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Category Archives for "PIPES"

Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar and Fordham Financial Management in $11.8 PIPE financing of Aytu Bioscience, Inc.

aytu bioscience

Press Release – New York, NY – November 2, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Joseph Gunnar & Co.  as lead placement agent and Fordham Financial Management, Inc. co-placement agent  in a private placement offering of equity securities of Aytu BioScience, Inc.  (OTC Market “AYTU”).

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Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar & Co. and Brookline Capital Markets in a $13.25 PIPE for MRI Interventions, Inc.

mri interventions

Press Release – New York, NY – May 26, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Joseph Gunnar & Co., LLC, as lead Placement Agent and Brookline Capital Markets, a division of CIM Securities, LLC, as co-Placement Agent in a $13.25 Million PIPE transaction for MRI Interventions, Inc. (OTCQB: MRIC) a medical device company that is creating innovative platforms for performing the next generation of minimally invasive surgical procedures in the brain.

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Sichenzia Ross Ference Kesner LLP Represents Oppenheimer & Co. in $3.6 Million PIPE for Ener-Core, Inc.

ener-core

Press Release – New York, NY – December 5, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Oppenheimer & Co., as Sole Placement Agent in private placement of $3.6 Million principal amount of convertible senior secured notes and warrants of Ener-Core, Inc.  (OTCQB. “ENCR”).

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Sichenzia Ross Ference Kesner LLP Represents Oppenheimer & Co. and Feltl and Company in $13.5 Million PIPE for Midwest Energy Emissions Corp.

midwest energy

Press Release – New York, NY – November 18, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Oppenheimer & Co., as lead Placement Agent and Feltl and Company as Co-Placement Agent in a private placement offering of Common Stock of Midwest Energy Emissions Corp. ME2C (OTCQB. “MEEC”). continue reading >>

Sichenzia Ross Ference Kesner LLP Represents ABT Holdings, Inc. in $5 Million Private Offering of Senior Secured Convertible Debentures

abt logo

October 17, 2016 — New York, NY — Sichenzia Ross Ference Kesner LLP has represented ABT Holdings, Inc. (OTC.PK: ABOT), a diversified holding company engaged in investing, acquiring, developing, and growing various businesses, in a private offering of $5 Million of Senior Secured Convertible Debentures. continue reading >>

Sichenzia Ross Ference Kesner LLP Represents Laidlaw & Company (UK) Ltd. as Placement Agent for a $3 Million Private Placement

fte networks logo

Press Release – New York, NY – October 17, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Laidlaw & Company (UK) Ltd. as the exclusive placement agent in a private placement of equity securities of FTE Networks, Inc. (OTCQX: FTNW), continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Aridis Pharmaceuticals in $15 Million Private Placement

aridis

PRESS RELEASE – New York, NY – August 25, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the firm has represented Aridis Pharmaceuticals, Inc., a biopharmaceutical company applying proprietary technologies to produce novel therapies for infectious diseases, in a private placement of preferred stock and warrants resulting in total gross proceeds of $15,216,241.  Maxim Merchant Capital, a division of Maxim Group LLC, acted as the exclusive placement agent for the offering.  The Sichenzia Ross Friedman Ference LLP team was led by Partner Jeff Fessler, Avital Even-Shoshan, Evan Berger and Nazia Khan.

Sichenzia Ross Friedman Ference LLP Represents Rodman & Renshaw as Exclusive Placement Agent for a $3.77 Registered Direct Offering

eyegate pharma logo

Press Release – New York, NY – July 11, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as the exclusive placement agent for a registered direct offering of EyeGate Pharmaceuticals, Inc. (NASDAQ: EYEG), a clinical-stage specialty pharmaceutical company that is focused on developing and commercializing therapeutics and drug delivery systems for treating diseases of the eye (“EyeGate”).

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Partners Marc Ross and James Turner Represent Taglich Brothers, Inc. in a $1.355 Million Private Placement

bridgeline digital

Press Release – New York, NY – May 19, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it represented Taglich Brothers, Inc. as exclusive placement agent in a private placement of debt securities of Bridgeline Digital, Inc. (NASDAQ:BLIN).  In connection with the offering, Bridgeline Digital, Inc. sold $1,355,000 of subordinated convertible notes. The Sichenzia Ross Friedman Ference LLP team was led by partners Marc Ross and James Turner.

Sichenzia Ross Friedman Ference LLP Represents Viatar CTC Solutions Inc. in a $4.2 Million Private Placement

viatar

Press Release – New York, NY – March 3, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Viatar CTC Solutions Inc., a medical technology company focused on the treatment of patients with metastatic cancer, in a private placement of $4.2 million of Series B Preferred Stock. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Laidlaw & Company (UK) Ltd. as Placement Agent for a $6.9 Million Private Placement

pershing gold

Press Release – New York, NY – February 26, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Laidlaw & Company (UK) Ltd. as the exclusive placement agent in a private placement of equity securities of Pershing Gold Corporation (NASDAQ: PGLC), a mining company (the “Company”). In connection with the offering, the Company accepted subscriptions for the sale of approximately $6.9 million in gross proceeds of 2,120,882 Units, with each Unit comprised of 1 share of Common Stock and a 30 month warrant to acquire 0.5 of a share of Common Stock at an exercise price of $5.06, at a price of $3.25 per Unit.

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Sichenzia Ross Friedman Ference LLP Represents Takung Art Co., LTD on $1.58M PIPE

Takung

Press Release – New York, NY – November 17, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced that the Firm has represented Takung Art Co., a provider of an online platform for artists and creative professionals, in connection with a $1,580,000 private placement of the Company’s common stock priced at $1.58 per share.
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Sichenzia Ross Friedman Ference LLP Represents Calpian, Inc. on $2.1M PIPE

calpian

New York, NY – Press Release – Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented global mobile payments technology and processing company, Calpian, Inc. (the “Company”), in connection with a private offering whereby the Company sold to accredited investors an aggregate of 3,558,335 shares of common stock and warrants to purchase up to 1,779,169 shares of common stock for a purchase price of $0.75 per share. The Company received $ 2,135,000 in gross proceeds from the sale of the securities. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Rightscorp in $1.032M PIPE

rightscorp

October 9, 2015 – New York, NY – Press Release – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented Rightscorp, Inc., a technology company that provides monetization services for holders of copyrighted intellectual property (OTCQB:RIHT) in a private placement offering where the Company sold to accredited investors 10,320,000 shares of common stock and warrants.
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Sichenzia Ross Friedman Ference LLP Represents Amarantus BioScience Holdings, Inc. in $5.5M Registered Direct Offering and Private Placement

amarantus bioscience

October 1, 2015 — New York, NY – Press Release – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP (“SRFF”) is pleased to announce that the Firm has represented Amarantus Bioscience Holdings, Inc. (OTCQX: AMBS), a biotechnology company developing therapeutic and diagnostic product candidates for orphan indications and neurology in a registered direct offering where Amarantus issued $2.75 million of newly designated Series H convertible preferred stock and warrants. continue reading >>

Sichenzia Ross Friedman Ference LLP 就 $ 185 萬美元的 私募股權融資 為 Pegasi Energy Resources 公司提供建議

pegasi energy

紐約,紐約州– 2015 4 1 總部位於紐約的證券和企業律師事務所 Sichenzia Ross Friedman Ference LLP 宣佈該事務所已經建議一家從事石油和天然氣勘探、開發和生產的能源公司 Pegasi Energy Resources 公司進行 $1,875,000 美元高級擔保可轉換債券和認股權證的私募配售以便購入共計 15,635,005 股普通股。這次私募配售有兩次交割,分別在 2015 1 月和 2015 3 月。

Sichenzia Ross Friedman Ference 團隊由合夥人 Marc J. Ross James M. Turner 領導。

關於 Sichenzia Ross Friedman Ference LLP
Sichenzia Ross Friedman Ference LLP 是一家企業和證券法律師事務所,在涉及證券行業的所有事務以及所有一般企業和訴訟事務方面提供經驗豐富的專業代理服務。SRFF 的客戶既有初創公司也有知名的上市公司,包括私立和公眾持股企業、合夥企業、券商、銀行下屬券商、投資顧問、註冊工作人員、政府和企業客戶以及投資者、合作夥伴和其他實體。SRFF 還就涉及複雜證券法考慮事項的交易為機構投資者提供建議。SRFF 的執業範圍包括為美國客戶和世界各地客戶提供代理服務。

媒體聯絡人
pr@srf.law
(212)-930-9700

 

Sichenzia Ross Friedman Ference LLP 就 $500,000 美元的私募股權融資為 Cell Source 公司提供建議

cell source

紐約 – 2015 4 1 證券和企業律師事務所 Sichenzia Ross Friedman Ference LLP 今日宣佈該事務所代表 Can-Fite Biopharmaceuticals 有限公司 (NYSE MKT:CANF)——一家開發治療產品的以色列生物製藥公司——簽訂了數百萬美元的經銷協定,該協定規定 Cipher Pharmaceuticals 公司將在收到監管部門批准後就某些症狀在加拿大市場經銷 Can-Fite 的領先候選藥物 CF101

Sichenzia Ross Friedman Ference LLP 團隊由合夥人 Greg Sichenzia Gary Emmanuel 領導。

關於 Sichenzia Ross Friedman Ference LLP
Sichenzia Ross Friedman Ference LLP 是一家企業和證券法律師事務所,在涉及證券行業的所有事務以及所有一般企業和訴訟事務方面提供經驗豐富的專業代理服務。SRFF 的客戶既有初創公司也有知名的上市公司,包括私立和公眾持股企業、合夥企業、券商、銀行下屬券商、投資顧問、註冊工作人員、政府和企業客戶以及投資者、合作夥伴和其他實體。SRFF 還就涉及複雜證券法考慮事項的交易為機構投資者提供建議。SRFF 的執業範圍包括為美國客戶和世界各地客戶提供代理服務。

欲瞭解關於 SRFF 的更多資訊,請訪問 www.srff.comSRFF LinkedIn 和我們的 Twitter 頁面:@SRFFLLP

媒體聯絡人

pr@srff.com
(212)-930-9700

 

Sichenzia Ross Friedman Ference LLP 就 $270,000 美元的私募股權融資為 Citius Pharmaceuticals 有限責任公司提供建議

citius pharma

紐約,紐約州 — 2015 3 26 環球商業快訊 總部位於紐約的證券律師事務所 Sichenzia Ross Friedman Ference LLP宣佈該事務所已代表 Citius Pharmaceuticals 有限責任公司 (OTCQB:CTXR)——一家致力於為大型且增長的市場的治療產品的開發和商業化的專業製藥公司——完成了 $270,000 美元的私募股權融資交易。這筆交易包括以每股 $0.60 美元的購入價格購買的 500,000 股,為該公司帶來了 $270,000 美元的總收益。每股由一股普通股和五年認股權證構成。Sichenzia Ross Friedman Ference LLP 團隊由合夥人 Gregory Sichenzia Arthur S. Marcus 領導。

關於 Sichenzia Ross Friedman Ference LLP
Sichenzia Ross Friedman Ference LLP 是一家企業和證券法律師事務所,在涉及證券行業的所有事務以及所有一般企業和訴訟事務方面提供經驗豐富的專業代理服務。 SRFF 的客戶既有初創公司也有知名的上市公司,包括私人和公眾持股企業、合夥企業、券商、銀行下屬券商、投資顧問、註冊工作人員、政府和企業客戶和投資者、合作夥伴和其他實體。SRFF 還就涉及複雜證券法考慮事項的交易為機構投資者提供建議。SRFF 的執業範圍包括為美國客戶和世界各地客戶提供代理服務。

媒體聯絡人:
pr@srf.law
(212)-930-9700

Sichenzia Ross Ference LLP

Sichenzia Ross Friedman Ference LLP 就 $275 萬美元的普通股PIPE 融資為 Dais 分析公司提供建議

dais analytic corporation

2015 3 11 紐約,紐約州環球商業快訊– Sichenzia Ross Friedman Ference LLP 今日宣佈該事務所已經代表 Dais 分析公司(OTCDLYT——一家旨在解決全世界不斷凸顯的全球水資源和能源需求的納米技術應用製造商——依照S 條例完成了 $2,750,000 元的私募融資交易,其中包括以每股約 $0.153 美元的價格提供的 18,000,000 股普通股。Dais 計畫將該交易產生的收益用於流動資金和業務發展

Sichenzia Ross Friedman Ference LLP 團隊由顧問 Peter DiChiara 領導

關於 Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP 是一家企業和證券法律師事務所,在涉及證券行業的所有事務以及所有一般企業和訴訟事務方面提供經驗豐富的專業代理服務。SRFF 的客既有初創公司也有知名的上市公司,包括私人和公眾持股企業、合夥企業、券商、銀行下屬券商、投資顧問、註冊工作人員、政府和企業客戶和投資者、合作夥伴和其他實體。SRFF 還就涉及複雜證券法考慮事項的交易為機構投資者提供建議。SRFF 的執業範圍包括為美國客戶和世界各地客戶提供代理服務。欲瞭解關於 SRFF 的更多資訊,請訪問 

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pr@srf.law
(212)-930-9700

主页 > 新闻 > Vuzix 公司宣布来自 Intel 的$248万美元投资

vuzix

Vuzix 公司宣布来自 Intel $2480 万美元投资

Sichenzia Ross Friedman Ference LLP 代表Vuzix 公司处理来自 Intel $2480 万美元的投资事宜

纽约州纽约市2015 1 5 日)位于纽约的证券和企业律师事务所 Sichenzia Ross Friedman Ference LLP 今日宣布该事务所代表 Vuzix® 公司 (OTCQB:VUZI)Vuzix公司——一家视频眼镜和智能眼镜产品的领先供应商——执行一次投资交易,在这次交易中 Intel 公司对 Vuzix 投资 $2480 万美元。Intel 的投资将用于日常流动资金,并会有助于加速引进 Vuzix 下一代可穿戴显示器产品进入消费者市场

Intel 购买了 49,626 Vuzix A 系列优先股,可按照每股 $5.00美元的初始转换价转换为 4,962,600 股该公司的普通股。在转换 A 系列优先股时可以发行的股份占到 Vuzix 流通股约 30%

Sichenzia Ross Friedman Ference LLP 团队由合伙人 Gregory SichenziaThomas A. RoseTara Guarneri Ferrara 和合伙人 Jeffrey Cahlon 领导

关于 Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP 是一家证券和企业律师事务所,它提供经验丰富的专业代表处理涉及证券行业的所有事务,以及所有一般企业事务和诉讼事务。该事务所的客户既有初创公司也有著名的上市公司,包括私营和上市企业、合伙企业、券商、银行下属券商、投资顾问、注册工作人员、政府和企业客户和投资者、合作伙伴以及其他实体。该事务所也就包括复杂证券法考虑事项在内的交易为机构投资者提供建议,其业务包括作为美国以及世界各地的客户的代表。要了解关于 Sichenzia Ross Friedman Ference LLP 的更多信息,请访问 SRFF LinkedIn SRFF Twitter@SRFFLLP

SBI Investments Announces $6.5 Million Private Placement

sbi investments

Sichenzia Ross Friedman Ference LLP Represents SBI Investments in $6.5M Private Placement

New York, NY (Global Newswire – Dec. 23, 2014) New York-based securities law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented SBI Investments LLC, a private investment firm whose primary focus is to provide creative and alternative funding solutions to global micro-, small- and mid-cap publicly-traded companies, in a private placement of LLC membership interests valued at $6,525,000.

The Sichenzia Ross Friedman Ference LLP team was led by Partner Darrin Ocasio and Associate Marc Adesso.

 

Sichenzia Ross Ference LLP

Synergy Pharmaceuticals Inc. Raises $200M Rule 144A Offering of 7.50% Convertible Senior Notes

synergy pharmaceuticals

Sichenzia Ross Friedman Ference LLP Represents Synergy Pharmaceuticals Inc. in $200M Rule 144A Offering of 7.50% Convertible Senior Notes

New York, NY – (Global Newswire, November 5, 2014) – New York based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced that it  represented Synergy Pharmaceuticals Inc. (NASDAQ: SGYP), a biopharmaceutical developer of drugs to treat gastrointestinal disorders and diseases, in a Rule 144A offering of $200 million of 7.50% Convertible Senior notes. The notes are convertibles into shares of Synergy Pharmaceutical’s common stock at a conversion price of approximately $3.11 per share.

The SRFF team was led by Partner Jeffrey J. Fessler.

 

Sichenzia Ross Ference LLP

ContraVir Pharmaceuticals Announces $9.0 Million Private Placement

contravir

Sichenzia Ross Friedman Ference LLP Advises ContraVir Pharmaceuticals on $9.0 Million Private Placement

New York, October 28, 2014 (Global Newswire) – New York based securities law firm Sichenzia Ross Friedman Ference LLP announced that it has represented ContraVir Pharmaceuticals, Inc., a biopharmaceutical company focused on the development and commercialization of targeted antiviral therapies, on a $9 million private placement consisting of Series A Convertible Preferred stock to a non-U.S investor.

Pursuant to the private placement, the Series A Preferred Stock can be converted into shares of common stock at the conversion price of $0.48 per share. The Sichenzia Ross Friedman Ference LLP team was led by partner Jeffrey J. Fessler.

Sichenzia Ross Ference LLP

Sichenzia Ross Friedman Ference LLP Advises Single Touch on a $11.0 M Debt and Equity Financing Consisting of a $10.0 M Secured Financing and a $1.0 M PIPE with Fortress Investment Group

sito - single touch interactive

New York, NY – Oct 8, 2014 – GLOBAL NEWSWIRE – New York based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Single Touch Interactive, Inc. (OTC BB: SITO), a mobile media solutions provider, in a $11 million debt and equity financing where Single Touch secured a PIPE investment equaling $1 million in equity and $10 million in secured debt.

As part of the investment, Single Touch will issue 2,619,539 shares of its common stock valued at $0.3817 per share. The Sichenzia RossFriedman Ference LLP  team was led by Partner Gregory Sichenzia, Marcelle Balcombe and Counsel Peter DiCharia.

Media Contact:

pr@srf.law

Sichenzia Ross Ference LLP

Sichenzia Ross Friedman Ference LLP Advises Rightscorp, Inc. on a $2.65M PIPE Offering

rightscorp

NEW YORK, SEPT. 25, 2014 (GLOBE NEWSWIRE) — New York based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Rightscorp, Inc. (OTC QB: RIHT), a provider of monetization services for artists and holders of copyrighted intellectual property, on a $2.65 million private financing. The offering consisted of a sale of 10,608,000 shares of the company’s common stock and warrants to purchase 15,912,000 shares of common stock at $0.25 per Unit for a total offering of $2,652,000. The Sichenzia Ross Friedman Ference LLP team was led by Partner Gregory Sichenzia and Of Counsel Henry Nisser.

Media Contact

pr@srf.law

Sichenzia Ross Ference LLP

Sichenzia Ross Friedman Ference LLP Advises Citius Pharmaceuticals, LLC on a Reverse Merger and $2.04 Million Pipe Financing

citius pharma

September 18, 2014 (GLOBE NEWSWIRE) – New York – based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Citius Pharmaceuticals, LLC (OTCQB: CTXR) – a specialty pharmaceutical company dedicated to the development and commercialization of therapeutic products for large and growing markets- in connection with a Share Exchange and Reorganization Agreement between Citius Pharmaceuticals, LLC, Citius Pharmaceuticals, Inc. (formerly known as Trail One. Inc.) and the beneficial holders of the membership interests of Citius.

Pursuant to the “Exchange Agreement”, Citius Pharmaceuticals, Inc. issued common stock to the holders of the membership interests of Citius representing approximately 72.0% of the outstanding shares of common stock.

In connection with the “Exchange Agreement”, Sichenzia Ross advised Citius on a private offering whereby Citius sold 3,4000,067 Units for a purchase price of $0.60 per Unit for a total value of $2.04 million. Each Unit sold consisted of one share of common stock and a five-year warrant. The Sichenzia Ross Friedman Ference LLP team was led by Partners Gregory Sichenzia and Arthur S. Marcus.

 

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Sichenzia Ross Ference LLP

Sichenzia Ross Friedman Ference LLP Advises Labor Smart, Inc. on a $1.1 million Private Placement of Common Stock.

laborsmart

August 18, 2014 (GLOBE NEWSWIRE) – New York – based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Labor Smart, Inc. (OTCBB: LTNC), a provider of on-demand construction, manufacturing and retail staffing , in a $1.1 million private placement pursuant of Regulation D. The transaction consisted of original issue discount debentures convertible at $0.15 per share and 100,000 shares of common stock. The Sichenzia RossFriedman Ference LLP  team was led by Gregory Sichenzia and Jeff Cahlon.

Sichenzia Ross Ference LLP

 

Sichenzia Ross Friedman Ference LLP Advises Intellect Neurosciences, Inc. on $1.2 Million PIPE offering

intellect neurosciences

New York, July 31, 2014 (Global Newswire) – New York based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Intellect Neurosciences, Inc. (ILNS: OTC US) on a $1.2 million private placement consisting of Series F Preferred Stock and Warrants. Intellect Neurosciences Inc. is a biopharmaceutical company engaged in the discovery and development of disease modifying therapeutic agents for the treatment and prevention of Alzheimer’s disease. The Sichenzia Ross Friedman Ference LLP team was led by partner Arthur Marcus.

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pr@srf.law
(212)-930-9700

Sichenzia Ross Friedman Ference LLP Advises J.P. Turner & Company on $2.1 Million Private Placement for Nanox Imaging PLC

nanox

NEW YORK, July 2, 2014 (GLOBE NEWSWIRE) – New York based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented J.P. Turner & Company as the sole placement agent on a $2.1 Million private placement of the ordinary shares of Nanox Imaging PLC.

Nanox Imaging PLC is a company incorporated and registered in Gibraltar that is developing a product to replace the current, century-old, “Hot Cathode” X-Ray technology with “Cold Cathode” technology. The Sichenzia Ross Friedman Ference LLP team was led by partners Gregory Sichenzia, Tom Rose and David Manno.

 

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212-930-9700

Sichenzia Ross Ference LLP

Sichenzia Ross Friedman Ference LLP Advises Zenovia Digital Exchange Corp. on $5 Million Private Placement Transaction

zenovia

June 4, 2014 – New York- based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to Zenovia Digital Exchange Corp., a company that provides a Software as a Service-based technology platform for advertisers to access viewable media from publishers worldwide, in its recently completed private placement of units consisting of secured notes and warrants. The company raised an aggregate of $5.0 Million. Aegis Capital Corp. acted as the placement agent in the offering. The Sichenzia Ross Friedman Ference LLP team was led by partners Tom Rose and Marcelle Balcombe.

Media Contact

pr@srf.law
212-930-9700

Sichenzia Ross Ference LLP

Sichenzia Ross Friedman Ference LLP Advises Vuzix Corporation on a $3 Million PIPE Offering

vuzix

NEW YORK, June 3, 2014 (GLOBE NEWSWIRE) — New York based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Vuzix Corporation (OTCQB: VUZI) on a $3 million private placement consisting of convertible 5% secured promissory notes, convertible at $2.25 per share. Vuzix Corporation is engaged in the design, manufacture, marketing and sale of wearable Video Eyewear products for use as an alternative private display solution in markets where portability and high resolution are key. The Sichenzia Ross Friedman Ference LLP team was led by partner Gregory Sichenzia and Peter DiChiara.

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Gregory Sichenzia
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gsichenzia@srf.law

Gregory Sichenzia, Esq.
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    Sichenzia Ross Friedman Ference LLP Advises Laidlaw & Company on $10 million Private Placement of Relmada Therapeutics, Inc.

    relmada

    NEW YORK, May 12, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Laidlaw & Company (UK) Ltd. as sole Placement Agent in a $10 million Private Placement offering for Relmada Therapeutics, Inc., a privately held company. The offering was of Units consisting of Common Stock and Class A and B Warrants. The Sichenzia Ross Friedman Ference LLP team was led by partners Richard Friedman and Stephen Cohen.

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    Sichenzia Ross Friedman Ference LLP Advises J.P. Turner & Company, L.L.C on $ 2.5 million Private Placement of X2 Bio Systems, Inc..

    xz biosystems

    NEW YORK, April 18, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented J.P. Turner & Company as sole Placement Agent in a $2.5 million private placement of X2 Bio systems, Inc., a privately held Seattle based science and technology company which is developing the first complete solution for assessing sport brain injuries. The offering consisted of $2.5 million of Units consisting of 6% convertible promissory notes and common stock purchase warrants. The Sichenzia Ross Friedman Ference LLP team was led by partners Gregory Sichenzia and David Manno.

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    Sichenzia Ross Friedman Ference LLP Advises Xenetic Biosciences in Reverse Merger and Direct PIPE Investment.

    xenetic biosciences

    SRFF Team Led by Named-Partner, Marc J. Ross, Succeeds in Leveraging Unique Solution and Direct PIPE Investment Totaling $10 million

    NEW YORK CITY – February 12, 2014. Sichenzia Ross Friedman Ference LLP (SRFF), a leading corporate securities law firm headquartered in New York City, represented UK-based Xenetic Biosciences PLC. (XEN), in connection with it’s reverse merger transaction with Xenetic Biosciences Inc., (GAIFD) in addition to a direct PIPE investment equaling $10 million in equity from Baxter International.

    The SRFF team, which in addition to the firm’s named partner, Marc J. Ross as lead counsel included firm partner James M. Turner, leveraged a unique solution that hinged on a Section 3(a)(10) exemption. Companies headquartered outside the United States but desiring entrance into a reverse merger transaction into a U.S.- listed company such as Xenetic Biosciences Ltd. confront a significant issue that arises in the execution of how the securities will be issued.

    Ross advised Xenetic Biosciences PLC in connection with the Scheme of Arrangement, a court-reviewed and approved transaction between a company and its shareholders whereby the court approves the fairness of the terms and conditions of the exchange of shares. In this Scheme, Xenetic was acquired by Nevada-based General Sales and Leasing; in connection with this acquisition, General Sales and Leasing changed its name to Xenetic Biosciences, Inc., and its ticker symbol.

    In this series of transactions, the holders of all of the capital stock of Xenetic UK exchanged their shares for a total of 132,545,504 newly-issued shares of Xenetic Biosciences Inc. common stock; SRFF attorneys Ross and Turner additionally assisted the company in raising $10 million from Baxter International.

    Avista Capital Partners

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    Sichenzia Ross Friedman Ference LLP Acted as Placement Agent Counsel on MabVax Therapeutic’s $11.7M PIPE

    mabvax therapeutics

    New York, NY – April 17, 2015 – New York based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that Axiom Capital Management Inc. has completed a private placement of MabVax Therapeutics Holdings, Inc. (OTC: MBVX) Units. MabVax is a clinical-stage biopharmaceutical company focused on developing vaccine and monoclonal anti-body based therapeutics. The private placement consisted of 15,486,001 Units offered at $0.75 per Unit for aggregate proceeds of $11,714,501. Additionally, each Unit consisted of one share of common stock and a 30-month warrant to purchase one-half of one share of common stock where the warrants are exercisable at $1.50 per each whole share of common stock.

    The private placement was led by OPKO Health, Inc. (NYSE: OPK) and the Frost Gamma Investments Trust. Sichenzia Ross Friedman Ference LLP Partners Harvey Kesner, Tara Guarneri-Ferrara, Associate Tim O’Brien and Foreign Attorney Ekaterina Williams represented Axiom Capital Management.

    To learn more about SRFK, visit www.srf.law, SRFK’s LinkedIn and our Twitter page: @SRFKLLP

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    Orbital Tracking Corp. 宣佈與 Global Telestat簽訂股份切換式通訊協定及進行110 萬美元的 PIPE

    orbital tracking corp

    Sichenzia Ross Friedman Ference LLP 建議 Orbital Tracking Corp. 簽訂股份切換式通訊協定,並進行 110 萬美元的 PIPE 融資

    紐約州紐約市 – 2015 2 26 全球通訊社Sichenzia Ross Friedman Ference LLP 是一家位於紐約的證券與公司法律事務所,該所於今日宣佈代表Orbital Tracking Corp. (OTCQB:TRKK)一家全球衛星服務公司實體,與 Global Telesat Communications Limited 簽訂股份切換式通訊協定,Global Telesat 是一家私人控股的英國公司(GTCL),也是 GTCL 的股東。Sichenzia Ross Friedman Ference LLP 建議 Orbital 公開發售股份交換,Orbital 共售出 55 萬股,總收入達到 110 萬美元

    Sichenzia Ross Friedman Ference LLP 團隊由合夥人 Harvey Kesner 和合夥人 Avital Even-Shoshan領導

    Sichenzia Ross Friedman Ference LLP簡介

    Sichenzia Ross Friedman Ference LLP是一家從事證券和公司領域法律服務的律師事務所,可在證券行業所涉所有事務和所有一般性公司和訴訟事務中提供經驗豐富且專業的代理。SRFF 的客既有初創公司也有知名的上市公司。它們包括私立和公共企業、合夥企業、券商、銀行下屬券商、投資顧問、註冊工作人員、公共和企業客戶以及投資者、合作夥伴和其他實體。SRFF 也就涉及複雜證券法考慮事項的交易為機構投資者提供建議。SRFF 的執業範圍包括為美國客戶和世界各地客戶提供法律代理

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    Sichenzia Ross Friedman Ference LLP Acted as Lead Investor Counsel on VBI Vaccines’ $5.25 million private placement

    Securities Law Firm | Sichenzia Ross Friedman Ference LLP

    NEW YORK, August 1, 2014 (GLOBE NEWSWIRE) – New York – based securities law firm, Sichenzia Ross Friedman Ference LLP announces that it represented the lead investor in a $5.25 million private placement conducted by VBI Vaccines Inc. (NASDAQ: VBIV), formerly Paulson Capital (Delaware) Corp. The offering, which originally closed into escrow on July 25, 2013, consisted of the sale of one unit of VBI’s securities, made up of shares of Common Stock, Series A Preferred Stock and two class of warrants exercisable into shares of VBI’s Series B Preferred Stock. The release of the funds and securities in escrow was subject to certain conditions precedent which was satisfied on July 25, 2014, at which time the funds and securities were released.

    VBI Vaccines, Inc. is a biopharmaceutical company developing novel technologies that seek to expand vaccine protection in large underserved markets. The Sichenzia Ross Friedman Ference LLP team was led by partner Harvey Kesner and associate Tara Guarneri-Ferrara.

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    Sichenzia Ross Friedman Ference LLP Advises Drone Aviation Holding Corp. on Acquisition of Assets and $1.35 million PIPE Offering

    drone aviation

    NEW YORK, June, 4, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Drone Aviation Holding Corp. formerly known as Macrosolve (OTCQB: DRNE) in the acquisition of certain assets involved in the development of tethered drone based products. Simultaneously, Sichenzia Ross Friedman Ference LLP has represented Drone Aviation Holding Corp. on a $1.35 million private placement consisting of preferred stock and warrants at a purchase price of $.50 per unit. Drone Aviation Holding Corp. is a producer of drone applications. The Sichenzia Ross Friedman Ference LLP team was led by partner Gregory Sichenzia, Harvey Kesner and associate Tara Guarneri-Ferrara.

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    Sichenzia Ross Friedman Ference LLP Advises Genius Brands International, Inc. on $6.0 million PIPE Offering

    genius brands

    NEW YORK, March 26, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Genius Brands International, Inc. (GNUS. OTCQB) on a $6.0 million private placement of Series A Convertible Preferred Stock with a conversion price of $2.00 per share. Genius Brands is multimedia content and brand management company. Chardan Capital Markets LLC acted. as sole placement agent for the offering. The Sichenzia Ross Friedman Ference LLP team was led by partners Harvey Kesner and associate Tara Guarneri-Ferrara.

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    Sichenzia Ross Friedman Ference LLP Advises Marathon Patent on $6.5 million PIPE Offering

    marathon

    NEW YORK, May 5, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Marathon Patent Group, Inc. (OTCBB: MARA) on a $6.5 million private placement of units consisting of Series A Preferred Stock and warrants at a unit price of $6.50 per unit. Marathon is an intellectual property services and monetization company. Laidlaw & Company (UK) Ltd. as sole placement agent for the offering. The Sichenzia Ross Friedman Ference LLP team was led by partners Harvey Kesner and Counsel Edward Schauder.

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    Sichenzia Ross Friedman Ference LLP Advises Conkwest, Inc. on $7.06 million Private Placement of Units consisting of Series C Convertible Preferred Stock and Warrants to Purchase Common Stock.

    conkwest

    NEW YORK, April 11, 2014 (GLOBE NEWSWIRE) – New York – based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Conkwest, Inc. in a $7.06 million private placement of the Preferred Stock and Warrants of Conkwest, Inc., a privately held company which is involved in the development of immunotherapeutic treatments for cancers and debilitating viral infections using targeted cancer killing cell-lines. The private placement was pursuant to Rule 506 of Regulation D. The offering consisted of 2,943,698 Units consisting of 2,943,698 shares of Series C Preferred Stock and 735,924 warrants to purchase common stock shares at $2.40 per Unit for a total offering of $7,064,875. Palladium Capital Corp. acted as placement agent on the offering. The Sichenzia Ross Friedman Ference LLP teamwas led by partners Harvey Kesner and Arthur S. Marcus.

     

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    Sichenzia Ross Friedman Ference LLP Advises Spherix Incorporated on $4.4 million PIPE Offering

    spherix intellectual property

    NEW YORK, March 26, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Spherix Incorporated (SPEX. NASDAQ) on a $4.4 million private placement of units consisting of Common Stock and warrants at a unit price of $3.75. Spherix is an intellectual property company that owns patented and unpatented intellectual property. Laidlaw & Company (UK) Ltd. as sole placement agent for the offering. The Sichenzia Ross Friedman Ference LLP team was led by partners Harvey Kesner and associate Tara Guarneri-Ferrara.

     

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    Sichenzia Ross Friedman Ference LLP Advises Calpian Inc. on $8.3 Million Private Placement of Common Stock and Warrants

    calpian

    May 27, 2014 (GLOBE NEWSWIRE) – New York-based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Calpian Inc. (OTCQB: CLPI), a global processing and mobile payments technology company, on a private placement offering of units in the aggregate amount of $8.3 million. Each unit consisted of one share of common stock and a warrant to purchase one fifth of one share of common stock, priced at $1.00 per unit. The warrants are exercisable at $1.25 per share. National Securities acted as the lead placement agent. The Sichenzia Ross  Friedman Ference LLP team was led by partner Darrin M. Ocasio and associate Jay Yamamoto.

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