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Investment Banking Transactions

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Date Client Type Sub-Type Amt. Logo Sector/Sub-Sector Description Tombstone Description PSC Role
Published 08/10/2023 Gladstone Capital Corporation Financing, Equity Capital Markets Senior Notes $57.0 Million Financial Services, Asset & Wealth Management °µÍø³Ô¹Ï served as bookrunner for Gladstone Capital Corporation on a senior note offering
 Senior Notes Offering
 Left Bookrunner
Published 08/09/2023 AG Mortgage Investment Trust, Inc. Mergers & Acquisitions Buy-Side $69.1 Million Financial Services, Real Estate °µÍø³Ô¹Ï served as buy-side advisor for AG Mortgage Investment Trust, Inc. on announced acquisition of Western Asset Mortgage Capital Corp.
 AG Mortgage Investment Trust, Inc. has agreed to acquire Western Asset Mortgage Capital Corp. Financial Advisor
Published 08/09/2023 Community Financial Group, Inc. (Spokane, WA) Mergers & Acquisitions Sell-Side $81.0 Million Financial Services, Depositories °µÍø³Ô¹Ï served as sell-side advisor for Community Financial Group, Inc. on announced merger with Glacier Bancorp, Inc.
 Community Financial Group, Inc. has agreed to merge with Glacier Bancorp, Inc. Financial Advisor
Published 08/08/2023 Casa Systems Equity Capital Markets At the Market Offering $10.0 Million Technology, Technology Services °µÍø³Ô¹Ï served as placement agent for Casa Systems on an ATM offering ATM Sole Placement Agent
Published 08/08/2023 One Model Inc. Financing, Equity Private Placements Minority Capital Raise Technology, Software °µÍø³Ô¹Ï served as financial advisor for Riverwood Capital Management L.P. on a strategic growth investment in One Model Inc. Riverwood Capital Management L.P. has provided a strategic growth investment in One Model Inc.
Published 08/02/2023 Bridge to Life, Ltd. Mergers & Acquisitions Division Carve Out Healthcare, Med-Tech °µÍø³Ô¹Ï served as sell-side advisor for Bridge to Life, Ltd. on sale of EVOSS and LifeCradle perfusion technology assets to TransMedics
 Bridge to Life, Ltd. has sold EVOSS and LifeCradle perfusion technology assets to TransMedics
 Financial Advisor
Published 08/01/2023 GWG Holdings, Inc Restructuring Chapter 11 Reorganization Financial Services, Insurance °µÍø³Ô¹Ï served as financial advisor to the Committee, which has a fiduciary duty to represent over 27,000 individual L Bondholders, who are mostly retail investors Chapter 11 Reorganization Financial Advisor
Published 08/01/2023 Princeton Equity Group Private Capital Advisory, Private Funds Private Funds $575.0 Million Private Capital Advisory °µÍø³Ô¹Ï served as sole placement agent to Princeton Equity Group on its close and hard cap for an oversubscribed franchisor and multi-unit specialist fund Fund II
 Sole Placement Agent
Published 08/01/2023 Kohlberg & Company, L.L.C. Mergers & Acquisitions Buy-Side Services & Industrials, Business Services °µÍø³Ô¹Ï served as buy-side advisor for Kohlberg & Company, LLC on acquisition of Engage PEO Kohlberg & Company, LLC has acquired Engage PEO Financial Advisor
Published 08/01/2023 Wawanesa General Insurance Company Mergers & Acquisitions Division Carve Out Financial Services, Insurance °µÍø³Ô¹Ï served as sell-side advisor for Wawanesa General Insurance Company on announced sale of Wawanesa General Insurance Company to Automobile Club of Southern California
 Wawanesa General Insurance Company has agreed to sell Wawanesa General Insurance Company be acquired by Automobile Club of Southern California Financial Advisor
Published 08/01/2023 Procept Biorobotics Corp. Financing, Equity Capital Markets Confidentially Marketed Follow-On Offering $149.9 Million Healthcare, Med-Tech °µÍø³Ô¹Ï served as bookrunner for Procept BioRobotics Corporation on a confidentially marketed follow-on offering
 Confidentially Marketed Follow-On Offering Active Bookrunner
Published 07/28/2023 Global Guardian LLC Mergers & Acquisitions Sell-Side Services & Industrials, Industrial Services °µÍø³Ô¹Ï served as sell-side advisor for Global Guardian LLC on sale to Align Capital Partners Global Guardian LLC has sold to Align Capital Partners Financial Advisor
Published 07/27/2023 Inozyme Pharma, Inc. Financing, Equity Capital Markets CMFO $60.0 Million Healthcare, Biopharma °µÍø³Ô¹Ï served as bookrunner for Inozyme Pharma, Inc. on a confidentially marketed follow-on offering
 Confidentially Marketed Follow-On Offering Active Bookrunner
Published 07/27/2023 Jimmy's Iced Coffee Limited Mergers & Acquisitions Sell-Side Consumer, Food & Beverage °µÍø³Ô¹Ï served as sell-side advisor for Jimmy's Iced Coffee Limited on sale to Britvic
 Jimmy's Iced Coffee Limited has sold to Britvic Financial Advisor
Published 07/26/2023 PacWest Bancorp Mergers & Acquisitions Sell-Side $1.0 Billion Financial Services, Depositories °µÍø³Ô¹Ï served as sell-side advisor for PacWest Bancorp on announced sale to Banc of California
 PacWest Bancorp has agreed to merge with Banc of California
 Financial Advisor
Published 07/25/2023 Atlantic Union Bankshares Mergers & Acquisitions Buy-Side $417.0 Million Financial Services, Depositories °µÍø³Ô¹Ï served as buy-side advisor for Atlantic Union Bankshares on announced acquisition of American National Bankshares Inc. Atlantic Union Bankshares has agreed to acquire American National Bankshares Inc. Financial Advisor
Published 07/20/2023 Turnstone Biologics Inc. Financing, Equity Capital Markets IPO $80.0 Million Healthcare, Biopharma °µÍø³Ô¹Ï served as bookrunner for Turnstone Biologics Corp. on its initial public offering Initial Public Offering Active Bookrunner
Published 07/20/2023 PD&MS Energy (Aberdeen) Ltd. Mergers & Acquisitions Sell-Side Energy, Power & Infrastructure, Energy & Power Services & Equipment, Renewables & Clean Energy °µÍø³Ô¹Ï served as sell-side advisor for PD&MS Energy on sale to RSK Group Limited
 PD&MS Energy has sold to RSK Group Limited
 Financial Advisor
Published 07/20/2023 TOTAL S.A. Mergers & Acquisitions Division Carve Out Chemicals °µÍø³Ô¹Ï served as sell-side advisor for TOTAL S.A. on sale of carve-out assets assets of TotalEnergies Cray Valley S.A. operations, comprising the Wingtack®, PolyBD® and Dymalink® product lines, to Pacific Avenue Capital Partners, LLC
TotalEnergies has sold certain Cray Valley S.A. businesses to Pacific Avenue Capital Partners, LLC Financial Advisor
Published 07/18/2023 eTelligent Group Mergers & Acquisitions Sell-Side Technology, Defense & Government °µÍø³Ô¹Ï served as sell-side advisor for eTelligent Group on its strategic investment from IMB Partners eTelligent Group has received a strategic investment from IMB Partners Financial Advisor

°µÍø³Ô¹Ï 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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