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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 09/01/2021 ACBB Mergers & Acquisitions Division Carve Out Financial Services, FinTech °µÍø³Ô¹Ï 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 National Bank of New York City Mergers & Acquisitions Sell-Side $36.4 Million Financial Services, Depositories °µÍø³Ô¹Ï served as sell-side advisor for National Bank of New York City on sale to Newtek National Bank of New York City has been acquired by Newtek Financial Advisor
Published 09/01/2021 Dakota Financial Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Senior Notes $30.0 Million Financial Services, Specialty Finance °µÍø³Ô¹Ï served as sole placement agent for Dakota Financial on a 5.00% senior unsecured notes offering due in 2026 Senior Notes Sole Placement Agent
Published 09/01/2021 MVB Financial Corp. Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $30.0 Million Financial Services, Depositories °µÍø³Ô¹Ï served as co-placement agent for MVB on a 3.25% fixed-to-floating rate subordinated notes offering due in 2031 Subordinated Notes Joint Placement Agent
Published 09/01/2021 Western Alliance Bancorporation Equity Capital Markets, Financing Preferred Stock $300.0 Million Financial Services, Depositories °µÍø³Ô¹Ï 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 09/01/2021 AIG Mergers & Acquisitions Sell-Side Financial Services, Insurance °µÍø³Ô¹Ï 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 Alternative Asset Manager Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services Senior Notes $10.5 Million Financial Services, Asset & Wealth Management °µÍø³Ô¹Ï served as sole placement agent for an alternative asset manager on a senior unsecured notes offering Senior Unsecured Notes Offering Sole Placement Agent
Published 09/01/2021 Jamesmark Bancshares, Inc. Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $30.0 Million Financial Services, Depositories °µÍø³Ô¹Ï 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 ConnectOne Bancorp, Inc. Equity Capital Markets, Financing Preferred Stock $115.0 Million Financial Services, Depositories °µÍø³Ô¹Ï 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 Cecil Bancorp, Inc. Financing, Equity Private Placements Minority Capital Raise $10.0 Million Financial Services, Depositories °µÍø³Ô¹Ï served as financial advisor for Cecil Bancorp, Inc. on a private placement of common stock Minority Capital Raise Financial Advisor
Published 09/01/2021 Falcon Private Holdings, LLC Mergers & Acquisitions Sell-Side $445.0 Million Chemicals °µÍø³Ô¹Ï advised Falcon Private Holdings, LLC, on sale of Aristech Surfaces LLC to Trinseo Falcon Private Holdings, LLC, has been acquired by Aristech Surfaces LLC to Trinseo Financial Advisor
Published 09/01/2021 Ark Invest Mergers & Acquisitions Strategic Advisory Financial Services, Asset & Wealth Management °µÍø³Ô¹Ï 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 LedgerX Mergers & Acquisitions Sell-Side Financial Services, FinTech °µÍø³Ô¹Ï 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 Seacoast Banking Corporation of Florida Mergers & Acquisitions Buy-Side $28.4 Million Financial Services, Depositories °µÍø³Ô¹Ï served as buy-side advisor for Seacoast Banking Corporation of Florida on acquisition of Florida Business Bank Seacoast Banking Corporation of Florida has acquired Florida Business Bank Financial Advisor
Published 09/01/2021 OFB Bancshares, Inc. Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $30.0 Million Financial Services, Depositories °µÍø³Ô¹Ï served as sole placement agent for OFB Bancshares, Inc. on a 3.875% fixed-to-floating rate subordinated notes offering due in 2031 Subordinated Notes Sole Placement Agent
Published 09/01/2021 Beauty Industry Group Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services Senior Term Loan Consumer, Beauty & Personal Care °µÍø³Ô¹Ï Finance served as sole staple provider for Beauty Industry Group on a senior secured term loan, delayed draw term loan and revolver Senior Secured Term Loan
Delayed Draw Term Loan & Revolver 		Sole Staple Provider
Published 09/01/2021 Lakeland Bancorp, Inc. Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing Subordinated Notes $150.0 Million Financial Services, Depositories °µÍø³Ô¹Ï 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 United Fidelity Bank Equity Capital Markets, Financing Preferred Stock $20.0 Million Financial Services, Depositories °µÍø³Ô¹Ï 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 Secondary Capital $36.0 Million Private Capital Advisory °µÍø³Ô¹Ï 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, Financing IPO $38.5 Million Financial Services, Depositories °µÍø³Ô¹Ï served as left bookrunner for Orange County Bancorp, inc. on its initial public offering Initial Public Offering Left Bookrunner

°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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