| Issuer: | Knight Capital Inc.
|
| Securities: | 2% convertible preferred stock
|
| Amount: | $400 million
|
| Pricing date: | Aug. 6
|
| Conversion price: | $1.50 per share
|
| Conversion ratio: | 666.667 common shares per each preferred
|
| Lead investors: | Jefferies & Co., Inc., Jefferies High Yield Trading, LLC, Blackstone Capital Partners VI LP, Blackstone Family Investment Partnership VI ESC LP, Blackstone Family Investment Partnership VI LP, Getco Strategic Investments, LLC, TD Ameritrade Holding Corp., Stephens Investments Holdings LLC and Stifel Financial Corp.
|
|
|
| GENESEE & WYOMING INC.
|
| Issuer: | Genesee & Wyoming Inc.
|
| Securities: | 5% mandatory convertible preferred stock
|
| Amount: | $350 million
|
| Pricing date: | July 23
|
| Conversion price: | $58.49 per share
|
| Lead investor: | Carlyle Group
|
|
|
| HALCON RESOURCES CORP.
|
| Issuer: | Halcon Resources Corp.
|
| Securities: | Common stock
|
| Amount: | $300 million
|
| Pricing date: | Oct. 22
|
| Price: | $7.16 per share
|
| Lead investor: | Canada Pension Plan Investment Board
|
|
|
| ULTRAPETROL (BAHAMAS) LTD.
|
| Issuer: | Ultrapetrol (Bahamas) Ltd.
|
| Securities: | Common stock
|
| Amount: | $220 million
|
| Priced: | Nov. 14
|
| Lead investor: | Sparrow Capital Investments Ltd.
|
|
|
| A123 SYSTEMS INC.
|
| Issuer: | A123 Systems Inc.
|
| Securities: | 8% senior secured convertible notes
|
| Amount: | $200 million
|
| Pricing date: | Aug. 8
|
| Conversion price: | 60 cents per share
|
| Lead investor: | Wanxiang
|
|
|
|
|
| Top Registered direct offerings of 2012
|
|
|
| CHENIERE ENERGY INC.
|
| Issuer: | Cheniere Energy Inc.
|
| Securities: | Common stock
|
| Amount: | $468.1 million
|
| Price per share: | $15.10
|
| Pricing date: | May 7, 2012
|
|
|
| BUCKEYE PARTNERS LP
|
| Issuer: | Buckeye Partners LP
|
| Securities: | Limited partnership units
|
| Amount: | $250 million
|
| Price per unit: | $58.65
|
| Pricing date: | Feb. 9, 2012
|
|
|
| SYNTA PHARMACEUTICALS CORP.
|
| Issuer: | Synta Pharmaceuticals Corp.
|
| Securities: | Common stock
|
| Amount: | $60.2 million
|
| Price per share: | $8.60
|
| Pricing date: | Dec. 13
|
|
|
| VANTAGE DRILLING CO.
|
| Issuer: | Vantage Drilling Co.
|
| Securities: | 7.875% senior convertible notes due Sept. 1, 2042
|
| Amount: | $50 million
|
| Conversion price: | $2.10 per share
|
| Conversion ratio: | 476.1905 shares
|
| Conversion premium: | 23.5%
|
| Pricing date: | Aug. 14
|
| Agent: | Lazard
|
|
|
| PROVIDENT NEW YORK BANCORP
|
| Issuer: | Provident New York Bancorp
|
| Securities: | Common stock
|
| Amount: | $46 million
|
| Price per share: | $7.35
|
| Pricing date: | Aug. 7
|
|
|
|
|
| Top Canadian PIPE deals of 2012
|
|
|
| GENIVAR INC.
|
| Issuer: | Genivar Inc.
|
| Securities: | Subscription receipts
|
| Amount: | C$197.05 million
|
| Price per receipt: | C$24.00
|
| Pricing date: | June 4
|
| Lead investors: | Canada Pension Plan Investment Board and the Caisse de depot et placement du Quebec
|
|
|
| ELEMENT FINANCIAL CORP.
|
| Issuer: | Element Financial Corp.
|
| Securities: | Special warrants convertible into common stock
|
| Amount: | C$110.175 million
|
| Price per warrant: | C$5.65
|
| Pricing date: | Nov. 9
|
| Agents: | GMP, Barclays, BMO, RBC, TD Securities, Cormark, CIBC and Scotia
|
|
|
| ALGONQUIN POWER & UTILITIES CORP.
|
| Issuer: | Algonquin Power & Utilities Corp.
|
| Securities: | Subscription receipts convertible into common stock
|
| Amount: | C$105 million
|
| Price per receipt: | C$5.74 for 10.456 million shares; C$6.45 for 6.977 million shares
|
| Pricing date: | May 10, 2012
|
| Agent: | Non-brokered
|
| Lead investor: | Emera Inc.
|
|
|
| AMAYA GAMING GROUP INC.
|
| Issuer: | Amaya Gaming Group Inc.
|
| Securities: | Common stock
|
| Amount: | C$103.5 million
|
| Price per share: | C$4.05
|
| Pricing date: | May 29, 2012
|
| Agents: | Canaccord; BMO, Desjardins, Union, BayFront and Cormark (co-managers)
|
|
|
| ELEMENT FINANCIAL CORP.
|
| Issuer: | Element Financial Corp.
|
| Securities: | Special warrants convertible into common stock
|
| Amount: | C$87.13 million
|
| Price per warrant: | C$5.25
|
| Pricing date: | May 31, 2012
|
| Agents: | GMP, Barclays, BMO, RBC, CIBC and Scotia
|
|
|
| Table figures based on data compiled by Prospect News
|
