| INDUSTRY |
| Type |
Target/Issuer |
Acquirer/Investor |
| CONSUMER PRODUCTS |
| Sell-Side |
Ackerman Manufacturing, Inc. (Spring Air Licensee) |
H.I.G. Capital |
| Sell-Side |
Carman Manufacturing Co. (Spring Air Licensee) |
H.I.G. Capital |
| Sell-Side |
Elite Auto Glass & Glass Pro |
Belron International |
| Sell-Side |
Floramark, Inc. |
U.S.A Floral Products, Inc. |
| Sell-Side |
Funline Merchandise Equipment |
Action Performance Inc |
| Sell-Side |
Good Earth Coporation |
Tetley US Holdings |
| Sell-Side |
Hardees Franchisee |
Citibank Ventures |
| Sell-Side |
Humm Foods, Inc. d/b/a Larabar |
General Mills |
| Buy-Side |
Keebler Foods Company |
Kellogg Company |
| Financing |
Lancer Corporation - Equity Offering |
|
| Buy-Side |
Mondo Baking |
Kellogg Company |
| Sell-Side |
Pumpkin Masters |
Security Capital Corporation |
| Sell-Side |
Pumpkin Masters |
Signature Brands |
| Financing |
Pumpkin Masters |
|
| Sell-Side |
Royal Robbins Inc. |
Phoenix Footwear Group |
| Sell-Side |
Spring Air Mountain West (Spring Air Licensee) |
H.I.G. Capital |
| Sell-Side |
Sunfresh |
Del Monte Foods |
| Sell-Side |
Sun Water Systems, Inc. |
Catterton Partners |
| Sell-Side |
The Charlie Case Tire Company |
Itochu International |
| Financing |
The UniMark Group, Inc. - Private Placement |
Soros Fund Management, LLC - Affiliate |
| Buy-Side |
Worthington Foods |
Kellogg Company |
| FINANCIAL |
| Sell-Side |
Midatlantic Bank - Factoring Division |
PNC Bank |
| Financing |
Phoenix Mutual Home Life - Issuance of Surplus Notes |
|
| Sell-Side |
Waterhouse Investor Services |
|
| HEALTHCARE |
| Sell-Side |
Denver Bio Materials |
Surgimedics |
| Financing |
EPIC Healthcare Company - Subordinated Debt |
|
| Buy-Side |
Republic Health Corporation - LBO |
|
| Sell-Side |
Republic Health Corporation - Various Divestitures |
|
| INDUSTRIALS & BUILDING |
| Sell-Side |
Barone, Inc. |
Aeroturbine Energy Corporation |
| Sell-Side |
Blazer Electric Supply Company |
Westburne |
| Sell-Side |
Den Pak |
Erb Lumber |
| Sell-Side |
Eagle Picher - Fluid Systems Division |
Toyoda Gosei |
| Sell-Side |
Eagle Picher - Rubber Molding Division |
Longwood Industries |
| Sell-Side |
Elopak Americas |
Longwood Industries |
| Sell-Side |
Environmental Materials Inc. |
Undisclosed |
| Sell-Side |
Kahn & Company |
Shaw Industries |
| Sell-Side |
Kellogg Lumber Company |
BSL Holdings, Inc. |
| Sell-Side |
King Rebar |
Private Investor |
| Buy-Side |
Koala Corporation - Convenience & Activities Div. |
Bobrick Washroom Equipment |
| Sell-Side |
Linpac Group |
Montagu Private Equity |
| Buy-Side |
Mattel Carpet & Rug, Inc. |
Thomas Industries |
| Sell-Side |
McCoy Sales Corporation |
Colville Capital, LLC |
| Sell-Side |
Plasco, Inc. |
Trend Technologies, Inc. |
| Sell-Side |
Pumps, Incorporated |
Western Hydro Corporation |
| Sell-Side |
Summit Lumber Company |
Alpine Lumber |
| Buy-Side |
Superior Yarn Technologies |
Thomas Industries |
| Sell-Side |
Turf Irrigation Supply, Inc. |
United Green Mark Inc. |
| Sell-Side |
Westurf Distributors, Inc. |
United Green Mark Inc. |
| Buy-Side |
Yanoor Corporation |
Thomas Industries |
| MEDIA & ENTERTAINMENT |
| Financing |
InterVoice, Inc. - Equity Offering |
|
| Buy-Side |
Maureen Regan Smith |
Colorado Parent Magazine |
| Financing |
Outdoor Promotions, Inc. - Private Equity Investment |
|
| RESOURCES & MINING |
| Buy-Side |
Rio Tinto - U.S. Uranium Assets |
Alpine Capital Partners |
| Financing |
Santa Fe Gold - Convertible Debt Financing |
|
| Financing |
Santa Fe Gold - PIPE Placement |
|
| Financing |
Wolverine Exploration Company - Common Equity |
|
| Financing |
Wolverine Exploration Company - Convertible Pref. |
|
| SPECIALIZED SERVICES |
| Sell-Side |
Alliance Energy Services Company (AESC) |
Complete Production Services |
| Sell-Side |
Anderson Publishing |
Lexis Nexis |
| Sell-Side |
Apple Heating & Plumbing |
American Residential Services Inc. |
| Sell-Side |
Denver Graphic Inc. |
Wallace Computer Services |
| Sell-Side |
Good Decal Company |
Wallace Computer Services |
| Sell-Side |
Machine Design Services Inc. |
Motion Systems |
| Buy-Side |
Baylor Properties |
MCI Center |
| Sell-Side |
Perry & Butler Real Estate |
Undisclosed |
| Sell-Side |
Perry Transfer and Storage, Inc. |
Merchants |
| Sell-Side |
Professional Travel Corporation |
U.S. Office Products |
| Sell-Side |
Rocky Mountain Helicopter |
Undisclosed |
| Sell-Side |
Snake'n'Rooter |
American Residential Services Inc. |
| Sell-Side |
VSI Holdings |
SPX Corporation |
| Sell-Side |
Wilhelm Tree & Lawn Care |
Davey Tree Expert Company |
| SPECIALTY RETAIL |
| Sell-Side |
JC Keepsake & Brendan Jewelers |
Stateside Management Vehicle, Inc. |
| Sell-Side |
Miller International - Westernwear Division |
Corral West Ranchwear |
| Sell-Side |
Mountain States Motors |
Sonic Automotive Group |
| Sell-Side |
Rogers Jewelers |
Gitanjali Gems Limited |
| TECHNOLOGY |
| Financing |
Amtech Corporation - Equity Offering |
|
| Sell-Side |
Comlinear Corporation |
National Semiconductor |
| Sell-Side |
Data Entry & Informational Services, Inc. |
F.Y.I. Incorporated |
| Sell-Side |
Denver Solutions Group |
Sirius Computer Solutions |
| Financing |
DSC Communications Corporation - Convertible Debt |
|
| Financing |
IT Network, Inc. |
Several Regional Bell Operating Cos. |
| Sell-Side |
Mallfinder Network |
Grindstone Capital |
| Sell-Side |
MOS International - Software Division |
Neopost SA |
| Financing |
NetWorth, Inc. |
Ungerman-Bass Inc. |
| Financing |
NetWorth, inc. - Equity Offering |
|
| Financing |
NetWorth, Inc. - VC Investment |
|
| Sell-Side |
Paragon Solutions Group, Inc. |
Forsythe Solutions Group, Inc. |
| Financing |
Polish Tele. & Microwave Corp - Equity Offering |
|
