All of our offerings

All of our offerings

Algorithm Sciences

Spin Out-Infusyn Therapeutics

$5,000,000

Sole Advisor

June 2024

Applied DNA Sciences

Follow-On Offering

$12,000,000

Co-Placement Agent

May 2024

.

AerWave Medical

Introducing Broker

$5,000,000

Lead Manager

May 2024

Soleno Therapeutics

Follow-On Offering

$138,000,000

Lead Manager

May 2024

Beyond Air

Registered Direct Offering

$16,000,000

Co-Placement Agent

March 2024

BiomX, Inc.

Private Placement

$50,000,000

Placement Agent

March 2024

Viking Therapeutics

Follow-On Offering

$632,500,000

Co-Manager

March 2024

Oragenics, Inc.

Follow-On Offering

$2,100,000

Joint Book-Running Manager

March 2024

Evoke Pharma

Follow-On Offering

$7,500,000 of up to $30,000,000

Joint Book-Runner

February 2024

Perfect Moment

Initial Public Offering

$8,000,000

Joint Book-Runner

February 2024

Infusyn Therapeutics

Series D Preferred

$4,000,000

Introducing Broker

January 2024

Infusyn Therapeutics

Series D Preferred

$4,000,000

Introducing Broker

January 2024

Beyond Air

Advisory Services

January 2024

Beyond Air

Advisory Services

January 2024

EyePoint Pharmaceuticals

Follow-On Offering

Common Stock

$230,000,000

Co-Manager

December 2023

EyePoint Pharmaceuticals

Follow-On Offering

Common Stock

$230,000,000

Co-Manager

December 2023

Soleno Therapeutics

Common Stock &
Concurrent Private Placement

$129,000,000

Lead Manager

October 2023

Soleno Therapeutics

Common Stock &
Concurrent Private Placement

$129,000,000

Lead Manager

October 2023

BioSig
Technologies

Pipe Transaction

$2,500,000

At the Market Offering

May 2023

BioSig
Technologies

Pipe Transaction

$2,500,000

At the Market Offering

May 2023

PD Theranostics

Series A Financing

$3,000,000

Exclusive Placement Agent

April 2023

PD Theranostics

Series A Financing

$3,000,000

Exclusive Placement Agent

April 2023

Service Robotics Inc.

Secured Convertible Debenture

$3,000,000

Introducing Broker

April 2023

Service Robotics Inc.

Secured Convertible Debenture

$3,000,000

Introducing Broker

April 2023

Viking Therapeutics

Follow-On Offering

$287,500,000

Co-Manager

March 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

Guerilla RF, Inc

PIPE Transaction

$9,200,000

Exclusive Placement Agent

February 2023

Hoth Therapeutics

PIPE Transaction

$10,000,000

Financial Advisor

February 2023

Hoth Therapeutics

PIPE Transaction

$10,000,000

Financial Advisor

February 2023

BioSig Technologies

PIPE Transaction

$7,300,000

Introducing Broker

January 2023

BioSig Technologies

PIPE Transaction

$7,300,000

Introducing Broker

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

NLS Pharmaceutics

Private Placement

$10,000,000 of up to $30,000,000

Investor: BVF Partners L.P.

Exclusive Introducing Broker

December 2022

NLS Pharmaceutics

Private Placement

$4,000,000

Sole Placement Agent

October 2022

NLS Pharmaceutics

Private Placement

$4,000,000

Sole Placement Agent

October 2022

Perfect Moment

Private Placement

$6,000,000

Exclusive Placement Agent

October 2022

Perfect Moment

Private Placement

$6,000,000

Exclusive Placement Agent

October 2022

Silo Pharma

Follow-On Offering

$5,750,000

Sole Book Runner

September 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

Amesite, Inc

Registered Direct Offering

$2,300,000

Sole Placement Agent

August 2022

The BioSig Technologies logo

BioSig Technologies

Follow-On Offering

Common Stock

$3,500,000

Sole Book-Runner

June 2022

The BioSig Technologies logo

BioSig Technologies

Follow-On Offering

Common Stock

$3,500,000

Sole Book-Runner

June 2022

Perfect Moment

Secured Convertible Note

$10,000,000

Exclusive Placement Agent

June 2022

Perfect Moment

Secured Convertible Note

$10,000,000

Exclusive Placement Agent

June 2022

Odyssey Group International Inc.

PIPE Common Stock

and Warrants

$1,420,430

Exclusive Placement Agent

May 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

Soleno Therapeutics

Follow-On Offering

Common Stock and Warrants

$15,000,000

Co-Manager

March 2022

Amesite, Inc.

Follow-On Offering

Common Stock

$3,000,000

Sole-Book Runner

February 2022

Amesite, Inc.

Follow-On Offering

Common Stock

$3,000,000

Sole-Book Runner

February 2022

Cohen & Steers

Initial Public Offering

Common Stock

$367,886,900

Initial Public Offering

February 2022

Cohen & Steers

Initial Public Offering

Common Stock

$367,886,900

Initial Public Offering

February 2022

Pimco Access Income Fund

Initial Public Offering

Common Stock

$866,000,000

Co-Manager

January 2022

Pimco Access Income Fund

Initial Public Offering

Common Stock

$866,000,000

Co-Manager

January 2022

MEI Pharma

PIPE Transaction

Follow-On Offering

Common Stock

$52,325,000

Co-Manager

December 2021

MEI Pharma

PIPE Transaction

Follow-On Offering

Common Stock

$52,325,000

Co-Manager

December 2021

Cingulate Inc.

Initial Public Offering

Common Stock and Warrants

$25,000,000

Co-Lead Bookrunner

December 2021

Cingulate Inc.

Initial Public Offering

Common Stock and Warrants

$25,000,000

Co-Lead Bookrunner

December 2021

Voltron Therapeutics

Series B Preferred Offering

$4,000,000

Exclusive Placement Agent

November 2021

Voltron Therapeutics

Series B Preferred Offering

$4,000,000

Exclusive Placement Agent

November 2021

EyePoint Pharmaceuticals

Follow-On Offering

Common Stock

$115,000,000

Financial Advisor

November 2021

EyePoint Pharmaceuticals

Follow-On Offering

Common Stock

$115,000,000

Financial Advisor

November 2021

Guggenheim Active Allocation Fund

Initial Public Offering

Common Stock

$655,000,000

Co-Manager

November 2021

Guggenheim Active Allocation Fund

Initial Public Offering

Common Stock

$655,000,000

Co-Manager

November 2021

aTyr Pharma Inc.

Follow-On Offering

Common Stock

$86,250,000

Lead Manager

September 2021

aTyr Pharma Inc.

Follow-On Offering

Common Stock

$86,250,000

Lead Manager

September 2021

BlackRock ESG Capital Alloc. Trust

Initial Public Offering

Common Stock

$2,040,000,000

Co-Manager

September 2021

BlackRock ESG Capital Alloc. Trust

Initial Public Offering

Common Stock

$2,040,000,000

Co-Manager

September 2021

The BioSig Technologies logo

BioSig Technologies

Follow-On Offering

Common Stock

$10,000,000

Sole Book Runner

July 2021

The BioSig Technologies logo

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

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

Aldeyra Therapeutics

Follow-On Offering

Common Stock

$125,000,000

Co-Manager

April 2021

Algorithm Sciences

Series B Offering

$5,000,000

Co-Manager

April 2021

Algorithm Sciences

Series B Offering

$5,000,000

Co-Manager

April 2021

iCAD Inc.

Follow-On Offering

Common Stock

$25,000,000

Co-Manager

March 2021

iCAD Inc.

Follow-On Offering

Common Stock

$25,000,000

Co-Manager

March 2021

Blue Stem Properties, LLC

Exclusive Placement Agent

$11,000,000

March 2021

Blue Stem Properties, LLC

Exclusive Placement Agent

$11,000,000

March 2021

Aerwave Medical

Series A Offering

$4,000,000

Exclusive Placement Agent

February 2021

Aerwave Medical

Series A Offering

$4,000,000

Exclusive Placement Agent

February 2021

EyePoint Pharma

Follow-On Offering

Common Stock

$115,000,000

Financial Advisor

February 2021

EyePoint Pharma

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

Evoke Pharma

Follow-On Offering

Common Stock

$14,375,000

Sole Book-Runner

January 2021

Affimed

Follow-On Offering

Common Stock

$14,375,000

Co-Manager

January 2021

Affimed

Follow-On Offering

Common Stock

$14,375,000

Co-Manager

January 2021

Algorithm
Sciences

Spin Out – Infusyn Therapeutics

$5,000,000

Sole Advisor

June 2024

Applied DNA Sciences

Follow-On Offering

$12,000,000

Co-Placement Agent

May 2024

.

AerWave Medical

Convertible Debentures

$5,000,000

Introducing Broker

May 2024

Soleno Therapeutics

Follow-On Offering

$158,700,000

Lead Manager

May 2024

Beyond Air

Registered Direct Offering

$16,000,000

Co-Placement Agent

March 2024

BiomX, Inc.

Private Placement

$50,000,000

Placement Agent

March 2024

Viking Therapeutics

Follow-On Offering

$632,500,000

Co-Manager

March 2024

Oragenics, Inc.

Follow-On Offering

$2,100,000

Joint Book-Running Manager

March 2024

Evoke Pharma

Follow-On Offering

$7,500,000 of up to $30,000,000

Joint Book-Runner

February 2024

Perfect Moment

Initial Public Offering

$8,000,000

Joint Book-Runner

February 2024

Infusyn Therapeutics

Series D Preferred

$4,000,000

Introducing Broker

January 2024

Beyond Air

Advisory Services

January 2024

EyePoint Pharmaceuticals

Follow-On Offering

Common Stock

$230,000,000

Co-Manager

December 2023

MAIA Biotechnology

Common Stock &
Concurrent Private Placement

Financial Advisor

November 2023

Soleno Therapeutics

Common Stock &
Concurrent Private Placement

$129,000,000

Lead Manager

October 2023

Cingulate

Advisory Services

September 2023

MAIA Biotechnology

Advisory Services

August 2023

BioSig
Technologies

Pipe Transaction

$2,500,000

At the Market Offering

May 2023

PD Theranostics

Series A Financing

$3,000,000

Exclusive Placement Agent

April 2023

Service Robotics Inc.

Secured Convertible Debenture

$3,000,000

Introducing Broker

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

Hoth Therapeutics

PIPE Transaction

$10,000,000

Financial Advisor

February 2023

BioSig Technologies

PIPE Transaction

$7,300,000

Introducing Broker

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

NLS Pharmaceutics

Private Placement

$4,000,000

Sole Placement Agent

October 2022

Perfect Moment

Private Placement

$6,000,000

Exclusive Placement Agent

October 2022

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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

The BioSig Technologies logo

BioSig Technologies

Follow-On Offering

Common Stock

$3,500,000

Sole Book-Runner

June 2022

Perfect Moment

Secured Convertible Note

$10,000,000

Exclusive Placement Agent

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

Amesite, Inc.

Follow-On Offering

Common Stock

$3,000,000

Sole-Book Runner

February 2022

Cohen & Steers

Initial Public Offering

Common Stock

$367,886,900

Initial Public Offering

February 2022

Pimco Access Income Fund

Initial Public Offering

Common Stock

$866,000,000

Co-Manager

January 2022

MEI Pharma

PIPE Transaction

Follow-On Offering

Common Stock

$52,325,000

Co-Manager

December 2021

Cingulate Inc.

Initial Public Offering

Common Stock and Warrants

$25,000,000

Co-Lead Bookrunner

December 2021

Voltron Therapeutics

Series B Preferred Offering

$4,000,000

Exclusive Placement Agent

November 2021

EyePoint Pharmaceuticals

Follow-On Offering

Common Stock

$115,000,000

Financial Advisor

November 2021

Guggenheim Active Allocation Fund

Initial Public Offering

Common Stock

$655,000,000

Co-Manager

November 2021

aTyr Pharma Inc.

Follow-On Offering

Common Stock

$86,250,000

Lead Manager

September 2021

BlackRock ESG Capital Alloc. Trust

Initial Public Offering

Common Stock

$2,040,000,000

Co-Manager

September 2021

The BioSig Technologies logo

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

Co-Manager

April 2021

iCAD Inc.

Follow-On Offering

Common Stock

$25,000,000

Co-Manager

March 2021

Blue Stem Properties, LLC

Exclusive Placement Agent

$11,000,000

March 2021

Aerwave Medical

Series A Offering

$4,000,000

Exclusive Placement Agent

February 2021

EyePoint Pharma

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

$14,375,000

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

$15,000,000

Sole Book Runner

September 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

Voltron Therapeutics

Series A Preferred Offering

$3,500,000

Exclusive Placement Agent

June 2020

Soleno Therapeutics

Follow-On Offering

Common Stock

$50,000,000

Co-Manager

June 2020

Amesite Inc

Exclusive Placement Agent

$1,000,000

May 2020

ViralClear Pharmaceuticals

Private Placement

Common Stock

$10,000,000

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 Offering

Common Stock

$5,000,000

Sole-Book Runner

March 2020

Ziopharm Oncology

Follow-On Offering

Common Stock

$90,000,000

Co-Manager

February 2020

Algorithm Sciences

Series A Offering

$3,500,000

Exclusive Placement Agent

February 2020

Biosig Technologies

Follow-On Offering

Common Stock

$10,000,000

Sole Book-Runner

February 2020

EyePoint Pharmaceuticals

Follow-On Offering

Common Stock

$21,800,000

Co-Manager

February 2020

Beyond Air

Follow-On Offering

Common Stock

$10,500,000

Financial Advisor

December 2019

Affimed

Follow-On Offering

Common Stock

$34,500,000

Co-Manager

November 2019

Molecular Templates

Follow-On Offering

Common Stock

$50,000,000

Financial Advisor

November 2019

Soleno Therapeutics

Follow-On Offering

Common Stock

$15,400,000

Co-Manager

October 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

Athenex, Inc

Block Trade

$20,000,000

Sole Broker

April 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

$6,000,000

Introducing Broker

August 2018

Aridis Pharmaceuticals

Initial Public Offering

Common Stock

$26,000,000

Co-Manager

August 2018

WatchTower Investments, LLC

Member Interests

$16,348,970

August 2018

Athenex, Inc

PIPE Transaction

Common Stock

$100,000,000

Exclusive Placement Agent

July 2018

Viking Therapeutics

Follow-On Offering

Common Stock

$78,000,000

Financial Advisor

June 2018

Sesen Bio

Follow-On Offering

Common Stock

$48,000,000

Financial Advisor

May 2018

MEI Pharma

PIPE Transaction

Common Stock and Warrants

$75,000,000

Co-Placement Agent

May 2018

Sesen Bio

Registered Direct

Common Stock and Warrants

$10,000,000

Exclusive Placement Agent

March 2018

Gemphire

Follow-On Offering

Common Stock

$22,000,000

Co-Manager

February 2018

Affimed

Follow-On Offering

Common Stock

$23,000,000

Financial Advisor

February 2018

Hoth Therapeutics

Private Placement

Series A Preferred Warrants

$3,102,480

Exclusive Placement Agent

February 2018

AIT Therapeutics

PIPE Transaction

Warrants

$9,820,154.54

Exclusive Placement Agent

February 2018

Athenex, Inc

Follow-On Offering

Common Stock

$65,575,000

Co-Manager

January 2018

Social T Partners

Member Interests

$16,137,216

February 2011 - December 2017

Fennec Pharmaceuticals

Follow-On Offering

Common Stock

$20,000,000

Financial Advisor

December 2017

Cytori Therapeutics

Rights Offering

Convertible Preferred

Common Stock

$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

Flexion Therapeutics

Follow-On Offering

Common Stock

$122,400,000

Financial Advisor

October 2017

Asterias Biotherapeutics

Registered Direct

Common Stock

$10,400,000

Financial Advisor

October 2017

US Gold Corporation

Confidentially Marketed Public Offering

Common Stock

$2,500,000

Sole Book Runner

October 2017

Hoth Therapeutics

Private Placement

Common Stock

$2,037,000

Exclusive Placement Agent

September 2017

SearchLight Investments, LLC

Member Interests

$17,382,225

September 2017

MabVax Therapeutics, Inc.

Registered Direct

Common Stock

$2,000,000

Sole Placement Agent

September 2017

Aldeyra Therapeutics

Follow-On Offering

Common Stock

$28,800,000

Lead Manager

September 2017

Cooltech Holding Corp.

Private Placement

Common Stock

$5,688,055

Exclusive Placement Agent

June 2017

Spherix, Inc.

Follow-On Offering

$2,500,000

Sole Book Runner

June 2017

Flexion Therapeutics

Convertible Note

$175,000,000

Financial Advisor

May 2017

MabVax Therapeutics, Inc.

Convertible Note

Common and Preferred Stock

$4,100,000

Sole Book-Runner

May 2017

Repros Therapeutics

Confidentially Marketed Public Offering

Common Stock and Warrants

$3,000,000

Sole Book-Runner

May 2017

Onconova Therapeutics

Confidentially Marketed Public Offering

Common Stock

$5,963,517

Sole Book-Runner

April 2017

Gemphire

PIPE Transaction

Common Stock & Warrants

$12,500,000

Co-Manager

March 2017

Therapix Biosciences

Initial Public Offering

Common Stock

$13,800,000

Sole Book Runner

March 2017

AIT Therapeutics

PIPE Transaction

Common Stock and Warrants

$10,200,000

Placement Agent

March 2017

BioSig Technologies

PIPE Transaction

Common Stock and Warrants

$4,349,954

Exclusive Placement Agent

March 2017

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

Affimed

Follow-On Offering

Common Stock

$19,170,000

Financial Advisor

January 2017

Pershing Gold Corporation

Confidentially Marketed Public Offering

Common Stock

$7,500,000

Lead Underwriter

December 2016

Towerstream 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

$2,990,000

Exclusive Placement Agent

September 2016

Spherix, Inc.

Confidentially Marketed Public Offering

Common Stock

$2,500,000

Sole Book-Runner

August 2016

MabVax Therapeutics, Inc

Follow-On Offering

Common Stock & Warrants

$9,438,750

Sole Book-Runner

August 2016

Alimera Sciences

Follow-On Offering

Common Stock

$25,000,000

Co-Manager

August 2016

ImmunoCellular

Follow-On Offering

Common Stock

$7,400,000

Lead Manager

August 2016

Gemphire

Initial Public Offering

Common Stock

$30,000,000

Co-Manager

August 2016

Flexion

Follow-On Offering

Common Stock

$77,000,000

Co-Manager

June 2016

PhaseRx

Initial Public Offering

Common Stock

$18,500,000

Book Runner

May 2016

ADMA Biologics

Follow-On Offering

Common Stock

$14,200,000

Financial Advisor

April 2016

Medovex Corporation

PIPE Transaction

Common Stock & Warrants

$1,398,033

Placement Agent

April 2016

Regenmed Therapeutics

Sale of Company

Undisclosed Amount

Financial Advisory

March 2016

Pershing Gold Corporation

PIPE Transaction

Common Stock

$6,890,000

Exclusive Placement Agent

March 2016

ContraVir Pharmaceuticals

Follow-On Offering

Common Stock

$7,000,000

Sole Book-Runner

March 2016

Red Zone Investments, LLC

Member Interests

$11,926,825

March 2016

Aeolus Pharmaceuticals

PIPE Transaction

Common Stock

$6,750,000

Exclusive Placement Agent

December 2015

Cerecor, Inc.

Initial Public Offering

Common Stock & Warrants

$26,000,000

Lead Manager

October 2015

MabVax Therapeutics, Inc.

Follow-On Offering

Common Stock & Warrants

$2,750,000

Sole Book-Runner

October 2015

ContraVir Pharmaceuticals

Follow-On Offering

Common Stock & Warrants

$15,000,000

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

Pre-Flight Partners, LLC

Member Interests

$10,841,676

October 2011 - July 2015

Bluebird Investment Partners

Member Interests

$13,848,670

April 2012 - June 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

AirLift Investments, LLC

Member Interests

$40,877,660

May 2015

Viking Therapeutics

Member Interests

Initial Public Offering

$40,877,660

Sole Book-Runner

May 2015

Aldeyra Therapeutics

Follow-On Offering

Common Stock

$20,250,000

Co-Manager

May 2015

BioSig Technologies

Follow-On Offering

Common Stock

$4,009,000

Exclusive Placement Agent

April 2015