PIPES

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
MRI Interventions, Inc

$13,250,000

Public Offering of Common Stock and Warrants
Joseph Gunnar & Co. and Brookline Capital Markets
May 2017
Ener-Core, Inc.

$3,600,000

Private Placement of Warrants
Convertible Senior Secured Notes
Represented Oppenheimer & Co.
December 2016
Midwest Energy Emissions Corp.

$13,500,000

Private Placement of Common Stock
Oppenheimer & Co.
November 2016
ABT Holdings, Inc.

$5,000,000

Senior Secured Convertible Debentures
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
Bridgeline Digital, Inc.

$1,355,000

Private Placement
Subordinated Convertible Notes
Represented Taglich Brothers, Inc. as Exclusive Placement Agent
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
OWC Pharmaceutical Research Corp.

$787,500

PIPE
Convertible Note & Common Stock
December 2015
Takung Art Co.

$1,896,000

PIPE
Common Stock
November 2015
Genius Brands International

$4,333,000

PIPE
Common Stock & Warrants
November 2015
Calpian Inc.

$2,135,000

PIPE
Common Stock & Warrants
June 2015
Rightscorp, Inc.

$1,032,000

PIPE
Common Stock & Warrants
October 9, 2015
Amarantus BioScience Holdings, Inc.

$5,500,000

Registered Direct Offering and Private Placement
Series H Convertible Preferred Stock and Warrants & Debts and Warrants
October 2015
Cynata Therapeutics Limited

$5,000,000

Private Placement
Common Stock & Warrants
July 2015
Dynatronics Corporation

$4,000,000

PIPE
Represented Ladenburg Thalmann & Co. Inc. as Placement Agent
Preferred Stocks & Warrants
May 2015
Amarantus BioSciences

$5,000,000

PIPE Investment
Series G Preferred Stock
April 2015
Pegasi Energy Resources Corp.

$1,875,000

PIPE
Common Stock & Warrants
March 2015
Cell Source, Inc.

$500,000

PIPE
Promissory Notes
March 2015
Citius Pharmaceuticals, LLC

$270,000

PIPE
Common Stock & Warrants
March 2015
Dais Analytic Corporation

$2,750,000

PIPE
Common Stock
March 2015
Vuzix Corporation

$24,800,000

Investment from Intel
January, 2015
SBI Investments LLC

$6,500,000

PIPE
Sold Membership Interests
December 2014
Synergy Pharmaceuticals Inc.

$200,000,000

Rule 144A Offering of 7.5% Convertible Senior Notes
November 2014
Contravir Pharmaceuticals, Inc.

$9,000,000

PIPE
Convertible Preferred Stock
November 2014
Single Touch Interactive, Inc.

$11,000,000

PIPE & Financing from Fortress Investment Group
October 2014
Rightscorp, Inc.

$2,650,000

PIPE
September 2014
Citius Pharmacueticals, LLC

$2,040,000

Reverse Merger & PIPE
Labor Smart, Inc.

$1,100,000

Private Placement
Common Stock
August 2014
Intellect Neurosciences, Inc.

$1,200,000

PIPE
Preferred Stock & Warrants
July 2014
Nanox Imaging PLC

$2,100,000

Represented J.P. Turner & Company
PIPE
Ordinary Shares
July 2014
Zenovia Digital Exchange Corporation

$5,000,000

PIPE
Secured Notes & Warrants
June 2014
Vuzix Corporation

$3,000,000

PIPE
5% Secured Promissory Notes
June 2014
Relmada Therapeutics Inc.

$10,000,000

PIPE
Common Stock & Warrants
May 2014
UX2 Biosystems, Inc.

$2,500,000

PIPE
Promissory Notes & Common Stock Purchase Warrants
April 2014
BitCoin Shop Inc.

$1,875,000

PIPE
February 2014
Xenetic BioSciences

$10,000,000

Reverse Merger & PIPE
Common Stock
February 2014