| ISSUER | DATE | PAR AMOUNT | SECURITY DESCRIPTION | LEAD MANAGER | LM CAPITAL'S Role | ||
| DEBT-MUNICIPAL | New York City | May-99 | 234,556 | Water and Sewer Revenue Bonds | Merrill Lynch | Selling Group | |
| $221,236 Fiscal 1999 SeriesB | |||||||
| $13,320 Fiscal 1999 SeriesC | |||||||
| Miami-Dade County, Florida | April-99 | 150,000 | Water and Sewer System Series 1999A | Goldman, Sachs & Co. | Co-Manager | ||
| New York City | October-98 | 301,470 | Water and Sewer System Series 1999A | Paine Webber | Selling Group | ||
| Miami-Dade County, Florida | October-98 | 150,000 | Aviation Revenue Bonds | Morgan Stanley | Co-Manager | ||
| Series 1998 C (AMT) | |||||||
| Miami-Dade County, Florida | July-98 | 236,450 | Aviation Revenue Refunding Bonds | Morgan Stanley | Co-Manager | ||
| $194,740 Series 1998 A (AMT) | |||||||
| $41,710 Series 1998B (Non-AMT) | |||||||
| Miami-Dade County, Florida | June-98 | 66,760 | Public Facilities Revenue Bonds | Lehman Brothers | Co-Manager | ||
| Palm Beach County, Florida | June-98 | 30,000 | Water and Wastewater Revenue Bond | First Union Capital | Co-Manager | ||
| New York City | August-97 | 286,075 | Water and Sewer Revenue | Paine Webber | Selling Group | ||
| Fiscal 1997 Series A | |||||||
| Dade County, Florida | May-97 | 130,385 | Aviation Revenue Refunding Bonds | Bear, Stearns & Co. | Co-Manager | ||
| Series 1997 A | |||||||
| New York City Municipal Water | May-97 | 700,000 | Water and Sewer System | J.P. Morgan & Co. | Selling Group | ||
| Finance Authority | Fiscal 1997 Series B | ||||||
| Dade County, Florida | January-97 | 437,195 | Water and Sewer System Revenue B | Paine Webber | Co-Manager | ||
| Series 1997 | |||||||
| Palm Beach County, Florida | December-96 | 28,010 | Stadium Facilities Revenue Bonds | Bear, Stearns & Co. | Co-Manager | ||
| Series 1996 | |||||||
| Dade County, Florida | November-96 | 29,270 | Seaport Revenue Bonds Series 1996 | AIBC Municipal | Co-Manager | ||
| Dade County, Florida | July-96 | 70,490 | Aviation Revenue Refunding Bonds | Prudential Securities | Co-Manager | ||
| Series 1996C (Non-AMT) | |||||||
| Dade County, Florida | January-96 | 149,950 | Seaport General Obligation Refunding | W.R. Hough | Co-Manager | ||
| Series 1996 | |||||||
| Dade County, Florida | November-95 | 28,029 | Professional Sports Franchise Facility | Guzman & Company | Co-Manager | ||
| Series 1995 | |||||||
| Dade County, Florida | August-95 | 82,845 | Aviation Revenue Refunding Bonds | Lehman Brothers | Co-Manager | ||
| $52,860 Series 1995D (AMT) | |||||||
| $29,985 Series 1995E (Non-AMT) | |||||||
| Dade County, Florida | January-95 | 39,595 | Aviation Revenue Refunding Bonds | Paine Webber | Co-Manager | ||
| Series 1995A (Non-AMT) | |||||||
| Dade County, Florida | November-94 | 100,500 | Aviation Revenue Refunding Bonds | Paine Webber | Co-Manager | ||
| Series 1994 A (AMT) ($51,585) | |||||||
| Series 1994 B (Non-AMT) ($68,930) | |||||||
| Series 1994C (Taxable) ($19,520) | |||||||
| ISSUER | DATE | PAR AMOUNT | SECURITY DESCRIPTION | LEAD MANAGER | LM CAPITAL'S Role | ||
| City of New York | November-94 | 1,300,000 | GO Bonds, Fiscal 1995, Series B | Merrill Lynch | Selling Group | ||
| Dade County Industrial Development | September-94 | 4,820 | Industrial Development Refunding | Newman and | Co-Manager | ||
| Authority, Florida | Revenue Bonds (Susanna Wesley | Associates, Inc. | |||||
| Health Center, Inc. Project) | |||||||
| Series A ($4,690) | |||||||
| Series B-Taxable ($130) | |||||||
| City of New York | July-94 | 791,105 | GO Bonds, Fiscal 1995, Series A | Purdential Securities | Selling Group | ||
| Dade County, Florida | February-94 | 431,700 | Water and Sewer System | Smith Barney Shearson | Co-Manager | ||
| Revenue Bonds, Series 1994 | |||||||
| Dade County, Florida | December-93 | 409,415 | Water and Sewer System | Merrill Lynch | Co-Manager | ||
| Revenue Refunding Bonds, Series 1993 | |||||||
| City of St. Louis | December-93 | 65,295 | Taxable Airport Revenue Bonds | Pryor, McClendon | Selling Group | ||
| Series A | |||||||
| City of New York | August-93 | 154,310 | GO Bonds, Fiscal 1994, Series B | Grigsby, Brandford | Selling Group | ||
| City of New York | August-93 | 145,690 | GO Bonds, Fiscal 1994, Series B | Pryor, McClendon | Selling Group | ||
| City of New York | July-93 | 775,000 | GO Bonds, Fiscal 1994, Series A | First Boston | Selling Group | ||
| District of Columbia | June-93 | 346,080 | GO Refunding Bonds, Series C&D | Goldman, Sachs | Selling Group | ||
| District of Columbia | May-93 | 485,280 | GO Refunding Bonds, Series B | Merrill Lynch | Selling Group | ||
| City of New York | May-93 | 496,570 | GO Bonds, Series E & F | Bear, Stearns & Co. | Selling Group | ||
| New York City Health | May-93 | 550,000 | Health System Bonds, Series A | Dillion Read | Selling Group | ||
| District of Columbia | April-93 | 365,110 | GO Refunding Bonds, Series A | Lehman Brothers | Selling Group | ||
| City of New York | April-93 | 757,825 | GO Bonds, Fiscal 1993, Series D | Merrill Lynch | Selling Group | ||
| Municipal -Total | $ 10,329,780 | ||||||
| DEBT-CORPORATE | General Motors Acceptance Corporation | April-99 | 1,100,000 | 6.15% Notes | Bear, Stearns & Co. | Selling Group | |
| General Motors Acceptance Corporation | April-99 | 1,000,000 | Floating Rate | Bear, Stearns & Co. | Selling Group | ||
| Wal-Mart Stores, Inc. | March-93 | 500,000 | 5.50% Notes | Goldman, Sachs | Selling Group | ||
| Ford Motor Credit Company | February-93 | 1,500,000 | 6.25% Bonds | Goldman, Sachs | Selling Group | ||
| Corporate-Total | $ 4,100,000 | ||||||
| DEBT-AGENCY | Student Loan Marketing Association | April-93 | $ 3,000,000 | Short Term Floating Rate Notes | - | Selling Group | |
| (Sallie Mae) | |||||||
| Tennessee Valley Authority | February-93 | 1,000,000 | Power Bonds 1993 Series A ($750,000) | Goldman, Sachs | Selling Group | ||
| Power Bonds 1993 Series B ($250,000) | |||||||
| Agency-Total | $ 4,000,000 | ||||||
| DEBT FINANCING TOTAL | $ 18,429,780 | ||||||
| ISSUER | DATE | PAR AMOUNT | SECURITY DESCRIPTION | LEAD MANAGER | LM CAPITAL'S Role | ||
| EQUITY | Collins & Aikman Corporation (CKC) | July-94 | 157,500 | Common Stock (IPO) | Goldman, Sachs | Co-Manager | |
| (15,000,000 shares) | |||||||
| Caraco Pharmaceutical Laboratories, | February-94 | 9,100 | Common Stock (IPO) | First Equity Corporation | Co-Manager | ||
| Ltd. (CARA, CARAU, CARAW) | (700,000 units) | Unit = 2 Common Shares + 1 Series | of Florida | ||||
| A Warrant | |||||||
| PMC Commercial Trust (PMCTS) | December-93 | 45,000 | Common Stock (IPO) | Oppenheimer | Co-Manager | ||
| (3,000,000 shares) | REIT | ||||||
| Landstar System, Inc. (LSTR) | September-93 | 83,219 | Common Stock | Morgan Stanley | Co-Manager | ||
| (5,547,930 shares) | |||||||
| PacifiCorp (PPW) | September-93 | 119,250 | Common Stock | Merrill Lynch | Selling Group | ||
| (6,000,000 shares) | |||||||
| Cocal-Cola Femsa, S.A. de C.V. (KOF) | September-93 | 33,620 | Common Stock (IPO) | Bear, Stearns Int'l Ltd. | Selling Group | ||
| (1,640,900 ADS shares) | American Depository Share (ADS) | ||||||
| Envirotest Systems Corporation (ENVI) | April-93 | 54,400 | Common Stock (IPO) | Goldman, Sachs | Co-Manager | ||
| (3,400,000 shares) | |||||||
| Playboy Enterprises (PLA) | March-93 | 28,125 | Common Stock | Bear, Stearns | Selling Group | ||
| (3,000,000 shares) | |||||||
| Landstar System, Inc. (LSTR) | March-93 | 61,750 | Common Stock (IPO) | Alex Brown | Co-Manager | ||
| (4,750,000 shares) | |||||||
| Dean Witter, Discover (DWD) | February-93 | 796,500 | Common Stock (IPO) | Dean Witter, Reynolds | Selling Group | ||
| (29,500,000 shares) | |||||||
| Common Equity-Total | $ 1,388,464 | ||||||
| UNDERWRITING TOTAL | $ 19,818,244 | ||||||