PIPES

Aytu BioScience, Inc.

$11,800,000

Private Placement of Equity Securities
Series A Preferred Stock
Represented Joseph Gunnar and Co. as Lead Placement Agent
August 2017
MRI Interventions, Inc

$13,250,000

Public Offering of Common Stock and Warrants
Joseph Gunnar & Co. and Brookline Capital Markets
May 2017
Ener-Core, Inc.

$3,600,000

Private Placement of Warrants
Convertible Senior Secured Notes
Represented Oppenheimer & Co.
December 2016
Midwest Energy Emissions Corp.

$13,500,000

Private Placement of Common Stock
Oppenheimer & Co.
November 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
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
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
Bridgeline Digital, Inc.

$1,355,000

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

$6,000,000

Secured Debt
December 2015
Takung Art Co.

$1,896,000

PIPE
Common Stock
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
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
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
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