Public Offerings

Avinger, Inc.

$4,500,000

Common Stock
August 2019
Immuron Limited

$2,000,000

Public Offering of American Depositary Shares (ADSs)
May 2019
Precipio, Inc.

$6,000,000

Common Stock and Warrants
Represented Aegis Capital Corp. as Lead Underwriter
August 2017
China Internet Nationwide Financial Services Inc..

$20,000,000

Public Offering
Ordinary Shares
July 2017
Medical Transcription Billing, Corp.

$7,400,000

Public Offering
Preferred Stock
Represented Rodman & Renshaw as Lead Placement Agent
June 2017
Innovus Pharmaceuticals, Inc.

$3,850,000

Public Offering of Common Stock and Warrants
March 2017
Function(x) Inc.

$4,800,000

Public Offering of Common Stock
Represented Aegis Capital Corp. and Laidlaw & Company (UK) Ltd.
February 2017
Vuzix Corporation

$14,500,000

Registered Direct Offering of Common Stock
December 2016
Aytu BioScience, Inc.

$8,600,000

Public Offering of Common Stock and Warrants
November 2016
Tonix Pharmaceuticals Holding Corp.

$5,200,000

Public Offering of Common Stock and Warrants
November 2016
Network 1 Securities

$7,700,000

Public Offering of Common Stock
September 2016
BioPharmX Corporation

$930,000

Registered Direct Offering of Common Stock
Private Placement of Warrants
September 2016
SITO Mobile, Ltd.

$11,500,000

Public Offering
September 2016
CEL-SCI Corporation

$5,000,000

Registered Direct Offering of Common Stock
Private Placement of Warrants
Represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as Exclusive Placement Agent
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
DelMar Pharmaceuticals

$7,500,000

Private Placement of Series B Preferred Stock
May 2016
Labstyle Innovations Corp.

$6,000,000

Public Offering
Common Stock and Warrants
Represented H.C. Wainwright & Co., LLC and Joseph Gunnar & Co. as Joint Book Running Managers
March 2016
Amarantus BioScience Holdings, Inc.

$3,000,000

Convertible Preferred Stock and Warrants
February 2016
eMagin

$6,000,000

Registered Direct Offering
Common Stock and Warrants
December 2015
UQM Technologies

$6,400,000

Registered Direct
Common Stock and Warrants
October 2015
Oasmia Pharmaceutical AB

$9,500,000

RADSs & Warrants
IPO & U.S. NASDAQ Listing
October 2015
Can-Fite BioPharma Ltd.

$4,800,000

Registered Direct Offering with Institutional Investors
ADSs
October 2015
ContraVir Pharmaceuticals, Inc.

$15,000,000

Public Offering
Common Stock & Warrants
October 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
Can-Fite BioPharma

$9,000,000

Public Offering
ADSs
September 2015
One Horizon Group, Inc.

$3,000,000

Public Offering
Common Stock & Warrants
August 2015
BiondVax Pharmaceuticals

$9,550,000

Initial Public Offering
Represented U.S. Underwriter on Israeli-American Transaction
ADSs & Warrants
May 2015
DelMar Pharmaceuticals, Inc.

$2,500,000

Registered Direct Offering
Common Stock & Warrants
August 2015
Trovagene, Inc.

$43,300,000

Public Offering
Common Stock
July 2015
Tonix Pharmaceuticals Holding Corp.

$20,100,000

Public Offering
Common Stock & Warrants
July 2015
Intellicheck Mobilisa, Inc.

$2,100,000

Secondary Public Offering
Represented Underwriter
April 2014
Actinium Pharmaceuticals, Inc.

$5,000,000

Registered Direct Offering
Represented Sole Placement Agent
Common Stock
June 2015
Viking Therapeutics, Inc.

$24,000,000

IPO
Represented Laidlaw & Co. (UK) & Feltl and Co. as Underwriters
Common Stock & Warrants
May 2015
Professional Diversity Network

$5,000,000

Public Offering
Pursuant to S-3 Shelf Registration
Represent Aegis Capital as Undewriter
April 2015
Solar3D

$12,500,000

Public Offering & NASDAQ Uplisting
Offering underwritten by Cowen & Company LLC
Common Stock & Warrants
February 2015
CollabRX, Inc.

$3,000,000

Public Offering Pursuant to S-3 Registration
Common Stock
February 2015
CollabRX, Inc.

$5,520,000

Represented Aegis Capital Corp. as Sole Book-Running Manager
Public Offering
Common Stock & Warrants
February 2015
Actinium Pharmaceuticals Inc.

$20,000,000

Represented Laidlaw & Company (UK) Ltd.
Public Offering
Common Stock & Warrants
February 2015
Trovagene, Inc.

$23,000,000

Public Offering
Common Stock
February 2015
Tonix Pharmaceuticals Holding Corp.

$28,700,000

Public Offering
Common Stock
February 2015
PlasmaTech Biopharmaceuticals, Inc.

$14,000,000

Represented H.C. Wainwright & Co. and Aegis Capital Corp as Underwriters
Common Stock and Warrants
December 2014
Can-Fite Biopharma Ltd.

$8,000,000

At-the-Market Registered Direct Offering
December 2014
Cel-Sci Corporation

$6,000,000

Rep. Laidlaw & Co. (UK) Ltd. as Underwriters in Public Offering Common Stock & Warrants
October 2014
Tonix Pharmaceuticals Holding Corp.

$7,800,000

Public Offering
Common Stock
July 2014
CollabRx, Inc.

$1,800,000

Common Stock
Represented Underwriter
June 2014
Free Seas Inc.

$25,000,000

Public Offering
Preferred Stock & Warrants
June 2014
Sorrento Therapeutics, Inc.

$25,000,000

Public Offering
Common Stock
May 2014
Cyclacel Pharmaceuticals Inc.

$10,000,000

Secondary Public Offering
Represented Underwriter
Common Stock
April 2014
NovaBay Pharmaceuticals, Inc.

$6,720,000

Secondary Public Offering
Common Stock & Warrants
March 2014
ClearSign

$6,500,000

Registered Direct Offering
Represented Placement Agent
March 2014
SMTP, Inc.

$10,000,000

Public Offering - Representing Aegis Capital Corp.
February 2014
Tonix Pharmaceuticals Holding Corp.

$43,500,000

Shelf Takedown
February 2014
Intellicheck Mobilisa

$4,000,000

Common Stock
January 2014