All of our offerings
All of our offerings

X-Energy
Direct Investment
$700,000,000
January 2025

Hepion Pharmaceuticals
Follow-On Offering
$9,000,000
Sole Placement Agent
January 2025

Amesite Inc.
Follow-On Offering
$3,600,000
Joint Book Runner
January 2025

Voltron Therapeutics
Convertible Note Offering
$4,780,000
Exclusive Placement Agent
December 2024

Curis, Inc.
Registered Direct and Concurrent Private Placement
$12,100,000
Placement Agent
October 2024

IN8bio, Inc.
Financial Advisor
Financial Advisor
October 2024

Beyond Air
Private Placement
$20,600,000
Co-Placement Agent
September 2024

Adaptin Bio
Seed Financing
Convertible Bridge Notes
$1,500,000
Exclusive Placement Agent
August 2024

Ovation.io
Convertible Note Offering
$6,000,000
Exclusive Placement Agent
January 2025

PD Theranostics – Ovation.io
Private Placement and Concurrent Merger
$9,500,000
Exclusive Placement Agent
August 2024

Hepion Pharmaceuticals
Unsecured Non-Convertible Note
$2,900,000
Financial Advisor
July 2024
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

BioSig Technologies
Follow-On Offering
Common Stock
$3,500,000
Sole Book-Runner
June 2022

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

BioSig Technologies
Follow-On Offering
Common Stock
$10,000,000
Sole Book Runner
July 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

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

Hepion Pharmaceuticals
Follow-On Offering
$9,000,000
Sole Placement Agent
January 2025

Curis, Inc.
Registered Direct and Concurrent Private Placement
$12,100,000
Placement Agent
October 2024

IN8bio, Inc.
Financial Advisor
Financial Advisor
October 2024

Beyond Air
Private Placement
$20,600,000
Co-Placement Agent
September 2024

Adaptin Bio
Seed Financing
Convertible Bridge Notes
$1,500,000
Exclusive Placement Agent
August 2024

PD Theranostics – Ovation.io
Private Placement and Concurrent Merger
$9,500,000
Exclusive Placement Agent
August 2024

Hepion Pharmaceuticals
Unsecured Non-Convertible Note
$2,900,000
Financial Advisor
July 2024
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

BioSig Technologies
Follow-On Offering
Common Stock
$3,500,000
Sole Book-Runner
June 2022

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

BioSig Technologies
Follow-On Offering
Common Stock
$10,000,000
Sole Book Runner
July 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

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

Hepion Pharmaceuticals
Follow-On Offering
$9,000,000
Sole Placement Agent
January 2025

X-Energy
Direct Investment
$700,000,000
January 2025

Hepion
Pharmaceuticals
Follow-On Offering
$9,000,000
Sole Placement Agent
January 2025

Ovation.io
Convertible Note Offering
$6,000,000
Exclusive Placement Agent
January 2025

Amesite Inc.
Follow-On Offering
$3,600,000
Joint Book Runner
January 2025

Voltron Therapeutics
Convertible Note Offering
$4,780,000
Exclusive Placement Agent
December 2024

Curis, Inc.
Registered Direct and Concurrent Private Placement
$12,100,000
Placement Agent
October 2024

IN8bio, Inc.
Advisory Services
Financial Advisor
October 2024

Beyond Air
Private Placement
$20,600,000
Co-Placement Agent
September 2024

Adaptin Bio
Seed Financing
Convertible Bridge Notes
$1,500,000
Exclusive Placement Agent
August 2024

PD Theranostics – Ovation
Private Placement and Concurrent Merger
$9,500,000
Exclusive Placement Agent
August 2024

Hepion
Pharmaceuticals
Unsecured Non-Convertible Note
$2,900,000
Financial Advisor
July 2024
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

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

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