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The following is a snapshot of our selected transactions

IPO Transactions

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Union Acquisition Corp.

Common Shares & Warrants

$100 million

Selling Group Member, February 2018

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Level Brands, Inc.

Common Shares

$12 million

Selling Group Member, November 2017

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FAT Brands, Inc.

Common Shares

$24 million

Selling Group Member, October 2017

 
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Immuron LTD.

Common Stock & Warrants

$6.1 million

Selling Group Member, June 2017

SG Blocks, Inc.

Common Shares

$7.5 million

Selling Group Member, June 2017

Catasys, Inc.

Common Shares

$15 million

Selling Group Member, April 2017

Sachem Capital Corp.

Common Shares

$13 million

Selling Group Member, February 2017

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Monster Digital, Inc.

Common Stock & Warrants

$9.1 million

Selling Group Member, July 2016

BlackRock Science and Technology Trust

Common Shares

$420 million

Selling Group Member, October 2014

Medical Transcription Billing Corp.

Preferred Stock & Common Stock

$20.4 million

Selling Group Member, July 2014

 

Other Financing Transactions

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MannKind Corporation

Common Stock At-the-Market Offering

$50.0 million

Co-Agent, March 2014

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CAPSTEAD

Common Stock At-the-Market Offering

$24.21 million

Sole Agent, November 2013

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Ligand

Common Stock At-the-Market Offering

$24.0 million

Co-Agent, October 2013

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Vical

Common Stock At-the-Market Offering

$25.0 million

Sole Agent, April 2014

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Signpath Pharma

Convertible Preferred Stock & Warrant Multiple Rounds

$13.5 million

Placement Agent, June 2016

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STEM CELLS

Common Stock Confidentially Marketed Public Offering

$25.0 million

Financial Advisor, April 2015

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MicroVision

Common Stock At-the-Market Offering

$6.0 million

Sole Agent, May 2015

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Media Morph, Inc.

Convertible Stock & Warrant

$8.0 million

Acted as Investment Agent, December 2012

 

M&A Transactions

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ClinNet Solutions

Advised sale of company Sold to European Conglomerate

$18.0 million

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Andover Medical Center

Roll-up of three specialty medical equipment companies

$50.0 million

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STF Group Inc.

German producer of Thin Film panels

$23.0 million

 

International Deals

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China Liandi

Convertible Preffered Stock & Warrant

$27.55 million

April 2010

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Keyuan Petrochemicals

Convertible Preferred Series A Stock & Warrant Series A and B Common Stock Series B Warrant

$20.3 million

September 2010