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June 1, 2018 PUBLIC
June 1, 2018 COMMODITY FUTURES TRADING COMMISSION RULE 1.55(K): FCM-SPECIFIC DISCLOSURE DOCUMENT The Commodity Futures Trading Commission (Commission) requires each futures commission merchant (FCM), including HSBC Securities (USA) Inc. (“HSI”), to provide the following information to a customer prior to the time the customer first enters into an account agreement or deposits money or securities (funds) with HSI. Except as otherwise noted below, the information set out is as of June 30, 2017. HSI will update this information annually and as necessary to take account of any material change to its business operations, financial condition or other factors that HSI believes may be material to a customer’s decision to do business with HSI. Nonetheless, HSI’s business activities and financial data are not static and will change in non-material ways frequently throughout any 12-month period. HSBC Securities (USA) Inc. is a subsidiary of HSBC North America Holdings. Information that may be material with respect to HSI for purposes of the Commission’s disclosure requirements may not be material to HSBC North America Holdings for purposes of applicable securities laws. Firm Name and Address: HSBC Securities (USA) Inc., 452 5th Avenue New York N.Y. 10018, (212) 525-5000. Principals: Thierry Roland Thierry Roland is Group General Manager and Chief Executive Officer, HSBC Global Banking and Markets for the U.S, Canada and Latin America. Previous to his current role, Roland was Group Treasurer of HSBC Holdings plc from 2010 to April 2015. He has worked for HSBC and Crédit Commercial de France (which HSBC acquired in 2000) since 1988. -
Valuation Multiples by Industry
Valuation Multiples by Industry https://www.eval.tech SIC Sector: (6000-6799) Finance, Insurance and Real Estate Report Date: 30 July 2021 Country: United States of America (U.S.A.) Industry Valuation Multiples The table below provides a summary of median industry enterprise value (EV) valuation multiples, as at the Report Date. The data is grouped by industry SIC code: EV Multiple Max # Rev EBITDA EBIT TotAss TanAss National Commercial Banks (6021) 80 2.46 6.58 7.16 0.10 0.11 State Commercial Banks (6022) 159 2.72 6.14 7.08 0.10 0.10 Commercial Banks, Nec (6029) 22 3.25 10.61 18.61 0.12 0.12 Savings Institution, Federally Chartered (6035) 41 2.80 8.39 9.48 0.12 0.12 Savings Institutions, Not Federally Chartered (6036) 17 2.93 7.94 8.35 0.11 0.11 Personal Credit Institutions (6141) 11 4.36 8.34 9.67 1.02 1.02 Mortgage Bankers & Loan Correspondents (6162) 6 3.43 6.16 6.41 0.66 0.66 Finance Services (6199) 27 3.93 10.93 10.93 0.86 0.86 Security & Commodity Brokers, Dealers, Exchanges & Services 10 7.03 19.47 19.10 1.11 1.18 (6200) Security Brokers, Dealers & Flotation Companies (6211) 26 4.03 12.50 13.42 0.62 0.64 Investment Advice (6282) 41 3.34 11.26 11.47 1.46 2.00 Life Insurance (6311) 20 0.64 6.65 6.16 0.06 0.06 Accident & Health Insurance (6321) 5 1.35 7.83 8.04 0.17 0.17 Hospital & Medical Service Plans (6324) 10 0.73 13.79 14.93 1.42 1.79 Fire, Marine & Casualty Insurance (6331) 51 1.27 7.33 8.06 0.34 0.34 Surety Insurance (6351) 8 4.83 8.87 8.87 0.75 0.76 Title Insurance (6361) 5 1.05 4.32 4.90 0.46 0.51 Insurance Agents, Brokers -
17-19 November 2020
17-19 November 2020 https://financeusa.solarenergyevents.com Confirmed Organizations: 38 DEGREES NORTH EC CAPITAL NATURAL POWER CONSULTANTS AB POWER ADVISORS ECOS ENERGY NAUTILUS SOLAR ENERGY, LLC AETHER INVESTMENT PARTNERS EMERGING ENERGY & ENVIRONMENT INVESTMENT GROUP LLC NEW ENERGY EQUITY AGILITAS ENERGY, LLC ENBALANCE STORAGE NJR CLEAN ENERGY VENTURES AMARESCO ENCORE RENEWABLE ENERGY NORD LB AMERICAS ENERGY GROUP ENEL X NUVEEN, A TIAA COMPANY APRICITY RENEWABLES INC. ENERGY STORAGE DEVELOPMENT PARTNERS ONYX RENEWABLE PARTNERS, LP. ASCEND ANALYTICS ENERGY TOOLBASE ORIGIS ENERGY AVANA CAPITAL ENERVEST CAPITAL ORIGIS SERVICES BLACKROCK FTI CONSULTING PEAK POWER BLATTNER ENERGY GINLONG TECHNOLOGIES PIVOT ENERGY BLOOMBURG GLOBUS THENKEN POWER AFRICA-USAID BLUE WAVE SOLAR GRIDSME PV TECH RESEARCH BNRG HECATE ENERGY RABOBANK BORALEX HELIOLYTICS RADIENT REIT BOSTONIA PARTNERS HELIOVAAS RIGUP BRETTS SOLUTIONS HODGSON RUSS ROTH CAPITAL PARTNERS BRIGHTNIGHT INVESTEC HOLDINGS SEMINOLE FINANCIAL SERVICES BVT ITRI SILICON RANCH C2 ENERGY CAPITAL JAVELIN CAPITAL SOLAMERICA ENERGY CALVERT IMPACT CAPITAL JINKO SOLAR SOLAR RANCH DEVELOPMENT CENTROPLAN USA LLC KAISERWETTER ENERGY ASSET MANAGEMEMT SOLAR RANCH DEVELOPMENT COMPANY CIT BANK KEYBANC CAPITAL MARKETS SOLARIS GLOBAL LLC CITADEL LECLANCHE SOLAS ENERGY CONSULTING CLEAN HORIZON LIBERTY RENEWABLES SOLIS INVERTERS CLEANCAPITAL LIGHTSOURCE BP STANDARD SOLAR INC. CLIFFVIEW PARTNERS LIVE OAK BANK STARKPOINT CAPITAL ADVISORS, LLC CNB LONGI SOLAR STEM COMMONWEALTH BANK OF AUSTRALIA LS POWER SUNLIGHT GENERAL CAPITAL COMMUNITY ENERGY M&T BANK SUNTECH CONEDISON MAP ENERGY SUSGEN CPS ENERGY MARATHON CAPITAL SUSTAINABLE WESTCHESTER CUBICO MITSUBISHI HEAVY INDUSTRIES AMERICA, INC. TMEIC CUSTOMIZED ENERGY SOLUTIONS MOMENTUM ENERGY STORAGE PARTNERS TORTOISE ADVISORS DAYMARK ENERGY ADVISORS MONARCH PRIVATE CAPITAL U.S. DEPARTMENT OF ENERGY DLA PIPER MOTT MACDONALD UL DNV-GL MUNICHRE USAID/ POWER AFRICA. -
Download IPO Report
Donnelley Financial Solutions US IPO Report - December 2020 Edition Congratulations to the 74 December issuers and their advisors on the ~$159 Billion "2020 - an unforgettable year for IPOs! successful completion of their IPO. As I look back on all the successes we Total Raised in 2020 DFIN was proud to have serviced shared with our clients - perseverance, AbCellera Biologics, Altitude hard work, compassion, and great Acquisition, BioAtla, CBRE partnerships led us to successfully Acquisition, 17 Education & 2020 Priced (count) complete 197 IPOs during a year with Technology Group, 4D Molecular 100 so many challenges. An incredibly Therapeutics, Wish, DoorDash, active pipeline, robust valuations, Far Peak Acquisition, Golden vaccine deployment and newfound Falcon Acquisition, Gores hope brings much optimism for 2021." Holding VI, Marquee Raine CRAIG CLAY, PRESIDENT, DONNELLEY FINANCIAL SOLUTIONS 0 Acquisition, Periphas Capital JAN FEB MAR APR MAY JUNE JULY AUG SEP OCT NOV DE… Partnering, Pharming Group NV, Silverback Therapeutics, Thayer 91 League Table *Top 25 Ventures Acquisition, Upstart Issuer's Counsel Count Holdings, and the largest offering IPOs publicly filed in December Ellenoff Grossman 48 this year Airbnb! bringing total count for 2020 to 621. In Kirkland & Ellis 41 2019, there were 293 total filings and Skadden Arps 38 Latham & Watkins LLP 33 296 in 2018. 156 of 2020 filings are Cooley LLP 30 December Priced (count) pending pricing. Goodwin Procter 27 2017 (15) White & Case 23 Davis Polk 19 Sector Breakdown (non-SPACs) 2018 (17) Loeb & Loeb 16 Wilson Sonsini 16 49.8% Healthcare 2019 (13) Winston & Strawn 15 24.08% Technology Ropes & Gray 14 2020 (74) Weil Gotshal 14 11.42% Consumer 2020 Priced Simpson Thacher 11 7.35% Industrial Graubard Miller 9 Greenberg Traurig 9 7.35% Financial 50% of the priced IPOs in 2020 were Paul Weiss 7 SPACs with a total count for the year Sheppard Mullin 7 WilmerHale 7 248 with a total valuation of ~$76 Healthcare Fenwick & West 6 billion. -
DTC Participant Alphabetical Listing June 2019.Xlsx
DTC PARTICPANT REPORT (Alphabetical Sort ) Month Ending - June 30, 2019 PARTICIPANT ACCOUNT NAME NUMBER ABN AMRO CLEARING CHICAGO LLC 0695 ABN AMRO SECURITIES (USA) LLC 0349 ABN AMRO SECURITIES (USA) LLC/A/C#2 7571 ABN AMRO SECURITIES (USA) LLC/REPO 7590 ABN AMRO SECURITIES (USA) LLC/ABN AMRO BANK NV REPO 7591 ALPINE SECURITIES CORPORATION 8072 AMALGAMATED BANK 2352 AMALGAMATED BANK OF CHICAGO 2567 AMHERST PIERPONT SECURITIES LLC 0413 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 0756 AMERICAN ENTERPRISE INVESTMENT SERVICES INC./CONDUIT 7260 APEX CLEARING CORPORATION 0158 APEX CLEARING CORPORATION/APEX CLEARING STOCK LOAN 8308 ARCHIPELAGO SECURITIES, L.L.C. 0436 ARCOLA SECURITIES, INC. 0166 ASCENSUS TRUST COMPANY 2563 ASSOCIATED BANK, N.A. 2257 ASSOCIATED BANK, N.A./ASSOCIATED TRUST COMPANY/IPA 1620 B. RILEY FBR, INC 9186 BANCA IMI SECURITIES CORP. 0136 BANK OF AMERICA, NATIONAL ASSOCIATION 2236 BANK OF AMERICA, NA/GWIM TRUST OPERATIONS 0955 BANK OF AMERICA/LASALLE BANK NA/IPA, DTC #1581 1581 BANK OF AMERICA NA/CLIENT ASSETS 2251 BANK OF CHINA, NEW YORK BRANCH 2555 BANK OF CHINA NEW YORK BRANCH/CLIENT CUSTODY 2656 BANK OF MONTREAL, CHICAGO BRANCH 2309 BANKERS' BANK 2557 BARCLAYS BANK PLC NEW YORK BRANCH 7263 BARCLAYS BANK PLC NEW YORK BRANCH/BARCLAYS BANK PLC-LNBR 8455 BARCLAYS CAPITAL INC. 5101 BARCLAYS CAPITAL INC./LE 0229 BB&T SECURITIES, LLC 0702 BBVA SECURITIES INC. 2786 BETHESDA SECURITIES, LLC 8860 # DTCC Confidential (Yellow) DTC PARTICPANT REPORT (Alphabetical Sort ) Month Ending - June 30, 2019 PARTICIPANT ACCOUNT NAME NUMBER BGC FINANCIAL, L.P. 0537 BGC FINANCIAL L.P./BGC BROKERS L.P. 5271 BLOOMBERG TRADEBOOK LLC 7001 BMO CAPITAL MARKETS CORP. -
Including League Tables of Financial Advisors
An Acuris Company Finding the opportunities in mergers and acquisitions Global & Regional M&A Report 2019 Including League Tables of Financial Advisors mergermarket.com An Acuris Company Content Overview 03 Global 04 Global Private Equity 09 Europe 14 US 19 Latin America 24 Asia Pacific (excl. Japan) 29 Japan 34 Middle East & Africa 39 M&A and PE League Tables 44 Criteria & Contacts 81 mergermarket.com Mergermarket Global & Regional Global Overview 3 M&A Report 2019 Global Overview Regional M&A Comparison North America USD 1.69tn 1.5% vs. 2018 Inbound USD 295.8bn 24.4% Outbound USD 335.3bn -2.9% PMB USD 264.4bn 2.2x Latin America USD 85.9bn 12.5% vs. 2018 Inbound USD 56.9bn 61.5% Outbound USD 8.9bn 46.9% EMU USD 30.6bn 37.4% 23.1% Europe USD 770.5bn -21.9% vs. 2018 50.8% 2.3% Inbound USD 316.5bn -30.3% Outbound USD 272.1bn 28.3% PMB USD 163.6bn 8.9% MEA USD 141.2bn 102% vs. 2018 Inbound USD 49.2bn 29% Outbound USD 22.3bn -15.3% Ind. & Chem. USD 72.5bn 5.2x 4.2% 17% 2.6% APAC (ex. Japan) USD 565.3bn -22.5% vs. 2018 Inbound USD 105.7bn -14.8% Outbound USD 98.9bn -24.5% Ind. & Chem. USD 111.9bn -5.3% Japan USD 75.4bn 59.5% vs. 2018 Inbound USD 12.4bn 88.7% Global M&A USD 3.33tn -6.9% vs. 2018 Outbound USD 98.8bn -43.6% Technology USD 21.5bn 2.8x Cross-border USD 1.27tn -6.2% vs. -
Dealflow Report the NEWS, INFORMATION, and ANALYSIS of SMALL CAP EQUITY FINANCE Volume I, No
dealflow report THE NEWS, INFORMATION, AND ANALYSIS OF SMALL CAP EQUITY FINANCE Volume I, No. 38 report.dealflowmedia.comreport.dealflow.com October 8, 2012 SMALL CAP MARKETS SMALL CAP FINANCING PICKED • The small cap financing market picked up in the third quarter. UP IN THIRD QUARTER AS • China’s agreement with the PCAOB may not VOLATILITY DECLINED boost investment. by Dan Lonkevich • An SEC commissioner called for a Small cap and microcap financing activ- markets at Roth Capital Partners in New- comprehensive review of regulatory structure ...2 ity picked up in the third quarter as a less port Beach, Calif. “There’s a slight uplift • Sun River reached a settlement with three volatile stock market helped companies to from issuer stock prices. When they feel investors who accused it of fraud ........................3 feel better about their valuations. better about their stock price, they’re more Publicly traded companies made at least willing to do deals.” DATES & DEADLINES 246 private placements of equity in the Roth Capital helped arrange six PIPEs • A listing of important events coming up in the quarter, raising $11.2 billion. It was the worth $68.8 million in the third quarter. small cap financing market ...............................4 most active third quarter for the PIPE mar- Concerns about the upcoming presi- ket since 2008. dential election and uncertainty about how PIPEs In 2011’s third quarter, there were only the results might affect their businesses is • BioFuel Energy may need to raise capital ...........6 227 PIPEs that raised $11 billion. causing many companies to take advantage • Antares Pharma raised $50M for an arthritis The data excludes PIPEs that raised less of the recent uptick in their stock prices to drug ........................................................................6 than $1 million and transactions by for- raise capital now rather than waiting, Gure- • Cantor is providing a $45M ATM for Unilife .......7 eign companies that weren’t listed on U.S. -
Aftermarket Research Source Book
Aftermarket Research Source Book November 2020 Refinitiv Aftermarket research collections provide the most comprehensive offering in the marketplace, with over 30 million research reports from over 1,900 sources. This document provides an index of the available research sources across the following collections: Subscription / Investext® Collection Pay-Per-View (PPV) / Research Select and Market Research Collections Aftermarket Research Source Book - November 2020 2 New Contributors Added Year to Date 81 contributors from 34 countries have been added to the collection since the beginning of 2020 Australia 3 Ireland 1 South Africa 1 Brazil 1 Japan 4 South Korea 1 Canada 5 Kenya 2 Spain 2 Chile 1 Lebanon 1 Switzerland 1 China 4 Liechtenstein 1 Turkey 2 Colombia 1 Nigeria 4 United Arab Emirates 6 France 2 Peru 1 United Kingdom 5 Germany 1 Philippines 1 United States 11 Ghana 1 Russia 1 Uzbekistan 2 Hong Kong 6 Saudi Arabia 1 Vietnam 1 India 3 Singapore 2 Indonesia 1 Slovenia 1 Contributor Highlights Refinitiv is pleased to announce that BofA Global Research has joined the list of exclusive BofA Global Research contributors only accessible, by qualifying users, through our Aftermarket Research collection. • A team of 285 analysts covering approximately 3,100 companies in 24 global industries – one of the largest research providers worldwide and with more sector coverage than anyone else. • More coverage (2,832) in large- and mid-caps than bulge-bracket peers. • One of the largest producers of equity research with approximately 47,000 documents published in 2019. GraniteShares is an entrepreneurial ETF provider focused on providing innovative, cutting-edge alternative investment solutions. -
Equity Research 388 Companies Under Coverage
Equity Research 388 Companies Under Coverage Financial Services Commercial Finance Consumer Finance & Financial Technology Insurance Investment Banks, Brokers & Alternative Asset Managers Devin Ryan David Scharf Matthew Carletti Devin Ryan (212) 906-3578 (415) 835-8942 (312) 768-1784 (212) 906-3578 Ares Capital Corp. (ARCC) Alliance Data Systems Corp. (ADS) Alleghany Corp. (Y) James River Group Holdings (JRVR) Apollo Global Management (APO) BlackRock TCP Capital Corp. (TCPC) Credit Acceptance Corp. (CACC) The Allstate Corp. (ALL) Kemper Corp. (KMPR) The Blackstone Group (BX) Capital Southwest Corp. (CSWC) Elevate Credit (ELVT) AMERISAFE (AMSF) Kinsale Capital Group (KNSL) The Charles Schwab Corp. (SCHW) Hercules Capital (HTGC) Encore Capital Group (ECPG) Arch Capital Group (ACGL) Lemonade (LMND) Cowen Group (COWN) Oaktree Specialty Lending Corp. (OCSL) Enova International (ENVA) Argo Group International Holdings (ARGO) Midwest Holding (MDWT) Envestnet (ENV) Owl Rock Capital Corp. (ORCC) FirstCash (FCFS) AXIS Capital Holdings (AXS) Old Republic International Corp. (ORI) Evercore (EVR) PennantPark Floating Rate Capital (PFLT) International Money Express (IMXI) Chubb (CB) Palomar Holdings (PLMR) Fortress Transportation and Infrastructure Investors (FTAI) PennantPark Investment Corp. (PNNT) MoneyGram International (MGI) Doma Holdings (DOMA) ProAssurance Corp. (PRA) The Goldman Sachs Group (GS) Sixth Street Specialty Lending (TSLX) OneMain Holdings (OMF) Employers Holdings (EIG) RenaissanceRe Holdings (RNR) Greenhill & Co. (GHL) SuRo Capital -
J.P. Morgan Piper Sandler Stifel
Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-239651 Prospectus 11,000,000 shares Common stock This is an initial public offering of shares of common stock by Nurix Therapeutics, Inc. We are offering 11,000,000 shares of our common stock. The initial public offering price is $19.00 per share. Prior to this offering, there has been no market for our common stock. We have been approved to list our common stock on the Nasdaq Global Market under the symbol “NRIX.” We are an “emerging growth company” and a “smaller reporting company” as those terms are defined under federal securities laws and, as such, we have elected to comply with certain reduced public company reporting requirements for this prospectus and future filings. Per share Total Initial public offering price $ 19.00 $ 209,000,000 Underwriting discounts and commissions(1) $ 1.33 $ 14,630,000 Proceeds to Nurix Therapeutics, Inc., before expenses $ 17.67 $ 194,370,000 (1) See the section titled “Underwriting” for a description of the compensation payable to the underwriters. We have granted the underwriters an option for a period of 30 days after the date of this prospectus to purchase up to 1,650,000 additional shares of common stock at the initial public offering price, less the underwriting discount. Investing in our common stock involves a high degree of risk. See the section titled “Risk factors” beginning on page 12 of this prospectus. Neither the Securities and Exchange Commission nor any other regulatory body has approved or disapproved of these securities or passed on the adequacy or accuracy of this prospectus. -
Placementtracker Publishes PIPE Market League Tables
Source: Sagient Research Systems PlacementTracker Publishes PIPE Market League Tables SAN DIEGO, July 23, 2007 (PRIME NEWSWIRE) -- Sagient Research Systems, a leading publisher of independent research for the financial services and institutional investment communities, today announced that Rodman & Renshaw, LLC ranked as the number one most active investment bank and Iroquois Capital, L.P. ranked as the number one most active institutional investor in the PIPE market during the first half of 2007. PlacementTracker also announced that Sichenzia Ross Friedman Ference, LLP ranked as the number one most active issuer counsel and Schulte Roth & Zabel, LLP ranked as the number one most active investor counsel in the PIPE market during the first two quarters of 2007. PlacementTracker, a flagship product of Sagient Research Systems, is well recognized as the leading provider of research, data, and analytics covering the PIPE market. Commenting on the League Tables, Robert F. Kyle, executive vice president of Sagient Research said, "The amount raised in the first half of 2007 was the largest ever in the history of the PIPE market. During the first six months, we recorded 645 PIPE transactions totaling $22.42 billion in equity and equity-linked capital raised (excluding Structured Equity Lines and Canadian issuers). Although the number of transactions dipped slightly versus the first half of last year, the amount raised represents an astounding 38% increase over the total amount raised during the first half of 2006 and puts the market on track to smash last year's record volume of PIPE activity. As always, we congratulate all of the active agents, investors, and legal counsel in the PIPE market for a tremendous first half, especially those leaders who topped the League Tables. -
Monthly Asset Management Report
Piper Sandler Financial Services Investment Banking Monthly Asset & Wealth Management Report June 2021 Aaron Dorr Christopher Browne Jason Greco MANAGING DIRECTOR, GROUP HEAD MANAGING DIRECTOR DIRECTOR Tel: +1 212 466-7734 Tel: +1 212 466-7735 Tel: +1 212 466-7967 Email: [email protected] Email: [email protected] Email: [email protected] Asset & Wealth Management Market Pulse Month Year-to-Date June 2021 May 2021 June 2021 June 2020 Global Asset Management Transaction Activity Number of Transactions Traditional Managers 343424 Alternative Managers 442924 Private Wealth Managers 14 18 104 63 Total Transactions 21 26 167 111 AUM Transacted ($ in Billions) $69 $111 $1,584 $1,361 U.S. Long-Term Retail Fund Net Flows Activity ($ in Billions) Equity Active Mutual Funds ($14.6) ($13.1) ($76.1) ($175.6) ETFs & Passive Mutual Funds $58.9 $43.1 $370.8 $38.2 Fixed Income Active Mutual Funds $30.7 $18.1 $217.4 ($38.3) ETFs & Passive Mutual Funds $28.9 $26.2 $188.6 $78.8 Publicly-Traded Asset Manager Metrics Median Stock Price Return U.S. Traditionals (0.9%) 7.4% 24.0% (4.2%) U.S. Alternatives 6.4% 3.7% 33.5% 6.3% Median Forward P/E Multiples U.S. Traditionals 11.2x 10.8x 11.2x 11.7x U.S. Alternatives 24.6x 23.0x 24.6x 23.6x Comparison to Prior Period Increase Equal Decrease Notes: Mutual fund net flow information includes U.S. open-end funds and ETFs PIPER SANDLER | 2 Performance is based on dividend-adjusted returns Source: Piper Sandler, Morningstar Direct, FactSet Transaction Highlights Asset Management Wealth Management (6/8/21) Sound Point Capital Management, a credit-oriented Wealth Enhancement Group acquired: asset manager, acquired the U.S.