Investment Banking Transactions

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Date Client Type Sub-Type Amt. Logo Sector/Sub-Sector Description Tombstone Description PSC Role
Published 04/01/2021 Ingersoll Rand Inc. Mergers & Acquisitions Division Carve Out Energy & Power, Oilfield Services & Equipment Piper Sandler served as sell-side advisor for Ingersoll Rand on divestiture of a majority interest in its High Pressure Solutions Segment to American Industrial Partners Ingersoll Rand has divested a majority interest in its High Pressure Solutions Segment to American Industrial Partners Financial Advisor
Published 04/01/2021 Lument Finance Trust Financing, Equity Capital Markets Preferred Stock $60.0 Million Financial Services, Real Estate Piper Sandler served as active bookrunner for Lument Finance Trust on a 7.875% Series A cumulative redeemable preferred stock offering Preferred Stock Active Bookrunner
Published 04/01/2021 Sammons Financial Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services Senior Notes $850.0 Million Financial Services, Insurance Piper Sandler served as co-manager for Sammons Financial on a senior notes offering Senior Notes Co-Manager
Published 04/01/2021 Garrett Motion Inc. Restructuring Chapter 11 Reorganization $4.0 Billion Services & Industrials Piper Sandler served as investment banker for Honeywell on its $1B+ claim in the Garrett Motion Inc. Chapter 11 reorganization Chapter 11 Reorganization Financial Advisor
Published 04/01/2021 New York Mortgage Trust, Inc. Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services Senior Notes $100.0 Million Financial Services, Real Estate Piper Sandler served as sole placement agent for NYMT on a 5.75% senior notes offering due in 2026 Senior Notes Sole Placement Agent
Published 04/01/2021 Pacific Western Bank Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $400.0 Million Financial Services, Depositories Piper Sandler served as sole bookrunner for Pacific Western Bank on a 3.25% fixed-to-floating rate subordinated notes offering due in 2031 Subordinated Notes Left Bookrunner
Published 04/01/2021 PacWest Bancorp Mergers & Acquisitions Buy-Side Financial Services, Depositories Piper Sandler served as buy-side advisor for PacWest Bancorp on acquisition of a Homeowners Association Services business unit from MUFG Union Bank, N.A. PacWest Bancorp has acquired a Homeowners Association Services business unit from MUFG Union Bank, N.A. Financial Advisor
Published 04/01/2021 QMax Solutions Inc. Mergers & Acquisitions Division Carve Out Energy & Power, Oilfield Services & Equipment Piper Sandler served as financial advisor for administrators of Qmax Solutions Inc on divestiture of its middle eastern drilling fluids business to undisclosed buyer Qmax Solutions Inc has divested its middle eastern drilling fluids business to an undisclosed buyer Financial Advisor
Published 04/01/2021 Lument Finance Trust Financing, Equity Capital Markets Preferred Stock $60.0 Million Financial Services, Real Estate Piper Sandler served as bookrunner for Lument Finance Trust on a 7.875% Series A cumulative redeemable preferred stock Preferred Stock Active Bookrunner
Published 04/01/2021 Mission Bankcorp Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $12.0 Million Financial Services, Depositories Piper Sandler served as sole placement agent for Mission Bancorp on a 3.75% fixed-to-floating rate subordinated notes offering due in 2031 Subordinated Notes Sole Placement Agent
Published 04/01/2021 Frontier Communications Parent, Inc. Restructuring Chapter 11 Reorganization $18.0 Billion Technology, Internet & Digital Media Piper Sandler served as investment banker for the 2L noteholders in the Frontier Communications Parent, Inc. 11 reorganization Chapter 11 Reorganization Financial Advisor
Published 04/01/2021 WT Holdings, Inc. Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Senior Notes $60.0 Million Financial Services, Insurance Piper Sandler served as sole placement agent for WT Holdings, Inc. on 5.50% senior unsecured notes offering due in 2028 Senior Notes Sole Placement Agent
Published 03/31/2021 Fox Head, Inc. Financing, Debt Capital Markets Senior Term Loan $95.0 Million Consumer, Diversified Consumer Products Piper Sandler served as sole debt placement agent for Fox Head, Inc., a portfolio company of Altamont Capital Partners, LLC, on it's March 2021 debt financing Senior Term Loan Sole Placement Agent
Published 03/31/2021 Sumeru Equity Partners, Inc. Mergers & Acquisitions Buy-Side $200.0 Million Technology, Software Piper Sandler served as financial advisor for Sumeru Equity Partners on its growth investment in Loopio Sumeru Equity Partners has provided a growth investment in Loopio Financial Advisor
Published 03/30/2021 Achilles Therapeutics Financing, Equity Capital Markets IPO $175.0 Million Healthcare, Biopharma Piper Sandler served as bookrunner for Achilles Therapeutics, Inc. on its initial public offering Initial Public Offering Active Bookrunner
Published 03/29/2021 Odyssey Investment Partners Mergers & Acquisitions Buy-Side Financial Services, Insurance Piper Sandler served as buy-side advisor for Odyssey Investment Partners on acquisition of SIAA (Strategic Insurance Agency Alliance) Odyssey Investment Partners has acquired SIAA (Strategic Insurance Agency Alliance) Financial Advisor
Published 03/29/2021 Premier Financial Bancorp, Inc. Mergers & Acquisitions Sell-Side $292.0 Million Financial Services, Depositories Piper Sandler served as sell-side advisor for Premier Financial Bancorp, Inc. on sale to Peoples Bancorp Inc. Premier Financial Bancorp, Inc. has been acquired by Peoples Bancorp Inc. Financial Advisor
Published 03/25/2021 VIZIO, Inc. Financing, Equity Capital Markets IPO $293.1 Million Technology, Hardware Piper Sandler served as lead manager for VIZIO, Inc. on its initial public offering Initial Public Offering Co-Manager
Published 03/25/2021 Alignment Healthcare, Inc. Financing, Equity Capital Markets IPO $549.0 Million Healthcare, Information-Driven Healthcare Piper Sandler served as bookrunner for Alignment Healthcare, Inc. on its initial public offering Initial Public Offering Passive Bookrunner
Published 03/25/2021 thredUP Inc. Financing, Equity Capital Markets IPO $193.2 Million Consumer, Technology, Internet & Digital Media Piper Sandler served as co-manager for thredUP Inc. on its initial public offering Initial Public Offering Co-Manager

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

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