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A.G.P. Transactions - Underwritings, Placements & Advisories

A.G.P TRANSACTIONS BY YEAR

2024

Virpax Pharmaceuticals, Inc.

1,666,667 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: VRPX

May 2024

BriaCell Therapeutics Corp.

2,402,935 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: BCTX

May 2024

Safe & Green Holdings Corp.

1,379,310 Shares

Sole Placement Agent
Private Placement

NASDAQ: SGBX

May 2024

Cineverse Corp.

$15,000,000

Lead Sales Agent
At-The-Market Offering

NASDAQ: CNVS

May 2024

Lipocine Inc.

$10,616,169

Sole Sales Agent
At-The-Market Offering

NASDAQ: LPCN

April 2024

Soligenix, Inc.

11,875,000 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: SNGX

April 2024

NeuroSense Therapeutics Ltd.

2,980,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: NRSN

April 2024

Velo3D, Inc.

$12,000,000

Sole Placement Agent
Follow-On Offering

NYSE: VLD

April 2024

Matinas BioPharma Holdings, Inc.

$10,000,000

Sole Placement Agent
Registered Direct Offering

NYSE: MTNB

April 2024

Tonix Pharmaceuticals Holding Corp.

14,666,666 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: TNXP

March 2024

Organigram Holdings Inc.

C$25,000,000

Underwriter – A.G.P. Canada
Follow-On Offering

TSX: OGI

March 2024

Ayala Pharmaceuticals, Inc.

$87,500,000

Strategic Advisor
Closed Acquisition

Ticker: ADXS

March 2024

Spire Global, Inc.

$30,000,000

Sole Placement Agent
Registered Direct Offering

NYSE: SPIR

March 2024

ShiftPixy, Inc.

1,176,470 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: PIXY

March 2024

SELLAS Life Sciences Group, Inc.

$20,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: SLS

March 2024

Pangaea Logistics Solutions, Ltd.

$25,000,000

Sales Agent
At-The-Market Offering

NASDAQ: PANL

March 2024

BIGG Digital Assets Inc.

C$8,000,000

Sole Agent – A.G.P. Canada
Follow-On Offering

CSE: BIGG

March 2024

Quoin Pharmaceuticals Ltd.

4,062,500 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: QNRX

March 2024

Momentus Inc.

4,624,280 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: MNTS

March 2024

Meta Materials Inc.

850,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: MMAT

February 2024

Chromocell Therapeutics Corporation

1,100,000 Shares

Sole Book-Running Manager
Initial Public Offering

NYSE: CHRO

February 2024

Gorilla Technology Group Inc.

$10,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: GRRR

February 2024

Pluri Inc.

$10,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: PLUR

February 2024

Abacus Life, Inc.

$25,000,000

Joint Book-Running Manager
Senior Notes

NASDAQ: ABL

February 2024

Ayala Pharmaceuticals, Inc.

$87,500,000

Strategic Advisor
Fairness Opinion

Ticker: ADXS

February 2024

GRI Bio, Inc.

5,000,000 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: GRI

February 2024

CNS Pharmaceuticals, Inc.

13,333,334 Shares

Lead Placement Agent
Follow-On Offering

NASDAQ: CNSP

January 2024

Seelos Therapeutics, Inc.

3,404,256 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: SEEL

January 2024

Aspira Women’s Health Inc.

1,571,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: AWH

January 2024

Brenmiller Energy Ltd.

888,890 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: BNRG

January 2024

Canopy Growth Corporation

$35,000,000

Lead Placement Agent
Private Placement

NASDAQ: CGC

January 2024

Myomo, Inc.

1,578,948 Shares

Sole Placement Agent
Registered Direct Offering

NYSE: MYO

January 2024

Momentus Inc.

3,687,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: MNTS

January 2024

Ekso Bionics Holdings, Inc.

2,967,742 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: EKSO

January 2024

Abeona Therapeutics Inc.

$50,000,000

Advisor & Sole Lead Arranger
Credit Facility

NASDAQ: ABEO

January 2024

SELLAS Life Sciences Group, Inc.

$9,000,000

Sole Placement Agent
Follow-On Offering

NASDAQ: SLS

January 2024

2023

Velo3D, Inc.

$18,000,000

Sole Placement Agent
Registered Direct Offering

NYSE: VLD

December 2023

Velo3D, Inc.

$55,000,000

Exclusive Financial Advisor
Debt Restructuring

NYSE: VLD

December 2023

Tonix Pharmaceuticals Holding Corp.

$30,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: TNXP

December 2023

Motus GI Holdings, Inc.

3,333,334 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: MOTS

December 2023

Ault Alliance, Inc.

$41,500,000

Exclusive Financial Advisor
Secured Notes

NYSE: AULT

December 2023

Tonix Pharmaceuticals Holding Corp.

$11,000,000

Exclusive Financial Advisor
Term Loan

NASDAQ: TNXP

December 2023

Western Uranium & Vanadium Corp.

5,215,828 Shares

Sole Agent – A.G.P. Canada
Follow-On Offering

CSE: WUC

December 2023

Foresight Autonomous Holdings Ltd.

4,500,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: FRSX

December 2023

ZyVersa Therapeutics, Inc.

4,000,000 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: ZVSA

December 2023

iBio, Inc.

2,250,000 Shares

Lead Placement Agent
Follow-On Offering

NYSE: IBIO

December 2023

Meta Materials Inc.

75,000,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: MMAT

December 2023

Else Nutrition Holdings Inc.

13,000,000 Shares

Sole Agent – A.G.P. Canada
Follow-On Offering

TSX: BABY

November 2023

Acurx Pharmaceuticals, Inc.

$17,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: ACXP

November 2023

Cybin Inc.

$30,000,000

Sole Book-Running Manager
Follow-On Offering

NYSE: CYBN

November 2023

Momentus Inc.

2,904,269 Shares

Exclusive Financial Advisor
Warrant Inducement

NASDAQ: MNTS

November 2023

Abacus Life, Inc.

$31,000,000

Co-Manager
Follow-On Offering

NASDAQ: ABL

November 2023

SELLAS Life Sciences Group, Inc.

3,652,300 Shares

Lead Placement Agent
Registered Direct Offering

NASDAQ: SLS

October 2023

IGC Pharma, Inc.

$60,000,000

Sole Sales Agent
At-The-Market Offering

NYSE: IGC

October 2023

Vivos Therapeutics, Inc.

980,393 Shares

Sole Placement Agent
Private Placement

NASDAQ: VVOS

October 2023

CNS Pharmaceuticals, Inc.

3,756,000 Shares

Exclusive Financial Advisor
Warrant Inducement

NASDAQ: CNSP

October 2023

Versus Systems Inc.

13,043,490 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: VS

October 2023

OpGen, Inc.

$11,200,000

Exclusive Financial Advisor
Warrant Inducement

NASDAQ: OPGN

October 2023

Athersys, Inc.

28,124,590 Shares

Exclusive Financial Advisor
Warrant Inducement

NASDAQ: ATHX

October 2023

EuroDry Ltd.

$6,680,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: EDRY

October 2023

ShiftPixy, Inc.

2,265,000 Shares

Exclusive Financial Advisor
Registered Direct Offering

NASDAQ: PIXY

October 2023

Starbox Group Holdings Ltd.

$30,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: STBX

October 2023

Momentus Inc.

2,000,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: MNTS

October 2023

Hepion Pharmaceuticals, Inc.

980,393 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: HEPA

September 2023

Vaccinex, Inc.

$9,600,000

Sole Placement Agent
Follow-On Offering

NASDAQ: VCNX

September 2023

Tonix Pharmaceuticals Holding Corp.

9,000,000 Shares

Lead Placement Agent
Follow-On Offering

NASDAQ: TNXP

September 2023

Faraday Future Intelligent Electric Inc.

$90,000,000

Sales Agent
At-The-Market Offering

NASDAQ: FFIE

September 2023

Conduit Pharmaceuticals Inc.

$720,000,000

Exclusive Financial Advisor
Closed Acquisition

NASDAQ: CDT

September 2023

Conduit Pharmaceuticals Inc.

$20,000,000

Sole Placement Agent
Private Placement

NASDAQ: CDT

September 2023

Neptune Wellness Solutions Inc.

1,800,000 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: NEPT

September 2023

Tritium DCFC Limited

$75,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: DCFC

September 2023

Gorilla Technology Group Inc.

$25,000,000

Co-Lead Placement Agent
Registered Direct Offering

NASDAQ: GRRR

September 2023

Flora Growth Corp.

1,369,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: FLGC

September 2023

PennyMac Mortgage Investment Trust

$50,000,000

Co-Manager
Senior Notes

NYSE: PMT

September 2023

Canopy Growth Corporation

$50,000,000

Lead Placement Agent
Private Placement

NASDAQ: CGC

September 2023

Momentus Inc.

672,948 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: MNTS

September 2023

American Battery Technology Company

$50,000,000

Sole Placement Agent
Senior Secured Convertible Note

OTC MKT: ABML

August 2023

Myomo, Inc.

7,333,334 Shares

Sole Placement Agent
Follow-On Offering

NYSE: MYO

August 2023

Athersys, Inc.

10,937,500 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: ATHX

August 2023

Creative Realities, Inc.

3,000,000 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: CREX

August 2023

180 Life Sciences Corp.

4,615,385 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: ATNF

August 2023

Nxu, Inc.

16,666,667 Shares

Lead Placement Agent
Follow-On Offering

NASDAQ: NXU

August 2023

Astra Space, Inc.

$20,000,000

Sole Placement Agent
Senior Secured Notes

Nasdaq: ASTR

August 2023

SVES Apparel LLC

$28,000,000

Sole Placement Agent
Senior Secured Note

August 2023

Aptevo Therapeutics Inc.

8,064,517 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: APVO

August 2023

Cybin Inc.

$8,250,000

Lead Manager
Follow-On Offering

NYSE: CYBN

August 2023

Tonix Pharmaceuticals Holding Corp.

7,000,000 Shares

Lead Placement Agent
Follow-On Offering

NASDAQ: TNXP

July 2023

Celularity Inc.

8,571,428 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: CELU

July 2023

Nano-X Imaging Ltd.

$30,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: NNOX

July 2023

ZyVersa Therapeutics, Inc.

12,727,273 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: ZVSA

July 2023

Ault Alliance, Inc.

$8,800,000

Sole Placement Agent
Senior Secured Note

NYSE: AULT

July 2023

Cosmos Health Inc.

2,116,936 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: COSM

July 2023

Aspira Women’s Health Inc.

1,694,820 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: AWH

July 2023

Lixte Biotechnology Holdings, Inc.

583,334 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: LIXT

July 2023

Evogene Ltd.

$8,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: EVGN

July 2023

ShiftPixy, Inc.

2,066,667 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: PIXY

July 2023

Allarity Therapeutics, Inc.

$11,000,000

Sole Placement Agent
Follow-On Offering

NASDAQ: ALLR

July 2023

Abeona Therapeutics Inc.

$25,000,000

Co-Placement Agent
Registered Direct Offering

NASDAQ: ABEO

July 2023

Greenlane Holdings, Inc.

3,809,524 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: GNLN

June 2023

Bukit Jalil Global Acquisition 1 Ltd.

$50,000,000

Sole Book-Running Manager
Initial Public Offering

NASDAQ: BUJAU

June 2023

NeuroSense Therapeutics Ltd.

3,000,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: NRSN

June 2023

Verastem, Inc.

$85,000,000

Co-Manager
Follow-On Offering

NASDAQ: VSTM

June 2023

Precision Optics Corporation, Inc.

420,000 Shares

Sole Placement Agent
Private Placement

NASDAQ: POCI

June 2023

Cineverse Corp.

$8,000,000

Lead Placement Agent
Follow-On Offering

NASDAQ: CNVS

June 2023

Brenmiller Energy Ltd

$9,350,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: BNRG

June 2023

Precipio, Inc.

4,444,445 Shares

Exclusive Financial Advisor
Registered Direct Offering

NASDAQ: PRPO

June 2023

AgEagle Aerial Systems, Inc.

16,720,000 Shares

Sole Placement Agent
Registered Direct Offering

NYSE: UAVS

June 2023

Inuvo, Inc.

16,000,000 Shares

Sole Placement Agent
Registered Direct Offering

NYSE: INUV

May 2023

InspireMD, Inc.

$113,600,000

Financial Advisor
Private Placement

NASDAQ: NSPR

May 2023

Upexi, Inc.

2,121,213 Shares

Lead Placement Agent
Registered Direct Offering

NASDAQ: UPXI

May 2023

Neptune Wellness Solutions Inc.

12,121,212 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: NEPT

May 2023

Soligenix, Inc.

$8,500,000

Sole Placement Agent
Follow-On Offering

NASDAQ: SNGX

May 2023

ZyVersa Therapeutics, Inc.

$11,000,000

Lead Placement Agent
Follow-On Offering

NASDAQ: ZVSA

April 2023

Allarity Therapeutics, Inc.

10,000,000 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: ALLR

April 2023

Athersys, Inc.

3,685,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: ATHX

April 2023

Meta Materials Inc.

$25,000,000

Joint Book-Running Manager
Follow-On Offering

NASDAQ: MMAT

April 2023

180 Life Sciences Corp.

1,570,680 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: ATNF

April 2023

Celularity Inc.

9,230,770 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: CELU

April 2023

U.S. Gold Corp.

870,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: USAU

April 2023

Nogin, Inc.

$22,000,000

Lead Placement Agent
Follow-On Offering

NASDAQ: NOGN

April 2023

Digital Media Solutions, Inc.

$14,000,000

Financial Advisor
Private Placement

NYSE: DMS

March 2023

Spectra7 Microsystems Inc.

5,990,000 Shares

Sole Placement Agent
Private Placement

TSXV: SEV

March 2023

UpHealth, Inc.

3,000,000 Shares

Sole Placement Agent
Private Placement

NYSE: UPH

March 2023

Mount Rainier Acquisition Corp.

$1,280,000,000

Exclusive Financial Advisor
Closed Acquisition

NASDAQ: RNERU

February 2023

Genprex, Inc.

3,809,524 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: GNPX

February 2023

Enservco Corporation

7,000,000 Shares

Sole Placement Agent
Follow-On Offering

NYSE: ENSV

February 2023

Quoin Pharmaceuticals Ltd.

7,000,000 Shares

Lead Placement Agent
Follow-On Offering

NASDAQ: QNRX

February 2023

Ur-Energy Inc.

$46,100,000

Co-Manager
Follow-On Offering

NYSE: URG

February 2023

Kontrol Technologies Corp.

7,695,840 Shares

Sole Placement Agent
Private Placement

NEO: KNR

February 2023

EMCORE Corporation

$17,000,000

Sole Placement Agent
Follow-On Offering

NASDAQ: EMKR

February 2023

Relativity Acquisition Corp.

$707,250,000

Exclusive Financial Advisor
Planned Acquisition

NASDAQ: RACY

February 2023

Integrated Wellness Acquisition Corp.

$197,970,000

Exclusive Financial Advisor
Planned Acquisition

NASDAQ: WEL

February 2023

Auxly Cannabis Group Inc.

96,000,000 Shares

Exclusive Financial Advisor
Private Placement

TSX: XLY

February 2023

Canoo Inc.

$52,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: GOEV

February 2023

HeartBeam, Inc.

$13,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: BEAT

February 2023

ENGlobal Corporation

3,971,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: ENG

February 2023

ShiftPixy, Inc.

$8,187,827

Sole Sales Agent
At-The-Market Offering

NASDAQ: PIXY

January 2023

Village Farms International, Inc.

$25,000,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: VFF

January 2023

Arcimoto, Inc.

$12,000,000

Sole Placement Agent
Follow-On Offering

NASDAQ: FUV

January 2023

LightPath Technologies, Inc.

$10,000,000

Sole Placement Agent
Follow-On Offering

NASDAQ: LPTH

January 2023

Myomo, Inc.

20,000,000 Shares

Sole Placement Agent
Follow-On Offering

NYSE: MYO

January 2023

Steakholder Foods Ltd.

6,500,000 Shares

Sole Book-Running Manager
Follow-On Offering

NASDAQ: STKH

January 2023

Vivos Therapeutics, Inc.

$8,000,000

Co-Placement Agent
Private Placement

NASDAQ: VVOS

January 2023

2022

IceCure Medical Ltd.

$14,500,000

Lead Placement Agent
Follow-On Offering

NASDAQ: ICCM

December 2022

180 Life Sciences Corp.

1,714,286 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: ATNF

December 2022

Cosmos Health Inc.

$32,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: COSM

December 2022

Flora Growth Corp.

12,500,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: FLGC

December 2022

Larkspur Health Acquisition Corp.

$108,920,000

Exclusive Financial Advisor
Closed Acquisition

NASDAQ: LSPRU

December 2022

OncoSec Medical Incorporated

1,166,667 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: ONCS

November 2022

Western Acquisition Ventures Corp.

$170,438,515

Exclusive Financial Advisor
Planned Acquisition

NASDAQ: WAVS

November 2022

Athersys, Inc.

5,004,545 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: ATHX

November 2022

iSun, Inc.

$25,000,000

Sole Placement Agent
Debt Facility

NASDAQ: ISUN

November 2022

Murphy Canyon Acquisition Corp.

$700,493,750

Exclusive Financial Advisor
Planned Acquisition

NASDAQ: MURFU

November 2022

Cresco Labs, Inc.

$185,000,000

Financial Advisor
Fairness Opinion

CSE: CL

November 2022

Hepion Pharmaceuticals, Inc.

$20,000,000

Sole Placement Agent
Private Placement

NASDAQ: HEPA

November 2022

Greenlane Holdings, Inc.

8,333,335 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: GNLN

October 2022

Verb Technology Company, Inc.

12,500,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: VERB

October 2022

Tonix Pharmaceuticals Holding Corp.

$15,000,000

Sole Placement Agent
Private Placement

NASDAQ: TNXP

October 2022

American Virtual Cloud Technologies, Inc.

$10,000,000

Co-Lead Placement Agent
Registered Direct Offering

NASDAQ: AVCT

October 2022

Cosmos Holdings Inc.

62,500,000 Shares

Sole Placement Agent
Follow-On Offering

NASDAQ: COSM

October 2022

Digital Ally, Inc.

$15,000,000

Exclusive Placement Agent
Private Placement

NASDAQ: DGLY

October 2022

Neptune Wellness Solutions Inc.

3,208,557 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: NEPT

October 2022

XORTX Therapeutics Inc.

5,000,000 Shares

Sole Book-Running Manager
Follow-On Offering

NASDAQ: XRTX

October 2022

Akerna Corp.

500,000 Preferred Shares

Exclusive Financial Advisor
Private Placement

NASDAQ: KERN

October 2022

voxeljet AG

1,279,070 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: VJET

September 2022

Cosmos Holdings Inc.

$50,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: COSM

September 2022

ShiftPixy, Inc.

416,667 Shares

Sole Placement Agent
Private Placement

NASDAQ: PIXY

September 2022

Akari Therapeutics, Plc

$12,750,000

Placement Agent
Registered Direct Offering

NASDAQ: AKTX

September 2022

Reviva Pharmaceuticals Holdings, Inc.

$8,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: RVPH

September 2022

Athersys, Inc.

$12,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: ATHX

August 2022

Swvl Holdings Corp

$20,000,000

Sole Placement Agent
Private Placement

NASDAQ: SWVL

August 2022

Village Farms International, Inc.

$50,000,000

Sales Agent
At-The-Market Offering

NASDAQ: VFF

August 2022

Tonix Pharmaceuticals Holding Corp.

$320,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: TNXP

August 2022

Quoin Pharmaceuticals Ltd.

$16,800,000

Sole Placement Agent
Follow-On Offering

NASDAQ: QNRX

August 2022

VivoPower International PLC

4,230,770 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: VVPR

July 2022

Acurx Pharmaceuticals, Inc.

1,289,980 Shares

Lead Placement Agent
Registered Direct Offering

NASDAQ: ACXP

July 2022

Larkspur Health Acquisition Corp.

$108,920,000

Exclusive Financial Advisor
Planned Acquisition

NASDAQ: LSPRU

July 2022

Synthetic Biologics, Inc.

Convertible Preferred Stock

Exclusive Financial Advisor
Private Placement

NYSE: SYN

July 2022

VIQ Solutions Inc.

3,551,852 Shares

Sole Placement Agent
Private Placement

NASDAQ: VQS

July 2022

180 Life Sciences Corp.

6,132,076 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: ATNF

July 2022

Alpine 4 Holdings, Inc.

$10,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: ALPP

July 2022

Akerna Corp.

$10,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: KERN

June 2022

MeaTech 3D Ltd.

1,857,143 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: MITC

June 2022

Greenlane Holdings, Inc.

21,600,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: GNLN

June 2022

Meta Materials Inc.

$50,000,000

Co-Lead Placement Agent
Registered Direct Offering

NASDAQ: MMAT

June 2022

Tonix Pharmaceuticals Holding Corp.

$30,000,000

Sole Placement Agent
Private Placement

NASDAQ: TNXP

June 2022

Fusion Fuel Green PLC

$30,000,000

Financial Advisor
At-The-Market Offering

NASDAQ: HTOO

June 2022

Aquestive Therapeutics, Inc.

$8,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: AQST

June 2022

InspireMD, Inc.

$8,300,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: NSPR

June 2022

AgileThought, Inc.

$58,000,000

Sole Placement Agent
Senior Secured Loan & Revolver

NASDAQ: AGIL

May 2022

Celularity Inc.

$30,000,000

Sole Placement Agent
Private Placement

NASDAQ: CELU

May 2022

Orbital Energy Group, Inc.

$21,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: OEG

April 2022

Abeona Therapeutics Inc.

$25,000,000

Sole Placement Agent
Private Placement

NASDAQ: ABEO

April 2022

Verb Technology Company, Inc.

$11,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: VERB

April 2022

Orbital Energy Group, Inc.

$50,000,000

Lead Sales Agent
At-The-Market Offering

NASDAQ: OEG

April 2022

G Medical Innovations Holdings Ltd.

$8,000,000

Sole Placement Agent
Private Placement

NASDAQ: GMVD

April 2022

NLS Pharmaceutics Ltd.

4,200,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: NLSP

April 2022

Kintara Therapeutics, Inc.

$8,600,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: KTRA

April 2022

Stealth BioTherapeutics Corp

5,583,028 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: MITO

April 2022

Celsion Corporation

1,328,274 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: CLSN

April 2022

The Valens Company Inc.

$26,000,000

Co-Lead Underwriter
Bought Deal

NASDAQ: VLNS

March 2022

Vicinity Motor Corp.

$12,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: VEV

March 2022

Mount Rainier Acquisition Corp.

$1,280,000,000

Exclusive Financial Advisor
Planned Acquisition

NASDAQ: RNERU

March 2022

Cresco Labs, Inc.

$2,000,000,000

Financial Advisor
Fairness Opinion

CSE: CL

March 2022

Nymox Pharmaceutical Corporation

3,878,789 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: NYMX

March 2022

U.S. Gold Corp.

625,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: USAU

March 2022

Agrify Corporation

$135,000,000

Sole Placement Agent
Senior Secured Note

NASDAQ: AGFY

March 2022

Synthetic Biologics, Inc.

Financial Advisory

Exclusive Financial Advisor
Acquisition

NYSE: SYN

March 2022

Neptune Wellness Solutions Inc.

$8,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: NEPT

March 2022

Alpine 4 Holdings, Inc.

$50,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: ALPP

March 2022

LightPath Technologies, Inc.

$25,200,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: LPTH

February 2022

Enveric Biosciences, Inc.

$10,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: ENVB

February 2022

Relativity Acquisition Corp.

$143,750,000

Sole Book-Running Manager
Initial Public Offering

NASDAQ: RACYU

February 2022

Creative Realities, Inc.

$11,000,000

Sole Placement Agent
Private Placement

NASDAQ: CREX

February 2022

Murphy Canyon Acquisition Corp.

$132,250,000

Sole Book-Running Manager
Initial Public Offering

NASDAQ: MURFU

February 2022

Verano Holdings Corp.

US$413,000,000

Financial Advisor
Planned Acquisition

CSE: VRNO

February 2022

G Medical Innovations Holdings Ltd

$12,000,000

Sole Placement Agent
Private Placement

NASDAQ: GMVD

January 2022

ShiftPixy, Inc.

4,948,453 Shares

Exclusive Financial Advisor
Warrant Restructuring

NASDAQ: PIXY

January 2022

Tanzanian Gold Corporation

17,948,718 Shares

Sole Placement Agent
Registered Direct Offering

NYSE: TRX

January 2022

Verb Technology Company, Inc.

Financial Advisory

Exclusive Financial Advisor
Senior Secured Convertible Notes

NASDAQ: VERB

January 2022

Verb Technology Company, Inc.

$50,000,000

Exclusive Financial Advisor
Equity Line of Credit

NASDAQ: VERB

January 2022

ENGlobal Corporation

$30,000,000

Financial Advisor
At-The-Market Offering

NASDAQ: ENG

January 2022

Western Acquisition Ventures Corp.

$115,000,000

Sole Book-Running Manager
Initial Public Offering

NASDAQ: WAVSU

January 2022

Celsion Corporation

$30,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: CLSN

January 2022

Ocean Power Technologies, Inc.

$75,000,000

Sole Sales Agent
At-The-Market Offering

NYSE: OPTT

January 2022

2021

Tonix Pharmaceuticals Holding Corp.

$240,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: TNXP

December 2021

AgileThought, Inc.

$25,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: AGIL

December 2021

Larkspur Health Acquisition Corp.

$77,671,590

Sole Book-Running Manager
Initial Public Offering

NASDAQ: LSPRU

December 2021

Abeona Therapeutics Inc.

$17,500,000

Lead Manager
Follow-On Offering

NASDAQ: ABEO

December 2021

Ault Disruptive Technologies Corporation

$115,000,000

Sole Book-Running Manager
Initial Public Offering

NASDAQ: ADRTU

December 2021

Synthetic Biologics, Inc.

Financial Advisory

Exclusive Financial Advisor
Planned Acquisition

NYSE: SYN

December 2021

Ampio Pharmaceuticals, Inc.

$22,500,000

Sole Placement Agent
Registered Direct Offering

NYSE: AMPE

December 2021

Nymox Pharmaceutical Corporation

$10,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: NYMX

December 2021

IceCure Medical Ltd.

$17,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: ICCM

December 2021

Altamira Therapeutics Ltd.

$7,450,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: CYTO

December 2021

Qualigen Therapeutics, Inc.

$8,820,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: QLGN

November 2021

Alpine 4 Holdings, Inc.

$24,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: ALPP

November 2021

Flora Growth Corp.

$34,500,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: FLGC

November 2021

Muscle Maker, Inc.

$15,000,000

Sole Placement Agent
Private Placement

NASDAQ: GRIL

November 2021

VivoPower International PLC

$10,449,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: VVPR

November 2021

Digital Health Acquisition Corp.

$115,000,000

Sole Book-Running Manager
Initial Public Offering

NASDAQ: DHACU

November 2021

SG Blocks, Inc.

$11,550,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: SGBX

October 2021

Industrial Human Capital, Inc.

$115,000,000

Sole Book-Running Manager
Initial Public Offering

NYSE: AXHU

October 2021

The Very Good Food Company Inc.

$30,000,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: VGFC

October 2021

XORTX Therapeutics Inc.

$13,468,011

Sole Book-Running Manager
Initial Public Offering

NASDAQ: XRTX

October 2021

NeuroOne Medical Technologies Corporation

$12,000,000

Financial Advisor
Follow-On Offering

NASDAQ: NMTC

October 2021

Innocan Pharma Corporation

C$8,200,000

Exclusive Placement Agent
Private Placement

CSE: INNO

October 2021

Mount Rainier Acquisition Corp.

$172,500,000

Sole Book-Running Manager
Initial Public Offering

NASDAQ: RNERU

October 2021

Agrify Corporation

$50,000,000

Exclusive Financial Advisor
Acquisition

NASDAQ: AGFY

October 2021

American Manganese Inc.

C$20,000,000

Exclusive Placement Agent
Private Placement

TSXV: AMY

September 2021

Nxt-ID, Inc.

$12,500,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: NXTD

September 2021

Aurora Spine Corporation

11,220,930 Shares

Exclusive U.S. Placement Agent
Private Placement

TSXV: ASG

September 2021

VIQ Solutions Inc.

$18,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: VQS

September 2021

ShiftPixy, Inc.

$12,000,000

Sole Placement Agent
Private Placement

NASDAQ: PIXY

September 2021

HEXO Corp.

$144,800,000

Lead Book-Running Manager
Follow-On Offering

NASDAQ: HEXO

August 2021

Greenlane Holdings, Inc.

$32,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: GNLN

August 2021

The Singing Machine Company, Inc.

$10,000,000

Exclusive Financial Advisor
Private Placement

OTC MKT: SMDM

August 2021

Akerna Corp.

$25,000,000

Sales Agent
At-The-Market Offering

NASDAQ: KERN

July 2021

Spectral Medical Inc.

C$10,000,000

Sole U.S. Sub-Agent
Bought Deal

TSX: EDT

July 2021

Orbital Energy Group, Inc.

$38,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: OEG

July 2021

voxeljet AG

$10,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: VJET

July 2021

INmune Bio, Inc.

$40,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: INMB

July 2021

Presidio Property Trust, Inc.

$10,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: SQFT

July 2021

Khiron Life Sciences Corp.

C$12,345,750

Lead Placement Agent
Private Placement

TSXV: KHRN

July 2021

Eco Wave Power Global AB

$9,200,000

Sole Book-Running Manager
Initial Public Offering

NASDAQ: WAVE

July 2021

Myomo, Inc.

$15,000,000

Sole Sales Agent
At-The-Market Offering

NYSE: MYO

June 2021

Columbia Care, Inc.

$74,500,000

Financial Advisor
Senior Secured Convertible Notes

CSE: CCHW

June 2021

Sentia Wellness, Inc.

Financial Advisor
Private Sale

Private

June 2021

Enthusiast Gaming Holdings Inc.

$46,000,000

Co-Manager
Follow-On Offering

NASDAQ: EGLX

June 2021

Columbia Care, Inc.

$240,000,000

Co-Lead Financial Advisor
Acquisition

CSE: CCHW

June 2021

Aterian, Inc.

$40,000,000

Sole Placement Agent
Private Placement

NASDAQ: ATER

June 2021

Auxly Cannabis Group Inc.

C$17,250,345

Sole U.S. Sub-Agent
Bought Deal

TSX: XLY

June 2021

MoSys, Inc.

$13,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: MOSY

June 2021

Ocuphire Pharma, Inc.

$15,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: OCUP

June 2021

Alexco Resource Corp.

C$25,000,000

Underwriter
Bought Deal

NYSE: AXU

June 2021

ENGlobal Corporation

$20,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: ENG

June 2021

HEXO Corp.

C$235,000,000

Financial Advisor
Acquisition

NYSE: HEXO

June 2021

Inuvo, Inc.

$35,000,000

Sole Sales Agent
At-The-Market Offering

NYSE: INUV

May 2021

HEXO Corp

$360,000,000

Sole Placement Agent
Senior Secured Convertible Notes

NYSE: HEXO

May 2021

Kontrol Technologies Corp.

C$8,500,000

Sole Placement Agent
Private Placement

OTCQB: KNRLF

May 2021

High Tide Inc.

C$23,000,000

Exclusive U.S. Sub-Agent
Bought Deal

TSXV: HITI

May 2021

The Valens Company Inc.

C$40,000,000

Financial Advisor
Bought Deal

TSX: VLNS

May 2021

KULR Technology Group, Inc.

2,600,000 Shares

Financial Advisor
Follow-On Offering

OTC MKT: KULR

May 2021

ShiftPixy, Inc.

$12,000,000

Sole Placement Agent
Private Placement

NASDAQ: PIXY

May 2021

Ynvisible Interactive Inc.

C$12,000,000

Sole Placement Agent
Private Placement

TSXV: YNV

May 2021

HEXO Corp.

C$150,000,000

Sales Agent
At-The-Market Offering

NYSE: HEXO

May 2021

IM Cannabis Corp.

$35,000,000

Co-Lead Placement Agent
Registered Direct Offering

NASDAQ: IMCC

May 2021

Synthetic Biologics, Inc.

$75,000,000

Sales Agent
At-The-Market Offering

NYSE: SYN

May 2021

Nymox Pharmaceutical Corporation

$8,000,000

Sole Placement Agent
Private Placement

NASDAQ: NYMX

April 2021

American Battery Metals Corporation

$15,000,000

Sole Placement Agent
Registered Direct Offering

OTC MKT: ABML

April 2021

Tonix Pharmaceuticals Holding Corp.

$170,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: TNXP

April 2021

Advaxis, Inc.

$20,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: ADXS

April 2021

Mohawk Group Holdings, Inc.

$110,000,000

Sole Placement Agent
Senior Secured Notes

NASDAQ: MWK

April 2021

mCloud Technologies Corp.

C$14,490,000

Lead U.S. Placement Agent
Follow-On Offering

OTC MKT: MCLDF

April 2021

Muscle Maker, Inc.

$10,000,000

Sole Placement Agent
Private Placement

NASDAQ: GRIL

April 2021

Precipio, Inc.

$22,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: PRPO

April 2021

Future FinTech Group Inc.

$35,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: FTFT

April 2021

Celsion Corporation

$15,000,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: CLSN

April 2021

Barnwell Industries, Inc.

$7,398,672

Sole Sales Agent
At-The-Market Offering

NYSE: BRN

March 2021

Almaden Minerals Ltd.

$10,300,000

Sole Placement Agent
Registered Direct Offering

NYSE: AAU

March 2021

Verb Technology Company, Inc.

$15,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: VERB

March 2021

OpGen, Inc.

$9,700,000

Exclusive Financial Advisor
Warrant Restructuring

NASDAQ: OPGN

March 2021

TD Holdings, Inc.

808,891 Shares

Financial Advisor
Warrant Restructuring

NASDAQ: GLG

March 2021

Rimini Street, Inc.

$60,000,000

Financial Advisor
Follow-On Offering

NASDAQ: RMNI

March 2021

Oragenics, Inc.

$17,462,500

Sole Sales Agent
At-The-Market Offering

NYSE: OGEN

March 2021

RADA Electronic Industries Ltd.

$51,750,000

Lead Manager
Follow-On Offering

NASDAQ: RADA

March 2021

MICT, Inc.

$54,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: MICT

March 2021

Heska Corporation

$175,000,000

Co-Manager
Follow-On Offering

NASDAQ: HSKA

March 2021

BTCS Inc.

$9,500,000

Sole Placement Agent
Registered Direct Offering

OTC MKT: BTCS

March 2021

One Stop Systems, Inc.

$10,000,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: OSS

March 2021

Powerbridge Technologies Co., Ltd.

$30,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: PBTS

February 2021

KushCo Holdings, Inc.

$40,000,000

Sole Placement Agent
Registered Direct Offering

OTC MKT: KSHB

February 2021

Xtant Medical Holdings, Inc.

$20,000,000

Sole Placement Agent
Private Placement

NYSE: XTNT

February 2021

MMTEC, Inc.

$15,910,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: MTC

February 2021

Creative Realities, Inc.

800,000 Shares

Financial Advisor
Registered Direct Offering

NASDAQ: CREX

February 2021

Neptune Wellness Solutions Inc.

$55,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: NEPT

February 2021

MoSys, Inc.

1,487,601 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: MOSY

February 2021

ION Geophysical Corporation

$10,500,000

Sole Placement Agent
Registered Direct Offering

NYSE: IO

February 2021

Safe-T Group Ltd

$9,750,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: SFET

February 2021

Alpine 4 Technologies Ltd.

$50,000,000

Sole Placement Agent
Registered Direct Offering

OTC MKT: ALPP

February 2021

NewAge, Inc.

$100,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: NBEV

February 2021

MICT, Inc.

$60,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: MICT

February 2021

FSD Pharma Inc.

$20,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: HUGE

February 2021

voxeljet AG

$12,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: VJET

February 2021

The ExOne Company

$90,000,000

Co-Manager
Follow-On Offering

NASDAQ: XONE

February 2021

Synthetic Biologics, Inc.

$30,000,000

Sales Agent
At-The-Market Offering

NYSE: SYN

February 2021

Future FinTech Group Inc.

$11,900,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: FTFT

February 2021

OpGen, Inc.

$25,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: OPGN

February 2021

Tanzanian Gold Corporation

$21,400,000

Sole Placement Agent
Registered Direct Offering

NYSE: TRX

February 2021

Genprex, Inc.

$25,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: GNPX

February 2021

Enservco Corporation

$9,660,000

Sole Book-Running Manager
Follow-On Offering

NYSE: ENSV

February 2021

Tonix Pharmaceuticals Holding Corp.

$70,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: TNXP

February 2021

Itamar Medical Ltd.

$44,800,000

Financial Advisor
Follow-On Offering

NASDAQ: ITMR

February 2021

Vislink Technologies, Inc.

$50,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: VISL

February 2021

InspireMD, Inc.

$20,700,000

Sole Book-Running Manager
Follow-On Offering

NYSE: NSPR

February 2021

Cinedigm Corp.

5,600,000 Shares

Financial Advisor
Registered Direct Offering

NASDAQ: CIDM

February 2021

Pluristem Therapeutics Inc.

$30,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: PSTI

February 2021

Mohawk Group Holdings, Inc.

$16,500,000

Sole Placement Agent
Senior Secured Note

NASDAQ: MWK

February 2021

Oragenics, Inc.

$20,000,000

Sole Sales Agent
At-The-Market Offering

NYSE: OGEN

February 2021

Avino Silver & Gold Mines, Inc.

$25,000,000

Sales Agent
At-The-Market Offering

NYSE: ASM

January 2021

Sundial Growers Inc.

$100,000,000

Co-Manager
Follow-On Offering

NASDAQ: SNDL

January 2021

JanOne Inc.

571,428 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: JAN

January 2021

McEwen Mining Inc.

$11,821,000

Placement Agent
Private Placement

NYSE: MUX

January 2021

Americas Gold and Silver Corporation

C$30,000,185

Underwriter
Bought Deal

NYSE: USAS

January 2021

OncoSec Medical Incorporated

$42,000,000

Lead Manager
Follow-On Offering

NASDAQ: ONCS

January 2021

Celsion Corporation

$35,000,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: CLSN

January 2021

Foresight Autonomous Holdings Ltd.

$60,000,000

At-The-Market Offering
Sole Sales Agent

NASDAQ: FRSX

January 2021

Inuvo, Inc.

5,681,817 Shares

Sole Placement Agent
Registered Direct Offering

NYSE: INUV

January 2021

Sundial Growers, Inc.

$400,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: SNDL

January 2021

Cresco Labs, Inc.

$125,000,000

US Lead
Exclusive Sub-Agent
Follow-On Offering

CSE: CL

January 2021

Village Farms International, Inc.

$135,000,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: VFF

January 2021

Auris Medical Holding, Ltd.

$8,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: EARS

January 2021

voxeljet AG

$10,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: VJET

January 2021

Orbital Energy Group, Inc.

$35,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: OEG

January 2021

Inuvo, Inc.

$8,000,000

Sole Placement Agent
Registered Direct Offering

NYSE: INUV

January 2021

Viveve Medical, Inc.

$27,600,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: VIVE

January 2021

Future Fintech Group, Inc.

$15,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: FTFT

January 2021

Tonix Pharmaceuticals Holding Corp.

$40,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: TNXP

January 2021

The Peck Company Holdings, Inc.

$10,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: PECK

January 2021

Curaleaf Holdings, Inc.

$218,000,000

Financial Advisor
Follow-On Offering

CSE: CURA

January 2021

Columbia Care, Inc.

$103,000,000

Financial Advisor
Follow-On Offering

CSE: CCHW

January 2021

Orbital Energy Group, Inc.

$10,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: OEG

January 2021

B.O.S. Better Online Solutions, Inc.

800,000 Shares

Financial Advisor
Registered Direct Offering

NASDAQ: BOSC

January 2021

2020

Foresight Autonomous

$26,000,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: FRSX

December 2020

Future Fintech Group, Inc.

$8,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: FTFT

December 2020

CNS Pharmaceuticals, Inc.

$11,500,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: CNSP

December 2020

Oragenics, Inc.

14,444,444 Shares

Sole Placement Agent
Registered Direct Offering

NYSE: OGEN

December 2020

Genprex, Inc.

$12,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: GNPX

December 2020

PolarityTE, Inc.

$8,000,000

Financial Advisor
Registered Direct Offering

NASDAQ: PTE

December 2020

TRACON Pharmaceuticals, Inc.

$8,800,000

Financial Advisor
Registered Direct Offering

NASDAQ: TCON

December 2020

Qualigen Therapeutics, Inc.

$12,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: QLGN

December 2020

BioCardia, Inc.

$10,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: BCDA

December 2020

BioCardia, Inc.

$8,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: BCDA

December 2020

SELLAS Life Sciences Group, Inc.

$16,240,000

Financial Advisor
Registered Direct Offering

NASDAQ: SLS

December 2020

Sorrento Therapeutics, Inc.

$450,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: SRNE

December 2020

The Peck Company Holdings, Inc.

Sole Sales Agent
At-The-Market Offering

NASDAQ: PECK

December 2020

Auris Medical Holding Ltd.

$8,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: EARS

December 2020

Mohawk Group Holdings, Inc.

$43,000,000

Sole Placement Agent
Senior Secured Note

NASDAQ: MWK

December 2020

NewAge, Inc.

$32,432,000

Sole Placement Agent
Senior Secured Notes

NASDAQ: NBEV

December 2020

Arcimoto, Inc.

$15,250,000

Co-Lead Placement Agent
Registered Direct Offering

NASDAQ: FUV

November 2020

OpGen, Inc.

$10,000,000

Sole Placement Agent
Private Placement

NASDAQ: OPGN

November 2020

Advaxis, Inc.

$9,200,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: ADXS

November 2020

Ocean Power Technologies, Inc.

$50,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: OPTT

November 2020

Arcimoto, Inc.

$15,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: FUV

November 2020

Oragenics, Inc.

16,317,567 Shares

Sole Book-Running Manager
Follow-On Offering

NYSE: OGEN

November 2020

OrganiGram Holdings Inc.

C$60,125,000

Co-Manager
Follow-On Offering

NASDAQ: OGI

November 2020

KBL Merger Corp. IV

Financial Advisory

Exclusive Advisor
Acquisition

NASDAQ: KBLM

November 2020

MICT, Inc.

$25,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: MICT

November 2020

Akerna Corp.

$12,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: KERN

October 2020

Ring Energy, Inc.

$20,846,282

Sole Underwriter / Placement Agent
Follow-On Offering

NYSE: REI

October 2020

Ocean Power Technologies, Inc.

$23,418,248

Sole Sales Agent
At-The-Market Offering

NASDAQ: OPTT

October 2020

Neptune Wellness Solutions Inc.

$35,000,000

Sole Placement Agent
Private Placement

NASDAQ: NEPT

October 2020

FSD Pharma Inc.

$9,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: HUGE

October 2020

Alterity Therapeutics Limited

A$35,000,000

U.S. Selling Agent
Private Raise

NASDAQ: ATHE

October 2020

ShiftPixy, Inc.

$12,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: PIXY

October 2020

Foresight Autonomous Holdings Ltd.

$8,100,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: FRSX

October 2020

Endeavour Silver Corp.

$60,000,000

Sales Agent
At-The-Market Offering

NYSE: EXK

October 2020

Enservco Corporation

Sole Sales Agent
AT-The-Market Offering

NYSE: ENSV

September 2020

ProPhase Labs, Inc.

$11,343,248

Sole Sales Agent
At-The-Market Offering

NASDAQ: PRPH

September 2020

Ocean Power Technologies, Inc.

$9,923,358

Sole Sales Agent
At-The-Market Offering

NASDAQ: OPTT

September 2020

Village Farms International, Inc.

$49,800,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: VFF

September 2020

Tonix Pharmaceuticals Holding Corp.

$100,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: TNXP

September 2020

iClick Interactive Asia Group Limited

$72,250,000

Joint Book-Running Manager
Follow-On Offering

NASDAQ: ICLK

September 2020

CounterPath Corporation

Sole Sales Agent
At-The-Market Offering

NASDAQ: CPAH

August 2020

Entasis Therapeutics Holdings Inc.

$25,000,000

Placement Agent
Private Placement

NASDAQ: ETTX

August 2020

Motus GI Holdings, Inc.

$10,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: MOTS

August 2020

Mohawk Group Holdings, Inc.

$27,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: MWK

August 2020

OncoSec Medical Incorporated

$15,000,000

Financial Advisor
Registered Direct Offering

NASDAQ: ONCS

August 2020

Rimini Street, Inc.

$27,500,000

Financial Advisor
Follow-On Offering

NASDAQ: RMNI

August 2020

Nymox Pharmaceutical Corporation

$9,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: NYMX

August 2020

Qualigen Therapeutics, Inc.

$10,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: QLGN

August 2020

FSD Pharma Inc.

$10,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: HUGE

July 2020

Boxlight Corporation

$30,000,000

Financial Advisor
Follow-On Offering

NASDAQ: BOXL

July 2020

InspireMD, Inc.

$9,300,000

Sole Sales Agent
At-The-Market Offering

NYSE: NSPR

July 2020

Inuvo, Inc.

$10,750,000

Sole Book-Running Manager
Follow-On Offering

NYSE: INUV

July 2020

Cemtrex, Inc.

$20,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: CETX

July 2020

Safe-T Group Ltd.

4,220,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: SFET

July 2020

Nymox Pharmaceutical Corporation

$12,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: NYMX

July 2020

Cinedigm Corp.

$10,820,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: CIDM

July 2020

Tonix Pharmaceuticals Holding Corp.

$10,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: TNXP

July 2020

Neptune Wellness Solutions Inc.

$12,650,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: NEPT

July 2020

FSD Pharma Inc.

$20,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: HUGE

July 2020

Qualigen Therapeutics, Inc.

$8,000,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: QLGN

July 2020

Cinedigm Corp.

$30,000,000

Lead Sales Agent
At-The-Market Offering

NASDAQ: CIDM

July 2020

Vislink Technologies, Inc.

$30,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: VISL

July 2020

GrowGeneration Corp.

$42,000,000

Financial Advisor
Follow-On Offering

NASDAQ: GRWG

June 2020

KBL Merger Corp. IV

Financial Advisor
SPAC Bridge Financing

NASDAQ: KBLM

June 2020

PolyPid Ltd.

$60,000,000

Co-Manager
Initial Public Offering

NASDAQ: PYPD

June 2020

IMAC Holdings, Inc.

1,764,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: IMAC

June 2020

iClick Interactive Asia Group Limited

$22,000,000

Placement Agent
Private Placement

NASDAQ: ICLK

June 2020

BioCardia, Inc.

$11,500,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: BCDA

June 2020

Cemtrex, Inc.

2,402,923 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: CETX

June 2020

Akerna Corp.

$17,000,000

Sole Placement Agent
Senior Secured Convertible Note

NASDAQ: KERN

June 2020

Foresight Autonomous Holdings Ltd.

6,400,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: FRSX

June 2020

Inuvo, Inc.

12,222,222 Shares

Sole Placement Agent
Registered Direct Offering

NYSE: INUV

June 2020

FSD Pharma Inc.

1,500,000 Shares

Lead Placement Agent
Private Placement

NASDAQ: HUGE

June 2020

InspireMD, Inc.

$11,500,000

Sole Book-Running Manager
Follow-On Offering

NYSE: NSPR

June 2020

Cemtrex, Inc.

3,055,556 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: CETX

June 2020

Acreage Holdings, Inc.

$11,000,000

Sole Placement Agent
Convertible Debentures

OTC MKT: ACRGF

June 2020

Qualigen Therapeutics, Inc.

$28,030,917

Sole Sales Agent
At-The-Market Offering

NASDAQ: QLGN

May 2020

Ritter Pharmaceuticals, Inc.

Financial Advisory

Exclusive Advisor
Merger

NASDAQ: QLGN

May 2020

ShiftPixy, Inc.

$13,350,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: PIXY

May 2020

Cinedigm Corp.

$8,000,000

Co-Lead Placement Agent
Registered Direct Offering

NASDAQ: CIDM

May 2020

HEXO Corp.

$35,974,636

Co-Manager
Follow-On Offering

NYSE: HEXO

May 2020

Foresight Autonomous Holdings Ltd.

8,333,334 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: FRSX

May 2020

Endeavour Silver Corp.

$23,000,000

Sales Agent
At-The-Market Offering

NYSE: EXK

May 2020

Super League Gaming, Inc.

1,825,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: SLGG

May 2020

Advaxis, Inc.

$40,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: ADXS

May 2020

Vislink Technologies, Inc.

$9,800,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: VISL

May 2020

Foresight Autonomous Holdings Ltd.

5,300,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: FRSX

April 2020

Sorrento Therapeutics, Inc.

$250,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: SRNE

April 2020

Safe-T Group Ltd

$8,400,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: SFET

April 2020

Golden Minerals Company

15,000,000 Units

Sole Placement Agent
Registered Direct Offering

NYSE: AUMN

April 2020

Tonix Pharmaceuticals Holding Corp.

$50,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: TNXP

April 2020

HEXO Corp.

$28,600,000

Co-Manager
Follow-On Offering

NYSE: HEXO

April 2020

Safe-T Group Ltd

Financial Advisory

Financial Advisor
Registered Direct Offering

NASDAQ: SFET

March 2020

Ritter Pharmaceuticals, Inc.

$8,000,000

Sole Sales Agent
At-The-Market Offering

NASDAQ: RTTR

March 2020

Tonix Pharmaceuticals Holding Corp.

$16,005,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: TNXP

March 2020

Celsion Corporation

4,571,428 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: CLSN

March 2020

Oramed Pharmaceuticals Inc.

$21,000,000

Financial Advisor
Follow-On Offering

NASDAQ: ORMP

February 2020

Aptorum Group Limited

$10,000,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: APM

February 2020

Genprex, Inc.

$17,500,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: GNPX

February 2020

PDS Biotechnology Corporation

$13,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: PDSB

February 2020

Vislink Technologies, Inc.

27,272,200 Shares

Sole Book-Running Manager
Follow-On Offering

NASDAQ: VISL

February 2020

Tonix Pharmaceuticals Holding Corp.

13,158,052 Shares

Sole Book-Running Manager
Follow-On Offering

NASDAQ: TNXP

February 2020

OncoSec Medical Incorporated

$30,000,000

Financial Advisor
Acquisition Financing

NASDAQ: ONCS

February 2020

KushCo Holdings, Inc.

$16,000,000

Sole Placement Agent
Registered Direct Offering

OTC MKT: KSHB

February 2020

Itamar Medical Ltd.

$40,250,000

Co-Manager
Follow-On Offering

NASDAQ: ITMR

January 2020

Cocrystal Pharma, Inc.

3,492,063 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: COCP

January 2020

Genprex, Inc.

$8,000,000

Lead Placement Agent
Registered Direct Offering

NASDAQ: GNPX

January 2020

Advaxis, Inc.

$10,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: ADXS

January 2020

HEXO Corp.

$20,000,000

Sole Placement Agent
Registered Direct Offering

NYSE: HEXO

January 2020

Heat Biologics, Inc.

$7,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: HTBX

January 2020

RADA Electronic Industries Ltd.

$22,000,000

Co-Manager
Follow-On Offering

NASDAQ: RADA

January 2020

Cellect Biotechnology Ltd.

1,000,000 Shares

Sole Placement Agent
Registered Direct Offering

NASDAQ: APOP

January 2020

Perficient, Inc.

Fairness Opinion

Financial Advisor
Acquisition

NASDAQ: PRFT

January 2020

2019

HEXO Corp.

$25,000,000

Sole Placement Agent
Registered Direct Offering

NYSE: HEXO

December 2019

Harvest Health & Recreation, Inc.

$94,000,000

Co-Lead Manager
Senior Secured Notes

OTC MKT: HRVSF

December 2019

Safe-T Group Ltd

529,553 Units

Financial Advisor
Registered Direct Offering

NASDAQ: SFET

December 2019

Vislink Technologies, Inc.

15,094,300 Units

Sole Book-Running Manager
Follow-On Offering

NASDAQ: VISL

November 2019

Tonix Pharmaceuticals Holding Corp.

$9,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: TNXP

November 2019

TILT Holdings, Inc.

$35,000,000

Placement Agent
Private Placement

OTC MKT: TLLTF

November 2019

Safe-T Group Ltd

499,900 Units

Sole Book-Running Manager
Follow-On Offering

NASDAQ: SFET

November 2019

iBio, Inc.

25,000,000 Units

Sole Book-Running Manager
Follow-On Offering

NYSE: IBIO

October 2019

KushCo Holdings Inc.

$30,100,000

Co-Lead Placement Agent
Registered Direct Offering

OTC MKT: KSHB

September 2019

AIM ImmunoTech, Inc.

$8,000,000

Sole Book-Running Manager
Follow-On Offering

NYSE: AIM

September 2019

Stemline Therapeutics, Inc.

$87,687,500

Co-Manager
Follow-On Offering

NASDAQ: STML

August 2019

Obalon Therapeutics, Inc.

$16,650,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: OBLN

August 2019

LiveXLive Media, Inc.

$10,500,000

Sole Placement Agent
Registered Direct Offering

NASDAQ: LIVX

July 2019

Advaxis, Inc.

$17,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: ADXS

July 2019

Emmaus Life Sciences, Inc.

$300,000,000

Exclusive Advisor
Merger

NASDAQ: EMMA

July 2019

Vislink Technologies, Inc.

$12,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: VISL

July 2019

Motus GI Holdings, Inc.

$20,000,000

Financial Advisor
Follow-On Offering

NASDAQ: MOTS

June 2019

GrowGeneration Corp.

$12,800,000

Placement Agent
Private Placement

OTC MKT: GRWG

June 2019

SELLAS Life Sciences Group, Inc.

$15,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: SLS

June 2019

Mohawk Group Holdings, Inc.

$36,000,000

Joint Book-Running Manager
Initial Public Offering

NASDAQ: MWK

June 2019

General Cannabis Corp.

3,000,000 Shares

Financial Advisor
Registered Direct Offering

OTC MKT: CANN

May 2019

Obalon Therapeutics, Inc.

5,000,000 Shares

Financial Advisor
Registered Direct

NASDAQ: OBLN

May 2019

OncoSec Medical Incorporated

$11,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: ONCS

May 2019

Auris Medical Holding Ltd.

$8,500,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: EARS

May 2019

Titan Pharmaceuticals, Inc.

$25,000,000

Sales Agent
At-The-Market Offering

NASDAQ: TTNP

April 2019

Verb Technology Company, Inc.

$25,000,000

Sole Advisor
Acquisition

NASDAQ: VERB

April 2019

Verb Technology Company, Inc.

$20,000,000

Sole Book-Running Manager
Follow-On & Uplisting

NASDAQ: VERB

April 2019

Ocean Power Technologies, Inc.

$17,200,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: OPTT

April 2019

Advaxis, Inc.

$10,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: ADXS

April 2019

DPW Holdings, Inc.

15,555,500 Units

Sole Book-Running Manager
Follow-On Offering

NYSE: DPW

March 2019

McEwen Mining, Inc.

$25,000,000

Co-Lead Placement Agent
Registered Direct Offering

NYSE: MUX

March 2019

Therapix Biosciences Ltd.

642,853 Shares

Financial Advisor
Registered Direct Offering

NASDAQ: TRPX

March 2019

Foresight Autonomous Holdings Ltd.

4,000,000 Shares

Sole Book-Running Manager
Follow-On Offering

NASDAQ: FRSX

March 2019

LiveWell Canada, Inc.

$15,000,000

Exclusive Placement Agent
Senior Secured Convertible Note

CSE: LVWL

March 2019

Cellect Biotechnology Ltd.

4,334,700 Units

Sole Book-Running Manager
Follow-On Offering

NASDAQ: APOP

February 2019

Nano Dimension Ltd.

$12,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: NNDM

February 2019

Kindred Biosciences, Inc.

$40,042,500

Financial Advisor
Follow-On Offering

NASDAQ: KIN

January 2019

KushCo Holdings, Inc.

$34,000,000

Lead Placement Agent
Registered Direct Offering

OTC MKT: KSHB

January 2019

Stemline Therapeutics, Inc.

$92,000,000

Co-Manager
Follow-On Offering

NASDAQ: STML

January 2019

NXT-ID, Inc.

$15,000,000

Sales Agent
At-The-Market Offering

NASDAQ: NXTD

January 2019

Ocean Power Technologies, Inc.

$25,000,000

Sales Agent
At-The-Market Offering

NASDAQ: OPTT

January 2019

2018

New Age Beverages Corp.

$85,000,000

Financial Advisor
Merger

NASDAQ: NBEV

December 2018

Mohawk Group Holdings, Inc.

$15,000,000

Joint Placement Agent
Senior Secured Term Loan

December 2018

Motus GI Holdings, Inc.

$15,525,000

Underwriter
Follow-On Offering

NASDAQ: MOTS

December 2018

Stellar Acquisition III Inc. & Phunware, Inc.

Convertible Preferred Stock

Sole Placement Agent
Private Placement

NASDAQ: PHUN

December 2018

Tonix Pharmaceuticals Holding Corp.

$15,875,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: TNXP

December 2018

xG Technology, Inc.

Convertible Note

Sole Placement Agent
Private Placement

NASDAQ: XGTI

December 2018

Terra Tech Corp.

Convertible Note

Sole Placement Agent
Private Placement

OTC MKT: TRTC

December 2018

Auris Medical Holding Ltd.

$25,000,000

Sales Agent
At-The-Market Offering

NASDAQ: EARS

November 2018

Mohawk Group Holdings, Inc.

$50,000,000

Joint Placement Agent
Senior Secured Credit Facility

November 2018

Heat Biologics, Inc.

$13,800,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: HTBX

November 2018

Creative Realities, Inc.

$10,000,000

Sole Book-Running Manager
Follow-On & Uplisting

NASDAQ: CREX

November 2018

McEwen Mining, Inc.

$90,000,000

Sales Agent
At-The-Market Offering

NYSE: MUX

November 2018

New Age Beverages Corp.

$52,000,000

Joint Book-Running Manager
Follow-On Offering

NASDAQ: NBEV

November 2018

Ritter Pharmaceuticals, Inc.

4,615,384 Units

Sole Placement Agent
Private Placement

NASDAQ: RTTR

October 2018

Synthetic Biologics, Inc.

$18,600,000

Sole Book-Running Manager
Follow-On Offering

NYSE: SYN

October 2018

Hydrofarm Holdings Group, Inc.

$20,000,000

Lead Placement Agent
Private Placement

October 2018

Rosehill Resources, Inc.

$37,500,000

Co-Manager
Follow-On Offering

NASDAQ: ROSE

September 2018

Cannabics Pharmaceuticals Inc.

$7,500,000

Sole Placement Agent
Registered Direct Offering

OTC MKT: CNBX

September 2018

Titan Pharmaceuticals, Inc.

$10,925,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: TTNP

September 2018

Sensus Healthcare, Inc.

$17,250,000

Financial Advisor
Follow-On Offering

NASDAQ: SRTS

September 2018

DarioHealth Corp.

$10,345,000

Sole Placement Agent
Private Placement

NASDAQ: DRIO

September 2018

Perficient, Inc.

$143,750,000

Co-Manager
Convertible Senior Notes

NASDAQ: PRFT

September 2018

DPW Holdings, Inc.

Convertible Note

Sole Placement Agent
Private Placement

NYSD: DPW

August 2018

Safe-T Group Ltd

510,438 Units

Sole Book-Running Manager
Follow-On Offering

NASDAQ: SFET

August 2018

Hydrofarm Holdings Group, Inc.

$35,000,000

Lead Placement Agent
Private Placement

August 2018

New Age Beverage Corp.

$12,000,000

Sole Placement Agent
Senior Secured Credit Facility

NASDAQ: NBEV

August 2018

AMERI Holdings, Inc.

5,000,000 Shares

Sole Placement Agent
Private Placement

NASDAQ: AMRH

August 2018

Cocrystal Pharma, Inc.

$10,000,000

Sales Agent
At the Market Offering

NASDAQ: COCP

July 2018

Soligenix, Inc.

$9,200,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: SNGX

July 2018

Auris Medical Holding Ltd.

$7,000,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: EARS

July 2018

iBio, Inc.

$17,350,000

Sole Book-Running Manager
Follow-On Offering

NYSE: IBIO

June 2018

Kindred Biosciences, Inc.

$43,999,991

Financial Advisor
Follow-On Offering

NASDAQ: KIN

June 2018

KushCo Holdings Inc.

$36,000,000

Sole Placement Agent
Registered Direct Offering

OTC MKT: KSHB

June 2018

Aqua Metals, Inc.

$28,743,675

Financial Advisor
Registered Direct Offering

NASDAQ: AQMS

June 2018

NXT-ID

$16,000,000

Sole Placement Agent
Senior Secured Term Loan

NASDAQ: NXTD

May 2018

Heat Biologics, Inc.

$20,700,000

Sole Book-Running Manager
Follow-On Offering

NASDAQ: HTBX

May 2018

Cocrystal Pharma, Inc.

$8,427,500

Sole Book-Running Manager
Follow-On Offering

NASDAQ: COCP

May 2018

DPW Holdings, Inc.

Convertible Note

Sole Placement Agent
Private Placement

NYSD: DPW

May 2018

New Age Beverages Corp.

2,285,715 Shares

Sole Book-Running Manager
Follow-On Offering

NASDAQ: NBEV

April 2018

Terra Tech Corp.

$40,000,000

Sole Placement Agent
Private Placement

OTC MKT: TRTC

March 2018

Ring Energy, Inc.

$75,040,000

Co-Manager
Follow-On Offering

NYSE MKT: REI

February 2018