Transactions

We represent foreign and domestic clients in a broad range of capital raising, M&A and other corporate transactions. Below are tombstone listings of certain of our recent representative transactions. Please click on a tombstone for a description of the specific deal.

Sigma Labs, Inc.

$2,300,000

Common Stock
August 2019
Immuron Limited

$1,600,000

Public Offering of the ADSs
July 2019
RealWear, Inc.

$80,000,000

Series B Financing
July 2019
Vuzix Corporation

$20,000,000

Registered Direct Public Offering
July 2019
Document Security Systems, Inc.

$5,600,000

Public Offering of Common Stock
June 2019
Medicine Man Technologies, Inc.

$14,000,000

Common Stock and Warrants
June 2019
General Cannabis Corp.

$3,000,000

Private Placement of Common Stock
Represented FINRA Member Firm
June 2019
AIT Therapeutics, Inc.

$8,000,000

Private Placement of Common Stock
June 2019
Medalist Diversified REIT, Inc.

$1,300,000

Private Offering
May 2019
Immuron Limited

$2,000,000

Public Offering of American Depositary Shares (ADSs)
May 2019
Genetic Technologies Limited

$1,200,000

Registered Direct Offering and Warrants
May 2019
Medalist Diversified REIT, Inc.

$8,000,000

Common Stock
May 2019
Quest Solution, Inc.

$5,000,000

Private Placement
Common Stock and Warrants
April 2019
New Age Beverages Corp.

$25,000,000

Loan and Security Agreement
April 2019
LiveWell Canada Inc..

$15,000,000

Private Placement
Warrants
March 2019
Opgen, Inc.

$5,400,000

Common Stock
March 2019
Pareteum Corporation

$50,000,000

Secured Credit Loan
March 2019
Pareteum Corporation
iPass, Inc. Acquisition
February 2019
Cellect Biotechnology Ltd.

$6,500,000

Public Offering of ADS and Warrants
February 2019
INmune Bio Inc.

$8,000,000

Initial Public Offering
January 2019
Boulder Botanicals & Biosciences Laboratories, Inc.

$5,000,000

Private Placement of Common Stock
January 2019
China SXT Pharmaceuticals

$10,200,000

Initial Public Offering
January 2019
New Age Beverage Corp.

$85,000,000

Acquisition
January 2019
Creative Realities

$10,000,000

Public Offering of Common Stock and Warrants
November 2018
New Age Beverage Corp.

$52,000,000

Public Offering of Common Stock
November 2018
Pareteum Corporation
Corporate Acquisition
November 2018
Novume Solutions, Inc.

$3,300,000

Public Offering of Common Stock
November 2018
Wize Pharma, Inc.

$4,400,000

Private Raise
Common Stock and Warrants
October 2018
New Age Beverage Corp.

$37,500,000

At-The-Market Financing
October 2018
Medical Transcript Billing, Corp.

$15,000,000

Series A Preferred Stock
Registered Public Offering
October 2018
GRSX Industries Inc.

$1,300,000

Common Stock and Warrants
October 2018
FlexShopper, Inc.

$10,000,000

Public Offering
September 2018
AIT Therapeutics, Inc.

$20,000,000

Common Stock Purchase Agreement
September 2018
New Age Beverage Corp.

$12,000,000

Loan and Security Agreement
August 2018
New Age Beverage Corp.

$10,200,000

Public Offering
August 2018
New Age Beverage Corp.

$4,750,000

Senior Secured Convertible Promissory Note
June 2018
Trovagene, Inc.

$16,000,000

Represented ThinkEquity as Lead Underwriter
Public Offering of Common Stock and Warrants
June 2018
Pareteum Corporation

$6,100,000

Registered Direct Offering
Common Stock
May 2018
Acolyte Group
Sale to Private Equity Firm
May 2018
Cocrystal Pharma, Inc

$8,000,000

Public Offering of Common Stock
Represented A.G.P/ Alliance Global Partners
May 2018
Sunworks, Inc.

$3,750,000

Loan Transaction
April 2018
New Age Beverage Corp

$4,000,000

Public Offering of Common Stock
April 2018
Medical Transcript Billing, Corp.

$10,500,000

Public Offering
Series A Preferred Stock
April 2018
Aytu BioScience, Inc.

$12,000,000

Public Offering of Common Stock and Warrants
March 2018
MoneyOnMobile, Inc.

$5,000,000

Private Placement Offering
Series H Preferred Stock
February 2018
MoneyOnMobile, Inc.

$7,600,000

Private Placement Offering
Series F Preferred Stock
February 2018
QBIO Med, Inc.

$5,500,000

Common Stock and Warrants
Represented Roth Capital Partners as lead Placement Agent
January 2018
Vuzix Corporation

$30,000,000

Registered Direct Offering
Common Stock and Warrants
January 2018
Biotricity Inc.

$2,500,000

Registered Direct Public Offering
Common Stock
December 2017
Vuzix Corporation

$12,500,000

Registered Direct Offering
Common Stock and Warrants
December 2017
Medical Transcript Billing, Corp.

$3,900,000

Series A Preferred Stock
Registered Public Offering
December 2017
Pareteum Corporation

$6,580,000

Common Stock and Warrants
Registered Public Offering
December 2017
Precipio, Inc.

$2,700,000

Common Stock and Warrants
Represented Aegis Capital Corp. as Placement Agent
November 2017
Pareteum Corporation

$12,000,000

Common and Preferred Stock
November 2017
Ampio Pharmaceuticals, Inc.

$6,750,000

Registered Direct Public Offering of Common Stock
Represented Joseph Gunnar & Co. as Lead Placement
October 2017
Pareteum Corporation

$1,570,000

Pursuant to S-3 Shelf Registration
October 2017
Medical Transcript Billing, Corp.

$6,000,000

Preferred Stock
Represented Rodman & Renshaw as Lead Placement Agent
September 2017
One Wall Partners

$63,000,000

Real Estate Portfolio Acquisition
September 2017
BiondVax Pharmaceuticals, Ltd.

$10,000,000

Public Offering of American Depository Shares
Represented Joseph Gunnar & Co. as Lead Undewriter
September 2017
Precipio, Inc.

$6,000,000

Common Stock and Warrants
Represented Aegis Capital Corp. as Lead Underwriter
August 2017
Aytu BioScience, Inc.

$11,800,000

Private Placement of Equity Securities
Series A Preferred Stock
Represented Joseph Gunnar and Co. as Lead Placement Agent
August 2017
Vuzix Corporation

$8,625,000

Common Stock
August 2017
JetSmarter Inc.
Institutional Capital Raise
August 2017
Shared Labs, Inc.

$2,549,000

Private Placement Offering
August 2017
Pollex, Inc.

$2,250,000

Private Placement Offering
August 2017
Cloud Commerce, Inc.
Acquisition
August 2017
China Internet Nationwide Financial Services Inc..

$20,000,000

Public Offering
Ordinary Shares
July 2017
Medical Transcription Billing, Corp.

$7,400,000

Public Offering
Preferred Stock
Represented Rodman & Renshaw as Lead Placement Agent
June 2017
Medical Marijuana Reverse Merger and $3.3M PIPE

$3,300,000

Common Stock and Warrants
June 2017
Immuron Limited

$6,100,000

Initial Public Offering and Nasdaq Uplisting
June 2017
Ampio Pharmaceuticals, Inc.

$6,600,000

Registered Direct Public Offering
Represented Joseph Gunnar & Co. as Lead Placement
June 2017
MRI Interventions, Inc

$13,250,000

Public Offering of Common Stock and Warrants
Joseph Gunnar & Co. and Brookline Capital Markets
May 2017
Tonix Pharmaceuticals Holding Corp.

$8,000,000

Public Offering of Common Stock
April 2017
XTL Biopharmaceuticals Ltd.

$2,800,000

Private Placement of Warrants
March 2017
Innovus Pharmaceuticals, Inc.

$3,850,000

Public Offering of Common Stock and Warrants
March 2017
Pareteum Corporation

$3,500,000

Public Offering of Common Stock and Warrants
March 2017
Brekford Corporation

$6,000,000

Sale of Assets
March 2017
Private Cannabinoid Life Science Company

$12,300,000

Series B Preferred Stock
Led by Tuatara Capital Fund 1, L.P.
March 2017
Function(x) Inc.

$4,800,000

Public Offering of Common Stock
Represented Aegis Capital Corp. and Laidlaw & Company (UK) Ltd.
February 2017
AYTU BioScience, Inc.

$2,300,000

Warrant Exchange
Represented Joseph Gunnar & Co., LLC and Fordham Financial Management, Inc.
February 2017
XTL Biopharmaceuticals Ltd.

$2,500,000

Registered Direct Offering of American Depositary Shares
Private Placement of Warrants
February 2017
Vycor Medical Inc
Online Private Placement
January 2017
Ener-Core, Inc.

$3,600,000

Private Placement of Warrants
Convertible Senior Secured Notes
Represented Oppenheimer & Co.
December 2016
Vuzix Corporation

$14,500,000

Registered Direct Offering of Common Stock
December 2016