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Completed Offerings

 
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Company
Offering Type
Final Price
Final Date
Ticker
3DO
Follow-On
$5.44
7/22/1999
THDO
5-Year SUNS based on the S&P 500
Derivative
$10.00
1/31/2002
SPJ
A.C. Moore Arts & Crafts
Secondary
$32.00
3/11/2002
ACMR
Accredited Home Lenders
IPO
$8.00
2/14/2003
LEND
ACLARA Biosciences, Inc.
IPO
$21.00
3/20/2000
ACLA
Aeropostale, Inc.
IPO
$18.00
5/15/2002
ARO
AIM Select Real Estate Income Fund
Mutual Fund
$15.00
5/28/2002
RRE
Alliance California Municipal Income Fund, Inc.
Mutual Fund
$15.00
1/24/2002
AKP
American Financial Realty Inc
IPO
$12.50
6/24/2003
AFR
American Home Mortgage
Follow-On
$10.25
6/27/2001
AHMH
American Home Mortgage Holdings Inc.
Secondary
$10.75
6/24/2002
AHMH
American Mortgage Acceptance Co.
Secondary
13.50
2/11/2002
AMC
Annaly Mortgage Management
Follow-On
$12.73
9/20/2001
NLY
Annaly Mortgage Management
Follow-On
$16.00
1/17/2002
NLY
Annaly Mortgage Management
Follow-On
$11.00
4/24/2001
NLY
Anworth Mortgage Asset Corp.
Follow-on
$8.85
2/11/2002
ANH
Anworth Mortgage Asset Corp.
Follow-On
$8.30
12/21/2001
ANH
Anworth Mortgage Asset Corporation
Secondary
$13.00
6/20/2002
ANH
Big 5 Sporting Goods Corporation
IPO
$13.00
6/24/2002
BGFV
Black Rock Municipal 2018 Term Trust
Mutual Fund
$15.00
10/25/2001
BPK
Blackrock California Insured Muncipal Income Trust
Mutual Fund
$15.00
10/28/2002
BCK
BlackRock California Municipal 2018 Term Trust
Mutual Fund
$15
10/25/2001
BJZ
BlackRock California Municipal Bond Trust
Mutual Fund
$15.00
4/25/2002
BZA
BlackRock Core Bond Trust
Mutual Fund
$15.00
11/27/2001
BHK
Blackrock Insured Muncipal Income Trust
Mutual Fund
$15.00
10/28/2002
BYM
BlackRock Municipal Bond Trust
Mutual Fund
$15.00
4/25/2002
BBK
BlackRock Strategic Bond Trust
Mutual Fund
$15.00
2/25/2002
BHD
Briazz
IPO
$8.00
5/1/2001
BRZZ
Calamos Convertible & High Income Fund
Closed End Fund
$15.00
5/28/2003
CHY
Caminus Corporation
IPO
$16.00
1/27/2000
CAMZ
Capital Crossing Bank
IPO
$10.00
5/21/2001
CAPXO
ChipPAC, Inc.
Secondary
$8.75
5/23/2002
CHPC
ChipPAC, Inc.
Secondary
$6.00
1/24/2002
CHPC
Collectors Universe
IPO
$6.00
11/4/1999
CLCT
Cosi
IPO
$7.00
11/22/2002
COSI
Dell Targets Trust
Public Offering
$10.00
2/25/2003
TGD
Eaton Vance Insured California Municipal Bond Fund
Closed-End Fund
$15.00
8/28/2002
EVM
EATON VANCE INSURED MUNICIPAL BOND FUND
Closed-End Fund
$15.00
8/28/2002
EIM
Electronics Boutique
Follow-On
$29.00
8/8/2001
ELBO
ELKS (Equity Linked Securities)
Derivative
$10.00
8/15/2002
ESK
ELKS based on Cisco Systems, Inc.
Derivative
$10.00
1/17/2002
ECI
ELKS based on Intel
Derivative
$10.00
4/11/2002
EIT
ELKS based on Motorola
Derivative
$10.00
2/14/2002
EMV
Emerge Interactive
IPO
$15.00
2/1/2000
EMRG
Eon Labs, Inc.
IPO
$15.00
5/22/2002
ELAB
Fairchild Semiconductor
Follow-On
$33.44
1/20/2000
FCS
FBR Asset Investment Corp.
Secondary
$27.90
4/3/2002
FB
FBR Asset Management
Secondary
$26.50
1/28/2002
FBR
Friedman's Inc.
Secondary
$16.00
2/4/2002
THOR
Gart Sports Company
Secondary
$32.00
5/22/2002
GRTS
GoTo
Follow-On
$16.50
6/28/2001
GOTO
Harvard Bioscience Inc.
IPO
$8.00
12/1/2000
HBIO
HealtheTech, Inc.
IPO
$7.50
7/12/2002
HETC
i3 Mobile Inc.
IPO
$16.00
4/6/2000
IIIM
Impac Mortgage Holdings Inc.
Secondary
$8.25
2/7/2002
IMH
Integrated Circuit Systems
Follow-On
$15.00
5/24/2001
ICST
Integrated Defense Technologies
IPO
$22.00
2/26/2002
IDE
Jakks Pacific Inc.
Follow-On
$25.00
12/2/1999
JAKK
JOHN HANCOCK PREFERRED EQUITY INCOME FUND
Closed-End Fund
$25.00
8/21/2002
HPI
John Hancock Preferred Income Fund 3
Closed-end Fund
25.00
6/16/2003
HPS
LCM Internet Growth Fund, Inc.
IPO
$10.00
10/25/1999
FND
Lehman Bros. NASDAQ RANGERS
Derivative
$1,000
11/6/2002
RLN.C
Lehman Bros. SUNS based on S&P 500
Derivative
$1,000
9/23/2002
PSZ.D
Lehman Brothers 3 Year SUNS
Derivative
$1,000.00
2/14/2002
BTG.A
Magma Design Automation
IPO
$13.00
11/19/2001
LAVA
Maguire Properties Inc
IPO
$19.00
6/24/2003
MPG
Medical Staffing Network Holdings
IPO
$19.00
4/17/2002
MRN
meVC Draper Fisher Jurvetson Fund I, Inc.
IPO
$20.00
3/27/2000
MVC
Midway Games Inc.
Secondary
$15.00
12/13/2001
MWY
Mobility Electronics, Inc.
IPO
$12.00
6/30/2000
MOBE
MSC Software
Follow-On
$17.75
7/26/2001
MNS
Neoforma.com
IPO
$13.00
1/24/2000
NEOF
Neuberger & Berman Income Opportunity Fund
Closed-end Fund
$15.00
6/24/2003
NOX
New Colony Equity Income Fund
Closed End Fund
$20.00
NEF
Nicholas-Applegate Convertible & Income Fund
Closed End Fund
$15.00
3/26/2003
NCV
Nuveen California Dividend Advantage
Mutual Fund
$15.00
9/25/2001
NZH
Nuveen Dividend Advantage
Mutual Fund
$15.00
9/25/2001
NZF
Nuveen Insured California
Mutual Fund
$15.00
3/25/2002
NKL
Nuveen Insured National
Mutual Fund
$15.00
3/25/2002
NVG
Nuveen Insured Tax Free Advantage
Municipal Fund
NEA
Nuveen Preferred & Convertible Fund 2
Closed-end Fund
$15.00
6/25/2003
JQC
Nuveen Preferred & Convertible Income Fund
Closed End Fund
$15.00
3/26/2003
JPC
Nuveen Real Estate Income Fund
Mutual Fund
$15.00
11/15/2001
JRS
Obie Media
Follow-On
$11.00
8/10/1999
OBIE
One Liberty Properties, Inc.
Secondary
$15.25
5/23/2002
OLP
Peets Coffee & Tea, Inc.
IPO
8.00
1/1/2001
PEET
PIMCO California Municipal Income Fund III
Mutual Fund
$15.00
10/28/2002
PZC
PIMCO Corporate Income Fund
Mutual Fund
$15.00
12/18/2001
PCN
PIMCO High Income Fund
Closed End Fund
$15.00
4/24/2003
PHK
PIMCO Municipal Income Fund
Mutual Fund
$15.00
6/25/2001
PCQ
PIMCO Municipal Income Fund III
Mutual Fund
$15.00
10/28/2002
PMX
PIMCO Municipal Income Funds II
Mutual Fund
$15.00
6/25/2002
PCK
Polycom, Inc
Secondary
$31.02
1/29/2002
PLCM
Radiance Medical Systems , Inc.
Secondary
$ 9.50
9/1/2000
RADX
Regal Entertainment Group
IPO
$19.00
5/8/2002
RGC
Register.com
IPO
$24.00
3/2/2000
RCOM
RMK High Income Fund
Closed-end Fund
$15.00
6/24/2003
RMH
Safety First Investments - TIERS
Closed End Fund
$10.00
1/26/2003
SMS
Scudder RREEF Real Estate Fund
Mutual Fund
$15.00
10/28/2002
SRQ
Simplex Solutions, Inc.
IPO
$12.00
5/1/2001
SPLX
Smith & Wollensky
IPO
$8.50
5/22/2001
SWRG
TARGETS Trust X based on GE
Derivative
$10.00
6/21/2001
TGE
TARGETS Trust XII based on Pfizer
Derivative
$10.00
10/25/2001
TPI
TARGETS Trust XIII based on Wal-Mart
Derivative
$10.00
12/17/2001
TWV
TARGETS Trust XV based on IBM
Derivative
$10.00
5/23/2002
TBM
The Hyperion Strategic Mortgage Income Fund, Inc.
Mutual Fund
$15.00
7/23/2002
HSM
The Keith Companies
IPO
$9.00
7/8/1999
TKCI
The Keith Companies
Follow-On
$16.00
5/2/2001
TKCI
Thoratec
Secondary
$16.00
2/11/2002
THOR
THQ Incorporated
Follow-On
$53.50
11/13/2001
THQI
TIERS based on the DJIA
Derivative
$10.00
11/15/2001
ISB
TIERS Principal Protected Return Certificates
Closed End Fund
$1,000
5/14/2003
SFM
Urban Outfitters, Inc.
Secondary
$28.00
4/16/2002
URBN
Vastera
IPO
$14.00
9/27/2000
VAST
Verint Systems Inc.
Secondary
$23.00
6/12/2003
VRNT
Verint Systems, Inc.
IPO
$16.00
5/15/2002
VRNT
Web Street
IPO
$11.00
11/16/1999
WEBS
Williams Energy Partners
Units Offering
$37.15
5/23/2002
WEG
Wireless Facilities
IPO
$15.00
11/4/1999
WFII
YEELDS Plus
Derivative
$1000.00
11/7/2001
YLO.A

 
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