Investment Banking Transactions

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Date Client Type Sub-Type Amt. Logo Sector/Sub-Sector Description Tombstone Description PSC Role
Published 12/23/2020 First Trust Corporation Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Debt $21.0 Million Financial Services, Depositories Piper Sandler served as sole placement agent for First Trust Corporation on a $21.0 million offering of 5.50% fixed-to-floating rate subordinated notes due in 2030 Subordinated Debt Sole Placement Agent
Published 12/22/2020 AWP, Inc. Mergers & Acquisitions Sell-Side Services & Industrials Piper Sandler served as sell-side advisor for AWP, Inc., a portfolio company of The Riverside Company, on sale to Kohlberg & Company AWP, Inc., a portfolio company of The Riverside Company, has been acquired by Kohlberg & Company Financial Advisor
Published 12/22/2020 CBC Bancorp Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Debt $25.0 Million Financial Services, Depositories Piper Sandler served as sole placement agent for CBC Bancorp on a $25.0 million offering of fixed-to-floating rate subordinated notes due in 2030 Subordinated Debt Sole Placement Agent
Published 12/22/2020 Peapack-Gladstone Financial Corp. Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Debt $100.0 Million Financial Services, Depositories Piper Sandler served as lead placement agent for Peapack-Gladstone Financial Corporation on a $100.0 million offering of 3.50% fixed-to-floating rate subordinated notes offering due in 2030 Subordinated Debt Joint Placement Agent
Published 12/21/2020 eMDs Holdings Inc. Mergers & Acquisitions Sell-Side $240.0 Million Healthcare, Information-Driven Healthcare Piper Sandler served as sell-side advisor for MDs Holdings, Inc., a portfolio company of Marlin Equity Partners, on sale to Compugroup Holding USA MDs Holdings, Inc., a portfolio company of Marlin Equity Partners, has been acquired by Compugroup Holding USA Financial Advisor
Published 12/18/2020 DynaGrid Holdings, LLC Mergers & Acquisitions Sell-Side Energy & Power, Energy & Power Infrastructure Piper Sandler & Co. served as sell-side advisor for DynaGrid Holdings LLC, a portfolio company of CIC Partners, on sale to Brown Brothers Harriman Capital Partners. DynaGrid is the one of the largest independent providers of comprehensive transmission sub-grade and sitework services to electric utilities in Texas and surrounding states DynaGrid Holdings LLC, a portfolio company of CIC Partners, has been acquired by Brown Brothers Harriman Capital Partners Financial Advisor
Published 12/18/2020 Obsidian Insurance Holdings, Inc. Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services Senior Unsecured Debt $20.0 Million Financial Services, Insurance Piper Sandler served as lead placement agent for Obsidian Insurance Holdings, Inc. on a $20.0 million offering of 6.50% fixed rate senior unsecured notes due in 2025 Senior Unsecured Debt Lead Placement Agent
Published 12/17/2020 Gamida Cell Ltd. Financing, Equity Capital Markets CMFO $74.5 Million Healthcare, Biopharma Piper Sandler served as left bookrunner for Gamida Cell Ltd. on a confidentially marketed follow-on offering Confidentially Marketed Follow-On Offering Left Bookrunner
Published 12/16/2020 Ondot Systems, Inc. Mergers & Acquisitions Sell-Side Financial Services, FinTech Piper Sandler served as as sell-side advisor for Ondot Systems, Inc. on sale to Fiserv, Inc. Ondot Systems, Inc. has has been acquired by Fiserv, Inc. Financial Advisor
Published 12/16/2020 Midwest Holding Inc. Equity Capital Markets, Financing IPO $70.0 Million Financial Services, Insurance Piper Sandler served as sole bookrunner for Midwest Holding Inc. on its initial public offering Initial Public Offering Lead Bookrunner
Published 12/15/2020 Ocular Therapeutix, Inc. Financing, Equity Capital Markets Follow-On Offering $92.1 Million Healthcare, Biopharma Piper Sandler served as bookrunner for Ocular Therapeutix, Inc. on a follow-on offering Follow-On Offering Active Bookrunner
Published 12/15/2020 Arvinas Financing, Equity Capital Markets Follow-On Offering $459.9 Million Healthcare, Biopharma Piper Sandler served as bookrunner for Arvinas, Inc. on a follow-on offering Follow-On Offering Active Bookrunner
Published 12/11/2020 Perimeter Foods (fka Italian Rose) Financing, Debt Capital Markets Senior Term Loan Consumer, Food & Beverage Piper Sandler served as sole debt placement agent for Perimeter Brands LLC, a portfolio company of Blue Point Capital Partners, LLC, on a debt capital raise Senior Term Loan Sole Placement Agent
Published 12/11/2020 VIVUS Inc. Restructuring Chapter 11 Reorganization $270.0 Million Healthcare, Biopharma Piper Sandler served as investment banker for VIVUS, Inv. on its Chapter 11 Plan of Reorganization Chapter 11 Reorganization Financial Advisor
Published 12/10/2020 Protagonist Therapeutics, Inc. Financing, Equity Capital Markets Follow-On Offering $115.0 Million Healthcare, Biopharma Piper Sandler served as bookrunner for Protagonist Therapeutics, Inc. on a follow-on offering Follow-On Offering Active Bookrunner
Published 12/09/2020 Rocket Pharmaceuticals, Inc. Financing, Equity Capital Markets Follow-On Offering $299.0 Million Healthcare, Biopharma Piper Sandler served as bookrunner for Rocket Pharmaceuticals, Inc. on a follow-on offering Follow-On Offering Active Bookrunner
Published 12/09/2020 Airbnb, Inc. Financing, Equity Capital Markets IPO $3.8 Billion Technology, Internet & Digital Media Piper Sandler served as co-manager for Airbnb, Inc. on its initial public offering Initial Public Offering Co-Manager
Published 12/09/2020 ALX Oncology Financing, Equity Capital Markets Follow-On Offering $208.0 Million Healthcare, Biopharma Piper Sandler served as bookrunner for ALX Oncology Holdings, Inc. on a follow-on offering Follow-On Offering Active Bookrunner
Published 12/08/2020 DoorDash, Inc. Financing, Equity Capital Markets IPO $3.4 Billion Technology, Internet & Digital Media Piper Sandler served as co-manager for DoorDash, Inc. on its initial public offering Initial Public Offering Co-Manager
Published 12/08/2020 Progenity, Inc. Financing, Equity Capital Markets Convertible Offering $85.5 Million Healthcare, Tools & Diagnostics Piper Sandler served as sole underwriter for Progenity, Inc. on a convertible offering Convertible Offering Sole Underwriter

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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