Investment Banking Transactions

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Date Client Type Sub-Type Amt. Logo Sector/Sub-Sector Description Tombstone Description PSC Role
Published 07/01/2021 Bridgewater Bancshares, Inc. Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $30.0 Million Financial Services, Depositories Piper Sandler served as sole placement agent for Bridgewater Bancshares, Inc. on a 3.25% fixed-to-floating rate subordinated notes offering due in 2031 Subordinated Notes Sole Placement Agent
Published 07/01/2021 Teton Financial Services, Inc. Mergers & Acquisitions Sell-Side $48.0 Million Financial Services, Depositories Piper Sandler served as sell-side advisor for Teton Financial Services, Inc., holding company for Rocky Mountain Bank, on sale to First Western Teton Financial Services, Inc., holding company for Rocky Mountain Bank, on sale to First Western Financial Advisor
Published 07/01/2021 U.S. Century Bank Equity Capital Markets, Financing IPO $46.0 Million Financial Services, Depositories Piper Sandler served as co-manager for U.S. Century Bank on its initial public offering Initial Public Offering Co-Manager
Published 07/01/2021 Genesis Bank Equity Capital Markets, Financing Follow-On Offering $57.0 Million Financial Services, Depositories Piper Sandler served as sole admin agent for Genesis Bank on a follow-on offering Follow-On Offering Sole Admin Agent
Published 07/01/2021 Regent Capital Corporation Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services Subordinated Notes $20.0 Million Financial Services, Depositories Piper Sandler served as sole placement agent for Regent Capital Corporation on a 4.00% fixed-to-floating rate subordinated notes offering due in 2031 Subordinated Notes Sole Placement Agent
Published 07/01/2021 Legends Financial Holdings, Inc. Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $20.0 Million Financial Services, Depositories Piper Sandler served as sole placement agent for Legends Financial Holdings, Inc., holding company for Legends Bank, on a 3.50% fixed-to-floating rate subordinated notes offering due in 2031 Subordinated Notes Sole Placement Agent
Published 07/01/2021 Trinitas Capital Management Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services Senior Unsecured Debt $90.0 Million Financial Services, Asset & Wealth Management Piper Sandler served as sole placement for Trinitas Capital Management on a senior unsecured notes offering Senior Unsecured Notes Offering Sole Placement Agent
Published 07/01/2021 NorthEast Community Bancorp, Inc. Equity Capital Markets, Financing Follow-On Offering $97.8 Million Financial Services, Depositories Piper Sandler served as sole marketing agent for NorthEast Community Bancorp, Inc. on a follow-on offering Follow-On Offering Sole Admin Agent
Published 07/01/2021 United Community Banks, Inc. Mergers & Acquisitions Buy-Side $517.0 Million Financial Services, Depositories Piper Sandler served as buy-side advisor for United Community Banks, Inc. on acquisition of Reliant Bancorp, Inc. United Community Banks, Inc. has acquired Reliant Bancorp, Inc. Financial Advisor
Published 07/01/2021 Robinhood Financing, Equity Capital Markets IPO $2.4 Billion Financial Services, FinTech Piper Sandler served as co-manager for Robinhood on its initial public offering Initial Public Offering Co-Manager
Published 07/01/2021 Western Alliance Bancorporation Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $600.0 Million Financial Services, Depositories Piper Sandler served as left bookrunner for Western Alliance Bancorporation on a 3.00% fixed-to-floating rate subordinated notes offering due in 2031 Subordinated Notes Left Bookrunner
Published 07/01/2021 First Women's Bank Equity Capital Markets, Financing Minority Capital Raise $31.3 Million Financial Services, Depositories Piper Sandler served as sole placement agent for First Women's Bank on a private placement Private Placement Sole Placement Agent
Published 07/01/2021 Ellington Financial Financing, Equity Capital Markets Follow-On Offering $125.7 Million Financial Services Piper Sandler served as co-manager for Ellington Financial on a follow-on offering Follow-On Offering Co-Manager
Published 07/01/2021 New Hampshire Mutual Bancorp Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $20.0 Million Financial Services, Depositories Piper Sandler served as sole placement agent for New Hampshire Mutual Bankcorp on a 3.25% fixed-to-floating rate subordinated notes offering due in 2031 Subordinated Notes Sole Placement Agent
Published 06/30/2021 Point Biopharma Inc. Financing, Equity Capital Markets Advisory $150.0 Million Healthcare, Biopharma Piper Sandler served as placement agent for Point Biopharma Inc. on an at-the-market offering At-the-Market Offering Joint Placement Agent
Published 06/30/2021 Tempest Therapeutics Inc. (Millendo Therapeutics) Financing, Equity Capital Markets PIPE $30.0 Million Healthcare, Biopharma Piper Sandler served as sole placement agent for Tempest Therapeutics, Inc. on a PIPE offering PIPE Sole Placement Agent
Published 06/30/2021 Solve Industrial Motion Group Mergers & Acquisitions Sell-Side Services & Industrials Piper Sandler served as sell-side advisor for PTI-LMS Holding Corp. (dba Solve Industrial Motion Group), a portfolio company of Incline Equity Partners, on sale to Audax Group PTI-LMS Holding Corp. (dba Solve Industrial Motion Group), a portfolio company of Incline Equity Partners, has been acquired by Audax Group Financial Advisor
Published 06/30/2021 Aligos Therapeutics Financing, Equity Capital Markets Follow-On Offering $83.6 Million Healthcare, Biopharma Piper Sandler served as bookrunner for Aligos Therapeutics, Inc. on a follow-on offering Follow-On Offering Active Bookrunner
Published 06/30/2021 Forbes Energy Services Ltd. Mergers & Acquisitions Sell-Side Energy & Power, Oilfield Services & Equipment Piper Sandler served as financial advisor for Forbes Energy Services Ltd. on contribution of assets to Axis Energy Services Forbes Energy Services Ltd. has contributed assets to Axis Energy Services Financial Advisor
Published 06/30/2021 Intapp, Inc. Financing, Equity Capital Markets IPO $314.0 Million Technology, Software Piper Sandler served as bookrunner for IntApp, Inc. on its initial public offering Initial Public Offering Active Bookrunner

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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