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
