RECENT TRANSACTIONS

WaveCrest Securities is active in debt and equity placements across sectors and verticals.

SCIO Diamond
Invictus
Greenspring
richland
knocking
brydge
trans-1
trans-2
trans-3
PCG2015
OandG
PCG
TooJays
Cardinal
Empire

* The Private Placement Transactions noted are only available to accredited investors who must meet certain minimum annual income or net worth thresholds. Investing in Private Placements involve risks including a complete loss of investment.

TRANSACTIONS

ClientCounterpartyTransaction TypeIndustryCommentCompletionSize ($mm)
Comstock HomebuildingN/ASenior Debt RaiseReal Estate/ConstructionDebt Arranger201125
Airvana AquisitionN/ADebt/M&A AdvisoryTelecom EquipmentBuyside Advisor/Debt Arranger2010160
Spheris FinancingN/ADebt AdvisoryHealthcare ServicesDebt Arranger2010115
Aspen Marketing ServicesN/AMezz Debt RaiseBusiness ServicesDebt Arranger201050
Medquist FinancingN/AMezz Debt RaiseHealthcare ServicesDebt Arranger201085
GHL Acquisition Corp.Iridium HoldingsSPAC TransactionM&T/TelecomCapital Markets SPAC Advisory Assignment for GHL Acquistion of Iridium2009650
Indymac BankJC FlowersFDIC AuctionFinancial ServicesBuy Side Advisor to Investor Group20092000
Peguform GroupPolytec Holdings, AGSale of CompanyIndustial/AutomotiveSale of Auto Parts Manufacturer2009450
STS LogisticsRLS Corp.AcquistionInfastructure/TransportationAcquistion to Create Third Largest Logistic Provider in Russia2009100
Tory Burch, LLCTresalia GroupMinority Stake SaleC&R/FashionSale of Investment in Tory Burch Fashion House2009120
Caspian ServicesNAPrincipal InvestmentNR/MidstreamConvertible Debt Investment in CIS Based Oilfield Services Company200815
FescoNAPrincipal InvestmentInfastructure/TransportationAcquistion of Stake in Russian Port and Rail Company200820
IAP Worldwide ServicesCerberus CapitalDebt RestructuringAerospace/DefenseDebt Restructuring Arranger2008-
LNR PropertyLNR PropertyDebt ExchangeReal EstateSole Arranger2008400
Penn National Gaming Corp.Fortress GroupLeveraged BuyoutGamingBuy Side Advisor and Debt Provider20086100
AdessaValue Act CapitalLeveraged BuyoutAuto AuctionsDebt Arranger20073700
BalnakNAPrincipal InvestmentInfrastructure/TransportationAcquisition Of Turkish and Trucking Freight Forwarding Comapny200728
Fortress GroupFortress GroupInitial Public OfferingFinancial ServicesLead Arranger2007634
IWCO DirectAvista CapitalLeveraged BuyoutBusiness ServicesSell Side Advisor and Debt Provider2007-
Och-Ziff CapitalOch-Ziff CapitalInitial Public OfferingFinancial ServicesLead Arranger20071150
Seacastle Inc.Fortress GroupLeveraged BuyoutInfrastructure/TransportationLead Debt Arranger2007-
STS LogisticsNAPrincipal InvestmentInfrastructure/TransportationAcquisition of Russian Project Logistics Company200721
UPC WindDE ShawTax FinancingCleanTech/WindDebt Arranger2007-
Aircasle, LTDFortress GroupInitial Public OfferingInfrastructure/TransportationLead Arranger2006209
Carlyle LeasingFortressGroup Leveraged BuyoutEquipment LeasingDebt Arranger2006600
Intrawest ULCFortress GroupLeveraged BuyoutLeisureBuy Side Advisor and Debt Provider200628000
RLS Corp.NAPrincipal InvestmentInfrastructure/TransportationAcquisition of Turkish Trucking and Freight Forwarding Company200617
Seitel Inc.Value Act CapitalLeveraged BuyoutNR/Energy ServicesLead Debt Arranger2006780
Daiei Inc.Advantage PartnersLeveraged BuyoutC&R/RetailBuy Side Advisor to Investor Group2005600
NaftransNA PrincipalInvestmentInfrastructure/TransportationAcquisition of Stake in Black Sea Oil Terminal200515
Takefuji CorporationTakefujiFinancingConsumer FinanceDebt Arranger2005600
DDI PocketCarlyle GroupLeveraged BuyoutM&T/TelecomBuy Side Advisor to Investor Group20042000
Golf Seiyo YKDeutsche BankPrivate SaleLeisureInvestment20047
Japan TelecomRipplewoodLeveraged BuyoutM&T/TelecomDebt Arranger20032500
D+M HoldingsRipplewoodLeveraged BuyoutIndustrial/ComponentsBuy Side Advisor and Debt Provider2002250
Orient ShinpanUnison CapitalLeveraged BuyoutConsumer FinanceBuy Side Advisor and Debt Provider2000200
Shinsei BankJC FlowersGovernment AuctionFinancial ServicesPrincipal Investor2000-
General DataCommPCTel Inc.Corporate DivestitureTechnology/IPSale of Communication Systems Division1999-
Japan Tobacco Inc.RJ Nabisco Inc.AcquisitionConsumerM&A Advisor on its Acquisition of RJR International19998000
Japan Tobacco Inc.NAAcquisition FinancingC&R/TobaccoAcquisition Bridge Loan; Sole Books19995000
Japan Tobacco Inc.NAF/X HedgeC&R/TobaccoAcquisition F/X Hedge; Sole Agent19994200
Japan Tobacco Inc.NACredit FacilityC&R/TobaccoCredit Facility; Joint Books19995000
Millennium SeacarriersNAHigh Yield FinancingInfrastructure/TransportationFacilitated High Yield Financing Transaction1999100
Ispat SidbecNACredit FacilityNR/Metals & MiningFacilitated Arrangement of Credit Facility1998400
Navigator Gas TransportNAHigh Yield FinancingInfrastructure/TransportationFacilitated High Yield Financing Transaction1998304
Prestolite Electric/GenstarNAHigh Yield FinancingIndustrial/ManufacturingFacilitated High Yield Financing Transaction1998125
Textron, Inc.Woodward Governor Corp.Corporate DivestitureAerospace/DefenseSale of Textron Fuel Systems Inc; Provided Fairness Opinion1998160
Birmingham SteelNAFollow-on OfferingNR/Metals & MiningFacilitated Follow-on Offering199720
BlackstoneHaynes InternationalAcquisitionNR/Metals & MiningM&A Advisor to Blackstone on acquisition1997-
Ispat InternationalNAInitial Public OfferingNR/Metals & MiningFacilitated Initial Public Offering1997765
Tower AutomotiveNAFollow-on OfferingIndustrial/AutomotiveFacilitated Follow-on Offering1997395
Haynes InternationalNAHigh Yield FinancingNR/Metals & MiningFacilitated High Yield Financing Transaction1996140
Keystone Consolidated IndustriesDesotoAcquisitionNR/Metals & MiningM&A Advisor on Acquisition of Desoto, Inc.1996-
National SteelNAFollow-on OfferingNR/Metals & MiningFacilitated Follow-on Offering1996100
Oregon Steel Mills, Inc.NAFollow-on OfferingNR/Metals & MiningFacilitated Follow-on Offering199675
Oregon Steel Mills, Inc.NAHigh Yield FinancingNR/Metals & MiningFacilitated High Yield Financing Transaction1996235
Schnitzer Steel IndustriesNAFollow-on OfferingNR/Metals & MiningFacilitated Follow-on Offering199675
Standard Motor ProductsNAHigh Yield FinancingIndustrial/AutomotiveFacilitated High Yield Financing Transaction199675
Steel Dynamics, Inc.NAInitial Public OfferingNR/Metals & MiningFacilitated Initial Public Offering1996160
ABC Rail ProductsNAFollow-on OfferingInfrastructure/TransportationFacilitated Follow-on Offering199555
Grupo IMSA (Mexico)NAInitial Public OfferingNR/Metals & MiningFacilitated Initial Public Offering1995157
Ivaco Inc. (Canada)Birmingham SteelAcquisitionNR/Metals & MiningAcquisition of Birmingham Steel Subsidiary1995150
Ivaco Inc. (Canada)NAHigh Yield FinancingNR/Metals & MiningFacilitated High Yield Financing Transaction1995150
R.H. Macy'sNARestructuringC&R/RetailChapter 11 Advisor to Unsecured Creditors Committee1994-
Reliable Stores, Inc.NARestructuringC&R/RetailAdvisor to ESOP in share repurchase program1994-
Weirton SteelNAFollow-on OfferingNR/Metals & MiningFacilitated Follow-on Offering1994140
AM InternationalNARestructuringIndustrial/ManufacturingChapter 11 Advisor to Unsecured Creditors Committee1993-
CWT Specialty StoresNARestructuringC&R/RetailAdvisor to Board of Directors in Debt/Equity Exchange1993-
Trizec Corp.NARestructuringReal EstateFinancial Advisor in Out-of-Court Restructuring1993-