Investment Banking Transactions

	Date	Client	Type	Sub-Type	Amt.	Logo	Sector/Sub-Sector	Description	Tombstone Description	PSC Role
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	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	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	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	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	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	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	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	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	Lakeland Bancorp, Inc.	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Subordinated Notes	$150.0 Million	Image	Financial Services, Depositories	Piper Sandler served as bookrunner for Lakeland Bancorp, Inc. on a 2.875% fixed-to-floating rate subordinated notes offering due in 2031	Subordinated Notes	Active Bookrunner
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	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	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
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	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	United Fidelity Bank	Equity Capital Markets, Financing	Preferred Stock	$20.0 Million	Image	Financial Services, Depositories	Piper Sandler served as sole placement agent for United Fidelity Bank on a 7.00% non-cululative perpetual preferred stock offering	Preferred Stock	Sole Placement Agent
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	Alternative Asset Manager	Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services	Senior Notes	$10.5 Million		Financial Services, Asset & Wealth Management	Piper Sandler served as sole placement agent for an alternative asset manager on a senior unsecured notes offering	Senior Unsecured Notes Offering	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