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$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