Equity Capital Markets

With you every step of the way

Our team is dedicated to your success from start to finish. The same team will assist you from our initial meeting to working out the best solution and executing it with precision. With us, not only do you have true partners who know you and understand your value proposition, but everything we do is encompassed on a global platform to deliver optimal value creation.

Our services

We concentrate on equity solutions for U.S.-listed companies or those looking to list, including unicorns.

Our solutions are unique to each client, whether initial public offerings, follow-ons, convertible issuance, at-the-market offerings, share repurchase programs, or any of the other options in our arsenal.

Clients are unique in their purpose and in their needs from a financial partner. As a diligent collaborator, we look at the total picture from your balance sheet to your ultimate goals and develop the best solution for your needs, quite possibly one that no one has previously suggested.


As part of one of the largest global financial institutions, we have access to a vast network of corporate and institutional investors in Japan as well as other Asian countries, which is highly valued by our U.S. clients. We actively connect strategic partners, manufacturers, distributors and/or strategic investors to enhance our clients’ growth opportunities, which is paramount to them. Other financial institutions don’t have this level of connectivity and, therefore, can’t support the full complement of a client’s goals and objectives.


Clients gain wide investor base

We introduce Japanese issuers to our diverse investor base of dedicated sector funds, mutual funds, pension funds, hedge funds and investment managers and provide value-added feedback (both pre- and post-offering) to the issuer1. In addition, we have been successful in broadening the shareholder base for issuers with U.S. and offshore institutional clients as well as Canadian institutions.

Our collaborative team of action-oriented professionals possesses both deep product/industry sector knowledge and broad capital market expertise. Because of this, our clients get to experience firsthand the difference our dedicated people make when engaging with us for innovative and creative approaches to capital market solutions. In addition, we place high value on continuous learning and keeping our minds sharp given that we are 100% committed to providing the best, independent and objective advice to our clients.


Working closely with other businesses throughout SMBC, we seamlessly bring expertise, products, and solutions to our customized approach. Markets change and we pay close attention to the local and global environment, regulatory landscape, and economic nuances, ensuring that we are up to speed and our clients are too.

Featured Transactions

Alexandria Real Estate Properties, Inc.

Joint Bookrunner

USD 1.47 Billion

Common Stock

Follow-On

 

January 2022

Golub Capital BDC, Inc.

Sole Sales Agent

USD 250.00 Million

Common Stock

At-The-Market

 

May 2021

Ares Management Corporation

Joint Bookrunner

USD 589.95 Million

Common Stock

Follow-On

 

April 2021

UiPath, Inc.

Joint Bookrunner

USD 1.54 Billion

Common Stock

IPO

 

April 2021

Hannon Armstrong Sustainable Infrastructure Capital, Inc.

USD 500.00 Million

Common Stock

At-The-Market

 

March 2021

Royal Caribbean Cruises, Ltd.

Joint Bookrunner

USD 575.00 Million

Senior Convertible Notes

144A

 

October 2020

1
Our services are provided by SMBC Nikko Securities America, Inc.