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Shipping Highlights

Maxim is the Leading U.S. Investment Bank
for Maritime Shipping Equity Financings since 2015(1)(2)

$1.2 Billion

Raised in 48 Maritime Shipping transactions lead-left managed since January 2015

$500+ Million

Raised in 8 Maritime Shipping transactions sole managed over the LTM

#1 in Industrials

Maxim has the leading industrials practice since 2020(3)

About
Maxim Group LLC

Founded in 2002, Maxim is a full-service global investment bank/brokerage firm with: 
  • Over $77.6 billion in capital raised in 1,017 transactions as lead, co-manager or financial advisor since 2013
  • Over 285 professionals in 7 offices: New York, NY; Woodbury, NY; Stamford, CT; Fort Lauderdale, FL; Miami, FL; West Palm Beach, FL and Red Bank, NJ
  • A global sales & trading platform featuring Institutional and retail distribution
  • A focus on emerging growth companies

Products and Services

Investment Banking
  • IPOs/SPACs
  • Follow-Ons
  • PIPEs/RDs/CMPOs/ATMs
  • Rights Offerings
  • Private Placements
  • M&A
  • Fairness Opinions
  • Spin-offs
Institutional Sales & Trading
  • Equities
  • Fixed Income
  • Options
  • Derivatives
  • Prime Brokerage
Wealth Management
  • Securities Brokerage
  • Asset Allocation
  • Managed Accounts
  • Qualified Retirement Plans

Investment Banking

Investment Banking team of 25 professionals, including 16 senior bankers, focusing on healthcare, TMT, shipping, finance,  industrial, energy and metals and mining sectors in North America, Europe, Israel and Asia
  • YTD 2022 Maxim acted as Book Runner, Placement Agent, Co-Mgr or Financial Advisor in 60+ deals, aggregating $5.6B. ~70% were lead/joint lead transactions
  • 2021 Maxim acted as Book Runner, Placement Agent, Co-Mgr or Financial Advisor in 182 deals, aggregating $25.1B. ~63% were lead/joint lead transactions
  • 2020 Maxim acted as Book Runner, Placement Agent, Co-Mgr or Financial Advisor in 175 deals, aggregating $7.9B. ~70.0% were lead/joint lead transactions

Select Investment Banking Team Members

Cliff Teller

Co-President

Larry Glassberg

Executive Managing Director, Co-Head of Investment Banking

Select Capital Markets Team Members

Chris Fiore

Co-President

Paul Larosa

Executive Managing Director, Co-Head of Capital Markets

Andrew Rosen

Executive Managing Director, Co-Head of Capital Markets

Shipping League Tables

Since 2015(4)
Rank
Placement Agent
#
1
Maxim Group
48
2
Fearnley Securities AS
12
3
Citigroup
11
4
DNB ASA
10
5
Jefferies LLC
9
YTD(5)
Rank
Placement Agent
#
1
Maxim Group
8
2
B. Riley Securities, Inc.
4
3
Jefferies LLC
2
4
DNB ASA
2
5
Noble Financial Group
2

Recent Select Shipping Transactions

oxac jettoken
$45.0 Million
SPAC Business Combination
// Sole Financial Advisor to Oxbridge
February 2023
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AMV
Up to $30 Million
Private Placement
// Exclusive Placement Agent
November 2022
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Climate Rock – 1@2x
$650.0 Million
Definitive Business Combination Agreement
// Financial Advisor to ClimateRock
October 2022
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top-ships
$4.8 Million
Warrant Inducement Transaction
// Warrant Inducement Agent and Financial Advisor
October 2022
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Delta@2x
$655.0 Million
Business Combination
// Exclusive Financial Advisor to Delta
September 2022
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performancce
$15.0 Million
Registered Direct Offering
// Sole Placement Agent
August 2022
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imperialpetroleum-logoWORD
$21.8 Million
Warrant Inducement Transaction
// Warrant Inducement Agent and Financial Advisor
June 2022
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top-ships
$7.2 Million
Registered Direct Offering
// Sole Placement Agent
June 2022
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performancce
$8.0 Million
Follow-On Offering
// Sole Book Runner
May 2022
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imperialpetroleum-logoWORD
$40.0 Million
Follow-On Offering
// Sole Book-Running Manager
May 2022
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logo_topships_0
$19.7 Million
ATM
// Sole Placement Agent
April 2022
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imperialpetroleum-logoWORD
$69.0 Million
Follow-On Offering
// Sole Book-Running Manager
March 2022
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Institutional Sales & Trading

  • Over 2,000 institutional investors
  • Approximately 45 institutional sales force allocated between 70% equities / 30% fixed income, covering hedge funds, mutual funds, insurance companies and money managers in the United States, Israel, Europe and Asia
  • Full service domestic and foreign equity, debt, and options trading desk – market maker in 8,500+ exchange listed and OTC stocks
  • Commits substantial capital to support OTC principal trading and facilitate listed trading

Wealth Management

  • 100 wealth management professionals
  • 40,000+ individual and corporate clients
  • Manage ~$4.0 billion in assets
  • High net worth individuals

Equity Research

  • 9 senior research analysts covering approx. 200 companies in 21 sectors including: BDCs, Biotechnology, Enterprise & Consumer Technology, Healthcare IT & Services, Health & Wellness, Biotechnology, Industrials & Maritime, Software & Service, Aesthetic Products, Medical Devices, REITS, Restaurants, Small & Mid-Cap Banks, Fintech and Specialty Finance
1) Represents common equity PIPEs, RDs, CMPOs and ATMs for Maritime issuers priced between 1/1/15 & 5/23/22
2) Represents common equity PIPEs, RDs, CMPOs, ATMs & S-1/F-1 Follow-On Transactions for Maritime issuers priced between 5/23/21 & 5/23/22; Reflects the as-filed amounts for one ATM transaction
3) PrivateRaise; Represents equity transactions for Industrials issuers priced in 2020 and 2021, and equity transactions for Maritime Shipping issuers priced between 1/1/15 & 5/23/22
4) Represents common equity PIPEs, RDs, CMPOs and ATMs for Maritime issuers priced between 1/1/15 & 5/23/22
5) Represents common equity PIPEs, RDs, CMPOs, ATMs & S-1/F-1 Follow-On Transactions for Maritime issuers priced between 5/23/21 & 5/23/22; Reflects the as-filed amounts for one ATM transaction

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