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Financings and Securities Offerings

2010	OpenPeak Inc. Series E preferred stock financing, secured term loan facility and working capital line ($52 million). Investments in private equity funds for the University of San Diego. Investments in private equity funds for Colorado College. Senior secured bank facility for PRV Aerospace portfolio companies of Platte River Ventures I, L.P. and Platte River Ventures II, L.P. Venture capital investment by Cheyenne Capital Fund in Eleutian Technologies LLC.
2009	Trico Shipping AS Rule 144A offering of Senior Secured Notes ($400 million) and senior secured revolving credit facility ($33 million). Investments in private equity and hedge funds for Colorado College.
2008	Intrepid Potash. Inc., initial public offering ($1.1 billion), counsel to twenty-percent stockholder, Platte River Ventures I, L.P.
	Real Goods Solar, Inc. initial public offering ($55 million). Trico Marine Services, Inc. PIPES offering of Senior Convertible Debentures ($300 million). Platte River Ventures II, L.P. private equity fund formation ($225 million). Gotham Investment Strategies, LP private offshore and onshore hedge fund offerings. The Parent Company senior secured loan agreement with D. E. Shaw & Co. ($25 million). Investment by Tortoise Gas & Oil Corporation in NRPC Properties, LLC. Mezzanine financing by Caltius Partners in Bulk Handling Systems, a designer, manufacturer and installer of premium conveying and screening systems for the solid waste and recycling materials processing industry. Mezzanine financings and related equity investments by Caltius Partners in Diversified Human Resources and affiliated companies, a professional employer organization, and in Griplock Systems, LLC, a specialized provider of cable suspension systems. Senior secured bank facility for Giddens Industries, Inc., a portfolio company of Platte River Ventures I, L.P. ($20 million).
2007	Radiospire Networks add-on Series B preferred stock financing. Repurchase by Gaiam, Inc. of shares held by Revolution Living, LLC. Private offshore offering by Springhouse Capital (hedge fund). Private offshore and onshore offerings by Caburn Capital (hedge fund). Investment by The Colorado College in private equity fund. Senior secured bank facility for Precision Machine Works, Inc., a portfolio company of Platte River Ventures I, L.P. ($19.6 million).
2006	Alpha Natural Resources, Inc. secondary offering ($298 million). Gaiam, Inc. secondary offering ($100 million). Platte River Ventures I, L.P. private equity fund formation ($75 million). OpenPeak Inc. Series C preferred stock financing. Radiospire Networks Series B preferred stock financing. Investments by Cheyenne Capital Fund in various private equity funds. Investment by Tortoise Capital Resources Corporation in High Sierra Energy, LP. Investment by Alpha Natural Resources, Inc. in Gallatin Materials, LLC ($14 million). Investment in senior subordinated notes and redeemable preferred stock by Caltius Partners III, LP and National City Equity Partners, Inc. in UHY Advisors, Inc. ($37.5 million). Investments by The Colorado College in various private equity and hedge funds. Private offering by Punch Card Capital (hedge fund). Private offering by Kingstown Partners (hedge fund).
2005	Alpha Natural Resources, LLC secured term loan and revolving credit facility ($525 million). Alpha Natural Resources, Inc. initial public offering ($645 million). Asian Energy Holdings, LLC common stock investments in Asian-American Coal, Inc. ($53 million). Gaiam, Inc. PIPES offering with funds advised by Prentice Capital Management ($18.7 million). Investments by Cheyenne Capital Fund in various private equity funds and restructuring of existing investment (lead counsel for investors). Private domestic and offshore offerings by Gotham Select Fund and GVF (hedge funds). Private offering by Springhouse Capital (hedge fund). Radiospire Networks Series A preferred stock financing. Meritage Private Equity Fund, L.P. PIPES financing of Exabyte Corporation (lead counsel for investors) ($8 million).
2004	Alpha Natural Resources, LLC Rule 144A Senior Note offering ($175 million) and secured revolving credit facility ($175 million). Foundation Coal Corporation (co-counsel) initial public offering of common stock ($519 million). Foundation Coal Corporation (co-counsel) Senior Note offering ($300 million) and senior secured credit facility ($820 million). Follow-on equity investment by First Reserve Corporation and recapitalization of Aquilex Corp. OpenPeak Inc. Series B preferred stock financing. Shelf registration and PIPES offering by NaPro BioTherapeutics, Inc. (now known as Tapestry Pharmaceuticals, Inc.).
2003	Pine Mountain Oil & Gas, Inc. secured credit facility ($85 million). Mezzanine financing by NewWest Mezzanine Fund, Convergent Capital and Kansas City Equity Partners of ACT Teleconferencing, Inc. (subordinated debt and equity). Mezzanine financing by Rocky Mountain Mezzanine Fund II of CK Franchising, Inc. (subordinated debt and equity). Venture capital financing by Sterling Holding Company of Corona Optical Systems, Inc. Alpha Natural Resources, LLC coal reserves sale and leaseback transaction with Natural Resource Partners L.P. ($53 million). Senior secured bank facility, bonding facility and related private equity financing by Alpha Natural Resources, LLC in connection with its acquisition of various coal mining operations and reserves.
2002	Senior secured bank facility ($100 million), subordinated debt financing ($30 million) and related private equity financing by Aquilex Services Corporation in connection with its acquisition of Welding Services, Inc. Senior and subordinated debt financing and related private equity financing for Estes-Cox Corp. in connection with its acquisition of Centuri Corp. Follow-on equity investment by Willis Stein & Partners in Aavid Thermal Technologies, Inc.; Senior debt refinancing by Aavid. Organization of Open Peak, Inc., including Series A preferred stock financing. Follow-on venture capital investment in HomeSphere, Inc. TransZap, Inc.’s follow-on bridge and venture capital financing. Equity investment by Gaiam, Inc. in Conscious Media, Inc. Mezzanine financing by Rocky Mountain Mezzanine Fund II of Classic Events, LLC (subordinated debt and equity).
2001	Follow-on venture capital investment in HomeSphere, Inc. Follow-on venture capital investment in TransZap, Inc. Follow-on venture capital investment in Science, Inc. Public offering of Gaiam, Inc. common stock ($35 million secondary offering). Investments by the Public Employees Retirement Association of Colorado in DLJ Merchant Banking Partners III, DLJ Phoenix Equity Partners III, Highland Capital Partners VI and Joseph Littlejohn & Levy IV. Follow-on investment by Willis Stein & Partners and other coinvestors in Aavid Thermal Technologies, Inc. Mezzanine financing by Rocky Mountain Mezzanine Fund II of Educational Symposium (senior debt and warrants).
2000	Rule 144A private placement ($150 million), senior bank facility ($75 million) and private equity financing ($150 million) by Aavid Thermal Technologies in connection with Willis Stein’s leveraged acquisition of Aavid. Formation by Daniels Capital Partners of Catalyst Partners, L.P. and related investment by Daniels. Investments by the Public Employees Retirement Association of Colorado in DLJ Merchant Banking Partners III, Columbia Capital Equity Partners III, Spectrum Equity Investors IV, TCV IV, Cypress Merchant Banking, Charter Growth Capital II, Venture Strategy Partners II, Sprout Capital IX and Sequel III. Venture capital funding for The Patent & License Exchange, Inc. Mezzanine financings by Rocky Mountain Mezzanine Fund II, L.P. and other investors of Centerprise Advisors, Inc. (subordinated debt, warrants and preferred stock); New Concept Holdings Corp. (preferred stock and warrants) and Simplex Manufacturing Co. (subordinated debt and common stock). Science Incorporated’s private placement of preferred stock. Follow-on venture capital and friends and family investment in TransZap, Inc.
1999	Initial public offering by Gaiam, Inc. Venture capital investment in The Patent & License Exchange, Inc. by Ernst & Young, LLP. Investments by the Public Employees Retirement Association of Colorado in Goldman Sachs Special Opportunities Asia Fund L.P., Brentwood Associates Private Equity III, L.P., DLJ Phoenix Equity Partners III LP. Mezzanine financings by Rocky Mountain Mezzanine Fund II, L.P. of Pace-Edwards Company (subordinated debt and warrants); Atlas Holdings (subordinated debt and warrants) and Pacific Wireless (subordinated debt, preferred and common stock). Initial venture capital financing of TransZap, Inc. Initial structuring and financing of Omnivation LLC. Mezzanine financings by NewWest Mezzanine Fund of Confertech Systems (subordinated debt and warrants) and Controlled Products Services Corporation (subordinated debt and warrants). Science Incorporated's private placement of common stock.
1998	Mezzanine financings by Rocky Mountain Mezzanine Fund II, L.P. of Diversified Metal Products (subordinated debt, common stock and warrants), Viastar Services Corporation (subordinated debt and warrants), Overland-Bolling Company (subordinated debt and warrants), Champion Industries (subordinated debt and warrants) and Caption Colorado (senior debt, warrants and equity). Mezzanine financing by Hanifen Imhoff Mezzanine Fund, L.P. of Siemann Educational Systems, Inc. (subordinated debt and warrants) in connection with an acquisition by Siemann; reorganization of Columbine Candy Company (preferred and common stock). Titanium Metals Corporation’s acquisition of convertible preferred stock of Special Metals Corporation to provide a portion of the acquisition financing for Special Metals’ purchase of Inco Alloys International ($80 million). Credit facility for Celestial Seasonings, Inc. with Key Bank ($22 million).
1997	Resecuritization of mortgage bond portfolio for Asset Investors Corporation through Bear Stearns & Co. ($70 million). Resecuritization of mortgage bond portfolio of Commercial Assets, Inc. through Paine Webber Incorporated ($77 million). Mezzanine financings by Hanifen Imhoff Mezzanine Fund, L.P. of Columbine Candy Company (Stephany’s Chocolates) (subordinated debt and warrants) Viastar Services Corporation (subordinated debt and warrants), International Composites Corporation (senior debt and warrants) and Giftco, Inc. (subordinated debt and warrants) in connection with leveraged buyouts. Venture capital investments by Titanium Metals Corporation in Titanium Memory Systems, TICOMP, Inc. and Ti·Pro, LLC. Investments by the Public Employees Retirement Association of Colorado in Blackstone Capital Partners III and HSBC Private Equity Fund 2.
1996	Rule 144A offering and related shelf registration statement by Titanium Metals Corporation, through Salomon Brothers Inc, of Convertible Preferred Securities ($200 million). Initial public offering of common stock by Titanium Metals Corporation ($380 million). Investment by the Public Employees Retirement Association of Colorado in DLJ Merchant Banking Partners II, L.P. Venture capital financing of Eichrom Industries, Inc., by Gary Comer, Inc. and ARCH Venture Partners.
1995	Mezzanine financings (subordinated debt and warrants) by Hanifen Imhoff Mezzanine Fund, L.P. in New Tech Tool, L.L.C., and National Metalwares, L.P., in connection with leveraged buyouts. Bridge financing (senior debt) for Eichrom Industries, Inc.
1994	Public offering of Celestial Seasonings, Inc. common stock ($14 million secondary offering). Private financing (preferred stock) of Eichrom Industries, Inc.
1993	Valcor, Inc.’s public note offering ($100 million). NL Industries, Inc. senior secured public note offering ($350 million). Term, revolving and acquisition multi-state secured credit facility for Trompeter Electronics, Inc. and Quality Components, Inc.