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Equity Capital Markets

Oppenheimer is a leading underwriter of mid- and small-cap equity offerings and provides a wide range of capital raising methods and after-market advisory and execution services.

Capital Raising Services for Companies and Selling Shareholders

  • Initial Public Offerings
  • Follow-On Offerings
  • "Confidential" / "Wall-Crossing" Offerings
  • Private Placements
  • PIPEs
  • Convertibles
  • Registered Directs
  • "At-the-Market" Facilities
The Oppenheimer distribution platform is extremely powerful for mid- and small-cap issuers given the focused institutional sales force of ~125 professionals and a private client network in the U.S. with ~1,400 Financial Advisors in over 90 offices.

In addition to offices throughout the U.S., we have a local presence in the UK, Israel, and Asia. While we are a leading underwriter of mid- and small-cap U.S. companies, we are also the most active underwriter of Chinese and Israeli companies that list on U.S. exchanges.

Selected 2010 Marquee Capital-Raising Transactions

After-Market Advisory and Execution Services for Companies and Investors

  • Share Buybacks
  • Convertible Debt Repurchases/Restructuring
  • Capital Markets Advisory Services and Non-Deal Investor Meetings
  • Restricted Stock Transactions
  • Block Trading
  • Trading Insight

Our ECM team also provides institutional investors, insiders, private equity firms, VCs and strategic investors with advisory and execution services. We not only help initiate minority investments in public companies, but also offer a block trading solution for when they are ready to exit their publicly-held positions all with limited market impact. Our solution goes above and beyond passive crossing networks and enables investors to proactively source liquidity that may not be currently available in the public markets.

Related Links

Contact Information
Douglas Cameron
Head of Equity Capital Markets
(212) 667-7305

Oppenheimer & Co. Inc.
85 Broad Street
New York, NY 10004