PIPES
Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar and Fordham Financial Management in $11.8 PIPE financing of Aytu Bioscience, Inc.
Aytu BioScience, Inc.
$11,800,000
Private Placement of Equity Securities
Series A Preferred Stock
Represented Joseph Gunnar and Co. as Lead Placement Agent
August 2017
Read MoreSichenzia Ross Ference Kesner LLP Represents Joseph Gunnar & Co. and Brookline Capital Markets in a $13.25 PIPE for MRI Interventions, Inc.
MRI Interventions, Inc
$13,250,000
Public Offering of Common Stock and Warrants
Joseph Gunnar & Co. and Brookline Capital Markets
May 2017
Read MoreSichenzia Ross Ference Kesner LLP Represents Oppenheimer & Co. in $3.6 Million PIPE for Ener-Core, Inc.
Ener-Core, Inc.
$3,600,000
Private Placement of Warrants
Convertible Senior Secured Notes
Represented Oppenheimer & Co.
December 2016
Read MoreSichenzia Ross Ference Kesner LLP Represents Oppenheimer & Co. and Feltl and Company in $13.5 Million PIPE for Midwest Energy Emissions Corp.
Midwest Energy Emissions Corp.
$13,500,000
Private Placement of Common Stock
Oppenheimer & Co.
November 2016
Read MoreSichenzia Ross Ference Kesner LLP Represents ABT Holdings, Inc. in $5 Million Private Offering of Senior Secured Convertible Debentures
Sichenzia Ross Ference Kesner LLP Represents Laidlaw & Company (UK) Ltd. as Placement Agent for a $3 Million Private Placement
FTE Networks, Inc.
$3,000,000
Private Placement of Common Stock and Warrants
Represented Laidlaw & Company (UK) Ltd. as Placement Agent
October 2016
Read MoreSichenzia Ross Friedman Ference LLP Represents Aridis Pharmaceuticals in $15 Million Private Placement
Aridis Pharmaceuticals, Inc.
$15,200,000
Private Placement of Common Stock and Warrants
August 2016
Read MoreSichenzia Ross Friedman Ference LLP Represents Rodman & Renshaw as Exclusive Placement Agent for a $3.77 Registered Direct Offering
EyeGate Pharmaceuticals, Inc.
$3,770,000
Registered Direct Offering of Common Stock and Preferred Stock
Private Placement of Warrants
Represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as Exclusive Placement Agent
July 2016
Read MorePartners Marc Ross and James Turner Represent Taglich Brothers, Inc. in a $1.355 Million Private Placement
Bridgeline Digital, Inc.
$1,355,000
Private Placement
Subordinated Convertible Notes
Represented Taglich Brothers, Inc. as Exclusive Placement Agent
May 2016
Read MoreSichenzia Ross Friedman Ference LLP Represents Viatar CTC Solutions Inc. in a $4.2 Million Private Placement
