Clear
January 1, 2017

Catasys, Inc.

Advisory

Advisor Advisory Transactions
December 23, 2016

Spotify Technology S.A

$0.3 Million

Private Placement

Sole Placement Agent Buttonwood Investments
December 13, 2016

Spotify Technology S.A

$5.6 Million

Private Placement

Sole Placement Agent Buttonwood Investments
December 9, 2016

Spotify Technology S.A

$3.7 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, Inc.

M&A

Advisor Proprietary Transactions
November 1, 2016

Sysorex, Inc.

$10 Million

Senior Secured Credit Facility

Advisor Advisory Transactions
October 27, 2016

Aytu BioPharma, 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 1, LLC

$18.5 Million

Advisor

Financial Advisor Advisory 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 Advisory Transactions
August 8, 2016

Sorrento Therapeutics, Inc.

$70 Million

Fairness Opinion

Advisor Advisory Transactions
July 29, 2016

Cellect Biotechnology Ltd.

$8.4 Million

IPO

Co-Manager Proprietary Transactions
July 14, 2016

$8.6 Million

Secondary/Follow-On

Sole Book-Runner Proprietary Transactions
June 29, 2016

Kitov Pharmaceuticals Ltd.

$12 Million

Secondary/Follow-On

Lead Co-Manager Proprietary Transactions