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The Q3 2017 U.S. Private Placement Market
Investment Banking League Table by Number of Transactions:
|
Placement Agent Name |
Transaction Count |
Total Amount Placed |
|
H.C. Wainwright & Co., LLC |
52 |
$1,045,856,323 |
|
Maxim Group LLC |
29 |
$379,813,289 |
|
Roth Capital Partners, LLC |
26 |
$457,584,198 |
|
Cantor Fitzgerald & Company |
20 |
$1,221,653,155 |
|
Aegis Capital Corporation |
19 |
$246,447,922 |
|
Jefferies & Company, Inc. |
18 |
$1,224,645,652 |
|
Sandler O'Neill & Partners, L.P. |
16 |
$810,614,867 |
|
Oppenheimer & Co. Inc. |
16 |
$372,654,054 |
|
Raymond James & Associates Inc. |
14 |
$625,700,683 |
|
Ladenburg Thalmann & Co., Inc. |
14 |
$276,637,294 |
|
Piper Jaffray & Co. |
13 |
$695,397,961 |
|
Cowen and Company, LLC |
13 |
$546,940,558 |
|
Canaccord Genuity Inc. (US) |
13 |
$507,083,107 |
|
Chardan Capital Markets |
13 |
$141,593,724 |
|
Keefe, Bruyette & Woods, Inc. |
10 |
$551,447,802 |
|
Craig-Hallum Capital Group LLC |
10 |
$168,426,325 |
|
Needham & Company, LLC |
9 |
$291,813,502 |
|
Laidlaw & Company (UK) Ltd. |
9 |
$77,337,237 |
|
JMP Securities LLC |
8 |
$466,328,640 |
|
Joseph Gunnar & Company, LLC |
8 |
$138,462,072 |
|
J.P. Morgan Chase & Co. |
7 |
$1,401,804,940 |
|
Stephens Inc. |
7 |
$533,208,247 |
|
Leerink Swann, LLC |
7 |
$508,311,155 |
|
Lake Street Capital Markets, LLC |
7 |
$72,897,494 |
|
SunTrust Robinson Humphrey, Inc. |
6 |
$285,000,017 |
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 10/09/17.
The Q3 2017 U.S. Private Placement Market
Institutional Investor League Table by Number of Transactions:
|
Investor Name |
Transaction Count |
Total Amount Invested |
|
Sabby Management, LLC |
26 |
$35,604,336 |
|
Millennium Management, LLC |
22 |
Not Disclosed |
|
Citadel Advisors, LLC |
17 |
Not Disclosed |
|
Hudson Bay Capital Management L.P. |
16 |
$24,668,745 |
|
Heights Capital Management, Inc. |
13 |
$30,753,283 |
|
Wellington Management Company LLP |
13 |
$4,722,208 |
|
Bank of New York |
13 |
Not Disclosed |
|
Perceptive Advisors, LLC |
12 |
$31,090,804 |
|
IntraCoastal Capital, LLC |
11 |
$5,525,126 |
|
Anson Capital, LP |
10 |
$5,067,038 |
|
Lincoln Park Capital |
10 |
$4,753,544 |
|
Iroquois Capital L.P. |
10 |
$2,991,867 |
|
DAFNA Capital Management, LLC |
10 |
$710,841 |
|
Baker Brothers Advisors, LLC |
9 |
$68,934,006 |
|
Fidelity Management & Research Corporation |
9 |
$22,514,907 |
|
Empery Asset Management LP |
9 |
$8,966,094 |
|
Alyeska Investment Group, L.P. |
8 |
$45,157,571 |
|
OrbiMed Advisors, LLC |
8 |
$30,966,707 |
|
Armistice Capital Master Fund Limited |
8 |
$19,870,887 |
|
D.E. Shaw & Co., L.P. |
8 |
Not Disclosed |
|
New Enterprise Associates |
7 |
$41,999,996 |
|
RA Capital Management, LLC |
7 |
$21,086,693 |
|
AWM Investment Management (MGP Advisors, LLC) |
7 |
$6,696,183 |
|
Tortoise Capital Advisors, LLC |
6 |
$230,048,889 |
|
T. Rowe Price Associates, Inc. |
6 |
$43,372,531 |
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 10/09/17.
The Q3 2017 U.S. Private Placement Market
Issuer Counsel League Table by Number of Transactions:
|
Legal Counsel |
Transaction Count |
Total Amount Advised |
|
|
Cooley LLP |
22 |
$907,176,268 |
|
|
Sichenzia Ross Ference Kesner LLP |
21 |
$100,525,632 |
|
|
Latham & Watkins, LLP |
19 |
$2,239,077,783 |
|
|
Goodwin Procter, LLP |
14 |
$686,612,265 |
|
|
Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, PC |
13 |
$358,278,135 |
|
|
Fenwick & West, LLP |
12 |
$308,695,391 |
|
|
Greenberg Traurig, LLP |
9 |
$616,467,155 |
|
|
Sidley Austin LLP |
7 |
$1,415,245,938 |
|
|
Dechert, LLP |
7 |
$151,675,661 |
|
|
Morgan, Lewis & Bockius, LLP |
7 |
$112,494,004 |
|
|
Morrison & Foerster, LLP |
7 |
$75,368,854 |
|
|
DLA Piper |
6 |
$228,749,997 |
|
|
Wilson Sonsini Goodrich & Rosati |
6 |
$220,712,498 |
|
|
Paul Hastings LLP |
6 |
$181,046,575 |
|
|
Seward & Kissel LLP |
6 |
$144,335,003 |
|
|
Wilmer Cutler Pickering Hale & Dorr, LLP |
6 |
$124,999,979 |
|
|
Hogan Lovells |
6 |
$120,159,980 |
|
|
Vinson & Elkins, LLP |
5 |
$257,999,979 |
|
|
Sheppard, Mullin, Richter & Hampton, LLP |
5 |
$155,900,014 |
|
|
Pepper Hamilton, LLP |
5 |
$78,186,450 |
|
|
Lowenstein Sandler LLP |
5 |
$73,716,957 |
|
|
K&L Gates LLP |
5 |
$56,329,097 |
|
|
Shutts & Bowen, LLP |
5 |
$15,440,000 |
|
|
Alston & Bird, LLP |
4 |
$313,752,064 |
|
|
Davis Polk & Wardwell LLP |
4 |
$117,564,993 |
|
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 10/09/17.
The Q3 2017 U.S. Private Placement Market
Investor Counsel League Table by Number of Transactions:
|
Legal Counsel |
Transaction Count |
Total Amount Advised |
|||||
|
Schulte Roth & Zabel, LLP |
38 |
$1,527,763,823 |
|||||
|
Kelley Drye & Warren LLP |
21 |
$787,976,796 |
|||||
|
Ellenoff Grossman & Schole LLP |
8 |
$38,263,898 |
|||||
|
Simpson Thacher Bartlett, LLP |
5 |
$2,830,047,569 |
|||||
|
Debevoise & Plimpton, LLP |
5 |
$940,500,000 |
|||||
|
Kirkland & Ellis |
5 |
$800,000,000 |
|||||
|
Hansen Black Anderson Ashcraft PLLC |
4 |
$9,210,000 |
|||||
|
Skadden, Arps, Slate, Meagher & Flom, LLP |
3 |
$283,748,000 $34,598,090 |
|||||
|
Gibson, Dunn & Crutcher, LLP |
3 |
||||||
|
Sichenzia Ross Ference Kesner LLP |
3 |
$3,652,000 |
|||||
|
Sidley Austin LLP |
2 |
$1,050,017,126 |
|||||
|
King & Wood, LLP |
2 |
$273,100,000 |
|||||
|
Morgan, Lewis & Bockius, LLP |
2 |
$162,500,712 |
|||||
|
Latham & Watkins, LLP |
2 |
$155,986,000 |
|||||
|
Paul, Weiss, Rifkind, Wharton & Garrison |
2 |
$152,862,598 |
|||||
|
Greenberg Traurig, LLP |
2 |
$125,000,000 |
|||||
|
Sullivan & Cromwell |
2 |
$94,700,000 |
|||||
|
White & Case, LLP |
2 |
$49,549,998 |
|||||
|
Shearman & Sterling LLP |
2 |
$33,262,800 |
|||||
|
Perkins Coie, LLP |
2 |
$24,999,789 |
|||||
|
Peter J. Weisman, PC |
2 |
$9,714,915 |
|||||
|
Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, PC |
2 |
$8,948,282 |
|||||
|
Olshan Frome Wolosky LLP |
2 |
$3,440,000 |
|||||
|
K&L Gates LLP |
2 |
$2,000,000 |
|||||
|
Jones Day |
1 |
$480,000,000 |
|||||
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 10/09/17.
The Q3 2017 U.S. Private Placement Market
Placement Agent Counsel League Table by Number of Transactions:
|
Legal Counsel |
Transaction Count |
Total Amount Advised |
|
Ellenoff Grossman & Schole LLP |
33 |
$222,196,097 |
|
Cooley LLP |
18 |
$865,401,883 |
|
Goodwin Procter, LLP |
14 |
$516,820,843 |
|
Covington & Burling |
13 |
$787,158,233 |
|
Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, PC |
12 |
$294,471,327 |
|
Latham & Watkins, LLP |
10 |
$525,207,261 |
|
Proskauer Rose, LLP |
7 |
$160,834,988 |
|
Lowenstein Sandler LLP |
7 |
$47,750,009 |
|
Sichenzia Ross Ference Kesner LLP |
7 |
$46,844,148 |
|
Sheppard, Mullin, Richter & Hampton, LLP |
6 |
$44,412,598 |
|
Dechert, LLP |
4 |
$100,635,624 |
|
Davis Polk & Wardwell LLP |
3 |
$150,505,625 |
|
Pillsbury, Winthrop, Shaw & Pittman, LLP |
3 |
$97,999,998 |
|
Gornitzky & Co. |
3 |
$96,705,153 |
|
Carmel, Milazzo & DiChiara LLP |
3 |
$4,600,040 |
|
Stikeman Elliott LLP |
2 |
$199,100,004 |
|
Skadden, Arps, Slate, Meagher & Flom, LLP |
2 |
$182,000,305 |
|
Alston & Bird, LLP |
2 |
$77,925,008 |
|
Morrison & Foerster, LLP |
2 |
$69,415,000 |
|
DLA Piper |
2 |
$56,003,481 |
|
Pillsbury Winthrop, LLP |
2 |
$37,087,500 |
|
Morgan, Lewis & Bockius, LLP |
2 |
$36,000,000 |
|
Fredrikson & Byron, PA |
2 |
$22,709,994 |
|
Duane Morris, LLP |
2 |
$21,500,001 |
|
Loeb & Loeb, LLP |
2 |
$18,430,022 |
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 10/09/17.
The Q3 2017 U.S. ATM Market
Sales Agent by Number of Transactions:
|
Sales Agent |
Transaction Count |
Commitment Amount |
|
Bank of America Merrill Lynch |
37 |
$15,532,551,030 |
|
Cantor Fitzgerald & Company |
36 |
$3,731,955,000 |
|
FBR Capital Markets |
35 |
$2,967,487,043 |
|
Jefferies & Company, Inc. |
29 |
$10,709,761,030 |
|
Wells Fargo Securities, LLC |
27 |
$10,900,000,000 |
|
RBC Capital Markets, Inc. |
26 |
$10,760,860,000 |
|
Cowen and Company, LLC |
25 |
$1,569,000,000 |
|
J.P. Morgan Chase & Co. |
24 |
$11,777,000,000 |
|
Citigroup Global Markets, Inc. |
23 |
$7,536,619,250 |
|
Raymond James & Associates Inc. |
21 |
$3,933,720,280 |
|
Morgan Stanley |
19 |
$9,977,000,000 |
|
Robert W. Baird & Co. |
16 |
$3,077,519,250 |
|
Goldman, Sachs & Co. |
14 |
$6,402,300,000 |
|
Credit Suisse Securities (USA) LLC |
14 |
$5,052,000,000 |
|
Deutsche Bank Securities, Inc. |
13 |
$5,350,000,000 |
|
Mitsubishi UFJ Securities (USA), Inc. |
13 |
$5,050,000,000 |
|
BMO Capital Markets Corp. |
13 |
$4,400,000,000 |
|
JMP Securities LLC |
13 |
$2,024,143,000 |
|
SunTrust Robinson Humphrey, Inc. |
12 |
$3,640,000,000 |
|
BTIG, LLC |
12 |
$3,392,000,000 |
|
Barclays Capital, Inc. |
11 |
$4,083,560,000 |
|
KeyBanc Capital Markets |
11 |
$2,750,000,000 |
|
Stifel Nicolaus Weisel |
11 |
$2,725,000,000 |
|
Capital One Securities |
10 |
$3,350,000,000 |
|
BB&T Capital Markets |
9 |
$4,007,300,000 |
Sales Agent rankings includes At the Market transactions only. Data is for closed and definitive agreement transactions reported as of 10/09/17.
The Q3 2017 U.S. ATM Market
Sales Agent by Commitment Amount:
|
Sales Agent |
Transaction Count |
Commitment Amount |
|
Bank of America Merrill Lynch |
37 |
$15,532,551,030 |
|
J.P. Morgan Chase & Co. |
24 |
$11,777,000,000 |
|
Wells Fargo Securities, LLC |
27 |
$10,900,000,000 |
|
RBC Capital Markets, Inc. |
26 |
$10,760,860,000 |
|
Jefferies & Company, Inc. |
29 |
$10,709,761,030 |
|
Morgan Stanley |
19 |
$9,977,000,000 |
|
Citigroup Global Markets, Inc. |
23 |
$7,536,619,250 |
|
Goldman, Sachs & Co. |
14 |
$6,402,300,000 |
|
Deutsche Bank Securities, Inc. |
13 |
$5,350,000,000 |
|
Credit Suisse Securities (USA) LLC |
14 |
$5,052,000,000 |
|
Mitsubishi UFJ Securities (USA), Inc. |
13 |
$5,050,000,000 |
|
Mizuho Securities Co., Limited |
8 |
$4,525,000,000 |
|
BMO Capital Markets Corp. |
13 |
$4,400,000,000 |
|
TD Securities (USA) Inc. |
6 |
$4,325,000,000 |
|
Barclays Capital, Inc. |
11 |
$4,083,560,000 |
|
BB&T Capital Markets |
9 |
$4,007,300,000 |
|
Raymond James & Associates Inc. |
21 |
$3,933,720,280 |
|
Cantor Fitzgerald & Company |
36 |
$3,731,955,000 |
|
SunTrust Robinson Humphrey, Inc. |
12 |
$3,640,000,000 |
|
BTIG, LLC |
12 |
$3,392,000,000 |
|
Capital One Securities |
10 |
$3,350,000,000 |
|
Robert W. Baird & Co. |
16 |
$3,077,519,250 |
|
FBR Capital Markets |
35 |
$2,967,487,043 |
|
UBS Securities LLC |
6 |
$2,950,000,000 |
|
KeyBanc Capital Markets |
11 |
$2,750,000,000 |
Sales Agent rankings includes At the Market transactions only. Data is for closed and definitive agreement transactions reported as of 10/09/17.
About PlacementTracker
PlacementTracker, 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 Financial Intelligence
Financial Intelligence, part of the Business Intelligence Division of Informa plc, is a leading provider of critical decision-making solutions and custom services to financial institutions. From the big picture to the smallest detail, Informa Financial Intelligence's leading-edge financial information and decision-making products provide specialized industry research, intelligence, and insight.
For more information, please visit the Financial Intelligence website.
Company Contact:
Suzanne Chaves
(617) 722-4622
suzanne.chaves@informa.com
www.PlacementTracker.com
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