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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 06/01/2022 Northfield Bancorp Debt Capital Markets - Depositories, Real Estate & Financial Services Subordinated Notes $62.0 Million Financial Services, Depositories Â鶹´«Ã½ served as lead placement agent for Northfield Bancorp on a 5.00% fixed-to-floating rate subordinated notes offering due 2032 Subordinated Notes Joint Placement Agent
Published 06/01/2022 Westin Hotels & Resorts Financing Senior Term Loan $169.2 Million Financial Services, Real Estate, Real Estate, Hospitality Â鶹´«Ã½ served as sole placement agent for Westin Hotels & Resorts on a senior loan refinancing Senior Term Loan Sole Placement Agent
Published 06/01/2022 Southwest Bancshares Inc. Debt Capital Markets - Depositories, Real Estate & Financial Services Subordinated Notes $35.0 Million Financial Services, Depositories Â鶹´«Ã½ served as sole placement agent for Southwest Bancshares Inc. Subordinated Notes Sole Placement Agent
Published 05/24/2022 Intricon Corp. Mergers & Acquisitions Sell-Side $246.0 Million Healthcare, Med-Tech Â鶹´«Ã½ served as sell-side advisor for Intricon Corporation on sale to Altaris Capital Partners, LLC Intricon Corporation has been acquired by Altaris Capital Partners, LLC Financial Advisor
Published 05/18/2022 Captain D's, LLC Mergers & Acquisitions Sell-Side Consumer, Restaurants Â鶹´«Ã½ served as sell-side advisor for Captain D's, LLC, a portfolio company of Sentinel Capital Partners, on sale to Centre Partners Management LLC Captain D's, LLC, a portfolio company of Sentinel Capital Partners, has been acquired by Centre Partners Management LLC Financial Advisor
Published 05/18/2022 Metasource, LLC Financing Senior Term Loan Services & Industrials, Business Services Â鶹´«Ã½ served as sole debt placement agent for MetaSource, LLC, a portfolio company of Eos Partners, L.P. Senior Term Loan Sole Placement Agent
Published 05/18/2022 Genesis Research LLC Mergers & Acquisitions Buy-Side Healthcare, Healthcare Services Â鶹´«Ã½ served as buy-side advisor for Genesis Research, a portfolio company of GHIO, on its acquisition of Market Access Transformation, a portfolio company of Silversmith Capital Partners Genesis Research, a portfolio company of GHIO, has acquired Market Access Transformation, a portfolio company of Silversmith Capital Partners Financial Advisor
Published 05/16/2022 Inhibikase Therapeutics Equity Capital Markets At the Market Offering $98.0 Million Healthcare, Biopharma Â鶹´«Ã½ served as placement agent for Inhibikase Therapeutics on an ATM offering ATM Sole Placement Agent
Published 05/13/2022 ProFrac Holdings Corp Financing IPO $328.0 Million Energy, Power & Infrastructure, Energy & Power Infrastructure, Energy & Power Services & Equipment Â鶹´«Ã½ served as bookrunner for ProFrac Holdings Corp on its initial public offering Initial Public Offering Active Bookrunner
Published 05/09/2022 Tuesday Morning Corporation Restructuring Special Situations Financing Consumer, Retail & Disruptive Commerce Â鶹´«Ã½ served as financial advisor for Tuesday Morning Corporation on a recapitalized led by a multi-party investment from Retail Ecommerce Ventures, Ayon Capital and certain members of management Tuesday Morning Corporation recapitalization led by a multi-party investment from Retail Ecommerce Ventures, Ayon Capital and certain members of management
Published 05/09/2022 Marvell Technology, Inc. Mergers & Acquisitions Buy-Side Technology, Internet & Digital Media Â鶹´«Ã½ served as buy-side advisor for Marvell Technology, Inc. on acquisition of Tanzanite Silicon Solutions, Inc., a leading developer of advanced Compute Express Linkâ„¢ (CXLâ„¢) technologies Marvell Technology, Inc. has acquired Tanzanite Silicon Solutions, Inc. Financial Advisor
Published 05/09/2022 Fulcrum Therapeutics Equity Capital Markets At the Market Offering $50.0 Million Healthcare, Biopharma Â鶹´«Ã½ served as placement agent for Fulcrum Therapeutics on an ATM offering ATM Sole Placement Agent
Published 05/03/2022 Ivenix, Inc. Mergers & Acquisitions Sell-Side Healthcare, Med-Tech Â鶹´«Ã½ served as sole financial advisor for Ivenix, Inc. on sale to Fresenius Kabi USA, LLC Ivenix, Inc. has been acquired by Fresenius Kabi USA, LLC Financial Advisor
Published 05/03/2022 BehavioSec Mergers & Acquisitions Sell-Side Technology, Software Â鶹´«Ã½ served as sell-side advisor for BehavioSec on sale to LexisNexis Risk Solutions. Solutions from BehavioSec will become a part of the Business Services group within LexisNexis Risk Solutions and enhance its device and digital identity-focused offerings, such as LexisNexis® ThreatMetrix® BehavioSec has been acquired by LexisNexis Risk Solutions Financial Advisor
Published 05/02/2022 Protegis Fire & Safety Mergers & Acquisitions Sell-Side Services & Industrials, Facility Services Â鶹´«Ã½ served as sell-side advisor for Protegis Fire & Safety, a portfolio company of Align Capital Partners, on sale to Summit Companies, a portfolio company of BlackRock Long Term Private Capital Protegis Fire & Safety, a portfolio company of Align Capital Partners, has been acquired by Summit Companies, a portfolio company of BlackRock Long Term Private Capital Financial Advisor
Published 05/01/2022 United Fidelity Bank Equity Capital Markets Preferred Stock $30.0 Million Financial Services, Depositories Â鶹´«Ã½ served as sole placement agent for United Fidelity Bank on a 8.50% non-cumulative perpetual preferred stock offering Preferred Stock Sole Placement Agent
Published 05/01/2022 FFL Partners Private Capital Advisory Private Funds $917.0 Million Financial Services, Asset & Wealth Management Â鶹´«Ã½ served as sole placement agent to FFL Partners on Fund V Fund V Sole Placement Agent
Published 05/01/2022 Hanover Bancorp, Inc. Equity Capital Markets IPO $26.8 Million Financial Services, Depositories Â鶹´«Ã½ served as bookrunner for Hanover Bancorp, Inc. on its initial public offering Initial Public Offering Active Bookrunner
Published 05/01/2022 Dakota Financial, LLC Financing Senior Notes $30.0 Million Financial Services, Specialty Finance Â鶹´«Ã½ served as sole placement agent for Dakota Financial, LLC on 7.00% senior notes due in 2025 Senior Notes Sole Placement Agent
Published 05/01/2022 Stellus Capital Management Private Capital Advisory Capital Solutions $225.0 Million Financial Services, Asset & Wealth Management Â鶹´«Ã½ served as sole placement agent for Stellus Capital Management on the formation of and strategic anchor capital for private BDC strategy Private BDC Transaction
 Sole Placement Agent

Â鶹´«Ã½ 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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