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Calpian Inc.
$1,400,000
PIPE
Common Stock & Warrants
June 2015
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Viking Therapeutics, Inc.
$24,000,000
IPO
Represented Laidlaw & Co. (UK) & Feltl and Co. as Underwriters
Common Stock & Warrants
May 2015
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Dynatronics Corporation
$4,000,000
PIPE
Represented Ladenburg Thalmann & Co. Inc. as Placement Agent
Preferred Stocks & Warrants
May 2015
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Amarantus BioSciences
$5,000,000
PIPE Investment
Series G Preferred Stock
April 2015
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Professional Diversity Network
$5,000,000
Public Offering
Pursuant to S-3 Shelf Registration
Represent Aegis Capital as Undewriter
April 2015
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Pegasi Energy Resources Corp.
$1,875,000
PIPE
Common Stock & Warrants
March 2015
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Cell Source, Inc.
$500,000
PIPE
Promissory Notes
March 2015
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SITO Mobile, Ltd.
$3,700,000
Acquisition of Hipcricket’s Mobile Advertising Business
July 2015
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Can-Fite BioPharmaceutical Ltd.
Licensing Agreement with Cipher Pharmaceuticals, Inc.
March 2015
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Citius Pharmaceuticals, LLC
$270,000
PIPE
Common Stock & Warrants
March 2015
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