Recent Transactions

novume.jpg

Novume Solutions, Inc.
Acquisition of Global Technical Services, and Global Contract Professionals
Advisor
October 2017

unipixel.jpg

Unipixel, Inc.
Equity Purchase Agreement
Exclusive Agent
August 2017

novume.jpg

Novume Solutions, Inc.
Merger Advisor
August 2017

chicken soup.png

 

Chicken Soup for the Soul Entertainment, Inc.
Regulation A Offering
$30 Million
Joint Book Running Manager
August 2017

monster_digital_logo.png

Monster Digital, Inc.
M&A Advisor
$66 Million
July 2017

monster_digital_logo.png

Monster Digital, Inc.
Fairness Opinion
July 2017

adesto.png

Adesto Technologies, Inc.
Public Offering
Common Stock
$20,000,000
Co-Manager
June 2017


KeyStone Solutions, Inc.
Regulation A Offering
$810,000
Sales Agent
March 2017

QuickLogic Corporation
Public Offering
Common Stock
$17.25 Million
Co-Manager
March 2017

Breckford Corp.
$6 Million
M&A Advisor
February 2017

AMC Entertainment Holdings Inc.
Public Offering
Common Stock
$640 Million
Co-Manager
February 2017

Uni-Pixel, Inc.
Public Offering
Common Stock & Warrants
$10,000,000
Co-Agent
February 2017

KeyStone Solutions, Inc.
Regulation A Offering
$1,197,570
Sales Agent
January 2017

KeyStone Solutions, Inc.
Regulation A Offering
$1,197,570
Sales Agent
January 2017

KeyStone Solutions, Inc.
Regulation A Offering
$3,015,700
Sales Agent
December 2016

Undisclosed
Public Company
Fairness Opinion
September 2016

VolitionRx, Ltd.
Public Offering
$11,250,000
Advisor
September 2016

Netlist, Inc. 
Public Offering
$11,500,000
Co-Manager
September 2016

Undisclosed
Public Company
Transaction Advisory
Advisor
September 2016

Undisclosed
Public Company
M&A Advisory
Exclusive Advisor
August 2016

Chembio Diagnostics, Inc. 
Public Offering
Common Stock
$13,800,000
Co-Manager
August 2016

Miramar Labs, Inc. 
Alternative Public Offering
Common Stock
$9,000,000
Placement Agent
June 2016

Uni-Pixel, Inc.
Public Offering
Common Stock
$9,200,000
Co-Manager
June 2016

PavMed, Inc. 
Initial Public Offering
Equity Units
$5,300,000
Exclusive Sales Agent
April 2016

QuickLogic Corporation
Public Offering
Common Stock
Co-Manager
$10 Million
March 2016

EMRISE Corporation
M&A Advisory – Sale
of CXR Anderson Jacobson
$2.6 Million
Exclusive Advisor
February 2016

RR Media Ltd.
Fairness Opinion
$242 Million
February 2016

Fuel Performance Solutions, Inc.
Private Placement
Non-Convertible Notes
$445,000
Exclusive Placement Agent
September 2015

NXT-ID Inc.
Registered Direct
$3,012,500
Advisor
July 2015

emrise_logo.jpg

EMRISE Corporation
M&A Advisory – Sale
of EMRISE Electronics Ltd.
$22 Million
Exclusive Advisor
June 2015

WOWO Ltd.
Public Offering
$40,000,000
Co-Manager
April 2015

SilverSun Technologies, Inc.
Public Offering
$1,200,000
Sub-Agent
March 2015

Remark Media, Inc.
Registered Direct
$3,400,000
Co-Agent
March 2015

Undisclosed
NoSQL database
technology Company
Debt & Equity Raise
$12,000,000
Placement Agent
March 2015

Applied DNA Sciences, Inc.
Public Offering
$11,500,000
Co-Manager
March 2015

MoSys, Inc.
Public Offering
$23,000,000
Co-Manager
March 2015

Undisclosed Publicly
Traded Client
Transaction Advisory
& Fairness Opinion
February 2015

VolitionRx, Ltd.
Public Offering
$10,600,000
Co-Manager
February 2015

Undisclosed Publicly
Traded Client
Transaction Advisory
& Fairness Opinion
January 2015

QAD, Inc.
Public Offering
$69,000,000
Co-Manager
January 2015

EMRISE Corporation
M&A Advisory – Sale
of CXR Larus Corporation
Amount Undisclosed
Exclusive Advisor

October 2014

NXT-ID Inc.
Public Offering
Co-Book-Running Manager
$5,850,000
September 2014

Fuel Performance Solutions, Inc.
Private Placement
Convertible Notes + Warrants
Exclusive Placement Agent
$1,000,000
August 2014

Cachet Financial Solutions, Inc.
Initial Public Offering of
Common Stock
Co-Manager
$6,900,000
July 2014

Vitesse Semiconductor Corp
Public Offering
Common Stock
Co-Manager
$28,700,000
June 2014

LeMaitre Vascular, Inc.
Public Offering
Common Stock
Co-Manager
$11,511,500
June 2014

Media General, Inc. 
Public Offering
Common Stock
Co-Manager
$75,104,000
May 2014

Top Image Systems, Ltd. 
Public Offering
Common Stock
Co-Manager
$15,021,875
January 2014

Integreon Inc. 
Debt Financing
Placement Agent
$10,000,000
January 2014

Funtactix Inc. 
Revenue Sharing Agreement
Financial Advisor
December 2013

QuickLogic Corporation
Public Offering
Common Stock
Co-Manager
$25,346,000
November 2013

EMRISE Corporation
M&A Advisory
Exclusive Advisor
October 2013 / Ongoing

Manitex International, Inc. 
Registered Direct
Common Stock
Co-Placement Agent
$14,781,250
September 2013

OP-TECH Environmental Services, Inc. 
M&A Advisory
Company Sale (Stock Purchase via a Public Tender Offer)
Exclusive Advisor
$11,700,000
July 2013

OP-TECH Environmental Services, Inc.
Private Placement
Term Loan and Account Purchase Facility
Placement Agent
$6,000,000
June 2013

OP-TECH Environmental Services, Inc. 
Corporate Advisory
Debt Recapitalization
Exclusive Advisor
$6,800,000
June 2013

MoSys, Inc. 
Public Offering
Co-Manager
Common Stock
$29,900,000
May 2013

UBIC, Inc. 
Initial Public Offering (U.S.)
American Depositary Shares
Joint Book-Running Manager
$9,218,000
May 2013

Cubic Corporation
Public Offering
Co-Manager
Common Stock
$105,911,250
May 2013

Chembio Diagnostics, Inc.
Public Offering
Co-Manager
Common Stock
$6,000,000
March 2013

Chembio Diagnostics, Inc.
Public Offering
Co-Manager
Common Stock
$6,000,000
March 2013

copytele_logo.jpg

CopyTele Inc.
Private Placement
Placement Agent
$1,765,000
January 2013

Follow-on Offering
Common Stock
Co-Manager
$180,000,000
July 2012

Follow-on Offering
Common Stock
Selling Group
$100,000,000
May 2012

Follow-on Offering
Common Stock
Co-Manager
$72,800,000
March 2011

Pipe
Common Stock
Placement Agent
$15,279,000
March 2011

Follow-on Offering
Common Stock
Co-Manager
$125,120,000
October 2010

Follow-on Offering
Common Stock
Co-Manager
$119,600,000
May 2010

Follow-on Offering
Common Stock
Co-Manager
$57,442,500
January 2010

Registered Direct
Common Stock & Warrants
Co-Placement Agent
$11,772,000 
October 2009

Private Placement
Preferred Stock and Warrants
Placement Agent
$2,920,000 
September 2009

Registered Direct
Common Stock and Warrants
Co-Placement Agent
$8,250,000 
April 2009

Registered Direct
Common Stock
Placement Agent
$4,665,500 
August 2008