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$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

PIPE

Lead Placement Agent December 2016

$40,259,000

Cherokee Inc.

Follow-On

Sole Manager December 2016
Active Power Inc.

M&A Advisory

Financial Advisor November 2016

$16,500,000

Palatin Technologies Inc.

Follow-On

Lead Manager November 2016

$12,500,000

BioPharmX Corporation

Follow-On

Sole Book-Running Manager November 2016

$4,001,000

AmpliPhi Biosciences Inc.

Follow-On

Sole Book-Running Manager November 2016

$80,300,000

Hannon Armstrong Infrastructure Capital

Follow-On

Joint Book-Running Manager November 2016

$150,000,000

PDL Biopharma, Inc.

Convertible Debt

Co-Manager November 2016

$85,000,000

Sonnen Group

Private Placement

Sole Placement Agent October 2016

$350,000,000

Horizon Global Corporation

Documentation Agent

M&A Advisory

Financial Advisor October 2016

$107,200,000

Quantenna Communications Inc.

IPO

Co-Manager October 2016

$136,364,000

Azure Power Global Limited

IPO

Co-Manager October 2016

$500,000

Nemus Bioscience, Inc.

PIPE

Sole Placement Agent October 2016

$7,560,000

Capstone Turbine Corporation

Registered Direct

Placement Agent October 2016

$6,600,000

Ocean Power Technologies, Inc.

Follow-On

Sole Book-Running Manager October 2016

$10,010,000

Biocept Inc

Follow-On

Joint Book-Running Manager October 2016

$201,825,000

Nektar Therapetuics

Follow-On

Co-Manager October 2016

$1,275,000

Delcath Systems, Inc.

Follow-On

Sole Book-Running Manager October 2016

$5,750,000

Superior Drilling Technologies

Follow-On

Sole Book-Running Manager October 2016

$10,000,000

Actinium Pharmaceuticals, Inc.

Follow-On

Financial Advisor October 2016
OSI Systems, Inc.

has acquired

AS&E

M&A Advisory

Financial Advisor September 2016

$22,500,000

Roka Bioscience Inc.

PIPE

Sole Placement Agent September 2016

$107,036,000

Callidus Software, Inc.

Follow-On

Lead Manager September 2016

$9,890,000

Capricor Therapeutics, Inc.

Follow-On

Joint Book-Running Manager September 2016

CAD11,468,000

Titan Medical, Inc.

Follow-On

Placement Agent September 2016

$2,800,000

Real Goods Solar, Inc.

Follow-On

Sole Book-Running Manager September 2016

$15,189,000

Oxford BioMedica plc

PIPE

Placement Agent September 2016

$1,470,000

Medigus Ltd.

Registered Direct

Lead Placement Agent September 2016

$287,500,000

Inphi Corporation

Convertible Notes

Co-Manager September 2016

$80,698,000

Segundo Resources

M&A Advisory

Financial Advisor August 2016

$40,000,000

Lucas Energy, Inc.

M&A Advisory

Financial Advisor August 2016

$30,200,000

Sky-mobi Limited

M&A Advisory

Financial Advisor August 2016

$7,536,000

Zosano Pharma Corporation

PIPE

Placement Agent August 2016

$14,900,000

Recro Pharma, Inc.

Follow-On

Financial Advisor August 2016

$15,800,000

Leclanché S.A.

PIPE

Financial Advisor August 2016

$284,625,000

Ellie Mae, Inc.

Follow-On

Co-Manager August 2016

$17,308,000

Vista GOLD

Follow-On

Co-Manager August 2016

$5,875,000

Check-Cap Ltd.

Registered Direct

Financial Advisor August 2016

$9,250,000

Palatin Technologies Inc.

Registered Direct

Lead Manager August 2016

$50,000,000

Argos Therapeutics, Inc.

Follow-On

Co-Manager August 2016

$4,274,000

EMPYR Incorporated

Private Placement

Placement Agent July 2016
LightPath Technologies, Inc.

M&A Advisory

Financial Advisor July 2016

$4,000,000

Ocean Power Technologies, Inc.

Registered Direct

Sole Placement Agent July 2016

$5,000,000

xG Technology, Inc.

Follow-On

Sole Book-Running Manager July 2016

$42,708,000

Brushy Resources

M&A Advisory

Financial Advisor June 2016

$17,100,000

Cytori Therapeutics, Inc.

M&A Advisory

Financial Advisor June 2016

$67,200,000

Dataram Corporation

M&A Advisory

Financial Advisor June 2016

$11,500,000

Tonix Pharmaceuticals Holding Corp.

Follow-On

Joint Book-Running Manager June 2016

$49,915,000

Earthstone Energy, Inc.

Follow-On

Financial Advisor June 2016

$23,975,000

Vascular Biogenics Ltd.

Registered Direct

Financial Advisor June 2016

$16,500,000

Pieris Pharmaceuticals, Inc.

PIPE

Financial Advisor June 2016

$1,918,000

Ocean Power Technologies, Inc.

Registered Direct

Lead Placement Agent June 2016

$35,000,000

Delcath Systems, Inc.

PIPE

Sole Placement Agent June 2016

$5,200,000

IntelliPharmaCeutics International Inc.

Follow-On

Financial Advisor June 2016

$5,000,000

AmpliPhi Biosciences Inc.

Registered Direct

Lead Placement Agent June 2016

$16,677,000

BG Staffing, Inc.

Follow-On

Joint Book-Running Manager June 2016

$152,000,000

Renewable Energy Group, Inc.

Convertible Senior Notes

Sole Placement Agent June 2016
Joolz

has received an investment from

Gimv

M&A Advisory

Financial Advisor May 2016
Yuma Energy, Inc.

M&A Advisory

Financial Advisor May 2016

$18,500,000

PhaseRx, Inc.

IPO

Joint Book-Running Manager May 2016

$12,371,000

Matrix Oil Corporation

PIPE

Sole Placement Agent May 2016

$9,229,000

Uni-Pixel, Inc.

Follow-On

Sole Book-Running Manager May 2016

$50,000,000

OvaScience, Inc.

Follow-On

Co-Manager May 2016

$15,000,000

Farmer Bros. Co.

Private Placement

Sole Placement Agent May 2016

$513,190,000

NV5 Global, Inc.

Follow-On

Sole Book-Running Manager May 2016

$980,000

xG Technology, Inc.

Registered Direct

Sole Placement Agent May 2016

$1,080,000

Neuralstem, Inc.

PIPE

Financial Advisor May 2016

$5,000,000

Sophiris Bio Inc.

Registered Direct

Sole Placement Agent May 2016

$16,754,000

Revolution Lighting Technologies, Inc.

Follow-On

Sole Book-Running Manager May 2016

$8,000,000

Neuralstem, Inc.

Follow-On

Sole Book-Running Manager May 2016

$25,395,000

Valeritas Holdings, Inc.

PIPE

Placement Agent May 2016

$20,000,000

Tigo Energy, Inc.

Private Placement

Financial Advisor April 2016
Synta Pharmaceuticals Corp.

has merged with

Madrigal Pharmaceuticals

M&A Advisory

Financial Advisor April 2016

$8,372,000

Global Water Resources, Inc.

IPO

Sole Manager April 2016

$5,000,000

Biocept Inc

Registered Direct

Financial Advisor April 2016

$750,000

Quantum Materials Corp.

PIPE

Sole Placement Agent April 2016

$15,000,000

Lucas Energy, Inc.

PIPE

Sole Placement Agent April 2016

$10,000,000

Real Goods Solar, Inc.

PIPE

Sole Placement Agent April 2016

$1,277,000

Gazillion, Inc.

Private Placement

Placement Agent March 2016

$8,678,000

Paramount Gold Nevada Corp.

M&A Advisory

Financial Advisor March 2016

CAD17,313,000

Titan Medical, Inc.

Follow-On

Placement Agent March 2016

$3,342,000

Quest Resource Holding Corporation

Follow-On

Sole Book-Running Manager March 2016

$43,700,000

Celator Pharmaceuticals, Inc.

Follow-On

Co-Manager March 2016

$6,825,000

Heat Biologics, Inc.

Follow-On

Joint Book-Running Manager March 2016

$6,700,000

BioBlast Pharma Ltd

Registered Direct

Placement Agent March 2016

$10,000,000

QuickLogic Corporation

Follow-On

Sole Book-Running Manager March 2016

$4,061,000

Capricor Therapeutics, Inc.

Registered Direct

Financial Advisor March 2016

$12,075,000

Energy Fuels, Inc.

Follow-On

Co-Manager March 2016

$129,999,000

Pretium Resources Inc.

Follow-On

Co-Manager March 2016
Pershing Gold

M&A Advisory

Financial Advisor February 2016

$8,320,000

ITM Power Plc

M&A Advisory

Financial Advisor February 2016

$3,557,000

xG Technology, Inc.

Follow-On

Sole Placement Agent February 2016

CAD12,706,000

Titan Medical, Inc.

Follow-On

Placement Agent February 2016

$8,000,000

Mast Therapeutics, Inc

Follow-On

Sole Book-Running Manager February 2016
POW! Entertainment Inc.

M&A Advisory

Financial Advisor January 2016

$15,000,000

Essa Pharma Inc.

PIPE

Financial Advisor January 2016

$21,750,000

Galena Biopharma, Inc.

Follow-On

Co-Manager January 2016

$7,726,000

Royale Energy, Inc.

ATM Program

Sole Agent January 2016