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Cormark Securities and CIBC World Markets arranged a $19.5 million prepaid warrant offering for Orocobre Ltd., an Australian producer of lithium. Full Story
Paulson & Co. and Soros Fund Management's Quantum Partners LDC are investing $175 million in two registered direct offerings from NovaGold Resources. Full Story
Rodman & Renshaw arranged a $17.5 million registered direct offering for Pacific Asia Petroleum, the oil producer's second private placement this year. Full Story
The Government of Singapore Investment Corp. absorbed a $5 billion paper loss today when it converted $11 billion in debt of Swiss bank UBS AG, the Wall Street Journal reported. Full Story
Forest City Enterprises, a retail and commercial real estate company founded and controlled by Cleveland's Ratner family, said it will raise $50 million in a private placement of convertible preferred stock and exchange $178.7 million in convertible notes for another $170 million in preferred shares. Full Story
Bayswater Uranium said it arranged $25 million in financing to fund its purchase of a mining property in Wyoming from Strathmore Minerals. Full Story
Dundee Securities is arranging a $23.7 million financing for San Gold Corp. to fund the acceleration of the gold producer's Rice Lake mining project in Manitoba. Full Story
Questerre Energy, a Canadian oil and gas producer, plans to raise $123.1 million from two private placements of stock to fund the assessment of its shale gas discovery in the St. Full Story
TriPoint Global Equities arranged $27.6 million in financing for China LianDi Clean Technology Engineering, a clean technology provider for the petroleum industry, in connection with a reverse merger with Remediation Services Inc. Full Story
Reverse merger consultancy Halter Financial Group said that William Haus has joined the firm's Shanghai office as a senior partner in Halter's corporate finance group. Full Story
Recession Fears Strengthen Investor Hands
In January and February, many PIPE issuers fell victim to the same pessimism about the economy that held down U.S. stock markets, forcing the companies to accept steeper-than-expected discounts on PIPE offerings to entice investor interest. Full Story
Regulatory Focus Moving Off Short Sales
The Securities and Exchange Commission's vote last week to restrict short selling in certain circumstances will likely will be the last substantive change to Regulation SHO for the foreseeable future. Full Story
Direct to Exchange Deals More Popular
Companies are justifiably wary of the Bulletin Board, but as equity capital markets thaw, it is becoming more viable for small companies to list directly on an exchange, either through a PIPE and reverse merger, or in some cases through an initial public offering. Full Story
- Probe of NIR Is Sign of Increasing Scrutiny, Attorney Says
- FINRA Offering Same-Day Clearance of Shelf Registration Statements
- Ex-Fusion Partner Steve Martin Launching Aspire Capital
- Pinnacle Reduces China Valves Holdings
- SEC Says Bogus Opinions Fueled Illegal Greenstone Offerings
- SecondMarket Raises $15M to Fund Expansion in Asia
- First-Timers, TARP Recipients Seek PIPE into MLPs
- Softbank Fund Investing $10M in Registered Direct of China TransInfo
- Apollo Gold Shares Gain 28% Since Sale of Non-Convertible Notes in February 2009
- SEC Investigating Supervisor of Axiom Broker
- Name Change, Upgrade for Pinksheets.com
The Feb. 16 issue of The PIPEs Report checked in on the health of companies listed on the Nasdaq and NYSE Amex exchanges that had issued PIPEs during the height of the financial crisis.
But even as they plummeted from favor during those bleak months, OTC Bulletin Board and Pink Sheets companies continued to hit up investors for private financings, too. Full Story
