| Company |
Transaction Type |
| Aaron Brothers Art Marts |
IPO |
| AC Moore Arts & Crafts |
Secondary |
| American Home Mortgage |
Secondary |
| American Home Mortgage Holdings |
Secondary |
| American Recreation Centers |
Secondary |
| AML Communications |
IPO |
| Annaly Mortgage Management |
Secondary |
| Annaly Mortgage Management |
Secondary |
| Anworth Home Mortgage |
Secondary |
| Anworth Home Mortgage |
Secondary |
| Authentic Specialty Foods |
IPO |
| Avigen |
IPO |
| BlackRock California Municipal Income Trust |
IPO |
| California Amplifier |
IPO |
| CalNet Business Bank |
IPO |
| Cardillo Travel Systems |
IPO |
| Century 21 Real Estate |
IPO |
| CIMCO |
IPO |
| COHR |
Secondary |
| COHR |
IPO |
| Cutter & Buck |
Secondary |
| Cutter & Buck |
IPO |
| Cybertek Computer Products |
IPO |
| Docdata |
IPO |
| Early California Industries |
Secondary |
| Encad |
IPO |
| First Coastal Bancshares & First Coastal Capital |
Secondary |
| Fremont General |
IPO |
| Fremont General |
Secondary |
| Friedman's |
Secondary |
| Garden Fresh Restaurant |
IPO |
| Gentle Dental |
IPO |
| Golden Systems |
IPO |
| "Huntway Partners, LLP " |
IPO |
| International Lease Finance |
IPO |
| IOMED |
IPO |
| Jet America Airlines |
IPO |
| Kasler Corporation |
IPO |
| Keith Companies |
Secondary |
| Keith Companies |
IPO |
| Kennedy-Wilson |
Secondary |
| Kings Road Entertainment |
IPO |
| Life Medical Sciences |
Secondary |
| Morgan Grenfell Small Cap Fund |
IPO |
| Mortgage Investments Plus |
IPO |
| Nahama & Weagant Energy |
Secondary |
| Nahama & Weagant Energy |
IPO |
| National Lumber & Supply |
IPO |
| Northrim Bank |
Secondary |
| Northrim Bank |
Secondary |
| Northrim Bank |
IPO |
| Nuveen California Dividend Advantage Municipal Fund 2 |
IPO |
| Nuveen California Dividend Advantage Municipal Fund 3 |
IPO |
| Nuveen California Dividend Advantage Municipal Fund 4 |
IPO |
| Obie Media |
Secondary |
| Pac Rim Holding Corporation |
IPO |
| PIMCO California Municipal Income Fund |
IPO |
| Qualstar |
IPO |
| Quiksilver |
IPO |
| Radiance Medical Systems |
Secondary |
| SCS/Compute |
IPO |
| Sirena Apparel Group |
IPO |
| Sport Chalet |
IPO |
| St. Ives Laboratories |
IPO |
| Stanline |
IPO |
| Sterling Savings Association |
IPO |
| The 3DO Company |
Secondary |
| THQ |
Secondary |
| Toymax International |
IPO |
| TransWorld Bank |
IPO |
| U.S. Medical Enterprises |
IPO |
| Urban Outfitters |
Secondary |
| Western Asset Bond Fund |
IPO |
| Willis Lease Finance |
IPO |
| ZEVEX International |
Secondary |
