Investment Banking Transactions

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Date Client Type Sub-Type Amt. Logo Sector/Sub-Sector Description Tombstone Description PSC Role
Published 06/21/2022 Flotek Industries, Inc. Mergers & Acquisitions Strategic Advisory $19.5 Million Energy & Power, Oilfield Services & Equipment Piper Sandler served as sole financial advisor for Flotek Industries, Inc. on a Securities Purchase Agreement with ProFrac Holdings II, LLC Flotek Industries, Inc. has secured a Securities Purchase Agreement with ProFrac Holdings II, LLC Financial Advisor
Published 06/21/2022 Flotek Industries, Inc. Mergers & Acquisitions Strategic Advisory Energy & Power, Oilfield Services & Equipment Piper Sandler served as sole financial advisor for Flotek Industries, Inc. on its structured private placement of non-voting common stock from ProFrac Holdings II, LLC.
 Private Placement
 Financial Advisor
Published 06/14/2022 SMT Energy Mergers & Acquisitions Minority Investment Energy & Power, Renewables & Clean Energy Piper Sandler served as financial advisor for SMT Energy on a capital raise for the construction of battery storage projects from Susi Partners SMT Energy has completed a capital raise from Susi Partners Financial Advisor
Published 06/14/2022 Day One Biopharmaceuticals, Inc. Financing, Equity Capital Markets Follow-On Offering $172.5 Million Healthcare, Biopharma Piper Sandler served as bookrunner for Day One Biopharmaceuticals, Inc. on a follow-on offering Follow-On Offering Active Bookrunner
Published 06/13/2022 Cogent Biosciences Financing, Equity Capital Markets Follow-On Offering $172.6 Million Healthcare, Biopharma Piper Sandler served as bookrunner for Cogent Biosciences, Inc. on a follow-on offering Follow-On Offering Active Bookrunner
Published 06/01/2022 National Multi-Family Real Estate Operator Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services Senior Notes $31.5 Million Financial Services, Real Estate Piper Sandler served as sole placement agent for a national multi-family real estate operator on a 8.00% senior notes offering due in 2025 Senior Notes Sole Placement Agent
Published 06/01/2022 PacWest Bancorp Financing, Equity Capital Markets Preferred Stock $513.2 Million Financial Services, Depositories Piper Sandler served as left bookrunner for PacWest Bancorp on a 7.75% fixed-rate reset non-cumulative perpetual stock offering Preferred Stock Left Bookrunner
Published 06/01/2022 Southwest Bancshares Inc. Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $35.0 Million Financial Services, Depositories Piper Sandler served as sole placement agent for Southwest Bancshares Inc. Subordinated Notes Sole Placement Agent
Published 06/01/2022 U.S. Well Services Financing, Equity Capital Markets At the Market Offering Energy & Power, Oilfield Services & Equipment Piper Sandler served as sole agent for U.S. Well Services, Inc. on an at the market offering At the Market Offering Sole Marketing Agent
Published 06/01/2022 First Busey Corporation Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $100.0 Million Financial Services, Depositories Piper Sandler served as left bookrunner for Busey on a 5.00% fixed-to-floating rate subordinated notes offering due in 2032 Subordinated Notes Left Bookrunner
Published 06/01/2022 Farmers & Merchants Bancorp, Inc. Mergers & Acquisitions Buy-Side $27.0 Million Financial Services, Depositories Piper Sandler served as buy-side advisor for Farmers & Merchants Bancorp, Inc. on acquisition of Peoples Federal Savings and Loan Association Farmers & Merchants Bancorp, Inc. has acquired Peoples Federal Savings and Loan Association Financial Advisor
Published 06/01/2022 SilverHill Energy Partners Private Capital Advisory, Private Funds Private Funds $1.0 Billion Private Capital Advisory Piper Sandler served as sole placement agent for SilverHill Energy Partners on the raise of hard cap for a first-time O&G manager O&G manager fundraise
 Sole Placement Agent
Published 06/01/2022 UB Bancorp Mergers & Acquisitions Sell-Side $117.5 Million Financial Services, Depositories Piper Sandler served as sell-side advisor for UB Bancorp on sale to F.N.B. Corporation UB Bancorp has been acquired by F.N.B. Corporation Financial Advisor
Published 06/01/2022 Westin Hotels & Resorts Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services Senior Term Loan $169.2 Million Financial Services, Real Estate, Real Estate, Hospitality Piper Sandler served as sole placement agent for Westin Hotels & Resorts on a senior loan refinancing Senior Term Loan Sole Placement Agent
Published 06/01/2022 Gramercy Funds Management LLC Mergers & Acquisitions Sell-Side Financial Services, Asset & Wealth Management Piper Sandler served as sell-side advisor for Gramercy Funds Management, LLC on sale of a minority stake to Kudu Investment Management Gramercy Funds Management, LLC has sold a minority stake to Kudu Investment Management
 Financial Advisor
Published 06/01/2022 West Bancorporation Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $60.0 Million Financial Services, Depositories Piper Sandler served as sole bookrunner for West Bancorporation on a 5.25% fixed-to-floating rate subordinated notes offering due in 2032 Subordinated Notes Left Bookrunner
Published 06/01/2022 Central Bancorp Mergers & Acquisitions Division Carve Out $75.0 Million Financial Services, Depositories Piper Sandler served as sell-side advisor for Central Bancorp on divestiture of Farmers & Stockmens Bank to Crossfirst Bankshares, Inc. Central Bancorp has divested Farmers & Stockmens Bank to Crossfirst Bankshares, Inc. Financial Advisor
Published 06/01/2022 Northfield Bancorp Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $62.0 Million Financial Services, Depositories Piper Sandler served as lead placement agent for Northfield Bancorp on a 5.00% fixed-to-floating rate subordinated notes offering due 2032 Subordinated Notes Joint Placement Agent
Published 06/01/2022 OYO Corporation U.S.A Mergers & Acquisitions Sell-Side Energy & Power, Oilfield Services & Equipment Piper Sandler served as sell-side advisor for OYO Corporation U.S.A on sale of its subsidiary NCS Subsea to Ocean Floor Geophysics, a portfolio company of PGS ASA
 OYO Corporation U.S.A has sold its subsidiary NCS Subsea to Ocean Floor Geophysics, a portfolio company of PGS ASA Financial Advisor
Published 06/01/2022 Enterprise Trust & Investment Company Mergers & Acquisitions Sell-Side Financial Services, Asset & Wealth Management Piper Sandler served as financial advisor for Enterprise Trust & Investment Company on sale to Lido Advisors Piper Sandler served as financial advisor for Enterprise Trust & Investment Company on sale to Lido Advisors Financial Advisor

Piper Sandler acquired TRS Advisors on 12/31/2020, Stamford Partners on 6/13/2022, DBO Partners on 10/10/2022 and Aviditi Advisors on 8/23/2024, transactions completed prior were executed by the respective firm.

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