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