公开发售

Trovagene, Inc.

$23,000,000

Public Offering

Common Stock

February 2015

Tonix Pharmaceuticals Holding Corp.

$28,700,000

Public Offering

Common Stock

February 2015

PlasmaTech Biopharmaceuticals, Inc.

$14,000,000

Represented H.C. Wainwright & Co. and Aegis Capital Corp as Underwriters

Common Stock and Warrants

December 2014

Can-Fite Biopharma Ltd.

$8,000,000

At-the-Market Registered Direct Offering

December 2014

Cel-Sci Corporation

$6,000,000

Rep. Laidlaw & Co. (UK) Ltd. as Underwriters in Public Offering
Common Stock & Warrants

October 2014

Tonix Pharmaceuticals Holding Corp.

$7,800,000

Public Offering

Common Stock

July 2014

CollabRx, Inc.

$1,800,000

Common Stock

Represented Underwriter

June 2014

Free Seas Inc.

$25,000,000

Public Offering

Preferred Stock & Warrants

June 2014

Sorrento Therapeutics, Inc.

$25,000,000

Public Offering

Common Stock

May 2014

Cyclacel Pharmaceuticals Inc.

$10,000,000

Secondary Public Offering

Represented Underwriter

Common Stock

April 2014