Function (x), Inc.
Follow-On Offering
Common Stock
$5,000,000
Joint Book Runner
February 2017
Aldeyra Therapeutics
Follow-On Offering
Common Stock
$10,000,000
Lead Manager
February 2017
Medovex Corporation
PIPE Transaction
Common Stock & Warrants
$3,022,000
Exclusive Placement Agent
February 2017
Pershing Gold Corporation
Confidentially Marketed
Public Offering
Common Stock
$7,500,000
Lead Underwriter
December 2016
Towersteam Corporation
Confidentially Marketed
Public Offering
Common Stock
$4,000,000
Sole Book Runner
November 2016
US Gold Corporation
Private Placement
Common Stock
$12,000,000
Exclusive Placement Agent
October 2016
FTE Networks, Inc.
PIPE Transaction
Common Stock
& Warrants
$2,990,000
Exclusive Placement Agent
October 2016
Protea Biosciences Group, Inc
Convertible
Debenture
$1,736,000
Exclusive Placement Agent
September 2016
MabVax
Therapeutics, Inc
Follow-On Offering
Common Stock
& Warrants
$9,438,750
Sole Book-Runner
August 2016
Spherix, Inc.
Confidentially Marketed
Public Offering
Common Stock
$2,500,000
Sole Book Runner
August 2016
Alimera Sciences
Follow-On Offering
Common Stock
$25,000,000
Co-Manager
August 2016
ImmunoCellular
Follow-On Offering
Common Stocks
& Warrants
$7,400,000
Lead Manager
August 2016
ADMA Biologics
Follow-On
Offering
Common Stock
$14,200,000
Financial Advisor
April 2016
Durect Corporation
Follow-On
Offering
Common Stock
$15,000,000
Co-Manager
April 2016
Medovex
Corporation
PIPE Transaction
Common Stock
& Warrants
$1,398,033
Placement Agent
April 2016
ContraVir
Pharmaceuticals
Follow-On Offering
Common Stock
& Warrants
$7,000,000
Sole Book-Runner
March 2016
Pershing Gold Corporation
PIPE Transaction
Common Stock & Warrants
$6,890,000
Exclusive Placement Agent
March 2016
Regenmed
Therapeutics
Sale of Company
Undisclosed Amount
Financial Advisory
March 2016
Aspen University
PIPE
Common Stock
and Warrants
$6,000,000
Exclusive Placement Agent
April 2013
Aeolus
Pharmaceuticals
PIPE Transaction
Common Stock
& Warrants
$6,750,000
Exclusive Placement Agent
December 2015
Cerecor, Inc.
Initial Public Offering
Common Stock
& Warrants
$26,000,000
Lead Manager
October 2015
ContraVir
Pharmaceuticals
Follow-On Offering
Common Stock
& Warrants
$15,000,000
Sole Book-Runner
October 2015
MabVax Therapeutics, Inc
Follow-On Offering
Common Stock
& Warrants
$2,750,000
Sole Book-Runner
October 2015
Sevion
Therapeutics
PIPE Transaction
Common Stocks
& Warrants
$7,325,217
Exclusive Placement Agent
July 2015
AirBase Technology
Partners, LLC
Member Interests
$19,124,663
July 2015
Face-Off
Partners II, LLC
Member Interests
$22,012,097
September 2010 –
June 2015
Actinium
Pharmaceuticals
Registered Direct
$5,000,000
Exclusive Placement Agent
June 2015
Aldeyra
Therapeutics
Follow-On Offering
Common Stock
$20,250,000
Co-Manager
May 2015
Viking
Therapeutics
Initial Public Offering
Common Stock
$27,600,000
Sole Book-Runner
May 2015
Pershing Gold Corporation
PIPE Transaction
Common Stock & Warrants
$9,660,000
Selected Dealer
April 2015
BioSig
Technologies
PIPE Transaction
$4,009,000
Exclusive Placement Agent
April 2015
Protea
Biosciences Group, Inc
Private Placement
$7,415,551
Exclusive Placement Agent
March 2015
MabVax
Therapeutics, Inc
Private Placement
$11,600,000
Financial Advisor
March 2015
ADMA Biologics
Follow-On Offering
Common Stock
$9,800,000
Co-Manager
March 2015
Actinium
Pharmaceuticals
Follow-On Offering
Common Stock
& Warrants
$20,000,000
Sole Book-Runner
February 2015
Aldeyra
Therapeutics
PIPE Transaction
$7,791,560
Sole Placement Agent
January 2015
Medovex
Corporation
Initial Public Offering
Common Stock
& Warrants
$9,200,000
Sole Book-Runner
December 2014
Mast
Therapeutics, Inc.
Follow-On Offering
Common Stock
& Warrants
$21,000,000
Co-Manager
November 2014
Relmada
Therapeutics
Warrant Exercise
$15,254,362
Exclusive Placement Agent
October 2014
Cel-Sci
Corporation
Follow-On Offering
Common Stock
& Warrants
$7,000,000
Sole Book-Runner
October 2014
Pershing Gold Corporation
PIPE Transaction
Common Stock & Warrants
$12,200,000
Exclusive Placement Agent
July 2014
Spherix, Inc.
Registered
Direct Convertible
Preferred Stock
$19,990,000
Exclusive Placement Agent
June 2014
Actinium
Pharmaceuticals
Follow-On Offering
$12,525,000
Lead Manager
June 2014
Relmada
Therapeutics
Common Stock & Warrants
$28,000,000
Exclusive Placement Agent
June 2014
Cel-Sci
Corporation
Follow-On Offering
Common Stock
& Warrants
$10,000,000
Joint Book-Runner
April 2014
Cyclacel
Pharmaceuticals
Follow-On Offering
Common Stock
$10,000,000
Sole Book-Runner
April 2014
Marathon
Patent Group, Inc.
PIPE Transaction
Convertible Preferred
Stock & Warrants
$6,500,000
Exclusive Placement Agent
May 2014
Spherix, Inc.
PIPE Transaction
Common Stock
& Warrants
$4,440,000
Exclusive Placement Agent
March 2014
NovaBay
Pharmaceuticals
Follow-On Offering
Common Stock
& Warrants
$6,720,000
Sole Book-Runner
March 2014
Bionic
Partners, LLC
Class A Member
Interests
$3,834,923
Participating Dealer
February 2014
Private-I
Partners, LLC
Member
Interests
$22,835,665
Participating Dealer
February 2014
Inventergy, Inc.
Private Placement
Common Stock
$7,250,000
Exclusive Placement Agent
January 2014
Actinium
Pharmaceuticals
Common Stock & Warrants
$6,363,720
Placement Agent
January 2014
Protea
Biosciences Group, Inc
Common Stock & Warrants
$7,762,320
Placement Agent
December 2013
Cel-Sci
Corporation
Follow-On offering
Common Stock & Warrants
$3,000,000
Sole Book-runner
December 2013
ADMA Biologics
Initial Public Offering
Common Stock
$28,347,500
Co-Manager
October 2013
Cel-Sci
Corporation
Follow-On Offering
Common Stock
& Warrants
$17,826,087
Co-Manager
October 2013
Relmada
Therapeutics
Convertible Bridge
Notes & Warrants
$750,000
Placement Agent
September 2013
Relmada
Therapeutics
Convertible
Preferred Stock
& Warrants
$8,000,000
Placement Agent
September 2013
Boston
Therapeutics
Common Stock & Warrants
$5,297,698
Placement Agent
September 2013
BioSig
Technologies
Convertible
Preferred Stock
$2,800,000
Exclusive Placement Agent
July 2013
Actinium
Pharmaceuticals, Inc.
Common Stock &
Warrants
$5,151,450
Placement Agent
December 2012
Fusion Telecom-
munications Int’l, Inc.
PIPE Transaction
Convertible Preferred
Stock & Warrants
$22,500,000
Co-Manager
September 2012
Bluebird Investment Partners
Member
Interests
$13,848,670
April 2012
– June 2015
Pre-Flight
Partners, LLC
Member
Interests
$10,841,676
October 2011
– June 2015
Social T
Partners, LLC
Member
Interests
$16,137,216
February 2011
– December 2017
Face-Off
Partners, LLC
Member
Interests
$16,609,332
April 2010
– January 2013
Chain-Link
Partners, LLC
Member
Interests
$5,199,355
August 2010
– June 2011