Ramnarain j. jaigobind rodman & renshaw s
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Transcript of Ramnarain j. jaigobind rodman & renshaw s
February 2011
Leadership in Corporate Finance
Member FINRA, SIPC
Forward Looking Statements
The material available in this presentation may contain forward‐looking statements, which are subject to risks, uncertainties and
assumptions.
In
some
cases,
you
can
identify
these
statements
by
forward‐looking
words
such
as
“may”,
“might”,
“will”,
“should”,
“expect”,
“plan”,
“anticipate”,
“believe”,
“estimate”,
“predict”,
“optimistic”,
“potential”,
“future”
or
“continue”,
the
negative
of
these
terms
and
other
comparable
terminology.
Such
forward‐looking
statements
are
based
on
current
plans,
estimates
and
expectations
and
are
made
pursuant
to
the
Private
Securities
Litigation
Reform
Act
of
1995.
Forward‐looking
statements are based on known and unknown risks, assumptions, uncertainties and other factors. The Company’s actual results,
performance
and
achievements
may
differ
materially
from
any
future
results,
performance,
or
achievements
expressed
or
implied by such forward‐looking statements. We do not assume responsibility for the accuracy or completeness of any forward‐
looking statement and you should not rely on forward‐looking statements as predictions of future events. We are under
no duty
to update any of these forward‐looking statements to conform them to actual results or revised expectations.
1
Introduction to Rodman & Renshaw
Rodman & Renshaw, LLC, a wholly owned subsidiary of Rodman & Renshaw Capital Group, Inc. (Nasdaq: RODM), is a full‐service
investment and merchant bank committed to fostering the long‐term success of growth companies through capital raising, strategic
advice, insightful research and the development of institutional
support.
We are headquartered in New York City, with offices in Houston, Calgary, and a London‐based affiliate, Rodman & Renshaw Capital
Partners, Ltd.
We employ dedicated, experienced and talented professionals within our corporate finance, research and sales & trading divisions.
Rodman & Renshaw is a recognized leader in arranging private investments in small‐cap and mid‐cap public companies.
ProfileIntroduction to Rodman & Renshaw
3
Rodman & Renshaw provides an array of services to public and private companies.
We have built exceptional
capabilities and continue to leverage our resources to provide our clients with full‐service banking solutions:
Market Position
Boutiques &Regionals
Advisory‐onlyBoutiques
Bulge BracketRodman & Renshaw
Small Cap
Middle Market
Large Cap
Sector FocusFull Service Mod
elAfter Market Support and Other Services
Research
Sales and Trading
Market Making
Investor Conferences
Non‐deal Roadshows
Strategic Advisory
Investment Banking:
A veteran group of
professionals who are one of the most successful
placement agents on Wall Street.
Research:
Highly accomplished and consistently top‐
ranked team of sell‐side analysts, including a large
number of PhDs.
Sales & Trading:
A robust sales & trading presence in
the U.S. and Europe with an experienced institutional
sales force and extensive relationships with buy‐side
investors around the globe.
After‐market Support:
Consistent aftermarket
support in the form of non‐deal roadshows in the US
and Europe. R&R also organizes annual investor
conferences in the US and Europe that have become
“must attend”
events for issuers and investors alike.
Introduction to Rodman & Renshaw
4
October 2007:Public capital
raise of $40
million at
$5/share *
June 2008:
Acquisition of
COSCO Capital
Management(Rodman Energy)
May 2008: Formation of
Aceras BioMedical
May 2008: Formation of Global
Capital Markets
group
Geographic
Diversification
Sector
Diversification
Product
Diversification
March 2008: Acquisition ofMiller Mathis
(Metals and Mining)
2007 2008
July 2007:Rodman &
Renshaw
effectuates
public listing
March 2007: Private placement
capital raise of $20
million
* Underwritten by Sandler O’Neill + Partners, Rodman & Renshaw, Fox‐Pitt, Kelton, and Paulson Investment Company.
Public Listing /
Capital Raise
Recent Corporate HistoryIntroduction to Rodman & Renshaw
5
Global Investment Banking Practice
Corporate Finance LeadershipGlobal Investment Banking Practice
7
# 1 Placement Agent for PIPE & RD Financings*
•Source: Sagient Research Systems, Inc. ranks Rodman & Renshaw, LLC as the # 1 Placement Agent among full‐service investment banks, with most deals transacted in 2003, 2005, 2006, 2007, 2008 , 2009 and 2010 as well as cumulatively
from January 1, 2003 through December 31 , 2010.
PIPE & RD League Tables: 2006 ‐ 2008 (ranked by number of transactions completed, dollars raised in millions) *2008 2007 2006
1 Rodman & Renshaw, LLC 44 586$ Rodman & Renshaw 52 931$ Rodman & Renshaw 49 908$ 2 Roth Capital Partners, LLC 18 274 Roth Capital Partners 40 723 Cowen and Company 31 1,300 3 Lazard 16 1,433 Oppenheimer & Co. 21 456 Roth Capital Partners 31 419 4 Merriman Curhan Ford & Comp13 248 Lazard 16 498 Banc of America 18 750 5 Midtown Partners & Co., LLC 13 38 Piper Jaffray & Co. 15 323 Midtown Partners 17 56 6 Canaccord Adams, Inc. 12 714 Merriman Curhan Ford & Co. 15 211 Collins Stewart 16 316 7 Goldman, Sachs & Co. 9 15,533 Midtown Partners & Co. 15 52 Jefferies & Company 15 898 8 Deutsche Bank Securities, Inc. 8 1,483 Canaccord Adams 14 290 Westminister Securities 14 64 9 Merrill Lynch & Co., Inc. 8 717 Citi Global Markets 13 3,969 Piper Jaffray & Co. 13 340 10 RBC Capital Markets, Inc. 8 651 Lehman Brothers 13 3,370 Lehman Brothers 12 1,307
Rank Placement Agent Deals Amount Raised Rank Placement Agent Deals Amount Raised1 Rodman & Renshaw, LLC 77 1,220,781,745$ 1 Rodman & Renshaw, LLC 77 1,232,556,446$ 2 Roth Capital Partners, LLC 49 1,103,712,836 2 Roth Capital Partners, LLC 27 779,346,375 3 Lazard 26 994,968,084 3 Piper Jaffray & Co. 22 733,575,414 4 Chardan Capital Markets 19 178,277,810 4 Lazard 20 686,676,355 5 Jefferies & Company, Inc. 16 2,200,442,744 5 Canaccord Adams, Inc. 16 499,155,740 6 Canaccord Genuity Inc. 15 522,252,665 6 Oppenheimer & Co. Inc. 15 414,949,136 7 RBC Capital Markets, Inc. 14 811,108,693 7 Midtown Partners & Co., LLC 15 70,089,430 8 Sandler O'Neill & Partners, L.P. 13 1,340,513,499 8 RBC Capital Markets, Inc. 14 476,562,053 9 Keefe, Bruyette & Woods, Inc. 13 573,822,622 9 Chardan Capital Markets 13 107,732,989 10 Merriman Curhan Ford & Company 13 455,347,967 10 Cowen and Company, LLC 11 308,547,799
Top 10 Agents by Number of Deals *
2010 2009
# 1 Placement Agent for PIPE & RD Financings*
Focus & ExpertiseGlobal Investment Banking Practice
Target Clients:
Companies with Enterprise Value of $50‐500 million.
Investment Opportunity:
Under‐followed and/or undervalued companies with significant upside potential.
Sector Presence:
Growth sectors or segments of the economy.
Regional Focus:
Companies around the globe (with an Emerging Markets strategy in many cases).
Capital Needs:
Liquidity, acquisition, growth initiatives, debt repayment, and/or trade sale.
Financing
Vehicles
and
Structures:
Common
stock,
preferred
stock,
senior
debt,
convertible
securities,
and
warrants;
using
Collateralized Acquisition Pools (CAP®),
Private Placements
in Public Equity (PIPE), reverse mergers, Special
Purpose
Acquisition
Companies (SPAC), IPOs, follow‐on offerings, and trade sales (M&A, Private Equity).
Rodman & Renshaw takes pride in its commitment and tenacity to get the right deal done. Our aim is to thoroughly understand a
company’s goals and to structure a custom‐tailored transaction that enables a company to meet its business
objectives.
8
Rodman & Renshaw investment banking practice focuses on key sectors and sub‐sectors that offer significant growth potential.
The firm tends to work with companies that are profitable or near profitability in various industries, including:
Key SectorsGlobal Investment Banking Practice
Alternative Energy Biotech/Healthcare
Building Products/Construction Community & Regional Banks
Consumer Products
Aerospace & Defense
Energy/Oil
Food & Restaurants Gaming
Industrials Logistics Media & Internet
Medical Devices Mining & Natural Resources
Resorts
Packaging
Real Estate
Shipping
Retail
Technology
Software SPACs
Financials
Telecom Services Water Technology
9
Emerging Markets
China
Third‐Party PartnershipsGlobal Investment Banking Practice
Access an exclusive and diverse global deal flow.
Participate in transactions that may be synergistic to portfolio
companies and/or clients.
Gain exposure to relevant technologies and experienced management teams.
Seek and identify potential portfolio investments around the globe.
Rodman & Renshaw has established partnerships with leading Venture Capital firms, Private Equity funds, law firms, accounting
firms,
M&A
firms,
and
business
brokers.
In
addition
to
leveraging
our
global
investor
and
corporate
network,
our
partners
will
have the opportunity to:
Research Coverage:
A highly respected Wall Street research team.
Non‐deal Roadshows:
Access to leading institutional investors in the US, Europe and
Asia.
Sales
&
Trading:
Strong
relationships
with
broad
segments
of
the
institutional
investor
community
in
the
US,
Europe,
and
the
Middle East; vast experience in selling and trading public US and foreign securities in the primary and secondary markets.
Conferences:
Annual
conferences
in
New
York,
Asia
and
Europe,
providing
company
executives
the
opportunity
to
meet
with
institutional investors and other corporate executives.
Rodman & Renshaw supports clients’
equity following a transaction. The support may include the following additional services:
10
Rodman & Renshaw Annual Global Investment ConferencesPost Deal Support
11
Rodman’s healthcare conferences are among the largest in the industry (second only to the JPMorgan Healthcare conference)
Based on the success of our New York healthcare conferences, we expanded our annual conference to cater to growth
companies that captured macro‐trends in Life Sciences, Natural Resources, Emerging Markets and
Acquisition Finance through
SPACs
Our first Annual Global Investment Conference took place on November 10‐12, 2008 at the New York Palace Hotel, New York• Over 530 companies from across the globe presented to thousands of registered institutional investors• One‐on‐One meetings between Companies & Institutional Investors• Six distinct tracks: Asia & Growth, Healthcare, Steel, Metals & Mining, Energy, and SPACs• Keynote speech by President Bill Clinton
Our 2009 Global Investment Conference was held on September 9th‐11th
in New York• Over 575 presenting companies • Eight distinct tracks: Healthcare, Asia, Growth, Metals & Mining, Energy, Cleantech, Maritime, and Commercial &
Regional Banks• Keynote address given by Dr. Alan Greenspan, former Chairman of the Federal Reserve
Our 2010 Annual China Investment Conference took place on March 7th‐9th
in Beijing, China• More than 500 attendees & 100 presenting companies • Featuring multiple tracks included: Agriculture, Auto, Cleantech
& Energy, Consumer/Retail, Education, Healthcare,
Industrial, and Technology• Keynote speech by General Colin L. Powell, USA (Ret.), 65th
United States Secretary of State
12
Our 2010 Annual Global Investment Conference was held on May 16th‐18th
in London, UK• More than 1,000 attendees & 150 presenting companies • Five tracks include: Healthcare, Metal & Mining, Energy, Cleantech, and Asia• Keynote speech by The Rt. Hon. Sir John Major, KG, CH, Former Prime Minister of Great Britain and Northern Ireland
Our 2010 Annual Global Investment Conference took place on September 13th‐15th
in New York• More than 3,500 attendees and 600 presenting companies expected• Eight distinct tracks: Healthcare, China, Metals & Mining, Energy, Technology, Cleantech, Community & Regional Banks,
and Growth• Keynote speech by Henry M. Paulson, Jr., 74th
US Secretary of the Treasury
2010 Rodman & Renshaw Annual Global Investment ConferencePost Deal Support
Asia Track Growth Track Energy Track
Healthcare Track
Metals & Mining Track
Maritime Track Cleantech Track Bank Track
13
TransactionsNote: Some transactions listed in this section were executed by
Miller Mathis & Co or COSCO Capital Management prior to joining
Rodman & Renshaw, LLC
14
Transactions (Continued)
15
Transactions (Continued)
16
Transactions (Continued)
17
Transactions (Continued)
18
Transactions (Continued)
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Transactions (Continued)
20
Transactions (Continued)
21
Transactions (Continued)
22
Transactions (Continued)
23
Transactions (Continued)
24
Transactions (Continued)
25
Transactions (Continued)
26
Transactions (Continued)
27
Transactions (Continued)
28
Transactions (Continued)
29
Transactions (Continued)
30
Global Capital Markets Group
Global Capital Markets Group
Ramnarain “Joe”
JaigobindHead of Global Capital Markets President –
Middle East/India/Japan
Mr. Jaigobind’s Wall Street career spans over 19 years. Currently, Mr. Jaigobind is the Head of Global Capital Markets, President – Middle East/India/Japan. Prior to Rodman & Renshaw, Mr. Jaigobind
was Executive Managing Director – Global Equity Capital Markets and President – Middle East/India/Japan at Maxim Group LLC where he worked on over 300 transactions as Lead, Co‐Lead Manager or
syndicate member, raising in excess of US$50 billion. Prior to Maxim Group LLC, Mr. Jaigobind was Senior Vice President in the Private Client Group of Investec Ernst and Company, an international
specialist banking group headquartered in South Africa and the UK. Mr. Jaigobind began his career in 1991 at Shearson Lehman Brothers in the private client division. He is a Chairman’s Circle Member of
the US‐India Business Council, Director of the Board of the US‐Pakistan Business Council and a member of the Susquehanna Investment Network based in Lewisburg, Pennsylvania. Lastly, Mr. Jaigobind is
Trustee of the West Street Charitable Foundation, which focuses its efforts on victims of natural disasters.
Eric LordVice President – Global Capital Markets
Mr. Lord joined Rodman & Renshaw in 2008 as Vice President in the firm’s Global Capital Markets department. Prior to joining Rodman & Renshaw, Mr. Lord was Vice President of Equity Capital Markets
at Maxim Group LLC. Over a two year span at Maxim, he worked on
over 150 public market offerings, including eight Maxim lead managed transactions. Prior to joining Maxim, Mr. Lord was an
investment analyst for a registered investment advisory firm in Boston. He worked for two years servicing high‐net worth clients in the preparation of asset allocation plans and the presentation of
annual investment performance reviews. He also developed an investment strategy which was utilized in trading a number of the firm’s discretionary accounts. Mr. Lord is a Series 7 licensed Registered
Representative and Series 24 licensed General Securities Principal. Mr. Lord earned a BS in Business Administration with a concentration in Finance from the University of Richmond.
Kevin ManganSyndicate Manager – Global Capital Markets
Mr. Mangan joined Rodman & Renshaw in 2008 as Syndicate Manager in the Global Capital Markets department. Prior to joining Rodman & Renshaw, Mr. Mangan was Syndicate Manager at Maxim
Group LLC. During his time at Maxim, Mr. Mangan was involved in
all internal aspects of the firm’s syndicate business including deal execution, interfacing with sales, and syndicate deal sourcing. Mr.
Mangan is a Series 7 licensed Registered Representative and Series 24 licensed General Securities Principal. He earned a Bachelor in Business Administration concentrating in Management and Finance
from the University of Miami.
Biographies
32
Mr. Dong joined Rodman & Renshaw in 2010 as an Equity Syndicate Associate in the Global Capital Markets department. Prior to joining Rodman & Renshaw, Mr. Dong was an investment banking
analyst at H.C. Wainwright & Co. During his time at HCW, he worked on several private placement deals for Chinese companies. Prior to joining HCW, he interned with Sichenzia Ross Friedman Ference
LLC, a leading corporate and securities law firm on wall street and had cross training in the international listing department at NYSE Amex. Mr. Dong is a Series 7 licensed Registered Representative. He
earned a Bachelor Degree with Honors in Electrical Engineering from Nanyang Technological University, Singapore and a Master Degree in Operations Research (Financial Engineering Track) from
Columbia University. He speaks fluent Mandarin and is moderately
proficient in Korean and Japanese.
Kai Kai DongAssociate – Global Capital Markets
Global Capital Markets Group
Chirag ChoudharySenior Vice President – Global Capital Markets
Mr. Choudhary joined Rodman & Renshaw, LLC as Senior Vice President in the Global Capital Markets Group. Mr. Choudhary works with some of the leading institutional investors around the globe with
a focus on the firm’s public market transactions. Prior to Rodman & Renshaw, Mr. Choudhary was a partner and Senior Vice President ‐
Institutional Sales at Maxim Group LLC. He worked closely with
different department heads (trading/capital markets/investment banking/sales trading/fixed income) to ensure the highest level of service for clients. Prior to Maxim Group, Mr. Choudhary worked for
Investec Ernst & Co., a leading international bank headquartered
in South Africa. He worked with members of the Private Client Group servicing the needs of high‐net worth individuals and corporations.
Mr. Choudhary started his career at Merrill Lynch & Co. as an associate in the Private Client Group where he conducted portfolio
reviews for existing clients using firm’s proprietary platform. Mr.
Choudhary has a Masters in Business Administration (Finance) from Hawaii Pacific University and a Bachelor of Commerce (Hons.) degree in Finance and Tax Planning. He is also a member of Chairman’s
Circle of U.S‐India Chamber of Commerce. Mr. Choudhary is also a member of Asia Society, a leading international non‐profit educational organization founded in 1956 with headquarters in New York
and presence in 6 countries. Lastly, Mr. Choudhary is presently
an Associate Producer level member for GenArt Inc., a leading arts and entertainment organization across the United States.
Harry IoannouSenior Vice President – Private Client Group
Mr. Ioannou joined Rodman & Renshaw, LLC as Senior Vice President in the Private Client Group/Global Capital Markets. Mr. Ioannou’s experience in the financial markets spans over 8 years. His current
position in Private Wealth Management/Capital Markets allows him
to deliver high‐quality strategic advice and investment solutions to our high net worth clients. In addition, Mr. Ioannou handles
institutional accounts that are focused on Capital Markets and Syndicate offerings. Mr. Ioannou’s focus has been primarily in raising capital for small and mid cap private/public companies, investing in
Initial Public Offerings and Blank Check Underwritings. Prior to Rodman & Renshaw, Mr. Ioannou was a partner and Senior Vice President – Private Client Group at Maxim Group LLC. Mr. Ioannou started
his career at Morgan Stanley Dean Witter in 1999. He has a Bachelors degree from Baruch College with a specialization in Finance and Investments.
Shay KronfeldManaging Director – Global Capital Markets
Mr. Kronfeld joined Rodman in July 2009. His responsibilities include working with leading institutions from around the world, specifically Europe and Israel, with a focus on IPO’s, Follow‐on’s, and
general investments Prior to Rodman, Mr. Kronfeld spent six years at Maxim Group and held a position of VP Institutional Sales where he worked closely with Israeli/Swiss institutions on products such as
derivates, options, fixed income, SPAC’s and IPO’s. Mr. Kronfeld holds a Bachelors degree in Business Management
from the Interdisciplinary Center University in Herzelia, Israel. Mr. Kronfeld is involved
with the Israeli community in the US, also learning and Volunteering in the Kabbalah Center in NY.
George AnagnostouInstitutional Sales – US/Europe/Asia – Global Capital Markets
Mr. Anagnostou joined Rodman & Renshaw in 2008 in the firm’s Global Capital Markets group catering to institutional investors in the US, Europe, and Asia. Prior to joining Rodman & Renshaw, Mr.
Anagnostou was a syndicate associate in the Equity Capital Markets group at Maxim Group LLC. Prior to Maxim, Mr. Anagnostou was a chartering shipbroker for a firm based in Athens, Greece. He has
extensive knowledge of the international shipping industry and holds the ASBA Chartering Certificate. Mr. Anagnostou is a Series
7 licensed Registered Representative. Mr. Anagnostou earned a Bsc. in
Maritime Business from the University of Plymouth, UK and a Msc.
in International Ship Management from The Maritime College, NY.
Biographies
33
Global Capital Markets Group
Philip RiggioSenior Vice President –
Institutional Sales & Trading
Mr. Riggio started in 1997 as a NASDAQ Market Maker at Ferris, Baker Watts in Baltimore specializing in smallcap technology, media, and telecom sectors for retail and institutional clients.
In 2000, Mr.
Riggio went to Deutsche Bank Alex Brown as a Vice President
NASDAQ trading focused on large cap tech for top 20 global institutional clients.
Following 9/11 2001,
he was hired by Cantor Fitzgerald as
part of the sales and trading team responsible for rebuilding the NASDAQ and NYSE trading operations.
Mr. Riggio joined Rodman & Renshaw in July 2009 as Vice President Institutional Sales Trader
focused on serving the needs of institutional clients investing in emerging markets microcap and smallcap companies.
John CasselsSenior Vice President –
Institutional Sales
Mr. Cassels is a member of the Global Capital Markets team for Rodman&Renshaw working with Mutual Funds, Hedge Funds, and Private Equity investors.
Mr. Cassels focuses on
public equity
transactions, private placements, and research sales for the firm. Mr. Cassels began his career in 1997 with Salomon Smith Barney in New York.
He also spent time at UBS and Sanders Morris Harris prior
to joining Rodman in 2009.
At Sanders Morris Harris, Mr. Cassels worked on the institutional desk with a focus on private placements and PIPE transactions
primarily in the energy sector.
John is a
graduate of the University of North Carolina, Chapel Hill, with a B.A. degree in Public Policy Analysis.
Bradley RichmondSenior Vice President –
Institutional Sales
Mr. Richmond joined Rodman & Renshaw in 2009
in the firm’s Global Capital Markets group catering to institutional investors in the U.S. Mr. Richmond is a 15 year veteran of the equity markets with
expertise in institutional equity trading and public market transactions. Prior to joining Rodman & Renshaw , Mr. Richmond served as Head Trader at a $500mm long/short hedge fund with average
returns in excess of 20%. Mr. Richmond was in charge of trading the firm’s portfolio and due diligence on any new public transactions, including IPO’s, PIPE’s, and SPAC’s.
Prior to that Mr. Richmond was a
Senior Vice President‐
Institutional Sales at Worldco LLC. Mr. Richmond holds a B.S. in Economics from the State University of New York at Albany.
Biographies
34
Global Capital Markets – Origination & Execution
Experience inSyndicated Transactions
Number of Deals
Our Global Capital Markets Group is actively involved in the firm’s deal origination efforts and in the
execution of all registered offerings – both lead and co‐managed.
Specialize in over a dozen financial products: starting with IPOs, SPACs, Follow‐On Offerings, PIPEs,
Privates, and Closed End Funds.
Since inception we have executed on approximately 300 deals representing an aggregate dollar
value of $50 Billion
Recently implemented an online deal execution platform giving all deal participants full
transparency in the registered offering process from deal launch
to final pricing
We have forged strong relationships with many financial services
distributions, including:
Merrill Lynch
Citigroup
Goldman Sachs
Bank of America
Barclays
Credit Suisse
J.P. Morgan
Deutsche Bank
UBS
Oppenheimer
Piper Jaffray
CIBC World Markets
Macquarie
Dahlman Rose
Ladenburg Thalmann
I‐Bankers
Wedbush Morgan
Morgan Joseph
Sunrise Securities
WestPark Capital
Newsbridge Securities
CRT Capital Group
Chardan Capital Markets
WR Hambrecht
2.22
4.25
6.83 6.55
8.70
0.001.002.003.004.005.006.007.008.009.00
10.00
2003 2004 2005 2006 2007
**Excludes Closed‐End
Funds
3548 53
67
110
0
20
40
60
80
100
120
2003 2004 2005 2006 2007
Experience inSyndicated TransactionsTotal Value of Deals (in Billions)
35
US Equity League Table –
2010
For US listed underwritten deals up to $50 million
36
Rank Underwriter Issues Amount USD (Mln)1 Roth Capital Partners Inc 21 423.42 Rodman & Renshaw Inc 18 257.53 Lazard LLC 12 273.64 Jefferies Group Inc 11 339.15 Stifel Nicolaus Weisel 11 242.06 Maxim Group LLC 7 64.37 Robert W Baird & Co 6 128.68 Piper Jaffray & Co 6 128.29 Sandler O'Neill & Partners 6 127.1
10 Needham & Co Inc 6 85.711 Keefe Bruyette & Woods 5 158.012 Deutsche Bank AG 5 151.713 Canaccord Genuity Corp 5 126.214 RBC Capital Markets 5 115.915 Wells Fargo & Co 5 114.216 Oppenheimer & Co 5 91.517 Craig‐Hallum Capital Group LLC 5 75.518 Goldman Sachs & Co 4 122.119 Leerink Swann & Co 4 70.020 Morgan Stanley 4 68.4
Source: Bloomberg
01/01/2010 ‐
06/30/2010
FIRM RANK VALUE (MM) DEAL COUNT
UBS 1 1,014 9
Goldman Sachs & Co 2 2,207 8
Morgan Stanley 3 880 8
Rodman & Renshaw Inc 4 103 6
JP Morgan 5 719 5
Piper Jaffray & Co 6 302 5
HSBC Bank PLC 7 363 4
Roth Capital Partners Inc 8 84 4
Bank of China 9 451 3
Macquarie Group Ltd 10 334 3
Deutsche Bank AG 11 213 3
Bank of America Merrill Lynch 12 184 3
China Merchants Securities Co Ltd 13 128 3
CITIC Securities Co Ltd 14 181 2
BNP Paribas Group 15 150 2
Credit Suisse 16 114 2
Guotai Junan Securities Co Ltd 17 108 2
RBS 18 106 1
Broadband Capital Management LLC 19 96 1
Industrial & Comm Bank of China 20 90 1
* Includes all eligible equity offerings from Chinese issuers that are listed on any exchange excluding China A shares. Volume in USD millions
Member FINRA and SIPC
IPO
$150 MillionJune 18, 2007
Advanced Technology
Acquisition Corp
IPO
$50.71 MillionJuly 11, 2006
Israel Growth Partners Inc
$36 Million July 13, 2005
Israel Technology
Acquisition Corp
IPOGuruNet Corp.
$11.8 MillionInitial Public Offering
Lead ManagerOctober 13, 2004
Incredimail, Ltd.
$21.5 MillionInitial Public Offering
Sole ManagerJanuary 30, 2006
RRSat Global Communication
$47.5 MillionInitial Public Offering
Co-ManagerNovember 1, 2006
Pinpoint Advance Corp
$36.0 MillionInitial Public OfferingSole Book Runner
April 19, 2007
IXI Mobile
$20.0 MillionBridge Financing
Co-Placement Agent
Note: Below are the transactions executed prior to joining Rodman & Renshaw, LLC
Rodman & Renshaw Global Capital Markets Group Israel Experience
Rodman & Renshaw Global Capital Markets Group Israel Experience
Israel Technology Acquisition Corp.
Has agreed to merge with
$42,999,000Financial Advisor to Israel Technology
Global Capital Markets Group
Recent Transactions
39
Global Capital Markets Group
Recent Transactions
40
Global Capital Markets Group
Recent Transactions (Continued)
41
Global Capital Markets Group
Recent Transactions (Continued)
42
Global Capital Markets Group
Recent Transactions (Continued)
43
Global Capital Markets GroupRecent Transactions –
Underwriting and Selling Group
44
Global Capital Markets Group Past Transactions –
Managed Registered Public Offerings
Response Genetics, Inc.
$21 MillionInitial Public OfferingSole Book Runner
June 4, 2007
ImaRx Therapeutics Inc.
$15 MillionInitial Public OfferingSole Book Runner
July 25, 2007
Alyst Acquisition Corp
$56 MillionInitial Public Offering
Co-ManagerJune 29, 2007
Business Combination Company™ “BCC™”
InterAmerican Acquisition Group
$40 MillionInitial Public Offering
Co-ManagerSeptember 5, 2007
Business Combination Company™ “BCC™”
Seanergy Maritime Corp.
$220 MillionInitial Public OfferingSole Book Runner
September 25, 2007
FMG Acquisition Corp.
$36 MillionInitial Public Offering
Co-ManagerOctober 5, 2007
TM Entertainment and Media, Inc.
$72 MillionInitial Public Offering
Co-ManagerOctober 18, 2007
Stone Tan China Acquisition Corp.
$240 MillionInitial Public Offering
Co-ManagerOctober 15, 2007
Business Combination Company™ “BCC™”
Secure America Acquisition Corp.
$80 MillionInitial Public Offering
Co-ManagerOctober 23, 2007
2020 ChinaCap Acquirco, Inc.
$60 MillionInitial Public Offering
Co-ManagerNovember 9, 2007
Global Consumer Acquisition Corp.
$300 MillionInitial Public Offering
Co-ManagerNovember 21, 2007
Business Combination Company™ “BCC™”
United Refining Energy Corp.
$450 MillionInitial Public OfferingCo-Lead Manager
December 11, 2007
Business Combination Company™ “BCC™”
Asia Special Situation Acquisition
$100 MillionInitial Public OfferingSole Book RunnerJanuary 17, 2008
Trian Acquisition I Corp.
$800 MillionInitial Public Offering
Co-ManagerJanuary 24, 2008
Overture Acquisition Corp.
$150 MillionInitial Public Offering
Co-ManagerJanuary 30, 2008
BPW Acquisition Corp.
$350 MillionInitial Public Offering
Co-ManagerFebruary 27, 2008
Business Combination Company™ “BCC™”
China Fundamental Acquisition Corp.
$30 MillionInitial Public Offering
Co-ManagerMay 15, 2008
Business Combination Company™ “BCC™”
Note: Transactions executed prior to joining Rodman & Renshaw, LLC
45
Managed Registered Public Offerings
Newtek Business Services, Inc.
$25.0 MillionFollow-On Offering
Co-ManagerJune 28, 2004
GuruNet Corp.
$11.8 MillionInitial Public Offering
Lead ManagerOctober 13, 2004
Interchange Inc.
$22.0 MillionInitial Public Offering
Co-ManagerOctober 19, 2004
Coffee Holding Co., Inc.
$9.2 MillionInitial Public Offering
Co-ManagerMay 3, 2005
Gentium S.p.A
$24.8 MillionInitial Public Offering
Lead ManagerJune 16, 2005
Comtech Group
$40.4 MillionFollow-On Offering
Co-ManagerJuly 15, 2005
BioDelivery Sciences Int’l
$8.8 MillionFollow-On Offering
Co-ManagerSeptember 30, 2005
Ad. Venture Partners, Inc.
$54.0 MillionInitial Public Offering
Co-ManagerAugust 26, 2005
Star Maritime Acquisition Corp.
$188.7 MillionInitial Public OfferingSole Book Runner
December 16, 2005
Incredimail, Ltd.
$21.5 MillionInitial Public Offering
Sole ManagerJanuary 30, 2006
Compass Diversified Trust
$202.5 MillionInitial Public Offering
Co-ManagerMay 11, 2006
Minrad International, Inc.
$32.5 MillionFollow-On Offering
Co-ManagerMay 24, 2006
JK Acquisition Corp.
$69.0 MillionInitial Public Offering
Co-ManagerApril 11, 2006
Business Combination Company™ “BCC™”
Key Hospitality Acquisition Corp.
$48.0 MillionInitial Public Offering
Lead ManagerOctober 25, 2005
Business Combination Company™ “BCC™”
Healthcare Acquisition Corp.
$72.0 MillionInitial Public Offering
Sole ManagerJuly 29, 2005
Business Combination Company™ “BCC™”
Energy Infrastructure Acquisition Corp.
$202.5 MillionInitial Public OfferingSole Book Runner
July 18, 2006
Community Bankers Acquisition Corp.
$60.0 MillionInitial Public Offering
Co-ManagerJune 5, 2006
Business Combination Company™ “BCC™”
Affinity Media International Corp.
$16.5 MillionInitial Public OfferingSole Book Runner
June 6, 2006
Business Combination Company™ “BCC™”
Ivivi Technology, Inc.
$15.0 MillionInitial Public OfferingSole Book RunnerOctober 18, 2006
Thermage, Inc.
$42.0 MillionInitial Public Offering
Co-ManagerNovember 9, 2006
SORL Auto Parts, Inc.
$31.1 MillionFollow-On OfferingSole Book Runner
November 24, 2006
Fuwei Films (Holdings) Co.
$31.0 Million Initial Public OfferingSole Book Runner
December 18, 2006
Millennium India Acquisition Company
$58.0 Million Initial Public Offering
Co-ManagerJuly 19, 2006
Business Combination Company™ “BCC™”
RRSat Global Communication
$47.5 MillionInitial Public Offering
Co-ManagerNovember 1, 2006
Dekania Corp.
$97.0 MillionInitial Public OfferingCo-Lead ManagerFebruary 1, 2007
Oceanaut, Inc.
$150.0 MillionInitial Public Offering
Co-ManagerMarch 1, 2007
Oculus Innovative Sciences, Inc.
$24.2 MillionInitial Public Offering
Co-ManagerJanuary 24, 2007
$60.0 MillionInitial Public OfferingSole Book Runner
March 23, 2007
Alpha Security Group Corporation
$51.0 MillionInitial Public Offering
Co-ManagerApril 19, 2007
China Healthcare Acquisition Corp
Pinpoint Advance Corp
$36.0 MillionInitial Public OfferingSole Book Runner
April 19, 2007
Arcade Acquisition Corporation
$60 MillionInitial Public Offering
Co-ManagerMay 22, 2007
TransTech Services Partners
$36 MillionInitial Public OfferingCo-Lead Manager
May 23, 2007
Note: Transactions executed prior to joining Rodman & Renshaw, LLC
46
Underwriting Group
IPO
$100 MillionApril 25, 2006
Shanghai CenturyAcquisition Corp
IPO
$29.66 MillionApril 18, 2006
Global Services Partners
Acquisition Corp
$35 MillionApril 12, 2006
Asia AutomotiveAcquisition Corp
IPOSecondary
$1.5375 Billion May 5, 2006
IPO
$50.71 MillionJuly 11, 2006
Israel Growth Partners Inc
IPO
$51.75 MillionOctober 25, 2006
IPO
$12.5 MillionNovember 1, 2006
IPO
$57.5 MillionDecember 13, 2006
IPO
$47 MillionDecember 13, 2006
IPO
$25.44 MillionDecember 14, 2006
IPO
$36 MillionDecember 21 , 2006
Shine Media Acquisition Corp
IPO
$27.6 MillionDecember 20 , 2006
IPO
$80 MillionFebruary 8, 2007
IPO
$150 MillionMarch 7, 2007
Symmetry Holdings, Inc.
Follow-On
$443.6 MillionMarch 1, 2007
IPO
$100 MillionFebruary 28, 2007
Churchill Ventures Ltd.
IPO
$100 MillionApril 11, 2007
Tailwind Financial, Inc
IPO
$58.5 MillionApril 25, 2007
Vector Intersect Security Acquisition
Corp
IPO
$20 MillionJune 15, 2007
IPO
$150 MillionJune 18, 2007
Advanced Technology
Acquisition Corp
Follow-On
$200 MillionJune 28, 2007
TravelCentersof America LLC
IPO
$15 MillionJune 28, 2007
Follow-On
$120.84 MillionOctober 16, 2007
HRPT Properties Trust
IPO
$360 MillionOctober 18, 2007
IPO
$250 MillionOctober 18, 2007
IPO
$250 MillionNovember 8, 2007
Enterprise Acquisition
Corp
IPO
$125 MillionNovember 7, 2007
IPO
$6.4 MillionDecember 14, 2007
IPO
$200 MillionJanuary 18, 2008
IPO
$400 MillionFebruary 15, 2008
IPO
$32 MillionMarch 7, 2008
Hambrecht Asia Acquisition Corp
Follow-On
$53 MillionMay 15, 2008
Note: Transactions executed prior to joining Rodman & Renshaw, LLC
47
$24 Million December 20, 2004
Millstream II Acquisition Corp
IPOIPO
$440.6 millionFebruary 8, 2005
IPO
$10.8 Million February 9, 2005
Secondary
$655.5 MillionFebruary 17, 2005
IPO
$23.4 Million February 15, 2005
$28.8 millionFebruary 22, 2005
Coastal Bancshares
Acquisition Corp
IPOFollow-On
$43.8 MillionMarch 9, 2005
Follow-On
$21.2 MillionMarch 10, 2005
Secondary
$129.64 MillionMarch 11, 2005
$51.7 Million April 12, 2005
Mercator Partners Acquisition
Corp
IPO
$36 Million February 28, 2005
ArdentAcquisition Corp
IPO
$28.8 MillionApril 19, 2005
Terra Nova Acquisition Corp.
IPOIPO
$7 Million May 3, 2005
IPO
$48 MillionApril 22, 2005
KBL Healthcare Acquisition II Corp
IPO
$60 MillionJune 24, 2005
IPO
$72 MillionJuly 1, 2005
Courtside Acquisition Corp
IPO
$120 MillionJune 30, 2005
ServicesAcquisition Corp
International
$10.7 Million July 8, 2005
IPO
$36 Million July 13, 2005
Israel Technology
Acquisition Corp
IPO
$42 Million July 15, 2005
Fortress America Corporation
IPO
$15.2 millionJuly 15, 2005
Juniper Partners Acquisition Corp
IPO
$30 MillionAugust 2, 2005
Chardan North China
Acquisition Corp
IPO
$51 MillionAugust 18, 2005
Ithaka Acquisition Corp
IPO
$34.5 Million August 2, 2005
Chardan South China
Acquisition Corp
IPO
Follow-On
$47.5 MillionOctober 11, 2005
IPO
$74.9 MillionSeptember 29, 2005
$60 MillionOctober 26, 2005
Coconut Palm Acquisition Corp
IPOFollow-On
$24.7 Million December14, 2005
IPO
$29 MillionJanuary 24, 2006
Argyle Security Acquisition Corp
IPO
$24 Million February 1, 2006
$24 MillionApril 10, 2006
Jaguar Acquisition
Corp
IPO IPO
$60.0 MillionMarch 10, 2006
Good Harbor Partners
Acquisition Corp
Underwriting GroupNote: Transactions executed prior to joining Rodman & Renshaw, LLC
48
Follow-On
$14.3 MillionJune 24, 2003
IPO
$21 MillionAugust 25, 2003
Millstream Acquisition Corp
Follow-On
$49.5 MillionDecember 4, 2003
Follow-On
$29.6 MillionDecember 8, 2003
Follow-On
$53.13 MillionDecember 10, 2003
$12.5 Million December 11, 2003
IPOIPO
$18 MillionDecember 24, 2003
IPO
$21 MillionFebruary 12, 2004
CEA Acquisition Corp
Follow-On
$9.39 Million February 17, 2004
IPO
$21 MillionMarch 16, 2004
Chardan China Acquisition Corp
Follow-On
$66.44 MillionApril 20, 2004
IPO
$65.01 MillionDecember 17, 2003
Secondary
$70.67 MillionMay 20, 2004
Follow-On
$5 MillionMay 25, 2004
IPO
$33 MillionMay 12, 2004
Tremisis Energy Acquisition
Corp
IPO
$36 Million July 22, 2004
IPO
$31.25 MillionJuly 14, 2004
$12 MillionJune 16, 2004
IPOIPO
$36 MillionJune 24, 2004
Arpeggio Acquisition Corp
IPO
$21.6 MillionJuly 27, 2004
Sandhill Acquisition Corp
IPO
$41.7 MillionJuly 22, 2004
IPO
$47.6 MillionSeptember 23, 2004
IPO
$24 MillionAugust 24, 2004
China Mineral Acquisition Corp
IPO
$7.88 MillionJuly 30, 2004
Trinity Partners Acquisition
Corp
IPO
$6.63 MillionOctober 14, 2004
Secondary
$197.81 MillionSeptember 24, 2004
IPO
$24 MillionMarch 17, 2004
Great Wall Acquisition
Corp
IPO
$21 MillionOctober 28, 2004
Rand Acquisition Corp
IPO
$18 MillionNovember 22, 2004
China Unistone Acquisition Corp
Follow-On
$7.74 MillionNovember 1, 2004
IPO
$171 MillionDecember 13, 2004
International Shipping
Enterprises, Inc.
$30.0 Million December 15, 2004
IPO
Underwriting GroupNote: Transactions executed prior to joining Rodman & Renshaw, LLC
49
Selling Group
IPO
$400 MillionOctober 11, 2007
Follow-On
$90.75 MillionOctober 24, 2007
Follow-On
$109.01 MillionNovember 2, 2007
IPO
$250 MillionNovember 14, 2007
Prospect Acquisition Corp
IPO
$80 MillionNovember 20, 2007
Ideation Acquisition Corp
Follow-On
$80.44 MillionNovember 29, 2007
IPO
$50 MillionNovember 30, 2007
Camden Learning Corporation
IPO
$50.4 MillionNovember 30, 2007
North Shore Acquisition Corp.
IPO
$76 MillionDecember 7, 2007
Tremisis Energy Acquisition
Corporation II
Follow-On
$63 MillionDecember 5, 2007
Follow-On
$13.2 MillionDecember 12, 2007
IPO
$172.8 MillionDecember 18, 2007
IPO
$200 MillionJanuary 24, 2008
Atlas Acquisition Holdings Corp.
IPO
€600 MillionFebruary 6, 2008
Liberty International
Acquisition Corp.
IPO
$5.78 MillionFebruary 15, 2008
Follow-On
$124.32 MillionMarch 5, 2008
Follow-On
$1.155 BillionMarch 6, 2008
Follow-On
$118.25 MillionMarch 19, 2008
Follow-On
$915 MillionMarch 27, 2008
Follow-On
$50 MillionApril 17, 2008
Note: Transactions executed prior to joining Rodman & Renshaw, LLC
50
Follow-On
$964.5 MillionDecember 8, 2006
IPO
$14.4 MillionDecember 7, 2006
Follow-On
$151.9 MillionDecember 8, 2006
IPO
$100 MillionDecember 20, 2006
Transforma Acquisition Group Inc.
Follow-On
$100 MillionMarch 6, 2007
IPO
$14 MillionFebruary 28, 2007
Zion Oil & Gas Inc.
IPO
$9.9 MillionFebruary 12, 2007
IPO
$225 MillionFebruary 6, 2007
IPO
$100 MillionFebruary 5, 2007
Union Street Acquisition Corp
IPO
$225 MillionJanuary 31, 2007
Secondary
$182.5 MillionMarch 20, 2007
IPO
$100 MillionMarch 27, 2007
Santa Monica Media Corporation
Secondary
$81.4 MillionApril 17, 2007
Follow-On
$96.3 MillionApril 23, 2007
IPO
$204.3 MillionApril 24, 2007
IPO
$150 MillionApril 17, 2007
MBF Healthcare Acquisition Corp
Follow-On
$16.3 MillionMay 14, 2007
Wilson Holdings, Inc.
IPO
$1,200 MillionMay 3, 2007
Follow-On
$42.6 MillionMay 11, 2007
IPO
$120 MillionMay 23, 2007
Shermen WSC Acquisition Corp
Follow-On
$35 MillionJune 13, 2007
IPO
$180 MillionJune 25, 2007
GSC Acquisition Corp
Follow-On
$72.25 MillionJune 27, 2007
IPO
$13.975 MillionJune 27, 2007
IPO
$75 MillionJuly 17, 2007
China Fortune Acquisition Corp
IPO
€100 MillionJuly 18, 2007
Pan-European Hotel Acquisition
N.V
IPO
$43.125 MillionAugust 2, 2007
Follow-On
$68.25 MillionSeptember 20, 2007
Follow-On
$126.65 MillionSeptember 21, 2007
IPO
$2.58 MillionSeptember 28, 2007
Follow-On
$26.5 MillionSeptember 27, 2007
Patriot Capital Funding
Patriot Capital Funding
IPO
$60 MillionOctober 2, 2007
Inter-Atlantic Financial, Inc.
Selling GroupNote: Transactions executed prior to joining Rodman & Renshaw, LLC
51
IPO
$388 Million June 10, 2005
EmpireOnline
IPO
$120 Million June 29, 2005
TAC Acquisition Corp
Follow-On
$187.85 Million September 15, 2005
Follow-On
$34.31 Million August 18, 2005
IPO
$115.2 Million October 26, 2005
Platinum Energy Acquisition Corp
IPO
$51 Million October 24, 2005
Paramount Acquisition Corp
Follow-On
$2312 Million October 28, 2005
IPO
$42 Million November 9, 2005
IPO
$244.72 Million November 21, 2005
IPO
$27.5 Million November 17, 2005
IPO
$556 Million December 6, 2005
IPO
$120 Million December 15, 2005
Endeavor Acquisition Corp
IPO
$40.4 Million January 25, 2006
Highbury Financial Inc
IPO
$22.5 Million January 31, 2006
Follow-On
$164.82 MillionJanuary 27, 2006
IPO
$78.6 Million January 25, 2006
Follow-On
$75.75 MillionFebruary 16, 2006
IPO
$58.98 Million March 2, 2006
India Global Capital Inc.
Follow-On
$21.6 MillionMarch 23, 2006
IPO
$79.5 Million March 14, 2006
Platinum Diversified
Mining
IPO
$804.75 Million March 28, 2006
Playtech
IPO
$60 MillionApril 26, 2006
Harbor Acquisition Corp
IPO
$50.6 Million March 8, 2006
Secondary
$382.18 Million May 10, 2006
IPO
$21 Million June 6, 2006
IPO
$531.25 MillionMay 24, 2006
IPO
$16.5 MillionJuly 14, 2006
Follow-On
$96.3 MillionJuly 19, 2006
IPO
$38.5 MillionOctober 18, 2006
Follow-On
$5.97 MillionOctober 16, 2006
IPO
$18 MillionOctober 18, 2006
Secondary
$69.9 MillionNovember 29, 2006
Selling GroupNote: Transactions executed prior to joining Rodman & Renshaw, LLC
52
Selling Group
Follow-On
$72.5 Million December 17, 2003
Follow-On
$8 Million February 12, 2003
Follow-On
$270.2 Million January 8, 2004
Follow-On
$309.52 Million January 13, 2004
Secondary
$16.93 Million March 25, 2004
Follow-On
$48 Million March 24, 2004
Follow-On
$135.15 Million April 1, 2004
IPO
$9.21 Million April 5, 2004
Follow-On
$119.7 Million March 24, 2004
IPO
$10.5 Million February 5, 2004
Secondary
$36.11 Million May 5, 2004
Follow-On
$46.3 Million May 20, 2004
IPO
$64 Million May 5, 2004
Follow-On
$297.6 MillionMay 27, 2004
Secondary
$71 Million July 1, 2004
Follow-On
$147 Million June 25, 2004
Follow-On
$153.28 Million August 24, 2004
Follow-On
$102 Million August 18, 2004
Follow-On
$105 Million September 28, 2004
Follow-On
$15.31 Million September 23, 2004
Secondary
$233.75 Million October 13, 2004
IPO
$139.05 Million September 29, 2004
IPO
$400 Million October 22, 2004
Follow-On
$253 Million November 4, 2004
IPO
$126.72 Million December 16, 2004
IPO
$93.75 Million November 11, 2004
IPO
$48 Million February 17, 2005
Aldabra Acquisition Corp
IPO
$11 Million April 12, 2005
Follow-On
$60 Million June 8, 2005
Follow-On
$42.88 Million May 25, 2005
Follow-On
$93.75 Million May 18, 2005
IPO
$30.29 Million June 9, 2005
Note: Transactions executed prior to joining Rodman & Renshaw, LLC
53
Conmed Healthcare Management, Inc.
$15.0 MillionPIPE
Sole Placement Agent
Debt Resolve, Inc.
$2.6 MillionBridge Financing
Co-Placement Agent
Altair Nanotechnologies
$20.25 MillionShelf Offering
Sole Placement Agent
ADM Tronics Unlimited
$6.1 MillionPIPE
Sole Placement Agent
Universal Guardian Holdings Inc.
$6.0 MillionPIPE
Sole Placement Agent
Netsol Technologies, Inc.
$5.5 MillionPIPE
Sole Placement Agent
Association of Volleyball Professionals
$5.0 MillionPIPE
Sole Placement Agent
Signalife, Inc.
$2.9 MillionPIPE
Sole Placement Agent
Jed Oil Inc.
$34.3 MillionPrivate Placement
Co-Placement Agent
Drugmax Inc.
$17.0 MillionPIPE
Co-Placement Agent
Asiamart, Inc.
$3.1 MillionPIPE
Co-Placement Agent
ImaRx Therapeutics
$14.2 MillionPrivate Placement
Co-Placement Agent
XStream Beverage Network, Inc.
$17.5 MillionPIPE
Sole Placement Agent
DigitalFX International, Inc.
$7.0 MillionPIPE
Sole Placement Agent
Hyperspace Communications, Inc.
$9.5 MillionPIPE
Sole Placement Agent
PRB Gas Transportation
$22.0 MillionPIPE
Co-Placement Agent
Velocity Express Corporation
$45.0 MillionPIPE
Co-Placement Agent
TeamStaff, Inc.
$4.3 MillionPIPE
Sole Placement Agent
IXI Mobile
$20.0 MillionBridge Financing
Co-Placement Agent
Diguang Electronics
$12.0 MillionPIPE
Co-Placement Agent
Acacia Combimatrix Corp.
$4.9 MillionPIPE
Sole Placement Agent
Cel-Sci Corporation
$8.3 MillionPIPE
Sole Placement Agent
Gentium S.p.A.
$10.9 MillionPIPE
Co-Placement Agent
pSivida LTD
$15.0 MillionPIPE
Co-Placement Agent
Manhattan Pharmaceuticals, Inc.
$10.0 MillionPIPE
Sole Placement Agent
Pipeline Data, Inc.
$37.0 MillionConvertible Debt
PIPESole Placement Agent
PacificNet Inc.
$8.0 MillionConvertible Debt
PIPECo-Placement Agent
Starfire Systems Inc.
$3.0 MillionPrivate Placement
Co-Placement Agent
Velcera, Inc.
$9.9 MillionPrivate Placement
Sole Placement Agent
Telestone Technologies Corp.
$6.0 MillionPIPE
Sole Placement Agent
IsoRay, Inc.
$16.5 MillionPIPE
Co-Placement Agent
Oncovista, Inc.
$6.8 MillionPIPE
Sole Placement Agent
Selected Private Placements & PIPEsNote: Transactions executed prior to joining Rodman & Renshaw, LLC
54
Selected Past Advisory ClientsNote: Transactions executed prior to joining Rodman & Renshaw, LLC
55
Newtek Business Services, Inc.
Financial Advisory
Netsol Technologies, Inc.
M&A/Financial Advisory
Teamstaff, Inc.
Fairness Opinion
Healthcare Acquisition Corp.
Has agreed to merge with
$112,500,000Financial Advisor to
Healthcare Acquisition
Has agreed to acquire certain assets of
$345,237,520Financial Advisor to
the Star Maritime
Taiwan Maritime Transportation Company, Ltd.
Israel Technology Acquisition Corp.
Has agreed to merge with
$42,999,000Financial Advisor to Israel Technology
SORL Auto Parts, Inc.
M&A/Financial Advisory
Fortress International Group
Inc.
Strategic Advisory
FIGI
Netsol Technologies, Inc.
June 30, 2006
Has acquired
Financial Advisor to the Buyer
Has agreed to merge with
$115,000,000Financial Advisor to
Ad.Venture
Hyperspace Communications,
Inc.
Senior Secured Credit Facility
Strategic Advisory
Has agreed to purchase an Equity Stake in
$56,000,000Financial Advisor to the
Millennium India
Millennium India Acquisition Corp.
SMC GroupInvestments
Has agreed to purchase equity stakes in
$40,000,000Financial Advisor to IGC
Financial Advisor to Fortress America
$38,500,000
Has agreed to acquire
Doing business as VTC, LLC
New York:1251 Avenue of the Americas20th
FloorNew York, NY 10020212.356.0500
Member FINRA, SIPC
Houston:1001 FanninSuite 550Houston, TX 77002713.654.8080
www.rodm.com