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AquaBounty Technologies, Inc.

August 7, 2020

AquaBounty Technologies, Inc.

31,625,000

Follow-on

Joint Bookrunner

Achieve Life Sciences, Inc.

August 6, 2020

Achieve Life Sciences, Inc.

7,475,000

CMPO

Sole Bookrunner

Option Care Health, Inc.

July 24, 2020

Option Care Health, Inc.

258,750,000

Follow-on

Joint Bookrunner

GrowGeneration Corp.

July 2, 2020

GrowGeneration Corp.

48,300,000

Follow-on

Co-manager

Achieve Life Sciences, Inc.

July 1, 2020

Achieve Life Sciences, Inc.

6,000,000

Registered Direct Offering

Sole Placement Agent

Brickell Biotech, Inc.

June 17, 2020

Brickell Biotech, Inc.

20,122,290

Follow-on

Lead Manager

Sonim Technologies, Inc.

June 9, 2020

Sonim Technologies, Inc.

27,600,000

Follow-on

Joint Bookrunner

Allied Esports Entertainment Inc.

June 8, 2020

Allied Esports Entertainment Inc.

9,000,000

Convertible Note

Placement Agent

LiqTech International, Inc.

May 21, 2020

LiqTech International, Inc.

8,000,000

PIPE

Sole Placement Agent

Tandem Diabetes Care, Inc.

May 15, 2020

Tandem Diabetes Care, Inc.

$287,500,000

144 Convertible Debt Offering

Co-manager

DermTech, Inc.

March 4, 2020

DermTech, Inc.

65,000,000

PIPE

Co-Placement Agent

Universal Technical Institute, Inc.

February 25, 2020

Universal Technical Institute, Inc.

52,565,228

Follow-on

Lead Manager

AquaBounty Technologies, Inc.

February 13, 2020

AquaBounty Technologies, Inc.

15,525,000

Follow-on

Sole Bookrunner

Ziopharm Oncology, Inc.

February 7, 2020

Ziopharm Oncology, Inc.

90,434,780

Follow-on

Co-manager

Perion Network Ltd.

January 14, 2020

Perion Network Ltd.

73,050,000

Valuation Analysis

Financial Advisor

RiceBran Technologies

December 17, 2019

RiceBran Technologies

8,481,250

Follow-on

Sole Bookrunner

Aquestive Therapeutics, Inc.

December 12, 2019

Aquestive Therapeutics, Inc.

35,000,000

Follow-on

Financial Advisor

ENDRA Life Sciences Inc.

December 11, 2019

ENDRA Life Sciences Inc.

8,100,000

PIPE

Lead Placement Agent

FLYHT Aerospace Solutions Ltd.

November 25, 2019

FLYHT Aerospace Solutions Ltd.

CAD$6,669,025

PIPE

U.S. Selling Group Member

Checkpoint Therapeutics, Inc.

November 20, 2019

Checkpoint Therapeutics, Inc.

17,018,000

Follow-on

Financial Advisor

AVITA Medical Limited

November 13, 2019

AVITA Medical Limited

A$120,000,000

Australian Institutional Placement

Financial Advisor

TheMaven, Inc.

October 7, 2019

TheMaven, Inc.

20,000,000

PIPE

Placement Agent

RealNetworks, Inc

August 1, 2019

RealNetworks, Inc

10,000,000

Revolving Line of Credit

Placement Agent

Alphatec Holdings, Inc.

July 30, 2019

Alphatec Holdings, Inc.

57,661,000

Follow-on

Co-manager

AquaVenture Holdings Limited

July 11, 2019

AquaVenture Holdings Limited

79,589,200

Follow-on

Co-manager

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