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PlacementTracker Publishes Q3 2016 Private Placement Market League Tables

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October 17, 2016 8:38 AM EDT

NEW YORK, Oct. 17, 2016 /PRNewswire/ -- PlacementTracker, the leading source for data and analysis to institutions in the PIPE and Private Placement markets, today announced the most active investment banks, investors, and law firms in the U.S. PIPE market through the third quarter of 2016.

A total of $35.2 billion was raised in 673 transactions through the 3rd quarter of 2016. Of this amount, 8 transactions totaling $447 million have been announced but not yet closed as of 10/11/2016.  Deal volume is flat year-over-year but dollar volume increased 23% ($28.1B for Q3 2015).

We congratulate all of the active members of the private placement community, many of whom are long-time clients of PlacementTracker.  We are dedicated to providing them with access to the very best data and analytics available in our industry.

Most Active Participants Include:

The Q3 2016 U.S. PIPE MarketInvestment Banking League Table by Number of Transactions:

Placement Agent Name

Transaction Count

Total Amount Placed

H.C. Wainwright & Co., LLC

50

$689,700,716

Roth Capital Partners, LLC

38

$743,693,674

Maxim Group LLC

24

$171,233,134

Chardan Capital Markets

19

$125,015,671

Cowen and Company, LLC

18

$547,823,721

Piper Jaffray & Co.

13

$506,057,996

Jefferies & Company, Inc.

12

$578,237,489

Ladenburg Thalmann & Co., Inc.

12

$326,247,072

Oppenheimer & Co. Inc.

12

$225,598,820

Aegis Capital Corporation

12

$65,094,904

Raymond James & Associates Inc.

11

$295,552,267

Craig-Hallum Capital Group LLC

11

$234,551,606

Canaccord Genuity Inc. (US)

10

$406,820,292

National Securities Corporation

9

$120,759,535

Leerink Swann, LLC

8

$382,731,633

Stifel Nicolaus Weisel

8

$303,655,000

Needham & Company, LLC

7

$350,059,276

Sandler O'Neill & Partners, L.P.

7

$181,252,499

Northland Securities, Inc.

7

$84,579,496

Laidlaw & Company (UK) Ltd.

7

$73,555,432

Katalyst Securities LLC

7

$50,243,627

RBC Capital Markets, Inc.

6

$796,954,126

Guggenheim Securities, LLC

6

$251,110,998

Cantor Fitzgerald & Company

6

$233,259,981

B. Riley & Co.

6

$102,761,390

Investment Banking rankings exclude all 144-A Offerings,  Equity Lines of Credit, At the Market Transactions, Rights Offerings, Bought Deals, and all PIPE transactions conducted by foreign issuers that trade in the U.S. on the OTC.  On transactions where an investment banking firm has acted solely as Financial Advisor, that transaction has been excluded from that firm's ranking.  Co-agented transactions award full transaction credit to all agents participating (regardless of status of lead agent or co-agent).  Data is for closed and definitive agreement transactions reported as of 10/11/2016.

The Q3 2016 U.S. PIPE MarketInstitutional Investor League Table by Number of Transactions:

 

Investor Name

 

Transaction Count

    Total Amount Invested

Sabby Management, LLC

45

$85,476,415

Bank of New York

20

Not Disclosed

Millennium Management, LLC

18

Not Disclosed

Teachers Insurance and Annuity Association

16

$50,000,000

Perceptive Advisors, LLC

16

$14,841,963

Citadel Advisors, LLC

13

Not Disclosed

DAFNA Capital Management, LLC

11

$11,700,013

Hudson Bay Capital Management L.P.

10

$115,191,188

OrbiMed Advisors, LLC

10

$26,030,548

Heights Capital Management, Inc.

10

$15,976,727

Empery Asset Management LP

10

$13,639,283

IntraCoastal Capital, LLC

10

$5,793,481

AWM Investment Management (MGP Advisors, LLC)

10

$2,257,500

Franklin Templeton Group

9

$15,521,875

Anson Capital, LP

9

$11,361,525

Deerfield Management

8

$13,333,337

Cormorant Asset Management, LLC

8

$9,625,002

Fidelity Management & Research Corporation

8

Not Disclosed

New Enterprise Associates

7

$101,092,824

BVF, Inc.

7

$68,800,445

UBS O'Connor LLC

7

$23,625,000

Broadfin Capital, LLC

7

$5,059,890

Alyeska Investment Group, L.P.

7

Not Disclosed

Baker Brothers Advisors, LLC

7

Not Disclosed

Voya Investment Management Company, LLC

6

$21,800,000

Investor rankings exclude all 144-A Offerings, Equity Lines of Credit, At the Market Transactions, Rights Offerings, Bought Deals, and all PIPE transactions conducted by foreign issuers that trade in the U.S. on the OTC.  Investors classified as Corporate Investors and Insurance Companies have been excluded from this ranking.  Data is for closed and definitive agreement transactions reported as of 10/11/2016.

The Q3 2016 U.S. PIPE MarketIssuer Counsel League Table by Number of Transactions:

Legal Counsel

  Transaction Count

 Total Amount Advised

Sichenzia Ross Friedman Ference, LLP

19

$161,880,771

Cooley LLP

18

$525,550,413

Latham & Watkins, LLP

13

$592,377,723

Paul Hastings LLP

9

$200,549,521

Wilson Sonsini Goodrich & Rosati

9

$139,822,739

Lowenstein Sandler LLP

9

$85,331,164

Hogan Lovells

9

$56,947,747

Vinson & Elkins, LLP

8

$2,841,708,043

Fenwick & West, LLP

8

$1,978,175,221

Goodwin Procter, LLP

8

$819,892,935

K&L Gates LLP

8

$220,337,501

Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, PC

8

$126,950,444

Foley & Lardner

7

$158,900,000

Ellenoff Grossman & Schole LLP

7

$37,567,240

Skadden, Arps, Slate, Meagher & Flom, LLP

6

$482,458,570

Simpson Thacher Bartlett, LLP

6

$456,500,000

Dorsey & Whitney, LLP

6

$177,535,000

Perkins Coie, LLP

5

$358,224,992

Seward & Kissel LLP

5

$149,309,740

Squire Patton Boggs (US) LLP

5

$108,621,805

DLA Piper

5

$78,859,997

Faegre Baker Daniels LLP

5

$78,451,000

Greenberg Traurig, LLP

5

$67,574,398

Morrison & Foerster, LLP

5

$37,052,048

TroyGould PC

4

$141,770,007

Legal counsel rankings exclude all 144-A Offerings, Equity Lines of Credit, At the Market Transactions, Rights Offerings, Bought Deals, and all PIPE transactions conducted by foreign issuers that trade in the U.S. on the OTC.  Data is for closed and definitive agreement transactions reported as of 10/11/2016.

The Q3 2016 U.S. PIPE MarketInvestor Counsel League Table by Number of Transactions:

Legal Counsel

 

               Transaction Count

Total Amount Advised

Schulte Roth & Zabel, LLP

19

$4,897,110,812

Kelley Drye & Warren LLP

8

$105,103,650

Morgan, Lewis & Bockius, LLP

7

$340,999,000

Greenberg Traurig, LLP

6

$716,723,037

Kirkland & Ellis

5

$2,582,053,000

Ropes & Gray

5

$1,446,949,997

Latham & Watkins, LLP

5

$1,321,479,552

Ellenoff Grossman & Schole LLP

5

$40,168,750

Sichenzia Ross Friedman Ference, LLP

4

$10,652,868

Sidley Austin LLP

3

$2,040,053,000

Skadden, Arps, Slate, Meagher & Flom, LLP

3

$937,750,000

Schiff Hardin, LLP

3

$230,000,000

Chapman & Cutler, LLP

3

$145,000,000

Fleming PLLC

3

$63,400,000

Morrison & Foerster, LLP

3

$6,247,752

Simpson Thacher Bartlett, LLP

2

$1,750,000,000

White & Case, LLP

2

$642,327,934

Akin, Gump, Strauss, Hauer & Feld, LLP

2

$515,700,000

Vinson & Elkins, LLP

2

$390,017,670

Watson, Farley & Williams LLP

2

$200,000,000

Sullivan & Cromwell

2

$65,000,000

Locke Lord LLP

2

$51,380,000

Bernard & Yam LLP

2

$23,050,002

Gibson, Dunn & Crutcher, LLP

2

$19,985,000

Robinson Brog Leinwand Greene Genovese & Gluck P.C.

2

$8,750,001

 

 

 

 

 

 

Legal counsel rankings exclude all 144-A Offerings, Equity Lines of Credit, At the Market Transactions, Rights Offerings, Bought Deals, and all PIPE transactions conducted by foreign issuers that trade in the U.S. on the OTC.  Data is for closed and definitive agreement transactions reported as of 10/11/2016.

The Q3 2016 U.S. PIPE MarketPlacement Agent Counsel League Table by Number of Transactions:

Legal Counsel

Transaction Count

   Total Amount Advised

Ellenoff Grossman & Schole LLP

51

$428,511,580

Goodwin Procter, LLP

18

$437,809,505

Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, PC

10

$149,674,230

Latham & Watkins, LLP

9

$428,380,002

Cooley LLP

7

$278,049,974

Covington & Burling

6

$406,932,501

Proskauer Rose, LLP

5

$78,265,534

Lowenstein Sandler LLP

5

$28,718,034

Sichenzia Ross Friedman Ference, LLP

5

$14,443,751

Pryor Cashman

4

$9,842,840

Schiff Hardin, LLP

3

$9,721,001

Skadden, Arps, Slate, Meagher & Flom, LLP

2

$244,998,720

Stikeman Elliott LLP

2

$142,073,720

Fried, Frank, Harris, Shriver & Jacobson

2

$133,150,000

Davis Polk & Wardwell LLP

2

$123,250,500

Morrison & Foerster, LLP

2

$81,213,250

Loeb & Loeb, LLP

2

$53,068,750

DLA Piper

2

$51,778,740

Dechert, LLP

2

$43,024,995

Greenberg Traurig, LLP

2

$22,039,698

Pillsbury, Winthrop, Shaw & Pittman, LLP

2

$21,677,444

Faegre Baker Daniels LLP

2

$11,900,003

Linklaters

1

$450,000,000

King, Holmes, Paterno & Berliner

1

$62,500,000

Baker & Hostetler, LLP

1

$47,500,000

Legal counsel rankings exclude all 144-A Offerings, Equity Lines of Credit, At the Market Transactions, Rights Offerings, Bought Deals, and all PIPE transactions conducted by foreign issuers that trade in the U.S. on the OTC.  Data is for closed and definitive agreement transactions reported as of 10/11/2016.

The Q3 2016 U.S. ATM MarketSales Agent by Commitment Amount:

Sales Agent

Transaction Count

   Commitment Amount

Bank of America Merrill Lynch

36

$14,826,252,072

Wells Fargo Securities, LLC

32

$13,911,669,849

J.P. Morgan Chase & Co.

25

$13,289,927,072

Barclays Capital, Inc.

24

$11,783,182,942

RBC Capital Markets, Inc.

24

$11,439,204,849

Morgan Stanley

21

$10,962,972,942

Citigroup Global Markets, Inc.

24

$10,698,817,942

Mitsubishi UFJ Securities (USA), Inc.

14

$10,404,684,849

Jefferies & Company, Inc.

20

$8,864,632,942

Deutsche Bank Securities, Inc.

13

$7,629,982,942

Mizuho Securities Co., Limited

10

$7,531,262,942

SunTrust Robinson Humphrey, Inc.

14

$7,275,727,942

Credit Suisse Securities (USA) LLC

11

$6,234,559,130

BNP Paribas Securities Corporation

7

$5,817,151,907

Goldman, Sachs & Co.

12

$5,349,260,000

Raymond James & Associates Inc.

14

$5,049,682,942

TD Securities (USA) Inc.

3

$4,890,000,000

BMO Capital Markets Corp.

11

$4,886,377,942

SMBC Nikko Securities America, Inc.

5

$4,790,000,000

Scotia Capital (USA) Inc.

7

$4,163,236,907

UBS Securities LLC

6

$4,110,912,942

Capital One Securities

10

$4,058,370,000

USCA Securities LLC

4

$4,031,262,942

Robert W. Baird & Co.

11

$3,140,962,942

UBS Limited

4

$2,971,270,000

Sales Agent rankings includes At the Market.  Data is for closed and definitive agreement transactions reported as of 10/11/2016.

The Q3 2016 U.S. ATM MarketSales Agent by Number of Transactions:

Sales Agent

Transaction Count

   Commitment Amount

Bank of America Merrill Lynch

36

$14,826,252,072

Wells Fargo Securities, LLC

32

$13,911,669,849

Cantor Fitzgerald & Company

30

$2,814,766,448

J.P. Morgan Chase & Co.

25

$13,289,927,072

Barclays Capital, Inc.

24

$11,783,182,942

RBC Capital Markets, Inc.

24

$11,439,204,849

Citigroup Global Markets, Inc.

24

$10,698,817,942

FBR Capital Markets

23

$1,035,489,592

Morgan Stanley

21

$10,962,972,942

Jefferies & Company, Inc.

20

$8,864,632,942

Cowen and Company, LLC

20

$1,166,500,000

Mitsubishi UFJ Securities (USA), Inc.

14

$10,404,684,849

SunTrust Robinson Humphrey, Inc.

14

$7,275,727,942

Raymond James & Associates Inc.

14

$5,049,682,942

Deutsche Bank Securities, Inc.

13

$7,629,982,942

Goldman, Sachs & Co.

12

$5,349,260,000

MLV & Co. LLC

12

$638,625,000

Credit Suisse Securities (USA) LLC

11

$6,234,559,130

BMO Capital Markets Corp.

11

$4,886,377,942

Robert W. Baird & Co.

11

$3,140,962,942

KeyBanc Capital Markets

11

$2,593,720,000

Mizuho Securities Co., Limited

10

$7,531,262,942

Capital One Securities

10

$4,058,370,000

BB&T Capital Markets

9

$2,950,447,942

BNP Paribas Securities Corporation

7

$5,817,151,907

Sales Agent rankings includes At the Market.  Data is for closed and definitive agreement transactions reported as of 10/11/2016.

About PlacementTrackerPlacementTracker, part of the Business Intelligence Division of Informa PLC, is well recognized as the leading provider of research, data, and analytics covering the PIPE and private placement markets. PlacementTracker's dynamically updated League Tables are available online at: http://www.placementtracker.com/leaguetables.cfm.

About Informa PLCInforma is a leading business intelligence, academic publishing, knowledge and events business, creating unique content and connectivity for customers all over the world. It is listed on the London Stock Exchange and is a member of the FTSE 100.

For more information, please visit the Financial Intelligence website.

Media Contact:Greg Hill212-907-5884

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To view the original version on PR Newswire, visit:http://www.prnewswire.com/news-releases/placementtracker-publishes-q3-2016-private-placement-market-league-tables-300345492.html

SOURCE PlacementTracker


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