Aytu BioScience, Inc.


Private Placement of Equity Securities
Series A Preferred Stock
Represented Joseph Gunnar and Co. as Lead Placement Agent
August 2017
MRI Interventions, Inc


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


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