Representation of an Investment Firm in a 2013 Equity Offering

Client Type: Public Company

We served as underwriters’ counsel on a public offering by a NYSE-listed investment firm of $119 million of common stock (excluding over-allotment option). Underwriters included Raymond James; Goldman, Sachs & Co.; Robert W. Baird & Co. Incorporated; RBC Capital Markets, LLC; Sanders Morris Harris Inc.; BB&T Capital Markets, a division of BB&T Securities, LLC; Janney Montgomery Scott LLC; Ladenburg Thalmann & Co. Inc.; MLV & Co. LLC; and Wunderlich Securities, Inc.

We served as underwriters’ counsel on a public offering by a NYSE-listed investment firm of $119 million of common stock (excluding over-allotment option). Underwriters included Raymond James; Goldman, Sachs & Co.; Robert W. Baird & Co. Incorporated; RBC Capital Markets, LLC; Sanders Morris Harris Inc.; BB&T Capital Markets, a division of BB&T Securities, LLC; Janney Montgomery Scott LLC; Ladenburg Thalmann & Co. Inc.; MLV & Co. LLC; and Wunderlich Securities, Inc.