FINC 322 - Chapter 3 SIC Codes Example

FINC 322 - Chapter 3 SIC Codes Example - Issuer 1/24 /2000...

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Unformatted text preview: Issuer 1/24 /2000 1/20/2000 Neoforma .com Inc 1/24 /2000 11/26 /19 9 9 Regent Communica tions Inc 1/25/2000 1/26 /2000 4 /23/19 9 9 Hea lthGa te Da ta Corp 8/13/19 9 9 Atla s Pipeline Pa rtners LP 1/26 /2000 11/15/19 9 9 Extensity Inc Business Description NEOF Pvd bus-to-bus ecommerce svcs RGCI Own,op ra dio stns HGAT High Tech Industry Sta te Na tion Industry Bookrunner(s) 7389 Internet Services & Softwa re Ca lifornia United Sta tes Na sda q Pers/Bus/Rep Svc MERRILL 4 832 Prima ry Business not Hi-Tech Ohio United Sta tes Na sda q Ra dio/TV/Telecom PSI Pvd online resea rch info svcs 7375 Internet Services & Softwa re APL Own,op na tura l ga s pipelines 4 9 22 Prima ry Business not Hi-Tech EXTN Dvlp bus expense softwa re Ma ssa chusetts United Sta tes OTC Pers/Bus/Rep Svc SG-COWEN United Sta tes America n Oil/Ga s Pipeline FRIEDMAN-B United Sta tes Na sda q Pers/Bus/Rep Svc DEUTSCHE-ALEX-B JHF Insura nce compa ny Ma ssa chusetts United Sta tes New York Insura nce MSDW 10/5/19 9 9 T/R Systems Inc TRSI Dvlp softwa re 7372 Georgia United Sta tes Na sda q Pers/Bus/Rep Svc FLEET-BOSTON 8/31/19 9 9 Aspect Medica l Systems Inc ASPM Mnfr,dvlp dia gnostic equip 384 5 Ma ssa chusetts United Sta tes Na sda q Ma nufa cturing MSDW 1/27/2000 NTG Mnfr equip used in ga s prodn 1/27/2000 9 /13/19 9 9 Pa cka ging Corp of America 1/27/2000 3/30/19 9 8 NATCO Group Inc PKG Mnfr pa perboa rd,pa cka ging prod 1/27/2000 11/12/19 9 9 724 Solutions Inc 1/28/2000 10/5/19 9 9 Ca minus Corp SVNX CAMZ Provide ecommerce softwa re svc Dvlp softwa re 1/28/2000 9 /23/19 9 9 L9 0 Inc LNTY Provide online a dvertising 1/28/2000 12/17/19 9 9 interWAVE Communica tions IWAV Mnfr,whl wireless networks 1/31/2000 9 /10/19 9 9 Qua ntum Effect Devices Inc 1/31/2000 1/31/2000 12/2/19 9 9 Sequenom Inc 1/5/2000 SkillSoft Corp 1/31/2000 11/22/19 9 9 Turnstone Systems Inc QEDI Develop microprocessors SQNM Mnfr DNA detction equipmnt SKIL Provide soft-skills tra ining TSTN Pvd prod to ma inta in DSL svc 2/1/2000 9 /27/19 9 9 Tela xis Communica tions Corp TLXS Dvlp high speed a ccess equip 2/2/2000 10/28/19 9 9 Centra Softwa re Inc CTRA Dvlp online tra ining softwa re 6 311 Prima ry Business not Hi-Tech Pennsylva nia Ca lifornia 7372 1/26 /2000 9 /17/19 9 9 John Ha ncock Finl Svcs Inc 1/26 /2000 2/4 /2000 11/12/19 9 9 Firepond Inc FIRE 2/4 /2000 12/17/19 9 9 WorldQuest Networks Inc WQNI Na sda q Na sda q Pers/Bus/Rep Svc Pers/Bus/Rep Svc CS-FB-CS DEUTSCHE-ALEX-B 1.82 Comb. Comb. 1.12 0.23 0.23 0.6 6 0.21 Na sda q Pers/Bus/Rep Svc SG-COWEN United Sta tes Na sda q Ma nufa cturing SALOMON-SMITH 36 6 9 Other Telecommunica tions Equip 36 79 Semiconductors Na sda q Ma nufa cturing MSDW Na sda q Pers/Bus/Rep Svc WARBURG-DR Other Services CS-FB Ca lifornia United Sta tes Na sda q Ma nufa cturing GS 0.21 0.18 4 812 0.21 0.18 1.12 0.22 0.22 1.82 0.36 5 0.355 0.9 8 0.19 2.03 0.4 1 Ma ssa chusetts United Sta tes Na sda q Ma nufa cturing CS-FB 1.19 0.24 Ma ssa chusetts 7372 United Sta tes Na sda q Pers/Bus/Rep Svc FLEET-BOSTON 0.9 8 0.19 US-PIPER 1.26 0.2 0.4 1 0.24 3823 Process Control Systems 4 813 Ca lifornia United Sta tes Na sda q Ma nufa cturing 1.4 0.28 0.28 0.84 0.1 12 12 10 15 14 8 0.18 0.22 25 23 0.36 5 14 12 0.19 15 9 3,000,000 48 4 ,000,000 60 4 ,000,000 36 14 15 3,000,000 45 13 14 6 ,000,000 84 20,000,000.0 Common Sha res US U.S. Public NASDQ 22 20 21 25,000,000 525 17,500,000.0 Cla ss A Sha res US U.S. Public NASDQ 20 15 17.5 20,000,000 350 7,200,000.0 Common Sha res US U.S. Public NASDQ 12 10 11 3,300,000 36 .3 15 0.21 13 85 4 0.3 16 4 0.9 25 16 10 16 30 22 19 17 23 0.4 1 14 0.24 8 0.19 14 0.25 28 0.5 20 16 0.25 0.228 15 0.28 21 CS-FB-CS 14 DEUTSCHE-ALEX-B Credit Suisse First Boston Corp Deutsche Ba nc Alex Brown Credit Suisse First Boston Deutsche Ba nc Alex Brown 13 SG-COWEN SG Cowen Securities Corp SG Cowen Securities Corp 11 SALOMON-SMITH Sa lomon Smith Ba rney Sa lomon Smith Ba rney 14 MSDW Morga n Sta nley Dea n Witter & Co Morga n Sta nley Dea n Witter 24 WARBURG-DR Wa rburg Dillon Rea d Inc Wa rburg Dillon Rea d Inc 13 CS-FB CS First Boston Corp CS First Boston Corp 24 GS Goldma n Sa chs & Co 15 CS-FB CS First Boston Corp 9 FLEET-BOSTON Fleet Boston Corp,Boston,Ma ssa chusetts 15 US-PIPER 29 MSDW Goldma n Sa chs & Co 2000 37.73 2000 22.03 2.03 No 2000 1.26 5 No 20 1,858,500 0.21 1.859 60 6 19 ,500 0.6 2 20 0.6 3 109 .7 na 7 1,050,000 1.05 0.4 2 6 4 .9 na 7 11582.4 3 106 59 .9 8 1009 2.6 3 11025.85 109 4 5.5 11028.02 6 ,037,500 No 7 1,050,000 1.05 20 3,150,000 0.14 3.15 60 11582.4 3 106 59 .9 8 1009 2.6 3 11025.85 109 4 5.5 11028.02 24 ,6 72,000 No 5.333 5,011,500 5.012 20.31 15,034 ,500 0.12 15.04 6 0.9 4 10700 106 4 3.6 3 10516 104 25.21 11582.4 3 106 59 .9 8 1009 2.6 3 11025.85 11722.9 8 106 59 .9 8 9 86 2.12 109 36 .11 109 4 5.5 10888.1 11028.02 10738.87 5,4 54 ,882 Yes 4 ,504 ,9 09 No 0.804 Comb 20.54 10738.87 109 6 3.8 10516 104 25.21 11722.9 8 106 59 .9 8 10888.1 10738.87 10738.87 109 6 3.8 10516 104 25.21 11722.9 8 106 59 .9 8 10888.1 10738.87 10511 10519 .84 11722.9 8 10881.2 9 86 2.12 109 36 .11 9 86 2.12 109 36 .11 10038.6 5 109 21.9 2 1.53 20.9 3 7 6 9 3,9 9 0 0.6 9 4 19 .6 4 7 1,6 76 ,718 1.6 77 10733.9 1 109 4 0.53 9 ,6 17,79 0 No 10733.9 1 109 4 0.53 3,053,4 9 4 No 10511 10519 .84 11722.9 8 10038.6 5 109 21.9 2 10733.9 1 109 4 0.53 1104 1.05 109 05.79 11003.2 24 .73 2000 16 .24 109 57.6 11013.4 4 106 9 9 10511 10718.09 1156 0.7 10522 1056 1.4 1 114 59 .36 10881.2 10887.36 10128.31 109 21.9 2 109 83.6 3 10137.9 3 109 21.9 2 10811.78 10731.12 1104 1.05 11003.2 6 ,034 ,6 83 No 3,9 6 3,176 No 5,6 35,000 No 109 6 3.8 106 4 3.6 3 106 07 10514 .57 11351.3 1086 4 .1 1016 4 .9 2 11221.9 3 104 80.13 11013.4 4 5,071,500 No 109 6 3.8 106 4 3.6 3 2000 804 ,4 4 8 7 1,36 5,000 6 .6 15 1,530,000 10038.6 5 109 21.9 2 10038.6 5 109 21.9 2 2000 7 7 7,84 8,750 No 8,4 06 ,500 No 10733.9 1 109 4 0.53 4 ,06 2,9 9 6 No 10881.2 2000 106 07 10514 .57 11351.3 1086 4 .1 1016 4 .9 2 11221.9 3 104 80.13 11013.4 4 14 ,707,350 No 7 514 ,786 1.36 5 0.515 7 1,059 ,850 1.06 7 6 9 5,04 0 0.6 9 5 0.9 5 20 20.05 19 .39 2,308,4 16 4 ,09 5,000 4 ,250,000 0.21 0.18 0.22 5,053,125 0.355 20.2 3,127,850 20.17 2,056 ,16 0 19 .39 Comb. 0.23 2,14 5,06 0 1,59 8,54 6 2,9 50,000 0.2 0.4 1 0.24 0.2 2.308 4 .09 5 4 .25 58.9 3 60 58.14 4 ,6 26 ,000 4 .6 26 804 ,4 4 8 0.804 1,36 5,000 20 0.39 Comb. 20.54 0.6 6 1.36 5 1,530,000 20 1.53 20.9 3 6 9 3,9 9 0 0.6 9 4 19 .6 4 6 0.71 5.053 6 0.4 4 1,6 30,781 1.6 31 19 .51 6 0.2 54 1,880 0.54 2 20.4 1 59 .6 1 1,059 ,850 3.128 2.056 59 .6 6 1.06 6 9 5,04 0 0.6 9 5 1,000,000 1 20.2 20.17 20.4 1 -6 .4 na -2.7 0.6 3 1.1 7 -0.4 2 -0.75 2.6 25 59 .52 9 10,000 0.9 1 20.6 3 0.75 -3.3 na 0.4 5 7.9 6 8 6 2.3 2,283,750 2.284 17.86 1.57 na 5 19 .76 5.1 20.16 5.75 2000 109 6 3.8 106 4 3.6 3 106 07 10514 .57 11351.3 1086 4 .1 1016 4 .9 2 11221.9 3 104 80.13 11013.4 4 25,300,000 No 5.75 5,000,000 15,200,000 0.255 15.2 6 0.08 5,100,000 0.76 -9 na 2000 109 6 3.8 106 4 3.6 3 106 07 10514 .57 11351.3 1086 4 .1 1016 4 .9 2 11221.9 3 104 80.13 11013.4 4 19 ,9 50,000 No 6 3,9 9 0,000 3.9 9 20 11,9 70,000 0.228 11.9 7 60 3,9 9 0,000 3.9 9 20 0.6 84 -123 na 2000 109 6 3.8 106 4 3.6 3 106 07 10514 .57 11351.3 1086 4 .1 1016 4 .9 2 11221.9 3 104 80.13 11013.4 4 11,59 2,000 No 7 2,016 ,000 2.016 20 6 ,04 8,000 0.28 6 .04 8 60 2,016 ,000 2.016 20 0.84 na 6 7 3.4 78 4 3.2 4 3.2 12 Common Sha res 3,6 00,000.0 Common Sha res US U.S. Public NASDQ 12 10 11 3,120,000 34 .3 12 10 0.17 11 NEEDHAM Needha m & Co Inc Needha m & Co Inc 0.84 No A-G-EDWARDS/HAMBRECHT 2000 34 .89 109 6 3.8 104 25.21 106 88 10219 .52 11251.71 1086 4 .1 1036 7.2 1116 4 .84 104 12.4 9 109 6 3.8 3,4 77,6 00 No 7 6 12,000 0.6 12 20.24 1,800,000 0.17 1.8 59 .52 6 12,000 0.6 12 20.24 0.5 -6 .3 na 6 7.5 6 7.5 15 Cla ss A Sha res 4 ,500,000.0 Cla ss A Sha res US U.S. Public NASDQ 12 10 11 8,000,000 88 14 12 0.21 13 ADAMS-HARKNESS Ada ms Ha rkness & Hill Inc Ada ms Ha rkness & Hill Inc 1.05 No FIRST-UNION-SEC/FAC-EQUITIES 2000 16 .06 109 6 3.8 104 25.21 106 88 10219 .52 11251.71 1086 4 .1 1036 7.2 1116 4 .84 104 12.4 9 109 6 3.8 5,4 33,750 No 7 9 4 5,000 0.9 4 5 20 2,835,000 0.21 2.835 60 9 4 5,000 0.9 4 5 20 0.6 3 -2.9 na 7 0.9 2 0.1 7 1.4 55 1.36 4 19 1.5 19 .4 8 0.9 2 -2.9 na 0.1 0.58 -4 .9 na 7.4 6 2 2/9 /2000 12/3/19 9 9 Cypress Communica tions Inc CYCO Pvd telecommunica tions svcs 4 813 Georgia United Sta tes Na sda q Telephone Commun BEAR DTEC Dvlp business softwa re 7372 Foreign Ca na da Na sda q Pers/Bus/Rep Svc FLEET-BOSTON Ca lifornia United Sta tes Na sda q Pers/Bus/Rep Svc GS 7372 Georgia United Sta tes Na sda q Pers/Bus/Rep Svc CHASE-HQ 7374 Colora do United Sta tes Na sda q Pers/Bus/Rep Svc BOSTON-ROBERTS 110 22 Common Sha res 5,000,000.0 Common Sha res US U.S. Public NASDQ 13 11 12 5,000,000 60 17 0.32 7.4 6 2 1.5 4 .4 6 154 0.76 9 2.6 6 8 35.8 35.8 13 Common Sha res 2,750,000.0 Common Sha res US U.S. Public NASDQ 12 10 11 2,500,000 27.5 10 0.19 5 0.55 0.1 7 1.4 6 2 1.308 4 .23077 0.76 9 12.4 38 154 .5 154 .5 13 Common Sha res 11,885,000.0 Common Sha res US U.S. Public NASDQ 12 10 11 14 ,000,000 154 12 10 0.19 0.17 0.5 0.1 7 1.4 17 1.4 17 4 .16 6 6 7 48 12 Common Sha res 4 ,000,000.0 Common Sha res US U.S. Public NASDQ 12 10 11 4 ,000,000 44 12 10 0.14 0.14 0.4 2 0.1 7 1.4 1.4 4 .2 1 2.818 35 35 10 Common Sha res 3,500,000.0 Common Sha res US U.S. Public NASDQ 10 8 9 3,500,000 31.5 10 8 0.14 9 CHASE-HQ Cha se H&Q Cha se H&Q SG-COWEN/PRUD-VOLPE 0.24 0.24 0.71 0.1 7 1.4 12 1.4 12 4 .176 4 7 0.588 8.39 2 104 .2 104 .2 17 Common Sha res 6 ,132,000.0 Common Sha res US U.S. Public NASDQ 13 11 12 6 ,000,000 72 13 11 0.24 12 JPM JP Morga n & Co Inc JP Morga n 1.19 No BEAR/US-PIPER 2000 1.19 0.24 0.24 0.71 0.1 7 1.4 12 1.4 12 4 .176 4 7 0.588 13.6 85 15 BEAR Bea r Stea rns & Co Inc Bea r Stea rns & Co Inc 1.19 No DLJ/BRADFORD 1.26 0.26 0.24 0.1 7 1.4 4 4 1.333 4 .22222 15 FLEET-BOSTON Fleet Boston Corp,Boston,Ma ssa chusetts Fleet Boston Corp 1.26 No US-PIPER US Ba ncorp Piper Ja ffra y Inc THOMAS-WEISEL Thoma s Weisel Pa rtners LLC 0.84 0.17 0.7 1.4 0.28 1.4 1.26 0.28 0.26 0.17 0.28 0.76 0.84 0.1 7 1.5 1.4 1.4 4 .18182 4 .2 0.28 0.84 0.1 7 1.4 1.4 4 .2 0.24 0.76 0.1 7 1.4 4 4 1.333 4 .22222 0.4 55 0.833 0.556 0.5 0.5 0.556 8.855 3.86 4 110 48 170 17 Common Sha res 10,000,000.0 Common Sha res US U.S. Public NASDQ 16 14 15 10,000,000 5.79 6 72 72 18 Common Sha res 4 ,000,000.0 Common Sha res US U.S. Public NASDQ 16 14 15 4 ,000,000 7.6 89 9 5.5 9 5.5 6 .118 7.24 5 170 76 90 20 Common Sha res 4 ,776 ,052.0 Common Sha res US U.S. Public NASDQ 76 20 Common Sha res 3,800,000.0 Common Sha res US U.S. Public NASDQ 90 18 Common Sha res 5,000,000.0 Common Sha res US U.S. Public NASDQ Minnesota United Sta tes Na sda q Ma nufa cturing PSI 1.05 0.21 0.24 0.6 0.1 7 1.4 1.6 4 0.6 6 7 5.25 75 75 15 Common Sha res 5,000,000.0 Common Sha res US U.S. Public NASDQ Illinois United Sta tes Na sda q Pers/Bus/Rep Svc CS-FB 1.4 0.28 0.28 0.84 0.1 7 1.4 1.4 4 .2 0.5 4 .737 58.8 58.8 20 Common Sha res 2,9 4 2,000.0 Common Sha res US U.S. Public NASDQ 6 8.4 6 8.4 12 Common Sha res 5,700,000.0 Common Sha res US U.S. Public 66 66 11 Common Sha res 6 ,000,000.0 Common Sha res US U.S. Public 829 9 Internet Services & Softwa re Ca lifornia United Sta tes Na sda q Other Services CS-FB 0.84 59 9 9 Internet Services & Softwa re Ca lifornia United Sta tes Na sda q Reta il MERRILL 0.77 Okla homa United Sta tes Sm Ca p Mkt Pers/Bus/Rep Svc BARRON-CHASE 2/10/2000 11/24 /19 9 9 VIA NET.WORKS Inc VNWI Internet Service Provider{ISP} 7375 Foreign Netherla nds Na sda q Pers/Bus/Rep Svc DLJ 2/10/2000 WEBM Dvlp infra structure softwa re 7372 Virginia United Sta tes Na sda q Pers/Bus/Rep Svc MSDW 2/11/2000 11/24 /19 9 9 Bea sley Broa dca st Group Inc BBGI Opera te ra dio sta tions 4 832 Prima ry Business not Hi-Tech Florida United Sta tes Na sda q Ra dio/TV/Telecom CS-FB 2/14 /2000 12/16 /19 9 9 Diversa Corp DVSA Biotechnology compa ny 2836 Ca lifornia United Sta tes Na sda q Ma nufa cturing BEAR Pvd networking svcs 7389 7372 2.09 7,500,000 21 14 6 ,000,000 4 ,34 5,000 11 9 4 .79 -0.53 0.17 0.16 0.6 0.17 0.16 0.5 0.1 7 1.4 17 1.4 17 4 .16 6 6 7 0.4 5 0.1 7 1.4 55 1.4 55 4 .09 09 1 0.1 1.6 6 7 0.2 0.1 0.3 1.4 18 0.284 0.284 0.851 2.4 5 0.4 9 0.37 1.04 6 0.209 1.6 8 0.34 1.4 4 0.29 Virginia United Sta tes Na sda q Pers/Bus/Rep Svc Wa shington United Sta tes Na sda q Pers/Bus/Rep Svc GUNNAR Ca lifornia United Sta tes Na sda q Pers/Bus/Rep Svc GAINES-BERLAND 0.56 0.9 Comb. 0.209 0.34 0.29 0.1 1 0.1 0.86 0.11 Ca lifornia United Sta tes Na sda q Pers/Bus/Rep Svc BOSTON-ROBERTS 1.26 United Sta tes United Sta tes Na sda q Na sda q Reta il Pers/Bus/Rep Svc FIRST-MONTAUK MERRILL 0.6 Comb. Comb. 0.84 0.17 0.17 ADVEST 0.84 0.17 0.17 0.7 0.14 0.14 1.4 0.28 0.22 0.23 0.6 6 0.31 0.31 0.06 0.9 0.23 Ca lifornia United Sta tes Na sda q Pers/Bus/Rep Svc Pvd online textbook reta il svc 59 4 2 D. of Columbia United Sta tes Na sda q Reta il FLEET-BOSTON CWON Pvd telecommunica tions svcs 4 813 New York United Sta tes Na sda q Telephone Commun MSDW 2/16 /2000 10/22/19 9 9 Eloquent Inc ELOQ Dvlp B2B media softwa re 7371 Applica tions Softwa re(Business Ca lifornia United Sta tes Na sda q Pers/Bus/Rep Svc US-PIPER 1.12 APRS Dvlp softwa re 7372 Other Softwa re (inq. Ga mes) Illinois United Sta tes Na sda q Pers/Bus/Rep Svc CHASE-HQ 1.54 0.25 0.34 Pennsylva nia North Ca rolina VSTY 2/16 /2000 11/19 /19 9 9 Choice One Communica tions 0.25 0.11 0.1 0.1 0.76 0.1 0.36 0.5 0.18 0.1 0.5 0.1 0.4 2 0.1 0.9 2 3.333 1.35 1.35 7 0.6 28 Comb. 10 6 .75 1.59 1.4 1.057 6 .74 8 1.34 8 7 1.4 17 6 7 7 10 Comb. 7 7 7 0.6 9 9 .79 1 6 150.2 121.6 1,000,000.0 Common Sha res US U.S. Public 1.389 12 10 9 US U.S. Public NASDQ 17 15 US U.S. Public NASDQ 13 11 12 16 .5 24 Common Sha res 14 ,39 1,305.0 Common Sha res US U.S. Public 12 Common Sha res 1,4 00,000.0 Common Sha res US U.S. Public 0.75 2.576 32 32 8 Common Sha res 4 ,000,000.0 Common Sha res US U.S. Public NASDQ 0.556 3 0.833 0.833 0.72 3.23 1.4 1.1 4 .5 7 1.4 38 1.4 38 4 .125 0.6 25 0.1 7 4 .18182 0.4 55 2.52 81 7.2 4 0.1 81 7.2 4 0.1 13 5,206 ,000.0 Cla ss A Sha res US U.S. Public NASDQ 18 15 US U.S. Public NASDQ 15 13 14 NASDQ 25 22 23.5 SMCAP 8 7 7.5 1,200,000 9 10 10 10 3,500,000 35 18 Common Sha res 4 ,500,000.0 Common Sha res US U.S. Public NASDQ 1,200,000.0 Common Sha res 3,34 4 ,000.0 Common Sha res US US U.S. Public U.S. Public NASDQ NASDQ 3,000,000.0 Common Sha res US U.S. Public 10 8 7 12 5 10 8 6 ,850,000 6 ,500,000 10,212,76 6 9 4 ,500,000 6 11 1,200,000 3,6 50,000 9 6 21 4 9 .2 7,250,000.0 Common Sha res 6 Common Sha res 12 Common Sha res 12 Common Sha res 5 212.8 4 ,100,000 3,000,000 113 91 24 0 4 0.5 7.2 4 0.2 18 22 25 12.5 10 16 7 12 NASDQ 10 4 0.8 4 0.8 10 Common Sha res 4 ,075,000.0 Common Sha res US U.S. Public NASDQ 14 12 13 4 ,075,000 114 .3 114 .3 20 Common Sha res 5,716 ,000.0 Common Sha res US U.S. Public NASDQ 15 13 14 5,716 ,000 80 72 72 16 Common Sha res 4 ,500,000.0 Common Sha res US U.S. Public NASDQ 12 10 11 4 ,500,000 4 9 .5 81.4 81.4 22 Common Sha res 3,700,000.0 Common Sha res US U.S. Public NASDQ 15 13 14 3,200,000 4 4 .8 19 6 .553 36 1,000,000 13,300,000 2.877 5.79 6 36 16 9 .203 1 7 1.4 09 6 .521 5 7,150,000.0 Common Sha res 3,4 75,000.0 Common Sha res 24 Common Sha res 4 .2 4 21 Common Sha res 174 0.1 0.28 0.26 0.17 0.16 19 GS Goldma n Sa chs & Co Goldma n Sa chs & Co 13 CHASE-HQ Cha se H&Q Cha se H&Q 15 BOSTON-ROBERTS Ba ncBoston Robertson Stephens Inc Ba ncBoston Robertson Stephens 1.4 No 1.4 No 1.26 No 1.05 No 10225.73 11032.9 9 1086 7 10225.73 11032.9 9 1086 7 10225.73 11032.9 9 1086 7 10225.73 11032.9 9 4 2.5 10880.55 9 856 .53 11111.4 8 10536 .75 106 9 9 13,6 85,000 No 7 2,4 00,000 10880.55 9 856 .53 11111.4 8 10536 .75 106 9 9 5,79 6 ,000 No 7 1,04 0,000 106 9 9 7,6 89 ,4 4 4 No 10880.55 9 856 .53 11111.4 8 10536 .75 10880.55 9 856 .53 11111.4 8 10536 .75 106 9 9 10880.55 9 856 .53 11111.4 8 10536 .75 106 9 9 0.28 4 .012 0.28 3.19 2 CS First Boston Corp Bea r Stea rns & Co Inc Joseph Gunna r & Co., LLC Joseph Gunna r & Co., LLC 57,150 11 3,300,000 -0.21 19 ,580 11 -0.1 4 9 ,84 0 9 3,500,000 86 ,100 12 -16 0.7 na 0.76 22.86 0.824 20 0.9 6 9 20.24 2,850,000 0.17 2.85 59 .52 9 6 9 ,000 0.9 6 9 20.24 0.9 6 20.78 2,700,000 2.7 58.4 4 20.78 10 GAINES-BERLAND Ga ines, Berla nd, Inc. 15 BOSTON-ROBERTS 6 .5 FIRST-MONTAUK 11 MERRILL 11 ADVEST 1036 7.78 106 4 3.6 3 6 9 0,000 No 33.33 300,000 0.1 0.3 2000 104 25.21 10514 .57 109 77 1009 2.6 3 11028.02 10781.4 5 10010.73 11186 .56 1036 7.78 106 4 3.6 3 12,9 70,125 No 6 .75 2,027,024 2.027 20 6 ,081,075 0.284 6 .081 104 25.21 10514 .57 109 77 1009 2.6 3 11028.02 10781.4 5 10010.73 11186 .56 1036 7.78 106 4 3.6 3 9 ,79 0,813 No 7 1,702,750 1.703 20 5,525,250 0.37 5.525 5,4 4 5,4 76 No 6 .74 8 1,088,054 1.088 19 .9 8 3,26 9 ,36 8 1.6 8 No CHASE-HQ/DEUTSCHE-ALEX-B 2000 7 2,4 6 5,000 2.4 6 5 BEAR/CIBC-WORLD/BA-SEC-LLC 6 4 ,173,4 78 4 .173 104 25.21 10219 .52 9 86 2.12 10738.87 10781.4 5 9 9 28.82 11287.08 1054 5.9 7 109 03.32 9 9 4 7.13 10305.77 106 09 .37 10519 .84 14 ,007,000 No 10305.77 106 09 .37 10519 .84 104 25.21 20,723,4 79 No 10718.09 10219 .52 11028 10038.6 5 109 4 0.53 109 03.32 9 9 4 7.13 10718.09 10219 .52 11028 10038.6 5 109 4 0.53 109 03.32 9 9 4 7.13 10305.77 106 09 .37 10519 .84 1,26 0,000 Yes Ga ines, Berla nd 0.56 No 2000 57.34 1056 1.4 1 10304 .84 11028 1104 1.05 1079 5.4 1 9 811.24 10305.77 2,576 ,000 No Ba ncBoston Robertson Stephens Inc Ba ncBoston Robertson Stephens 1.26 No DAIN-R-WESSELS/THOMAS-WEISEL 2000 14 .86 1056 1.4 1 10304 .84 First Monta uk Securities Corp Merrill Lynch & Co Inc First Monta uk Securities Merrill Lynch & Co Inc 0.6 No 0.84 No LEH/PSI Advest Inc 0.84 No 2000 2000 4 0 1056 1.4 1 10304 .84 1056 1.4 1 10304 .84 34 .89 26 .27 1056 1.4 1 10304 .84 1056 1.4 1 10304 .84 11028 11028 11028 11028 10128.31 1104 1.05 1079 5.4 1 10128.31 10128.31 1104 1.05 1079 5.4 1 1104 1.05 1079 5.4 1 10128.31 1104 1.05 1079 5.4 1 1104 1.05 1079 5.4 1 9 811.24 10305.77 10807.78 10718.09 9 811.24 9 811.24 10305.77 10305.77 10807.78 10807.78 10718.09 10718.09 6 ,520,500 No 720,000 Yes 3,230,304 No 7 1,125,000 19 .6 4 1.125 19 .84 0.56 8 Comb 20.24 7 510,000 0.51 20.24 7 570,500 0.571 10 7 56 8,4 80 1,088,054 1.088 7.25 59 .52 2,4 6 5,000 2.4 6 5 12.38 59 .72 4 ,173,4 78 4 .173 1,36 0,000 3,4 20,000 0.11 0.25 3.4 2 4 32,000 Comb. 1,6 72,000 0.17 0.4 32 1.6 72 6 0.32 1,125,000 1.125 19 .84 56 8,4 80 0.56 8 Comb. 20.24 0.51 20.24 60 59 .52 No MSDW MSDW Morga n Sta nley Dea n Witter & Co Domestic N None 11 1 3 4 .21 110.4 No Yes IPO IPO No No DLJ DLJ Dona ldson Lufkin & Jenrette Inc Domestic Yes IPO IPO No No GS GS Goldma n Sa chs & Co Domestic 1 N None 11 1 4 N None 11 1 5 1 1 1 Yes Yes IPO IPO IPO IPO No No No No CS-FB-CS DEUTSCHE-ALEX-B CS-FB-CS DEUTSCHE-ALEX-B Credit Suisse First Boston Corp Deutsche Ba nc Alex Brown Interna tiona l Domestic N N None None 11 11 1 1 1 3 Yes IPO IPO No No SG-COWEN SG-COWEN SG Cowen Securities Corp Domestic N None 11 1 IPO IPO No No SALOMON-SMITH SALOMON-SMITH Sa lomon Smith Ba rney Interna tiona l N None 11 1 -4 1.51 0.23 1.2 0.9 9 37.2 -2.9 8 -4 .79 -3.34 -8.4 8 -0.02 -0.75 -3.78 4 .24 -0.2 11.04 2.08 -31.15 14 .31 22.75 -10.14 1.89 1.31 -3.53 1,125,000 3 Yes 10 Yes 12 Yes 1 22 6 ,000,000 4 ,372,000 26 .000 US 16 .000 US Yes Yes 1 3 0.76 0.36 0.5 10305.77 10807.78 10718.09 1,500,000 0.17 Fleet Boston Corp,Boston,Ma ssa chusetts Fleet Boston Corp 9 811.24 10305.77 10807.78 10718.09 20 1,711,500 0.14 1.712 570,500 0.571 Morga n Sta nley Dea n Witter & Co Morga n Sta nley Dea n Witter 2000 27.4 5 10514 .57 10225.73 11176 10137.9 3 11003.2 1089 1.02 10131.4 1 10305.77 109 34 .57 1056 1.4 1 9 ,202,76 0 No 7 1,6 00,4 80 1.6 20 5,14 4 ,4 00 0.22 5.14 4 1,257,520 1.258 15.71 13 US-PIPER US Ba ncorp Piper Ja ffra y Inc US Ba ncorp Piper Ja ffra y 1.12 No BA-SEC-LLC/THOMAS-WEISEL 2000 30.59 10514 .57 10225.73 11176 10137.9 3 11003.2 1089 1.02 10131.4 1 10305.77 109 34 .57 1056 1.4 1 5,79 6 ,000 No 7 1,035,000 1.035 20.54 2,9 70,000 0.23 2.9 7 58.9 3 1,035,000 1.035 20.54 0.6 6 0.5 17 0.31 18 CHASE-HQ Cha se H&Q Cha se H&Q 1.54 No SG-COWEN/US-PIPER 2000 30.9 5 10219 .52 1009 2.6 3 106 30.6 10582.51 1076 9 .74 6 ,552,700 No 7 1,14 7,000 1.14 7 20.13 3,4 04 ,000 0.31 3.4 04 59 .74 1,14 7,000 1.14 7 20.13 na 7 -0.6 6 10 7 -1.4 4 7 -1.19 -1.5 na na 7 0.4 2 0.9 2 7 -0.4 -4 5 na 24 7,100 4 9 1,19 0 -0.27 6 ,4 10 7 -0.6 4 4 .24 -0.2 11.04 2.08 -31.15 14 .31 22.75 -10.14 -8.88 -2.75 1.89 1.31 -3.53 -3.23 14 9 .4 9 4 .24 -0.2 11.04 2.08 -31.15 14 .31 22.75 -10.14 -8.88 -2.75 1.89 1.31 -3.53 -3.23 9 4 .74 39 0 6 55 -2.6 2 -0.13 2.1 -2.9 8 -2.07 -3.4 9 -2.9 2 -4 .79 -8.4 -3.34 -0.74 -8.4 8 -8.16 -0.02 1.84 -0.75 1.39 -3.78 4 .24 9 .19 -0.2 2.6 11.04 13.1 2.08 -4 .36 14 .31 18.1 -2.75 1.89 4 .72 1.31 1.9 8 -3.53 -7.17 -3.23 -1.9 7 -2.07 -2.9 2 -8.4 -0.74 -8.16 9 .19 2.6 4 .72 1.9 8 -7.17 -1.9 7 -2.07 -2.9 2 -8.4 -0.74 -8.16 9 .19 2.6 4 .72 1.9 8 -7.17 -1.9 7 -76 .6 4 -3.27 4 6 9 .6 6 22.75 24 .36 -10.14 -2.9 1 -8.88 -6 .4 1 24 .36 -2.9 1 -6 .4 1 24 .36 -2.9 1 -6 .4 1 -74 .05 -20.15 -6 3 -7.4 8 -9 9 .9 4 -56 .6 Ordina ry / Common Sha res -19 .5 Common Stock N N Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE SYNDICATED No Yes No No No No 1172520002 9 6 6 230002 8.3 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 9 6 6 336 002 6 .3 Common Stock N Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE No No Yes -222.2 -153.9 3,39 7.80 4 .26 3,6 35.70 -6 4 .9 4 4 6 3.71 -0.32 -3.9 2 -3.85 -6 .6 7 -0.54 -8.24 -0.17 -1.89 2.83 9 .6 8 -7 12.14 -3.05 -27.9 7 16 .18 16 .05 -2.02 -7.18 1.06 2.14 -0.32 -4 .83 -3.27 -9 7.05 -54 .6 5 -174 .5 -88.11 -8.1 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 0.9 2 -0.32 -3.9 2 -3.85 -6 .6 7 -0.54 -8.24 -0.17 -1.89 2.83 9 .6 8 -7 12.14 -3.05 -27.9 7 16 .18 16 .05 -2.02 -7.18 1.06 2.14 -0.32 -4 .83 -3.27 1.4 7 4 5.6 3 19 .9 14 .4 -12.6 Common Stock Y Subsidia ry IPOs (spinoffs) SYNDICATED Yes No Yes 9 719 81002 Yes 29 -3.9 2 -3.85 -6 .6 7 -0.54 -0.17 -1.89 -7 12.14 -27.9 7 16 .18 16 .05 -0.32 -4 .83 -3.27 -9 9 .71 Yes 9 719 39 002 -4 .8 -2.9 3 -4 .5 -1.39 -31.57 15.9 1 12.85 -3.15 -3.04 -75.9 6 -4 .37 -4 .02 -3.9 8 17.4 3 12.25 -3.21 -2.12 11 No Yes IPO IPO No No CS-FB CS-FB CS First Boston Corp Domestic N None 11 1 14 .2 No Yes IPO IPO No No FLEET-BOSTON FLEET-BOSTON Fleet Boston Corp,Boston,Ma ssa chusetts Domestic N None 11 1 2.3 106 .4 No Yes IPO IPO No No US-PIPER US-PIPER US Ba ncorp Piper Ja ffra y Inc Domestic N None 11 1 2 1.8 53.7 No Yes IPO IPO No No MSDW MSDW Morga n Sta nley Dea n Witter & Co Domestic N None 11 1 4 6 6 2.78 6 .79 -6 3.18 -50.4 0.9 2 46 5 0.84 1,254 .20 8.15 -57.06 4 6 5.82 787 4 06 ,4 10 800 6 9 .09 IPO IPO No No GS GS Goldma n Sa chs & Co Domestic N None 11 1 3 1 3 1 3 15 17.000 US Yes 3 10 5,000,000 18250052 14 .000 US Yes 2 12 3,500,000 179 07156 18.000 US 1 4 11 6 ,000,000 2 6 3 3 2 2 2 2 22 9 ,000,000 20.000 US Yes 15 3,6 00,000 806 29 06 12.000 US Yes 12 Yes 54 0,000 54 0 -4 .9 1 -2.52 -6 .79 -2.56 -0.9 1 -5.4 4 1.83 -5.03 3.58 -13.8 3.9 5 0.21 -37.31 15.8 -2.24 -12.34 -11.78 -2.6 2 -5.5 -1.18 4 ,500,000 231319 56 15.000 US Yes 15 Yes 6 75,000 6 75 -4 .9 1 -2.52 -6 .79 -2.56 -0.9 1 -5.4 4 1.83 -5.03 3.58 -13.8 3.9 5 0.21 -37.31 15.8 -2.24 -12.34 -11.78 -2.6 2 -5.5 -1.18 5,000,000 26 6 71173 22.000 US Yes 22 Yes -1.07 -79 .16 250000 13.000 US Yes 13 Yes 4 IPO IPO No No FLEET-BOSTON FLEET-BOSTON Fleet Boston Corp,Boston,Ma ssa chusetts Domestic N None 11 1 IPO No No KAUFMAN KAUFMAN W. E. Ka ufma n & Compa ny Domestic N None 11 1 IPO IPO No No CHASE-HQ CHASE-HQ Cha se H&Q Domestic N None 11 1 3 IPO IPO No No JPM JPM JP Morga n & Co Inc Domestic N None 11 1 3 No Yes IPO IPO No No BEAR BEAR Bea r Stea rns & Co Inc Domestic N None 11 1 Yes Yes IPO IPO No No FLEET-BOSTON FLEET-BOSTON Fleet Boston Corp,Boston,Ma ssa chusetts Interna tiona l N None 11 1 16 IPO No No GS/DLJ Domestic N None 11 2 3 2 1 3 1 IPO No No CHASE-HQ CHASE-HQ Cha se H&Q Domestic N None 11 1 3 IPO No No BOSTON-ROBERTS BOSTON-ROBERTS Ba ncBoston Robertson Stephens Inc Domestic N None 11 1 4 IPO IPO No No PSI PSI Prudentia l Securities Inc Domestic N None 11 1 IPO No No CS-FB CS-FB CS First Boston Corp Domestic N None 11 1 4 No 32.6 Yes 184 .5 No Yes IPO IPO No No BARRON-CHASE 0.13 -0.4 5 -3.36 -3.6 9 -4 .53 -2.9 8 -1.36 -7.7 1.89 -4 .84 0.79 6 .52 -12.5 8.03 0.51 -36 .82 12.9 1 0.3 -11.9 6 -11.56 -0.04 -0.57 -2.58 -1.4 3 -3.03 -9 1.39 -4 5.9 6 -16 3.5 -81.16 118.2 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes -1.07 -9 0.26 -4 3.9 6 -16 2.6 -79 .6 2 -1.07 -9 7.06 -50.76 -16 9 .4 -86 .4 2 -30.4 2 -57.89 Yes Yes Yes 525,000 525 -2.36 -2.19 -1.73 -5.9 6 -0.6 6 -0.1 -10.6 1.4 -3.23 -1.4 4 -0.16 -14 .5 -1.03 6 .25 -4 1.1 9 .4 9 0.4 2 -17.13 -13.4 8 -2.08 -2.75 -6 .21 2.25 Yes 9 19 ,800 1,050 -2.36 -2.19 -1.73 -5.9 6 -0.6 6 -0.1 -10.6 1.4 -3.23 -1.4 4 -0.16 -14 .5 -1.03 6 .25 -4 1.1 9 .4 9 0.4 2 -17.13 -13.4 8 -2.08 -2.75 -6 .21 2.25 10,000,000 35856 4 15 17.000 US Yes 17 Yes 1,500,000 1,500 -0.52 -1.29 1.57 -4 .4 3 -11.5 4 .26 -12.39 0.36 -1.7 -3.6 1 0.54 -3.19 5,000,000 24 174 59 8 18.000 US Yes 18 No Yes 6 00,000 6 00 -0.52 -1.29 1.57 -4 .4 3 -11.5 4 .26 -12.39 0.36 -1.7 -3.6 1 0.54 -3.19 -84 .52 Yes 716 ,4 08 -3.19 2 3 6 3 3 17 12 5,500,000 20.000 US Yes 20 750,000 750 1,782,750 2,100 -4 .9 1 825 0.4 8 -2.36 -0.52 -6 .79 -2.52 -6 .79 -3.54 -1.27 -6 .29 -2.19 -1.73 -5.9 6 -1.29 1.57 -4 .4 3 -2.56 -0.9 1 0.21 -37.31 -2.56 -0.9 1 -5.4 4 0.21 -37.31 -0.9 3 0.4 7 -6 .74 1.89 -3.01 2.4 5 2.24 -12.4 2.08 5.51 -38.35 13.4 9 -0.1 -10.6 1.4 -3.23 -1.4 4 -0.16 -14 .5 -1.03 6 .25 -4 1.1 9 .4 9 -0.6 6 -3.03 1.7 -3.03 1.7 -3.03 1.7 -5.03 -5.03 -7.88 3.85 -7.88 3.85 -7.88 3.85 -1.52 -1.52 -1.52 2.78 1.4 5 2.78 1.4 5 2.78 1.4 5 -11.5 4 .26 2 7.23 7.23 7.23 1.23 -2.4 1 -5.4 9 1.6 2 -2.31 -9 4 .2 -13.4 8 -2.08 -2.75 -6 .21 2.25 -5.9 7 -9 5.6 3 -5.9 7 -6 4 .83 -15.11 -103.2 -4 8.14 -5.9 7 -58.86 -12.01 -4 2.35 -4 3.24 -9 6 .4 8 -4 2.9 8 -4 1.29 12.21 -4 1.29 12.21 -4 1.29 12.21 1.88 -17.86 1.88 -17.86 1.88 -17.86 -12.39 0.36 -1.7 -3.6 1 0.54 -139 .1 -32.03 -9 0.85 -4 4 .02 -1.7 -3.6 1 0.54 -3.19 11.7 6 1.9 1 -1.7 -3.6 1 0.54 -3.19 -13.53 Yes 570 -0.52 -1.29 1.57 -4 .4 3 Yes 750,000 750 -0.52 -1.29 1.57 -4 .4 3 15 Yes 750 -2.05 -1.21 3.13 -5.18 -3.4 9 1.3 -5.9 5 5.1 -2.59 -1.9 9 1.4 1 -14 .2 2.9 4 11.04 -4 4 .9 1 12.51 -6 .6 3 -24 .54 -14 .6 6 -2.1 -2.02 -4 .4 8 1.31 -1.07 21.9 5 74 .11 Yes 4 4 1,300 6 00 -2.05 -1.21 3.13 -5.18 -3.4 9 1.3 -5.9 5 5.1 -2.59 -1.9 9 1.4 1 -14 .2 2.9 4 11.04 -4 4 .9 1 12.51 -6 .6 3 -24 .54 -14 .6 6 -2.1 -2.02 -4 .4 8 1.31 -1.07 -72.38 -22.4 4 Yes 4 9 7,9 14 1,125 -2.05 -1.21 3.13 -5.18 -3.4 9 1.3 -5.9 5 5.1 -2.59 -1.9 9 1.4 1 -14 .2 2.9 4 11.04 -4 4 .9 1 12.51 -6 .6 3 -24 .54 -14 .6 6 -2.1 -2.02 -4 .4 8 1.31 -1.07 11 Yes 9 00 -2.05 -1.21 3.13 -5.18 -3.4 9 1.3 -5.9 5 5.1 -2.59 -1.9 9 1.4 1 -14 .2 2.9 4 11.04 -4 4 .9 1 12.51 -6 .6 3 -24 .54 -14 .6 6 -2.1 -2.02 -4 .4 8 1.31 -1.07 NOSYNDICATE No No Yes Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE No No No N Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE No No 9 75201002 Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 9 7509 1002 Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 9 754 81002 N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 9 75524 002 -51.9 7 -6 3.8 -24 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes -87.87 -9 4 Common Stock N Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE No No Yes Yes 150,000 150 21 Yes Yes 2,000,000 2,000 -2.05 -1.21 3.13 -5.18 -3.4 9 1.3 -5.9 5 5.1 -2.59 -1.9 9 1.4 1 -14 .2 2.9 4 11.04 -4 4 .9 1 12.51 -6 .6 3 -24 .54 -14 .6 6 -2.1 -2.02 -4 .4 8 1.31 -1.07 -102.4 -50.23 -16 9 .7 -89 .22 -4 6 .2 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 35 Yes 521,250 6 15 -2.05 -1.21 3.13 -5.18 -3.4 9 1.3 -5.9 5 5.1 -2.59 -1.9 9 1.4 1 -14 .2 2.9 4 11.04 -4 4 .9 1 12.51 -6 .6 3 -24 .54 -14 .6 6 -2.1 -2.02 -4 .4 8 1.31 -1.07 -80.9 9 -28.83 -14 8.3 -6 7.82 -15.2 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 1 4 -1.9 7 4 .6 1 -5.4 -2.9 2 3.4 2 -4 .76 8.27 1.16 1,087,500 1,087 -2.86 4 .83 -4 .57 -3.85 3.6 5 -5.4 4 -2.04 Domestic N None 11 1 4 Domestic N None 11 1 3 Domestic N None 22 2 5 17,000,000 24 .000 US Joseph Gunna r & Co., LLC Domestic N None 11 1 1 1 1 1,4 00,000 12.000 US GAINES-BERLAND GAINES-BERLAND Ga ines, Berla nd, Inc. Domestic N None 11 1 7 7 7 4 ,000,000 8.000 US Yes 6 5.6 No Yes IPO IPO No No BOSTON-ROBERTS BOSTON-ROBERTS Ba ncBoston Robertson Stephens Inc Domestic N None 11 1 Yes Yes IPO IPO IPO IPO No No No No FIRST-MONTAUK MERRILL FIRST-MONTAUK MERRILL First Monta uk Securities Corp Merrill Lynch & Co Inc Domestic Domestic N N None None 11 11 1 1 Yes IPO IPO No No ADVEST ADVEST Advest Inc Domestic N None 11 3 2 3 1 3 1 IPO IPO No No FLEET-BOSTON FLEET-BOSTON Fleet Boston Corp,Boston,Ma ssa chusetts Domestic N None 11 1 IPO IPO No No MSDW MSDW Morga n Sta nley Dea n Witter & Co Domestic N None 11 1 5 Yes IPO IPO No No US-PIPER US-PIPER US Ba ncorp Piper Ja ffra y Inc Domestic N None 11 1 3 38.8 No Yes IPO IPO No No CHASE-HQ CHASE-HQ Cha se H&Q Domestic N None 11 1 3 11 22 19 15.5 Yes 24 Yes -0.4 6 -75.6 3 -23.02 -14 4 .4 -6 2.9 9 11.5 Common Stock 24 Yes 2,550 1.89 -2.86 4 .83 -4 .57 -3.85 3.6 5 -5.4 4 -2.04 0.85 0.05 -0.15 -14 .2 3.6 1 12.14 -4 5.06 11.06 -24 .84 -20.13 -12.7 0.87 -3.16 -2.9 6 -0.32 -0.4 6 -100.9 -4 8.27 -16 9 .7 -88.24 4 0.9 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 12 Yes 210 1.89 -2.86 4 .83 -4 .57 -3.85 3.6 5 -5.4 4 -2.04 0.85 0.05 -0.15 -14 .2 3.6 1 12.14 -4 5.06 11.06 -24 .84 -20.13 -12.7 0.87 -3.16 -2.9 6 -0.32 -0.4 6 -73.1 -19 .9 3 -52.88 -6 0.53 16 .7 Common Stock N Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE No No No 8 Yes 6 00 -1.4 6 -3.86 2.89 -5.5 -2.9 3 0.72 -8.4 6 -3.85 0.84 -0.87 -14 .3 6 .24 9 .1 -4 3.6 4 -13.28 -1.03 -3.56 -2.54 -0.51 -3.06 -57.12 -8.6 7 -4 7.28 14 .3 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 3 4 ,500,000 1 12 1,200,000 3,6 50,000 2 7 3,000,000 3009 4 801 18.000 US Yes 1883000 6 .000 US 12.000 US Yes Yes 559 9 036 12.000 US Yes 4 ,075,000 11175520 10.000 US Yes 20 7,14 5,000 156 24 6 18 20.000 US Yes 3 1 7 5 15 4 ,500,000 10716 880 16 .000 US Yes 3 20 3,700,000 9 9 4 1250 22.000 US Yes 18 Yes 6 75,000 6 12 Yes Yes 501,6 00 12 6 75 -1.4 6 -3.86 2.89 120 54 7 -1.4 6 -1.4 6 -3.86 -3.86 2.89 2.89 -5.5 -2.9 3 0.72 -8.4 6 -5.5 -5.5 -2.9 3 -2.9 3 0.72 0.72 -8.4 6 -8.4 6 14 .84 -7.74 -20.4 -12.55 11.06 -24 .84 -20.13 -12.7 -3.85 0.84 0.16 -0.87 -14 .3 6 .24 -3.85 -3.85 0.84 0.84 0.16 0.16 -0.87 -0.87 -14 .3 -14 .3 6 .24 6 .24 6 .4 7 9 .1 -4 3.6 4 6 .4 7 9 .1 9 .1 -4 3.6 4 -4 3.6 4 6 .4 7 6 .4 7 -24 .87 -24 .87 -24 .87 -24 .87 -18.39 -18.39 -18.39 -13.28 -1.03 -13.28 -13.28 -1.03 -1.03 -3.56 -3.56 -3.56 -3.56 -3.88 -2.9 6 1.9 8 -0.32 0.57 -2.54 -0.51 -3.06 -2.54 -2.54 -0.51 -0.51 -3.06 -3.06 -2.54 -14 .4 1 -84 .4 3 -81.27 9 2.9 1 -9 8.13 38.86 -33.72 -59 .4 2 14 1.4 8 4 50 -1.4 6 -3.86 2.89 -5.5 -2.9 3 0.72 -8.4 6 -3.85 0.84 0.16 -0.87 -14 .3 6 .24 9 .1 -4 3.6 4 6 .4 7 -13.28 -1.03 -0.51 -3.06 Yes 35,000 6 11 -1.4 6 -3.86 2.89 -5.5 -2.9 3 0.72 -8.4 6 -3.85 0.84 0.16 -0.87 -14 .3 6 .24 9 .1 -4 3.6 4 6 .4 7 -18.39 -13.28 -1.03 -3.56 -2.54 -0.51 -3.06 Yes 857,4 00 1,071 -0.4 4 -3.18 5.82 -4 .01 -4 .02 3.12 -4 .07 -2.4 2 3.53 2.74 2.77 -13.1 8.05 8.6 8 -4 2.34 3.5 -24 .9 9 -16 .04 -11.4 4 0.04 -1.9 4 -0.6 1 -1.52 0.32 -9 9 .25 -4 6 .9 Yes 6 75,000 6 75 -0.4 4 -3.18 5.82 -4 .01 -4 .02 3.12 -4 .07 -2.4 2 3.53 2.74 2.77 -13.1 8.05 8.6 8 -4 2.34 3.5 -24 .9 9 -16 .04 -11.4 4 0.04 -1.9 4 -0.6 1 -1.52 0.32 -76 .4 -29 .6 2 Yes 555,000 555 -2.81 -4 .01 5.25 -3.33 -4 .53 2.71 1.1 0.6 5 2.4 3 -3.02 1 -24 .87 -18.39 -3.16 10 22 -24 .87 -18.39 -2.9 6 0.87 20 16 Yes -4 3.79 -4 5.06 -6 4 .88 -4 7.4 2 -14 .17 -82.32 -4 0.76 -154 .7 -77.07 122.34 -16 8.4 -1.02 -24 Cla ss A Common Sha res No Yes 1 3 13.1 12.14 No Yes 0.16 4 .4 2 3.6 1 No Yes 6 00,000 -12.3 NOSYNDICATE Yes 0.05 -14 .2 Exclude Spinoffs a nd Priva tiz a tions 15.500 US 0.85 0.35 N 339 380 24 .000 US 1.89 -0.15 Common Stock 7,250,000 4 1 1,027 -6 6 .09 6 ,850,000 3 4 Yes 1 2 Yes -6 4 5 No 5 -72.9 2 -82.9 9 108.9 4 N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 9 75081002 9 75528002 9 75312002 9 75512002 9 75511002 9 756 4 6 002 9 76 26 4 002 9 76 528002 9 76 6 9 5002 9 75300002 Common Stock 253.9 1 N Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE No No Yes 9 76 529 002 Common Stock -8.4 Common Stock N N Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE NOSYNDICATE No No No No Yes Yes 9 76 508002 9 77034 002 No 9 76 700002 Common Stock N Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE No No Yes 9 76 518002 -14 1.4 -84 .6 6 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 9 77520002 -4 6 .56 -6 1.04 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 9 77523002 -135.1 -86 .6 2 9 75103002 N -5.1 Common Stock -33 -14 6 .6 9 74 728002 N N Common Stock -9 9 .85 -6 0.58 -27.09 1018380002 No Common Stock Common Stock 35.11 Yes CS First Boston Corp -79 .25 Exclude Spinoffs a nd Priva tiz a tions N -13.2 Common Stock 24 -4 .57 Yes Bea r Stea rns & Co Inc -1.07 N Common Stock -79 .04 21.000 US MERRILL/MSDW 1.31 Common Stock -83 -6 8.24 9 74 727002 9 74 725002 35.000 US GUNNAR -4 .4 8 9 74 4 22002 Yes Yes 1,000,000 CS-FB -2.02 9 74 258002 Yes No No 4 ,100,000 BEAR -2.1 9 7336 8002 9 736 25002 Yes No Yes Yes 14 ,300,000 GUNNAR -14 .6 6 Yes Yes No Yes SYNDICATED SYNDICATED 2 CS-FB -24 .54 No No No SYNDICATED Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions 10 BEAR -6 .6 3 Yes Yes NOSYNDICATE Exclude Spinoffs a nd Priva tiz a tions N N 40 No 12.51 SYNDICATED SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N Common Stock 2 No -4 4 .9 1 Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions N Common Stock 2.2 Common Stock 4 No 11.04 N N -15.1 Common Stock -9 9 .9 4 No 2.9 4 Common Stock -82.34 -81.4 5 1 IPO -14 .2 9 73377002 9 73526 002 10 Common Stock -6 4 .84 -56 .6 Yes Yes 1 IPO 1.4 1 1.9 2 No No 4 IPO -1.9 9 -58.52 -4 5.4 1 -50.36 Yes No 4 IPO -2.59 -72.9 5 SYNDICATED NOSYNDICATE 1 Yes 5.1 -76 .12 -6 1.6 9 Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions 1 Yes -5.9 5 34 .82 -6 4 .04 9 73374 002 N N 11 81.1 No 1.3 -81.21 -9 9 .19 -128 -75.33 -4 6 .87 20 -3.4 9 0.36 0.36 -29 .52 -4 4 .56 20 -5.18 -12.39 -12.39 -78.4 2 18 3.13 -17.86 -17.86 -1.07 Yes -1.21 1.88 1.88 -1.18 -1.18 Yes -2.05 12.21 12.21 -5.5 -5.5 Yes 6 -4 1.29 -2.6 2 -2.6 2 Yes 7.23 -4 1.29 -11.78 20.000 US Yes 7.23 -11.6 2 -17.13 26 6 000 20.000 US 1179 773 6 .000 US 4 .26 4 .26 -12.34 6 76 56 25 15.000 US Yes -11.5 -11.5 -11.78 -11.6 8 0.4 2 1036 8209 18.000 US Yes 1.4 5 1.4 5 -12.34 2.89 5,000,000 12.000 US 2.78 -2.24 -2.24 3,800,000 -1.52 2.78 15.8 15.8 5,000,000 11.000 US -1.52 3.9 5 3.9 5 4 ,000,000 7,500,000 3.85 3.85 -13.8 -13.8 18 7,500,000 -7.88 -7.88 3.58 3.58 15 11 1.7 1.7 1.83 1.83 4 19 -3.03 -3.03 -5.4 4 3 1 570,000 6 00 -2.52 -4 .9 1 4 12 6 00,000 15.4 Common Stock -4 3.8 Cla ss A Common Sha res 11 22.4 No 0.1 9 73376 002 1,350 1,080,000 None No No 4 5.3 Yes None No 7.18 9 7356 3002 No N No 3.9 8 Yes Yes 10 150.9 No -4 .3 No No SYNDICATED N No 4 .22 No Exclude Spinoffs a nd Priva tiz a tions Domestic IPO 1.4 6 NOSYNDICATE N Domestic IPO 2.2 Exclude Spinoffs a nd Priva tiz a tions -12.5 Cla ss A Common Sha res Dona ldson Lufkin & Jenrette Inc Yes 2.4 N -58.39 Morga n Sta nley Dea n Witter & Co No 4 21.9 9 -14 0.7 DLJ 3,500,000 29 .3 -6 0.33 MSDW 10 383.5 57.19 -23.19 DLJ No 3.1 11.76 -6 8.6 2 MSDW No 4 .56 -3.03 -3.03 No No 1.6 6 -1.4 3 -1.4 3 No No 3.6 9 -2.58 -2.58 No IPO 4 ,500,000 -0.57 -0.57 No IPO 1.9 4 1 -0.04 -0.04 IPO IPO 1.5 11 -11.56 -11.56 IPO IPO 107.3 None -11.9 6 -11.9 6 IPO Yes 7.9 9 N 0.3 0.3 IPO Yes 2.07 Domestic 12.9 1 12.9 1 Yes No 8.26 Ba rron Cha se Securities -36 .82 -36 .82 Yes -6 3.9 No 3.76 BARRON-CHASE 0.51 0.51 17 4 3 IPO 8.03 8.03 13 27 IPO IPO IPO Yes Yes -12.5 -12.5 12 3 Yes Yes Yes 6 .52 6 .52 Yes 7 No 0.79 0.79 Yes 17 No -4 .84 -4 .84 Yes 3 3 53.1 No 1.89 1.89 Yes 4 4 1 9 73552002 -7.7 -7.7 Yes -20 Common Stock 9 73322002 -1.36 -1.36 17.000 US 1 1 9 729 58002 No Yes -2.9 8 13.000 US 4 4 9 729 38002 Yes No No -2.9 8 14 39 00 12.000 US 1 1 Yes No Yes Yes -4 .53 9 527213 10.000 US 11 11 9 719 51002 No No SYNDICATED SYNDICATED -4 .53 3,500,000 None None 9 6 7001002 9 719 4 8002 Yes NOSYNDICATE Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions -3.6 9 7,000,000 N N No SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N N -3.6 9 2,750,000 Domestic Domestic Yes Exclude Spinoffs a nd Priva tiz a tions N -15.4 Common Stock -3.36 4 ,000,000 Merrill Lynch & Co Inc ING Ba rings SYNDICATED N 25 Common Stock 16 .7 Common Stock -39 .58 -3.36 14 ,000,000 MERRILL ING-BARINGS Exclude Spinoffs a nd Priva tiz a tions Yes -0.4 5 5 MERRILL ING-BARINGS N No -0.4 5 15 No No -13.8 Common Stock Yes -27.6 Common Stock -74 .24 -59 .4 7 -85.33 SYNDICATED 3,750 17 No No -9 0.77 -6 4 .27 -14 1.8 Exclude Spinoffs a nd Priva tiz a tions 3,000 15 IPO IPO -177.2 -52.79 -158.9 -16 7.6 N Yes 3 IPO IPO 87.7 No 20 -50.13 -15.2 Common Stock Yes 4 3 Yes Yes 74 .4 No 2.05 -39 .7 -24 .27 22 19 -57.31 -36 .4 6 -82.27 -6 9 .7 -9 5.56 None IPO 50.25 -3.03 -3.03 N Yes 4 -1.4 3 -1.4 3 Domestic Yes 81 -2.58 -2.58 BA-SEC-LLC/LEH Yes 56 .7 19 .16 -0.57 -0.57 No Yes 184 .1 -0.04 -0.04 No No 286 .3 -11.56 -11.56 IPO No 4 06 .3 -11.9 6 -11.9 6 IPO No 4 .58 0.3 0.3 Yes No 4 .77 12.9 1 12.9 1 26 .1 No 17.5 No -6 70 -36 .82 -36 .82 Yes 18.1 No 9 .32 -0.51 -1.52 0.51 0.51 Yes 1.6 4 .16 2.3 0.18 8.03 8.03 22.000 US 3.59 4 .6 9 2.14 -12.5 -12.5 19 .000 US 4 .19 6 ,850,000 1.13 6 .52 6 .52 25,000,000 1.5 6 ,500,000 1.06 -0.01 0.79 0.79 20,000,000 1.2 1.57 -8.4 -4 .84 -4 .84 33 20.2 0.37 -7.18 -8.77 1.89 1.89 14 29 .8 0.7 -2.02 -2.32 -7.08 -7.7 -7.7 8 2.71 7.6 -31.6 9 -1.36 -1.36 2 82.4 8 275.3 -1.9 1 -1.86 -2.9 8 -2.9 8 8 2.4 106 .1 -3.05 9 .1 8.6 8 -4 .53 -4 .53 3 3.85 -3.1 -7.5 -3.6 9 -3.6 9 3 3 -9 .21 -9 .6 -3.36 -3.36 22 3 2.6 3 7.13 -0.4 5 -0.4 5 22 3 6 .04 9 .27 525 9 00 None 3 -6 2.5 -11.6 7 9 .6 8 0.54 3.36 525,000 76 1,250 None 1 1,000,000 2.83 -2.08 -2.4 7 Yes Yes N 1 13,300,000 -1.08 -0.74 -4 .83 N 11 26 .1 57.6 6 -8.27 -0.32 Domestic 11 80.8 -8.24 -7.86 2.14 Domestic None 4 4 .9 -0.18 1.06 LEH/BA-SEC-LLC/SALOMON-SMITH None 22 -0.32 -7.18 CS-FB/SALOMON-SMITH/DLJ N 124 .5 -2.76 -2.02 No N 9 .2 -0.76 0.09 16 .05 No Domestic 6 .15 -0.34 750 16 .18 No Domestic 9 .21 0.9 2 6 00 750,000 -28.4 5 -27.9 7 No Needha m & Co Inc 5.9 4 4 50 4 34 ,4 00 -3.05 IPO Ada ms Ha rkness & Hill Inc 5,500,000 387,750 Yes Yes 18 12.14 IPO NEEDHAM 1.8 Yes 17 14 36 -7 IPO ADAMS-HARKNESS -2.81 Yes Yes 9 .6 8 IPO NEEDHAM -23.21 36 .000 US 2.83 Yes ADAMS-HARKNESS 2,500,000 -16 .88 29 .000 US 1.39 -1.89 Yes No 4 ,000,000 3,000,000 4 ,000,000 1.84 -0.17 177.6 No No 14 ,000,000 15 -8.24 29 3.5 No No 6 .6 7 0.6 Yes No 5,000,000 0.6 0.9 No -0.54 -30.36 -4 9 .9 7 6 .16 -35.31 6 9 0,750 Yes -6 .6 7 -76 .9 6 -34 .24 21.28 4 6 9 .01 Yes 14 -3.85 -28.4 5 18.1 26 -3.9 2 -4 .36 18.1 16 Yes Yes 2.1 -4 .36 -31.15 -28.4 5 Yes 26 .000 US 14 .000 US -0.32 13.1 9 6 6 270002 5,250,000 0.9 2 13.1 9 6 6 319 002 3,100,000 558 1.39 No No 9 4 73,175 1.84 No No 9 Yes 2.1 Yes Yes 14 0.36 2.7 4 .8 9 75 SYNDICATED SYNDICATED 3 16 .000 US 1,275 Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions 3 3,720,000 9 75,000 9 6 54 77002 N N 3 3 1,275,000 9 6 5021002 9 6 6 253002 Cla ss A Common Sha res 12.4 Cla ss A Common Sha res 1 3 Yes 103.16 1 1 Yes 157.9 1 19 .51 3 3 13 74 .26 3 1 15 19 2.51 137.76 1 IPO 3,200,000 -3.78 -3.78 1 11 IPO 14 -0.75 -0.75 11 0.4 4 ,075,000 4 9 ,4 30 -0.02 -0.02 11 None IPO 3,000,000 -8.4 8 -8.4 8 None IPO 4 ,500,000 -3.34 -3.34 None N Yes 5,716 ,000 -4 .79 -4 .79 N Domestic Yes 1,200,000 3,6 50,000 -3.4 9 -3.4 9 N 1,200,000 9 -2.9 8 -2.9 8 Domestic 7.7 No 9 -0.13 -0.13 Domestic 6 .7 No 11 39 0,9 38 524 ,6 4 0 -2.6 2 -2.6 2 Wa rburg Dillon Rea d Inc 10 13 9 6 6 26 8002 CS First Boston Corp 17.1 6 11 Yes 1,125 No No Yes WARBURG-DR 3.82 14 No 6 ,16 0 No No No CS-FB 4 .6 4 170 Yes WARBURG-DR 2.76 6 3,230 -1.08 7 SYNDICATED CS-FB 7.5 29 .2 na 0.9 0.23 Yes Yes 9 6 4 9 89 002 Exclude Spinoffs a nd Priva tiz a tions No 3 9 6 ,6 10 26 16 9 6 54 9 2002 Yes N No Morga n Sta nley Dea n Witter & Co Yes No No -1.7 Common Stock No MSDW Yes No No 24 .03 No Yes Yes No MSDW 28725805 13.000 US Yes NOSYNDICATE IPO No 133114 57 15.000 US -2.75 NOSYNDICATE SYNDICATED SYNDICATED IPO No 8,500,000 SYNDICATED Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions IPO IPO 6 ,500,000 -8.88 Exclude Spinoffs a nd Priva tiz a tions 9 6 39 85002 Exclude Spinoffs a nd Priva tiz a tions N N N IPO IPO 16 -3.4 9 N 9 6 4 4 17002 N Common Stock -21.9 Limited Pa rtnership Interest Yes Yes 4 Yes Yes -18.5 Common Stock 107.6 7 -0.13 Yes No No -15 Common Stock 14 2.27 -2.6 2 12.000 US No Yes -21 Common Stock 177.4 1 -59 .23 9 9 .26 525 6 16 716 3 10.000 US NOSYNDICATE SYNDICATED -4 9 .85 -3.23 4 4 2,500 7,500,000 Exclude Spinoffs a nd Priva tiz a tions Subsidia ry IPOs (spinoffs) -83.6 6 -108.6 Yes 4 6 ,250,000 N Y 221.6 1 -37.9 1 122.26 -31.88 15 6 -11.5 Common Stock 19 .9 Common Stock 138.59 -23.31 208.4 7 Yes Units -79 .32 -36 .17 -76 .27 256 .27 -73.24 15.000 US 20 -72.55 -119 .2 -4 8.87 212.88 16 3.6 1 3,500,000 5 -4 1.57 -0.9 9 -9 2.04 -6 0.86 -3.09 -3.09 13 4 7 -89 .4 6 -4 4 .9 6 -4 .1 -3.09 -3.09 3 1 0.34 -3.9 6 -3.9 6 -1.9 7 -1.9 7 3.6 6 10,212,76 6 -3.85 -3.85 -1.9 8 -1.9 7 -1.9 7 0.54 0.54 1 14 2.25 0.54 0.54 0.36 0.36 3 23.5 1.6 2 1.6 2 0.36 0.36 -0.39 -0.39 4 16 .5 -0.5 -0.5 -0.05 -0.39 -0.39 -9 .16 -9 .16 1 127,120 0.6 1 0.6 1 -0.4 2 -9 .16 -9 .16 -8.81 -8.81 1 302,84 0 -9 .01 -9 .01 -9 .4 5 -8.81 -8.81 21.9 4 21.9 4 11 106 ,6 9 0 -11.04 -11.04 -16 .4 4 21.9 4 21.9 4 11.8 11.8 11 2.34 21.17 21.17 19 .09 11.8 11.8 -32.33 -32.33 None -0.4 9 5.15 -32.33 -32.33 5.71 None -0.4 6 7.71 -31.39 5.71 5.71 5.71 N -0.22 -30.6 6 6 .28 7.23 7.23 7.23 N -0.27 5.51 7.23 Domestic -0.6 6 7.71 1.15 6 .25 -2.2 -2.2 Domestic 7 -30.6 6 5.51 -1.8 -2.2 -2.2 0.1 CS First Boston Corp 6 1.15 -0.1 0.1 0.1 0.1 Merrill Lynch & Co Inc 6 .74 8 -0.1 -3.8 -2.77 -0.75 -0.75 CS-FB -1 na 1.74 -0.75 -0.75 0.83 0.83 MERRILL 26 na -3.8 1.74 -2.34 0.83 0.83 0.72 0.72 CS-FB -6 .2 na -1.12 0.72 0.72 -7.32 -7.32 MERRILL 1 -1.4 9 -1.4 9 0.75 -7.32 -7.32 -2.75 No 0.86 0.9 5 0.9 5 -6 .57 -2.75 -2.75 -2.75 No 0.6 28 -7.16 -7.16 -3.4 7 -4 .4 9 -4 .4 9 3,120,000 4 ,100,000 -3.26 -3.26 -4 .18 -4 .4 9 -4 .4 9 -3.03 -3.03 No 5 -4 .87 -4 .87 -3.03 -3.03 -3.15 No 12 -0.9 3 -0.9 3 -0.6 6 -3.15 -3.15 -3.15 IPO 16 -2.5 -2.5 -2.6 9 -0.27 -0.27 IPO 4 ,550 0.1 -0.27 -0.27 -0.05 Yes 0.6 133.1 19 9 .7 4 .78 3,800,000 18,4 6 0 -0.6 1 -0.6 1 -0.05 -0.05 38.1 No No 1.6 5,000,000 4 10,79 0 0.2 0.2 0.03 225 6 00 -0.05 IPO -0.56 1,050 2,4 00 56 2 4 74 ,000 4 50 IPO -3 Yes 13,005 Yes 7 Yes 4 50,000 Yes 10 11 Yes No 6 .75 Yes 20 Yes No na Yes 17 7,500,000 -0.1 na 9 28,9 50 2,4 00,000 13 Yes 10 6 ,000,000 1.59 Yes Yes Yes 20.000 US Yes 8,000,000 13 13 8.5 16 4 1026 13.000 US Yes 6 7.7 12 Yes Yes 1326 34 9 4 11.000 US 4 4 Yes Type of Security 13.000 US 1554 8828 8.500 US 3,750,000 1,500,000 4 ,000,000 17.000 US 11 0.17 20 No 6 ,370,000 8733334 10.000 US 10 0.28 60 IPO 26 16 ,000,000 3,000,000 14 0 0.14 6 4 .29 510,000 19 .6 4 IPO 18 20 102,000,000 6 6 ,700 12 10514 .57 59 .52 0.4 4 Yes 12 25 3 7 10 2,877,000 No 1.5 4 4 0,000 4 5.6 No 7 16 3 -2.5 6 32,150 7.5 6 0.71 3 2 3 7 Comb. 1.36 7.55 Ba 1 4 0.5 0.3 20.14 3 4 .74 118,030 0.6 6 3 0.4 5 0.851 20.24 1 1 8.5 Yes 121.2 No 1 5,000,000 20 19 .9 8 1 7 11 3,100,000 12 11013.4 4 1079 9 .82 2,520,000 No 3.26 9 3.3 11 15 18 1106 7 1016 4 .9 2 9 811.24 0.4 4 6 0.04 0.34 0.29 2 3 3 None 11 12 11028 10128.31 4 4 0,000 0.209 Comb. 2 1 11 N 4 1,29 0 16 .6 7 15.1 -0.32 0.16 11 11 Insur Domestic 238,6 00 20 THOMAS-WEISEL/DLJ-DIRECT/FRIEDMAN-B 2000 7 12,376 ,522 0.1 2.027 1.286 13 -0.33 5.6 None 3 None None I Fleet Boston Corp,Boston,Ma ssa chusetts MSDW/MERRILL/SALOMON-SMITH N 1 N N Domestic FLEET-BOSTON FRIEDMAN-B/MCDONALD 7 14 0.7 No 2000 10718.09 7,250,000 20.14 1,285,750 7 7 7 3 No Yes No 7 14 1.4 No JC Bra dford & Co 10807.78 20.24 Comb 100,000 2,027,024 11 4 1 No No No 23.3 na 27 13 FLEET-BOSTON BRADFORD 10128.31 7.5 50 60 6 4 .9 0.9 6 11 11 -0.19 1 11 Domestic Domestic Domestic FLEET-BOSTON 4 ,000,000 12 13,54 0 -0.77 11 None IPO IPO IPO -0.6 0.84 53 19 MSDW Advest Inc 11028 10038.6 5 109 4 0.53 10718.09 50.01 2000 10219 .52 109 06 25.23 2000 0.2 9 6 0,000 -0.56 -0.25 None N SG Cowen Securities Corp Deutsche Ba nc Alex Brown No 10,000,000 15 9 ,550 -0.34 N Domestic SG-COWEN DEUTSCHE-ALEX-B No No 6 ,000,000 15 -0.07 7 -0.2 0.84 19 .05 1.2 823,76 0 0.6 -0.6 6 8.8 -9 3.39 20,000,000 -0.09 Domestic Prudentia l Securities Inc SG-COWEN DEUTSCHE-ALEX-B No IPO 14 .4 7.81 3.9 8 7 0.84 20 1.2 1,200,000 2000 2000 0.71 1.337 1.06 4 1,200,000 0.16 20 0.76 1,337,29 4 1,06 4 ,000 60 MSDW/SALOMON-SMITH/DLJ-DIRECT 0.9 No 20.17 19 .05 60 60 57.14 18.59 3.9 7 6 0.32 15.8 4 .57 3,000,000 25,000,000 Merrill Lynch & Co Inc PSI IPO IPO IPO No 3,000,000 21 MERRILL PSI Yes Yes Yes No 4 ,000,000 17.5 MERRILL No No No 4 ,000,000 519 ,770 No No IPO IPO 82 6 ,000,000 7 7 58.5 15 1,06 5,580 No IPO IPO Yes 22.2 14 5.2 14 7 -5.7 3 MERRILL/FRIEDMAN-B/DAIN-R-WESSELS 1.04 6 No 2.4 -0.2 11.4 na 3.8 1.4 4 No CS First Boston Corp 0.71 0.9 6 0.55 2.4 71 200,000 Bea r Stea rns & Co Inc 0.4 2 0.28 10 12 GUNNAR 0.5 20 20.17 0.24 9 6 0,000 21 BEAR 20.24 0.24 7 9 6 9 ,000 23.5 MERRILL/MSDW(JOINT) 18.6 8 3,000,000 7 16 .5 CS-FB 9 6 0,000 20.1 2.02 0.6 8 0.4 9 1.4 72 3,800,000 5,206 ,24 8 No 0.209 2,4 00,000 0.536 2,4 71,280 4 ,6 20,000 No 10010.73 11186 .56 6 0.32 6 80,000 20 1036 7.78 106 4 3.6 3 10781.4 5 7.1 59 .6 6 3.04 4 ,011,884 3,19 2,000 536 ,250 4 9 0,000 20 1036 7.78 106 4 3.6 3 11028.02 0.24 20 20 10010.73 11186 .56 109 77 1009 2.6 3 0.24 20.17 20.6 3 20.6 3 10010.73 11186 .56 10514 .57 7,100,000 3,04 0,000 2.4 1.04 1,500,000 2,020,4 50 1,4 71,6 80 1.05 10781.4 5 104 25.21 60 0.824 10781.4 5 52.27 59 .52 4 .354 59 .6 6 823,76 0 7 1,050,000 7 11028.02 2000 6 0.4 4 2 1.4 7 0.14 0.24 1.3 5,250,000 No 4 ,736 ,6 20 No 11028.02 Emerson Bennett & Associa tes 59 .79 6 .537 0.17 1,4 70,000 4 ,353,720 1.337 1036 7.78 106 4 3.6 3 1036 7.78 106 4 3.6 3 109 77 1009 2.6 3 EMERSON-BENNETT 59 .74 1.59 5 0.17 2,000,000 20 20.17 1.06 4 10010.73 11186 .56 10010.73 11186 .56 109 77 1009 2.6 3 0.6 No 20.78 7 1,337,29 4 10781.4 5 10781.4 5 10514 .57 2.4 5 No 4 .6 0.19 5 6 ,536 ,750 20.24 7 1,06 4 ,000 11028.02 11028.02 10514 .57 Ba rron Cha se Securities 1.6 7 1,300,000 109 77 1009 2.6 3 109 77 1009 2.6 3 104 25.21 Ba rron Cha se Securities 0.3 1,59 5,000 20.88 0.6 8 0.4 9 1.4 72 7,24 5,000 No 10514 .57 10514 .57 104 25.21 5 BARRON-CHASE 4 ,6 00,000 20.1 2.258 0.536 6 ,118,000 No 104 25.21 104 25.21 2000 1.4 18 No 0.25 10225.73 11032.9 9 1086 7 106 4 3.6 3 1056 1.4 1 20.57 106 4 3.6 3 1056 1.4 1 37.4 1 106 4 3.6 3 1056 1.4 1 2000 2000 Dona ldson Lufkin & Jenrette 6 Comb. 10 0.17 1086 7 19 .71 106 4 3.6 3 1056 1.4 1 2000 2000 2000 THOMAS-WEISEL/US-PIPER Morga n Sta nley Dea n Witter 14 25.08 106 4 3.6 3 1056 1.4 1 2000 BEAR/WARBURG-DR/THOMAS-WEISEL Dona ldson Lufkin & Jenrette Inc 0.11 4 9 0,000 0.77 No Morga n Sta nley Dea n Witter & Co 10 6 80,000 7 7 1,4 71,6 80 0.84 No 20 DLJ 0.34 536 ,250 7 2,258,150 7 CS First Boston Corp 12 MSDW 0.29 7 1,6 00,000 7.4 6 2 2,817,500 No Merrill Lynch & Co Inc 0.2 22 3,86 4 ,000 No 8,39 1,6 4 2 No CS First Boston Corp 0.4 9 15 8,855,000 No 2,6 6 7,500 No 12,4 37,6 53 No 109 57.6 109 57.6 Merrill Lynch & Co Inc 0.284 20 109 57.6 11111.4 8 106 03.6 3 11111.4 8 106 03.6 3 11 CS-FB 4 11.5 Comb. 109 6 3.8 109 6 3.8 109 05.79 10304 .84 11029 .89 109 4 6 .72 9 79 6 .03 10304 .84 11029 .89 109 4 6 .72 9 79 6 .03 10 MERRILL 19 11 10577.86 1076 8 1076 8 US-PIPER/WIT-SOUNDVIEW 2000 11111.4 8 11111.4 8 106 03.6 3 10718.09 10718.09 SG-COWEN/ADVEST/E*OFFERING FLEET-BOSTON/RAYMOND 10170.5 106 9 9 106 9 9 2000 1.4 No 11 16 .8 4 .22222 CS First Boston Corp 60 34 5.4 4 .16 6 6 7 Prudentia l Securities Inc CS First Boston Corp 82.5 174 6 4 .16 6 6 7 Prudentia l Securities Inc 18 CS-FB 7,500,000 16 .8 1.4 15 PSI 0.28 6 ,000,000 34 5.4 1.4 17 0.21 17 11 1.26 1.4 17 12 14 10 5.4 4 5 1036 7.2 1116 4 .84 104 12.4 9 1036 7.2 1116 4 .84 104 12.4 9 10304 .84 11029 .89 109 4 6 .72 9 79 6 .03 14 9 20.723 1086 4 .1 1086 4 .1 11008.17 109 57.4 2 1076 8 14 10 14 .007 11251.71 11251.71 10219 .52 10718.09 16 12 0.833 10219 .52 10219 .52 1076 8 106 9 9 30.4 5 19 11 0.4 17 106 88 106 88 10519 .84 31.9 7 2000 16 NASDQ 6 104 25.21 104 25.21 109 57.6 2000 60 NASDQ SMCAP 109 6 3.8 109 6 3.8 2000 WIT-SOUNDVIEW/DLJ-DIRECT/FAC-EQUITIES 0.7 No 71.5 75 0.28 17.16 4 6 .24 BEAR/US-PIPER/CHASE-HQ 0.84 No 4 9 .4 34 .1 0.4 17 1.389 0.26 18 2000 2000 0.9 1 No 5,500,000 5,000,000 0.6 4 5 Comb. 0.24 14 20 DAIN-R-WESSELS/SG-COWEN/E*OFFERING KINNARD/WEST-PARK-CAP Merrill Lynch & Co Inc ING Ba rings 3,800,000 3,100,000 3.58333 1.4 17 14 16 1.54 No 0.9 7 No Merrill Lynch & Co Inc ING Ba rings 5,000,000 15 4 .0516 1 1.4 17 16 60 Fleet Boston Corp,Boston,Ma ssa chusetts W. E. Ka ufma n & Compa ny 13 35 Common Sha res 15.5 Cla ss A Sha res 150 Fleet Boston Corp W. E. Ka ufma n 11 MERRILL 11 ING-BARINGS 12 11 4 .16 6 6 7 4 .25 80.7 6 Common Sha res 13 18 FLEET-BOSTON 11 KAUFMAN 12 10 1.208 1.375 80.7 6 150.2 121.6 12 0.17 11 14 1.34 8 1.375 1.4 09 4 .6 2 12.9 7 4 .54 286 Comb. 1.4 1.6 6 7 4 .05 5.206 13 12 1.4 17 1.208 7.5 Comb. 5 0.833 0.9 09 14 14 16 12 1.22 -16 .7 6 9 ,010 -0.05 -0.13 24 9 .4 0.4 3 3.17 24 1,6 30 11 -0.59 6 1.7 3.9 2 3,720,000 5,000,000 -19 .26 -38.02 IPO IPO Yes No 3,100,000 9 IPO Yes 1.53 8,000,000 17 13 16 Lockup Sha res Yes 288.8 No 6 ,573.70 No 0.5 6 ,000,000 9 28,76 0 15 -1.4 1.6 5 No 6 .9 3 34 ,300,000 -0.24 7 0.58 0.3 7372 Other Softwa re (inq. Ga mes) 1.82 11 7 5.4 34 0.19 5 54 51 7389 Internet Services & Softwa re 4 .01 187,6 50 -0.9 0.38 No 3.71 17.5 -2.6 -0.3 -0.22 0.7 0.9 No 3,000,000 820 7 0.833 0.32 7389 Internet Services & Softwa re -0.52 39 7.4 2.52 111,300.50 181,9 80 7 0.26 1.04 12 11 -0.36 7 2,6 25,000 7,9 6 7,750 1.6 3.55 2.21 6 55,200 10,130 -1.35 1.6 1 3.6 4 4 ,000,000 27,120 14 3,29 0 8.21 0.9 4 16 7 14 2.86 1,9 20,000 375,9 10 RANK_NO_LEADS No -14 1.7 4 ,6 00,000 3,000,000 7 19 .84 19 .84 7,000,000 13,350,000 102,000,000 9 28,59 0 -1.4 2 7 6 0.2 0.875 2.538 0.6 6 7 0.19 7375 Internet Services & Softwa re -0.78 -8.4 1 na -0.3 2.9 5 875,000 20 2,513,79 0 -39 .4 na 9 50,000 7 7 2,537,500 4 .2 0.19 5 7372 -0.4 3 7 7 11 16 9 7 1.21 0.71 0.59 7 7 9 7.5 19 ,4 70 6 .6 15 -1.5 na -52.3 4 .16 6 6 7 1.54 3577 Progra mming Services 1,56 0 4 9 5,36 0 12,832,570 0.06 7 0.5 0.6 8 0.59 1.4 1.19 7372 0.01 0.07 5.333 1.4 17 0.9 1 7379 19 2,9 00 -1.77 7 4 .4 18.75 2.14 5 1.59 9 na -2.6 13.6 1.4 No 16 BA-SEC-LLC/LEH(JOINT) -0.06 0.05 10700 106 4 3.6 3 10700 106 4 3.6 3 1104 1.05 109 05.79 2000 9 -0.4 3 10881.2 DEUTSCHE-ALEX-B/MERRILL/GS 1.59 0.6 2 0.55 0.82 0.4 5 1.14 No 17.5 CS-FB/* -4 .4 1 6 19 ,500 11722.9 8 Fleet Boston Corp,Boston,Ma ssa chusetts 205,170 -0.2 7 7 21.4 3 na 7 3,56 2,125 No 19 .78 19 .79 0.4 7 7 11722.9 8 FLEET-BOSTON 7 4 1.9 na -1.8 na 10511 10519 .84 LEH/US-PIPER/FLEET-BOSTON 0.35 0.4 2 10738.87 11013.4 4 28.57 0.54 21.4 3 10511 10519 .84 DAIN-R-WESSELS/BOSTON-ROBERTS 21.01 0.4 5 11028.02 0.825 19 .78 12.83 1104 1.05 109 05.79 BA-SEC-LLC/CIBC-WORLD 2 0.27 0.9 4 8 4 50,000 58.57 6 0.16 825,000 1.115 270,000 9 4 8,000 1104 1.05 109 05.79 CHASE-HQ/DAIN-R-WESSELS 2.52 No 2,000,000 60 2000 1.26 No 1,114 ,74 0 12,831,6 00 1.26 2000 1.19 No 58.82 51.9 5 6 0.4 4 39 .02 10738.87 11013.4 4 10738.87 109 6 3.8 2000 2000 0.9 8 No 59 .34 1.5 2.59 1 FLEET-BOSTON/SG-COWEN US Ba ncorp Piper Ja ffra y 5.6 0.825 0.3 0.15 825,000 0.22 3.34 4 0.18 BA-SEC-LLC/THOMAS-WEISEL Morga n Sta nley Dea n Witter 0.18 0.14 8 1,26 0,000 10700 106 4 3.6 3 1,500,000 0.125 2,59 1,200 39 ,015,000 270,000 10738.87 11013.4 4 BA-SEC-LLC/SG-COWEN CS First Boston Corp 21 LEH/BA-SEC-LLC(JOINT) 6 3.11 BA-SEC-LLC/WIT-CAPITAL/CIBC-WORLD Fleet Boston Corp 3,34 4 ,220 5,6 00,000 20 20.05 10738.87 11013.4 4 2000 US Ba ncorp Piper Ja ffra y Inc 19 .78 18.57 109 4 5.5 Morga n Sta nley Dea n Witter & Co 20.17 19 .4 8 0.27 0.39 11025.85 LEH/FLEET-BOSTON 20.88 1.9 2 0.885 13.005 39 0,000 7 56 2,500 1.177 884 ,800 13005000 7 1,36 5,000 No 7 0.56 3 7 4 .4 2,4 15,000 No 11582.4 3 106 59 .9 8 1009 2.6 3 2000 7 1,176 ,6 70 6 4 ,851,6 00 No 2000 2,887,500 No 7 1,9 20,000 5,087,6 00 No 11124 .82 11032.9 9 11124 .82 11032.9 9 DEUTSCHE-ALEX-B/US-PIPER SALOMON-SMITH/DLJ-DIRECT/SIMMONS 6 ,4 80,9 75 No 10,9 4 8,000 No 11124 .82 11032.9 9 11124 .82 11032.9 9 11112.72 BEAR/CIBC-WORLD 1.12 No 11112.72 109 06 .72 11029 .89 11112.72 1.05 No 1.82 No 11008.17 11008.17 11112.72 11112.72 10225.73 10225.73 1.82 No 1.12 No 0.9 8 No 1084 4 .05 1084 4 .05 10225.73 10225.73 10729 .52 10729 .52 0.6 4 No 0.86 No 11112.72 11112.72 10304 .84 10729 .52 10729 .52 11551.1 11551.1 1.4 0.9 7 2/17/2000 11/12/19 9 9 Apropos Tech Inc 20 Comb. 13 0.23 14 3,720,000 72 5,000,000 3,100,000 10219 .52 10219 .52 11551.1 11551.1 106 9 9 106 9 9 1.4 17 CHASE-HQ Prvd hea lthca re info sys 20 Common Sha res 22 15 66 8,000,000 11 11572.2 106 4 9 .81 11572.2 106 4 9 .81 106 9 9 106 9 9 7 JPM Dvlp softwa re 14 4 126 6 0.8 6 ,000,000 9 17 13 109 57.6 106 85 106 85 7 MERRILL Develop a nd sell ice crea m Pvd ecommerce informa tion svcs 14 4 6 ,000,000 4 ,34 5,000 11 8 10 0.7 No 10734 11511.08 106 4 6 .9 7 106 85 106 85 11003.2 11003.2 0.1 ING-BARINGS VMDC 11.59 2 22 Common Sha res 19 Cla ss A Sha res 21 14 10 12 Dona ldson Lufkin & Jenrette Goldma n Sa chs & Co 1.05 No 10734 109 05.79 10734 109 05.79 11003.2 11003.2 11028.02 11028.02 0.1 FLEET-BOSTON CHRD 440 332.5 15 20 13 16 Dona ldson Lufkin & Jenrette Inc Goldma n Sa chs & Co 1104 1.05 11028.02 11028.02 30.75 29 .4 0.5 KAUFMAN JMIC TREE 440 332.5 10 16 13.5 GS 21.6 8 11032.9 9 4 7.76 2000 2000 0.6 3 Pers/Bus/Rep Svc 2/15/2000 11/24 /19 9 9 Va nta gemed Corp 25.3 19 .9 5 17 16 11 DLJ 0.13 109 4 0.53 109 4 0.53 2000 2000 2000 0.17 Pers/Bus/Rep Svc 2/15/2000 10/14 /19 9 9 Va rsityBooks.com Inc NASDQ NASDQ 0.14 2000 2000 CS-FB/DLJ/GS/FOX-PITT US-PIPER/RAYMOND 0.21 Reta il 2/15/2000 12/6 /19 9 9 Chordia nt Softwa re Inc NASDQ NASDQ U.S. Public U.S. Public 10 12 11029 .89 52.74 11029 .89 PRUD-VOLPE/WARBURG-DR BEAR/CHASE-HQ 0.17 Pers/Bus/Rep Svc 2/15/2000 10/25/19 9 9 Jeremy's Microba tch Ice Crea ms 2/15/2000 12/1/19 9 9 LendingTree Inc NASDQ U.S. Public U.S. Public US US 12 15 Lea d Ma na ger BEAR/WM-BLAIR/FLEET-BOSTON MSDW/SCHRODER-CO 0.21 Pers/Bus/Rep Svc Pvd ecommerce informa tion svcs 0.5 U.S. Public US US 3,500,000.0 Common Sha res 5,075,000.0 Common Sha res 82.5 6 00.3 0.7 No 1.05 Telephone Commun BTBC 4 .2 US 2,89 6 ,000.0 Common Sha res 5,000,000.0 Common Sha res 18 Common Sha res 7,500,000 34 ,300,000 1.4 No 0.84 Na sda q 2/15/2000 10/6 /19 9 9 b2bstores.com Inc 1.4 2,585,000.0 Common Sha res 17 Common Sha res 14 Common Sha res 36 Common Sha res Morga n Sta nley Dea n Witter 0.77 No 0.9 1 No 0.74 8 No NEEDHAM Na sda q Pvd digita l rights mgmt svcs 1.4 29 Common Sha res 63 182.7 Morga n Sta nley Dea n Witter & Co Co-Ma na ger(s) 0.9 1 No 0.59 5 No ADAMS-HARKNESS Na sda q SVVS 7 0.4 55 0.526 70 63 182.7 Fleet Boston Corp 11 SG Cowen Securities Corp Telephone Commun Na sda q SDRV 75 4 9 .2 70 5.072 Morga n Sta nley Dea n Witter Fleet Boston Corp,Boston,Ma ssa chusetts 14 MSDW SG Cowen Securities Corp Agriculture Na sda q 2/10/2000 Sa vvis Communica tions Corp 75 4 9 .2 5.6 35 14 .707 Friedma n Billings Ra msey Group Deutsche Ba nc Alex Brown Morga n Sta nley Dea n Witter & Co 9 FLEET-BOSTON Na sda q Na sda q 2/14 /2000 6 .035 3.9 6 3 12 Merrill Lynch & Co Inc Prudentia l Securities Inc Friedma n Billings Ra msey Group Deutsche Ba nc Alex Brown 17 MSDW 17.5 16 Bookrunner(s) Merrill Lynch & Co Inc Prudentia l Securities Inc 10 SG-COWEN 17 DEUTSCHE-ALEX-B Na sda q United Sta tes 2/14 /2000 6 /17/19 9 9 Sunha wk.com Corp 18 14 0.278 NASDQ 10 NASDQ 0.588 U.S. Public 12 NASDQ U.S. Public 0.34 5 US 22 15 U.S. Public US 13 14 FRIEDMAN-B 0.15 0.13 16 36 11 MERRILL 7.5 PSI 0.15 0.18 0.28 16 18 United Sta tes United Sta tes Dvlp softwa re for e-commerce 3.6 NASDQ 3,154 ,500.0 Common Sha res 18 United Sta tes United Sta tes PCIS 3.4 54 55 1.2 NASDQ U.S. Public US 2,709 ,4 00.0 Common Sha res 15 36 Florida United Sta tes 2/3/2000 webMethods Inc 1.159 1.2 NASDQ NASDQ U.S. Public US 4 ,59 3,750.0 Common Sha res 14 Common Sha res 10 9 30.7 Georgia Prima ry Business not Hi-Tech United Sta tes 9 /7/19 9 9 Precis Sma rt Ca rd Systems Inc 6 U.S. Public U.S. Public US 8,500,000.0 Common Sha res 16 Common Sha res 26 Common Sha res 37.9 1.136 0.1 0.1 US US 6 ,500,000.0 Common Sha res 13 Common Sha res 50.5 119 .4 5.75 0.76 0.6 84 2,6 06 ,250.0 Ord/Common Shs. 3,4 9 7,6 00.0 Common Sha res 15 Common Sha res 50.5 0.714 0.255 26 Ord/Common Shs. 16 Common Sha res 12 19 37.9 0.556 0.228 NYSE NYSE 119 .4 4 .36 111 0.25 9 7.5 U.S. Public U.S. Public 3.053 4 .214 29 0.228 6 7.8 56 110.5 US US 4 .06 3 4 .16 6 6 7 1.14 9 7.5 7,500,000.0 Cla ss A Sha res 38,550,000.0 Cla ss A Sha res 9 .6 18 1.25 1.26 5 6 7.8 56 110.5 10 Cla ss A Sha res 12 Cla ss A Sha res 0.385 1.4 4 4 Ra dio/TV/Telecom 8.4 07 75 4 6 2.6 0.714 1.4 29 Ra dio/TV/Telecom 5.4 55 4 .505 7.84 9 75 4 6 2.6 0.6 25 1.389 Na sda q United Sta tes 2/10/2000 4 .1724 1 4 .176 4 7 0.76 9 1.389 Georgia Pvd educa tiona l softwa re 0.6 6 7 7 Ca lifornia Pvd ecommerce reta il svcs 1.4 12 1.357 1.313 4 .2 4 .25 4 .23077 7 Ca lifornia LSPN 1.4 14 1.4 12 4 .125 3.84 6 15 4 .214 29 0.1 Pennsylva nia IPET 1.4 14 7 7 1.375 0.1 Na sda q Minnesota 11/1/19 9 9 Lightspa n Pa rtnership Inc 7 0.1 0.1 0.1 United Sta tes Texa s 2/10/2000 1.36 5 1.4 29 0.75 7375 2/10/2000 12/9 /19 9 9 Pets.com Inc 1.4 1.385 1.375 1.357 1.57 7375 Mnfr,whl printer 1.4 38 1.4 1.385 1.4 04 United Sta tes 7372 Other Softwa re (inq. Ga mes) Pvd Internet solutions svcs Comb. 1.4 38 7 7 7 0.4 5 874 1 Prima ry Business not Hi-Tech Dvlp Internet mktng softwa re 1.21 0.71 0.59 0.1 0.26 5734 Internet Services & Softwa re Dvlp electr mgmt softwa re 6 .6 15 0.1 0.1 Okla homa 4 813 Prvd Internet hea lth ca re srvs 7 0.1 1.1 0.5 Pvd hea lthca re mgmt solutions FRGO 0.1 0.5 0.6 8 0.59 0.25 2.52 0.2 7 Comb. 7 0.6 3 New York 4 89 9 752 1.05 0.86 Pvd online enterprise loc svcs LNTE 0.21 United Sta tes Pvd ecommerce reta il svcs OGNC 13 Ca na da United Sta tes Internet Service Provider{ISP} WITS 15 Ca lifornia Dvlp intera ctive softwa re XCAR 3,000,000 Ca lifornia Pvd long dista nce svcs 1/12/2000 Dela no Technology Corp 12 Foreign New York LCOR 1/26 /2000 La nte Corp 11 7372 Internet Services & Softwa re 7372 VCNT 11/2/19 9 9 Xca re Net Inc 13 7379 Internet Services & Softwa re BUYX 2/9 /2000 11/24 /19 9 9 Orga nic Inc NASDQ 6 .038 FSST 2/9 /2000 11/22/19 9 9 Witness Systems Inc U.S. Public 24 .6 72 9 /3/19 9 9 Vicinity Corp 2/9 /2000 US 4 ,000,000 11 0.12 2,9 50,000.0 Common Sha res 1,9 20,000 50.6 0.19 15 Common Sha res 1 Na sda q 10 6 .5 4 4 .3 16 4 ,6 00,000 12 8 4 4 .3 11 8.5 10 3.56 2 NASDQ 63 27 0.6 6 7 U.S. Public 100.1 2,04 0.00 3,000,000 4 .2 US 7,000,000 102,000,000 9 1.4 3,750,000.0 Common Sha res 13,350,000 9 20 8 1.4 11 Common Sha res 9 8 15 7 4 1.3 7.5 10 14 25 10 0.833 United Sta tes 8 6 .5 12 18 10 NYSE NASDQ 4 .2 United Sta tes 10 8.5 AMEX NASDQ U.S. Public U.S. Public 3.25 United Sta tes NASDQ NASDQ U.S. Public U.S. Public US US 1 Ca lifornia U.S. Public U.S. Public US US 86 ,700,000.0 Common Sha res 3,000,000.0 Common Sha res 1.4 Ca lifornia US US 1,500,000.0 Ltd Prtnr Int 3,16 0,000.0 Common Sha res 17 Common Sha res 10 Common Sha res 1.4 New Ha mpshire 6 ,19 3,000.0 Common Sha res 16 ,000,000.0 Common Sha res 13 Ltd Prtnr Int 20 Common Sha res 1.083 8731 Resea rch & Development Firm Bookrunner(s) 13 Common Sha res 8.5 Common Sha res 30 7 36 74 Ma rketpla ce 80.5 6 3.2 1,4 73.9 0 30 5.333 829 9 Other Softwa re (inq. Ga mes) 4 1.3 136 19 .5 6 3.2 0.1 36 6 3 80.5 19 .5 5.088 2.4 15 0.1 2/8/2000 9 /20/19 9 9 La nda corp Inc 2/9 /2000 2.888 136 1.36 5 6 4 .852 1,4 73.9 0 1 0.5 0.588 0.4 2 2/8/2000 2/10/2000 11/15/19 9 9 Fa rgo Electronics Inc 10.9 4 8 0.76 9 0.39 2/7/2000 10/27/19 9 9 Buy.com Inc 2/10/2000 6 .4 81 1.176 0.9 09 4 .2 4 .1 2.6 4 706 0.12 2/8/2000 8/18/19 9 9 FASTNET Corp 4 .23077 0.76 9 1.5 0.14 MSDW Pvd telecommun svcs 4 .15385 4 .1176 5 3.6 36 36 1.5 0.871 1.3 0.13 Ma nufa cturing Pvd a nima l tra cking svcs 1.385 1.4 0.882 0.14 Ma nufa cturing EONC 2 1.385 0.7 Na sda q EMRG 0.1 1.4 71 1.36 4 7 0.6 4 Na sda q 2/4 /2000 4 /26 /19 9 9 eOn Communica tions Corp 0.6 3 1.385 1.4 12 7 7 7 DLJ United Sta tes 2/4 /2000 10/27/19 9 9 eMerge Intera ctive Inc 0.21 7 4 .4 GS United Sta tes Mnfr process control instr 0.21 1.4 6 2 7 0.1 0.1 Ma nufa cturing New York TWAV 0.1 0.1 0.1 Ma nufa cturing Ca lifornia 4 /9 /19 9 9 Therma -Wa ve Inc 0.1 0.4 0.55 0.82 New York 2836 2/3/2000 0.1 0.35 0.4 5 0.4 2 New York 36 74 Semiconductors Pvd wireless telecom svcs 0.54 0.3 0.15 1.05 0.18 United Sta tes Dvlp immunothera peutics drugs Pvd broa dba nd commun svcs 0.22 0.14 8 United Sta tes Mnfr,whl fiber optic prods DCEL 0.18 0.125 0.15 0.13 Texa s AGEN MCCC 0.15 0.18 0.28 0.7 Illinois AVNX 2/3/2000 11/20/19 9 9 Dobson Communica tions Corp 0.12 1.4 3533 Prima ry Business not Hi-Tech 2/3/2000 11/30/19 9 9 Antigenics Inc 2/3/2000 11/12/19 9 9 Media com Communica tions Corp 0.19 0.77 0.9 1 0.74 8 26 53 Prima ry Business not Hi-Tech 2/3/2000 12/3/19 9 9 Ava nex Corp Description 0.9 1 0.59 5 -53.37 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No 10/28/2002 8/23/2002 PIMCO Ca lifornia Municipa l III PZ C Closed-end investment fund 6 726 Prima ry Business not Hi-Tech New York United Sta tes New York Investment Fund UBS-WARBURG 0.6 75 10/28/2002 8/23/2002 PIMCO New York Municipa l 3 PYN Closed-end investment fund 6 726 Prima ry Business not Hi-Tech New York United Sta tes New York Investment Fund UBS-INV-BANK 0.6 75 Comb. 10/28/2002 8/6 /2002 Scudder RREEF Rea l Esta te Fund SRQ Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Illinois United Sta tes America n Investment Fund UBS-WARBURG 0.6 75 0.14 5 1.238 0.383 10/28/2002 4 /25/2002 Pla tinum Underwriters Holdings 10/30/2002 8/29 /2002 First Amer MN Muni Fund II 10/31/2002 7/1/2002 Ma rtin Midstrea m Pa rtners LP PTP Reinsura nce compa ny MXN Closed-end investment fund MMLP Pvd ma rine tra nsp for by-prod 11/5/2002 11/7/2002 8/30/2002 Ha rrington West Finl,Solva ng, 9 /23/2002 China Telecom Corp Ltd HWFG CHA Finl hldg co Pvd telecommun svcs 11/7/2002 9 /6 /2002 Portfolio Recovery Associa tes PRAA Pvd purcha se,mgmt,collection 11/7/2002 8/30/2002 WellChoice Inc WC Pvd medica l/hea lth svcs 5/10/2002 SI Interna tiona l Inc SINT Pvd info tech svcs 11/11/2002 11/12/2002 11/14 /2002 6 289 Prima ry Business not Hi-Tech 4 813 Telecommunica tions Equipment 7322 Prima ry Business not Hi-Tech 6 324 Hea lthca re Services 7373 Bermuda New York Insura nce 0.4 5 0.1 0.08 0.4 5 0.1 0.6 75 Comb. 0.214 0.6 4 0.1 0.77 0.1 4 .5 5.5 US U.S. Public NYSE 15 15 15 15 Common Sha res 5,000,000.0 Common Sha res US U.S. Public NYSE 15 15 15 1,000 15 Common Sha res 15,000,000.0 Common Sha res US U.S. Public NYSE 15 15 15 4 ,6 00,000 6 31.4 6 31.4 22.5 Common Sha res 7 3.1 1.16 7 0.54 3 1.6 6 7 0.54 3 4 .16 6 6 7 2.014 75 7 1.538 1.6 15 3.84 6 15 0.76 9 3.54 9 50.7 1.19 1.19 3.57 0.4 28.559 4 17.4 6 0.9 United Sta tes China Na sda q New York Investment Ba nk Telephone Commun RBC-CAP-MKTS 0.5 0.382 0.1 United Sta tes Na sda q Pers/Bus/Rep Svc WM-BLAIR 0.9 1 0.2 0.21 0.5 0.1 United Sta tes New York Insura nce CS-FB-CS 1.4 88 0.29 8 0.29 8 0.89 3 0.1 5.9 5 Virginia United Sta tes Na sda q Pers/Bus/Rep Svc WACHOVIA-SEC 0.59 0.2 19 ,500,000.0 Common Sha res 75 225 0.526 New York 0.19 15 Common Sha res 75 225 0.4 4 4 Virginia 1.703 4 .5 Comb. 0.1 7 0.6 19 0.84 0.124 0.16 8 0.124 0.126 0.37 0.54 6 0.1 7.501 7 1.05 0.21 0.21 0.6 3 0.1 0.4 9 0.1 0.12 0.6 75 Comb. Comb. 0.27 0.1 Comb. 1.357 38.16 29 2.5 4 .0526 3 Ca lifornia Foreign 0.9 8 29 2.5 3.375 10.125 2.84 4 4 4 RAYMOND 0.2 0.103 13.16 3 0.6 6 7 0.9 53 Investment Fund Tra nsporta tion 0.14 0.103 0.6 6 7 3 1.4 74 America n Na sda q 0.28 3 0.533 1.4 74 United Sta tes United Sta tes 0.28 0.533 Comb. 0.9 6 7 7 Minnesota 0.84 0.588 Comb. 4 .5 Texa s 1.33 0.9 6 7 4 .5 Comb. 0.9 11 1.4 29 20.3 55.1 55.1 0.9 4 1 21.119 13.4 6 81.2 13.4 6 81.2 12 Common Sha res 18.9 8 ADS 50.7 13 Common Sha res 4 17.4 25 Common Sha res 6 0.9 14 Common Sha res 7.9 126 8.25 Common Sha res 12 Common Sha res 14 15 10.9 25 16 10.9 25 14 10.9 25 15 17 15 NASDQ AMEX 10 15 8 15 9 15 5,555,556 2,000,000 52.5 52.5 15 Common Sha res 3,500,000.0 Common Sha res US U.S. Public AMEX 15 15 15 4 8.8 4 8.8 15 Common Sha res 3,250,000.0 Common Sha res US U.S. Public AMEX 15 15 15 255 15 Common Sha res 17,000,000.0 Common Sha res US U.S. Public AMEX 15 15 36 .8 15 CITIGROUP-SSB 0.6 75 Comb. Comb. 4 .5 Comb. Comb. 2.36 3 Investment Fund CITIGROUP-SSB 0.6 75 Comb. Comb. 4 .5 Comb. Comb. 2.19 4 11/21/2002 10/4 /2002 Nuveen Insured Ta x Free Fund NEA Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Illinois United Sta tes America n Investment Fund CITIGROUP-SSB 0.6 75 Comb. Comb. 4 .5 Comb. Comb. 11.4 75 255 10/4 /2002 Nuveen Insured Ma ssa chusetts 6 726 Prima ry Business not Hi-Tech 0.6 75 Comb. Closed-end investment fund Illinois United Sta tes America n Investment Fund CITIGROUP-SSB Insura nce compa ny 6 311 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes Na sda q Insura nce CS-FB-CS 0.84 0.16 8 0.16 8 0.504 RIF Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund MERRILL 0.6 75 0.14 5 0.08 0.4 5 EIV Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund UBS-WARBURG 0.6 75 0.14 0.085 0.4 5 11/25/2002 10/8/2002 Ea ton Va nce Ins CA Mun Fnd I Comb. 4 .5 Comb. 0.1 Comb. 1.6 54 7 1.4 1.4 4 .2 4 .5 0.1 NASDQ SMCAP NASDQ Investment Fund SAFT U.S. Public NASDQ America n NGX US U.S. Public U.S. Public America n 10/8/2002 Ea ton Va nce Ins Mun Bd Fd II 4 ,350,000.0 Common Sha res U.S. Public U.S. Public United Sta tes 0.9 6 7 0.533 0.9 33 0.56 7 3 7877.4 9 74 8.31 836 8.04 38,16 0,134 No 20 RAYMOND Ra ymond Ja mes & Associa tes Inc Ra ymond Ja mes & Associa tes Inc 13 RBC-CAP-MKTS MORGAN-STANLEY/* RBC Ca pita l Ma rkets RBC Ca pita l Ma rkets 13 WM-BLAIR Willia m Bla ir & Co Willia m Bla ir & Co Credit Suisse First Boston Corp Credit Suisse First Boston Wa chovia Securities Inc Wa chovia Securities Inc 4 5.1 311.9 0.383 15 Comb. GS/MERRILL(JOINT)/* 1.238 No 15 US-PIPER/* 0.28 0.14 0.103 22.5 CS-FB-CS BA-SEC-LLC/CS-FB-CS/JPM 2002 82.6 1 836 8.9 4 8571.6 8306 8303.78 8131.01 839 7.03 8771.01 84 72 8036 .03 9 786 .6 1 89 31.6 8 8303.78 8088.84 84 27.4 1 A-G-EDWARDS/RBC-CAP-MKTS 2002 100 8517.6 4 8586 .24 8503 854 2.13 8275.04 9 801.12 89 31.6 8 8332.85 8110.71 839 7.03 3,857,000 No 0.84 No 0.588 No CS-FB-CS/GS/JPM/LEH/CITIGROUP-SSB 2002 2002 25.88 10.6 8 8771.01 8537.13 8386 854 2.13 8583 8588 84 74 .78 884 5.15 84 50.16 8317.34 9 820.83 9 809 .79 874 2.9 3 86 01.6 9 86 23.28 8773.57 8109 .82 79 85.18 86 78.27 8586 .24 9 4 0,800 No 21,119 ,382 No 0.9 1 No US-PIPER/BB-T-CAP/RBC-DAIN/BAIRD 2002 28.9 5 8537.13 854 2.13 8588 884 5.15 8317.34 9 809 .79 86 23.28 8773.57 79 85.18 8586 .24 3,54 9 ,000 No 2002 23.33 8537.13 854 2.13 8588 884 5.15 8317.34 9 809 .79 86 23.28 8773.57 79 85.18 8586 .24 28,558,513 No 836 8.04 9 737.79 8358.9 5 0.6 75 Yes 1.33 No 2002 1.4 88 No 8386 839 8.4 9 8579 .09 84 86 .57 4 ,26 3,000 No 780,000 ### 17,9 6 0,556 1.56 0.214 21.05 0.157 3.6 9 7 16 .6 7 17.51 0.78 21.9 8 1,9 50,000 0.21 4 .9 6 7 20 14 ,9 00,09 4 0.29 8 56 0,000 13,725,4 4 5 0.2 0.103 17.9 6 51.72 6 ,016 ,786 6 .017 17.33 0.6 4 86 05 884 9 .4 8784 .89 786 4 .23 2.56 7 6 0.2 870,000 86 05 86 79 86 76 .4 2 89 31.6 8 836 8.9 4 9 84 8.83 839 7.03 9 76 8.6 8 8574 .26 8538.4 8784 .89 8785.9 8 79 20.11 7758.17 8386 854 2.13 6 83,155 No 9 ,025,800 No 20.1 20 355,200 5,733,000 0.124 0.126 0.355 5.733 59 .79 65 119 ,4 24 1,323,000 2002 23.81 86 23.01 86 76 .4 2 86 79 874 2.9 3 86 78.27 9 6 9 0.4 6 8535.39 8586 .74 79 08.8 84 74 .78 2,29 6 ,875 No 7 4 59 ,375 0.4 59 20 1,378,125 0.21 1.378 60 4 59 ,375 0.4 9 No 0.6 75 Yes 2002 2002 33.53 8804 .84 8804 .84 89 31.6 8 89 31.6 8 84 9 1 84 9 1 86 23.28 86 23.28 8586 .24 8586 .24 9 6 28.53 9 6 28.53 836 4 .8 836 4 .8 8586 .74 8586 .74 8000.6 8000.6 884 5.15 884 5.15 2,722,222 No 3,6 78,750 Yes 7 4 .5 555,555 0.556 20.4 1 Comb 1,500,000 0.12 Comb. 1.5 2,000,000 30 15 15 Comb. 15 CITIGROUP-SSB Citigroup/Sa lomon Smith Ba rney Citigroup/Sa lomon Smith Ba rney 0.6 75 Yes 2002 8804 .84 89 31.6 8 84 9 1 86 23.28 8586 .24 9 6 28.53 836 4 .8 8586 .74 8000.6 884 5.15 2,36 2,500 Yes 4 .5 Comb Comb. 30 15 15 Comb. 15 CITIGROUP-SSB Citigroup/Sa lomon Smith Ba rney Citigroup/Sa lomon Smith Ba rney 0.6 75 Yes 2002 8804 .84 89 31.6 8 84 9 1 86 23.28 8586 .24 9 6 28.53 836 4 .8 8586 .74 8000.6 884 5.15 2,19 3,750 Yes 4 .5 Comb Comb. 126 .1 15 3,000,000 45 15 15 Comb. 15 CITIGROUP-SSB Citigroup/Sa lomon Smith Ba rney Citigroup/Sa lomon Smith Ba rney 0.6 75 Yes 2002 8804 .84 89 31.6 8 84 9 1 86 23.28 8586 .24 9 6 28.53 836 4 .8 8586 .74 8000.6 884 5.15 11,4 75,000 Yes 4 .5 Comb Comb. Comb. 15 1,000,000 15 CITIGROUP-SSB Citigroup/Sa lomon Smith Ba rney Citigroup/Sa lomon Smith Ba rney 0.6 75 Yes 2002 8804 .84 836 4 .8 8586 .74 8000.6 884 5.15 1,6 53,750 Yes 4 .5 17 836 4 .8 8586 .74 AMEX 15 15 15 15 Comb. 89 31.6 8 84 9 1 86 23.28 8586 .24 9 6 28.53 NASDQ 18 5,000,000 85 14 13 0.16 8 13.5 CS-FB-CS Credit Suisse First Boston Corp Credit Suisse First Boston 0.84 No 2002 8804 .84 89 31.6 8 84 9 1 86 23.28 8586 .24 9 6 28.53 8000.6 884 5.15 AMEX 15 15 15 1,000 0 15 15 0.14 5 15 MERRILL Merrill Lynch & Co Inc Merrill Lynch & Co Inc 0.6 75 Yes 2002 86 76 .4 2 886 2.57 86 01 84 73.4 1 8358.9 5 9 76 3.9 4 84 9 3.29 8131.01 8018.11 884 9 .4 2,531,250 No U.S. Public AMEX 15 15 15 6 6 ,6 6 7 1 15 15 0.14 15 UBS-WARBURG UBS Wa rburg UBS Wa rburg 0.6 75 Yes 2002 86 76 .4 2 886 2.57 86 01 84 73.4 1 8358.9 5 9 76 3.9 4 84 9 3.29 8131.01 8018.11 884 9 .4 6 ,14 2,500 No 2.39 6 4 8.05 5,79 6 ,000 No Comb 7 1,008,000 55.1 6 6 6 ,6 6 6 0.87 0.119 1.323 Comb. 3,024 ,000 0.16 8 20.4 1 19 ,500,000 15.000 US Yes 15 Yes 2,9 25 0.01 2.4 3 -0.74 -0.11 6 .23 16 .5 5.75 -0.77 -2.83 -1.16 6 .13 9 0.26 7.81 4 6 .85 12.6 2 2.4 7 2 28.6 8 -0.9 1 2.04 -1.58 5.8 4 .79 -30.55 -71.9 6 9 9 5,000,000 15.000 US Yes 15 Yes 750 0.01 2.4 3 -0.74 -0.11 6 .23 16 .5 5.75 -0.77 -2.83 -1.16 6 .13 9 0.26 7.81 4 6 .85 12.6 2 2.4 7 2 28.6 8 -0.9 1 2.04 -1.58 5.8 4 .79 -28.35 -6 9 .76 9 9 41 15,000,000 15.000 US Yes 15 Yes 2,250 0.01 2.4 3 -0.74 -0.11 6 .23 16 .5 5.75 -0.77 -2.83 -1.16 6 .13 9 0.26 7.81 4 6 .85 12.6 2 2.4 7 2 28.6 8 -0.9 1 2.04 -1.58 5.8 4 .79 14 .29 3 6 17 30,04 0,000 9 9 6 0000 22.500 US Yes 22.5 No 2.4 3 -0.74 -0.11 6 .23 -2.83 -1.16 5.8 4 .79 0.52 -0.34 4 .87 16 .13 5.9 8 -1.4 7 -4 .02 0.23 6 .9 5 1.73 1.4 7 16 .72 6 .37 -0.76 -3.4 1 2.33 3.53 1,4 38,54 0 0.59 24 .1 na 29 .6 na 82 na 7 0.27 na 7 4 .5 20 60 1,008,000 0.54 4 21.4 8 1,6 87,500 0.08 1.6 88 6 6 .6 7 300,000 0.3 1.274 20.74 4 ,09 5,000 0.085 4 .09 5 6 6 .6 7 3.024 773,500 0.774 1.16 0.03 0.9 7 0.03 0.84 754 ,100 13 3,4 70,000 15.4 8 13.83 4 .51 6 ,6 6 4 ,570 22.5 13,86 1,053 5.54 5.54 0.12 0.09 0.56 -1.75 0.36 0.2 -0.03 86 ,06 0 39 ,89 7,550 13 1,4 00,000 12.37 10.34 18.9 8 159 ,6 00,000 6 32.6 7 6 32.6 7 0.36 334 ,89 0 15 4 4 ,220 4 3,9 6 0 0.06 0.4 1 -2.78 0.06 10.9 25 15 5,000,000 6 .21 1.22 1.54 0.9 5 134 .83 2.17 1.6 9 0.6 4 9 .1 188.3 35 4 2.6 3 Yes IPO IPO No No GS/MERRILL/CITIGROUP-SSB 85.32 17.22 N None 22 2 2 2 2 1,350,000 RAYMOND RAYMOND Ra ymond Ja mes & Associa tes Inc Domestic N None 11 1 3 3 10 2,9 00,000 1 8 8 11 1,139 .9 0 4 01,76 5.00 24 6 .8 3,16 8.10 Yes Yes IPO IPO IPO IPO No No No No RBC-CAP-MKTS RBC-CAP-MKTS MORGAN-STANLEY/MERRILL/CHINA-CAPITAL RBC Ca pita l Ma rkets Domestic Interna tiona l N N None None 11 33 1 3 4 .9 3 17.4 1 175.2 1.4 1.71 151.4 No Yes IPO IPO No No WM-BLAIR WM-BLAIR Willia m Bla ir & Co Domestic N None 11 1 1.73 15.87 3,232.4 0 218 15.18 1,6 74 .9 0 No Yes IPO IPO No No CS-FB-CS CS-FB-CS Credit Suisse First Boston Corp Domestic N None 11 1 0.81 14 5.1 No Yes IPO IPO No No WACHOVIA-SEC WACHOVIA-SEC Wa chovia Securities Inc Domestic N None 11 1 4 .53 3.7 1.04 1.25 0.15 36 .59 2.9 1 2.9 8 -4 2.74 -0.32 212.1 0.6 3.86 3,500,000 15.000 US Yes 15 Yes 525 -0.4 6 0.9 8 -4 -2.51 3.02 8.86 -5.4 3 -2.9 2 -9 .55 0.08 1.38 1.6 -3.87 6 .6 29 .05 -7.73 3,250,000 15.000 US Yes 15 Yes 4 87 -0.4 6 0.9 8 -4 -2.51 3.02 8.86 -5.4 3 -2.9 2 -9 .55 0.08 1.38 1.6 -3.87 6 .6 29 .05 -7.73 17,000,000 15.000 US Yes 15 Yes 2,550 -0.4 6 0.9 8 -4 -2.51 3.02 8.86 -5.4 3 -2.9 2 -9 .55 0.08 1.38 1.6 -3.87 6 .6 29 .05 -7.73 1.38 1.6 1.38 None 11 2 10 10 None 11 2 2 2 None 11 1 11 11 35 None 11 2 11 11 43 Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund UBS-WARBURG 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 53.3 53.3 15 Shs Benficl Int 3,550,000.0 Shs Benficl Int US U.S. Public AMEX 15 15 15 6 6 ,6 6 7 1 15 15 0.14 15 UBS-WARBURG UBS Wa rburg UBS Wa rburg 0.6 75 Yes 2002 86 76 .4 2 886 2.57 86 01 84 73.4 1 8358.9 5 9 76 3.9 4 84 9 3.29 8131.01 8018.11 884 9 .4 2,39 6 ,250 No 4 .5 4 9 7,000 0.4 9 7 20.74 1,59 7,500 0.085 12.59 0.4 5 4 .5 15 6 6 ,6 6 7 No Yes IPO IPO No No UBS-WARBURG/MERRILL Domestic N None 11 2 Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund UBS-WARBURG 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 34 .5 34 .5 15 Shs Benficl Int 2,300,000.0 Shs Benficl Int US U.S. Public AMEX 15 15 15 6 6 ,6 6 7 1 15 15 0.14 15 UBS-WARBURG UBS Wa rburg UBS Wa rburg 0.6 75 Yes 2002 86 76 .4 2 886 2.57 86 01 84 73.4 1 8358.9 5 9 76 3.9 4 84 9 3.29 8131.01 8018.11 884 9 .4 1,552,500 No 4 .5 322,000 0.322 20.74 1,035,000 0.085 1.035 6 6 .6 7 12.59 0.4 5 4 .5 37,16 0 15 6 6 ,6 6 7 No Yes IPO IPO No No UBS-WARBURG/MERRILL Domestic N None 11 2 Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund UBS-WARBURG 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 1.04 6 23.3 23.3 15 Shs Benficl Int 1,550,000.0 Shs Benficl Int US U.S. Public AMEX 15 15 15 6 6 ,6 6 7 1 15 15 0.14 15 UBS-WARBURG UBS Wa rburg UBS Wa rburg 0.6 75 Yes 2002 86 76 .4 2 886 2.57 86 01 84 73.4 1 8358.9 5 9 76 3.9 4 84 9 3.29 8131.01 8018.11 884 9 .4 1,04 6 ,250 No 4 .5 217,000 0.217 20.74 6 9 7,500 0.085 0.6 9 8 6 6 .6 7 131,750 0.132 12.59 0.4 5 4 .5 28,220 15 6 6 ,6 6 7 No Yes IPO IPO No No UBS-WARBURG/MERRILL Domestic N None 11 2 EIO Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund UBS-WARBURG 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 1.519 33.8 33.8 15 Shs Benficl Int 2,250,000.0 Shs Benficl Int US U.S. Public AMEX 15 15 15 6 6 ,6 6 7 1 15 15 0.14 15 UBS-WARBURG UBS Wa rburg UBS Wa rburg 0.6 75 Yes 2002 86 76 .4 2 886 2.57 86 01 84 73.4 1 8358.9 5 9 76 3.9 4 84 9 3.29 8131.01 8018.11 884 9 .4 1,518,750 No 4 .5 315,000 0.315 20.74 1,012,500 0.085 1.013 6 6 .6 7 19 1,250 0.19 1 12.59 0.4 5 4 .5 15 6 6 ,6 6 7 No Yes IPO IPO No No UBS-WARBURG/MERRILL Domestic N None 11 2 9 9 11/25/2002 10/9 /2002 Ea ton Va nce Insured Michiga n MIW Closed-end investment fund 1 20.74 0.115 11/25/2002 10/9 /2002 Ea ton Va nce Insured New Jersey EMJ 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund UBS-WARBURG 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 0.9 11 20.3 20.3 15 Shs Benficl Int 1,350,000.0 Shs Benficl Int US U.S. Public AMEX 15 15 15 6 6 ,6 6 7 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund UBS-WARBURG 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 1.553 34 .5 34 .5 15 Shs Benficl Int 2,300,000.0 Shs Benficl Int US U.S. Public AMEX 15 15 15 6 6 ,6 6 7 Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund UBS-WARBURG 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 1.6 2 36 36 15 Shs Benficl Int 2,4 00,000.0 Shs Benficl Int US U.S. Public AMEX 15 15 15 3,6 6 6 ,6 6 6 Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 1.755 39 39 15 Shs Benficl Int 2,6 00,000.0 Shs Benficl Int US U.S. Public AMEX 15 15 15 11/25/2002 9 /17/2002 John Ha ncock Pref Inc Fund II HPF Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes New York Investment Fund 1.125 0.25 0.125 0.75 0.1 4 .5 1 0.5 3 0.4 21.375 4 75 4 75 25 Shs Benficl Int 19 ,000,000.0 Shs Benficl Int US U.S. Public NYSE 25 25 25 11/25/2002 9 /20/2002 Neuberger Berma n Rea l Esta te NRL Closed-end investment fund 6 726 Prima ry Business not Hi-Tech New York United Sta tes New York Investment Fund 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 2.835 63 63 15 Common Sha res 4 ,200,000.0 Common Sha res US U.S. Public NYSE 15 15 15 2.4 5 0.4 9 0.4 9 1.4 7 16 6 .3 16 6 .3 31 32.5 13 14 12/5/2002 12/10/2002 12/11/2002 12/17/2002 12/17/2002 6 /10/2002 Chica go Merca ntile Excha nge CME Pvd finl excha nge svcs 10/11/2002 Sea ga te Technology LLC STX Mnfr,whl ha rd drives XTEX Oil a nd ga s expl,prodn 8/7/2002 Crosstex Energy LP 9 /16 /2002 Coml Ca pita l Ba ncorp Inc,CA 1/28/2003 2/10/2003 2/11/2003 2/14 /2003 2/25/2003 United Sta tes New York Investment Ba nk United Sta tes New York Ma nufa cturing Texa s United Sta tes Na sda q Na tura l Resource 7 1.4 1.4 0.833 0.6 6 7 1.4 4 .2 13.386 36 .9 75 0.5 7 4 .5 1.4 12 0.9 6 7 1.4 71 0.533 4 .1176 5 3 1.176 0.6 6 7 12/19 /2002 Federa ted Premier Municipa l FMN Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Pennsylva nia United Sta tes New York Investment Fund MERRILL 0.6 75 0.14 5 0.08 0.4 5 0.1 4 .5 0.9 6 7 0.533 3 0.6 6 7 4 .118 PTY Closed-end investment fund 6 726 Prima ry Business not Hi-Tech New York United Sta tes New York Investment Fund 0.6 75 0.14 5 0.08 0.4 5 0.1 4 .5 0.9 6 7 0.533 3 0.6 6 7 37.4 6 3 FFC Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ca lifornia United Sta tes New York Investment Fund 9 12.5 4 ,751,070.0 Cla ss A Sha res US U.S. Public NYSE 34 72,500,000.0 Common Sha res US U.S. Public NYSE 15 20 Ltd Prtnr Int 2,000,000.0 Ltd Prtnr Int US U.S. Public NASDQ 21 8 Common Sha res 5,000,000.0 Common Sha res US U.S. Public NASDQ 11 19 9 20 18.338 4 07.5 4 07.5 25 Shs Benficl Int 16 ,300,000.0 Shs Benficl Int US U.S. Public NYSE 25 25 EAD Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes America n Investment Fund ML 0.6 75 0.14 5 0.08 0.4 5 0.1 4 .5 0.9 6 7 0.533 3 0.6 6 7 4 2.86 3 9 00 9 00 15 Common Sha res 6 0,000,000.0 Common Sha res US U.S. Public AMEX 15 15 0.9 7 0.1 1.39 1 1.39 1 Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Closed-end investment fund 6 726 Prima ry Business not Hi-Tech 3/26 /2003 1/31/2003 Nuveen Pref a nd Conv Fund JPC Closed-end investment fund NRI Closed-end investment fund PHK AVK IPMT IPO No No UBS-WARBURG/MERRILL Domestic N None 11 2 9 9 13 15.000 US Yes 15 Yes 202 -1.9 6 0.15 -2.8 -4 .25 5.87 10.33 -4 .02 -8.12 -9 .39 -2.53 0.19 1.9 -7.74 12.33 31.12 -6 .76 -9 .4 3 -8.9 7 25.9 7 -2.1 0.18 -4 .38 6 .4 7 -3.81 -24 .12 -53.37 -71.86 19 25 Sha res of Beneficia l Interest N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1334 088002 IPO IPO No No UBS-WARBURG/MERRILL Domestic N None 11 2 9 9 15 2,300,000 15.000 US Yes 15 Yes 34 5 -1.9 6 0.15 -2.8 -4 .25 5.87 10.33 -4 .02 -8.12 -9 .39 -2.53 0.19 1.9 -7.74 12.33 31.12 -6 .76 -9 .4 3 -8.9 7 25.9 7 -2.1 0.18 -4 .38 6 .4 7 -3.81 -18.39 -4 7.6 3 -6 6 .13 -30.82 3350 Sha res of Beneficia l Interest N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1334 09 0002 IPO IPO No No UBS-WARBURG/MERRILL Domestic N None 11 2 17 2,4 00,000 15.000 US Yes 15 Yes 36 0 -1.9 6 0.15 -2.8 -4 .25 5.87 10.33 -4 .02 -8.12 -9 .39 -2.53 0.19 1.9 -7.74 12.33 31.12 -6 .76 -9 .4 3 -8.9 7 25.9 7 -2.1 0.18 -4 .38 6 .4 7 -3.81 -27.4 5 -56 .7 -75.2 -39 .88 -34 .5 Sha res of Beneficia l Interest N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No IPO IPO No No UBS-WARBURG/MERRILL Domestic N None 22 2 9 9 18 2,6 00,000 15.000 US Yes 15 Yes 39 0 -1.9 6 0.15 -2.8 -4 .25 5.87 10.33 -4 .02 -8.12 -9 .39 -2.53 0.19 1.9 -7.74 12.33 31.12 -6 .76 -9 .4 3 -8.9 7 25.9 7 -2.1 0.18 -4 .38 6 .4 7 -3.81 -22.72 -51.9 7 -35.15 3800 Sha res of Beneficia l Interest N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1,000 0 25 25 0.25 25 UBS-WARBURG/* 1.125 Yes 2002 86 76 .4 2 886 2.57 86 01 84 73.4 1 8358.9 5 9 76 3.9 4 84 9 3.29 8131.01 8018.11 884 9 .4 21,375,000 No 14 .25 6 6 .6 7 0.75 4 .5 4 25,9 80 25 1,000 No Yes IPO IPO No No UBS-WARBURG/MERRILL Domestic N None 22 2 10 10 31 19 ,000,000 25.000 US Yes 25 Yes 2,850 -1.9 6 0.15 -2.8 -4 .25 5.87 10.33 -4 .02 -8.12 -9 .39 -2.53 0.19 1.9 -7.74 12.33 31.12 -6 .76 -9 .4 3 -8.9 7 25.9 7 -2.1 0.18 -4 .38 6 .4 7 -3.81 -33.71 -6 2.9 5 -4 6 .14 189 9 9 00 Sha res of Beneficia l Interest N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1338335002 4 ,000,000 60 15 15 0.14 15 A-G-EDWARDS/* 0.6 75 Yes 2002 86 76 .4 2 886 2.57 86 01 84 73.4 1 8358.9 5 9 76 3.9 4 84 9 3.29 8131.01 8018.11 884 9 .4 2,835,000 No 0.4 5 4 .5 106 ,6 4 0 15 4 ,000,000 No Yes IPO IPO No No A-G-EDWARDS/FERRIS-BAKER Domestic N None 22 2 21 21 33 4 ,200,000 15.000 US Yes 15 Yes 6 00 -1.9 6 0.15 -2.8 -4 .25 5.87 10.33 -4 .02 -8.12 -9 .39 -2.53 0.19 1.9 -7.74 12.33 31.12 -6 .76 -9 .4 3 -8.9 7 25.9 7 -2.1 0.18 -4 .38 6 .4 7 -3.81 31.88 2.6 3 N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1329 19 3002 3,000,000 9 7.5 34 31 0.4 9 13,79 8,6 20 32.5 3,000,000 11 4 ,751,070 2706 6 59 2 35.000 US Yes 35 Yes 0.26 -0.9 8 0.83 -0.79 72,500,000 1,015.00 15 11,79 8,230 14 72,500,000 17 72,500,000 12.000 US Yes 12 Yes 40 21 315,820 20 2333000 20.000 US Yes 20 Yes 2,000,000 50 11 13 0.1 19 0.28 32.5 MS/UBS-WARBURG(JOINT) 2.4 5 No 14 MORGAN-STANLEY/* 20 A-G-EDWARDS 0.12 0.14 5 AG Edwa rds & Sons Inc Sa ndler O'Neill Pa rtners L.P. Sa ndler O'Neill Pa rtners Lehma n Brothers Lehma n Brothers 0.14 5 0.14 5 25 Comb. 9 FRIEDMAN-B-CO MERRILL MERRILL 25 MERRILL 1.4 No 0.84 No 86 4 5.77 8538.4 89 23 17 8589 .14 8535.39 9 06 3 5,79 6 ,000 No 14 ,36 4 ,000 Yes 836 4 .8 8511.32 84 4 8.11 84 32.6 1 9 319 9 323 834 1.6 3 86 07.52 8737.85 86 23.28 1024 8.1 10278.2 8723.18 86 9 7.87 79 08.8 79 08.8 819 4 .23 826 5.4 5 84 4 7.35 836 4 .8 6 84 ,250 No 4 ,6 84 ,500 No 86 23.28 10278.2 86 9 7.87 79 08.8 826 5.4 5 8773.57 84 73.4 1 1034 1.3 8586 .74 8018.11 8521.9 7 784 3.11 884 2.6 2 814 5.77 84 71.6 1 8088.84 8203.4 1 8203.4 1 86 04 .6 8726 .73 79 20.11 6 30,000 No 784 3.11 12,24 6 ,6 86 No 1.125 Yes 0.7 No 0.9 8 No 25 4 ,000,000 100 25 25 0.25 25 PSI Prudentia l Securities Inc Prudentia l Securities Inc 2,000,000 30 15 15 0.14 5 15 ML Merrill Lynch Pierce Fenner & Smith Merrill Lynch, Pierce, Fenner 9 19 1 9 19 1 8018.11 9 272 7806 .9 8 7704 .87 7884 .9 9 7775.6 212 9 ,216 ,000.0 Ordina ry Sha res US U.S. Public NYSE 27 25 27 25 8,6 15,6 25.0 ADS US U.S. Public NYSE 18.7 15.3 17 25 Common Sha res 36 ,000,000.0 Common Sha res US U.S. Public NYSE 25 25 25 4 ,6 00,000 115 25 25 0.25 25 MERRILL Merrill Lynch & Co Inc Merrill Lynch & Co Inc 1.125 Yes 2003 9 00 15 Common Sha res 6 0,000,000.0 Common Sha res US U.S. Public NYSE 15 15 15 1,000 0 15 15 0.14 5 15 UBS-WARBURG UBS Wa rburg UBS Wa rburg 0.6 75 Yes 2003 100 6 726 Prima ry Business not Hi-Tech Illinois United Sta tes New York Investment Fund CITIGROUP-SSB 0.6 75 0.14 0.085 0.4 5 4 .5 0.9 33 0.56 7 3 59 .4 1,320.00 1,320.00 15 Ltd Prtnr Int 88,000,000.0 Ltd Prtnr Int US U.S. Public NYSE 15 15 15 1,000 0 15 15 0.14 15 CITIGROUP-SSB Citigroup/Sa lomon Smith Ba rney Citigroup/Sa lomon Smith Ba rney 0.6 75 Yes 2003 6 726 Prima ry Business not Hi-Tech New York United Sta tes New York Investment Fund A-G-EDWARDS 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 16 .2 36 0 36 0 15 Common Sha res 24 ,000,000.0 Common Sha res US U.S. Public NYSE 15 15 15 4 ,6 00,000 15 15 0.14 15 A-G-EDWARDS AG Edwa rds & Sons Inc AG Edwa rds & Sons Inc 0.6 75 Yes 2003 Closed-end investment fund 6 726 Prima ry Business not Hi-Tech New York United Sta tes New York Investment Fund 0.6 75 0.14 0.085 0.4 5 0.1 4 .5 0.9 33 0.56 7 3 0.6 6 7 70.875 1,575.00 1,575.00 15 Ltd Prtnr Int 105,000,000.0 Ltd Prtnr Int US U.S. Public NYSE 15 15 15 1,000 0 15 15 0.14 15 CITIGROUP-SSB/* 0.6 75 Yes 2003 100 Closed-end investment fund 6 726 Prima ry Business not Hi-Tech New York United Sta tes New York Investment Fund 0.75 0.1 4 .5 Comb. 3 0.4 26 .213 520 520 25 Ltd Prtnr Int 20,800,000.0 Ltd Prtnr Int US U.S. Public NYSE 25 25 25 4 ,000,000 100 25 25 Comb. Merrill Lynch & Co Inc Merrill Lynch & Co Inc 1.125 Yes 2003 5/27/2003 3/14 /2003 Corpora te 4 .1875 0.6 25 6 .3 80 16 Common Sha res 4 ,500,000 6 7.5 1.087 10 10 4 .5 Common Sha res 2,222,224 .0 Common Sha res US U.S. Public AMEX 6 4 5 2,500,000 12.5 6 0.6 6 7 35.235 783 783 15 Common Sha res 52,200,000.0 Common Sha res US U.S. Public NYSE 15 15 15 4 ,000,000 60 15 5.33333 3 80 5,000,000.0 Common Sha res US U.S. Public NASDQ 16 14 15 16 14 0.225 5 Comb. 15 0.14 DEUTSCHE-BANK/* 15 BEAR 5.5 GUNNALLEN-FINL 15 CITIGROUP-SSB JPM/CS-FB-CS/DEUTSCHE-BK-SEC 9 285 79 08.8 804 1.15 79 08.8 9 00 0.56 7 1.6 1 No 8013.29 784 3.11 7758.17 6 0.03 120.4 1.4 06 26 GS/MERRILL(JOINT) 8110.71 30.21 6 1.4 2 2003 0.6 75 Yes 111.9 2 2003 MERRILL/BA-SEC-LLC/BEAR 2003 2003 2003 1.125 Yes 15 2003 0.56 No 212 Comb. 3,010,000 No 86 07.52 9 00 0.9 33 8535.39 9 201 9 00 1.4 06 7 2,328,024 4 .25 7,250,000 814 1.9 2 3,220,000 No 8535.39 120.4 7 13,386 ,139 No 36 ,9 75,000 No 8589 .14 84 4 7.35 4 0.5 4 .5 86 23.28 8574 .26 814 1.9 2 819 4 .23 9 323 Advest Inc Credit Suisse First Boston 0.26 6 No Bea r Stea rns & Co Inc Bea r Stea rns & Co Inc 1.12 No 2003 2003 THOMAS-WEISEL/WACHOVIA 2003 GunnAllen Fina ncia l, Inc. GunnAllen Fina ncia l Inc 0.4 28 No 2003 Citigroup/Sa lomon Smith Ba rney Citigroup/Sa lomon Smith Ba rney 0.6 75 Yes 2003 14 .86 1.73 789 1.08 76 73.9 9 7704 .87 756 8.18 8229 .88 806 9 .86 9 34 9 9 318 9 34 0 9 4 16 51.88 7524 .06 784 3.11 8280.23 8306 .35 86 01.38 79 09 .5 18,337,500 No 4 .5 4 ,075,000 4 .075 8229 .88 8306 .35 8781.35 7806 .9 8 4 2,86 2,500 No 4 .5 8,700,000 8.7 10583.9 8201.4 5 84 71.6 1 14 ,837,76 0 No 1059 1.5 79 9 2.13 7821.75 774 9 .87 814 1.9 2 500,000 0.5 59 .52 1,020,000 1.02 60 56 0,000 5.8 350,000 2,880,000 0.125 0.08 21.4 8 2,6 32,500 0.08 21.4 8 24 ,9 75,000 0.08 20 15.6 9 0.56 20 1.4 7 0.33 7 na 0.84 na 17.86 0.34 13.3 na 20.24 0.5 -33 na Comb. 0.35 58.82 2.88 6 6 .6 7 0.3 7 0.12 7 0.5 7 0.23 0.11 0.35 0.08 -0.13 0.4 9 No 181.82 5,000,000 22.86 22,150 84 ,6 70 9 15 1,000,000 4 ,000,000 IPO IPO No No Yes IPO IPO No No 24 .8 No Yes IPO IPO No Yes 5,4 6 3.50 4 52 85.35 6 9 8.1 No Yes 375,000 137.8 0.4 0.57 87.5 No Yes IPO IPO No No LEH/SG-COWEN Domestic N None 11 2 4 4 12 6 ,000,000 9 236 6 00 12.000 US Yes 12 Yes 9 00,000 Yes IPO IPO No No CITIGROUP-SSB/NUVEEN Domestic N None 22 2 17 17 17 21,280,000 15.000 US Yes 15 Yes 17.2 No No Yes Yes IPO IPO IPO IPO No No No No FRIEDMAN-B-CO MERRILL FRIEDMAN-B-CO MERRILL Friedma n Billings Ra msey & Co Inc Merrill Lynch & Co Inc Domestic Domestic N N None None 11 11 1 1 1 48 1 48 1 48 1,000,000 6 ,4 00,000 8.500 US 15.000 US Yes Yes 8.5 15 No Yes Yes 150,000 54 0,000 MERRILL MERRILL Merrill Lynch & Co Inc Domestic N None 11 1 17 17 50 5,850,000 15.000 US Yes 15 No Yes 250,000 Domestic N None 22 2 13 13 45 55,500,000 15.000 US Yes 15 Yes Domestic N None 11 1 45 36 ,500,000 25.000 US Yes 25 No Yes 3,212.70 1.19 3.78 6 15.8 4 3.56 11.85 0.4 5 4 .5 88,04 0 15 4 ,000,000 No Yes IPO IPO No No 11.85 0.4 5 4 .5 1,088,310 15 1,000 No Yes IPO IPO No No Yes IPO IPO No No 4 .5 0.36 7.13 57.14 58.78 14 4 ,000 2,6 24 ,136 3.281 6 0.71 1,06 1,500 22.22 12,225,000 0.125 12.23 6 6 .6 7 2,037,500 2.038 11.11 0.75 21.4 8 27,000,000 0.08 27 6 6 .6 7 4 ,800,000 4 .8 11.85 0.4 5 19 .88 8,9 39 ,520 9 10,830 22.86 21.6 3 0.4 0.576 27 na 7 6 .125 -1.4 8 -1.4 5 1.06 2 19 .6 4 0.34 5.1 na 7 1.9 8 2.34 -1.9 8 -1.09 25 11 22.5 9 4 6 2,020 25 4 .5 9 35,720 15 A-G-EDWARDS/MERRILL 2 22 2 None 11 1 N None 11 2 5 5 9 9 3 3 2 2 0.6 6 1.02 23.2 2.27 -4 .02 4 4 .08 5.14 -3.24 3.17 32.51 1.3 0.6 1 2.8 -2.4 6 -0.6 7 -3.05 19 2.87 1.06 4 2.9 3 -0.4 -2.36 2.9 1 31.6 5 -0.55 -2.01 3.53 0.6 -3.4 8 -8.13 -1.21 54 .78 -0.9 8 2.04 8.9 5 4 2.09 0.6 8 -1.4 1 -1.85 4 .8 4 .89 17.23 18.9 9 4 7.75 4 9 .71 -0.81 -1.27 2.3 6 .17 18.4 1 51.18 4 ,000,000 No Yes IPO IPO No No PSI PSI Prudentia l Securities Inc Domestic N None 11 1 44 44 44 16 ,300,000 25.000 US Yes 25 No No 4 .6 9 5.02 8.75 -1.9 -1.6 32.8 -4 .33 2.59 52.22 4 .6 7 7.9 4 13.6 3 4 6 .58 2,000,000 No Yes IPO IPO No No ML ML Merrill Lynch Pierce Fenner & Smith Domestic N None 11 1 46 46 46 6 0,000,000 15.000 US Yes 15 No Yes 5.4 2 6 .4 12.4 8 1.55 0.82 35.3 -1.88 1.9 3 55.9 1 6 .4 3 10.04 19 .4 1 4 9 .3 9 ,6 00,000 55000000 23.000 US 7.4 4 1.27 3.6 4 53.32 4 .56 4 .5 1,122,880 15 1,000 0.4 5 4 .5 507,14 0 15 4 ,6 00,000 104 72.8 859 4 .02 9 072.9 5 9 19 4 .24 84 4 0.04 70,875,000 No 4 .5 14 700000 14 .7 4 7,250,000 0.085 4 7.25 6 6 .6 7 8,9 25,000 8.9 25 12.59 0.4 5 4 .5 1,577,100 15 8781.35 89 89 .05 9 26 6 .51 8502.9 9 26 ,212,500 Yes 0.75 4 .5 74 7,6 00 25 7 74 4 ,4 6 0 15 5 2,500,000 No Yes IPO IPO No No GUNNALLEN-FINL GUNNALLEN-FINL GunnAllen Fina ncia l, Inc. Domestic N None 11 1 1 1 9 6 7,800 15 4 ,000,000 No Yes IPO IPO No No CITIGROUP-SSB CITIGROUP-SSB Citigroup/Sa lomon Smith Ba rney Domestic N None 11 1 12 12 0.85 34 .04 1 -0.4 19 .35 -3.27 0.6 3 35.52 18.4 6 1.74 34 .23 4 .01 3,500,000 9 ,000 0.08 -2.6 8 1,4 14 Yes IPO IPO No No Domestic N None 22 2 Yes 23 No Yes IPO IPO No No Interna tiona l N None 22 2 13.9 80 US Yes 13.9 8 No Yes 1,008,552 -1.7 -3.4 4 20.13 Yes IPO IPO No No MERRILL MERRILL Merrill Lynch & Co Inc Domestic N None 11 1 9 9 53 36 ,000,000 25.000 US Yes 25 No Yes 1,550,000 5,4 00 -0.6 1 -2.54 16 .4 8 Yes IPO IPO No No UBS-WARBURG UBS-WARBURG UBS Wa rburg Domestic N None 11 1 13 13 65 6 0,000,000 15.000 US Yes 15 No Yes 9 ,000 -0.35 0.6 7 15.86 -0.39 No Yes IPO IPO No No CITIGROUP-SSB CITIGROUP-SSB Citigroup/Sa lomon Smith Ba rney Domestic N None 11 1 43 88,000,000 15.000 US Yes 15 No Yes 12,6 6 5 -0.35 0.6 7 15.86 -0.39 No Yes IPO IPO No No A-G-EDWARDS A-G-EDWARDS AG Edwa rds & Sons Inc Domestic N None 11 1 13 13 32 24 ,000,000 15.000 US Yes 15 No Yes 3,6 00 -1.58 0.17 15.4 9 0.6 1 2.6 6 24 .09 1,000 No Yes IPO IPO No No Domestic N None 33 3 15 15 105,000,000 15.000 US Yes 15 No Yes 10,000 -1.58 0.17 15.4 9 0.6 1 2.6 6 24 .09 4 ,000,000 No Yes IPO IPO No No Domestic N None 11 1 12 12 20,800,000 25.000 US Yes 25 No Yes 3,120 -0.27 1 21.6 4 6 25 -0.54 333 -0.39 4 ,500,000 2.23 9 .01 335.5 20.4 54 .4 2 16 .21 154 No Yes IPO IPO No No DEUTSCHE-BANK/JPM CITIGROUP-SSB/MERRILL/UBS-WARBURG MERRILL BEAR MERRILL BEAR Merrill Lynch & Co Inc Bea r Stea rns & Co Inc Domestic N None 11 1 7 19 3 2 7 19 3 8 -4 .87 Yes 2,818.20 5 18.2 1,86 2.50 Yes 57,071.00 5 -2.59 26 ,857.00 Yes 4 .34 GS/MERRILL -1.3 7 46 55 16 1 29 34 ,814 ,4 89 5,000,000 9 6 9 0779 16 .000 US 1,382 Yes 16 No Yes 6 25,000 2,222,224 4 .500 US Yes 4 .5 No Yes 321,4 53 52,200,000 15.000 US Yes 15 No Yes 7,800 0.13 -0.8 0.7 0.34 6 0.05 6 1.31 5,225.80 4 ,350,000 -5.6 56 .74 0.4 5 4 .5 -1.19 1.1 -0.81 12.59 9 .5 -5.4 5 21.76 -2.16 -3.4 8 12.59 22.5 na 3.9 8 -3 0.24 1.9 8 2.59 2.04 0.24 22.87 3.3 2.09 7.4 8 0.4 5 2.9 8.33 28.7 2,04 0,000 0.6 7 11.4 6 28.9 7,4 80,000 20.09 0.81 -1.89 26 .8 26 .9 6 6 .6 7 12.59 3.04 3.4 3 2.9 7 10.8 6 6 .6 7 Comb. -2.88 -2.4 6 1.04 3.9 4 0.085 1.125 -1.27 2.8 -2.6 8 0.085 4 .4 37 0.15 0.6 1 1.18 10,800,000 1,125,000 -0.77 1.3 -0.09 -1.27 39 ,6 00,000 4 ,4 37,000 32.22 32.51 4 .73 20.74 59 .82 2.87 3.17 8.6 4 11.27 20.74 56 .14 -3.77 -3.24 10.17 3.36 6 6 .6 7 5.6 8 5.14 3.58 4 .59 12.32 3.35 4 3.6 8 4 4 .08 6 .24 4 .5 3,36 0,000 0.533 -4 .81 -4 .02 -2.22 4 .5 23.4 9 -1.9 1 2.27 -0.6 2 16 ,200,000 No 0.225 22.4 23.2 -4 .4 4 -4 .07 59 ,4 00,000 No 0.085 0.81 1.02 34 .38 8229 .88 533,334 Comb. -0.54 0.6 6 29 .4 2 84 4 0.04 3,350,000 -3 -1.19 34 .01 36 .9 1 9 109 .85 23,4 9 0,000 -6 .38 -5.4 5 -1.8 86 01.38 20.74 3.27 3.9 8 -8.52 9 072.9 5 9 19 4 .24 20.09 21.32 22.87 -0.87 -3.04 859 4 .02 Comb -3.33 -3 -0.78 0.85 8515.6 6 1.125 -1.25 2.9 -0.22 10218.8 7.308 10.32 11.4 6 -3.04 104 72.8 7 1,125,000 0.01 0.81 17.23 8221.33 4 .5 7,308,000 -0.9 8 1.75 14 .78 7552.07 9 .5 150 960 16 .05 17.19 No 1,087,4 22 Yes 3.04 1.38 No 6 ,300,000 No 3.18 -2.88 -0.14 2.53 5.07 0.55 -1.9 3 -1.9 3 -0.9 3 13.34 2.04 -3.6 1 -2.57 -2.57 0.27 37.78 0.27 -0.9 7 -1.38 -1.27 -0.9 7 -1.08 37.78 -2.9 1 -1.33 0.15 135 1,854 9 ,6 00,000 -2.4 6 -1.17 5,4 75 34 ,814 ,4 89 -1.53 -1.17 1,4 4 7 2079 19 9 10.000 US 79 6 9 083 16 .000 US -0.55 -0.16 -1.32 -1.32 118,6 18 1,000 35,235,000 No -0.37 -0.77 1.75 28.53 1,4 4 7,500 4 ,6 00,000 8781.35 0.6 3 0.06 28.53 Yes Yes 15 8713.14 28.28 27.58 32.22 -0.53 0.02 29 .04 0.02 Yes 25 8726 .73 -8.08 8 17 9 271.76 -6 .83 2.87 877 -5.88 -8.9 6 -5.88 -3.77 10 16 9 28,800 9 317.6 4 -8.17 Yes Yes 754 ,9 20 9 19 1.09 -7.79 0.32 5.6 8 Yes 9 1,550,6 9 0 9 177.15 -6 .16 2.9 3 4 .9 5 4 .9 5 4 3.6 8 8.000 US 4 .5 9 284 .57 -1.84 38.02 38.02 -4 .81 9 00,000 12,378,000 4 .5 89 80 9 119 .59 39 .08 -3.9 3 -3.9 3 9 ,6 50,000 0.75 9 109 .85 36 .9 5 -6 .14 8 9 0.4 5 9 19 6 .55 37.36 -3.72 -1.73 11 11.85 10019 .5 -3.87 -1.32 -1.9 1 1 4 11.11 10012.9 -4 .02 -4 .06 -4 .06 11 4 .8 10109 .9 17 22.4 1 4 4 .5 84 54 .25 13.7 14 .8 16 .8 16 .8 0.81 11 4 ,800,000 84 71.6 1 -2.51 1 1 4 ,500,000 86 79 .25 0.09 -1.4 1 -1.4 1 -0.54 1 6 0.25 2.6 Comb. 0.21 -2.19 -2.19 -3 11 11 6 0.02 2,6 00,000 0.4 2 -4 .6 1 -4 .6 1 -6 .38 8,325 3.6 -12.4 -7.34 -7.34 3.27 11 27 6 6 .6 7 6 6 .6 7 -11.73 -8.4 4 3.6 21.32 None None 27 6 6 .6 7 15.6 -8.28 0.07 18.86 18.86 None 8.9 4 15,6 00,000 Comb. 1.9 4 -2.37 -2.37 -3.33 N N 1.373 20.74 -2.51 N 0.08 Comb -9 .83 15.72 16 .52 -2.27 Domestic Domestic 0.32 4 .5 -3 -2.27 -1.25 Domestic 0.125 1034 2.6 -5.9 5 -1.18 -3.84 6 .82 Advest Inc Credit Suisse First Boston Corp 0.053 8221.33 -0.18 -1.4 7 -1.6 4 10.32 Friedma n Billings Ra msey Group 1,373,331 84 02.36 14 .37 5.7 4 .55 6 .82 0.01 ADVEST CS-FB-CS 27,000,000 84 9 1.22 3.4 8 -1.02 -1.02 FRIEDMAN-B 27,000,000 39 .6 -0.4 5 -1.6 5 -1.03 -1.03 -0.9 8 ADVEST CS-FB-CS 22.22 12320000 0.17 -0.59 FRIEDMAN-B 21.4 8 0.37 750 No No 9 0.37 300 9 00 3,19 2 No 2,017.30 9 4 .39 8.7 0.3 712 10,875 300,000 No No 6 ,6 54 .10 4 .5 8,700,000 1.9 712,6 6 0 No 56 9 .8 2.15 4 .5 9 ,000,000 8.7 na 8 IPO IPO 1.55 4 0,500,000 No 0.159 Yes IPO 1.39 4 2,24 3,750 No 0.4 57 19 .9 9 89 6 4 86 8 8.000 US IPO IPO 1.3 1.23 8280.23 4 57,4 89 5,000,000 IPO 3.4 2 19 2,000,000 Yes Yes -6 .9 19 3 9 Yes 4 .02 Merrill Lynch & Co Inc 22 None N 59 .1 No No -9 .52 MERRILL None N 36 2.6 No 1,4 25,000 12,378,000 10,159 ,04 4 MERRILL N Ba 2 8229 .88 0.4 57 19 .9 9 26 Domestic 7837.86 4 57,4 89 2,113,550 4 8,300,000 Domestic 7884 .9 9 1.9 7 0.5 124 ,6 50 774 ,310 1,118,800 4 .5 -30.4 na 0.3 22.6 8 Domestic Domestic AG Edwa rds & Sons Inc 879 3.12 2,556 ,181 No 0.9 7 -1.05 1.9 9 4 .4 A-G-EDWARDS SANDLER-ONEILL/FRIEDMAN-B No 0.11 19 5.1 MS/UBS-WARBURG MORGAN-STANLEY/CITIGROUP-SSB A-G-EDWARDS No 4 .4 4 0.16 0.212 1.11 No 0.4 6 8 3,281,000 1.11 IPO 4 6 8,000 36 0,000 7,129 ,728 -170 IPO 4 ,4 4 0,000 20 19 .59 -283.3 Yes 2.6 33 6 6 .6 7 19 .88 -8.79 Yes 1,511.80 No 4 7.5 1.29 10.02 0.33 1.4 4 2.6 8 24 .9 8 6 6 .6 7 2,9 4 9 ,120 2.9 4 9 -0.03 16 52.17 0.35 0.4 5 0.303 Comb. -0.05 16 7 4 ,000,000 21.01 11.85 0.14 4 2.6 24 0.24 6 ,000,000 24 .4 9 10.4 3 14 .9 6 No 6 .4 1 2,000,000 12 15 0.125 0.512 302,9 50 7 4 .5 10 225,570 125,000 512,000 Comb. 21.9 na 826 ,850 333,86 0 4 .5 1.06 2 19 .6 4 2.9 4 9 4 .25 8850.26 86 79 .25 8711.18 6 0.71 3 9 109 .85 9 582 86 01.38 5,800,000 1.7 9 072.9 5 9 74 8 9 054 .89 2,328,024 6 4 .71 1.6 8 0.1 0.17 86 01.38 8588.36 9 810 60 23.9 3 0.28 86 01.38 84 54 .25 9 738 2.328 6 .9 84 0.08 11.11 12.59 8582.6 8 8306 .35 9 6 29 0.357 8515.6 6 7524 .06 7 2,9 4 9 ,120 2.375 357,000 Comb. Comb 0.126 2.377 2,375,000 6 6 .6 7 8 10218.8 84 9 1.22 859 4 .02 4 .5 7 126 ,000 6 .125 2,376 ,576 0.4 9 1.89 8 1004 8.2 84 84 .9 9 79 08.8 819 7.9 4 89 22.9 5 4 5,9 56 ,250 Yes ### 7 1,06 1,500 9 535 879 3.12 8.04 8 84 8,24 9 6 ,214 ,6 00 No 9 74 8 86 79 .25 84 9 3.39 0.84 8 4 .5 79 08.8 84 54 .25 86 78.9 7 4 .5 8713.14 84 80.09 38.29 4 ,117,500 No 37,4 6 2,500 No 84 02.36 10580.1 1,700,000 3,000,000 20.17 21.4 8 79 09 .5 7758.17 1,6 80,000 0.12 0.9 28 7859 .71 7552.07 6 ,9 84 ,073 23,9 25,000 20 21.4 3 20.24 7 120,000 4 .5 9 27,9 9 9 756 8.18 7524 .06 106 01.6 20 19 .6 1 Comb 106 13.8 10737.7 8285.06 8201.4 5 0.6 1.02 106 27.8 7552.07 8306 .35 7.25 0.56 104 6 8.4 829 8.9 2 10 6 00,000 8053.81 819 7.9 4 100 56 0,000 7 7 1,020,000 7858.24 79 89 .56 79 09 .5 8088.84 9 535 8285.06 836 4 .8 84 9 3.29 7 4 .5 789 1.08 9 6 45 8201.4 5 2.328 7775.6 756 8.18 79 08.8 8332.85 Friedma n Billings Ra msey Group 0.085 7524 .06 79 08.8 79 08.8 84 32.6 1 Merrill Lynch & Co Inc 0.125 1,89 0,000 8109 .82 8511.32 Advest Inc Credit Suisse First Boston Corp 14 ,250,000 20.74 786 4 .23 84 4 8.11 Friedma n Billings Ra msey Group 22.22 0.588 786 4 .23 8723.18 2002 Merrill Lynch & Co Inc 4 .75 588,000 859 5.31 2002 10 FRIEDMAN-B 4 .5 86 07.52 884 2.6 2 884 2.6 2 1024 8.1 0.6 75 Yes 0.11 4 .5 4 ,750,000 874 0.59 1014 5.3 1014 5.3 8737.85 2.556 9 .5 Comb. 10008.2 874 2.9 3 874 2.9 3 14 .838 0.1 89 31.6 8 0.6 75 Yes 0.14 0.19 2 25 MERRILL 884 5.15 9 86 2.6 8 86 76 .4 2 9 9 21.86 834 1.6 3 9 117 Merrill Lynch & Co Inc 9 69 836 4 .8 84 4 8.11 9 319 Merrill Lynch & Co Inc 16 0.053 9 117 84 4 8.11 834 1.6 3 834 1.6 3 84 4 8.11 58.5 84 4 8.11 89 80 84 4 8.11 836 4 .8 2002 2002 17 59 1.8 84 4 7.35 84 4 7.35 84 4 7.35 0.59 5 No 0.6 75 Yes 11 34 ,814 ,4 89 8538.4 38.4 9 4 4 .6 4 Friedma n Billings Ra msey & Co Merrill Lynch & Co Inc 15.7 278.5 0.32 17.17 9 8.59 2002 Friedma n Billings Ra msey & Co Inc Merrill Lynch & Co Inc 9 1.4 24 9 .6 2002 2002 WM-BLAIR/JEFFERIES 2002 1,4 25,000 12,378,000 9 ,6 00,000 2002 2002 RAYMOND/RBC-CAP-MKTS 0.56 No 0.6 75 Yes 15 A-G-EDWARDS/* ADVEST 16 .5 CS-FB-CS CITIGROUP-SSB/JPM/WM-BLAIR 0.51 No AG Edwa rds & Sons Inc 10 SANDLER-ONEILL 12 LEH 15 CITIGROUP-SSB/* 4 2.24 4 0.1 -36 .55 IPO 0.4 0.24 1334 084 002 Yes 0.4 35 0.4 5 1334 089 002 No Yes 0.6 6 7 0.6 7 1334 156 002 No No Yes 3 0.225 1333850002 No No Yes Yes 3 0.085 No No Yes SYNDICATED No 1.14 02 Comb. No Yes SYNDICATED Exclude Spinoffs a nd Priva tiz a tions No 0.5 0.14 Yes SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N No 0.38 0.225 SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N 3275 Sha res of Beneficia l Interest No 0.533 1.12 Exclude Spinoffs a nd Priva tiz a tions N 2225 Sha res of Beneficia l Interest -38.82 6 6 ,6 6 7 1 0.4 28 Comb. N 3350 Sha res of Beneficia l Interest -27.88 6 6 ,6 6 7 0.9 6 7 0.6 75 5225 Sha res of Beneficia l Interest -38.35 -6 3.2 -74 .13 6 6 ,6 6 7 4 .5 BEAR -39 .15 -73.6 6 -4 4 .7 15 4 .5 GUNNALLEN-FINL -74 .4 6 -55.17 -55.6 3 15 3,6 6 6 ,6 6 6 0.1 CITIGROUP-SSB -55.9 7 15 0.1 Other Fina nce -15.4 5 15 0.75 Ma nufa cturing 1,350,000 -25.9 2 -26 .39 20,100 0.4 5 Investment Fund -3.81 4 0,210 0.08 Na sda q -3.81 6 .4 7 4 4 ,350 0.32 America n -3.81 -3.81 6 .4 7 -4 .38 36 ,74 0 0.125 New York 6 .4 7 6 .4 7 -4 .38 0.18 4 .5 0.053 United Sta tes -4 .38 -4 .38 0.18 -2.1 4 .5 0.25 United Sta tes 0.18 0.18 -2.1 25.9 7 4 .5 0.32 United Sta tes -2.1 -2.1 25.9 7 -8.9 7 4 .5 0.053 Tennessee 25.9 7 25.9 7 -8.9 7 -9 .4 3 0.4 5 0.14 5 Ca lifornia -8.9 7 -8.9 7 -9 .4 3 -6 .76 0.4 5 1.125 Illinois -9 .4 3 -9 .4 3 -6 .76 31.12 0.4 5 0.6 75 379 9 Prima ry Business not Hi-Tech -6 .76 -6 .76 31.12 12.33 0.4 5 UBS-WARBURG 6 726 Prima ry Business not Hi-Tech 31.12 31.12 12.33 -7.74 12.59 MERRILL 6 09 9 12.33 12.33 -7.74 1.9 12.59 Investment Fund Design a nd build snowmobiles -7.74 -7.74 1.9 0.19 12.59 Investment Fund Closed-end investment fund 1.9 1.9 0.19 -2.53 12.59 Insura nce RED 0.19 0.19 -2.53 -9 .39 0.221 Telephone Commun CHY -2.53 -2.53 -9 .39 -8.12 0.204 New York 1/15/2003 Redline Performa nce Inc -9 .39 -9 .39 -8.12 -4 .02 221,000 New York 3/14 /2003 Ca la mos Cvt a nd High Inc Fund -8.12 -8.12 -4 .02 10.33 204 ,000 New York 5/15/2003 -4 .02 -4 .02 10.33 5.87 19 5,500 0.19 6 New York 5/27/2003 10.33 10.33 5.87 -4 .25 1.17 6 6 .6 7 United Sta tes Comb. 5.87 5.87 -4 .25 -2.8 1333854 002 1.08 6 6 .6 7 10,159 ,04 4 26 -4 .25 -4 .25 -2.8 0.15 133034 8002 No 1.035 6 6 .6 7 United Sta tes Comb. 23 Ordina ry Sha res -2.8 -2.8 0.15 -1.9 6 129 06 33002 No No 0.6 08 6 6 .6 7 Bermuda 13.9 8 ADS 0.15 0.15 -1.9 6 337 1333181002 No No Yes 0.085 South Africa 1.125 Comb. 4 .21739 -1.9 6 -1.9 6 232 Yes No No Yes SYNDICATED 0.085 New York 0.38 532 34 5 Yes 15 No Yes SYNDICATED Exclude Spinoffs a nd Priva tiz a tions 0.085 New Jersey MERRILL 7 Yes Yes 15 Yes Yes SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N 0.085 Foreign 1.9 15 15 Yes 15.000 US SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N 6 07,500 Foreign 0.159 Yes Yes 15.000 US 2,250,000 Exclude Spinoffs a nd Priva tiz a tions N 1,170,000 4 813 Telecommunica tions Equipment Pvd credit ca rd svcs 1.6 1 15.000 US 15.000 US 1,550,000 20 N 20 Common Stock 1354 9 .9 Sha res of Beneficia l Interest 1,080,000 6 331 Prima ry Business not Hi-Tech 0.26 6 3,550,000 2,300,000 12 14 5 Common Stock 374 9 00 Common Stock -8.88 -37.55 1,035,000 25 0.4 -26 .72 2 18 -4 4 .2 -72.86 20.74 1,207.50 3 -54 .37 20.74 4 8,300,000 0.5 -25.7 -25.12 20.74 U.S. Public 1 3.55 -3.81 0.336 US 4 .5 -3.81 6 .4 7 0.36 4 36 ,500,000.0 Common Sha res 0.1 6 .4 7 -4 .38 336 ,000 15 0.75 -4 .38 0.18 36 4 ,000 15 0.125 16 5.88 0.18 -2.1 4 .5 0 0.25 19 6 .55 -2.1 25.9 7 4 .5 60 1.125 -5.3 25.9 7 -8.9 7 4 .5 1,000 PSI 3.4 5 -8.9 7 -9 .4 3 -7.73 4 .5 4 ,000,000 Investment Fund -2.9 1 -9 .4 3 -6 .76 9 11,250 No 15 New York 0.55 -6 .76 31.12 1,755,000 No 15 United Sta tes -0.34 31.12 12.33 1,552,500 No 15 New York 23.4 2 12.33 -7.74 1,6 20,000 No 15 6 726 Prima ry Business not Hi-Tech -58.25 -9 .08 -7.74 1.9 884 9 .4 15 Closed-end investment fund -27.58 -6 .23 1.9 0.19 884 9 .4 15 BPP -5.3 29 .05 0.19 -2.53 884 9 .4 NYSE 9 -2.9 1 6 .6 -2.53 -9 .39 884 9 .4 NYSE 25 0.55 -3.87 -9 .39 -8.12 8018.11 U.S. Public 11 22.5 -0.34 1.6 -8.12 -4 .02 8018.11 U.S. Public 8 23.4 2 -2.9 2 -4 .02 10.33 8018.11 US 11 21 29 .05 -5.4 3 10.33 5.87 8018.11 US 25 6 .6 8.86 5.87 -4 .25 8131.01 55,500,000.0 Common Sha res 10 -2.9 2 3.02 -4 .25 -2.8 8131.01 5,850,000.0 Common Sha res 25 -5.4 3 -2.51 -2.8 0.15 8131.01 15 Common Sha res 11 24 8.86 -4 0.15 -1.9 6 8131.01 15 Common Sha res NASDQ NASDQ 3.02 0.9 8 -1.9 6 1,36 5 84 9 3.29 87.8 NASDQ -2.51 -0.4 6 56 2 Yes 133324 9 002 84 9 3.29 832.5 NYSE 0.9 8 9 00 Yes 15 No 84 9 3.29 87.8 U.S. Public U.S. Public -0.4 6 Yes 15 Yes No 84 9 3.29 832.5 U.S. Public 184 .31 Yes 12 Yes Yes 8358.9 5 9 76 3.9 4 8.5 US US -39 .82 14 7.7 15 Yes 15.000 US SYNDICATED 8358.9 5 9 76 3.9 4 9 .5 US -76 .4 3 Yes 15.000 US Exclude Spinoffs a nd Priva tiz a tions 8358.9 5 9 76 3.9 4 9 60 9 00,000.0 Common Sha res 12,378,000.0 Common Sha res -9 .08 15.000 US 8026 6 6 5 12.000 US 3,750,000 N 8358.9 5 9 76 3.9 4 1,000,000 4 ,000,000 9 ,6 50,000.0 Common Sha res -6 .23 2,4 50,000 1333250002 4 6 6 .7 Common Stock 84 73.4 1 9 15 8 Common Sha res -4 4 .02 84 73.4 1 8.5 15 25 Common Sha res -80.6 3 84 73.4 1 9 .5 15 10 Common Sha res 16 Common Sha res -6 2.4 5 1333179 002 84 73.4 1 SMCAP NYSE 9 19 8 -31.78 No 86 01 U.S. Public U.S. Public 77.2 -5.3 No No 86 01 US US 9 12.5 3.4 5 No Yes 86 01 1,000,000.0 Common Sha res 6 ,4 00,000.0 Common Sha res 9 19 8 -2.9 1 Yes SYNDICATED 86 01 8.5 Common Sha res 15 Common Sha res 77.2 0.55 SYNDICATED Exclude Spinoffs a nd Priva tiz a tions 886 2.57 8.5 96 6 .215 -0.34 Exclude Spinoffs a nd Priva tiz a tions N 886 2.57 8.5 96 0.6 3 12.24 7 23.4 2 N 886 2.57 0.6 84 4 .6 85 1.25 -9 .08 1288087002 1333180002 75 Common Stock 6 2.5 Common Stock -4 4 .09 886 2.57 0.12 0.6 25 -6 .23 -4 4 .02 132814 0002 131126 1002 86 76 .4 2 0.17 4 3.6 -80.7 1323825002 129 4 018002 129 9 86 7002 86 76 .4 2 9 4 .25 -80.6 3 -6 2.52 Yes No 86 76 .4 2 11 1.6 1.325 -6 2.4 5 -31.85 Yes No No 86 76 .4 2 15 Comb. 1.375 -31.78 -5.3 No No No Yes Yes 2002 13 1.4 1.2 -5.3 3.4 5 No Yes No Yes SYNDICATED SYNDICATED 2002 15 1.375 3.4 5 -2.9 1 No No Yes SYNDICATED Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions 2002 72 7 -2.9 1 0.55 Yes SOLEMANAGD SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N N 2002 60 7 6 .125 0.55 -0.34 SYNDICATED Exclude Spinoffs a nd Priva tiz a tions Subsidia ry IPOs (spinoffs) N 0.6 75 Yes 5,000,000 0.1 -0.34 23.4 2 Exclude Spinoffs a nd Priva tiz a tions N Y Common Stock Common Stock 172.5 Common Stock 0.6 75 Yes 4 ,000,000 0.1 23.4 2 -9 .08 N 20 Common Stock 19 .3 Common Stock 19 5.71 0.6 75 Yes 6 ,000,000 0.34 -9 .08 -6 .23 -24 .27 -110.9 0.6 75 Yes 10 0.4 0.576 -6 .23 9 ,100,000 6 7.26 UBS Wa rburg 12 0.11 11.57 -39 .4 2 UBS Wa rburg 15 0.16 0.212 -25.05 -76 .03 UBS Wa rburg 11 0.11 27.4 -4 4 .2 -14 9 .4 -13 Common Stock -10.29 -6 .87 -57.85 UBS Wa rburg 15 0.14 0.19 2 4 0.4 -4 7.11 -131.1 -23.9 9 UBS Wa rburg 13 0.7 0.9 8 -33.6 4 23.81 -27.18 UBS Wa rburg 15 0.56 81.23 -16 .25 -9 8.6 6 15 UBS-WARBURG/* NASDQ ADVEST CS-FB-CS -2.1 -5.3 -5.3 3.4 5 1.8 2.4 4 -0.3 15 UBS-WARBURG AMEX FRIEDMAN-B 0.7 3.4 5 3.4 5 15 UBS-WARBURG U.S. Public Other Fina nce Insura nce -1.58 13236 55002 15 UBS-WARBURG U.S. Public Mortga ge Ba nk 6 .4 7 13254 86 002 No 0.14 US Sm Ca p Mkt Na sda q -2.04 -2.9 1 -2.9 1 1323824 002 134 359 0002 No No 0.14 US Na sda q 0.09 2.09 2.6 8 0.55 0.55 No No No Yes 0.14 6 ,000,000.0 Common Sha res United Sta tes United Sta tes 3.4 4 3.83 1.85 -0.34 -0.34 No No Yes SYNDICATED 0.14 21,280,000.0 Common Sha res United Sta tes 1.56 3.26 1.9 4 23.4 2 23.4 2 Yes Yes SYNDICATED Priva tiz a tions 15 12 Common Sha res Florida Georgia 2.76 -0.05 0.6 2 29 .06 -9 .08 -9 .08 SYNDICATED SYNDICATED Exclude Spinoffs a nd Priva tiz a tions P 15 15 Common Sha res Ca lifornia Pvd ppty,ca sua lty ins vcs 12/6 /2002 iPa yment Inc 35 Cla ss A Sha res 12 Common Sha res 0.77 34 .02 29 .9 6 -4 .6 8 Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions N 15 72 4 5.9 56 40 32.9 1 -3.9 2 -9 .39 0.12 N N 15 319 .2 6 712 Prima ry Business not Hi-Tech 6 331 Prima ry Business not Hi-Tech Pvd telecommun svcs 2/21/2003 PIMCO High Income Fund 40 -2.78 7.27 2.4 5 1308759 002 -20 Common Stock -77.5 America n Deposita ry Sha res 15 72 6 16 2 Prima ry Business not Hi-Tech NCV 2/19 /2003 Advent Cla ymore Conv Sec Fund 870 -7.73 9 .74 No No 20.4 Common Stock 176 .75 228.71 176 .89 -6 .23 -6 .23 No No 15 319 .2 Commercia l ba nk holding co Pvd Automobile Insura nce PSY Comb. 40 3.05 -0.85 6 ,000,000 0.08 -3.87 3.6 4 8 -9 .55 0.08 4 6 .2 36 .75 No Yes Yes 15 5.79 6 Mortga ge ba nk ENH 4 .5 Comb. 3.01 -9 .55 4 6 .36 Yes SYNDICATED SYNDICATED 15 14 .36 4 BOFL IPCC TKG 3/4 /2003 Neuberger Berma n Rea l Inc Fund 1.25 0.833 Comb. LEND 1/30/2003 Telkom SA Ltd Comb. 4 .25 4 .16 6 6 7 40 0.1 0.1 1.125 Comb. 1.25 870 0.35 0.4 5 4 .5 Comb. 1.4 17 3.22 0.125 0.08 MERRILL 1.5 1.4 17 4 .2 0.12 0.14 5 Comb. 7 2.75 0.59 5 0.6 75 0.6 75 Comb. 7 1.4 FRIEDMAN-B-CO MERRILL 2/24 /2003 Nichola s-Applega te Cvt Inc Fd 5/12/2003 4 .25 Commercia l Ba nk Investment Fund 1/24 /2003 Preferred Income Stra t Fund 4 /29 /2003 0.1 0.1 Sm Ca p Mkt New York 12/19 /2002 Endura nce Specia lty Holdings 4 /24 /2003 0.1 0.5 United Sta tes United Sta tes 2/27/2003 4 /24 /2003 0.34 Ohio Pennsylva nia 3/26 /2003 3/3/2003 7 0.33 0.84 0.1 6 029 Prima ry Business not Hi-Tech 6 726 Prima ry Business not Hi-Tech 12/18/2002 Evergreen Income Adv Fund 0.17 0.17 Ba nk Closed-end investment fund 1/15/2003 Bla ckrock Preferred Opp Trust 0.12 0.84 0.28 OLCB FPT 7/1/2002 Accredited Home Lenders 0.56 0.08 10/15/2002 Ohio Lega cy Corp 12/19 /2002 Federa ted Premier Intermedia te 2/26 /2003 3/25/2003 0.1 LEH 1/8/2003 F&C Cla ymore Preferred Fund Na sda q 0.28 Hea lthca re Investment Fund 9 /13/2002 Ba ncsha res of Florida Inc,FL 10/9 /2002 Infinity Prop & Ca sua lty Corp United Sta tes 1.4 Na sda q New York 8059 Prima ry Business not Hi-Tech Ca lifornia 0.51 SANDLER-ONEILL United Sta tes United Sta tes 10/23/2002 PIMCO Corp Opp Fund 6 021 Prima ry Business not Hi-Tech A-G-EDWARDS Commercia l Ba nk Ariz ona Illinois 12/19 /2002 12/23/2002 Illinois Ca lifornia 1311 Prima ry Business not Hi-Tech 6 726 Prima ry Business not Hi-Tech 12/18/2002 12/19 /2002 Commercia l ba nk 3572 Disk Drives Own,op hospices Closed-end investment fund 10/25/2002 Nuveen Qua lity Pref Inc Fund 3 CCBI 6 231 Prima ry Business not Hi-Tech VSTA JHP 8/13/2002 Vista Ca re Inc 12/18/2002 7 -5.9 2 10 9 00,000 -4 5.1 4 .76 2.86 SYNDICATED Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions -3.3 Limited Pa rtnership Interest 1 0.322 114 ,750 2 9 7 36 7 1.75 21.79 56 .16 Subsidia ry IPOs (spinoffs) N N 12.4 Common Stock 11.07 1 322,000 0.189 2 9 6 52 -16 .13 18.4 7 Y 1322179 002 55 6 6 ,6 6 7 189 ,000 0.26 1.28 MAB Closed-end investment fund 12.33 -7.73 -7.73 EIA EIP 15.2 38.21 N Merrill Lynch & Co Inc UBS-WARBURG/MERRILL 5.6 5 29 .05 29 .05 N MERRILL 2.3 6 .6 6 .6 N CS-FB-CS/JEFFERIES 5.87 1.06 3.55 -1.9 N CITIGROUP-SSB/NUVEEN MERRILL 2.9 4 0.15 0.4 3 3.77 6 .15 Domestic No 1.53 14 4 1,500 7.03 5.4 1 Domestic No 0.32 14 4 ,000 24 5,000 5.4 2 Domestic No 14 3.19 -3.87 -3.87 Domestic No 19 1.02 154 .38 1.6 1.6 15 No 204 .78 19 0.54 12.6 9 .1 15 No -1.23 32.23 24 1.9 1 0.4 3 11.9 15 No 34 .38 6 9 .35 0.4 3 2.28 1.38 1.38 2 No 0.59 0.4 3 2.28 3.4 5 1.85 3.9 7 11 IPO 2.83 2.28 3.4 5 0.18 5.09 None IPO -2.04 3.4 5 0.18 -0.88 0.08 0.08 N IPO -3.54 0.18 -0.88 30.22 0.87 -0.03 Domestic IPO 0.9 1 -0.88 30.22 -5.4 6 3.26 CITIGROUP-SSB/NUVEEN IPO 28.02 30.22 -5.4 6 3.24 -9 .55 -9 .55 No IPO -5.52 -5.4 6 3.24 2.4 7 -5.56 -9 .18 No IPO -1.01 3.24 2.4 7 4 3.15 -6 .6 8 IPO IPO 3.4 1 2.4 7 4 3.15 6 .01 1.32 IPO Yes 39 .84 4 3.15 6 .01 6 .6 -2.9 2 -2.9 2 Yes Yes 8.38 6 .01 6 .6 10.7 0.72 No Yes -1.9 6 .6 10.7 2.53 1.37 3,000,000 Yes 7.3 10.7 2.53 -1.27 -5.4 3 -5.4 3 15 No -3.6 8 2.53 -1.27 -7 2.25 -0.04 9 No 1.27 -1.27 -7 2.18 8.86 8.86 11 No -6 .55 -7 2.18 0.4 3 16 .5 9 29 6 .6 No -0.88 2.18 0.4 3 14 .25 14 .35 11 7.9 5 0.75 0.4 3 14 .25 17.4 4 14 .36 9 20 13.17 14 .25 3.23 3.02 3.02 11 -29 .8 Common Stock -6 6 .3 Common Stock 3.23 0.2 1.73 2 -13.4 3 -4 7.9 1 2.7 3.23 -2.35 2 129 0214 002 -51.87 3.02 -0.11 11 No 1.23 -85.75 -26 .16 3.02 -2.51 -2.51 11 13174 6 8002 -2.35 3.02 3.16 None 1339 301002 No 0.03 3.4 6 4 .56 None -4 3.01 -76 .15 -15.9 9 No No 0.03 -4 -4 N 24 .07 No No Yes -1.1 0.03 2.4 1 N -1.6 -35.23 No Yes SYNDICATED -0.51 2.6 1 1.6 1 Domestic 6 Yes SYNDICATED Exclude Spinoffs a nd Priva tiz a tions -0.51 2.38 Domestic 5.4 1 SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N -3.37 -0.51 0.9 8 0.9 8 CITIGROUP-SSB/NUVEEN 0.75 Exclude Spinoffs a nd Priva tiz a tions N 226 .1 Common Stock -0.57 -0.4 6 -0.4 6 CITIGROUP-SSB/NUVEEN 3.57 2.09 N 4 9 9 9 00 Common Stock -0.57 833 817 No -0.9 2 19 4 9 9 00 Common Stock -4 0.19 1.07 -0.57 328 No -1.58 3.71 -4 2.39 585 Yes Yes No 2.04 1.9 1 -80.83 -78.6 3 -39 .9 2 2,504 Yes Yes No 1,19 3.80 1 3 2 -28.33 2,504 ,217 Yes IPO 1.11 1.72 7 15 IPO 0.9 1 -0.56 29 .18 15 IPO 0.74 28.77 2.13 14 IPO 8.7 -0.9 1 1.17 0.74 8.25 12 Yes 17.39 28.6 8 1.6 3 Yes Yes Yes 1,000 2.4 7 12.15 Yes Yes No 6 6 ,6 6 7 12.6 2 11.89 Yes No 5,000,000 4 5.31 Yes 2,000,000 1,000,000 4 6 .85 4 5.6 7 4 .52 14 .000 US 2,000,000 15 7.81 7.6 5 11013228 7.000 US 15.000 US 13 9 15 0.26 2.6 1 6 .15 6 5884 50 15.000 US 7 1 9 17 9 10.2 10.6 16 52339 8.250 US 1515000 12.000 US 3 1 9 15 6 .13 2,187,500 3 1 2 38,210 -0.77 4 ,350,000 1 2 1 11 11 72,9 80 5.75 5,555,556 5,4 50,000 11 22 11 None None EIF NYH Yes 16 .5 9 6 0,000 10,500,000 None None None N N 14 6 ,000 16 8 1.26 4 N N N Domestic Domestic 6 04 ,6 50 2.25 1 11 Domestic Domestic Domestic Willia m Bla ir & Co 4 .5 4 .08 1.4 4 1 3 Rya n Beck & Co Thoma s Weisel Pa rtners LLC WM-BLAIR CITIGROUP-SSB/NUVEEN 4 .5 0.01 -0.36 4 RYAN-BECK CITIGROUP-SSB/DEUTSCHE-BK-SEC THOMAS-WEISEL WM-BLAIR 10/9 /2002 Ea ton Va nce Insured Ohio 10/8/2002 Ea ton Va nce Ins NY Muni I Yes RYAN-BECK 0.4 5 4 ,159 200 Yes 25 THOMAS-WEISEL 0.4 5 2,773,104 Yes No 13 Yes No No 10/9 /2002 Ea ton Va nce Insured Ma ss Muni 10/9 /2002 Ea ton Va nce Insured PA Muni 12 18.9 8 Yes No No 10/9 /2002 Ea ton Va nce Insured Florida 11/25/2002 Yes Yes No 11/25/2002 19 5,500 0.19 6 2330584 12.000 US 3778200 18.9 80 US 9 570000 13.000 US 6 84 389 4 7 25.000 US No No 0.504 Yes Yes No 3,9 00,000 No No 20 19 .9 5 4 15 19 16 ,6 9 4 ,783 No 24 7,6 00 10.79 Yes Yes 5 IPO IPO 4 .5 0.4 2 1.7 1,120,000 75,56 4 ,000 15.000 US 4 25336 2 19 .000 US 20 IPO IPO 15 2.5 0.2 5 9 IPO -5.56 181.9 3 5 IPO IPO 2,187,500 116 .5 1 8 9 IPO IPO 15 0.6 9 6 Domestic Yes IPO 4 7,500 1.38 3 No No Yes Yes 51,6 6 0 7 33 No IPO Yes Yes 4 .5 6 .9 na None IPO IPO 59 .6 No 159 ,206 .00 Yes US-PIPER/RBC-CAP-MKTS N IPO Yes Yes 4 .5 12.59 Interna tiona l Yes 74 .9 No No No 5,555,556 2,000,000 137.5 9 1.6 7 1.6 6 .39 23 No No 9 15 4 .5 38.89 116 .6 7 1.17 58.2 No 180,100 335,710 84 ,9 4 0 -0.7 16 800,000 8,800,000 0.4 -2.85 -1.26 1,133.00 Yes 28 No 22.09 11.85 1.008 0.302 3,4 13.10 22.09 11/25/2002 11/25/2002 301,750 3,000,000 UBS-WARBURG/MERRILL 11/25/2002 1.553 1.59 8 6 6 .6 7 4 ,000,000 20 0.86 0.9 4 0.01 7.501 7 0.6 3 4 0,000,000 15 123,6 50 0.86 7 0.37 0.54 6 20 24 .4 9 Comb. Comb. 1.008 54 3,750 7 3.1 27 20,84 0 7 20.1 15 0.4 59 0.6 6 7 4 .5 1,274 ,000 4 .5 9 9 2 5.5 18.2 na Comb. U.S. Public 9 1 11 4 .5 0.77 Comb. 2,000,000 U.S. Public 1 11 None 4 .51 Willia m Bla ir & Co Citigroup/Sa lomon Smith Ba rney U.S. Public 11 None N 7 Rya n Beck & Co US None N Domestic 5.9 5 Thoma s Weisel Pa rtners LLC US N Domestic 11.2 na 8.4 na Willia m Bla ir & Co Citigroup/Sa lomon Smith Ba rney US Domestic UBS Investment Ba nk 22.9 na Rya n Beck & Co US UBS Wa rburg UBS-INV-BANK 19 .9 na Thoma s Weisel Pa rtners LLC 9 ,100,000.0 Shs Benficl Int UBS-WARBURG UBS-INV-BANK No 0.5 9 WM-BLAIR 15 CITIGROUP-SSB 3,750,000.0 Common Sha res UBS-WARBURG No No 0.5 0.382 15 WACHOVIA-SEC 6 ,000,000.0 Common Sha res No No IPO 0.89 3 16 THOMAS-WEISEL 2,4 50,000.0 Common Sha res No IPO IPO 20 0.819 ### 4 .9 6 7 10.5 RYAN-BECK 13 CITIGROUP-SSB/* 15 Shs Benficl Int IPO IPO Yes 23.08 819 ,000 0.21 15 Common Sha res IPO Yes No 23.81 17.51 60 0.19 12 Common Sha res Yes No 4 ,6 00,000 1.9 5 0.124 0.16 8 15 Common Sha res No 1,000 15 0.56 59 .52 224 ,000 0.224 13.73 6 4 .9 9 3,6 9 6 ,9 6 8 3.6 9 7 8 0.1 15 Comb. 72 1,000 15 21.05 54 .9 5 812,000 15 83,200 4 .5 0.812 14 .9 57.89 316 ,9 00 4 .5 Comb. 2.233 15 56 .3 0.2 4 .5 0.4 5 14 0.119 1.76 4 2,56 6 ,500 0.28 0.4 5 11.85 10.5 12 7.501 119 ,4 24 7 1,76 4 ,000 19 .39 2,233,000 11.85 Comb. 1.2 Comb. 0.812 0.827 1,200,000 10 15 136 .5 826 ,500 1,56 0,000 6 .75 6 6 .6 7 17 56 .3 16 156 ,800 ### 7 8.775 6 6 .6 7 16 136 .5 72 7 3.1 5.9 5 7 30.9 6 Comb 812,000 0.08 10.5 14 2.531 5.79 6 10.751 7 0.08 50 30 84 74 .78 884 5.15 84 73.4 1 5.5 10751076 4 .5 6 ,750,000 35 JP Morga n & Co Inc 51.54 8,775,000 Comb. 21.4 8 75 JPM 4 2.26 89 .4 6 2.175 8.7 132 SG-COWEN/US-PIPER 2002 2002 9 11,250 Yes 21.4 8 Comb 4 .5 2,175,000 800,000 8,800,000 1.05 No 2002 884 9 .4 2.828 4 .5 2,187,500 0.6 19 No 0.84 No LEGG-MASON-WW/SCOTT-STRING/BB-T-CAP 839 8.4 9 4 .5 2,827,500 5,000,000 16 0.9 8 No 8358.9 5 3,375,000 Yes 6 .14 3 0.833 36 .8 10,125,000 No 19 13,16 2,500 No 0.6 6 7 3 4 .5 836 8.04 0.2 U.S. Public United Sta tes 836 8.04 8131.01 0.29 8 13,86 1,053 US US Illinois 836 8.04 8131.01 8303.78 21 3,4 70,000 22.5 US US Illinois 8131.01 8303.78 884 9 .4 13 13 21 US 6 726 Prima ry Business not Hi-Tech 8303.78 884 9 .4 9 74 8.31 12 12 24 5,555,556 .0 Common Sha res 5,4 50,000.0 Common Sha res 6 726 Prima ry Business not Hi-Tech 884 9 .4 9 74 8.31 7877.4 13 12 18.9 8 14 NYSE 9 6 0,000.0 Common Sha res 10,500,000.0 Common Sha res Closed-end investment fund 9 74 8.31 7877.4 8358.9 5 24 14 18.9 8 NASDQ U.S. Public 2,187,500.0 Common Sha res Closed-end investment fund 7877.4 8358.9 5 8306 14 NASDQ NYSE U.S. Public US 7 Common Sha res 15 Common Sha res NRK 8358.9 5 8306 8571.6 18.2 3,029 .20 U.S. Public U.S. Public US 16 ,6 9 4 ,783.0 Common Sha res 15 Common Sha res NWF 8306 8571.6 836 8.9 4 13 1,4 00,000 18.9 8 159 ,6 00,000 US US 3,9 00,000.0 Common Sha res 32.8 10/4 /2002 Nuveen Insured New York Ta x 8571.6 836 8.9 4 2002 15 38.9 81.8 10/4 /2002 Nuveen Insured Florida Ta x 836 8.9 4 2002 0.6 75 Yes 21 32.8 11/21/2002 2002 0.6 75 Yes UBS Wa rburg 60 38.9 81.8 11/21/2002 0.6 75 Yes UBS Investment Ba nk UBS Wa rburg 0.14 5 60 1,120,000.0 Common Sha res 35,89 2,9 00.0 ADS 16 UBS Wa rburg UBS Investment Ba nk 15 UBS-WARBURG 1,080.00 0.14 5 3,000,000 2.29 7 7.9 126 UBS Wa rburg 15 UBS-INV-BANK 15 4 ,000,000 4 .26 3 Comb. 15 UBS-WARBURG 15 Comb. 15 4 0,000,000 2.722 3.6 79 1.508 1.05 1.4 1.4 29 15 15 27 0.6 83 9 .026 WM-BLAIR CITIGROUP-SSB 15 0 15 0.833 Resta ura nt/Hotel Investment Fund 0 69 20 0.714 THOMAS-WEISEL Na sda q America n 9 /23/2002 AEW Rea l Esta te Income Fund 27 15 19 1.4 29 RYAN-BECK Pers/Bus/Rep Svc United Sta tes United Sta tes 4 /26 /2002 Sa fety Insura nce Group Inc 27 15 21 0.6 6 7 Other Fina nce Ma nufa cturing Na sda q Illinois Illinois 11/25/2002 NYSE AMEX NASDQ 4 .2 Sm Ca p Mkt Na sda q United Sta tes 5812 Prima ry Business not Hi-Tech 6 726 Prima ry Business not Hi-Tech 11/25/2002 U.S. Public U.S. Public U.S. Public 3.85714 United Sta tes United Sta tes Ca lifornia Own,op resta ura nts Closed-end investment fund 11/21/2002 US US US 4 .4 84 85 4 .55 New Jersey Pennsylva nia Dvlp hea lthca re softwa re COSI NKX 7 28,06 3,36 8.0 Common Sha res 1,350,000.0 Common Sha res 2,9 00,000.0 Ltd Prtnr Int 1.4 Bk hldg co Mnfr pla stic conta iners IMPC 7 4 .5 Comb. 15 Common Sha res 19 Ltd Prtnr Int 1,000 1.714 SOMH CNST 6 /4 /2002 Impa c Medica l Systems Inc 7372 Applica tions Softwa re(Business 1.508 1.4 4 .214 29 0.833 20.3 3.857 4 /17/2002 Cosi Inc 10/4 /2002 Nuveen Insured Ca lifornia Ta x 11/21/2002 6 712 Prima ry Business not Hi-Tech 3089 Prima ry Business not Hi-Tech Foreign 0.08 Comb. 11/21/2002 11/21/2002 11/19 /2002 9 /17/2002 Somerset Hills Ba ncorp 5/23/2002 Consta r Interna tiona l Inc 6 311 Prima ry Business not Hi-Tech 6 726 Prima ry Business not Hi-Tech 4 4 9 9 Prima ry Business not Hi-Tech 0.14 5 11.52 1.03 -0.9 5 -3.18 9 .57 -0.26 -1.59 33.7 4 8.51 20.88 50.6 3 8.56 15.8 38.9 7 8.84 15.72 4 2.27 -0.16 1.26 -0.4 6 -0.23 0.6 7 35.1 -2.21 8.4 6 4 1.78 5.6 7 8.84 15.72 4 2.27 -0.16 1.26 -0.4 6 1.05 33.2 2.23 6 .71 4 0.6 6 3.4 5 10.54 17.9 8 4 0.4 6 -1.39 0.53 0.9 7 33.2 2.23 6 .71 4 0.6 6 3.4 5 10.54 17.9 8 4 0.4 6 -1.39 0.53 0.9 7 26 .8 4 .6 5 5.77 5.8 10.4 6 17.9 5 36 .6 7 1.8 2.6 7 -2.03 5.4 1 12.4 9 6 .6 6 7.5 8.9 4 -1.56 8.9 8 -0.4 8 3.56 -3.16 27.9 2.9 -0.6 4 18.08 13.83 5.72 14 .81 -1.81 10.4 5 3.27 3.01 5.12 1.58 1.82 1.18 1.08 5.6 7 -1.56 3.06 -2.82 4 .34 8.9 4 3.12 0.28 37.27 10.6 9 -0.02 1.18 4 1.78 7.5 -1.4 4 4 .31 9 .4 4 .51 12.4 1 1.13 8.4 6 1.82 9 .6 5 -4 .51 5.4 5 3.4 7 11.76 -1.9 8 -2.21 24 .17 -1.37 -1.31 -0.58 10.6 9 1.6 1 -0.19 37 4 .51 -2.6 7 -3.4 1 -3.4 3 -2.4 3 35.1 3.88 3.4 7 1.2 -1.36 -3.4 2 0.75 37.1 2.4 7 24 .17 2.07 -7.85 -0.4 1 1.13 0.6 7 1.9 7 21.35 8.9 8 12.7 -3.4 2 -0.13 2.6 5 -3.07 35.13 10.05 1.05 4 .5 5.32 -0.11 14 .9 2 5.55 5.33 6 .4 1 -0.83 -2.83 24 .5 15.13 3.74 5.73 6 .11 0.4 2 3.01 21.7 1.52 4 .56 0.77 54 .4 9 35.22 25.3 4 .06 5.35 22.75 6 .59 13.11 8.72 1.11 26 .9 5 3.14 11.18 13.34 3.4 3 0.4 9 1.59 -0.23 -0.9 0.23 8.9 8 9 .5 12.9 2 3.88 3.18 0.4 6 -1.54 -0.55 -0.1 25.52 -0.3 24 .6 1 -0.25 27.09 0.18 -3.27 -1.86 -2.58 -1.56 2.11 2.4 4 -2.33 3.73 1016 .9 82.4 9 83.24 4 7.11 -70.4 6 -81.4 5 -15.86 9 6 8.9 5 1003.8 33.88 6 9 .6 7 Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1301237002 N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1334 6 4 9 002 Limited Pa rtnership Interest N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 13179 29 002 No 13276 87002 -6 0.9 -25.56 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 1319 389 002 -71.4 2 -4 6 .23 -4 7.9 1 4 32 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1338334 002 -11.6 1 -4 2.34 -4 8.4 8 -78.84 -6 0.36 -9 0.35 -24 .53 -55.08 Common Stock 6 0 Common Stock N N Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions SOLEMANAGD SYNDICATED No Yes No No No No 1335228002 13584 4 5002 -30.2 -6 6 .71 -78.21 -4 2.9 5 4 6 .3 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 13586 4 3002 -13.83 -4 8.9 7 -6 1.21 -26 .4 5 554 9 9 00 Common Stock N Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE No No No 13376 6 7002 -4 7.22 -34 .9 1 -24 .4 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 136 16 6 1002 19 3.51 217.5 N Common Stock -4 7.74 228.85 36 .16 59 .34 22.2 4 4 .75 59 .04 81.14 4 6 5.36 4 4 5.87 4 86 .25 -37.09 -6 9 .24 -87.89 -4 7 0.74 6 55.6 1 -80.6 3 -31.6 3 -4 9 .77 -0.01 1.6 4 .19 8.18 5.6 4 -29 .4 8 8.18 5.6 4 -4 7.6 1 4 .57 2.24 -1.31 4 .57 2.24 -29 .24 -55.08 -76 .76 3.03 3.6 7 -28.73 -54 .05 -75.6 137.75 -4 7.9 9 6 23.6 -9 7.87 6 05.59 -78.73 -100.2 -59 .82 -81.9 -77.9 6 -27.15 Common Stock -25.6 72.74 9 4 .72 4 9 9 .9 4 9 .24 3.26 58.4 Cla ss A Common Sha res 19 5.54 206 .6 7 -13.18 -23.15 182.52 1333851002 1334 085002 230.37 3.35 3.31 5 Common Stock 24 1.23 -34 .9 9 0.4 1 -1.26 19 .4 5 -50.13 -6 0.24 -12.11 20 N Exclude Spinoffs a nd Priva tiz a tions NOSYNDICATE No No -36 .8 Common Stock Common Stock N Y Exclude Spinoffs a nd Priva tiz a tions Subsidia ry IPOs (spinoffs) SYNDICATED SYNDICATED Yes Yes No No No No -5 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 307.5 Sha res of Beneficia l Interest N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 136 306 6 002 29 00 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1357873002 N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No P Priva tiz a tions SYNDICATED Yes No No 1334 839 002 -6 0.9 6 6 82.6 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 136 59 9 4 002 -4 2.4 4 59 9 9 9 00 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 13724 19 002 N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1370103002 N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1374 732002 104 9 9 9 00 Limited Pa rtnership Interest N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 137216 6 002 4 20 Limited Pa rtnership Interest N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 6 4 3.15 -100 -6 0.57 -4 8.82 -10.9 5 -38.88 -38.36 -4 Ordina ry Sha res 132716 1002 1334 175002 130876 1002 -75.3 America n Deposita ry Sha res 879 9 9 00 Limited Pa rtnership Interest 4 21.7 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 13586 58002 1371524 002 116 .13 9 4 .59 128.82 11.1 Common Stock 0.31 3.31 5.4 8 -89 .77 -101.2 -106 .4 -9 3.53 -11.1 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SOLEMANAGD No No No 136 3171002 3.51 0.9 7 3.36 -16 .81 -37.77 -57.75 -25.6 3 1205 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 1377519 002 1350024 002 12/9 /2004 12/10/2004 HouseVa lues Inc 9 /22/2004 Adez a Biomedica l Corp SOLD Pvd lea d mgmt svcs ADZ A Mnfr dia gnostic substa nces 12/10/2004 12/13/2004 11/29 /2004 Interna tiona l Shipping 12/10/2004 Bluelinx Holdings Inc ISHPU BXC Shipping compa ny Whl bldg prod 12/13/2004 11/24 /2004 Knoll Inc KNL Mnfr office furniture 12/13/2004 11/24 /2004 Ora nge 21 Inc 12/14 /2004 12/14 /2004 9 /30/2004 Ca sca de Microtech Inc ORNG Mnfr a ction sports prod Mnfr mea suring instruments 874 8 Prima ry Business not Hi-Tech Wa shington United Sta tes Na sda q Pers/Bus/Rep Svc C S-FB-C S JPM 2835 In -Vivo Di agn ostic Prod ucts In -Vitro Dia gno stic Produ cts Ca lifornia United Sta tes Na sda q Ma nufa cturing UBS-INV-BANK 4 4 12 Prima ry Business not Hi-Tech 5031 Prima ry Business not Hi-Tech 2522 Prima ry Business not Hi-Tech 1.05 1.12 United Sta tes United Sta tes OTC New York Tra nsporta tion Wholesa le SSEC GS United Sta tes New York Ma nufa cturing GS U BS-IN V-BANK 1.05 Comb. ROTH-CAPITAL 0.59 1 Comb. Ca lifornia United Sta tes Na sda q Ma nufa cturing Oregon United Sta tes Na sda q Ma nufa cturing LEH 0.9 8 1.4 4 .2 0.588 19 .159 3.75 0.34 5 4 9 .6 28 Na sda q Pers/Bus/Rep Svc BEAR New York Credit Inst. MORGAN-STANLEY 1.4 4 .2 Na sda q Ma nufa cturing SG-COWEN 1.4 17 4 .16 6 6 7 New York REIT FRIEDMAN-B 4 .23077 0.76 9 New York Wholesa le C S-FB-C S L EH 6 .875 1.375 1.375 4 .12533 0.6 6 7 New York Insura nce FRIEDMAN-B 0.6 6 5 0.13 0.135 0.4 0.1 7 1.36 8 1.4 21 4 .21053 1.053 14 .4 54 New York Tra nsporta tion MER RILL C ITIGR OU P 1.56 3 0.375 0.25 0.9 38 0.1 6 .252 1.5 1 3.752 0.4 38.4 6 5 SFC Rea l esta te investment trust Ariz ona United Sta tes New York 0.714 16 .34 2 203 203 14 Common Sha res 14 ,500,000.0 Common Sha res US U.S. Public 0.571 9 .207 114 .4 114 .4 17.5 Common Sha res 6 ,535,4 05.0 Common Sha res US U.S. Public NASDQ HLF wholesa le drugs ARBX Electronic tra ding 6 79 8 Prima ry Business not Hi-Tech 5122 Prima ry Business not Hi-Tech 7389 Internet Services & Softwa re MDH Rea l esta te investment trust 6 79 8 Prima ry Business not Hi-Tech OTT Telephone communica tions 4 813 Internet Services & Softwa re REIT BA-SEC -LLC C ITIGR OU P Foreign Ca yma n Isla nds New York Wholesa le MER RILL MORGAN-STANL EY New York United Sta tes Na sda q Pers/Bus/Rep Svc MERRILL Virginia United Sta tes America n REIT BB-T-CAP Ala ba ma United Sta tes America n Telephone Commun C IBC -WORL D R BC-CAP-MKTS U BS-IN V-BANK 0.77 Comb. Comb. 0.9 8 0.2 1.225 0.25 0.6 Comb. 0.9 12 7 0.1 0.2 0.24 5 Comb. 0.18 0.19 2 7 1.4 1.4 17 7 Comb. Comb. 7 Comb. 0.58 0.1 0.73 0.1 Comb. 7 1.4 29 7 1.4 29 0.36 0.1 0.1 6 4 .14 286 60 60 4 6 6 .7 6 6 .7 1311 Prima ry Business not Hi-Tech New York United Sta tes Na sda q Na tura l Resource KEY-MCDONALD 0.525 0.11 0.115 0.3 0.1 7 1.4 6 7 1.533 4 1.333 6 726 Prima ry Business not Hi-Tech Dela wa re United Sta tes New York Investment Fund CITIGROUP 1.125 0.235 0.14 0.75 0.1 4 .5 0.9 4 0.56 3 0.4 6 726 Prima ry Business not Hi-Tech New Jersey United Sta tes New York Investment Fund MERRILL 0.9 0.2 0.1 4 .5 1 FMO Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Illinois United Sta tes New York Investment Fund A-G-EDWARDS 0.9 Comb. PHD Closed-end investment fund 6 726 Prima ry Business not Hi-Tech Ma ssa chusetts United Sta tes New York Investment Fund MERRILL 0.9 0.1 4 .5 Comb. 4 .5 287 3.6 Closed-end investment fund 0.6 535 1 Oil a nd ga s expln,prodn 0.6 30 138.7 187.5 0.6 58 3.6 Closed-end investment fund 0.1 287 100.3 322.5 179 .6 3.5526 3 DSF Comb. 535 4 .1714 3 WRES 0.2 30 138.7 187.5 1.4 BGR 12/8/2004 FIDUCIARY/CLAYMORE MLP 100.3 322.5 179 .6 1.26 3 11/9 /2004 Defined Stra tegy Fund Inc 10/13/2004 Pioneer Floa ting Ra te Trust 14 .825 20.087 1.4 29 Comb. 11/24 /2004 Bla ckRock Globa l Energy 0.6 2.1 11.16 3 1.184 6 Comb. 0.54 25.9 6 1 1.4 17 12/22/2004 12/22/2004 20 United Sta tes 12/22/2004 12/22/2004 15 22 United Sta tes 11/16 /2004 Herba life Ltd 12/2/2004 Wa rren Resources Inc 17 NYSE United Sta tes 0.1 7.021 NASDQ U.S. Public United Sta tes 0.17 0.588 U.S. Public US United Kingdom 0.5 4 .176 4 7 US 23,809 ,524 .0 Common Sha res China 0.55 1.4 12 14 ,000,000.0 Common Sha res United Sta tes 0.6 3 1.4 12 Goldma n Sa chs & Co 17 Common Sha res 29 Common Sha res Minnesota 0.6 19 7 Citigroup 238 6 9 0.5 New York 0.17 0.1 16 CITIGROUP 238 New York 0.21 0.71 BB&T Ca pita l Ma rkets Citigroup Florida 11/29 /2004 ARBINET THEXCHANGE INC 0.24 0.5 Comb. 1 3 5,9 00,000.0 ADS US U.S. Public NASDQ 21,500,000.0 Common Sha res US U.S. Public NYSE 12 Common Sha res 2,500,000.0 Common Sha res US U.S. Public NASDQ 13 Common Sha res 10,6 6 6 ,6 6 7.0 Common Sha res US U.S. Public NYSE 15 Common Sha res 12,500,000.0 Common Sha res US U.S. Public NYSE 15 15 15 16 17 13 13 13 14 15 16 21 14 14 14 17 15 0.238 500 22 20 0.36 3 6 ,250,000 87.5 21,500,000 35 16 0 US U.S. Public NYSE 11 9 10 18,9 00,000 US U.S. Public NYSE 25 25 25 21,4 00,000 11 Common Sha res 26 ,086 ,9 57.0 Common Sha res US U.S. Public NYSE 12.5 10.5 11.5 26 ,086 ,9 57 NYSE 16 .5 14 .5 15.5 0.5 7.5 Common Sha res 16 6 ,000,000.0 Common Sha res US U.S. Public AMEX 11 4 ,386 ,4 6 7.0 Income Dep Sec US U.S. Public AMEX 16 .8 14 9 15.2 301 2,500,000 12,500,000 18,9 00,000.0 Common Sha res 15 10 16 14 ,500,000 6 ,535,4 05 6 ,000,000 8,9 84 ,39 9 6 ,000,000 200 189 535 15 15 15 16 17 0.24 0.21 13 0.17 14 Comb. 15 9 0.13 25 0.375 300 12.5 16 .5 16 60 11 14 3.8 16 .8 0.2 14 0.25 9 Comb. 5.736 71.3 71.3 9 ,500,000.0 Common Sha res US U.S. Public NASDQ 9 7 8 48 9 7 0.11 29 .9 25 665 665 25 Shs Benficl Int 26 ,6 00,000.0 Shs Benficl Int US U.S. Public NYSE 25 25 25 100,000 2.5 25 25 0.235 150 150 20 Common Sha res 7,500,000.0 Common Sha res US U.S. Public NYSE 20 20 20 10,000,000 200 20 20 0.2 14 .85 330 330 20 Common Sha res 16 ,500,000.0 Common Sha res US U.S. Public NYSE 20 20 20 50,000 1 20 4 51 20 Common Sha res 22,550,000.0 Common Sha res US U.S. Public NYSE 20 20 20 50,000 1 20 20 Pip er Jaffray Cos Thoma s Wei sel Pa rtn ers LLC Paci fic Crest Securi ti es In c 2004 SG-COWEN/THOMAS-WEISEL/WM-BLAIR SG C owe n Securi ti es Corp Thoma s Wei sel Pa rtn ers LLC Will ia m Bl air & Co 2004 CS-FB-CS/LEH Cre dit Sui sse Fi rst Boston C orp Le hman Bro th ers Ban c o f Ameri ca Secu rities LL C JP Morga n & C o In c Merri ll L ynch & Co In c First Alba ny Corpora tion 0.9 8 No 1.12 No 0.2 BA-SEC-LLC/JPM/MERRILL FIRST-ALBANY UBS-INV-BANK/ADAMS-HARKNESS BAIRD/FERRIS-BAKER CIBC-WORLD/SG-COWEN/A-G-EDWARDS Citigroup 1.19 No A-G-EDWARDS/RAYMOND /C ALYON-FIN AN/ SOC-GEN/TH IN K Goldma n Sa chs & Co 1.813 No C ITIGROUP/JPM/LEH/ML/UBS-INV-BAN K/ JEFFER IES Bea r Stea rns & Co Inc Bea r Stea rns & Co Inc Morga n Sta nley Morga n Sta nley 14 SG-COWEN SG Cowen Securities Corp SG Cowen Securities Corp Friedma n Billings Ra msey Group Friedma n Billings Ra msey Group Cred it Suisse Firs t Boston C orp Leh man Bro th ers Cred it Su isse First Boston Leh man Brothe rs 10 FRIEDMAN-B Friedma n Billings Ra msey Group Friedma n Billings Ra msey Group 25 MERRILL/* Merri ll Lyn ch & C o In c Citi grou p Merril l Lynch & Co Inc Citig roup Banc of Ameri ca Securi ti es LLC Citi grou p Banc of America Se curi ti es LLC Citig roup 15.5 MERRILL/* Merri ll Lyn ch & C o In c Morga n Stanl ey Merril l Lynch & Co Inc Morga n Sta nle y 15 MERRILL Merrill Lynch & Co Inc Merrill Lynch & Co Inc 8 KEY-MCDONALD PIPER-JAFFR AY/THOMAS-WEISEL / PAC IFIC -CREST 1.05 No 0.59 1 No 0.9 1 No 14 BEAR 16 CIBC-WORLD/* 1.05 No 1.12 No 0.4 2 No 0.9 4 5 No BB&T Ca pita l Ma rkets BB&T Ca pita l Ma rkets CIBC Wo rld Mar kets Inc RBC Ca pi ta l Markets UBS Investment Ban k CIBC Wo rld Marke ts Inc RBC Ca pital Ma rkets UBS In vestment Bank 1.19 No CLSA-EQUITY-CAP/CIBC-WORLD 1.05 No AL LEN/STEPH ENS/WEL LS-FARGO-SEC/ FERRIS-BAKER/JMP-SEC/THOMAS-WEISEL 0.84 No CIBC-WORLD/ADAMS-HARKNESS 2004 2004 2004 0.6 No KeyCorp/McDona ld Investments KeyCorp/McDona ld Investments 0.525 No 25 CITIGROUP Citigroup Citigroup 1.125 Yes 20 MERRILL Merrill Lynch & Co Inc Merrill Lynch & Co Inc 0.9 Yes AG Edwa rds & Sons Inc AG Edwa rds & Sons Inc 0.9 Yes 20 MERRILL Merrill Lynch & Co Inc Merrill Lynch & Co Inc 0.9 Yes 10776 .1 10513 10776 .1 104 75.9 10823.72 10513 10854 .5 104 28.02 10883.51 10556 .22 1079 6 .01 All en & Co Inc Steph ens Inc Well s Fa rgo Secu rities LL C Ferris , Bake r Watts, Inc. JMP Securi ti es LLC Thoma s Wei sel Pa rtn ers LLC CIBC World Ma rkets Inc Ada ms Harkn ess & H il l In c 2004 RBC C api tal Marke ts BB&T C ap ital Marke ts JP Morga n & C o In c Ro bert W Bai rd & Co Inc Will ia m Bl air & Co Sun Tru st Ro bin son Hu mphr ey Cre dit Sui sse Fi rst Boston C orp Sun Tru st Ca pi ta l Markets Jefferie s & C o Inc Le gg Maso n Wo od Walke r Inc Macq uari e Securi ties Ltd RBC C api tal Marke ts Ra ymond Ja mes & Associa te s Inc A-G-EDWARDS/BAIRD/LEGG-MASON-WW/ AG Ed ward s & So ns Inc R AYMON D/FL AGSTONE Ro bert W Bai rd & Co Inc Le gg Maso n Wo od Walke r Inc Ra ymond Ja mes & Associa te s Inc Flag stone Secu ritie s Inc BA-SEC-LLC/CS-FB-CS/CITIGROUP Ban c o f Ameri ca Secu rities LL C Cre dit Sui sse Fi rst Boston C orp Ci ti gro up SG-COWEN/WM-BLAIR/ADVANCED-EQ SG C owe n Securi ti es Corp Will ia m Bl air & Co Adva nced Eq uiti es Inc FERRIS-BAKER/HILLIARD/FLAGSTONE Ferris , Bake r Watts, Inc. JJB Hil li ard WL Lyon s Inc Flag stone Secu ritie s Inc H ARRN /D EU TSCHE-BK-SEC/KEY-MCDONAL D/ Ha rris Ne sbitt R AYMON D De utsche Ban k S ecuri ti es Corp . KeyC orp/McDo nal d In vestments Ra ymond Ja mes & Associa te s Inc JEFFERIES/SANDERS-HARRIS Jefferie s & C o Inc San ders Mor ris Harri s Inc MERR IL L/UBS-INV-BANK/WACHOVIA-S EC / Merri ll L ynch & Co In c AD VEST/HR -BL OC K-FIN/HILLIARD / UBS Investmen t Ban k JAN NEY-LLC /KEY-MC DONALD /LEGG-MASON - Wacho via Secu ritie s Inc WW/ Adve st Inc OPPENH EIMER-C O/RAYMOND /R BC-CAPH&R Bl ock Fina ncia l Adviso rs MKTS/ JJB Hil li ard WL Lyon s Inc R YAN-BECK/WED BUSH-M/WELLS-FARGO Jan ney Mon tg omery Scott L LC KeyC orp/McDo nal d In vestments Le gg Maso n Wo od Walke r Inc Oppe nhe imer & Co Inc Ra ymond Ja mes & Associa te s Inc RBC C api tal Marke ts Rya n Beck & C o Wedb ush Morg an Secu ritie s Well s Fa rgo Ban k N A AD VEST/FERRIS-BAKER/KEY-MCDONALD / Adve st Inc L EGG-MASON -WW/RBC-CAP-MKTS/STIFEL Ferris , Bake r Watts, Inc. KeyC orp/McDo nal d In vestments Le gg Maso n Wo od Walke r Inc RBC C api tal Marke ts Stifel N icol aus & Co Inc AD VEST/BB-T-C AP/C LAYMORE-SEC/ Adve st Inc FERRIS-BAKER/FIXED -INC /H IL LIARD/ BB&T C ap ital Marke ts KEY-MCD ON ALD/LEGG-MASON-WW/ Cl aymore S ecuri ti es In c MORGAN-KEEGAN/RBC-C APFerris , Bake r Watts, Inc. MKTS/WEDBU SH-M/ Fixed Inco me Securi ti es In c WELLS-FARGO-SEC JJB Hil li ard WL Lyon s Inc KeyC orp/McDo nal d In vestments Le gg Maso n Wo od Walke r Inc Morg an Kee gan Inc RBC C api tal Marke ts Wedb ush Morg an Secu ritie s Well s Fa rgo Secu rities LL C AD VEST/BAIRD/FERRIS-BAKER/HILLIARD/ Adve st Inc KEY-MCD ON ALD/MORGAN-KEEGAN / Ro bert W Bai rd & Co Inc OPPENH EIMER-C O/RBC -CAP-MKTS/RYA NFerris , Bake r Watts, Inc. BEC K/ JJB Hil li ard WL Lyon s Inc STIFEL/SU NTRUST-RH/WEDBUSH -M/ KeyC orp/McDo nal d In vestments WELLS-FARGO-SEC Morg an Kee gan Inc Oppe nhe imer & Co Inc RBC C api tal Marke ts Rya n Beck & C o Stifel N icol aus & Co Inc Sun Tru st Ro bin son Hu mphr ey Wedb ush Morg an Secu ritie s Well s Fa rgo Secu rities LL C 10520.3 10778.58 10522.2 10778.58 106 22.9 10715.8 106 04 10724 .6 3 10805.6 2 10851.51 10552.8 1054 3.2 10522.2 104 75.9 10778.58 10823.72 106 04 10724 .6 3 10851.51 106 21.03 1079 6 .01 10774 .36 1054 3.2 106 38.32 104 75.9 10823.72 106 21.03 1079 6 .01 10774 .36 106 38.32 106 21.03 1079 6 .01 10774 .36 106 38.32 10804 .51 106 76 .4 5 6 ,56 2,500 No 4 ,830,000 No 11,9 70,000 Yes 9 ,6 24 ,825 No 10883.51 10556 .22 1079 6 .01 10804 .51 106 76 .4 5 4 ,4 35,200 No 10883.51 10556 .22 1079 6 .01 10804 .51 106 76 .4 5 6 ,279 ,000 No 2004 53.2 106 9 1.4 5 10759 .4 3 10513 10854 .5 104 28.02 10883.51 10556 .22 1079 6 .01 10804 .51 106 76 .4 5 19 ,159 ,000 No 2004 7.73 106 9 1.4 5 10759 .4 3 10513 10854 .5 104 28.02 10883.51 10556 .22 1079 6 .01 10804 .51 106 76 .4 5 4 9 ,6 27,9 77 No 10513 10854 .5 104 28.02 10883.51 10556 .22 1079 6 .01 10804 .51 106 76 .4 5 7,021,000 No 29 .4 5 10705.6 4 25.35 106 9 1.4 5 10759 .4 3 10815.89 10523 10829 .2 1059 0.2 10881.6 7 106 17.78 1079 6 .01 1074 5.1 106 9 1.4 5 25,9 6 1,250 No 12.82 10705.6 4 10815.89 10523 10829 .2 1059 0.2 10881.6 7 106 17.78 1079 6 .01 1074 5.1 106 9 1.4 5 9 7.9 9 1.313 0.84 4 1.805 6 .75 104 28.02 104 28.02 2004 84 3,750 7 7 1,805,000 7 2,36 2,4 00 Yes 5,19 4 ,000 No 10854 .5 10854 .5 2004 7 1,312,500 7 13,337,258 Yes 10513 10513 2004 0.77 No 10827.12 10776 .1 10513 21.34 106 9 1.4 5 10759 .4 3 2004 0.9 8 No 10827.12 10827.12 104 77 10513 35.9 1 106 9 1.4 5 10759 .4 3 RBC-CAP-MKTS/BB-T-CAP 1.225 No 104 83 104 77 50.06 106 76 .4 5 106 6 1.6 4 8.9 2 106 9 1.4 5 10759 .4 3 2004 2004 JPM/BAIRD/WM-BLAIR/SUNTRUST-RH 0.9 12 No 1054 3.2 10705.6 4 1054 3.2 106 4 9 .9 2 80 1054 3.2 106 4 9 .9 2 33.74 106 76 .4 5 106 6 1.6 26 .52 106 76 .4 5 106 6 1.6 2004 0.9 1 No 1.56 3 No 25.19 26 .21 2004 UBS Investmen t Ban k Ada ms Harkn ess & H il l In c Ro bert W Bai rd & Co Inc Ferris , Bake r Watts, Inc. CIBC World Ma rkets Inc SG C owe n Securi ti es Corp AG Ed ward s & So ns Inc AG Ed ward s & So ns Inc Ra ymond Ja mes & Associa te s Inc Ca lyon Fin anci al Soci ete Ge nera le SA Thin kEqui ty Pa rtn ers Ci ti gro up JP Morga n & C o In c Le hman Bro th ers Merri ll L ynch Pie rce Fe nner & Smith UBS Investmen t Ban k Jefferie s & C o Inc CL SA Eq uity Cap ital Ma rkets L td CIBC World Ma rkets Inc 1.031 No 0.6 6 5 No 20 A-G-EDWARDS 20 Comb. 4 51 Roth Ca pita l Pa rtners Inc Lehma n Brothers 14 MORGAN-STANLEY 16 CS-FB-CS/LEH(JOINT) 10 BB-T-CAP 0.18 20.29 5 21 GS Roth Ca pita l Pa rtners Inc Lehma n Brothers 11.5 BA-SEC-LLC/* 10.5 Comb. 14 .5 15.2 Sunrise Securities Goldma n Sa chs & Co Go ldma n Sachs & Co UBS In vestment Bank 12 LEH 15 FRIEDMAN-B 0.206 11 25 224 .8 98 13 13 Sunrise Securities Goldma n Sa chs & Co Go ldm an Sach s & Co UBS Investment Ban k 8 ROTH-CAPITAL 0.19 6 212 21,4 00,000.0 Shs Benficl Int 10 Common Sha res 11 13,250,000 25 Shs Benficl Int 15.2 Income Dep Sec 7.5 Comb. 13 16 5 SSEC 16 GS 15 GS/* 14 Comb. 8.5 23,809 ,524 15 10,6 6 6 ,6 6 7 16 16 6 .75 3 3 0.5 17 ADS 15 Common Sha res 9 .5 Common Sha res UBS Investment Ba nk BB&T Ca pita l Ma rkets Citigroup Foreign 0.206 Cred it Su isse First Boston JP Mo rgan UBS Investment Ba nk 12 CITIGROUP Foreign Comb. Cred it Suisse Firs t Boston C orp JP Mo rga n & C o Inc 15 BB-T-CAP 0.182 South Ca rolina 0.17 11 CS-FB-CS/JPM(JOINT) 11 6 9 0.5 5 Comb. 15 0.19 15 UBS-INV-BANK 0.23 13 11 4 581 Prima ry Business not Hi-Tech 0.21 0.21 0.225 14 60 13 5074 Prima ry Business not Hi-Tech 0.206 10 54 5,000,000 16 5 17 14 6 3.6 3,6 00,000 14 NASDQ 6 311 Prima ry Business not Hi-Tech 1.05 12 16 19 5,300,000 15 12 NASDQ U.S. Public 6 14 1 Prima ry Business not Hi-Tech 0.84 56 .3 2,375,000 12 U.S. Public US 36 71 Oth er Electroni cs Semi cond ucto rs Rese arch & De velo pmen t Firm 6 79 8 Prima ry Business not Hi-Tech 0.9 1 Comb. 16 5.7 8 11 US 6 ,000,000.0 Common Sha res newly formed holding compa ny 1.031 85 152 11,04 5,34 8 7.5 13 3,9 6 0,000.0 Cla ss A Sha res 13 Common Sha res Pvd tra nsporta tion svcs Rea l esta te investment trust 3,750,000 6 8.8 17,000,000 9 ,500,000 15 8.5 NASDQ 1.25 6 ,250,000 5 16 16 NASDQ U.S. Public 1.4 11 15 5 15 OTC NYSE NYSE U.S. Public US 1.25 10 14 U.S. Public U.S. Public U.S. Public US 5,300,000.0 Common Sha res 5 17 14 US US US 3,4 80,000.0 Common Sha res 14 Common Sha res 16 Cla ss A Sha res 78 7 12 16 28,500,000.0 Common Sha res 9 ,500,000.0 Common Sha res 11,04 5,34 8.0 Common Sha res 8.75 Common Sha res 74 .2 6 .25 0.24 9 3.8 6 3.4 78 0.1 30.5 Whl ha rdwa re prod IBI 11/23/2004 KMG America Corp 12/16 /2004 NASDQ 60 74 .2 6 3.4 0.1 1.19 9 3.8 4 .4 35 6 .279 KMA FMP 6 /15/2004 Interline Bra nds Inc 12/15/2004 5/10/2004 Otelco Telecommunica tions Llc U.S. Public 15 Common Sha res 30.5 0.6 25 0.76 9 MIC 11/15/2004 Feldma n Ma ll Properties Inc 12/15/2004 12/15/2004 MHI Hospita lity Corp US 6 Common Sha res 13.5 Common Sha res 16 5.7 2.36 2 1.088 1.813 12/13/2004 Spirit Fina nce Corpora tion NASDQ 3,750,000.0 Common Sha res 171 128.3 16 5.7 5.19 4 0.714 1.19 GS 12/15/2004 U.S. Public 16 Common Sha res 171 128.3 13.337 0.238 CITIGROUP Resta ura nt/Hotel 0.6 7 0.714 6 .56 3 0.36 3 Resta ura nt/Hotel New York 12/15/2004 US 60 11.9 7 9 .6 25 1.14 3 0.238 Na sda q United Sta tes 12/16 /2004 6 ,250,000.0 Common Sha res 4 .83 0.74 1 0.36 3 United Sta tes Neva da 12/16 /2004 15 Common Sha res 0.6 25 4 .2 Wisconsin 12/16 /2004 0.6 6 7 4 .2 4 .1875 7011 Prima ry Business not Hi-Tech 7375 Internet Services & Softwa re 3.374 86 1.4 7011 Prima ry Business not Hi-Tech Mnfr lighting a pplica tions 4 .2 4 .1875 2.4 4 .22222 4 .2 Comb. 1.4 Own,op ca sino hotels Pvd online ga ming svcs 1.37 Comb. 1.4 38 Own,op ent resort Own,op ca sh a dva nce ctrs 1.4 1.4 06 Comb. 1.4 07 1.4 LVS OLED 1.4 1.4 06 7 Comb. 1.4 WOLF NCTY 7 7 1.4 38 12/7/2004 Grea t Wolf Resorts Inc AEA 6 .75 Comb. 7 11/22/2004 La s Vega s Sa nds Corp 6 /7/2004 Ma cqua rie Infra structure Co 7 Comb. 7 0.1 0.1 7 12/14 /2004 10/5/2004 Ca mbridge Displa y Technology 0.1 7 12/14 /2004 11/30/2004 The9 Ltd 0.1 0.1 0.6 3 0.1 BB-T-CAP CITIGROUP 12/13/2004 Adva nce Amer Ca sh Adva nce Ctrs 0.6 3 0.6 7 0.588 0.1 Construction Ma nufa cturing 0.19 6 0.29 5 0.54 6 Na sda q Na sda q 0.19 6 0.14 4 0.57 0.23 0.182 United Sta tes United Sta tes 12/15/2004 Comb. 0.23 0.182 Virginia Ca lifornia 12/15/2004 Comb. 1.12 0.9 1 1531 Prima ry Business not Hi-Tech 384 1 Ge nera l Med. In stru ments/Supp . Drug Deli very Sys(No t IV Sys) 12/15/2004 0.21 0.225 0.4 2 Comb. Comb. 0.9 4 5 0.19 0.185 builds homes Mnfr va scula r medica l devices 12/15/2004 0.21 0.225 New Jersey Georgia Pennsylva nia 3851 Prima ry Business not Hi-Tech 3825 Precision/Mea suring Test Equip CHCI CONR 12/14 /2004 8/13/2004 Comstock Homebuilding Co Inc CSCD 12/10/2004 Conor Medsystems Inc 12/14 /2004 2,100,000 No 10705.6 4 10815.89 10523 10829 .2 1059 0.2 10881.6 7 106 17.78 1079 6 .01 1074 5.1 106 9 1.4 5 11,16 2,6 6 7 Yes 4 2.75 10705.6 4 10815.89 10523 10829 .2 1059 0.2 10881.6 7 106 17.78 1079 6 .01 1074 5.1 106 9 1.4 5 14 ,824 ,9 38 No 7 0.84 4 2,319 ,523 1.758 20 20.09 Comb. 19 .58 2.32 Comb. 50 60 1.039 0.6 3 7 0.6 7 0.14 4 0.57 0.6 3 Comb. 1,038,800 0.588 4 06 ,820 7 -13.1 1.07 1.17 7 1.02 0.6 1 7 2.4 3 5 16 17,000,000 9 ,500,000 15 0.56 IPO No IPO No 1.4 16 1.4 16 0.4 25 8.025 4 1.08 10705.6 4 10815.89 10523 10829 .2 1059 0.2 10881.6 7 106 17.78 1079 6 .01 1074 5.1 106 9 1.4 5 20,086 ,9 57 Yes 24 .4 8 10705.6 4 10815.89 10523 10829 .2 1059 0.2 10881.6 7 106 17.78 1079 6 .01 1074 5.1 106 9 1.4 5 16 ,34 1,500 No 1054 8 10800.3 10585.1 10875.6 106 33.1 10705.6 4 9 ,206 ,751 No 7 2.9 1.6 34 9 9 .9 3 106 4 9 .9 2 10827.12 1054 8 10800.3 10585.1 10875.6 10505.83 1079 1.13 106 33.1 10705.6 4 3,6 00,000 Yes 6 4 2.9 1 106 4 9 .9 2 10827.12 1054 8 10800.3 10585.1 10875.6 10505.83 1079 1.13 106 33.1 10705.6 4 4 ,000,4 58 No 6 31.82 106 4 9 .9 2 10827.12 10585.1 10875.6 106 33.1 10705.6 4 4 ,189 ,000 13,54 5,000 1,250,000 20.4 1 20.4 1 Comb 789 ,56 4 0.79 19 .74 10505.83 1079 1.13 5,735,6 25 No 7 1,04 5,000 1.04 5 20.9 5 2004 9 9 .9 8 10827.12 10829 .2 106 09 1059 7.8 104 9 4 .2 10889 .4 4 10539 .9 7 10785.2 104 70.5 10815.89 29 ,9 25,000 No 4 .5 6 ,251,000 6 .251 20.89 2004 9 9 .9 3 10827.12 10829 .2 106 09 1059 7.8 104 9 4 .2 10889 .4 4 10539 .9 7 10785.2 104 70.5 10815.89 6 ,750,000 No 4 .5 1,500,000 1.5 2004 9 9 .9 7 10827.12 10829 .2 106 09 1059 7.8 104 9 4 .2 10889 .4 4 10539 .9 7 10785.2 104 70.5 10815.89 14 ,850,000 Yes 4 .5 2004 9 9 .9 8 10827.12 10829 .2 106 09 1059 7.8 104 9 4 .2 10889 .4 4 10539 .9 7 10785.2 104 70.5 10815.89 20,29 5,000 No 4 .5 4 ,510,000 22.22 Comb 4 .51 0.24 4 .189 0.21 0.17 5,86 6 ,6 6 7 Comb. 20 19 .55 23.9 9 7,735,000 22.22 0.206 13.55 59 .6 6 60 1.25 59 .52 5.86 7 4 ,515,000 7.735 60 0.4 25 20.17 4 .515 4 25,000 6 0.4 4 20 20.24 Comb. 2.578 19 .9 9 0.135 7.56 6 0.15 2,551,500 2.552 0.25 20.07 6 0.01 5,350,000 5.35 Comb. 8,4 10,000 4 ,770,84 6 0.2 0.24 5 2,16 0,000 Comb. 2,36 8,6 9 2 0.19 2 0.71 20.3 15.9 9 4 .771 59 .18 2,9 00,000 2.9 1,6 01,174 84 2,201 0.84 2 184 ,330 7 6 .875 14 1,100 2.4 2 -1.14 -1.14 805,200 20 Comb. 21.05 21 14 14 14 25 2.16 2.4 8 11.24 6 ,250,000 Sunrise Securities Gol dman Sa chs & C o Mo rgan Stan ley Gol dman Sa chs & C o U BS Inve stme nt Ba nk 2 5 5 15 No Yes 1 4 4 4 Yes 16 No Yes Domestic Domestic N N None None 11 11 1 2 1 4 1 4 6 4 28,500,000 9 ,500,000 2 000 000 0.00 6 .000 US 13.500 US Yes Yes Domestic N None 22 2 5 11,04 5,34 8 34 020 328 .0 0 15.000 US 5 5 IPO No No ROTH-CAPITAL ROTH-CAPITAL Roth Ca pita l Pa rtners Inc Domestic N None 11 1 2 2 IPO IPO No No LEH JPM BB-T-CAP LEH/JPM N None 11 2 4 4 BB-T-CAP L ehma n Brothers JP Morg an & Co Inc BB&T Ca pita l Ma rkets Domestic No Domestic N None 11 1 3 3 3 No CITIGROUP CITIGROUP Citigroup Domestic N None 11 1 4 4 4 No CITIGROUP CITIGROUP Citigroup Domestic N None 11 1 6 6 No GS GS Goldma n Sa chs & Co Domestic N None 11 1 Bea r Stea rns & Co Inc Yes Yes IPO IPO No No BEAR BEAR Interna tiona l N None 11 1 Yes IPO IPO No No MOR GAN -STANL EY BA-SEC-LLC WAC HOVIA-SEC MORGAN-STANL EY/BA-SEC-L LC/WACHOVIA- Mo rgan Stan ley SEC Ba nc of Ame rica Secu rities L LC Wach ovia Se curitie s Inc Domestic N None 11 3 Yes 2,500,000 Yes IPO IPO No No SG-COWEN SG-COWEN Interna tiona l N None 11 1 SG Cowen Securities Corp No 12,500,000 -13.16 -13.16 1.9 9 -0.28 6 73.4 303.3 54 .53 Yes IPO IPO No No FRIEDMAN-B FRIEDMAN-B Friedma n Billings Ra msey Group Domestic N None 11 1 252.9 No Yes IPO IPO No No CS-FB-C S LEH CS-FB-CS/LEH C redi t Sui sse Fi rst Bo sto n Corp L ehma n Brothers Domestic N None 22 2 7 3 9 3 3 6 7 3 9 3 3 6 7 216 ,4 20 10 18,9 00,000 No Yes IPO IPO No No FRIEDMAN-B FRIEDMAN-B Friedma n Billings Ra msey Group Domestic N None 11 1 3 3 6 .252 79 5,130 25 21,4 00,000 No Yes IPO IPO No No MERRILL CITIGR OU P MERRILL/CITIGROUP Me rrill L ynch & Co Inc C itigro up Domestic N None 22 2 7 7 805,19 0 11.5 26 ,086 ,9 57 No Yes IPO IPO No No BA-SEC-LLC CITIGR OU P CS-FB-C S BA-SEC-LLC/CITIGROUP/CS-FB-CS Ba nc of Ame rica Secu rities L LC C itigro up C redi t Sui sse Fi rst Bo sto n Corp Domestic N None 22 3 2,274 ,4 10 15.5 0.58 0.73 0.36 7 7 na 7 -86 .3 na 2.34 6 0.54 0.21 -0.26 0.32 16 7,86 0 -0.26 6 3,6 9 0 6 -1.2 11.27 114 .9 9 4 .2 3.6 27.8 4 .57 31.36 6 ,000,000 75.2 No -25 -8.9 3 3.27 -15.21 24 6 .9 50.1 22.89 3 3,750,000 15.000 US 6 030 26.00 12139 84 1 16 .000 US Yes 6 No 13.5 No Yes Yes Yes 15 No Yes 3,4 80,000 2 952 55.00 8.750 US Yes 5,300,000 55 336 11.00 14 .000 US 8.75 No Yes Yes 14 No Yes 16 Yes 13 No Yes 14 ,000,000 14 03289 6 17.000 US Yes 17 No Yes Yes 29 No Yes 9 37 23,809 ,524 2 502 8361 6.00 76 496 12 3.0 0 17.000 US Yes Yes Yes 0.53 0.34 -0.9 6 1.28 0.53 -0.9 6 1.3 1.55 1.74 -0.16 1.4 8 1.28 0.53 -0.9 6 -1.53 1.6 7 2.6 0.31 2.38 1.9 4 1.12 1.2 0.13 -0.6 3 2.6 9 -0.6 3 -1.18 2.6 9 1.3 0.2 1.55 -1.18 1.3 1.55 0.2 2.14 2.23 0.6 6 0.58 0.81 0.34 -3.2 1.4 9 1.53 1.26 1.24 -3.2 -4 1.53 0.27 1.24 1.9 8 -4 0.27 1.9 8 -4 0.27 1.9 8 -4 .5 0.8 3.01 -1.83 -2.21 1.18 1.76 0.6 3 6 .05 -1.85 -1.9 5 0.52 1.86 0.4 5 6 .05 5.4 2 6 -1.85 -2.4 -1.9 5 -3.34 -3.21 -4 .9 8 16 .1 15.56 0.39 0.52 -0.34 1.86 0.52 0.4 5 1.71 -2.4 -3.34 -4 .9 8 15.56 0.39 -0.34 0.52 1.71 -2.4 -3.34 -4 .9 8 15.56 0.39 -0.34 0.52 1.71 -3.71 -3.85 -5.04 0.19 0.17 0.84 2.52 5.4 2 5.4 2 -3.18 16 .24 -0.1 16 .1 -0.11 2.2 34 .81 -0.15 -0.7 4 0.4 3 12.6 4 -0.7 13.6 4 -0.7 -52.4 7 -1.9 9 1.9 4 -1.13 1.12 1.2 0.13 -0.4 1 -4 .5 0.8 3.01 4 .76 -3.71 -3.85 -5.04 15 0.19 0.17 0.84 2.52 -1.6 9 -4 1.71 1.9 4 -1.13 1.12 1.2 0.13 -0.4 1 -4 .5 0.8 3.01 4 .76 -3.71 -3.85 -5.04 15 0.19 0.17 0.84 2.52 -1.6 9 74 .73 2,100,000 2,100 0.14 0.78 -1.53 1.6 7 2.38 1.9 4 -1.13 1.12 1.2 0.13 -0.4 1 -4 .5 0.8 3.01 4 .76 -3.71 -3.85 -5.04 15 0.19 0.17 0.84 2.52 -1.6 9 3,571 0.14 0.78 -1.53 1.6 7 2.38 1.9 4 -1.13 1.12 1.2 0.13 -0.4 1 -4 .5 0.8 3.01 4 .76 -3.71 -3.85 -5.04 15 0.19 0.17 0.84 2.52 -1.6 9 2.38 1.9 4 -1.6 9 -13.84 19 .01 30.06 -3.26 13.07 -6 8.36 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 31.73 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 37.6 2 9 .58 -0.87 6 7.6 Common Stock Common Stock N N Exclude Spinoffs a nd Priva tiz a tions Exclude Spinoffs a nd Priva tiz a tions SYNDICATED SYNDICATED Yes Yes No No No No 16 209 04 002 159 79 6 9 002 Common Stock Y Subsidia ry IPOs (spinoffs) SYNDICATED Yes No Yes 16 026 19 002 No 16 04 075002 13.6 1 -55.53 4 6 .5 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 10 Cla ss A Common Sha res N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 159 4 008002 71.71 20 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Yes 16 0524 3002 -4 0.6 1 -53.32 -4 1.17 5.7 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 159 36 83002 59 .79 4 7.08 59 .23 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 159 86 54 002 9 11 0.14 -1.53 1.6 7 1.12 1.2 -0.4 1 -4 .5 0.8 3.01 4 .76 -3.71 -3.85 -5.04 15 0.19 0.17 0.84 2.52 3,225,000 3,225 0.13 1.16 -1.58 1.29 0.9 6 1.78 -0.6 9 0.9 8 0.5 -0.76 -0.26 -4 .3 0.6 7 1.14 4 .54 -3.24 -3.9 7 -5.9 13.74 -0.21 0.32 0.6 4 1.2 -1.5 375 0.13 1.16 -1.58 1.29 0.9 6 1.78 -0.6 9 0.9 8 0.5 -0.76 -0.26 -4 .3 0.6 7 1.14 4 .54 -3.24 -3.9 7 -5.9 13.74 -0.21 0.32 0.6 4 1.2 -1.5 Yes 1,6 00,000 1,6 00 0.13 1.16 -1.58 1.29 0.9 6 1.78 -0.6 9 0.9 8 0.5 -0.76 -0.26 -4 .3 0.6 7 1.14 4 .54 -3.24 -3.9 7 -5.9 13.74 -0.21 0.32 0.6 4 1.2 -1.5 -15.6 7 -18.13 Yes 1,875,000 1,875 0.13 1.16 -1.58 1.29 0.9 6 1.78 -0.6 9 0.9 8 0.5 -0.76 -0.26 -4 .3 0.6 7 1.14 4 .54 -3.24 -3.9 7 -5.9 13.74 -0.21 0.32 0.6 4 1.2 -1.5 6 4 .4 7 6 2.01 4 9 .9 Yes 2,835,000 2,835 0.13 1.16 -1.58 1.29 0.9 6 1.78 -0.6 9 0.9 8 0.5 -0.76 -0.26 -4 .3 0.6 7 1.14 4 .54 -3.24 -3.9 7 -5.9 13.74 -0.21 0.32 0.6 4 1.2 -1.5 -1.54 -13.6 5 -2.03 Yes 3,210,000 3,210 0.13 1.16 -1.58 1.29 0.9 6 1.78 -0.6 9 0.9 8 0.5 -0.76 -0.26 -4 .3 0.6 7 1.14 4 .54 -3.24 -3.9 7 -5.9 13.74 -0.21 0.32 0.6 4 1.2 -1.5 31.33 19 .22 30.84 11 26 ,086 ,9 57 11.000 US Yes 11 No Yes 1.78 -0.6 9 0.9 8 0.5 -0.76 -0.26 -4 .3 0.6 7 1.14 4 .54 -3.24 -3.9 7 13.74 -0.21 0.32 0.6 4 1.78 -0.6 9 0.9 8 0.5 -0.76 -0.26 -4 .3 0.6 7 1.14 4 .54 -3.24 -3.9 7 -5.9 13.74 -0.21 0.32 0.6 4 1.2 0.8 -0.6 8 1.5 0.12 4 .9 5 -3.52 -2.9 5 -6 .08 13.86 -0.75 0.58 0.86 1.08 6 .05 3.59 -8.52 N None 22 2 -1.5 14 4 .23 14 1.76 129 .6 5 N None 11 2 5 5 -2.14 -6 4 .05 -6 7.4 5 -79 .4 8 1 4 4 4 6 ,000,000 10.000 US Yes 10 No Yes 9 00 -0.52 1.14 -1.4 8 0.88 1.14 1.59 -1.87 0.8 -0.6 8 -0.51 0.6 7 -3.6 1.5 0.12 4 .9 5 -3.52 -2.9 5 -6 .08 13.86 -0.75 0.58 0.86 1.08 -2.14 -6 .9 9 -10.39 -22.4 3 -10.3 3 7 7 19 8,6 59 ,000 15.200 US Yes 15.2 No Yes 6 72 -0.52 1.14 -1.4 8 0.88 1.14 1.59 -1.87 0.8 -0.6 8 -0.51 0.6 7 -3.6 1.5 0.12 4 .9 5 -3.52 -2.9 5 -6 .08 13.86 -0.75 0.58 0.86 1.08 -2.14 19 .06 15.6 6 3.6 3 15.75 -3.6 -2.14 9 6 .81 Domestic N None 11 N None 33 5 3 5 57.14 1,09 2,500 1.09 3 21.9 0.3 6 54 ,330 8 157.6 No Yes IPO IPO No No KEY-MCDONALD KEY-MCDONALD KeyCorp/McDona ld Investments Domestic N None 11 1 3,724 ,000 3.724 12.4 4 0.75 4 .5 701,9 50 25 100,000 No Yes IPO IPO No No CITIGROUP CITIGROUP Citigroup Domestic N None 11 1 750,000 0.75 11.11 0.6 4 .5 121,6 50 20 10,000,000 No Yes IPO IPO No No MERRILL NUVEEN -INV MERRILL/NUVEEN-INV Me rrill L ynch & Co Inc N uveen Inve stme nts L LC Domestic N None 11 2 0.6 4 .5 308,220 20 50,000 No Yes IPO IPO No No A-G-EDWARD S WAC HOVIA-SEC A-G-EDWARDS/WACHOVIA-SEC AG Edwa rds & So ns In c Wach ovia Se curitie s Inc Domestic N None 11 2 14 14 2,255,000 2.255 0.6 4 .5 4 01,6 20 20 50,000 No Yes IPO IPO No No MERRILL UBS-INV-BANK A-G-EDWARD S MERRILL/UBS-INV-BANK/A-G-EDWARDS Me rrill L ynch & Co Inc U BS Inve stme nt Ba nk AG Edwa rds & So ns In c Domestic N None 11 3 16 16 16 8 3 16 8 9 5 -1.58 1.29 0.9 6 1.16 -1.58 1.29 0.9 6 1.14 -1.4 8 1.14 1.59 -1.87 -0.51 0.6 7 -3.6 1.2 5 9 ,500,000 7.500 US Yes 7.5 No Yes 1,4 25 -0.52 1.14 -1.4 8 0.88 1.14 1.59 -1.87 0.8 -0.6 8 -0.51 0.6 7 1.5 0.12 4 .9 5 -3.52 -2.9 5 -6 .08 13.86 -0.75 0.58 0.86 26 ,6 00,000 25.000 US Yes 25 No Yes 3,9 9 0 0.1 0.12 -1.9 1 -2.02 3.07 0.6 8 -2.55 -0.28 -3.19 0.17 0.9 3 -3.2 -3.05 1.4 5 4 .15 -3.87 -4 .56 -7.77 13.4 3 0.05 0.32 -2.14 2.26 -2.06 43 7,500,000 20.000 US Yes 20 No Yes 1,125 0.1 0.12 -1.9 1 -2.02 3.07 0.6 8 -2.55 -0.28 -3.19 0.17 0.9 3 -3.2 -3.05 1.4 5 4 .15 -3.87 -4 .56 -7.77 13.4 3 0.05 0.32 -2.14 2.26 -2.06 16 ,500,000 20.000 US Yes 20 No Yes 2,4 75 0.1 0.12 -1.9 1 -2.02 3.07 0.6 8 -2.55 -0.28 -3.19 0.17 0.9 3 -3.2 -3.05 1.4 5 4 .15 -3.87 -4 .56 -7.77 13.4 3 0.05 0.32 -2.14 2.26 -2.06 22,550,000 20.000 US Yes 20 No Yes 3,382 0.1 0.12 -1.9 1 -2.02 3.07 0.6 8 -2.55 -0.28 -3.19 0.17 0.9 3 -3.2 -3.05 1.4 5 4 .15 -3.87 -4 .56 -7.77 13.4 3 0.05 0.32 -2.14 2.26 -2.06 70 1.08 -1.5 45 26 1,4 25,000 0.88 -5.9 No No Interna tiona l Domestic 1.16 No No Yes Domestic BB&T Ca pita l Ma rkets 0.13 No No Yes SYNDICATED Me rrill L ynch & Co Inc Mo rgan Stan ley C IBC Worl d Markets In c R BC Cap ital Mark ets U BS Inve stme nt Ba nk 0.13 No Yes SYNDICATED Exclude Spinoffs a nd Priva tiz a tions Me rrill L ynch & Co Inc L ehma n Brothers BB-T-CAP -0.52 Yes SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N MERRILL/MORGAN-STANLEY CIBC-WORLD/RBC-CAP-MKTS/UBS-INV-BANK 9 80 No SYNDICATED Exclude Spinoffs a nd Priva tiz a tions N Common Stock MERRILL/LEH BB-T-CAP 2,175 No Exclude Spinoffs a nd Priva tiz a tions N Common Stock 6 1.52 MERRILL MOR GAN -STANL EY CIBC-WORL D RBC-CA P-MKTS UBS-INV-BANK 9 80,310 12.36 MERRILL LEH No 2,175,000 Yes N Common Stock -18.6 2 No No Yes SYNDICATED Common Stock -26 .25 No No Yes 0.21 No No 14 No Exclude Spinoffs a nd Priva tiz a tions -13.35 -37.87 -30.24 No IPO 17.5 No N -24 .9 7 IPO IPO Yes -25.76 IPO IPO Yes -12.86 -23.3 IPO IPO 14 .000 US 12.9 2 -10.4 0.9 2 159 2557002 -5 -4 4 .72 59 .57 25 No 33.79 159 7784 002 -17.15 -56 .87 72.28 13 No 17.500 US 15.38 13.4 7 -55.11 -4 .4 4 15 No 6 ,535,4 05 1 5751 704 .0 0 0.13 6 2.25 39 .22 10 9 .5 No 14 ,500,000 51 400 00 0.00 -1.13 -38.16 -0.57 32.09 -4 4 .16 Yes 3,9 13 0.78 15 -0.15 -1.6 9 2.38 2.38 Yes 4 .76 -3.21 1.6 7 1.6 7 Yes -0.4 1 -2.9 -1.53 -1.53 3,571,4 29 -1.13 -0.04 0.78 0.78 Yes Yes Yes -0.6 6 1.01 0.22 0.22 Yes 251213 13.000 US 19 250000 15.000 US 12 No 2.9 2 1.28 -1.18 0.78 1.01 0.14 9 .500 US 2,500,000 12,500,000 9 17 Yes 1.4 5 0.14 9 00 2000100 25.000 US 21,500,000 72 494 7.00 10,6 6 6 ,6 6 7 6 15 No 1.72 1.4 8 1.4 8 0.22 0.14 0.36 0.36 59 4 21,4 00,000 7 15.000 US 520,000 9 00,000 18,9 00,000 9 15380114 12.000 US 2.4 2.9 2 0.58 -0.16 -0.16 0.36 4 ,275 1,4 25 -0.09 56 2 6 85,000 7 11 5,9 00,000 29 .000 US 1.55 1.72 2.23 1.74 1.74 520 79 5 56 2,500 Yes Yes 1,6 56 ,802 1,6 56 Yes 16 .000 US 13.000 US 70 66 667 .0 0 6 ,000,000 1 671 022 0.00 75 382 62.00 IPO Yes Yes 8 6 13 6 ,250,000 1 8035 774 .0 0 3,9 6 0,000 Yes No 8 2 9 Yes 39 .7 No 4 .5 6 6 .6 7 11.11 -0.1 -0.32 1.51 19 .9 5 6 6 .6 7 Comb. -0.3 5.6 2 0.1 6 6 .6 7 -0.84 83.33 -38.4 6 0.14 9 .9 -0.6 1 6 ,000,000 -38.4 6 0.115 13.53 6 6 .6 7 7 Yes 6 ,535,4 05 54 .6 9 2,850,000 0.1 -1 14 ,500,000 8,9 84 ,39 9 4 ,500,000 13,530,000 -0.6 1 10 19 ,9 50,000 9 ,9 00,000 Comb. -28.9 Loss 15 16 6 IPO Yes No 21,500,000 15 10,6 6 6 ,6 6 7 16 SSEC GS/MORGAN-STANLEY GS/UBS-INV-BANK Yes 70.2 No 79 0.4 7 20.4 1 1.6 01 60 59 .21 2.85 59 .59 4 6 5,500 1,131,6 80 7 9 1.3 na 16 SSEC GS MOR GAN -STANL EY GS UBS-INV-BANK No 32.56 0.9 38 Comb. 8.4 1 2.16 2.36 9 774 ,79 0 7 0.5 0.6 19 109 ,09 0 7 0.6 3 0.55 2,577,500 7,56 0,000 20,073,200 Comb 7 2,9 00,000 7 1,6 33,851 31.08 106 4 9 .9 2 2004 2004 20 20.24 Comb 2.4 57 2004 20.17 4 .515 2.579 11 IPO 1,4 16 ,000 4 25,000 7 2,4 57,000 22 None IPO 16 ,89 7,020 7 None N Yes 329 ,86 0 6 .25 7 N Domestic Yes 7 1.088 7 1,4 16 ,000 Domestic UBS Investment Ba nk No 0.714 20 7 4 ,515,000 C redi t Sui sse Fi rst Bo sto n Corp JP Morg an & Co Inc UBS-INV-BANK No 20 8.6 31 6 .252 8,025,000 CS-FB-CS/JPM UBS-INV-BANK 13,250,000 3.332 8,6 30,9 52 6 .875 2,578,750 CS-FB-C S JPM No No No 23,809 ,524 3,332,000 60 14 ,4 53,775 No No No No No No No 60 38,4 6 5,4 30 No No No IPO IPO IPO No 0.238 9 .9 9 6 1074 5.1 106 9 1.4 5 IPO IPO IPO IPO IPO IPO 25,89 2,857 1074 5.1 106 9 1.4 5 IPO IPO Yes Yes Yes IPO 9 ,9 9 6 ,000 106 17.78 1079 6 .01 Yes Yes IPO 7 7 2,375,000 No 14 1.5 No -21.3 No 82.86 IPO 20 106 17.78 1079 6 .01 6 84 .1 39 2.9 Yes 20 10881.6 7 56 6 .7 Yes 3.332 10881.6 7 1,137.10 No 8.6 31 1059 0.2 2 4 .6 9 No 7 3,332,000 1059 0.2 8.04 -12.26 5,000,000 6 .25 8,6 30,9 52 10829 .2 2.88 27.27 -33.6 6 3,6 00,000 0.54 6 10829 .2 13.24 5,300,000 15 12 20 10523 15.34 12 20.54 1.09 2 10523 3,750,000 8 157,870 0.4 3 0.9 11 1,09 2,000 25.89 No No 11,04 5,34 8 1.8 35,26 0 0.59 9 10,800 60 0.36 3 6 ,250,000 15 185,14 0 4 70,550 0.88 0.55 6 .75 17.5 na 0.6 7 11 379 ,770 7 7 21 na 29 .1 0.29 5 20 59 .82 10815.89 10800.3 1.313 84 3,750 1,757,500 60 2.6 53 3.276 10815.89 1054 8 1,312,500 59 .82 34 .29 6 0.32 1.028 3.116 0.182 9 8.4 8 10705.6 4 2004 60 2.513 4 .104 5.4 15 0.23 3,276 ,000 9 2.4 8 10705.6 4 1079 1.13 3.9 38 6 .9 59 2,6 53,200 20 2004 10505.83 0.225 3,116 ,4 00 0.19 6 20.54 2004 10827.12 0.21 2,512,500 4 ,104 ,000 Comb. 5,4 15,000 0.185 1,027,6 4 4 Comb. 20 0.9 11 1.09 2 CS-FB-CS/SUNTRUST-CAP 2004 3,9 37,500 6 ,9 58,56 9 Comb. Comb 1.039 9 10,800 7 1,09 2,000 JEFFER IES/LEGG-MAS ON -WW/ MAC QU ARIE-SEC UR/RBC -CAPMKTS/RAYMOND 2004 20 20.09 Comb 20.11 Comb 7 1,038,800 158004 8002 Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 159 19 6 1002 Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No Common Stock -51.2 Income Deposit Securities (IDS) 16 07820002 1586 14 8002 Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 16 02159 002 Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 15854 38002 N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 159 6 34 7002 -10.84 0.81 N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 16 1186 5002 -23.6 5 -25 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 159 5752002 -7.55 -11.4 6 -22.9 9 -11.35 329 00 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 16 09 6 38002 -27.34 -15.7 4 5000 Common Stock N Exclude Spinoffs a nd Priva tiz a tions SYNDICATED Yes No No 16 2054 2002 -15.81 58.3 Common Stock 1532838002 16 11135002 Yes N N -35.29 -11.9 9 3.5 159 1223002 159 4 24 2002 N N -23.76 0.7 81.38 1515317002 159 4 026 002 No Common Stock Sha res of Beneficia l Interest -19 .85 4 .6 9 3.4 1 3.1 14 1.28 -6 7.36 -5.6 America n Deposita ry Sha res 1503175002 26 500 Sha res of Beneficia l Interest ...
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This note was uploaded on 12/13/2011 for the course FINC 322 taught by Professor Nazar during the Fall '11 term at Ferris State.

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