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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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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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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
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Vuzix Corporation
$6,600,000
Registered Direct Offering of Common Stock
July 2016
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Tonix Pharmaceuticals Holding Corp.
$10,000,000
Public Offering
Common Stock
June 2016
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Intellicheck Mobilisa, Inc.
$2,100,000
Public Offering
Common Stock and Warrants
Represented Joseph Gunnar & Co. LLC as Sole Book-Running Manager
June 2016
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PhaseRx, Inc.
$18,500,000
Initial Public Offering
Common Stock
Represented Laidlaw & Company (UK) Ltd. and Roth Capital Partners, LLC as Joint Book-Running Managers
May 2016
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