| Date |
Transaction
|
$ (mm) |
| 2012 |
|
$976.1
|
| May |
Represented GSV in follow-on equity offering |
97.5 |
| April |
Represented Hercules Technology Growth Capital in a public debt offering |
43.0 |
| Mar |
Represented Ares Capital Corporation in a private offering in unsecured convertible senior notes |
150.0 |
| Feb |
Represented Stifel, Nicolaus & Company, Incorporated, Janney Montgomery Scott LLC, BB&T Capital Markets, a division of Scott & Stringfellow, LLC, Sterne, Agee & Leach, Inc. and Robert W. Baird & Co. Incorporated in connection with the issuance of senior public notes by Triangle Capital Corporation |
60.0
|
| Feb |
Represented Goldman, Sachs & Co., Barclays Capital, Credit Suisse, and UBS Investment Bank in connection with an equity shelf offering by Medley Capital Corporation |
42.6
|
| Feb |
Represented GSV Capital Corporation in a follow-on equity offering |
90.0
|
| Jan |
Represented Ares Capital Corporation in a public bond offering |
125.0
|
| Jan |
Represented Hercules Technology Growth Capital in an equity shelf offering |
48.0
|
| Jan |
Represented Ares Capital Corporation in an equity shelf offering |
220.0
|
| Jan |
Represented Fifth Street Capital Corporation in an equity shelf offering |
100.0
|
| 2011 |
|
$3,703.7 |
| Oct |
Represented Main Street Capital Corporation in a follow-on public equity offering |
57.5 |
| Sept |
Represented GSV Capital Corporation in a follow-on public equity offering |
25.8 |
| Aug |
Represented TICC Capital Corporation in its formation of and private note issuance by a collateralized loan obligation (CLO) |
225.0 |
| Aug |
Represented Oxford Lane Capital Corporation in a rights offering |
8.0 |
| Aug |
Represented Morgan Stanley & Col LLC, Morgan Keegan & Company Inc., Robert W .Baird & Co. Inc., BB&T Capital Markets, a division of Scott & Stringfellow LLC, JMP Securities LLC, and Sterne, Agee & Leach Inc. in connection with an equity shelf transaction of Triangle Capital Corporation |
65.6 |
| Jul |
Represented Keating Capital Corporation in initial public offering |
86.8 |
| Jun |
Represented Fidus Investment Corporation as special regulatory counsel in its initial public offering |
80.0 |
| Jun |
Represented Fifth Street Finance Corp. in an equity shelf offering |
58.6 |
| May |
Represented FS Energy and Power Fund in its initial public offering (represents registered securities to be offered in a continuous offering - ~$60 million have been sold through December 2011) |
1,500.0 |
| May |
Represented Goldman Sachs & Co., Wells Fargo Securities, and Morgan Stanley in connection with the initial public offering of New Mountain Finance Corporation |
100.0 |
| May |
Represented GSV Capital Corp. (fka NeXt Innovation Corp.) in its initial public offering |
50.0 |
| Apr |
Represented TPG Specialty Lending Inc. in its initial offering of securities |
814.0 |
| Apr |
Represented Fifth Street Finance Corp. in a private convertible bond offering |
150.0 |
| Apr |
Represented Hercules Technology Growth Capital in a private convertible bond offering |
75.0 |
| Apr |
Represented Main Street Capital Corporation in an equity shelf offering |
73.9 |
| Mar |
Represented Ares Capital Corporation in a convertible bond offering |
200.0 |
| Mar |
Represented FS Investment Corporation in loan portfolio TRS transaction |
200.0 |
| Feb |
Represented Solar Senior Capital Ltd. in its initial public offering |
160.0 |
| Feb |
Represented Solar Senior Capital Ltd. in a private placement |
10.0 |
| Feb |
Represented Morgan Keegan in connection with the equity shelf offering by Triangle Capital Corporation |
57.8 |
| Feb |
Represented Morgan Stanley, JP Morgan Securities Inc., and Stifel Nicholas in connection with the equity shelf offering by PennantPark Investment Corporation |
99.2 |
| Feb |
Represented Fifth Street Finance Corporation in an equity shelf offering |
145.5 |
| Feb |
Represented Harris & Harris to refinance its revolving line of credit |
10.0 |
| Jan |
Represented BlackRock Kelso Capital Corporation in a private bond offering |
175.0 |
| Jan |
Represented Ares Capital Corporation in a convertible bond offering |
500.0 |
| Jan |
Represented Oxford Lane Capital Corp. in its initial public offering |
37.1 |
| Jan |
Represented Goldman Sachs & Co., Citigroup Global Markets Inc. and UBS Securities LLC in connection with the initial public offering by Medley Capital Corporation |
123.3 |
| Jan |
Represented underwriters in connection with Medley Capital Corporation's private placement |
10.0 |
|
|
|
| 2010 |
|
$1,689.4 |
| Dec |
Represented TICC Capital Corporation in an equity shelf offering |
44.8 |
| Nov |
Represented Hercules Technology Growth Capital, Inc. in an equity shelf offering |
71.9 |
| Nov |
Represented Citigroup Global Markets Inc.; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Credit Suisse Securities (USA) LLC; UBS Securities LLC; BMO Capital Markets Corp.; and Lazard Capital Markets LLC in connection with the equity shelf offering of BlackRock Kelso Capital Corporation |
78.7 |
| Nov |
Represented Solar Capital Ltd. in a selling stockholder offering |
41.2 |
| Sept |
Represented Main Street Capital Corporation to refinance its revolving line of credit |
85.0 |
| Jul |
Represented Saratoga's establishment of a financing subsidiary |
40.0 |
| Jun |
Represented Fifth Street Finance Corporation in an equity shelf offering |
87.9 |
| Jun |
Represented Citigroup Global Markets Inc.; Merrill Lynch, Pierce,Fenner & Smith Incorporated; Credit Suisse Securities (USA) LLC; UBS Securities LLC; BMO Capital Markets Corp.; and Lazard Capital Markets LLC in connection with the equity shelf offering of BlackRock Kelso Capital Corporation |
73.4 |
| May |
Represented Solar Capital Ltd. in a selling stockholder offering |
108.9 |
| Apr |
Represented Allied Capital Corporation in connection with merger of Allied Capital Corporation and Ares Capital Corporation |
850.0 |
| Feb |
Represented Solar Capital Ltd. in its initial public offering |
97.7 |
| Jan |
Represented Fifth Street Finance Corporation in an equity shelf offering |
74.9 |
| Jan |
Represented Main Street Capital Corporation in an equity shelf offering |
35.0 |
|
|
|
| 2009 |
|
$532.3 |
| Dec |
Represented Morgan Keegan & Company, Inc.; BB&T Capital Markets; and Janney Montgomery Scott LLC in connection with the equity shelf offering of Triangle Capital Corporation |
17.8 |
| Dec |
Represented Patriot Capital Funding, Inc., in connection with merger of Patriot Capital Funding, Inc. and Prospect Capital Corporation |
200.0 |
| Sept |
Represented Fifth Street Finance Corporation in an equity shelf offering |
48.0 |
| Sept |
Represented SunTrust Robinson Humphrey, Inc.; BMO Capital Markets Corp.; Robert W. Baird & Co. Incorporated; FBR Capital Markets & Co.; Keefe, Bruyette & Woods, Inc.; Stifel, Nicolaus & Company, Incorporated; ING Financial Markets LLC; and Natixis Bleichroader in connection with the secondary offering of common stock of PennantPark Investment Corporation |
32.7 |
| Aug |
Represented Ares Capital Corporation as special regulatory counsel in an equity shelf offering |
115.1 |
| Aug |
Represented RBC Capital Markets; BB&T Capital Markets; Morgan Keegan & Company, Inc.; and Sterne Agee in connection with the equity shelf offering of Triangle Capital Corporation |
13.5 |
| Jul |
Represented Fifth Street Finance Corporation in an equity shelf offering |
87.8 |
| Jun |
Represented Main Street Capital Corporation in an equity shelf offering |
17.4 |
|
|
|
| 2008 |
|
$2,425.9 |
| Sept |
Represented FS Investment Corporation in its initial public offering (total amount registered) |
1,500.0 |
| Jun |
Represented Fifth Street Finance Corporation in its initial public offering |
141.2 |
| May |
Represented TICC Capital Corp. in a transferable rights offering |
28.0 |
| May |
Represented Allied Capital Corporation in an equity shelf offering |
184.1 |
| Apr |
Represented MCG Capital Corporation in a transferable rights offering |
80.5 |
| Apr |
Represented Allied Capital Corporation in an equity shelf offering |
50.0 |
| Apr |
Represented Raymond James & Associates, Inc.; Stifel, Nicolaus & Company, Incorporated; and BB&T Capital Markets in connection with the secondary public offering of NGP Capital Resources Company |
59.2 |
| Mar |
Represented Allied Capital Corporation in an equity shelf offering |
81.4 |
| Mar |
Represented Ares Capital Corporation as special regulatory counsel in a transferable rights offering |
266.5 |
| Jan |
Represented Allied Capital Corporation in an equity shelf offering |
35.0
|
|
|
|
| 2007 |
|
$1,737.4 |
| Nov |
Represented Allied Capital Corporation in an equity shelf offering |
80.4 |
| Oct |
Represented Main Street Capital Corporation in its initial public offering |
60.0 |
| Sept |
Represented MCG Capital Corporation in an equity shelf offering |
43.5 |
| Jul |
Represented Technology Investment Capital Corporation in its secondary public offering |
22.1 |
| Jul |
Represented Bear Stearns, Banc of America Securities, UBS Investment and SunTrust Robinson Humphrey in connection with the initial public offering of PennantPark Investment Corporation |
300.0 |
| Jul |
Represented JP Morgan Securities Inc.; Citigroup Global Markets Inc.; Merrill Lynch, Pierce, Fenner & Smith; and Wachovia Capital Markets, LLC in connection with the initial public offering of BlackRock Kelso Capital Corporation |
160.0 |
| Jul |
Represented Hercules Technology Growth Capital, Inc. in a secondary public offering |
124.2 |
| Jun |
Represented Hercules Technology Growth Capital, Inc. in an equity shelf offering |
102.6 |
| Apr |
Represented MCG Capital Corporation in an equity shelf offering |
54.5 |
| Mar |
Represented Allied Capital Corporation in a debt shelf offering |
200.0 |
| Mar |
Represented Allied Capital Corporation in an equity shelf offering |
97.3 |
| Feb |
Represented Hercules Technology Group Capital, Inc. in its secondary public offering |
88.9 |
| Feb |
Represented JP Morgan Securities Inc.; Citigroup Global Markets Inc.; Banc of America Securities LLC; and Bear, Stearns & Co. Inc. in connection with a secondary public offering for Apollo Investment Corporation |
403.9 |
|
|
|
| 2006 |
|
$1,600.2 |
| Sept |
Served as counsel to Marathon Acquisition Corp. in its initial public offering |
300.0 |
| Aug |
Represented Allied Capital Corporation in a debt shelf offering |
400.0 |
| Aug |
Represented Allied Capital Corporation in an equity shelf offering |
142.0 |
| Jun |
Represented Patriot Capital Funding, Inc. in a secondary offering |
40.0 |
| Jun |
Represented Compass Diversified Trust in its initial public offering |
202.5 |
| Apr |
Represented underwriters in a secondary offering by Hercules Technology Growth Capital, Inc. |
36.0 |
| Mar |
Represented underwriters in an equity shelf offering by Apollo Investment Corporation |
294.0 |
| Feb |
Represented company counsel in Global Logistics Acquisition Corporation's initial public offering |
88.0 |
| Feb |
Represented UTEK Corporation in an equity shelf offering |
10.0 |
| Jan |
Represented Allied Capital Corporation in an equity shelf offering |
87.7 |
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