Equity

ToughBuilt Industries, Inc.

$6,100,000

Private Placement of Preferred Stock and Warrants
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
Towerstream Corporation

$4,000,000

Public Offering of Common Stock
September 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
iSign Solutions Inc.

$1,200,000

Public Offering
Common Stock and Warrants
Represented Axiom Capital Management, Inc. as Representative of the Underwriters
May 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
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
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
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
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
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
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
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
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
Medovex Corporation

$8,000,000

Initial Public Offering
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
Contravir Pharmaceuticals, Inc.

$9,000,000

PIPE
Convertible Preferred Stock
November 2014
Labor Smart, Inc.

$1,100,000

Private Placement
Common Stock
August 2014