Investment Banking Transactions

	Date	Client	Type	Sub-Type	Amt.	Logo	Sector/Sub-Sector	Description	Tombstone Description	PSC Role
Published	09/01/2021	AgTexas Farm Credit Services	Equity Capital Markets, Financing	Preferred Stock	$80.0 Million	Image	Financial Services	Piper Sandler served as sole bookrunner for Ag Texas Farm Credit Services on a 5.75% fixed-rate reset cumulative perpetual preferred stock offering	Preferred Stock	Left Bookrunner
Published	09/01/2021	Bank OZK	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Subordinated Notes	$350.0 Million	Image	Financial Services, Depositories	Piper Sandler served as sole bookrunner for Bank OZK on a 2.75% fixed-to-floating rate subordinated notes offering due in 2031	Subordinated Notes	Left Bookrunner
Published	09/01/2021	Euclid Transactional	Mergers & Acquisitions	Sell-Side		Image Image	Financial Services, Insurance	Piper Sandler served as sell-side advisor for Euclid Transactional on sale of a minority stake to Searchlight	Euclid Transactional has sold a minority stake to Searchlight	Financial Advisor
Published	09/01/2021	Cecil Bancorp, Inc.	Financing, Equity Private Placements	Minority Capital Raise	$10.0 Million	Image	Financial Services, Depositories	Piper Sandler served as financial advisor for Cecil Bancorp, Inc. on a private placement of common stock	Minority Capital Raise	Financial Advisor
Published	09/01/2021	First Trust	Mergers & Acquisitions	Sell-Side		Image Image	Financial Services, Depositories	Piper Sandler served as sell-side advisor for First Trust on sale to BancPlus Corproration	First Trust has been acquired by to BancPlus Corproration	Financial Advisor
Published	09/01/2021	Falcon Private Holdings, LLC	Mergers & Acquisitions	Sell-Side	$445.0 Million	Image Image Image	Chemicals	Piper Sandler advised Falcon Private Holdings, LLC, on sale of Aristech Surfaces LLC to Trinseo	Falcon Private Holdings, LLC, has been acquired by Aristech Surfaces LLC to Trinseo	Financial Advisor
Published	09/01/2021	Beauty Industry Group	Financing, Piper Sandler Finance	Senior Term Loan		Image	Consumer, Beauty & Personal Care	Piper Sandler Finance served as sole staple provider for Beauty Industry Group on a senior secured term loan, delayed draw term loan and revolver	Senior Secured Term Loan Delayed Draw Term Loan & Revolver	Sole Staple Provider
Published	09/01/2021	National Bank of New York City	Mergers & Acquisitions	Sell-Side	$36.4 Million	Image Image	Financial Services, Depositories	Piper Sandler served as sell-side advisor for National Bank of New York City on sale to Newtek	National Bank of New York City has been acquired by Newtek	Financial Advisor
Published	09/01/2021	Western Alliance Bancorporation	Equity Capital Markets, Financing	Preferred Stock	$300.0 Million	Image	Financial Services, Depositories	Piper Sandler served as bookrunner for Western Alliance Bancorporation on a 4.25% fixed-rate resert non-cumulative perpetual preferred stock offering	Preferred Stock	Active Bookrunner
Published	09/01/2021	Dakota Financial	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Senior Notes	$30.0 Million	Image	Financial Services, Specialty Finance	Piper Sandler served as sole placement agent for Dakota Financial on a 5.00% senior unsecured notes offering due in 2026	Senior Notes	Sole Placement Agent
Published	09/01/2021	MVB Financial Corp.	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Subordinated Notes	$30.0 Million	Image	Financial Services, Depositories	Piper Sandler served as co-placement agent for MVB on a 3.25% fixed-to-floating rate subordinated notes offering due in 2031	Subordinated Notes	Joint Placement Agent
Published	09/01/2021	Ark Invest	Mergers & Acquisitions	Strategic Advisory		Image Image	Financial Services, Asset & Wealth Management	Piper Sandler served as financial advisor for ARK Invest on the repurchase of 100% of the equity interests in ARK Invest held by Resolute Investment Managers	ARK Invest has repurchased 100% of the equity interests in ARK Invest held by Resolute Investment Managers	Financial Advisor
Published	09/01/2021	ConnectOne Bancorp, Inc.	Equity Capital Markets, Financing	Preferred Stock	$115.0 Million	Image	Financial Services, Depositories	Piper Sandler served as active bookrunner for ConnectOne Bancorp, Inc. on a 5.25% fixed-rate reset non-cumulative perpetual preferred stock	Preferred Stock	Active Bookrunner
Published	09/01/2021	Jamesmark Bancshares, Inc.	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Subordinated Notes	$30.0 Million	Image	Financial Services, Depositories	Piper Sandler served as sole placement agent for Jamesmark Bancshares, Inc. on a 3.75% fixed-to-floating rate subordinated notes offering due in 2031	Subordinated Notes	Sole Placement Agent
Published	09/01/2021	AIG	Mergers & Acquisitions	Sell-Side		Image Image Image	Financial Services, Insurance	Piper Sandler served as sell-side advisor for AIG on sale of its stake in Attune to Coalition	AIG has sold its stake in Attune to Coalition	Financial Advisor
Published	09/01/2021	LedgerX	Mergers & Acquisitions	Sell-Side		Image Image	Financial Services, FinTech	Piper Sandler served as sell-side advisor for LedgerX on sale to FTX.US	LedgerX has been acquired by FTX.US	Financial Advisor
Published	09/01/2021	Euclid Transactional	Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services	Senior Secured Debt		Image	Financial Services, Insurance	Piper sandler served as sole placement agent for Euclid Transactional on a senior secured debt offering	Senior Secured Debt	Sole Placement Agent
Published	09/01/2021	OFB Bancshares, Inc.	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Subordinated Notes	$30.0 Million	Image	Financial Services, Depositories	Piper Sandler served as sole placement agent for OFB Bancshares, Inc. on a 3.875% fixed-to-floating rate subordinated notes offering due in 2031	Subordinated Notes	Sole Placement Agent
Published	09/01/2021	ACBB	Mergers & Acquisitions	Division Carve Out		Image Image Image	Financial Services, FinTech	Piper Sandler served as sell-side advisor for ACBB on divestiture of BITS to New Era Technology	ACBB has divested BITS to New Era Technology	Financial Advisor
Published	09/01/2021	Orange County Bancorp, inc.	Equity Capital Markets, Financing	IPO	$38.5 Million	Image	Financial Services, Depositories	Piper Sandler served as left bookrunner for Orange County Bancorp, inc. on its initial public offering	Initial Public Offering	Left Bookrunner