FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND UP TO 1,400,000 COMMON SHARES OF BENEFICIAL INTEREST CAPITAL ON DEMAND(TM) SALES AGREEMENTFirst Trust Specialty Finance & Financial Opportunities Fund • February 23rd, 2015 • New York
Company FiledFebruary 23rd, 2015 Jurisdiction
EXHIBIT 1Synergy Resources Corp • June 14th, 2013 • Crude petroleum & natural gas • New York
Company FiledJune 14th, 2013 Industry Jurisdiction
] SHARESFirst Trust MLP & Energy Income Fund • November 27th, 2012 • New York
Company FiledNovember 27th, 2012 Jurisdiction
Exhibit 1 $300,000,000 Series 2008A 6.125% Senior Notes due May 15, 2038Alabama Power Co • May 14th, 2008 • Electric services • New York
Company FiledMay 14th, 2008 Industry Jurisdiction
EXHIBIT 1 BANC OF AMERICA COMMERCIAL MORTGAGE INC. COMMERCIAL MORTGAGE PASS- THROUGH CERTIFICATES SERIES 2008-LS1 UNDERWRITING AGREEMENTBanc of America Commercial Mortgage Inc., Series 2008-Ls1 • March 26th, 2008 • Asset-backed securities • New York
Company FiledMarch 26th, 2008 Industry Jurisdiction
SERIES 2007-5Banc of America Commercial Mortgage Inc., Series 2007-5 • January 7th, 2008 • Asset-backed securities • New York
Company FiledJanuary 7th, 2008 Industry Jurisdiction
2,310,556,000 (approximate) J.P. MORGAN CHASE COMMERCIAL MORTGAGE SECURITIES TRUST 2007-LDP12 Commercial Mortgage Pass-Through Certificates, Series 2007-LDP12 Classes A-1, A-2, A-3, A-4, A-SB, A-1A, A-M, A-J, B, C, D, E, F and XJ.P. Morgan Chase Commercial Mortgage Securities Trust 2007-Ldp12 • September 14th, 2007 • Asset-backed securities
Company FiledSeptember 14th, 2007 Industry
3,025,841,000 (approximate) J.P. MORGAN CHASE COMMERCIAL MORTGAGE SECURITIES TRUST 2007-CIBC19 Commercial Mortgage Pass-Through Certificates, Series 2007-CIBC19 Classes A-1, A-2, A-3, A-4, A-SB, A-1A, X, A-M, A-J, B, C, D & EJ.P. Morgan Chase Commercial Mortgage Securities Trust 2007-Cibc19 • June 29th, 2007 • Asset-backed securities
Company FiledJune 29th, 2007 Industry
DRAFT MAY [ ], 2007 LDK SOLAR CO., LTD. ORDINARY SHARES, PAR VALUE US$0.10 PER SHARE, IN THE FORM OF AMERICAN DEPOSITARY SHARES UNDERWRITING AGREEMENTLDK Solar Co., Ltd. • May 25th, 2007 • Semiconductors & related devices • New York
Company FiledMay 25th, 2007 Industry Jurisdiction
PRIMUS GUARANTY, LTD. 7.0% SENIOR NOTES DUE 2036 UNDERWRITING AGREEMENTPrimus Guaranty LTD • December 21st, 2006 • Finance services • New York
Company FiledDecember 21st, 2006 Industry Jurisdiction
SERIES 2006-6Banc of America Commercial Mortgage Inc., Series 2006-6 • December 11th, 2006 • Asset-backed securities • New York
Company FiledDecember 11th, 2006 Industry Jurisdiction
Exhibit 1 $110,000,000 Series M 5.300% Senior Notes due December 1, 2016 GULF POWER COMPANY UNDERWRITING AGREEMENTGulf Power Co • December 6th, 2006 • Electric services • New York
Company FiledDecember 6th, 2006 Industry Jurisdiction
November 6, 2006 CONFIDENTIAL ------------ David G. Elsley President & Chief Executive Officer Vasogen Inc. 2155 Dunwin Drive, Suite 10 Mississauga, ON L5L 4M1 Canada Dear Mr. Elsley: This letter (the "AGREEMENT") constitutes the agreement between...Vasogen Inc • November 16th, 2006 • Surgical & medical instruments & apparatus • New York
Company FiledNovember 16th, 2006 Industry Jurisdiction
FORM OF UNDERWRITING AGREEMENT ----------------------DaimlerChrysler Financial Services Americas LLC • October 23rd, 2006 • Asset-backed securities • New York
Company FiledOctober 23rd, 2006 Industry Jurisdiction
EXHIBIT 1.1 FORD CREDIT AUTO RECEIVABLES TWO LLC ASSET-BACKED SECURITIES UNDERWRITING AGREEMENTFord Credit Auto Receivables Two LLC • August 18th, 2006 • Asset-backed securities • New York
Company FiledAugust 18th, 2006 Industry Jurisdiction
SERIES 2006-3Banc of America Commercial Mortgage Inc., Series 2006-3 • August 11th, 2006 • Asset-backed securities • New York
Company FiledAugust 11th, 2006 Industry Jurisdiction
Exhibit 1.01 ___,000,000 SECURITIES CITIGROUP CAPITAL _____ ___% Enhanced Trust Preferred Securities (Enhanced TRUPS(R)) $25 Liquidation Amount Guaranteed to the extent set forth in the Prospectus dated _______, 2006 by CITIGROUP INC. UNDERWRITING...Citigroup Capital XVIII • June 20th, 2006 • National commercial banks • New York
Company FiledJune 20th, 2006 Industry Jurisdiction
Exhibit 1.1 DRESSER-RAND GROUP INC. 20,000,000 Shares Common Stock, par value $0.01 per Share Underwriting AgreementDresser-Rand Group Inc. • April 13th, 2006 • Engines & turbines • New York
Company FiledApril 13th, 2006 Industry Jurisdiction
Exhibit 10.1 ALLERGAN, INC. $700,000,000 1.50% Convertible Senior Notes Due 2026* Purchase AgreementAllergan Inc • April 12th, 2006 • Pharmaceutical preparations • New York
Company FiledApril 12th, 2006 Industry Jurisdiction
FORM OF UNDERWRITING AGREEMENTBas Securitization LLC • March 29th, 2006 • Asset-backed securities
Company FiledMarch 29th, 2006 Industry
Exhibit 1.1 CLAYTON HOLDINGS, INC. 6,250,000 Shares of Common Stock(1) UNDERWRITING AGREEMENTClayton Holdings Inc • March 22nd, 2006 • Services-business services, nec • Illinois
Company FiledMarch 22nd, 2006 Industry Jurisdiction
UNDERWRITING AGREEMENTAfc Enterprises Inc • March 16th, 2006 • Retail-eating places • Delaware
Company FiledMarch 16th, 2006 Industry Jurisdiction
Exhibit 1.1 CLAYTON HOLDINGS, INC. 6,250,000 Shares of Common Stock(1) UNDERWRITING AGREEMENTClayton Holdings Inc • March 16th, 2006 • Services-business services, nec • Illinois
Company FiledMarch 16th, 2006 Industry Jurisdiction
Cohen & Steers REIT and Utility Income Fund, Inc. (a Maryland corporation) Taxable Auction Market Preferred Shares ("AMPS") 2,200 Shares [ ]% AMPS, Series M28 Liquidation Preference $25,000 per Share FORM OF PURCHASE AGREEMENTCohen & Steers Reit & Utility Income Fund Inc • February 15th, 2006 • New York
Company FiledFebruary 15th, 2006 Jurisdiction
FORM OF MORGAN STANLEY UNDERWRITING AGREEMENT (DEBT SECURITIES, WARRANTS, PURCHASE CONTRACTS AND UNITS)Morgan Stanley Capital Trust VIII • January 25th, 2006 • Finance services • New York
Company FiledJanuary 25th, 2006 Industry Jurisdiction
TRC FINANCE, INC. (a Delaware corporation) 10% Senior Notes due 2013 PURCHASE AGREEMENT September 16, 2005Restaurant Co of Minnesota • January 12th, 2006 • Retail-eating places • New York
Company FiledJanuary 12th, 2006 Industry Jurisdiction
Exhibit 1.1 ALTUS PHARMACEUTICALS INC. (a Delaware corporation) 6,000,000 Shares of Common Stock PURCHASE AGREEMENT Dated: -, 2006 ALTUS PHARMACEUTICALS INC. (a Delaware corporation) 6,000,000 Shares of Common Stock (Par Value $.01 Per Share) PURCHASE...Altus Pharmaceuticals Inc. • January 11th, 2006 • Biological products, (no disgnostic substances) • New York
Company FiledJanuary 11th, 2006 Industry Jurisdiction
Exhibit 1.1 $250,000,000 Series Z 5.25% Senior Notes due December 15, 2015 GEORGIA POWER COMPANY UNDERWRITING AGREEMENTGeorgia Power Co • December 6th, 2005 • Electric services • New York
Company FiledDecember 6th, 2005 Industry Jurisdiction
Exhibit 3.1 Ritchie Bros. Auctioneers Incorporated (amalgamated under the Canada Business Corporation Act) 2,173,913 Common Shares UNDERWRITING AGREEMENT Dated: November 8, 2005 TABLE OF CONTENTSRitchie Bros Auctioneers Inc • November 16th, 2005 • Services-business services, nec • New York
Company FiledNovember 16th, 2005 Industry Jurisdiction
Exhibit 1.1 DAIMLERCHRYSLER AUTO TRUST 200__-__ [____]% ASSET BACKED NOTES, CLASS A-2 [____]% ASSET BACKED NOTES, CLASS A-3 [____]% ASSET BACKED NOTES, CLASS A-4 [____% ASSET BACKED NOTES, CLASS B] DAIMLERCHRYSLER FINANCIAL SERVICES AMERICAS LLC...DaimlerChrysler Financial Services Americas LLC • November 1st, 2005 • Asset-backed securities • New York
Company FiledNovember 1st, 2005 Industry Jurisdiction
Exhibit 1.1 PSE&G TRANSITION FUNDING II LLC PUBLIC SERVICE ELECTRIC AND GAS COMPANY UNDERWRITING AGREEMENTPSE&G Transition Funding II LLC • August 15th, 2005 • New York
Company FiledAugust 15th, 2005 Jurisdiction
TRIAD FINANCIAL SPECIAL PURPOSE LLC (DEPOSITOR)Triad Financial Special Purpose LLC • August 3rd, 2005 • Miscellaneous business credit institution • New York
Company FiledAugust 3rd, 2005 Industry Jurisdiction
Common StockSynagro Technologies Inc • June 21st, 2005 • Refuse systems • New York
Company FiledJune 21st, 2005 Industry Jurisdiction
Exhibit 1.1 11,000,000 Shares of Common Stock (Par Value $0.01 Per Share) BIOMED REALTY TRUST, INC. (A MARYLAND CORPORATION) FORM OF UNDERWRITING AGREEMENT June __, 2005 RAYMOND JAMES & ASSOCIATES, INC. As Representative of the Several Underwriters...BioMed Realty Trust Inc • June 6th, 2005 • Real estate investment trusts • Florida
Company FiledJune 6th, 2005 Industry Jurisdiction
Exhibit 1.1 TEEKAY LNG PARTNERS L.P. 5,500,000 COMMON UNITS REPRESENTING LIMITED PARTNER INTERESTS UNDERWRITING AGREEMENT Citigroup Global Markets Inc. ___________, 2005 UBS Securities LLC A.G. Edwards & Sons, Inc. Wachovia Capital Markets, LLC...Teekay LNG Partners L.P. • April 21st, 2005 • Water transportation • New York
Company FiledApril 21st, 2005 Industry Jurisdiction