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Tonix Pharmaceuticals Holding Corp.
$5,200,000
Public Offering of Common Stock and Warrants
November 2016
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ToughBuilt Industries, Inc.
$6,100,000
Private Placement of Preferred Stock and Warrants
October 2016
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ABT Holdings, Inc.
$5,000,000
Senior Secured Convertible Debentures
October 2016
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FTE Networks, Inc.
$3,000,000
Private Placement of Common Stock and Warrants
Represented Laidlaw & Company (UK) Ltd. as Placement Agent
October 2016
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Network 1 Securities
$7,700,000
Public Offering of Common Stock
September 2016
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BioPharmX Corporation
$930,000
Registered Direct Offering of Common Stock
Private Placement of Warrants
September 2016
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General Cannabis Corp.
$2,600,000
Senior Secured Promissory Notes
Common Stock Purchase Warrants
September 2016
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SITO Mobile, Ltd.
$11,500,000
Public Offering
September 2016
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CEL-SCI Corporation
$5,000,000
Registered Direct Offering of Common Stock
Private Placement of Warrants
Represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as Exclusive Placement Agent
August 2016
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Aridis Pharmaceuticals, Inc.
$15,200,000
Private Placement of Common Stock and Warrants
August 2016
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