Equity debt mergers and acquisitions

(clients in bold)

INITIAL PUBLIC OFFERINGS Amt. raised Date

Company Location (in millions) closed

Craig-Hallum Capital Group

Dolan Media Minneapolis $225.0 8/1

Piper Jaffray & Co.

ShoreTel Inc. Sunnyvale, Calif. $86.3 7/2

hhgregg Inc. Indianapolis, Ind. 121.9 7/19

Orbitz Worldwide Inc. Chicago 510.0 7/19

Dolan Media Co. Minneapolis 224.4 8/1

HireRight Inc. Irvine, Calif. 65.6 8/7

Masimo Corp. Irvine, Calif. 233.0 8/8

AthenaHealth Inc. Watertown, Mass. 130.1 9/20

RBC Capital Markets

Semgroup Energy Partners Tulsa, Okla. $275.0 7/17

Rex Energy Corp. State College, Pa. 105.6 7/25

Voltaire Ltd. Herzliya, Israel 51.9 7/25

MercadoLibre Inc. Buenos Aires, Argentina 289.4 8/9

Encore Energy Partners Fort Worth, Texas 189.0 9/11

ADDITIONAL EQUITY Amt. raised Date

Company Location (in millions) closed

Feltl and Co.

Global Traffic Network New York City $28.1 7/26

Piper Jaffray & Co.

SonoSite Inc. Bothell, Wash. $200.0 7/11

First Solar Inc. Phoenix 698.3 8/9

RBC Capital Markets

Annaly Capital Management Inc. New York City $658.0 7/12

Active Power Inc.* Austin, Texas 14.0 8/13

Zoltek Companies Inc. St. Louis 155.0 8/14

Linn Energy* Houston 413.3 8/31

Linn Energy* Houston 1,077.0 8/31

Apollo Investment Corp. New York City 260.0 9/12

K-Sea Transportation Partners Staten Island, N.Y. 138.3 9/20

Capstead Mortgage Corp. Dallas 97.5 9/26

Sigma Designs Inc. Fremont, Calif. 184.0 9/27

Sierra Wireless Inc. Richmond, British Columbia 78.4 9/27

* PIPE -- private investment in public equity

PRIVATE PLACEMENTS Amt. raised Date

Company Location (in millions) closed

Aethlon Capital

HDM Oakdale $2.0 9/11

Craig-Hallum Capital Group

Workstream Burlingame, Calif. $20.0 8/9

Piper Jaffray & Co.

Satiety Inc. Palo Alto, Calif. $30.2 7/10

LDR Holding Corp. Austin, Texas 25.0 9/11

RBC Capital Markets

Football Fanatics Jacksonville, Fla. $45.0 8/2

Conterra Charlotte, N.C. 41.0 8/24

Carrizo Oil & Gas Inc. Houston 74.5 9/12

CLOSED END FUNDS Amt. raised Date

Company Location (in millions) closed

RBC Capital Markets

Cohen & Steers Global Income New York City $450.0 7/26

Builder Inc

Claymore/Guggenheim Strategic Lisle, Ill. 182.0 7/26

Opportunities Fund

Eaton Vance Risk Managed Boston 1,300.0 7/27

Diversified Equity

Cushing MLP Total Return Fund Dallas 175.0 8/27

First Trust Active Dividend Lisle, Ill. 128.0 9/20

Income Fund

Nicholas-Applegate Global Boston 175.0 9/25

Equity & Convertible

John Hancock Tax-Advantaged Boston 175.0 9/25

Global Shareholder

Blackrock EcoSolutions New York City 235.0 9/25

Investment Trust

CORPORATE DEBT Amt. raised Date

Company Location (in millions) closed

Craig-Hallum Capital Group

Skywire Software Frisco, Texas NA 8/31

Photoworks Seattle NA 9/6

Dougherty & Co.

Bloomington Associates Project $20.5 8/3

MelAir Associates 1.4 8/21

Provence, LLC Project 3.5 9/4

Dougherty Funding

ASA Bio Fuel Albion, Neb. $5.0 8/17

Aqualea Resort Clearwater Beach, Fla. 141.0 8/20

ASA - Atlantic Southeast Airlines Atlanta 8.0 9/28

Houlihan Lokey Howard & Zukin

PWP Industries Inc. Vernon, Calif. $85.0 8/15

OVISO Manufacturing Inc. Beverly Hills, Calif. 58.5 8/15

Marshall BankFirst Corp.

Sky Garden Seattle $8.6 7/18

Susanville Indian Rancheria 3 Susanville, Calif. 11.5 7/27

Nitro Gaming Inc. 1 Dallas 2.1 8/1

Wenatchee Event Center Orlando, Fla. 52.0 8/2

Great Wolf Lodge Grand Mound, Wash. 102.0 8/9

Otoe-Missouria Red Rock, Okla. 25.0 8/16

Development Authority

Piper Jaffray & Co.

XTO Energy Fort Worth, Texas $300.0 7/12

XTO Energy Fort Worth, Texas 450.0 7/12

XTO Energy Fort Worth, Texas 500.0 7/12

LBI Media Inc. Burbank, Calif. 228.8 7/18

Union Pacific Omaha, Neb. 479.3 7/19

NiSource Finance Corp. Merrillville, Ind. 800.0 8/27

Macy's Retail Holdings Inc. Cincinnati, Ohio 350.0 8/27

Realty Income Corp. Escondido, Calif. 550.0 8/30

HRPT Properties Trust Newton, Mass. 250.0 9/11

Marathon Oil Corp. Houston 750.0 9/20

Marathon Oil Corp. Houston 750.0 9/20

Hospitality Properties Newton, Mass. 350.0 9/24

Kohl's Corp. Menomonee, Wis. 650.0 9/25

Kohl's Corp. Menomonee, Wis. 350.0 9/25

BNSF Railway Co. Fort Worth, Texas 236.7 9/25

PUBLIC DEBT No. of Amount

Issuer Type deals Duration/type (mil.)

Cronin & Co. Inc. Municipal 13 long-term $23.7

Dougherty & Co. Municipal 1 short-term $1.5

Municipal 24 long-term 228.5

Agency 3 25.4

Northland Capital Holdings Inc. Municipal 21 short-term $32.5

Municipal 43 long-term 114.6

Piper Jaffray & Co. Municipal 14 short-term $5,196.3

Municipal 132 long-term 5,913.5

RBC Capital Markets Municipal 45 short-term $239.2

Municipal 219 long-term 16,944.0

Wells Fargo Brokerage Services Agency 2 FNMA $37.5

Agency 2 FHLMC 62.5

Agency 7 FFCB 152.5

Agency 20 FHLB 301.0

Municipal 12 short-term 34.7

Municipal 178 long-term 2,893.0

FFCB -- Federal Farm Credit Banks; FNMA -- Federal National Mortgage Association (Fannie Mae); FHLB - Federal Home Loan Bank; FHLMC - Federal Home Loan Mortgage Corp. (Freddie Mac)

Acquiring company Target Closing

Location Location date

Craig-Hallum Capital Group

Surmodics BioFX Laboratories 8/13

Eden Prairie Owings Mills, Md.

Skywire Software Whitehill Technologies 8/31

Frisco, Texas Moncton, New Brunswick

Goldsmith Agio Helms

North Castle Partners Performance Inc. 7/2

Greenwich, Conn. Chapel Hill, N.C.

Premium Brands Income Fund Centennial Foodservice 7/6

Richmond, British Columbia Calgary, Alberta

General Shale Brick, a wholly- Arriscraft International Income 7/20

owned subsidiary of Fund, a Canadian income trust

Wienerberger AG Cambridge, Ontario

Johnson City, Tenn.

Cushman & Wakefield Inc. Sonnenblick-Goldman 7/23

New York City New York City

Keystone North America Meridian Mortuary Group Inc. 8/10

Toronto Alpharetta, Ga.

Altor Equity Partners NorthStar Battery Co. 8/14

Stockholm Springfield, Mo.

Merit Capital Partners Digney York Associates 8/15

Chicago Vienna, Va.

Thompson Street Capital Partners Option 1 Nutrition Holdings 8/22

St. Louis Chandler, Ariz.

Rotonics Manufacturing Inc. Stratis Corp. 8/24

Gardena, Calif. Indianapolis

Harris Williams & Co.

Culbro Outsourcing Solutions Inc. 7/9

New York City Jupiter, Fla.

Affiliate of Sun Capital Partners Hickory Farms Inc. 7/11

Boca Raton, Fla. Maumee, Ohio

Seves S.p.A. PPC Insulators 7/12

Florence, Italy Vienna, Austria

Oldcastle Precast Inc., Carson Industries 7/20

a division of CRH plc Glendora, Calif.

Auburn, Wash.

Comverge Inc. Enerwise Global Technologies Inc. 7/23

East Hanover, N.J. Kennett Square, Pa.

Thomas & Betts Corp. Danaher Corporation's power quality 7/25

Memphis business, comprised of Joslyn

Hi-Voltage and Power Solutions

Cleveland and Richmond, Va.

Diamond Castle Holdings Managed Health Care Associates Inc. 8/1

New York City Florham Park, N.J.

CIVC Partners Icon Identity Solutions Inc. 8/1

Chicago Elk Grove Village, Ill.

Thoma Cressey Bravo Encompass Home Health Inc. 8/3

Chicago Dallas

Macquarie Infrastructure Co., Mercury Air Centers Inc. 8/9

parent co. of Atlantic Aviation Cuyahoga County Airport, Cleveland

New York City

The Chamberlain Group Inc. Heath/Zenith, a division of Desa, 8/28

Germany Bowling Green, Ky.

Swedish Match AB Cigars International Inc. 8/31

Stockholm Bethlehem, Pa.

EMCOR Group Inc. Ohmstede Ltd. 9/24

Norwalk, Conn. Beaumont, Texas

Strength Capital Partners Smith Mountain Industries Inc., 9/28

Burmingham, Mich. doing business as Virginia Candle Co. Lynchburg, Va.

Houlihan Lokey Howard & Zukin

GET SA Eurotunnel SA 7/2

Various locations Paris

Investor Group US Foodservice Inc. 7/3

Various locations Columbia, S.C.

Tricor Pacific Capital Inc. CPI Card Group Inc. 7/3

Vancouver, British Columbia Littleton, Colo.

Mentor Corp. Perouse Plastie SAS 7/3

Santa Barbara, Calif. Bornel, Foreign

GESD Capital Partners Milton's Fine Foods 7/13

San Francisco Various locations

L-1 Identity Solutions Inc. McClendon Corp. 7/16

Stamford, Conn. Chantilly, Va.

Global Tel Link Corp. Verizon Business-Corrections 7/17

Mobile, Ala. Various locations

Platinum Equity Startec Global Communications 7/18

Beverly Hills, Calif. Rockville, Md.

American Capital Strategies Fleischmann's Vinegar Co. Inc. 7/18

Bethesda, Md. Cerritos, Calif.

iCrossing Proxicom Inc. 7/30

Scottsdale, Ariz Reston, Va.

ESP Acquisition Energy Steel Products Corp. 7/31

Various locations Houston

Blockbuster Inc. Movielink 8/8

Dallas Santa Monica, Calif.

Watsco Inc. ACR Group Inc. 8/10

Coconut Grove, Fla. Houston

Plymouth Tube Co. Trent Tube 8/11

Warrenville, Ill. Chicago

Pilot Group North American Membership Group 8/13

New York City Minnetonka

Woodside Capital Partners Hamilton Specialty Bar Corp. 8/17

Menlo Park, Calif. Various locations

Metalmark Capital Hunter Defense Technologies 8/22

New York City Solon, Ohio

Amedisys Inc. IntegriCare Inc. 9/4

Baton Rouge, La. Mansfield, Ohio

Accenture Ltd. George Group Consulting 9/4

Various locations Dallas

Moog Inc. QuickSet International Inc. 9/12

East Aurora, N.Y. Northbrook, Ill.

Xtralis Pty Ltd. VSK Group 9/18

Melbourne, Victoria, Foreign Harelbeke, Foreign

Lafarge North America HB Mellott Estate Inc-Heritage 9/19

Herndon, Va. Warfordsburg, Pa.

Piper Jaffray & Co.

Chicago Growth Partners Jonathan Engineered Solutions, 7/2

Chicago a portfolio company of Industrial

Growth Partners

Irvine, Calif.

WPP Group Plc. 24/7 Real Media Inc. 7/13

London New York City

Midwest Physician Services and NightHawk Radiology Holdings Inc. 7/16

Emergency Radiology Services, Coeur d'Alene, Idaho

affiliates of St. Paul Radiology

Basic American Foods The Harris Soup Co., a portfolio 7/20

Walnut Creek, Calif. company of TSG Consumer Partners Portland

Goldman Sachs Urban Investment Nursefinders Inc., a portfolio 8/9

Group; Pharos Capital; Haas company of Gryphon Investors

Wheat & Partners Arlington, Texas

New York City, Dallas

Noven Pharmaceuticals Inc. JDS Pharmaceuticals 8/14

Miami New York City

TSG Consumer Partners Yard House USA 8/20

San Francisco Irvine, Calif.

Exar Corp. Sipex Corp. 8/25

Fremont, Calif. Milpitas, Calif.

US BioEnergy Corp. Millennium Ethanol 8/29

Inver Grove Heights Marion, S.D.

Brands Holdings Ltd., subsidiary Everlast Worldwide Inc. 9/20

of Sports Direct International New York City

England

Unified Western Grocers Inc. Associated Grocers Inc. 9/30

Commerce, Calif. Seattle

RBC Capital Markets

Comverge Enerwise Global Technologies 7/23

East Hanover, N.J. Kennett Square, Pa.

Forum Oilfield Technologies Tri-Point Energy Services 8/1

Houston Houston

Assabet Valley Bancorp Westborough Financial Services 8/24

Hudson, Mass. Westborough, Mass.

Whole Foods Market Wild Oats Market 8/28

Austin, Texas Boulder, Colo.

Apax Partners Smart Technologies 8/29

London Calgary, Alberta