Sale of S Corporation Stock and Buyout by ykh58879

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Sale of S Corporation Stock and Buyout document sample

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									                                                                               Value
Client                         Country         Announced       Closed    ($ millions)   Headline
Care Capital Investments III   United States     27-Dec-05                       300    Placement agent for fund formed to make private equity investments in life sciences companies
OXiGENE                        United States     15-Dec-05   15-Dec-05            27    Common stock
Cardinal Health                United States     13-Dec-05   13-Dec-05           500    12-yr notes
Chesapeake Energy              United States     08-Dec-05   08-Dec-05           724    Common stock
Virgin USA                     United States     08-Dec-05   08-Dec-05           177    Private placement of equity
ViroPharma                     United States     07-Dec-05   07-Dec-05           173    Common stock
Dendreon                       United States     07-Dec-05   12-Dec-05            52    Common stock
Tarragon                       United States     06-Dec-05   30-Nov-05           391    Senior financing provided by G.E. Real Estate
XL Capital                     Bermuda           06-Dec-05   09-Dec-05          3,275   Ordinary shares and equity security units
Northeast Utilities            United States     06-Dec-05   06-Dec-05           439    Common stock
Toora S.p.A.                   Italy             05-Dec-05   31-Dec-05            36    Public offering of Toora Poland's shares on the Warsaw Stock Exchange
Eutelsat Communications        France            02-Dec-05   02-Dec-05          1,034   Initial public offering of Eutelstat
and its shareholders
Eurazeo, Nebozzo, Cinven
and Goldman Sachs PIA
Georgia Power                  United States     29-Nov-05   29-Nov-05           250    10-yr notes
Progress Energy                United States     28-Nov-05   28-Nov-05           400    Progress Energy Carolinas sold 10-yr first mortgage bonds
Private Export Funding         United States     15-Nov-05   15-Nov-05           250    10-yr bonds
Corporation
Boston Scientific              United States     14-Nov-05   14-Nov-05           750    Senior notes
CombinatoRx                    United States     09-Nov-05   09-Nov-05            48    Initial public offering
Plum Creek Timber              United States     08-Nov-05   08-Nov-05           300    10-yr notes
HemoSense                      United States     02-Nov-05   04-Nov-05            10    Private placement of common stock
Trico Marine                   United States     19-Oct-05   24-Oct-05           103    Common stock
ATSB                           United States     19-Oct-05   19-Oct-05           780    Sole advisor to the Air Transportation Stabilization Board (ATSB) in connection with the sale of US Airways
                                                                                        Group's debt guaranteed by the ATSB
ATSB                           United States     19-Oct-05   03-Oct-05           115    Sole advisor to the Air Transportation Stabilization Board (ATSB) in connection with US Airways Group's
                                                                                        repurchase of warrants owned by the ATSB
GTX                            United States     11-Oct-05   11-Oct-05            49    Common stock
AEP                            United States     11-Oct-05   11-Oct-05           250    Columbus Southern Power (a subsidiary of AEP) sells 30-year senior notes
Casino                         France            11-Oct-05   15-Oct-05           259    IPO of Mercialys, a retail property subsidiary of Groupe Casino
Threshold Pharmaceuticals      United States     11-Oct-05   11-Oct-05            68    Common stock
ACE                            Bermuda           03-Oct-05   03-Oct-05          1,500   Common stock
Fintecna                       Italy             30-Sep-05   30-Sep-05          N/A     Alfiere (a JV between Fintecna and a consortium) obtains 5-year credit facility
Rue Du Commerce                France            29-Sep-05   30-Sep-05            83    Initial public offering
Charter Communications         United States     27-Sep-05   27-Sep-05          6,860   Private debt exchange offers
FPL Group                      United States     19-Sep-05   19-Sep-05           300    30-year first mortgage bonds
Geron                          United States     16-Sep-05   16-Sep-05            62    Common stock


                                                                                                                                                                                        Page 1 of 4
                                                                                  Value
Client                         Country          Announced       Closed      ($ millions)   Headline
Myogen                         United States      16-Sep-05    16-Sep-05            125    Common stock
Deere                          United States      13-Sep-05    13-Sep-05            300    John Deere Capital (a unit of Deere) sold 2.5-year medium term notes
Pomona Capital VI              United States      31-Aug-05    31-Aug-05            821    Global placement agent for fund formed to purchase secondary interests in buyout and venture capital funds
                                                                                           and direct secondary portfolios from investors seeking liquidity
Tarragon                       United States      24-Aug-05    24-Aug-05           N/A     Advisor with respect to conversion of convertible notes
Cadent Energy Partners         United States      22-Aug-05    22-Aug-05            224    Global placement agent for fund formed to make private equity investments in North American energy
                                                                                           companies
JP Morgan Partners Asia        Hong Kong          18-Aug-05    18-Aug-05           1,575   Global placement agent for fund formed to acquire controlling stakes in leveraged buyouts of medium to
Opportunity Fund II                                                                        large sized market leading companies in Asia
Inhibitex                      United States      18-Aug-05    18-Aug-05             41    Private placement of common stock
Coley Pharmaceutical           United States      10-Aug-05    10-Aug-05             96    Initial public offering
ARIAD Pharmaceuticals          United States      05-Aug-05    05-Aug-05             54    Common stock
Burlington Northern Santa      United States       29-Jul-05    29-Jul-05           216    Equipment trust certificates
Fe
Prada Group                    Italy               27-Jul-05    27-Jul-05          N/A     Global refinancing
Alliant Energy                 United States       18-Jul-05    21-Jul-05            50    Interstate Power & Light (a subsidiary of Alliant Energy) offered 20-year senior notes
Ameren                         United States       18-Jul-05    18-Jul-05           300    Union Electric (a subsidiary of Ameren) offered 32-year notes
Xcel Energy                    United States       14-Jul-05    14-Jul-05           250    Northern States Power (a subsidiary of Xcel Energy) sold 30-year bonds
Poweo                          France              13-Jul-05    13-Jul-05            53    Capital increase
Monsanto                       United States       12-Jul-05    12-Jul-05           400    30-year notes
Deere                          United States       12-Jul-05    12-Jul-05           350    John Deere Capital (a unit of Deere) sold 4-year medium-term notes
French Republic                France              07-Jul-05    07-Jul-05          4,792   Initial public offering of Gaz de France
Italian Ministry of Treasury   Italy               02-Jul-05    02-Jul-05          4,881   Public offering of 9.3% of Enel's share capital
Charter Communications         United States      29-Jun-05    29-Jun-05             62    Financial advisor in exchange offer
HemoSense                      United States      28-Jun-05    28-Jun-05             19    Initial public offering
AEP                            United States      23-Jun-05    23-Jun-05            150    Southwestern Electric Power (a subsidiary of AEP) sells senior notes
Avis Europe                    United Kingdom     16-Jun-05    16-Jun-05            213    Rights issue
Cap Gemini                     France             16-Jun-05    16-Jun-05            528    Bonds convertible and/or exchangeable into Cap Gemini shares due 2012
Dominion Resources             United States      15-Jun-05    15-Jun-05            600    Notes due 2010 and notes due 2035
Ryder Systems                  United States      13-Jun-05    13-Jun-05            200    7-year medium term notes
Comcast Corporation            United States      07-Jun-05    07-Jun-05           1,500   Bonds due 2016 and bonds due 2035
PEPCO                          United States      07-Jun-05    07-Jun-05            250    5-year floating rate notes
Deere                          United States      07-Jun-05    07-Jun-05            300    John Deere Capital (a unit of Deere) sold floating rate notes due 2008
Xenoport                       United States      02-Jun-05    02-Jun-05             53    Initial public offering
FPL Group                      United States      02-Jun-05    02-Jun-05            300    30-year first mortgage bonds
Affiliated Computer Services   United States      01-Jun-05    01-Jun-05            500    Senior notes due 2010 and senior notes due 2015

SSA Global                     United States      26-May-05    26-May-05            114    Initial public offering


                                                                                                                                                                                         Page 2 of 4
                                                                             Value
Client                       Country         Announced      Closed     ($ millions)   Headline
Enterprise Products          United States     25-May-05   25-May-05           500    5-year senior unsecured notes
Ingersoll-Rand               United States     25-May-05   25-May-05           299    10-year notes
PEPCO                        United States     24-May-05   24-May-05           100    Delmarva Power & Light (a subsidiary of PEPCO) sold bonds due 2015
PEPCO                        United States     24-May-05   24-May-05           175    Potomac Electric Power (a subsidiary of PEPCO) sold bonds due 2035
Sterling Group Partners II   United States     20-May-05                       470    Global placement agent for fund formed to make private equity investments in middle market companies in
                                                                                      North America
Lazard LLC                   United States     05-May-05                       550    Senior notes due 2015
Lazard Ltd                   United States     04-May-05                       855    Initial public offering
Lazard Ltd                   United States     04-May-05                       288    Convertible preferred units
Immunomedics                 United States     02-May-05   02-May-05            38    Private placement of senior convertible notes due 2008
United Technologies          United States     26-Apr-05   26-Apr-05          1,800   Notes due 2015 and notes due 2035
Ryder Systems                United States     18-Apr-05   18-Apr-05           175    Medium term notes due 2011
India Cements Limited        India             30-Mar-05   30-Mar-05           149    Debt and equity-related instruments
Charter Communications       United States     24-Mar-05   24-Mar-05           273    Financial advisor in debt exchange offer
Connetics                    United States     18-Mar-05   18-Mar-05           200    Private placement of convertible senior notes due 2015
Progress Energy              United States     17-Mar-05   18-Mar-05           499    Progress Energy Carolinas sold 10-year and 30-year first mortgage bonds
Aftermarket Technologies     United States     17-Mar-05   17-Mar-05           107    Common stock
Kinder Morgan Energy         United States     08-Mar-05   08-Mar-05           750    Notes due 2035 and notes due 2010
Partners
Nexen                        United States     07-Mar-05   07-Mar-05          1,036   10-year and 30-year senior notes
OXiGENE                      United States     04-Mar-05   04-Mar-05            15    Common stock
Roark Capital Group          United States     28-Feb-05   28-Feb-05           413    Global placement agent for fund formed to make control private equity investments in lower middle market
                                                                                      companies in the U.S.
MedGroup                     Spain             24-Feb-05   24-Feb-05          N/A     Private placement of primary and secondary shares
Arden Realty                 United States     23-Feb-05   23-Feb-05           299    10-year senior unsecured notes
Century Telephone            United States     09-Feb-05   09-Feb-05           346    Senior unsecured notes due 2015
Threshold Pharmaceuticals    United States     03-Feb-05   03-Feb-05            43    Initial public offering
Private Export Funding       United States     24-Jan-05   24-Jan-05           104    Notes due 2013
Corporation
Ista Pharmaceuticals         United States     20-Jan-05   20-Jan-05            56    Common stock
ViaCell                      United States     20-Jan-05   20-Jan-05            60    Initial public offering
Albemarle                    United States     13-Jan-05   13-Jan-05           325    10-year senior notes
Moog                         United States     07-Jan-05   07-Jan-05           150    Senior subordinated notes due 2015
Atherogenics                 United States     05-Jan-05   06-Jan-05           200    Private offering of convertible notes due 2012




DISCLAIMER: Effective upon the initial public offering of Lazard Ltd on May 10, 2005, the capital markets business of Lazard Frères &
Co. LLC (which includes equity research, syndicate, sales and trading) was transferred to a new privately-held company, Lazard Capital
Markets LLC (“LCM”), which is not owned or controlled by Lazard. Lazard maintains a business alliance agreement with LCM pursuant of 4
                                                                                                                                    Page 3
to which Lazard refers to LCM selected opportunities for underwriting and distribution of securities and provides assistance in the
DISCLAIMER: Effective upon the initial public offering of Lazard Ltd on May 10, 2005, the capital markets business of Lazard Frères &
                                                                     Value
Co. LLC
Client   (which includes equity research, syndicate, sales and trading) was transferred to a new privately-held company, Lazard Capital
                     Country           Announced      Closed   ($ millions) Headline
Markets LLC (“LCM”), which is not owned or controlled by Lazard. Lazard maintains a business alliance agreement with LCM pursuant
to which Lazard refers to LCM selected opportunities for underwriting and distribution of securities and provides assistance in the
execution of the referred business. In exchange for this referral obligation and assistance, Lazard receives a referral fee from LCM.
Accordingly, certain of the Financing transactions referred to herein are transactions in which LCM served as underwriter or placement
agent and Lazard served in an advisory capacity pursuant to the business alliance agreement.




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