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Underwriter Performance Report
Period Covered: January - March, 2007
| The following table lists the most active brokerage firms serving as the lead underwriter in initial public offerings (IPOs). Each report only includes IPOs for which the broker firm served as the lead underwriter. If a brokerage firm participated as an underwriter, other than the lead, or as part of the larger selling syndicate, they are not included in these reports. |
| Name | Total Amount Raised | Num. Offerings | Avg. Market Val. | Avg. Amount Raised | Avg. % Change |
|---|---|---|---|---|---|
| Goldman Sachs & Co. | $1290.8 | 7 | $1039.4 | $184.4 | 12.07 |
| Merrill Lynch | $984.3 | 5 | $663.6 | $196.9 | -1.1 |
| Citigroup | $873.2 | 4 | $330.2 | $218.3 | 0.0 |
| J.P. Morgan | $576.6 | 4 | $618.4 | $144.2 | 7.35 |
| Morgan Stanley | $706.3 | 4 | $644.7 | $176.6 | 21.43 |
| Deutsche Bank Securities | $403.0 | 3 | $303.3 | $134.3 | 2.27 |
| Banc of America Securities LLC | $144.0 | 2 | $61.3 | $72.0 | 1.35 |
| CIBC World Markets | $375.0 | 2 | $135.7 | $187.5 | 10.10 |
| Friedman, Billings, Ramsey | $488.0 | 2 | $643.2 | $244.0 | 0.25 |
| Lehman Brothers | $448.5 | 2 | $832.3 | $224.2 | -0.2 |
| Piper Jaffray | $124.2 | 2 | $233.6 | $62.1 | 4.5 |
| RBC Capital Markets | $150.0 | 2 | $226.6 | $75.0 | -30.7 |
| Bear Stearns & Co. | $50.0 | 1 | $272.9 | $50.0 | -19.19 |
| C.E. Unterberg, Towbin | $26.2 | 1 | $76.5 | $26.2 | -3.3 |
| Meridian Capital | $466.8 | 1 | $0.0 | $466.8 | 2.9 |
| Morgan Joseph & Co. | $36.0 | 1 | $0.0 | $36.0 | 0.0 |
| Raymond James & Associates | $0.0 | 1 | $274.2 | $0.0 | 19.19 |
| Roth Capital Partners | $24.2 | 1 | $70.8 | $24.2 | -25.2 |
| Thomas Weisel Partners LLC | $44.1 | 1 | $159.3 | $44.1 | 6.6 |
| UBS Investment Bank | $115.0 | 1 | $84.9 | $115.0 | -31.2 |
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