Health Care | |
| 08/04 | SaladTime LLC, a division of Tanimura & Antle | Seller Advisory | Undisclosed | Consumer | |
| 07/07 | Sangamo BioSciences, Inc. | Registered Direct | NASDAQ: SGMO | 30.0 | Health Care |
| 06/06 | Sangamo BioSciences, Inc. | Follow-On Offering | NASDAQ: SGMO | 20.9 | Health Care |
| 06/07 | Sanitors, Inc., a portfolio company of Cravey, Green & Wahlen | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 06/09 | Santur Corporation | Private Placement | Technology, Media and Telecommunications | ||
| 07/07 | Satiety, Inc. | Private Placement | 30.2 | Health Care | |
| 05/04 | Scivex, Inc., a portfolio company of KRG Capital Partners | Seller Advisory | Undisclosed | Industrial Growth | |
| 01/06 | SeaBright Insurance Holdings, Inc. | Follow-On Offering | NYSE: SBX | 115.9 | Financial Institutions |
| 01/05 | SeaBright Insurance Holdings, Inc. | Initial Public Offering | NYSE: SBX | 90.6 | Financial Institutions |
| 12/09 | Select Comfort Corporation | Registered Direct | NASDAQ: SCSS | 19.7 | Consumer |
| 05/05 | Selig Sealing Products, Inc., a portfolio company of The Riverside Company | Seller Advisory | 100.0 | Industrial Growth | |
| 03/07 | Seminole Tribe of Florida | Buyer Advisory | 975.0 | Consumer | |
| 07/09 | Seneca Foods Corp. | Follow-On Offering | NASDAQ: SENEA | 82.6 | Consumer |
| 07/10 | SenoRX, Inc. | Seller Advisory | 213.0 | Health Care | |
| 01/04 | SetCap Holdings Corporation | Seller Advisory | Undisclosed | Financial Institutions | |
| 01/06 | SGX Pharmaceuticals, Inc. | Initial Public Offering | NYSE: SGXP | 24.9 | Health Care |
| 05/04 | Shanda Interactive Entertainment | Initial Public Offering | NASDAQ: SNDA | 169.0 | Technology, Media and Telecommunications |
| 08/08 | Sharp Corporation | Seller Advisory | 99.0 | Health Care | |
| 10/04 | Shopping.com Ltd. | Initial Public Offering | NYSE: SHOP | 142.2 | Technology, Media and Telecommunications |
| 07/07 | ShoreTel Inc. | Initial Public Offering | NASDAQ: SHOR | 86.3 | Technology, Media and Telecommunications |
| 09/06 | Shutterfly, Inc. | Initial Public Offering | NASDAQ: SFLY | 87.0 | Technology, Media and Telecommunications |
| 10/07 | Sierra Wireless | Follow-On Offering | NASDAQ: SWIR | 85.1 | Technology, Media and Telecommunications |
| 04/10 | Sijia Group Company Limited | Initial Public Offering | SEHK: 1863 | 96.0 | Industrial Growth |
| 04/07 | Simcere Pharmaceutical Group | American Depository Receipt | NYSE: SCR | 260.5 | Health Care |
| 07/04 | Simplicity Manufacturing, Inc., a portfolio company of Kohlberg & Co. | Seller Advisory | 227.5 | Industrial Growth | |
| 01/10 | Sinovac Biotech Ltd. | Follow-On Offering | NYSE: SVA | 66.0 | Health Care |
| 05/06 | Sipex Corporation | Convertible PIPE | NYSE: SIPX | 30.0 | Technology, Media and Telecommunications |
| 08/07 | Sipex Corporation | Merger Advisory | 243.0 | Technology, Media and Telecommunications | |
| 02/07 | Sirenza Microdevices, Inc. | Follow-On Offering | NYSE: SMDI | 52.3 | Technology, Media and Telecommunications |
| 05/07 | Sirtris Pharmaceuticals Inc. | Initial Public Offering | NYSE: SIRT | 60.0 | Health Care |
| 07/10 | SMART Technologies Inc. | Initial Public Offering | NASDAQ: SMT | 660.1 | Technology, Media and Telecommunications |
| 03/04 | Snowden Pencer, Inc. | Seller Advisory | Undisclosed | Health Care | |
| 08/09 | SoftBrands, Inc. | Seller Advisory | 80.0 | Technology, Media and Telecommunications | |
| 08/05 | SoftBrands, Inc. | Private Placement | 18.0 | Technology, Media and Telecommunications | |
| 04/07 | Solaicx Corporation | Private Placement | 24.0 | Clean Technology and Renewables | |
| 01/08 | Solarfun Power Holdings Co. Ltd. | Convertible | NASDAQ: SOLF | 172.5 | Clean Technology and Renewables |
| 12/05 | Somaxon Pharmaceuticals, Inc. | Initial Public Offering | NASDAQ: SOMX | 55.0 | Health Care |
| 08/06 | Sonic Innovations, Inc. | PIPE | NASDAQ: SNCI | 12.0 | Health Care |
| 07/07 | Sonosite Inc. | Convertible | NASDAQ: SONO | 225.0 | Health Care |
| 03/08 | Specific Media, Inc. | Buyer Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 10/07 | Specific Media, Inc. | Private Placement | 100.0 | Technology, Media and Telecommunications | |
| 10/06 | Spectra Gases, Inc. | Seller Advisory | Undisclosed | Industrial Growth | |
| 06/07 | Spreadtrum Communications Inc. | American Depository Receipt | NYSE: SPRD | 144.5 | Technology, Media and Telecommunications |
| 05/05 | SSA Global Technologies, Inc. | Initial Public Offering | NYSE: SSAG | 99.0 | Technology, Media and Telecommunications |
| 09/07 | Staktek Holdings, Inc. | Fairness Opinion | 30.0 | Technology, Media and Telecommunications | |
| 03/05 | Standard Microsystems Corporation | Buyer Advisory | 94.0 | Technology, Media and Telecommunications | |
| 08/09 | Starwood Property Trust Inc | Initial Public Offering | NYSE: STWD | 931.5 | Financial Institutions |
| 03/10 | SunPower Corporation | Convertible | NASDAQ: SPWRA | 250.0 | Clean Technology and Renewables |
| 04/09 | SunPower Corporation | Convertible | NASDAQ: SPWRA | 230.0 | Clean Technology and Renewables |
| 04/09 | SunPower Corporation | Follow-On Offering | NASDAQ: SPWRA | 227.7 | Clean Technology and Renewables |
| 03/08 | Sweet Leaf Tea Company | Private Placement | 19.3 | Consumer | |
| 04/10 | Switch & Data Facilities Co., Inc. | Seller Advisory | 867.0 | Technology, Media and Telecommunications | |
| 07/05 | Symmetry Medical Inc. | Follow-On Offering | NYSE: SMA | 255.9 | Health Care |
| 12/04 | Symmetry Medical Inc. | Initial Public Offering | NYSE: SMA | 138.0 | Health Care |
| 11/04 | Tango Acquisition, Inc., a whollyowned subsidiary of Dave & Buster's Inc. | Buyer Advisory | 47.0 | Consumer | |
| 08/05 | TB Corp., parent company of Taco Bueno Restaurants, L.P., a portfolio company of Jacobson Partners | Seller Advisory | Undisclosed | Consumer | |
| 06/06 | Techwell, Inc. | Initial Public Offering | NASDAQ: TWLL | 50.7 | Technology, Media and Telecommunications |
| 05/10 | TeleNav, Inc. | Initial Public Offering | NASDAQ: TNAV | 64.4 | Technology, Media and Telecommunications |
| 10/09 | Telvent GIT, S.A. | Follow-On Offering | NASDAQ: TLVT | 114.2 | Clean Technology and Renewables |
| 11/04 | Tempur-Pedic International Inc. | Follow-On Offering | NYSE: TPX | 283.5 | Consumer |
| 04/10 | Tengion, Inc. | Initial Public Offering | NASDAQ: TNGN | 30.0 | Health Care |
| 10/07 | Textainer Group Holdings Limited | Initial Public Offering | NYSE: TGH | 148.5 | Financial Institutions |
| 08/06 | The Andersons, Inc. | Follow-On Offering | NASDAQ: ANDE | 95.7 | Clean Technology and Renewables |
| 10/08 | The Endurance International Group, Inc. | Seller Advisory | Undisclosed | Technology, Media and Telecommunications | |
| 07/07 | The Harris Soup Company, a portfolio company of TSG Consumer Partners | Seller Advisory | Undisclosed | Consumer | |
| 09/05 | The Restaurant Company, Perkins Restaurant & Bakery | Seller Advisory | 245.0 | Consumer | |
| 03/08 | The Wellstead of Rogers | Seller Advisory | 48.5 | Health Care | |
| 12/06 | The Wet Seal, Inc. | Follow-On Offering | NASDAQ: WTSLA | 110.4 | Consumer |
| 10/06 | The White Lily Foods Company, a wholly owned subsidiary of C.H. Guenther & Son, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 09/05 | The YoFarm Company, a portfolio company of Stolberg Equity Partners | Seller Advisory | Undisclosed | Consumer | |
| 04/04 | TheraSense, Inc. | Seller Advisory | 1261.0 | Health Care | |
| 07/05 | TherOx, Inc. | Private Placement | 31.0 | Health Care | |
| 06/05 | Thornburg Mortgage, Inc. | Follow-On Offering | OTC: THMR | 123.2 | Financial Institutions |
| 03/08 | Tideway Systems Ltd. | Private Placement | 27.0 | Technology, Media and Telecommunications | |
| 03/08 | Timothy's Coffees of the World, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 10/07 | TomoTherapy Incorporated | Follow-On Offering | NASDAQ: TOMO | 217.5 | Health Care |
| 05/07 | TomoTherapy Incorporated | Initial Public Offering | NASDAQ: TOMO | 256.6 | Health Care |
| 10/06 | TorreyPines Therapeutics, Inc. | Merger Advisory | 71.5 | Health Care | |
| 06/06 | Town Sports International Holdings, Inc. | Initial Public Offering | NASDAQ: CLUB | 99.5 | Consumer |
| 10/07 | Trans1 Inc. | Initial Public Offering | NYSE: TSON | 94.9 | Health Care |
| 01/09 | Transmeta Corporation | Seller Advisory | 255.0 | Technology, Media and Telecommunications | |
| 07/05 | Transneuronix, Inc. | Seller Advisory | 260.0 | Health Care | |
| 07/09 | Trina Solar Ltd. | Follow-On Offering | NYSE: TSL | 129.4 | Clean Technology and Renewables |
| 08/10 | Trius Therapeutics, Inc. | Initial Public Offering | NASDAQ: TSRX | 50.0 | Health Care |
| 08/04 | TRM Corporation | Follow-On Offering | ASX: TRMM | 56.9 | Financial Institutions |
| 07/05 | Tyco Healthcare, a subsidiary of Tyco International Ltd. | Buyer Advisory | 66.0 | Health Care | |
| 07/08 | Tyrell, Inc. | Private Placement | 28.0 | Health Care | |
| 02/07 | U.S. Auto Parts Network, Inc. | Initial Public Offering | NASDAQ: PRTS | 115.0 | Technology, Media and Telecommunications |
| 12/06 | U.S. BioEnergy Corp. | Initial Public Offering | NYSE: USBE | 161.0 | Clean Technology and Renewables |
| 06/10 | Ulta Salon Cosmetics & Fragrance Inc. | Follow-On Offering | NASDAQ: ULTA | 229.7 | Consumer |
| 10/07 | Ulta Salon Cosmetics & Fragrance Inc. | Initial Public Offering | NASDAQ: ULTA | 176.8 | Consumer |
| 02/07 | Ultra Clean Holdings, Inc. | Block Trade | NASDAQ: UCTT | 26.0 | Technology, Media and Telecommunications |
| 10/06 | Ultra Clean Holdings, Inc. | Block Trade | NASDAQ: UCTT | 23.3 | Technology, Media and Telecommunications |
| 03/06 | Ultra Clean Holdings, Inc. | Follow-On Offering | NASDAQ: UCTT | 47.0 | Technology, Media and Telecommunications |
| 06/06 | Ultra Clean Holdings, Inc. | Fairness Opinion | 50.0 | Technology, Media and Telecommunications | |
| 11/05 | Under Armour Inc. | Initial Public Offering | NYSE: UA | 181.3 | Consumer |
| 05/06 | Under Armour, Inc. | Follow-On Offering | NYSE: UA | 284.0 | Consumer |
| 04/06 | UnionTools, Inc., a portfolio company of Oaktree Capital Management | Seller Advisory | Undisclosed | Industrial Growth | |
| 11/05 | United Road Towing, a division of United Road Services, Inc. a portfolio company of Charterhouse Group | Seller Advisory | Undisclosed | Industrial Growth | |
| 01/08 | Universal Trailer Corporation, a portfolio company of Dubin Clark & Company Inc. | Seller Advisory | 45.0 | Industrial Growth | |
| 10/09 | UQM Technologies, Inc. | Registered Direct | AMEX: UQM | 34.5 | Clean Technology and Renewables |
| 03/09 | Urban Decay Cosmetics, LLC | Buyer Advisory | Undisclosed | Consumer | |
| 05/09 | US Bancorp | Follow-On Offering | NYSE: USB | 2755.4 | Financial Institutions |
| 08/07 | US BioEnergy Corporation | Fairness Opinion | 230.0 | Clean Technology and Renewables | |
| 02/06 | UTEK Corporation | Registered Direct | AMEX: UTK | 10.0 | Financial Institutions |
| 03/06 | Valley Fresh Inc. | Seller Advisory | 78.0 | Consumer | |
| 10/09 | Veeco Instruments Inc. | Follow-On Offering | NASDAQ: VECO | 136.6 | Clean Technology and Renewables |
| 10/05 | Vical Incorporated | Registered Direct | NASDAQ: VICL | 22.6 | Health Care |
| 05/09 | VICORP Restaurants, Inc. | Seller Advisory | Undisclosed | Consumer | |
| 08/04 | Viisage Technology Inc. | Seller Advisory | NYSE: VISG | 42.5 | Technology, Media and Telecommunications |
| 11/05 | Vimicro International Corporation | Initial Public Offering | NASDAQ: VIMC | 87.0 | Technology, Media and Telecommunications |
| 03/07 | ViroPharma Incorporated | Convertible | NASDAQ: VPHM | 250.0 | Health Care |
| 10/04 | ViroPharma Incorporated | Convertible PIPE | NASDAQ: VPHM | 62.5 | Health Care |
| 12/05 | ViroPharma Incorporated | Follow-On Offering | NASDAQ: VPHM | 173.4 | Health Care |
| 11/04 | ViroPharma Incorporated | Buyer Advisory | 116.0 | Health Care | |
| 03/08 | Visa Inc. | Initial Public Offering | NYSE: V | 19650.4 | Financial Institutions |
| 11/06 | Vital Images, Inc. | Follow-On Offering | NYSE: VTAL | 104.0 | Health Care |
| 02/06 | Vital Signs, Inc. | Follow-On Offering | NYSE: VITL | 97.3 | Health Care |
| 05/10 | Vitamin Shoppe, Inc. | Follow-On Offering | NYSE: VSI | 168.5 | Consumer |
| 10/09 | Vitamin Shoppe, Inc. | Initial Public Offering | NYSE: VSI | 177.8 | Consumer |
| 10/04 | VNUS Medical Technologies, Inc. | Initial Public Offering | 80.6 | Health Care | |
| 06/09 | VNUS Medical Technologies, Inc. | Seller Advisory | 512.0 | Health Care | |
| 10/07 | Volcano Corporation | Follow-On Offering | NASDAQ: VOLC | 130.8 | Health Care |
| 12/06 | Volcano Corporation | Follow-On Offering | NASDAQ: VOLC | 138.9 | Health Care |
| 06/06 | Volcano Corporation | Initial Public Offering | NASDAQ: VOLC | 62.6 | Health Care |
| 12/05 | Volcom, Inc. | Follow-On Offering | NASDAQ: VLCM | 177.0 | Consumer |
| 06/05 | Volcom, Inc. | Initial Public Offering | NASDAQ: VLCM | 102.4 | Consumer |
| 07/04 | Volterra Semiconductor Corporation | Initial Public Offering | NYSE: VLTR | 36.5 | Technology, Media and Telecommunications |
| 05/06 | Vonage Holdings Corp. | Initial Public Offering | NYSE: VG | 531.3 | Technology, Media and Telecommunications |
| 01/04 | Voyant Technologies, Inc. | Seller Advisory | 145.7 | Technology, Media and Telecommunications | |
| 06/05 | Web Marketing Holdings, Inc. dba Web Clients | Seller Advisory | 141.0 | Technology, Media and Telecommunications | |
| 07/06 | Website Pros, Inc. | Follow-On Offering | NASDAQ: WSPI | 34.8 | Technology, Media and Telecommunications |
| 11/05 | Website Pros, Inc. | Initial Public Offering | NASDAQ: WSPI | 68.0 | Technology, Media and Telecommunications |
| 12/05 | West Bancorporation, Inc. | Buyer Advisory | Undisclosed | Financial Institutions | |
| 08/05 | White River Capital, Inc. | Block Trade | 50.0 | Financial Institutions | |
| 12/04 | Wintrust Financial Corporation | Follow-On Offering | NYSE: WTFC | 71.4 | Financial Institutions |
| 12/07 | Wonder Auto Technology Inc. | PIPE | NASDAQ: WATG | 26.0 | Technology, Media and Telecommunications |
| 11/09 | Wonder Auto Technology, Inc. | Follow-On Offering | NASDAQ: WATG | 74.2 | Industrial Growth |
| 05/04 | Wrap Pack Products Corporation, a portfolio company of Prospect Partners | Seller Advisory | Undisclosed | Industrial Growth | |
| 11/07 | Wright Medical Group Inc. | Convertible | NASDAQ: WMGI | 200.0 | Health Care |
| 01/06 | WS Packaging Group, Inc., a portfolio company of Brantley Partners and Mellon Ventures, Inc. | Seller Advisory | Undisclosed | Industrial Growth | |
| 10/04 | Xcyte Therapies, Inc. | Convertible | NASDAQ: XCYT | 29.9 | Health Care |
| 03/07 | Xoft, Inc. | Private Placement | 33.2 | Health Care | |
| 02/06 | XOMA Ltd. | Convertible | NASDAQ: XOMA | 12.5 | Health Care |
| 01/07 | XTENT, Inc. | Initial Public Offering | NYSE: XTNT | 75.2 | Health Care |
| 08/07 | Yard House USA, LLC | Seller Advisory | Undisclosed | Consumer | |
| 06/09 | Yingli Green Energy Holding Co. Ltd. | Follow-On Offering | NYSE: YGE | 278.0 | Clean Technology and Renewables |
| 06/07 | Yingli Green Energy Holding Co. Ltd. | American Depository Receipt | NYSE: YGE | 319.0 | Clean Technology and Renewables |
| 12/07 | Yingli Green Energy Holdings Co. Ltd. | Convertible | NYSE: YGE | 172.5 | Clean Technology and Renewables |
| 12/07 | Yingli Green Energy Holdings Co. Ltd. | American Depository Receipt | NYSE: YGE | 200.0 | Clean Technology and Renewables |
| 03/06 | York Label Holdings, Inc., a portfolio company of Huron Capital Partners | Seller Advisory | Undisclosed | Industrial Growth | |
| 11/09 | Zephyr Insurance Company | Seller Advisory | Undisclosed | Financial Institutions | |
| 10/09 | Zhongpin, Inc. | Registered Direct | NASDAQ: HOGS | 61.0 | Consumer |
| 10/04 | ZOLL Medical Corporation | Buyer Advisory | Undisclosed | Health Care | |
| 01/09 | ZoomSystems, Inc. | Private Placement | 20.0 | Technology, Media and Telecommunications | |
| 04/07 | Z'Tejas Southwest Grill | Seller Advisory | Undisclosed | Consumer | |
| 06/06 | Zumiez Inc. | Follow-On Offering | NASDAQ: ZUMZ | 44.8 | Consumer |
| 11/05 | Zumiez Inc. | Follow-On Offering | NASDAQ: ZUMZ | 97.2 | Consumer |
| 05/05 | Zumiez Inc. | Initial Public Offering | NASDAQ: ZUMZ | 64.7 | Consumer |
| 08/05 | ZymoGenetics, Inc. | Follow-On Offering | NASDAQ: ZGEN | 135.0 | Health Care |