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PlacementTracker Publishes Q3 2017 Private Placement Market League Tables


NEW YORK, Oct. 11, 2017 /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 2017.

PlacementTracker

A total of $22.6 billion was raised in 644 transactions through the third quarter of 2017. Of this amount, 9 transactions totaling $34.6 million have been announced but not yet closed as of 10/09/2017.  Deal volume is down 4% (674 deals through Q3 in 2016) and dollar volume decreased 36% ($35.5B through Q3 in 2016). 

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 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
[email protected]
www.PlacementTracker.com

SOURCE PlacementTracker


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