RECENT TRANSACTIONS
WaveCrest Securities is active in debt and equity placements across sectors and verticals.
* 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
| Client | Counterparty | Transaction Type | Industry | Comment | Completion | Size ($mm) |
|---|---|---|---|---|---|---|
| Comstock Homebuilding | N/A | Senior Debt Raise | Real Estate/Construction | Debt Arranger | 2011 | 25 |
| Airvana Aquisition | N/A | Debt/M&A Advisory | Telecom Equipment | Buyside Advisor/Debt Arranger | 2010 | 160 |
| Spheris Financing | N/A | Debt Advisory | Healthcare Services | Debt Arranger | 2010 | 115 |
| Aspen Marketing Services | N/A | Mezz Debt Raise | Business Services | Debt Arranger | 2010 | 50 |
| Medquist Financing | N/A | Mezz Debt Raise | Healthcare Services | Debt Arranger | 2010 | 85 |
| GHL Acquisition Corp. | Iridium Holdings | SPAC Transaction | M&T/Telecom | Capital Markets SPAC Advisory Assignment for GHL Acquistion of Iridium | 2009 | 650 |
| Indymac Bank | JC Flowers | FDIC Auction | Financial Services | Buy Side Advisor to Investor Group | 2009 | 2000 |
| Peguform Group | Polytec Holdings, AG | Sale of Company | Industial/Automotive | Sale of Auto Parts Manufacturer | 2009 | 450 |
| STS Logistics | RLS Corp. | Acquistion | Infastructure/Transportation | Acquistion to Create Third Largest Logistic Provider in Russia | 2009 | 100 |
| Tory Burch, LLC | Tresalia Group | Minority Stake Sale | C&R/Fashion | Sale of Investment in Tory Burch Fashion House | 2009 | 120 |
| Caspian Services | NA | Principal Investment | NR/Midstream | Convertible Debt Investment in CIS Based Oilfield Services Company | 2008 | 15 |
| Fesco | NA | Principal Investment | Infastructure/Transportation | Acquistion of Stake in Russian Port and Rail Company | 2008 | 20 |
| IAP Worldwide Services | Cerberus Capital | Debt Restructuring | Aerospace/Defense | Debt Restructuring Arranger | 2008 | - |
| LNR Property | LNR Property | Debt Exchange | Real Estate | Sole Arranger | 2008 | 400 |
| Penn National Gaming Corp. | Fortress Group | Leveraged Buyout | Gaming | Buy Side Advisor and Debt Provider | 2008 | 6100 |
| Adessa | Value Act Capital | Leveraged Buyout | Auto Auctions | Debt Arranger | 2007 | 3700 |
| Balnak | NA | Principal Investment | Infrastructure/Transportation | Acquisition Of Turkish and Trucking Freight Forwarding Comapny | 2007 | 28 |
| Fortress Group | Fortress Group | Initial Public Offering | Financial Services | Lead Arranger | 2007 | 634 |
| IWCO Direct | Avista Capital | Leveraged Buyout | Business Services | Sell Side Advisor and Debt Provider | 2007 | - |
| Och-Ziff Capital | Och-Ziff Capital | Initial Public Offering | Financial Services | Lead Arranger | 2007 | 1150 |
| Seacastle Inc. | Fortress Group | Leveraged Buyout | Infrastructure/Transportation | Lead Debt Arranger | 2007 | - |
| STS Logistics | NA | Principal Investment | Infrastructure/Transportation | Acquisition of Russian Project Logistics Company | 2007 | 21 |
| UPC Wind | DE Shaw | Tax Financing | CleanTech/Wind | Debt Arranger | 2007 | - |
| Aircasle, LTD | Fortress Group | Initial Public Offering | Infrastructure/Transportation | Lead Arranger | 2006 | 209 |
| Carlyle Leasing | Fortress | Group Leveraged Buyout | Equipment Leasing | Debt Arranger | 2006 | 600 |
| Intrawest ULC | Fortress Group | Leveraged Buyout | Leisure | Buy Side Advisor and Debt Provider | 2006 | 28000 |
| RLS Corp. | NA | Principal Investment | Infrastructure/Transportation | Acquisition of Turkish Trucking and Freight Forwarding Company | 2006 | 17 |
| Seitel Inc. | Value Act Capital | Leveraged Buyout | NR/Energy Services | Lead Debt Arranger | 2006 | 780 |
| Daiei Inc. | Advantage Partners | Leveraged Buyout | C&R/Retail | Buy Side Advisor to Investor Group | 2005 | 600 |
| Naftrans | NA Principal | Investment | Infrastructure/Transportation | Acquisition of Stake in Black Sea Oil Terminal | 2005 | 15 |
| Takefuji Corporation | Takefuji | Financing | Consumer Finance | Debt Arranger | 2005 | 600 |
| DDI Pocket | Carlyle Group | Leveraged Buyout | M&T/Telecom | Buy Side Advisor to Investor Group | 2004 | 2000 |
| Golf Seiyo YK | Deutsche Bank | Private Sale | Leisure | Investment | 2004 | 7 |
| Japan Telecom | Ripplewood | Leveraged Buyout | M&T/Telecom | Debt Arranger | 2003 | 2500 |
| D+M Holdings | Ripplewood | Leveraged Buyout | Industrial/Components | Buy Side Advisor and Debt Provider | 2002 | 250 |
| Orient Shinpan | Unison Capital | Leveraged Buyout | Consumer Finance | Buy Side Advisor and Debt Provider | 2000 | 200 |
| Shinsei Bank | JC Flowers | Government Auction | Financial Services | Principal Investor | 2000 | - |
| General DataComm | PCTel Inc. | Corporate Divestiture | Technology/IP | Sale of Communication Systems Division | 1999 | - |
| Japan Tobacco Inc. | RJ Nabisco Inc. | Acquisition | Consumer | M&A Advisor on its Acquisition of RJR International | 1999 | 8000 |
| Japan Tobacco Inc. | NA | Acquisition Financing | C&R/Tobacco | Acquisition Bridge Loan; Sole Books | 1999 | 5000 |
| Japan Tobacco Inc. | NA | F/X Hedge | C&R/Tobacco | Acquisition F/X Hedge; Sole Agent | 1999 | 4200 |
| Japan Tobacco Inc. | NA | Credit Facility | C&R/Tobacco | Credit Facility; Joint Books | 1999 | 5000 |
| Millennium Seacarriers | NA | High Yield Financing | Infrastructure/Transportation | Facilitated High Yield Financing Transaction | 1999 | 100 |
| Ispat Sidbec | NA | Credit Facility | NR/Metals & Mining | Facilitated Arrangement of Credit Facility | 1998 | 400 |
| Navigator Gas Transport | NA | High Yield Financing | Infrastructure/Transportation | Facilitated High Yield Financing Transaction | 1998 | 304 |
| Prestolite Electric/Genstar | NA | High Yield Financing | Industrial/Manufacturing | Facilitated High Yield Financing Transaction | 1998 | 125 |
| Textron, Inc. | Woodward Governor Corp. | Corporate Divestiture | Aerospace/Defense | Sale of Textron Fuel Systems Inc; Provided Fairness Opinion | 1998 | 160 |
| Birmingham Steel | NA | Follow-on Offering | NR/Metals & Mining | Facilitated Follow-on Offering | 1997 | 20 |
| Blackstone | Haynes International | Acquisition | NR/Metals & Mining | M&A Advisor to Blackstone on acquisition | 1997 | - |
| Ispat International | NA | Initial Public Offering | NR/Metals & Mining | Facilitated Initial Public Offering | 1997 | 765 |
| Tower Automotive | NA | Follow-on Offering | Industrial/Automotive | Facilitated Follow-on Offering | 1997 | 395 |
| Haynes International | NA | High Yield Financing | NR/Metals & Mining | Facilitated High Yield Financing Transaction | 1996 | 140 |
| Keystone Consolidated Industries | Desoto | Acquisition | NR/Metals & Mining | M&A Advisor on Acquisition of Desoto, Inc. | 1996 | - |
| National Steel | NA | Follow-on Offering | NR/Metals & Mining | Facilitated Follow-on Offering | 1996 | 100 |
| Oregon Steel Mills, Inc. | NA | Follow-on Offering | NR/Metals & Mining | Facilitated Follow-on Offering | 1996 | 75 |
| Oregon Steel Mills, Inc. | NA | High Yield Financing | NR/Metals & Mining | Facilitated High Yield Financing Transaction | 1996 | 235 |
| Schnitzer Steel Industries | NA | Follow-on Offering | NR/Metals & Mining | Facilitated Follow-on Offering | 1996 | 75 |
| Standard Motor Products | NA | High Yield Financing | Industrial/Automotive | Facilitated High Yield Financing Transaction | 1996 | 75 |
| Steel Dynamics, Inc. | NA | Initial Public Offering | NR/Metals & Mining | Facilitated Initial Public Offering | 1996 | 160 |
| ABC Rail Products | NA | Follow-on Offering | Infrastructure/Transportation | Facilitated Follow-on Offering | 1995 | 55 |
| Grupo IMSA (Mexico) | NA | Initial Public Offering | NR/Metals & Mining | Facilitated Initial Public Offering | 1995 | 157 |
| Ivaco Inc. (Canada) | Birmingham Steel | Acquisition | NR/Metals & Mining | Acquisition of Birmingham Steel Subsidiary | 1995 | 150 |
| Ivaco Inc. (Canada) | NA | High Yield Financing | NR/Metals & Mining | Facilitated High Yield Financing Transaction | 1995 | 150 |
| R.H. Macy's | NA | Restructuring | C&R/Retail | Chapter 11 Advisor to Unsecured Creditors Committee | 1994 | - |
| Reliable Stores, Inc. | NA | Restructuring | C&R/Retail | Advisor to ESOP in share repurchase program | 1994 | - |
| Weirton Steel | NA | Follow-on Offering | NR/Metals & Mining | Facilitated Follow-on Offering | 1994 | 140 |
| AM International | NA | Restructuring | Industrial/Manufacturing | Chapter 11 Advisor to Unsecured Creditors Committee | 1993 | - |
| CWT Specialty Stores | NA | Restructuring | C&R/Retail | Advisor to Board of Directors in Debt/Equity Exchange | 1993 | - |
| Trizec Corp. | NA | Restructuring | Real Estate | Financial Advisor in Out-of-Court Restructuring | 1993 | - |
