| COMPANY |
DESCRIPTION OF ENGAGEMENT |
| Access.1 Communications Corp. |
Advisor and agent for placement of Convertible Preferred Stock.
Advisor for placement of credit facility
|
| ARS, Inc. |
Advisor and agent in connection with and agent for placement of Senior Subordinated Notes. |
| Bradlees, Inc. |
Senior Subordinated Note offering. |
| Building Materials Holding Corporation |
Advisor to the Board of Directors on stock and dividend policy. |
| Business Resource Group |
Advisor to Three Cities Research in securing Senior Debt for going private transaction. |
| Commercial Capital Corporation |
Advisor and agent in connection with offering of Convertible Preferred Stock. |
| Concord Camera Corporation |
Advisor and agent in connection with Senior Notes offering. |
| Decorative Concepts, Inc. |
Advisor for leveraged recapitalization and sole placement agent for $100 million senior secured credit facility and $30 million senior subordinated debt with warrants. |
| Dick’s Sporting Goods, Inc. |
Advised the company in connection with initial public offering. |
| Doral Financial Corporation |
Advisor to the company in a tender defense. |
| Ecko Complex LLC |
Financial advisor to the company in its review of strategic alternatives. |
| FDL, Inc. |
Advised company in repurchase of a subordinated note with warrants. |
| Dimon, Inc. |
Advisor to the company on $1.1 billion financing in conjunction with merger with Standard Commercial Corporation to form Alliance One International. |
| Filene’s Basement, Inc. |
Advisor in connection with initial public offering. |
| FultonStreet.com |
Advisor and agent to the Company in connection with raising private equity. |
| General Cigar Holdings, Inc. |
Advisor to Culbro Corporation in the initial public offering of its subsidiary, General Cigar. |
| Genoptix, Inc. |
Advised the Company on its multi-year licensing agreement with HistoRx, Inc. for AQUA® technology and several diagnostic assays based on it |
| Guess?, Inc. |
Advisor to the Company in connection with its 144A offering of Senior Subordinated Debt, Bridge Financing and subsequent refinancing with Bank Debt. |
| Handleman Company |
Advisor in placement of multi-tranche credit facility |
| Hauser, Inc. |
Rendered a fairness opinion with respect to an infusion of capital in the Company by an affiliated party. |
| International Imaging Materials (“IIMAK”) |
Advisor to Centre Partners-Management LLC in securing senior and subordinated debt. |
| Iron Age Corporation |
Advisor on financing strategy that included senior bank loan and bond repurchase. |
| Jennifer Convertibles, Inc. |
Rendered a fairness opinion with respect to a transfer of assets to an affiliated company. |
| Media General, Inc. |
Advised the company in amending its credit facility and in its issuance of $300M of Senior Secured Notes |
| Monro Muffler Brake, Inc. |
Advisor in connection with initial public offering. |
| Nice-Pak Products |
Advisor on warrant valuation and placement of subordinated notes. |
| Office Depot, Inc. |
Advisor to Office Depot in connection with $350 million private placement of convertible preferred stock. |
| Phillips-Van Heusen Corporation |
Recapitalization involving public equity offering and negotiated repurchase of Convertible Preferred Stock.
Advisor in connection with public offering of Senior Notes.
Co-agent in private placement of Senior Notes. |
| PNM Resources |
Financial Advisor to the holding company of Public Service of New Mexico. |
| Powerfood Inc. |
Advisor in connection with a private equity placement to Hellman and Friedman. |
| Premium Wear, Inc. |
Rendered fairness opinion for the merger of Premium Wear, Inc. with New England Business Services, Inc. |
| Quiksilver |
Advisor to Quiksilver on $350 million multi-tranche secured financing facility. |
| Ralphs Grocery Company |
Subordinated Debt financing.
Repurchase of existing Subordinated Debt.
Bank debt refinancing. |
| Regis Corp. |
Advised the company in connection with its $172.5M convertible senior notes offering and its $163.5M common stock offering |
| Sanderson Farms, Inc. |
Advisor in the connection with its’ secondary common stock offering. |
| Sportmart, Inc. |
Advisor in connection with public offering of Class A Common Stock. |
| Sun Capital Partners |
Advised on $150 million senior credit facility for recapitalization of Childrenswear LLC, a portfolio company of Sun Capital Partners comprised of leading children's apparel brands Hanna Andersson and Gerber Childrenswear. |
| The Gap, Inc. |
Advisor on financing strategy that included senior bank loan and convertible debenture. |
| The TJX Companies, Inc. |
Private Placement of Convertible Preferred Stock. |
| Transportation Technologies Industries, Inc. |
Rendered a fairness opinion in connection with the sale of selected assets of its subsidiary, Johnstown America Corporation. |
| Troy Corporation |
Advisor in connection with Senior Unsecured Notes offering. |
| Tweeter Home Entertainment Group, Inc. |
Financial advisor to the company in the sale of substantially all its assets to Schultz Asset Management, LLC. |
| U.S. Wireless Data |
Advisor in connection with a private equity placement. |
| Zale Corporation |
Advisor to Zale Corporation on $150 million secured term loan with warrants and $650 million amendment and extension of revolving credit facility. |
