Transactions

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$50,000,000

Riley Exploration Permian

Equity Follow-On

Lead Manager July 2021

$3,328,000

Falconstor

Equity Follow-On

Sole Manager June 2021

$137,500,000

Torchlight Energy Resources

ATM Program

Sole Placement Agent June 2021

$1,949,804,000

Torchlight Energy Resources

has merged with

M&A Advisory

Financial Advisor June 2021

$65,000,000

US Hybrid

was acquired by

M&A Advisory

Financial Advisor June 2021

$100,625,000

Northern Oil & Gas

Follow-On

Co-Manager June 2021

$39,099,000

KemPharm, Inc.

Warrant Exchange

Financial Advisor June 2021

$461,963,000

Celsius Holdings Inc.

Follow-On

Co-Manager June 2021

$96,000,000

Cambium Networks Corp.

Follow-On

Co-Manager June 2021

$215,000,000

Zeta Global Holdings Corp.

IPO

Co-Manager June 2021

$67,500,000

Onion Global

IPO

Co-Manager May 2021

$1,505,000,000

Lion Electric

has merged with

Northern Genesis

M&A Advisory

Financial Advisor May 2021

$17,250,000

Adomani

PIPE

Sole Placement Agent May 2021

$129,375,000

DMC Global Inc.

Follow-On

Co-Manager May 2021

$7,882,000

Reed's Inc.

Registered Direct

Sole Placement Agent May 2021

$400,000,000

Carriage Services, Inc.

Senior Notes

Co-Manager May 2021

$28,920,000

Nano One Materials Corp.

Follow-On

Co-Manager April 2021

$257,920,000

FTC Solar

IPO

Co-Manager April 2021

$1,500,000

Giga-tronics Incorporated

PIPE

Sole Placement Agent April 2021

$695,750,000

Bally's Corporation

Follow-On

Co-Manager April 2021

$18,000,000

VirTra

Registered Direct

Lead Placement Agent April 2021

$28,408,000

Vascular Biogenics Ltd.

Follow-On

Co-Manager April 2021

$100,000,000

Ocugen, Inc.

Registered Direct

Financial Advisor April 2021
iLending Direct

was acquired by

JC Flowers & Co.

M&A Advisory

Financial Advisor April 2021

$100,400,000

Humanigen, Inc

Follow-On

Co-Manager April 2021

$51,750,000

Sunworks

M&A Advisory

Financial Advisor March 2021

$131,600,000

Nuvve Holdings Corp.

has merged with

Newborn Acquisition Corp.

M&A Advisory

Financial Advisor March 2021

AUD5,010,000

Thompson Resources

Follow-On

Sole Placement Agent March 2021

$993,313,000

Array Technologies

Follow-On

Co-Manager March 2021

$90,000,000

Gold Royalty Corp

IPO

Co-Manager March 2021

$172,499,934

NV5 Global, Inc.

Follow-On

Joint Book-Running Manager March 2021

$14,547,498

Cyclacel Pharmaceuticals, Inc.

Follow-On

Co-Manager March 2021

$293,144,754

Vizio

IPO

Co-Manager March 2021

$39,970,000

TFF Pharmaceuticals, Inc.

Follow-On

Sole Book-Running Manager March 2021

$51,750,000

Sunworks, Inc

has acquired

Solcius

M&A Advisory

Financial Advisor March 2021
StemoniX, Inc.

has merged with

Cancer Genetics, Inc.

M&A Advisory

Financial Advisor March 2021

$65,220,000

Smith Micro Software, Inc.

Follow-On

Joint Book-Running Manager March 2021

$60,062,500

Rimini Street, Inc.

Follow-On

Financial Advisor March 2021

$385,250,000

Renewable Energy Group, Inc.

Follow-On

Co-Manager March 2021

$115,000,000

AMMO, Inc.

Follow-On

Joint Book-Running Manager March 2021

$56,495,000

Marker Therapeutics Inc.

Follow-On

Co-Manager March 2021

$40,000,000

KushCo Holdings, Inc.

Registered Direct

Financial Advisor March 2021

CAD 60,000,000

Flow Water

Private Placement

Placement Agent March 2021

$78,487,500

Digi International

Follow-On

Co-Manager March 2021

$80,500,000

A-Mark Precious Metals

Follow-On

Joint Book-Running Manager March 2021

$161,920,000

Ameresco Inc.

Follow-On

Co-Manager March 2021
Aeva Technologies

M&A Advisory

Financial Advisor March 2021

$140,156,000

Northern Oil & Gas

Follow-On

Co-Manager February 2021
Playboy Enterprises

M&A Advisor

Financial Advisor February 2021

$10,710,000

United States Antimony

Follow-On

Sole Agent February 2021

$31,500,000

McEwen Mining Inc.

Registered Direct

Lead Placement Agent February 2021

$15,237,000

Ur-Energy Inc.

Follow-On

Co-Manager February 2021

$27,600,000

Torchlight Energy Resources, Inc.

Follow-On

Sole Manager February 2021

$381,000,000

SiTime Corporation

Follow-On

Co-Manager February 2021

$65,587,500

OptimizeRx Corporation

Follow-On

Financial Advisor February 2021

$57,960,469

New Age Beverages

Private Placement

Lead Placement Agent February 2021

$77,969,996

Moleculin Biotech, Inc.

Follow-On

Co-Manager February 2021

$222,525,000

KalVista Pharmaceuticals, Inc.

Follow-On

Co-Manager February 2021

$4,462,500

InMed Pharmaceuticals, Inc.

PIPE

Sole Placement Agent February 2021

$27,197,500

GT Biopharma, Inc.

Follow-On

Joint Book-Running Manager February 2021

$74,500,000

Applied Genetic Technologies Corporation

Follow-On

Co-Manager February 2021

$303,039,669

Tengasco, Inc.

has merged with

Riley Permian

M&A Advisory

Financial Advisor February 2021

$50,000,000

Sunworks, Inc.

ATM Program

Sole Placement Agent February 2021

$14,732,396

SPI Energy

Registered Direct

Lead Placement Agent February 2021

$28,780,000

PowerFleet, Inc.

Follow-On

Co-Manager February 2021

$50,000,000

Playboy Enterprises

Private Placement

Lead Placement Agent February 2021

$25,000,000

Phunware, Inc.

Follow-On

Joint Book-Running Manager February 2021

$201,280,000

Green Plains Inc.

Follow-On

Co-Manager February 2021

$30,000,000

Esports Entertainment Group, Inc.

Follow-On

Financial Advisor February 2021

$100,912,500

CuriosityStream Inc.

Follow-On

Co-Manager February 2021

$13,000,560

Bio-Path Holdings, Inc.

Registered Direct

Sole Placement Agent February 2021

$14,012,000

Assertio Holdings, Inc.

Registered Direct

Sole Placement Agent February 2021

$34,300,000

Assertio Holdings, Inc.

Registered Direct

Sole Placement Agent February 2021

AUS20,630,000

Lake Resources

Private Placement

Sole Agent January 2021

$25,000,000

Avino Silver & Gold Mines Ltd

ATM Program

Metals & Mining January 2021
Torchlight Energy Resources, Inc.

M&A Advisory

Financial Advisor January 2021

$75,600,000

Syros Pharmaceuticals, Inc.

Follow-On

Co-Manager January 2021

$137,999,986

Merus N.V.

Follow-On

Co-Manager January 2021

$52,431,223

KemPharm, Inc.

Follow-On

Sole Manager January 2021

$115,000,000

Wireless Advanced Vehicle Electrification

was acquired by

Ideanomics

M&A Advisory

Financial Advisor January 2021

$135,000,000

Village Farms International, Inc.

Registered Direct

Placement Agent January 2021

$500,000,000

Talos Energy, Inc.

Senior Notes

Co-Manager January 2021

$40,000,000

ReneSola

Registered Direct

Financial Advisor January 2021

$250,000,000

ReneSola

Follow-On

Financial Advisor January 2021

$2,093,000,000

Plug Power, Inc.

Follow-On

Co-Manager January 2021

$65,992,750

Perion Network Ltd.

Follow-On

Co-Manager January 2021

$28,895,878

Montauk Renewables, Inc.

IPO

Sole Manager January 2021

CAD 59,100,000

Kits Eyecare Ltd.

IPO

Co-Manager January 2021

$345,000,000

Hennessy Acquisition IV

IPO

Co-Manager January 2021

$114,999,968

Harpoon Therapeutics, Inc.

Follow-On

Co-Manager January 2021

$350,000,000

Gevo, Inc

Registered Direct

Financial Advisor January 2021

$172,500,000

Growth Capital Acquisition Corp

IPO

Co-Manager January 2021

$180,000,000

Environmental Impact Acquisition Corp

IPO

Financial Advisor January 2021

$21,476,250

Crown Electrokinetics

Follow-On

Sole Book-Running Manager January 2021

$12,000,002

Clearside Biomedical, Inc.ᅠ

Registered Direct

Sole Placement Agent January 2021

$254,610,000

Blink Charging Co.

Follow-On

Co-Manager January 2021

$15,023,000

Applied DNA Sciences, Inc.

Registered Direct

Sole Placement Agent January 2021

$500,000,000

Alarm.com Holdings, Inc.

Convertible Senior Notes

Co-Manager January 2021

$62,100,000

Agrify

IPO

Joint Book-Running Manager January 2021

$5,750,000

Adomani

PIPE

Sole Placement Agent December 2020

$115,000,000

Roth CH Acquisition II Co.

IPO

Joint Book-Running Manager December 2020

$8,900,000

Westwater Resources, Inc.

M&A Advisory

Financial Advisor December 2020

$63,825,000

Veritone, Inc.

Follow-On

Joint Book Running Manager December 2020

$297,850,000

Sunnova Energy International, Inc.

Follow-On

Co-Manager December 2020

$517,500,000

LivePerson Inc.

Convertible Senior Notes

Co-Manager December 2020

$22,247,161

Delcath Systems, Inc.

Follow-On

Joint Book Running Manager December 2020

$24,499,984

Cellectar Biosciences, Inc.

Follow-On

Co-Manager December 2020

$8,900,000

Westwater Resources, Inc.

M&A Advisory

Financial Advisor December 2020

$24,150,000

Vivos Therapeutics

IPO

Sole Book-Running Manager December 2020

$6,925,000

TFF Pharmaceuticals, Inc.

Registered Direct

Sole Placement Agent December 2020

CAD34,500,000

Standard Lithum Ltd

Follow-On

Sole Placement Agent December 2020

$35,020,000

SPI Energy

Registered Direct

Placement Agent December 2020

$10,000,000

ReneSola

Follow-On

Co-Manager December 2020

$20,000,000

ReneSola

Follow-On

Financial Advisor December 2020

$115,747,500

Seabridge Gold Inc.

Follow-On

Co-Manager December 2020

$13,805,750

Pixelworks

Follow-On

Joint Book Running Manager December 2020

$35,000,000

iBio, Inc.

Follow-On

Financial Advisor December 2020
Hydrobuilder, Inc.

M&A Advisory

Financial Advisor December 2020

$70,000,000

Cambium Networks Corporation

Follow-On

Co-Manager December 2020

$174,999,997

Atara Therapeutics Inc.

Follow-On

Co-Manager December 2020

$21,677,500

 Asure Software

Follow-On

Sole Book-Running Manager December 2020

$9,830,758

Amplify Energy

Follow-On

Sole Manager December 2020

CAD28,751,000

Western Copper and Gold Corp

Follow-On

Co-Manager November 2020

$4,193,944

Therapix Bioscience Ltd.

Follow-On

Financial Advisor November 2020

$12,075,000

Reed's, Inc.

Follow-On

Sole Book-Running Manager November 2020

$8,010,000

InMed Pharmaceuticals, Inc.

Follow-On

Sole Book-Running Manager November 2020

$845,000,000

Plug Power, Inc.

Follow-On

Co-Manager November 2020

$11,500,000

Phoenix Motorcars

was acquired by

SPI Energy

M&A Advisory

Financial Advisor November 2020

$353,165,000

Ormat Technologies, Inc.

Follow-On

Co-Manager November 2020

$13,292,000

INVO Biosciences

Follow-On

Sole Book-Running Manager November 2020

$20,000,000

Blink Charging Co.

ATM Program

Sole Placement Agent November 2020

$16,000,000

Aemetis, Inc.

ATM Program

Placement Agent November 2020

$287,500,000

Replimmune Group, Inc.

Follow-On

Co-Manager October 2020

$55,050,000

American Superconductor Corporation

Follow-On

Co-Manager October 2020

$460,000,059

Turning Point Therapeutics

Follow-On

Co-Manager October 2020

$11,600,000

ThinkIQ

Private Placement

Financial Advisor October 2020
Tengasco, Inc.

M&A Advisory

Financial Advisor October 2020

$9,798,000

TransAct

Follow-On

Sole Book-Running Manager October 2020

$5,000,000

ReneSola Ltd.

Registered Direct

Financial Advisor October 2020

$57,500,000

Piedmont Lithium

Follow-On

Co-Manager October 2020

$197,067,080

FuboTV

Follow-On

Co-Manager October 2020

$1,996,400,000

Caesar Entertainment

Follow-On

Co-Manager October 2020

$70,000,000

Boqii Holding Limited

IPO

Joint Book-Running Manager October 2020

$110,400,000

Mission Produce, Inc.

IPO

Co-Manager October 2020

$15,000,000

Uranium Energy Corp.

Follow-On

Co-Manager September 2020

$7,003,350

Seelos Therapeutics, Inc.

Registered Direct

Lead Placement Agent September 2020

CAD13,730,000

McEwen Mining Inc.

Follow-on

Co-Manager September 2020

$575,000,000

Medallia, Inc.

Convertible Senior Notes

Co-Manager September 2020

$23,069,000

Integra Resources Corp.

Follow-On

Sole Placement Agent September 2020

$10,000,000

Broadwind Energy, Inc.

ATM Program

Sole Placement Agent September 2020

CAD23,000,000

Auryn Resources

Follow-On

Co-Manager September 2020

$632,500,000

SolarEdge Technologies, Inc.

Convertible Senior Notes

Co-Manager September 2020

$67,045,000

Laird Superfood, Inc.

IPO

Co-Manager September 2020

$26,609,250

Loop Industries Inc.

Follow-On

Sole Book-Running Manager September 2020

$78,200,000

Humanigen, Inc.

Follow-On

Co-Manager September 2020

$37,200,000

GreenPower Motor Company Inc.

Follow-On

Joint Book-Running Manager September 2020

$250,000,000

Ballard Power Systems

ATM Program

Placement Agent September 2020

$136,850,000

Upland Software, Inc

Follow-On

Co-Manager August 2020

$3,392,500

Quest Resource Holding Corporation

Registered Direct

Sole Placement Agent August 2020

$250,000,000

Sunnova Energy International, Inc.

Follow-On

Co-Manager August 2020

$23,500,000

Mohawk Group Holdings, Inc.

Follow-On

Financial Advisor August 2020

$13,800,000

Eyenovia, Inc.

Follow-On

Financial Advisor August 2020

$27,450,000

Rimini Street, Inc.

Follow-On

Sole Book-Running Manager August 2020

$89,700,000

CarParts.com, Inc.

Follow-On

Co-Manager August 2020

$375,297,215

Plug Power Inc.

Follow-On

Co-Manager August 2020
Marchex, Inc.

M&A Advisory

Financial Advisor August 2020

$25,375,000

Centrus Energy Corp

Follow-On

Sole Book-Running Manager August 2020

$28,510,000

Gevo, Inc

Registered Direct

Financial Advisor August 2020

$34,300,000

Fathom Holdings

IPO

Sole Manager August 2020

$12,397,000

Flux Power

Follow-On

Joint Book Running Manager August 2020
Eastside Distilliing

M&A Advisory

Financial Advisor August 2020

$15,006,000

CohBar, Inc.

Follow-On

Sole Book-Running Manager August 2020

$35,000,000

Tellurian

Registered Direct

Sole Placement Agent July 2020

$7,000,000

Torchlight Energy Resources, Inc.

ATM Program

Sole Placement Agent July 2020

$35,000,000

Tellurian Inc.

Registered Direct

Sole Placement Agent July 2020

$258,749,948

Innovative Industrial Properties, Inc.

Follow-On

Co-Manager July 2020

$517,499,990

CRISPR Therapeutics AG

Follow-On

Co-Manager July 2020

$198,949,969

Arcturus Therapeutics Holdings Inc.

Follow-On

Financial Advisor July 2020

$132,250,000

Altimmune, Inc.

Follow-On

Co-Manager July 2020

CAD5,000,000

Volcanic Gold Mines

PIPE

Financial Advisor July 2020

$2,010,000

United States Antimony

PIPE

Sole Book-Running Manager July 2020

$37,881,000

Quhuo Ltd.

IPO

Joint Book-Running Manager July 2020

$107,686,958

Inventiva S.A.

IPO

Co-Manager July 2020
Gotham Green Partners

M&A Advisory

Financial Advisor July 2020

$134,774,000

Atreca, Inc.

Follow-On

Co-Manager July 2020

$3,000,000

Torchlight Energy Resources, Inc.

Registered Direct

Financial Advisor June 2020

$35,000,004

Soliton, Inc.

Follow-On

Financial Advisor June 2020

$20,000,000

ElectraMeccanica Vehicles Corp.

Registered Direct

Sole Placement Agent June 2020

$128,800,000

SiTime Corporation

Follow-On

Co-Manager June 2020
QuickLogic Corporation

M&A Advisory

Financial Advisor June 2020

$100,000,000

Sunnova Energy International, Inc.

Follow-On

Co-Manager June 2020

CAD37,822,500

Medipharm Labs

PIPE

Sole Placement Agent June 2020

$24,795,000

Immunic, Inc.

Follow-On

Lead Placement Agent June 2020

$20,000,000

Cellectar Biosciences, Inc.

Follow-On

Lead Manager June 2020

$259,325,000

Adaptimmune Therapeutics, plc.

Follow-On

Lead Manager June 2020

$275,149,842

Translate Bio, Inc.

Follow-On

Lead Manager June 2020

CAD11,360,000

Seabridge Gold Inc.

Follow-On

Co-Manager June 2020

$50,000,000

MAG Silver Inc

ATM Program

Co-Manager June 2020

$159,562,500

Glu Mobile Inc.

Follow-On

Co-Manager June 2020
DSP Group, Inc.

has acquired

Sound Chip

M&A Advisory

Financial Advisor June 2020

$9,000,000

Allied Esports International Inc.

Convertible Senior Notes

Sole Placement Agent June 2020

$747,500,000

Five9, Inc.

Convertible Senior Notes

Co-Manager May 2020

$115,000,000

Cryoport, Inc.

Convertible Senior Notes

Co-Manager May 2020
Atomera Incorporated

M&A Advisory

Financial Advisor May 2020

$76,500,000

Roth CH Acquisition I Co.

IPO

Joint Book-Running Manager May 2020

$200,000,000

Plug Power Inc.

Convertible Senior Notes

Co-Manager May 2020

$2,105,000

INVO Biosciences

PIPE

Sole Placement Agent May 2020

$60,087,500

Axcella Health, Inc.

Follow-On

Co-Manager May 2020

$25,000,000

Sequans Communications S.A.

Follow-On

Lead Manager May 2020

$15,000,000

Delcath Systems, Inc.

Follow-On

Sole Book-Running Manager May 2020

$88,000,000

Compass Diversified Holdings

Follow-On

Co-Manager May 2020

$56,000,000

Tellurian Inc.

Registered Direct

Sole Placement Agent April 2020

$15,000,000

Immunic, Inc.

Registered Direct

Sole Placement Agent April 2020

$1,872,000

MoSys, Inc.

Registered Direct

Sole Placement Agent April 2020

$20,000,000

Cyclacel Pharmaceuticals, Inc.

Follow-On

Lead Placement Agent April 2020

$115,115,000

Crinetics Pharmaceuticals, Inc.

Follow-On

Co-Manager April 2020

$80,500,000

Arcturus Therapeutics, Inc.

Follow-On

Co-Manager April 2020

$5,750,000

Reed's, Inc.

Follow-On

Sole Manager April 2020

$1,250,000

Therapix Bioscience Ltd.

Registered Direct

Sole Placement Agent April 2020
Boardriders

has sold its wetsuit brand Xcel to

ZG Holdings

M&A Advisory

Financial Advisor March 2020

$5,000,000

Hoth Therapeutics, Inc.

Follow-On

Financial Advisor March 2020

$320,000,000

Enphase Energy

Convertible Senior Notes

Co-Manager March 2020

$10,000,000

Dynatronics Corporation

ATM Program

Agent March 2020

$6,000,000

Lipocine, Inc.

Registered Direct

Sole Placement Agent February 2020

$500,000,000

Moderna, Inc.

Follow-On

Co-Manager February 2020

$15,001,000

Myomo, Inc.

Follow-On

Sole Book-Running Manager February 2020

$37,375,000

Applied Genetic Technologies Corporation

Follow-On

Co-Manager February 2020

$6,000,000

Moleculin Biotech, Inc.

Registered Direct

Financial Advisor February 2020

$18,000,000

aTyr Pharma, Inc.

Follow-On

Lead Manager February 2020

$250,000,000

Innovative Industrial Properties, Inc.

Follow-On

Co-Manager January 2020

NOK101,021,000

Targovax ASA

PIPE

Placement Agent January 2020

$96,600,000

Adaptimmune Therapeutics plc.

Follow-On

Co-Manager January 2020

$17,267,000

Aspen Group, Inc.

Follow-On

Lead Manager January 2020

$12,500,000

Global Water Resources, Inc.

Follow-On

Sole Manager January 2020

$50,003,000

MATINAS BIOPHARMA HOLDINGS, INC.

Follow-On

Co-Manager January 2020

$48,000,000

Mirum Pharmaceuticals, Inc.

Follow-On

Co-Manager January 2020

$11,750,000

Vutiliti, LLC

Private Placement

Financial Advisor December 2019
NV5 Global, Inc.

has acquired

Quantum Spatial

M&A Advisory

Financial Advisor December 2019
Organovo Holdings, Inc.

M&A Advisory

Financial Advisor December 2019

$120,000,000

Asure Software, Inc.

has sold its worksplace management business to

FM System

M&A Advisory

Financial Advisor December 2019

CAD92,092,000

SilverCrest Metals

Follow-On

Co-Manager December 2019

$34,500,000

Akoustis Technologies

Follow-On

Co-Manager December 2019

$195,615,000

Forty Seven, Inc.

Follow-On

Co-Manager December 2019

$126,500,000

Plug Power Inc.

Follow-On

Co-Manager December 2019

CAD25,300,000

Integra Resources Corp.

Follow-On

Co-Manager December 2019

AUS24,600,000

Imugene Limited

PIPE

Lead Placement Agent December 2019

$24,000,000

eyeBrain Medical

Private Placement

Financial Advisor November 2019

$64,285,000

SiTime Corporation

IPO

Co-Manager November 2019

$65,000,000

X4 Pharmaceuticals, Inc.

Follow-On

Co-Manager November 2019

$9,000,000

Arcimoto

Follow-On

Sole Book-Running Manager November 2019

$315,244,000

CRISPR Therapeutics AG

Follow-On

Co-Manager November 2019

$50,019,000

McEwen Mining Inc.

Follow-On

Joint Book-Runner November 2019

$91,412,000

Replimmune Group, Inc.

Follow-On

Co-Manager November 2019

$6,000,000

Lipocine, Inc.

Registered Direct

Sole Placement Agent November 2019

$2,623,000

Giga-tronics Incorporated

Follow-On

Sole Book-Running Manager November 2019

$79,206,000

Merus N.V.

Follow-On

Co-Manager November 2019

$142,300,000

Pointer Telocation, Ltd.

M&A Advisory

Financial Advisor October 2019
Asure Software, Inc.

M&A Advisory

Financial Advisor October 2019

CAD15,000,000

New Pacific Metals Corp.

Follow-On

Co-Manager October 2019

$15,410,000

Soleno Therapeutics, Inc.

Follow-On

Co-Manager October 2019

$8,050,000

Reed's, Inc.

Follow-On

Sole Manager October 2019

$18,006,000

Bionano Genomics, Inc.

Follow-On

Lead Manager October 2019

$6,250,020

Soliton, Inc.

PIPE

Lead Placement Agent October 2019

$14,700,000

Eastside Distilling

M&A Advisory

Financial Advisor September 2019

$107,040,000

Yanmar Holdings Co.

has acquired

ASV Holdings, Inc.

M&A Advisory

Financial Advisor September 2019
SPY, Inc.

has merged with

Bollé

M&A Advisory

Financial Advisor September 2019

$350,000,000

Azure Power Global Limited

Senior Notes

Co-Manager September 2019

$80,500,000

Adesto Technologies

Convertible Senior Notes

Co-Manager September 2019

$46,690,000

Kura Sushi USA, Inc.

IPO

Lead Manager August 2019

$6,713,000

Seelos Therapeutics, Inc.

Registered Direct

Sole Placement Agent August 2019

$28,750,008

ACM Research, Inc.

Follow-On

Co-Manager August 2019

CAD22,008,000

SilverCrest Metals

Follow-On

Co-Manager August 2019

$9,500,000

Delcath Systems, Inc.

PIPE

Sole Placement Agent August 2019
Grenco Sciences

Private Placement

Financial Advisor July 2019
OHR Pharmaceutical, Inc. 

has merged with

NeuBase Therapeutics, Inc.

M&A Advisory

Financial Advisor July 2019
Jones Soda Co.

Fairness Opinion

Financial Advisor July 2019

$178,383,000

Sunnova Energy International Inc.

IPO

Co-Manager July 2019

$374,325,000

Medallia, Inc.

IPO

Co-Manager July 2019

$75,000,000

Mirum Pharmaceuticals, Inc.

IPO

Co-Manager July 2019

$55,915,000

Chiasma, Inc.

Follow-On

Co-Manager July 2019

$460,000,000

Amarin Corporation PLC

Follow-On

Co-Manager July 2019

$86,250,000

Forty Seven, Inc.

Follow-On

Co-Manager July 2019

$79,589,000

AquaVenture Holdings Limited

Follow-On

Co-Manager July 2019

$20,000,000

Delcath Systems, Inc.

PIPE

Sole Placement Agent July 2019

$4,744,000

Inuvo, Inc.

Follow-On

Sole Manager July 2019

$4,000,000

SMG Industries, Inc.

has acquired

Trinity Services, LLC

M&A Advisory

Financial Advisor June 2019
Highpower International

M&A Advisory

Financial Advisor June 2019

$105,800,000

Akero Therapeutics

IPO

Lead Manager June 2019

AUD75,000,000

PointsBet Holdings Limited

IPO

Lead Manager June 2019

$36,000,000

Mohawk Group Holdings, Inc.

IPO

Joint Book-Running Manager June 2019

$103,716,000

ArQule, Inc.

Follow-On

Co-Manager June 2019

$73,313,000

Cryoport, Inc.

Follow-On

Co-Manager June 2019

$9,450,000

Soliton, Inc.

PIPE

Lead Placement Agent June 2019

$15,600,000

ContraVir Pharmaceuticals, Inc.

Follow-On

Lead Placement Agent June 2019

$57,495,000

Medipharm Labs

Follow-On

Co-Manager June 2019

$26,714,000

SharpSpring, Inc.

Follow-On

Joint Book-Running Manager June 2019

$11,000,000

Charles & Colvard, Ltd.

Follow-On

Sole Manager June 2019

$400,000,000

InterDigital, Inc.

Convertible Senior Notes

Co-Manager June 2019

$42,263,000

Jiayin Group Inc.

IPO

Sole Book-Running Manager May 2019

$103,500,000

The Lovesac Company

Follow-On

Joint Book-Running Manager May 2019

$5,045,000

Cellectar Biosciences

PIPE

Sole Placement Agent May 2019

$4,955,000

Cellectar Biosciences

Registered Direct

Sole Placement Agent May 2019

$74,750,000

JinkoSolar Holding Co.

Follow-On

Co-Manager May 2019

CAD3,354,000

Western Copper and Gold

PIPE

Placement Agent May 2019

$1,500,000

Cosmos Holdings, Inc.

PIPE

Sole Placement Agent May 2019

$230,460,000

Intercept Pharmaceuticals

Follow-On

Co-Manager May 2019

$159,390,000

Upland Software, Inc

Follow-On

Co-Manager May 2019

$11,000,000

OncoSec Medical, Inc.

Follow-On

Financial Advisor May 2019

AUD7,000,000

Prescient Therapeutics

PIPE

Placement Agent May 2019

$31,625,000

Mustang Bio, Inc.

Follow-On

Co-Manager May 2019

$925,000,000

Gogo, Inc.

Senior Secured Notes

Co-Manager May 2019

$5,000,000

Onconova Therapeutics

ATM Program

Sole Agent May 2019
Pointer Telocation, Ltd.

M&A Advisory

Financial Advisor April 2019

$109,650,000

Greenlane Holdings, Inc.

IPO

Co-Manager April 2019

$2,001,000

Monaker Group, Inc.

Follow-On

Sole Book-Running Manager April 2019

$933,000

SG Blocks Inc.

Registered Direct

Sole Placement Agent April 2019

$2,140,000

ContraVir Pharmaceuticals, Inc.

Follow-On

Lead Placement Agent April 2019

$6,000,000

Avalon Globocare Corporation

Registered Direct

Sole Placement Agent April 2019

$15,000,000

Moleculin Biotech, Inc.

Registered Direct

Financial Advisor April 2019

$12,363,000

Reebonz Holdings

Follow-On

Joint Book-Running Manager April 2019

$69,000,000

BioDelivery Sciences International, Inc.

Follow-On

Co-Manager April 2019

$6,445,000

Quest Resource Holding Corporation

Follow-On

Sole Manager April 2019

$5,787,000

Daré Bioscience, Inc.

Follow-On

Sole Book-Running Manager April 2019

$70,000,000

Syros Pharmaceuticals, Inc.

Follow-On

Co-Manager April 2019

$34,500,000

Chiasma, Inc.

Follow-On

Co-Manager April 2019

$155,397,200

Genfit SA

IPO

Co-Manager March 2019

$25,000,000

McEwen Mining Inc.

Registered Direct

Lead Placement Agent March 2019

$5,250,000

Moleculin Biotech, Inc.

Follow-On

Financial Advisor March 2019

$12,000,000

Electrameccanica

Registered Direct

Lead Placement Agent March 2019

NOK73,654,000

Targovax ASA

PIPE

Placement Agent March 2019

$3,928,000

BioPharmX Corporation

Registered Direct

Sole Placement Agent March 2019

$23,639,000

eGain Corporation

Follow-On

Sole Book-Running Manager March 2019

$14,000,000

Altimmune, Inc.

Registered Direct

Sole Placement Agent March 2019

$21,980,000

Aptevo Therapeutics

Follow-On

Financial Advisor March 2019

$115,000,000

Cymabay Therapeutics, Inc.

Follow-On

Co-Manager March 2019

$25,000,000

Energous Corporation

Registered Direct

Sole Placement Agent March 2019

$230,000,000

LivePerson

Convertible Senior Notes

Co-Manager March 2019
Moleculin Biotech, Inc.

M&A Advisory

Financial Advisor February 2019

$16,241,000

Reed's, Inc.

Follow-On

Sole Manager February 2019

$7,085,000

RumbleOn, Inc.

Follow-On

Financial Advisor February 2019

$149,429,000

S.M.R.E Spa

has been acquired by

SolarEdge Technologies, Inc.

M&A Advisory

Financial Advisor January 2019
OHR Pharmaceutical, Inc. 

M&A Advisory

Financial Advisor January 2019

$43,407,000

Hexo Corp.

Follow-On

Co-Manager January 2019

$18,000,000

Seelos Therapeutics, Inc.

PIPE

Sole Placement Agent January 2019

$92,000,000

Stemline Therapeutics, Inc.

Follow-On

Co-Manager January 2019

$5,000,000

Blue Duck Scooters

Private Placement

Placement Agent December 2018
TekWorks, Inc.

has merged with

Paladin Technologies

M&A Advisory

Financial Advisor December 2018

$21,037,000

OptimizeRx Corporation

M&A Advisory

Financial Advisor December 2018
Smith Micro Software, Inc.

M&A Advisory

Financial Advisor December 2018

$16,500,000

Soleno Therapeutics, Inc.

PIPE

Sole Placement Agent December 2018
XpresSpa Group, Inc.

has received an investment from

Calm

M&A Advisory

Financial Advisor November 2018

$51,938,000

CNFinance Holdings Limited

IPO

Sole Book-Running Manager November 2018

$9,232,000

Eastside Distilling

Follow-On

Sole Book-Running Manager November 2018

$51,923,000

New Age Beverages

Follow-On

Joint Book-Running Manager November 2018

$50,000,000

Acer Therapeutics Inc.

ATM Program

Sole Agent November 2018
NV5 Global, Inc.

M&A Advisory

Financial Advisor October 2018
ShotSpotter, Inc.

has acquired

Hunchlab

M&A Advisory

Financial Advisor October 2018

€13,000,000

Oryzon Genomics S.A.

PIPE

Placement Agent October 2018

$42,180,000

The Lovesac Company

Follow-On

Joint Book-Running Manager October 2018

$12,469,000

Atomera Incorporated

Follow-On

Sole Book-Running Manager October 2018

$185,000,000

Azure Power Global Limited

Follow-On

Co-Manager October 2018

$25,000,000

KemPharm, Inc.

Follow-On

Co-Manager October 2018

$25,000,000

Altimmune, Inc.

Registered Direct

Sole Placement Agent October 2018

$60,375,000

Willdan Group, Inc.

Follow-On

Joint Book-Running Manager October 2018

$11,070,000

MoSys, Inc.

Follow-On

Lead Placement Agent October 2018

$20,000,000

Uranium Energy Corp

Follow-On

Co-Manager October 2018

$1,901,000

Monaker Group, Inc.

Registered Direct

Sole Placement Agent October 2018

$12,000,000

Altimmune, Inc.

Follow-On

Sole Manager October 2018

$150,000,000

Verastem, Inc.

Convertible Senior Notes

Financial Advisor October 2018

$475,000,000

Tilray, Inc.

Convertible Senior Notes

Co-Manager October 2018

$2,320,000

Daxor Corporation

ATM Program

Sole Agent October 2018

$7,930,000

Digital Ally

Follow-On

Sole Book-Running Manager September 2018

$4,878,000

Altimmune, Inc.

Registered Direct

Sole Placement Agent September 2018

$4,600,000

Avino Silver and Gold Mines Ltd

Follow-On

Co-Manager September 2018

$175,750,000

Viking Therapeutics, Inc.

Follow-On

Co-Manager September 2018

$11,500,000

IRIDEX Corporation

Follow-On

Lead Manager September 2018

$17,250,000

Sensus Healthcare, Inc.

Follow-On

Co-Manager September 2018

$10,000,000

Netlist, Inc.

Registered Direct

Sole Placement Agent September 2018

$117,013,000

Tilly's Inc.

Follow-On

Co-Manager September 2018

$78,200,000

KalVista Pharmaceuticals, Inc.

Follow-On

Co-Manager September 2018

$37,534,000

New Age Beverages

ATM Program

Sole Agent September 2018

$10,000,000

Broadwind Energy, Inc.

ATM Program

Sole Agent September 2018
NV5 Global, Inc.

M&A Advisory

Financial Advisor August 2018

$23,667,000

Bionano Genomics, Inc.

IPO

Sole Book-Running Manager August 2018

$11,776,000

New Age Beverages

Follow-On

Sole Book-Running Manager August 2018

$17,250,000

Restoration Robotics, Inc.

Follow-On

Co-Manager August 2018

$24,668,000

Maxwell Technologies, Inc.

Follow-On

Co-Manager August 2018

$185,006,000

PlayAGS, Inc.

Follow-On

Co-Manager August 2018

$115,380,000

NV5 Global, Inc.

Follow-On

Joint Book-Running Manager August 2018

$46,000,000

Acer Therapeutics Inc.

Follow-On

Co-Manager August 2018

$175,950,000

Tilray, Inc.

IPO

Lead Manager July 2018

$15,910,000

Global Water Resources, Inc.

Follow-On

Sole Manager July 2018

$46,230,000

Adesto Technologies

Follow-On

Joint Book-Running Manager July 2018

$69,575,000

ArQule, Inc.

Follow-On

Co-Manager July 2018

$230,000,000

CalAmp Corp.

Convertible Senior Notes

Co-Manager July 2018

$30,000,000

Prive Revaux

Private Placement

Placement Agent June 2018

$32,000,000

Grubmarket

Private Placement

Financial Advisor June 2018

$1,050,000

Investable Games Technology, Inc.

Private Placement

Placement Agent June 2018

$64,400,000

The Lovesac Company

IPO

Sole Book-Running Manager June 2018

AUD20,100,000

Imugene Limited

PIPE

Lead Placement Agent June 2018

$28,031,000

Profire Energy, Inc.

Follow-On

Sole Book-Running Manager June 2018

$1,600,000

NTN Buzztime, Inc.

Registered Direct

Sole Placement Agent June 2018

$35,190,000

Veritone, Inc.

Follow-On

Joint Book-Running Manager June 2018

$2,300,000

Moleculin Biotech, Inc.

Registered Direct

Sole Placement Agent June 2018

$75,000,000

Galmed Pharmaceuticals Ltd.

Follow-On

Lead Manager June 2018

$6,000,000

Naked Brands Group

Private Placement

Lead Placement Agent June 2018

$69,000,000

Limoneira Company

Follow-On

Lead Manager June 2018

$50,313,000

Asure Software, Inc.

Follow-On

Joint Book-Running Manager June 2018

$77,625,000

Viking Therapeutics, Inc.

Follow-On

Co-Manager June 2018

$440,178,000

Madrigal Pharmaceuticals, Inc.

Follow-On

Co-Manager June 2018
BlueLine Grid

M&A Advisory

Financial Advisor May 2018
Adesto Technologies

has been acquired by

S3 Semiconductors

M&A Advisory

Financial Advisor May 2018
OptimizeRx Corporation

M&A Advisory

Financial Advisor May 2018

$15,541,000

QuickLogic Corporation

Follow-On

Co-Manager May 2018

$23,288,000

BG Staffing, Inc.

Follow-On

Joint Book-Running Manager May 2018

$45,943,000

Evofem Biosciences, Inc.

Follow-On

Co-Manager May 2018

$17,618,000

Platinum Group Metals

Follow-On

Co-Manager May 2018

CAD2,806,000

Bioasis Technologies Inc.

PIPE

Sole Placement Agent May 2018

$2,302,000

Inuvo, Inc.

Follow-On

Sole Manager May 2018

$100,513,000

PlayAGS, Inc.

Follow-On

Co-Manager May 2018

CAD2,010,000

Cotinga Pharmaceuticals, Inc.

PIPE

Sole Placement Agent May 2018

$750,000,000

Ligand Pharmaceuticals

Convertible Senior Notes

Co-Manager May 2018

$15,000,000

Akoustis Technologies

Senior Notes

Financial Advisor May 2018

$35,000,000

Adesto Technologies

Senior Notes

Sole Placement Agent May 2018

$258,750,000

Five9, Inc.

Convertible Senior Notes

Co-Manager May 2018
Veritone, Inc.

M&A Advisory

Financial Advisor April 2018

$10,115,000

Inpixon

Registered Direct

Sole Placement Agent April 2018

$30,250,000

Helios and Matheson Analytics Inc.

Follow-On

Co-Manager April 2018

$23,023,000

Aspen Group, Inc.

Follow-On

Sole Manager April 2018

$6,613,000

Torchlight Energy Resources, Inc.

Follow-On

Sole Book-Running Manager April 2018

$28,700,000

Trilogy Metals

Follow-On

Co-Manager April 2018

$11,250,000

EyeGate Pharmaceuticals, Inc.

Follow-On

Financial Advisor April 2018

$113,541,000

Daqo New Energy Corp.

Follow-On

Co-Manager April 2018

$37,538,000

Intec Pharma Ltd.

Follow-On

Co-Manager April 2018

$6,050,000

Digital Ally

PIPE

Sole Placement Agent April 2018
Gaia, Inc.

M&A Advisory

Financial Advisor March 2018
Red Violet, Inc.

M&A Advisory

Financial Advisor March 2018
Fluent, Inc.

M&A Advisory

Financial Advisor March 2018

$15,400,000

Actinium Pharmaceuticals, Inc.

M&A Advisory

Financial Advisor March 2018
Red Violet, Inc.

M&A Advisory

Financial Advisor March 2018

$9,800,000

Auryn Resources

Follow-On

Co-Manager March 2018

$136,850,000

GlycoMimetics, Inc.

Follow-On

Co-Manager March 2018

$30,000,000

SCYNEXIS, Inc.

Follow-On

Co-Manager March 2018

CAD10,050,000

Enviroleach Technologies Inc.

PIPE

Sole Placement Agent March 2018

$20,000,000

EdgePower, Inc.

has been acquired by

Just Energy

M&A Advisory

Financial Advisor February 2018
Sphere 3D

M&A Advisory

Financial Advisor February 2018

$19,500,000

One Stop Systems

IPO

Sole Book-Running Manager February 2018

$86,296,000

Ring Energy, Inc.

Follow-On

Co-Manager February 2018

$202,400,000

Aimmune Therapeutics, Inc.

Follow-On

Co-Manager February 2018

$9,009,000

Moleculin Biotech, Inc.

Registered Direct

Sole Placement Agent February 2018

$23,163,000

Avid Bioservices, Inc.

Follow-On

Co-Manager February 2018

$18,000,000

Inpixon

Registered Direct

Sole Placement Agent February 2018

$10,250,000

Daré Bioscience, Inc.

Follow-On

Sole Manager February 2018

$22,000,000

Gemphire Therapeutics Inc.

Follow-On

Lead Manager February 2018

$5,000,000

Delcath Systems, Inc.

Follow-On

Sole Placement Agent February 2018

$63,480,000

Halcon Resources Corp

Follow-On

Co-Manager February 2018

$63,250,000

Viking Therapeutics, Inc.

Follow-On

Co-Manager February 2018

$6,000,000

MySize, Inc.

Follow-On

Sole Placement Agent February 2018

$5,478,000

Q BioMed, Inc.

Follow-On

Lead Placement Agent February 2018

$110,000,000

U.S. Geothermal

has been acquired by

Ormat Technologies, Inc.

M&A Advisory

Financial Advisor January 2018

$188,600,000

PlayAGS, Inc.

IPO

Co-Manager January 2018

$27,300,000

Eyenovia, Inc.

IPO

Joint Book-Running Manager January 2018

$144,072,000

Cymabay Therapeutics, Inc.

Follow-On

Co-Manager January 2018

$59,570,000

Stemline Therapeutics, Inc.

Follow-On

Co-Manager January 2018

$74,745,000

Albireo Pharma, Inc.

Follow-On

Co-Manager January 2018

$7,055,000

GT Biopharma, Inc.

PIPE

Financial Advisor January 2018

$18,000,000

Sequans Communications S.A.

Follow-On

Financial Advisor January 2018

$3,185,000

Inpixon

Registered Direct

Sole Placement Agent January 2018

$17,000,000

Radisys Corporation

Senior Notes

Sole Placement Agent January 2018
Delcath Systems, Inc.

M&A Advisory

Financial Advisor December 2017
Marathon Patent Group, Inc.

M&A Advisory

Financial Advisor December 2017
Westwater Resources

M&A Advisory

Financial Advisor December 2017

$34,500,000

iClick Interactive Asia Group Limited

Follow-On

Sole Book-Running Manager December 2017

$2,491,000

MySize, Inc.

Follow-On

Sole Placement Agent December 2017

$143,750,000

Madrigal Pharmaceuticals, Inc.

Follow-On

Co-Manager December 2017

$14,750,000

Viking Therapeutics, Inc.

Follow-On

Co-Manager December 2017

$23,000,000

Attunity Ltd.

Follow-On

Joint Book-Running Manager December 2017

$11,523,000

Myomo, Inc.

Follow-On

Sole Manager December 2017

$3,000,000

Cosmos Holdings, Inc.

Private Placement

Sole Placement Agent November 2017

$7,500,000

ACM Research, Inc.

Private Placement

Sole Book-Running Manager November 2017

$11,200,000

ACM Research, Inc.

IPO

Sole Book-Running Manager November 2017

$109,247,000

SMART Global Holdings, Inc.

Follow-On

Co-Manager November 2017

$57,500,000

Catalyst Pharmaceuticals, Inc.

Follow-On

Co-Manager November 2017

$10,997,000

BioPharmX Corporation

Follow-On

Co-Manager November 2017

AUD6,700,000

Imugene Limited

Registered Direct

Lead Placement Agent November 2017

$25,789,000

Veritone, Inc.

Follow-On

Joint Book-Running Manager November 2017

$5,860,000

Senestech

Follow-On

Sole Book-Running Manager November 2017

$36,656,000

Century Casinos, Inc.

Follow-On

Joint Book-Running Manager November 2017

$22,500,000

RedHill Biopharma Ltd.

Follow-On

Co-Manager November 2017

€1,750,000

Implanet S.A.

PIPE

Placement Agent November 2017

$4,000,000

Bio-Path Holdings, Inc.

Registered Direct

Sole Placement Agent November 2017

$172,500,000

Rambus Inc

Convertible Senior Notes

Co-Manager November 2017
Coban Technologies

has acquired

Safe Fleet

M&A Advisory

Financial Advisor October 2017

$27,285,000

Restoration Robotics, Inc.

IPO

Co-Manager October 2017

$1,333,000

MySize, Inc.

PIPE

Sole Placement Agent October 2017

$47,394,000

Savara, Inc.

Follow-On

Co-Manager October 2017

$16,005,000

RumbleOn, Inc.

Follow-On

Joint Book-Running Manager October 2017

$41,625,000

Earthstone Energy, Inc.

Follow-On

Co-Manager October 2017

$4,928,000

Paramount Gold Nevada Corp.

Follow-On

Co-Manager October 2017
ReneSola Ltd.

M&A Advisory

Financial Advisor September 2017

$23,000,000

Ritter Pharmaceuticals, Inc.

Follow-On

Financial Advisor September 2017

$500,000,000

Eldorado Resorts, Inc.

Senior Notes

Financial Advisor September 2017

$13,000,000

Moleculin Biotech, Inc.

ATM Program

Agent September 2017
Cogint, Inc.

M&A Advisory

Financial Advisor August 2017
Vermillion, Inc.

M&A Advisory

Financial Advisor August 2017

$11,526,000

Amtech Systems, Inc.

Follow-On

Sole Manager August 2017

$5,100,000

Netlist, Inc.

Follow-On

Joint Book-Running Manager August 2017

$11,161,000

Lakeland Industries

Follow-On

Joint Book-Running Manager August 2017

$57,455,000

Intec Pharma Ltd.

Follow-On

Lead Manager August 2017

$6,210,000

Eastside Distilling

Follow-On

Joint Book-Running Manager August 2017

$3,000,000

Sphere 3D

PIPE

Financial Advisor August 2017

$7,590,000

FORM Holdings

Follow-On

Sole Manager July 2017

€6,000,000

Neovacs S.A.

PIPE

Sole Placement Agent July 2017

$35,983,000

Apollo Endosurgery, Inc.

Follow-On

Joint Book-Running Manager July 2017

$62,221,000

Ring Energy, Inc.

Follow-On

Co-Manager July 2017

$2,252,000

MoSys, Inc.

Registered Direct

Sole Placement Agent July 2017

$35,420,000

ShotSpotter, Inc.

IPO

Sole Book-Running Manager June 2017

$7,763,000

Air Industries Group

Follow-On

Sole Book-Running Manager June 2017

$4,025,000

Meridian Waste Solutions, Inc.

Follow-On

Joint Book-Running Manager June 2017

$2,631,000

EnSync, Inc.

Follow-On

Sole Book-Running Manager June 2017

$2,683,000

Great Basin Scientific, Inc.

Registered Direct

Sole Placement Agent June 2017

$4,312,000

Viking Therapeutics, Inc.

Registered Direct

Lead Placement Agent June 2017

$40,000,000

Upland Software, Inc

Follow-On

Financial Advisor June 2017

$29,498,000

Asure Software, Inc.

Follow-On

Sole Book-Running Manager June 2017

$10,000,000

root9B IPSA International

has been acquired by

Exiger, LLC

M&A Advisory

Financial Advisor May 2017

$67,045,000

SMART Global Holdings, Inc.

IPO

Co-Manager May 2017

$30,590,000

ASV Holdings, Inc.

IPO

Sole Book-Running Manager May 2017

$141,427,000

MINDBODY, Inc.

Follow-On

Co-Manager May 2017

CAD5,755,000

InMed Pharmaceuticals, Inc.

Follow-On

Co-Manager May 2017

$18,400,000

American Superconductor Corporation

Follow-On

Co-Manager May 2017

$13,000,000

Omaze Holdings

Private Placement

Financial Advisor April 2017

$1,635,000

Dash Radio

Private Placement

Financial Advisor April 2017

$5,000,000

BioPharmX Corporation

Registered Direct

Sole Placement Agent April 2017

$47,250,000

Sorrento Therapeutics, Inc.

Follow-On

Co-Manager April 2017

$1,000,000

Electrical Geodesics

M&A Advisory

Financial Advisor March 2017

$9,288,000

Biocept Inc

Registered Direct

Lead Placement Agent March 2017

$52,500,000

Valeritas Holdings, Inc.

Follow-On

Co-Manager March 2017

$4,500,000

Sphere 3D

Registered Direct

Lead Placement Agent March 2017

CAD14,996,000

TAG Oil Ltd

Follow-On

Co-Manager March 2017

CAD7,501,000

Titan Medical, Inc.

Follow-On

Placement Agent March 2017

$46,000,000

MeetMe, Inc.

Follow-On

Joint Book-Running Manager March 2017

$57,500,000

TG Therapeutics, Inc.

Follow-On

Co-Manager March 2017

$375,000,000

Eldorado Resorts, Inc.

Senior Notes

Financial Advisor March 2017
Vermillion, Inc.

M&A Advisory

Financial Advisor February 2017

$10,000,000

Auris Medical Holding AG

Follow-On

Sole Manager February 2017

$10,004,000

Uni-Pixel, Inc.

Follow-On

Lead Placement Agent February 2017

$5,009,000

Moleculin Biotech, Inc.

Follow-On

Joint Book-Running Manager February 2017

$6,000,000

Real Goods Solar, Inc.

Registered Direct

Sole Placement Agent February 2017

$11,500,000

Real Goods Solar, Inc.

Registered Direct

Sole Placement Agent February 2017

$10,209,000

Advanced Inhalation Therapies Ltd.

PIPE

Placement Agent February 2017

$85,100,000

Horizon Global Corporation

Follow-On

Co-Manager February 2017

$287,500,000

OSI Systems, Inc.

Convertible Senior Notes

Co-Manager February 2017

$100,000,000

Pretium Resources Inc.

Convertible Senior Notes

Co-Manager February 2017
GenVec, Inc.

has been acquired by

Intrexon

M&A Advisory

Financial Advisor January 2017
Mast Therapeutics, Inc

has merged with

Savara Pharmaceuticals

M&A Advisory

Financial Advisor January 2017
The Kebab Shop

has received an investment from

AP Franchised Concepts

M&A Advisory

Financial Advisor January 2017

$51,750,000

Stemline Therapeutics, Inc.

Follow-On

Co-Manager January 2017

$50,400,000

Zynerba Pharmaceuticals, Inc.

Follow-On

Co-Manager January 2017

$1,200,000

Nemus Bioscience, Inc.

PIPE

Sole Placement Agent January 2017

$86,250,000

MagnaChip Semiconductor Corp.

Convertible Senior Notes

Co-Manager January 2017

$5,000,000

Next Trucking

Private Placement

Financial Advisor December 2016
Emisphere Technologies, Inc.

M&A Advisory

Financial Advisor December 2016

$15,000,000

Senestech

IPO

Sole Book-Running Manager December 2016

$19,320,000

Polar Power, Inc.

IPO

Joint Book-Running Manager December 2016

$24,427,000

RedHill Biopharma Ltd.

Follow-On

Sole Book-Running Manager December 2016

$15,000,000

RedHill Biopharma Ltd.

Registered Direct

Lead Placement Agent December 2016

$10,001,000

Northwest Biotherapeutics, Inc.

Registered Direct

Financial Advisor December 2016

$79,350,000

Lonestar Resources, Inc.

Follow-On

Co-Manager December 2016

$9,680,000

LightPath Technologies, Inc.

Follow-On

Sole Book-Running Manager December 2016

$1,500,000

U. S. Energy Corp.

Registered Direct

Sole Placement Agent December 2016

$24,037,000

Limbach Holdings Inc.

Follow-On

Financial Advisor December 2016

$40,020,000

Recro Pharma, Inc.

Follow-On

Co-Manager December 2016

€37,600,000

Pharming Group NV

PIPE

Lead Placement Agent December 2016

€8,800,000

Pharming Group NV

PIPE

Lead Placement Agent December 2016

€57,500,000

Pharming Group NV

PIPE

Lead Placement Agent December 2016

$51,700,000

Hudson Technologies, Inc.

Follow-On

Co-Manager December 2016

$18,515,000

IRIDEX Corporation

Follow-On

Sole Manager December 2016

$4,070,000

Real Goods Solar, Inc.

Registered Direct

Lead Placement Agent December 2016

$15,594,000

Asure Software, Inc.

Follow-On

Sole Book-Running Manager December 2016

$82,747,000

Ring Energy, Inc.

Follow-On

Co-Manager December 2016

$86,250,000

NeuroDerm Ltd.

Follow-On

Co-Manager December 2016

$763,000

Medigus Ltd.

Registered Direct

Financial Advisor December 2016

$5,000,000

Top Image Systems

PIPE

Placement Agent December 2016

AUD7,000,000

LBT Innovations