Soleno Therapeutics
Common Stock & Concurrent Private Placement
$129,000,000
.
Co-Manager
October 2023
BioSig Technologies
PIPE Transaction
$2,500,000
.
At The Market Offering
May 2023
Serve Robotics Inc
Secured Convertible Debenture
$3,000,000
.
Introducing Broker
April 2023
PD Theranostics
Series A Financing
$3,000,000
.
Exclusive Placement Agent
April 2023
Viking Therapeutics
Follow-On Offering
$287,500,000
.
Co-Manager
March 2023
Guerilla RF, Inc
PIPE Transaction
$9,200,000
.
Exclusive Placement Agent
February 2023
The NFT Gaming Company
Initial Public Offering
$7,000,000
.
Lead Book Runner
February 2023
BioSig Technologies
PIPE Transaction
$7,300,000
.
Introducing Broker
January 2023
Hoth Therapeutics
PIPE Transaction
$10,000,000
.
Financial Advisor
January 2023
NLS Pharmaceutics
Private Placement
$10,000,000 of up to $30,000,000
Investor: BVF Partners L.P.
Exclusive Introducing Broker
December 2022
Perfect Moment
Private Placement
$6,000,000
.
Exclusive Placement Agent
October 2022
NLS Pharmaceutics
Private Placement
$4,000,000
.
Sole Placement Agent
October 2022
Silo Pharma
Follow-On Offering
$5,750,000
.
Sole Book runner
September 2022
Amesite, Inc.
Registered Direct Offering
$2,300,000
Sole Placement Agent
August 2022
Perfect Moment
Secured Convertible Note
.
$10,000,000
Exclusive Placement Agent
June 2022
BioSig Technologies
Follow-On
Offering
Common Stock
$3,500,000
Sole Book-Runner
June 2022
Odyssey Group
International Inc.
PIPE
Common Stock
and Warrants
$1,420,430
Exclusive Placement Agent
May 2022
Soleno Therapeutics
Follow-On Offering
Common Stock
and Warrants
$15,000,000
Co-Manager
March 2022
Cohen & Steers
Initial Public Offering
Common Stock
$367,886,900
Initial Public Offering
February 2022
Amesite, Inc.
Follow-On Offering
Common Stock
$3,000,000
Sole-Book Runner
February 2022
Pimco Access Income Fund
Initial Public
Offering
Common Stock
$866,000,000
Co-Manager
January 2022
Cingulate, Inc.
Initial Public Offering
Common Stock
and Warrants
$25,000,000
Co-Lead Bookrunner
December 2021
MEI
Pharma
PIPE Transaction
Follow-on Offering
Common Stock
$52,325,000
Financial Advisor
December 2021
Voltron
Therapeutics
Series B
Preferred Offering
$4,000,000
Exclusive Placement Agent
November 2021
Guggenheim Active Allocation Fund.
Initial Public Offering
Common Stock
$655,000,000
Co-Manager
November 2021
EyePoint Pharmaceuticals
Follow-On Offering
Common Stock
.$115,000,000
Financial Advisor
November 2021
aTyr Pharma Inc.
Follow-On Offering
Common Stock
$86,250,000
Lead Manager
September 2021
Blackrock ESG Capital Allocation Trust
Initial Public Offering
Common Stock
$2,040,000,000
Co-Manager
September 2021
BioSig Technologies
Follow-On
Offering
Common Stock
$10,000,000
Sole Book-Runner
July 2021
Perfect Moment
Private
Placement
$6,000,000
Exclusive Placement Agent
May 2021
Aldeyra Therapeutics
Follow-On Offering
Common Stock
.
$125,000,000
Co-Manager
April 2021
Algorithm
Sciences
Series B
Offering
$5,000,000
Exclusive Placement Agent
April 2021
Aerwave
Medical
Series A
Offering
$4,000,000
Exclusive Placement Agent
February 2021
EyePoint Pharmaceuticals
Follow-On Offering
Common Stock
.
$115,000,000
Financial Advisor
February 2021
Evoke Pharma
Follow-On Offering
Common Stock
.
$14,375,000
Sole Book-Runner
January 2021
Affimed
Follow-On Offering
Common Stock
.
$115,00,000
Co-Manager
January 2021
Curis Inc.
Follow-On Offering
Common Stock
.
$169,625,000
Lead Manager
December 2020
Delcath Systems
Follow-On Offering
Common Stock
.
$22,247,000
Financial Advisor
December 2020
Amesite, Inc
Initial Public Offering
Common Stock
.
$15,00,000
Sole Book Runner
Sept 2020
PD Theranostics
Series A Offering
$3,000,000
Exclusive Placement Agent
August 2020
Arcturus Therapeutics
Follow-On Offering
Common Stock
.
$173,000,000
Financial Advisor
July 2020
Soleno Therapeutics
Follow-On Offering
Common Stock
.
$50,000,000
Co-Manager
June 2020
Voltron
Therapeutics
Series A
Preferred Offering
$3,500,000
Exclusive Placement Agent
June 2020
ViralClear Pharmaceuticals
Private Placement
Common Stock
.
$10,800,000
Introducing Broker
May 2020
Delcath Systems
Follow-On Offering
Common Stock
.
$22,000,000
Co-Lead Manager
May 2020
Arcturus Therapeutics
Follow-On Offering
Common Stock
.
$70,000,000
Financial Advisor
April 2020
Hoth Therapeutics
Follow-On
Common Stock
.
$5,000,000
Sole-Book Runner
March 2020
EyePoint Pharmaceuticals
Follow-On Offering
Common Stock
.
$21,800,000
Co-Manager
February 2020
BioSig Technologies
Follow-On Offering
Common Stock
$10,000,000
Sole Book-Runner
February 2020
Algorithm
Sciences
Series A
Offering
$3,500,000
Exclusive Placement Agent
February 2020
Ziopharm Oncology
Follow-On Offering
Common Stock
.
$90,000,000
Co-Manager
February 2020
Beyond Air
Follow-On Offering
Common Stock
.
$10,500,000
Financial Advisor
December 2019
Molecular
Templates, Inc.
Follow-On Offering
Common Stock & Convertible Preferred Stock
$50,000,000
Financial Advisor
November 2019
Affimed
Follow-On Offering
Common Stock
.
$34,500,000
Co-Manager
November 2019
Soleno Therapeutics
Follow-On Offering
Common Stock
.
$15,400,000
Co-Manager
October 2019
Hoth Therapeutics
Private Placement
Common Stock
.
$2,037,000
Exclusive Placement Agent
September 2019
Noxopharm, Ltd
Funding Facility
$26,000,000
Sole Financial Advisor
July 2019
Icad, Inc
Follow-On Offering
Common Stock
.
$9,000,000
Financial Advisor
June 2019
EyePoint Pharmaceuticals
Follow-On Offering
Common Stock
.
$20,000,000
Co-Manager
March 2019
Hoth Therapeutics
Initial Public Offering
Common Stock
.
$7,000,000
Sole Book Runner
February 2019
Taiwan
Liposome Company
Initial Public Offering
Common Stock
.
$21,750,000
Co-Manager
November 2018
Tiziana
Life Sciences
Initial Public Offering
Common Stock
.
$7,000,000
Sole Book Runner
November 2018
Molecular
Templates, Inc.
Follow-On Offering
Common Stock
.
$45,100,000
Lead Manager
September 2018
Viking
Therapeutics
Follow-On Offering
Common Stock
.
$175,800,000
Financial Advisor
September 2018
Aldeyra Therapeutics
Follow-On Offering
Common Stock
.
$72,187,500
Co-Manager
September 2018
BioSig Technologies
PIPE Transaction
Common Stock
& Warrants
$6,000,000
Introducing Broker
August 2018
Aridis Pharmaceuticals
Initial Public
Offering
Common Stock
$26,000,000
Co-Manager
August 2018
Athenex, Inc
PIPE Transaction
Common Stock, Warrants & Senior Debt
$100,000,000
Exclusive Placement Agent
July 2018
Viking
Therapeutics
Follow-On Offering
Common Stock
$78,000,000
Financial Advisor
June 2018
MEI
Pharma
PIPE Transaction
Common Stock and
Warrants
$75,000,000
Co-Placement Agent
May 2018
Sesen
Bio
Follow-On Offering
Common Stock
.
$48,000,000
Financial Advisor
May 2018
AIT Therapeutics
PIPE Transaction
Warrants
.
$9,820,154.54
Exclusive Placement Agent
February 2018
Hoth Therapeutics
Private Placement
Series A
Preferred Warrants
$3,102,480
Exclusive Placement Agent
February 2018
Affimed
Follow-On Offering
Common Stock
$23,000,000
Financial Advisor
February 2018
Gemphire
Follow-On
Offering
Common Stock
$22,000,000
Co-Manager
February 2018
Athenex, Inc
Follow-On
Offering
Common Stock
$65,575,000
Co-Manager
January 2018
Fennec
Pharmaceuticals
Follow-On Offering
Common Stock
$20,000,000
Financial Advisor
December 2017
Cytori
Therapeutics
Rights Offering
Convertible Preferred
Stock and Warrants
$10,000,000
Financial Advisor
November 2017
Onconova
Therapeutics
Registered Direct
Common Stock
$1,380,000
Sole Placement Agent
November 2017
ADMA Biologics
Follow-On Offering
Common Stock
$36,500,000
Financial Advisor
November 2017
US Gold Corporation
Confidentially Marketed Public Offering
Common Stock
$2,500,000
Sole Book Runner
October 2017
Asterias
Biotherapeutics
Registered Direct
Common Stock
$10,400,000
Financial Advisor
October 2017
Flexion Therapeutics
Follow-On Offering
Common Stock
$122,400,000
Financial Advisor
October 2017
Aldeyra Therapeutics
Follow-On Offering
Common Stock
$28,800,000
Lead Manager
September 2017
MabVax
Therapeutics, Inc
Registered Direct
Common Stock
$2,000,000
Sole Placement Agent
September 2017
SearchLight
Investments, LLC
Member
Interests
$17,382,225
September 2017
Spherix, Inc.
Follow-On Offering
$2,500,000
Sole Book Runner
July 2017
Cooltech
Holding Corp.
Private Placement
Common Stock
$5,688,055
Exclusive Placement Agent
June 2017
Repros
Therapeutics
Confidentially Marketed
Public Offering
Common Stock and Warrants
$3,000,000
Sole Book-Runner
May 2017
MabVax
Therapeutics, Inc
Follow-On Offering
Common and
Preferred Stock
$4,100,000
Sole Book-Runner
May 2017
Flexion
Therapeutics
Convertible Note
$175,000,000
Financial Advisor
May 2017
Onconova
Therapeutics
Confidentially Marketed
Public Offering
Common Stock
$5,963,517
Sole Book Runner
April 2017
BioSig Technologies
PIPE Transaction
Common Stocks
& Warrants
$4,349,954
Exclusive Placement Agent
March 2017
AIT Therapeutics
PIPE Transaction,
Common Stock
and Warrants
$10,200,000
Placement Agent
March 2017
Therapix
Biosciences
Initial Public Offering
Common Stock
$13,800,000
Sole Book Runner
March 2017