Investment Banking Transactions

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Date Client Type Sub-Type Amt. Logo Sector/Sub-Sector Description Tombstone Description PSC Role
Published 09/01/2021 Ark Invest Mergers & Acquisitions Strategic Advisory 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 Cecil Bancorp, Inc. Financing Minority Capital Raise $10.0 Million Financial Services, Depositories Piper Sandler served as financial advisor for Cecil Bancorp, Inc. on a private placement of common stock Cecil Bancorp received a Minority Growth Investment Financial Advisor
Published 09/01/2021 ACBB Mergers & Acquisitions Division Carve Out 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 Euclid Transactional Mergers & Acquisitions Sell-Side 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 AIG Mergers & Acquisitions Sell-Side 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 First Trust Mergers & Acquisitions Sell-Side 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 AgTexas Farm Credit Services Equity Capital Markets Preferred Stock $80.0 Million 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 Subordinated Notes $350.0 Million 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 ConnectOne Bancorp, Inc. Equity Capital Markets Preferred Stock $115.0 Million 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 Subordinated Notes $30.0 Million 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 Euclid Transactional Financing Senior Secured Debt 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 LedgerX Mergers & Acquisitions Sell-Side 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 United Fidelity Bank Equity Capital Markets Preferred Stock $20.0 Million 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 Project Creeky Private Capital Advisory Secondary Capital $36.0 Million Financial Services, Asset & Wealth Management Piper Sandler served as sole financial advisor on the LP Portfolio Sale LP Portfolio Sale
 Secondary Advisor
Published 09/01/2021 Orange County Bancorp, inc. Equity Capital Markets IPO $38.5 Million 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 Lakeland Bancorp, Inc. Debt Capital Markets - Depositories, Real Estate & Financial Services Subordinated Notes $150.0 Million 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 Western Alliance Bancorporation Equity Capital Markets Preferred Stock $300.0 Million 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 08/31/2021 NexTier Oilfield Solutions Inc. Mergers & Acquisitions Buy-Side $268.0 Million Energy, Power & Infrastructure, Energy & Power Infrastructure, Energy & Power Services & Equipment Piper Sandler served as buy-side advisor for NexTier Oilfield Solutions on acquisition of Alamo Pressure Pumping NexTier Oilfield Solutions has acquired Alamo Pressure Pumping Financial Advisor
Published 08/31/2021 Osteon Medical Mergers & Acquisitions Sell-Side Healthcare, Med-Tech Piper Sandler served as sell-side advisor for Osteon Medical, a portfolio company of Armitage Partners., on sale to Keystone Dental Group, a portfolio company of Accelmed Osteon Medical, a portfolio company of Armitage Partners, has been acquired by Keystone Dental, a portfolio company of Accelmed Financial Advisor
Published 08/30/2021 Humacyte, Inc. Financing PIPE $175.0 Million Healthcare, Biopharma Piper Sandler served as sole placement agent for Humacyte, Inc. on a PIPE offering PIPE Sole Placement Agent

Piper Sandler acquired TRS Advisors on 12/31/2020, Stamford Partners on 6/13/2022, DBO Partners on 10/10/2022, Aviditi Advisors on 8/23/2024 and G Squared Capital Partners on 9/12/2025, transactions completed prior were executed by the respective firm.

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