Equity

ToughBuilt Industries, Inc.

$6,100,000

Private Placement of Preferred Stock and Warrants
October 2016
FTE Networks, Inc.

$3,000,000

Private Placement of Common Stock and Warrants
Represented Laidlaw & Company (UK) Ltd. as Placement Agent
October 2016
Aridis Pharmaceuticals, Inc.

$15,200,000

Private Placement of Common Stock and Warrants
August 2016
EyeGate Pharmaceuticals, Inc.

$3,770,000

Registered Direct Offering of Common Stock and Preferred Stock
Private Placement of Warrants
Represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as Exclusive Placement Agent
July 2016
Vuzix Corporation

$6,600,000

Registered Direct Offering of Common Stock
July 2016
Tonix Pharmaceuticals Holding Corp.

$10,000,000

Public Offering
Common Stock
June 2016
Intellicheck Mobilisa, Inc.

$2,100,000

Public Offering
Common Stock and Warrants
Represented Joseph Gunnar & Co. LLC as Sole Book-Running Manager
June 2016
PhaseRx, Inc.

$18,500,000

Initial Public Offering
Common Stock
Represented Laidlaw & Company (UK) Ltd. and Roth Capital Partners, LLC as Joint Book-Running Managers
May 2016
iSign Solutions Inc.

$1,200,000

Public Offering
Common Stock and Warrants
Represented Axiom Capital Management, Inc. as Representative of the Underwriters
May 2016
Viatar CTC Solutions Inc.

$4,200,000

Private Placement of Convertible Preferred Stock
March 2016
Pershing Gold Corporation

$6,900,000

Private Placement of Common Stock and Warrants
Represented Laidlaw & Company (UK) Ltd. as Placement Agent
February 2016
Amarantus BioScience Holdings, Inc.

$3,000,000

Convertible Preferred Stock and Warrants
February 2016