Investment Banking Transactions

	Date	Client	Type	Sub-Type	Amt.	Logo	Sector/Sub-Sector	Description	Tombstone Description	PSC Role
Published	12/17/2020	Gamida Cell Ltd.	Financing, Equity Capital Markets	CMFO	$74.5 Million	Image	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		Image Image	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	Image	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	Image	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	Image	Healthcare, Biopharma	Piper Sandler served as bookrunner for Arvinas, Inc. on a follow-on offering	Follow-On Offering	Active Bookrunner
Published	12/11/2020	VIVUS Inc.	Restructuring	Chapter 11 Reorganization	$270.0 Million	Image	Healthcare, Biopharma	Piper Sandler served as investment banker for VIVUS, Inv. on its Chapter 11 Plan of Reorganization	Chapter 11 Reorganization	Financial Advisor
Published	12/11/2020	Perimeter Foods (fka Italian Rose)	Financing, Debt Capital Markets	Senior Term Loan		Image Image	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	12/10/2020	Protagonist Therapeutics, Inc.	Financing, Equity Capital Markets	Follow-On Offering	$115.0 Million	Image	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	ALX Oncology	Financing, Equity Capital Markets	Follow-On Offering	$208.0 Million	Image	Healthcare, Biopharma	Piper Sandler served as bookrunner for ALX Oncology Holdings, 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	Image	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	Rocket Pharmaceuticals, Inc.	Financing, Equity Capital Markets	Follow-On Offering	$299.0 Million	Image	Healthcare, Biopharma	Piper Sandler served as bookrunner for Rocket Pharmaceuticals, 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	Image	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	Sutro Biopharma, Inc.	Financing, Equity Capital Markets	Follow-On Offering	$145.0 Million	Image	Healthcare, Biopharma	Piper Sandler served as bookrunner for Sutro Biopharma, Inc. on a follow-on offering	Follow-On Offering	Active Bookrunner
Published	12/08/2020	Progenity, Inc.	Financing, Equity Capital Markets	Convertible Offering	$85.5 Million	Image	Healthcare, Life Sciences Tools & Diagnostics	Piper Sandler served as sole underwriter for Progenity, Inc. on a convertible offering	Convertible Offering	Sole Underwriter
Published	12/08/2020	C3.ai, Inc.	Financing, Equity Capital Markets	IPO	$748.7 Million	Image	Technology, Software	Piper Sandler served as co-manager for C3.ai, Inc. on its initial public offering	Initial Public Offering	Co-Manager
Published	12/07/2020	Arcturus Therapeutics, Inc.	Financing, Equity Capital Markets	CMFO	$172.6 Million	Image	Healthcare, Biopharma	Piper Sandler served as left bookrunner for Arcturus Therapeutics Holdings Inc. on a confidentially marketed follow-on offering	Confidentially Marketed Follow-On Offering	Left Bookrunner
Published		The First of Long Island Corporation	Mergers & Acquisitions	Sell-Side	$284.0 Million	Image Image	Financial Services, Depositories	Piper Sandler served as sell-side advisor for The First of Long Island Corporation on agreed merger with ConnectOne Bancorp	The First of Long Island Corporation has agreed to be acquired by ConnectOne Bancorp	Financial Advisor
Published			Mergers & Acquisitions	Sell-Side	$267.0 Million	Image Image	Financial Services, Depositories	Piper Sandler served as the sell-side advisor to Piedmont Bancorp in the announced merge with United Bankshares, Inc.	Piedmont Bancorp announced its merge with United Bankshares, Inc	Financial Advisor
Published		KLX Energy Services	Financing, Equity Capital Markets	At the Market Offering	$50.0 Million	Image	Energy, Power & Infrastructure, Energy & Power Services & Equipment	Piper Sandler served as placement agent for KLX Energy Services on an ATM offering	ATM Offering	Sole Placement Agent
Published		Unum Group	Mergers & Acquisitions	Division Carve Out		Image Image	Financial Services, Insurance	Piper Sandler served as financial advisor to Unum Group in their announced agreement to sell Unum's Medical Stop Loss Business to The Amyntra Group	Unum Group has announced the sale of its Medical Stop Loss Business to The Amynta Group	Financial Advisor