Top Transactions 2021 YTD

1. Top Transactions
2021 YTD
INVESTMENT BANKING

2. H.C. Wainwright & Co., LLC (HCW) is a research-driven, equity
capital markets focused investment bank that specializes in capital
markets solutions for middle market companies worldwide. HCW
has one of the largest Healthcare equity research footprints covering
more than 385 Life Sciences companies among the 480+ companies
in our sector focused coverage universe. The HCW Capital Markets
Team is the #1 ranked underwriter/agent for smaller and middle
market follow-on offering transactions cumulatively since 1998(1)(2)(3).
55+ Transactions for 2021 YTD
$6.5B+ in Transaction Value(1)
1 Sources: Informa Business Intelligence, Inc., Dealogic and Company filings. Transaction values shown are based upon announced value at the time of the offering and updated
periodically to reflect changes due to over-allotments or other adjustments. Data presented herein, as of January 31, 2021.
2 Includes CMPO, Follow-On, S-1, Bought Deal, Rights Offering, Convertible Debt, Convertible Equity, ATM, Registered Direct, PIPE, and other follow-on offerings completed by
U.S. listed companies with a pre-deal market cap of below $1 billion for which the listed bank was given credit as an underwriter/agent. As of December 31, 2020; Rankings are
by number of deals during the period specified. Source: Dealogic. Informa PLC also ranks the H.C. Wainwright Team as the #1 Investment Bank by transaction volume for the
year ended 2018, 2019, and 2020 and cumulatively since 1998.
3 Includes transactions completed by H.C. Wainwright Team Members which were principally but not exclusively executed by the HCW Team while employed by H.C. Wainwright
or investment banks previously owned by H.C. Wainwright management.

3. $25,147,000
Follow-On
Placement Agent
January 25, 2021
$40,000,000
Follow-On
Placement Agent
January 7, 2021
$287,385,000
Initial Public Offering
Lead Manager
January 8, 2021
$221,400,000
Follow-On
Co-Manager
January 8, 2021
$38,575,000
Private Placement
Placement Agent
January 11, 2021
CAD $77,500,000
Private Placement
Placement Agent
January 11, 2021
$31,250,000
Follow-On
Placement Agent
January 12, 2021
$100,000,000
Follow-On
Co-Manager
January 13, 2021
$50,000,000
Follow-On
Placement Agent
January 17, 2021
$50,600,000
Follow-On
Lead Manager
January 19, 2021
$34,500,000
Bought Deal
Sole Bookrunner
January 19, 2021
$95,965,000
Follow-On
Lead Manager
January 20, 2021
$175,000,000
Follow-On
Co-Manager
January 20, 2021
$50,000,000
Follow-On
Placement Agent
January 26, 2021
$79,600,000
Bought Deal
Sole Bookrunner
January 26, 2021
Selected Transactions
$1,820,000,000
Follow-On
Co-Manager
January 26, 2021
$1,485,800,000
Initial Public Offering
Co-Manager
January 27, 2021
$115,000,000
Follow-On
Lead Manager
January 20, 2021
$28,750,000
Follow-On
Financial Advisor
January 26, 2021
$35,000,000
Bought Deal
Sole Bookrunner
January 28, 2021
$75,000,000
Follow-On
Lead Manager
January 28, 2021
$25,000,000
Bought Deal
Sole Bookrunner
January 11, 2021
$250,000,000
Follow-On
Placement Agent
January 12, 2021
$350,000,000
Follow-On
Placement Agent
January 20, 2021
$115,000,000
Bought Deal
Sole Bookrunner
January 21, 2021
$120,000,000
Follow-On
Co-Manager
January 21, 2021
$250,000,000
Follow-On
Placement Agent
January 25, 2021
$129,375,000
Follow-On
Co-Manager
January 22, 2021

4. Transaction Versatility
At The
Market
Initial Public
Offering
Bought
Deal
Follow-On
Private
Placement
Convertible
Debt
Registered
Direct

5. This communication is for informational purposes only. It is not intended as an offer or solicitation for the purchase or sale of any financial
instrument or as an official confirmation of any transaction. Since H.C. Wainwright & Co., is not a tax advisor, transactions requiring tax
consideration should be reviewed carefully with your tax advisor. All market prices, data and other information are not guaranteed as to
completeness or accuracy and are subject to change without notice. H.C. Wainwright & Co., LLC. – Member FINRA, SIPC
H.C. Wainwright & Co., LLC | 430 Park Avenue | New York, New York 10022
www.hcwco.com