Transactions

We represent foreign and domestic clients in a broad range of capital raising, M&A and other corporate transactions. Below are tombstone listings of certain of our recent representative transactions. Please click on a tombstone for a description of the specific deal.

Therapix Biosciences Ltd.
Registered Direct Offering of American Depositary Shares

Represented Laidlaw & Company (UK) Ltd. as Placement Agent

March 2017
XTL Biopharmaceuticals Ltd.

$2,800,000

Private Placement of Warrants
March 2017
Innovus Pharmaceuticals, Inc.

$3,850,000

Public Offering of Common Stock and Warrants
March 2017
Pareteum Corporation

$3,500,000

Public Offering of Common Stock and Warrants
March 2017
Brekford Corporation

$6,000,000

Sale of Assets
March 2017
Private Cannabinoid Life Science Company

$12,300,000

Series B Preferred Stock
Led by Tuatara Capital Fund 1, L.P.
March 2017
Function(x) Inc.

$4,800,000

Public Offering of Common Stock
Represented Aegis Capital Corp. and Laidlaw & Company (UK) Ltd.
February 2017
AYTU BioScience, Inc.

$2,300,000

Warrant Exchange
Represented Joseph Gunnar & Co., LLC and Fordham Financial Management, Inc.
February 2017
Medovex Corp.

$4,150,000

Private Placement of Common Stock and Warrants
Debt Conversion
February 2017
XTL Biopharmaceuticals Ltd.

$2,500,000

Registered Direct Offering of American Depositary Shares
Private Placement of Warrants
February 2017
Evoke Pharma, Inc.

$7,000,200

Public Offering of Common Stock
Represented Laidlaw & Company (UK) Ltd. 
February 2017 
Vycor Medical Inc
Online Private Placement
January 2017
Majesco Entertainment Company

$2,300,200

Private Placement of Common Stock
December 2016
Marathon Patent Group, Inc.

$5,200,200

Registered Direct Offering of Common Stock
Private Placement of Warrants
December 2016
Ener-Core, Inc.

$3,600,000

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

$14,500,000

Registered Direct Offering of Common Stock
December 2016
Midwest Energy Emissions Corp.

$13,500,000

Private Placement of Common Stock
Oppenheimer & Co.
November 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
ToughBuilt Industries, Inc.

$6,100,000

Private Placement of Preferred Stock and Warrants
October 2016
ABT Holdings, Inc.

$5,000,000

Senior Secured Convertible Debentures
October 2016
FTE Networks, Inc.

$3,000,000

Private Placement of Common Stock and Warrants
Represented Laidlaw & Company (UK) Ltd. as Placement Agent
October 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
Towerstream Corporation

$4,000,000

Public Offering of Common Stock
September 2016
General Cannabis Corp.

$2,600,000

Senior Secured Promissory Notes
Common Stock Purchase 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
Rant, Inc.

$9,000,000

Acquisition of Assets
12% Secured Promissory Note & Preferred Stock
July 2016
MabVax Therapeutics Holdings, Inc.

$9,400,000

Public Offering
Common Stock & Warrants
August 2016
Aridis Pharmaceuticals, Inc.

$15,200,000

Private Placement of Common Stock and Warrants
August 2016
Medovex Corp.

$1,560,000

Private Placement of Common Stock and Warrants
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
Towerstream Corporation

$1,250,000

Private Placement of Series B Preferred Stock and Warrants
July 2016
Towerstream Corporation

$2,280,000

Registered Direct Offering of Common Stock
Private Placement of Warrants
June 2016
Chromadex Corporation

$5,250,000

Registered Direct Offering
Common Stock
June 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
Bridgeline Digital, Inc.

$1,355,000

Private Placement
Subordinated Convertible Notes
Represented Taglich Brothers, Inc. as Exclusive Placement Agent
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
Aytu BioScience, Inc. .

$7,500,000

Public Offering
Common Stock and Warrants
Represented Joseph Gunnar and Fordham Financial Management, Inc. as Lead Manager
May 2016
Synergy Pharmaceuticals Inc.

$89,800,000

Registered Direct Offering
Common Stock
May 2016
DelMar Pharmaceuticals

$7,500,000

Private Placement of Series B Preferred Stock
May 2016
Citius Pharmaceuticals Inc.

Acquisition

April 2016
ContraVir Pharmaceuticals, Inc.

$7,000,000

Public Offering
Common Stock and Warrants
April 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
Viatar CTC Solutions Inc.

$4,200,000

Private Placement of Convertible Preferred Stock
March 2016
Pershing Gold Corporation

$6,900,000

Private Placement of Common Stock and Warrants
Represented Laidlaw & Company (UK) Ltd. as Placement Agent
February 2016
Amarantus BioScience Holdings, Inc.

$3,000,000

Convertible Preferred Stock and Warrants
February 2016
MabVax Therapeutics Holdings, Inc.

$10,000,000

Debt
January 2016
Beacher's Madhouse

$2,500,000

Restructuring
December 2015
Rant Inc.

$3,500,000

Private Placement
Debt and Warrants
December 2015
Orbital Tracking Corp.

$1,100,000

PIPE
Convertible Note and Series F Preferred Stock
December 2015
OWC Pharmaceutical Research Corp.

$787,500

PIPE
Convertible Note & Common Stock
December 2015
CBC Biotechnologies Inc.

$2,000,000

Series A Round
December 2015
eMagin

$6,000,000

Registered Direct Offering
Common Stock and Warrants
December 2015
MusclePharm

$6,000,000

Secured Debt
December 2015
Takung Art Co.

$1,896,000

PIPE
Common Stock
November 2015
Chromadex, Inc.

$2,000,000

Registered Direct Offering
Common Stock & Warrants
November 2015
Genius Brands International

$4,333,000

PIPE
Common Stock & Warrants
November 2015
Calpian Inc.

$2,135,000

PIPE
Common Stock & Warrants
June 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
Rightscorp, Inc.

$1,032,000

PIPE
Common Stock & Warrants
October 9, 2015
MabVax Therapeutics

$2,750,000

Public Offering
Common Stock & Warrants
October 2015
OriginClear, Inc.

$1,500,000

Acquisition of Progressive Water Treatment
Series B Preferred Stock
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
Spectronix Ltd. Sale to Emerson Electric

$100,000,000

Represented by SRFF-DTKGC (Israel)
Reverse Triangular Merger
August 2015
One Horizon Group, Inc.

$3,000,000

Public Offering
Common Stock & Warrants
August 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
Cynata Therapeutics Limited

$5,000,000

Private Placement
Common Stock & Warrants
July 2015
PFO Global, Inc.

$4,000,000

Reverse Merger and Financing
8% Discount Senior Secured Convertible Debenture
July 2015
SITO Mobile, Ltd.

$3,700,000

Acquisition of Hipcricket's Mobile Advertising Business
July 2015
Wellsense

$2,000,000

Israeli based Company
Private Placement
Preferred Stock and Warrants
June 2015
Actinium Pharmaceuticals, Inc.

$5,000,000

Registered Direct Offering
Represented Sole Placement Agent
Common Stock
June 2015
Calpian Inc.

$1,400,000

PIPE
Common Stock & Warrants
June 2015
BiondVax Pharmaceuticals

$9,550,000

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

$24,000,000

IPO
Represented Laidlaw & Co. (UK) & Feltl and Co. as Underwriters
Common Stock & Warrants
May 2015
Dynatronics Corporation

$4,000,000

PIPE
Represented Ladenburg Thalmann & Co. Inc. as Placement Agent
Preferred Stocks & Warrants
May 2015
Bitcoin Shop, Inc.

$2,312,500

PIPE
Common Stock & Warrants
May 2015
Amarantus BioSciences

$5,000,000

PIPE Investment
Series G Preferred Stock
April 2015
Professional Diversity Network

$5,000,000

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

$11,700,000

PIPE
Represented Investor Axiom Capital Management, Inc.
April 2015
Pegasi Energy Resources Corp.

$1,875,000

PIPE
Common Stock & Warrants
March 2015
Cell Source, Inc.

$500,000

PIPE
Promissory Notes
March 2015
Can-Fite BioPharmaceutical Ltd.
Licensing Agreement with Cipher Pharmaceuticals, Inc.
March 2015
Citius Pharmaceuticals, LLC

$270,000

PIPE
Common Stock & Warrants
March 2015
Dais Analytic Corporation

$2,750,000

PIPE
Common Stock
March 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
OFebruary 2015
Orbital Tracking Corp.

$1,100,000

Share Exchange Agreement & PIPE
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
Full Swing Golf Inc.

Endorsement deal with Tiger Woods

January, 2015
Vuzix Corporation

$24,800,000

Investment from Intel
January, 2015
PlasmaTech Biopharmaceuticals, Inc.

$14,000,000

Represented H.C. Wainwright & Co. and Aegis Capital Corp as Underwriters
Common Stock and Warrants
December 2014
Great West Resources Inc.
Purchase of Globalstar Contracts from Global Telestat Corp. & License Agreement
December 2014
Medovex Corporation

$8,000,000

Initial Public Offering
Common Stock and Warrants
December 2014
SBI Investments LLC

$6,500,000

PIPE
Sold Membership Interests
December 2014
Can-Fite Biopharma Ltd.

$8,000,000

At-the-Market Registered Direct Offering
December 2014
Synergy Pharmaceuticals Inc.

$200,000,000

Rule 144A Offering of 7.5% Convertible Senior Notes
November 2014
MV Augusta
Partnership with Mercedes-AMG
November 2014
Cel-Sci Corporation

$6,000,000

Rep. Laidlaw & Co. (UK) Ltd. as Underwriters in Public Offering Common Stock & Warrants
October 2014
Contravir Pharmaceuticals, Inc.

$9,000,000

PIPE
Convertible Preferred Stock
November 2014
Towerstream Corporation

$35,000,000

Secured Financing
October 2014
Single Touch Interactive, Inc.

$11,000,000

PIPE & Financing from Fortress Investment Group
October 2014
Rightscorp, Inc.

$2,650,000

PIPE
September 2014
Citius Pharmacueticals, LLC

$2,040,000

Reverse Merger & PIPE
Labor Smart, Inc.

$1,100,000

Private Placement
Common Stock
August 2014
VBI Vaccines Inc.

$5,250,000

Private Placement - Common Stock & Warrants
Intellect Neurosciences, Inc.

$1,200,000

PIPE
Preferred Stock & Warrants
July 2014
Tonix Pharmaceuticals Holding Corp.

$7,800,000

Public Offering
Common Stock
July 2014