Clear
January 20, 2017

Stemline Therapeutics, Inc.

$45 Million

Follow-On Offering

Co-Manager Proprietary Transactions
January 18, 2017

Akoustis Technologies, Inc.

$10 Million

PIPE

Placement Agent Proprietary Transactions
January 10, 2017

Akers Biosciences, Inc

$2 Million

Follow-On Offering

Sole Book-Runner Proprietary Transactions
January 1, 2017

Catasys Inc.

Advisory

Advisor Advisory Transactions
December 23, 2016

Spotify Technology

$9.6 Million

Private Placement

Sole Placement Agent Buttonwood Investments
December 13, 2016

Spotify Technology

$9.6 Million

Private Placement

Sole Placement Agent Buttonwood Investments
December 9, 2016

Spotify Technology

$9.6 Million

Private Placement

Sole Placement Agent Buttonwood Investments
December 7, 2016

Polar Power, Inc.

$19.3 Million

IPO

Joint Book-Runner Proprietary Transactions
November 18, 2016

Delivery Agent

M&A

Advisor Proprietary Transactions
November 1, 2016

Sysorex

$10 Million

Senior Secured Credit Facility

Proprietary Transactions
October 27, 2016

Aytu BioScience, Inc.

$8.6 Million

Secondary/Follow-On

Joint Book-Runner Proprietary Transactions
October 17, 2016

ToughBuilt Industries, Inc.

$6.1 Million

Private Placement

Sole Placement Agent Proprietary Transactions
September 27, 2016

Blackfield Office Suites

$18.5 Million

Proprietary Transactions
August 22, 2016

Optex Systems Holdings, Inc.

$4.8 Million

Follow-on Direct

Sole Book-Runner Proprietary Transactions
August 15, 2016

Sorrento Therapeutics, Inc.

$200 Million

Fairness Opinion

Advisor Proprietary Transactions
August 8, 2016

Sorrento Therapeutics, Inc.

$70 Million

Fairness Opinion

Advisor Proprietary Transactions