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Recent Transactions Investment Banking Team
recent transactions

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


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


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


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


Uni-Pixel, Inc. Uni-Pixel, Inc.
Private Placement
Preferred Stock
$3,000,000
Sole Agent
January 2017


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


Undisclosed
Public Company
Fairness Opinion
September 2016


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


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


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


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


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

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

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

RR Media RR Media Ltd.
Fairness Opinion
$242 Million
February 2016

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

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


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


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


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


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


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


Undisclosed Publicly
Traded Client
Transaction Advisory
& Fairness Opinion
February 2015


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


Undisclosed Publicly
Traded Client
Transaction Advisory
& Fairness Opinion
January 2015


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


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

October 2014


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


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


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


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


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


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


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

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

Funtactix Funtactix Inc.
Revenue Sharing Agreement
Financial Advisor
December 2013

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

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

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

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

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

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

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

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

Novelos Theraputics, Inc. Novelos Therapeutics, Inc.
Public Offering
Co-Agent
Common Stock and Warrants
$5,500,000
February 2013

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

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

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

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

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

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

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

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

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

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

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

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


This is not an offer or solicitation to purchase securities, which can only be done via prospectus.




 

 

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