Representation of an Investment Firm in a 2013 Follow-on Offering

Client Type: Public Company

We represented a NASDAQ-listed investment firm in a follow-on offering of an aggregate of 1,725,000 shares of common stock for net proceeds of approximately $28.8 million. Underwriters included Raymond James and Associates, Inc. and Robert W. Baird & Co. Incorporated (joint book-running managers); BB&T Capital Markets, a division of BB&T Securities, LLC, and Oppenheimer & Co. Inc. (co-lead managers); DA Davidson and J.J.B. Hilliard, W.L. Lyons, LLC (co-managers).

We represented a NASDAQ-listed investment firm in a follow-on offering of an aggregate of 1,725,000 shares of common stock for net proceeds of approximately $28.8 million. Underwriters included Raymond James and Associates, Inc. and Robert W. Baird & Co. Incorporated (joint book-running managers); BB&T Capital Markets, a division of BB&T Securities, LLC, and Oppenheimer & Co. Inc. (co-lead managers); DA Davidson and J.J.B. Hilliard, W.L. Lyons, LLC (co-managers).