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Ascendiant Client Logos 10
Nasdaq: PAVM Nasdaq: PAVM Nasdaq: PAVM
Nasdaq: PAVM Nasdaq: PAVM Nasdaq: PAVM

$50,000,000

Registered Direct

Financial Advisor

April

2022

Endra Life Science
Nasdaq: NDRA Nasdaq: NDRA Nasdaq: NDRA
Nasdaq: NDRA Nasdaq: NDRA Nasdaq: NDRA

$9,360,000

At-The-Market Offering

Sole Sales Agent

April

2022

ClientLogos 300x150 02
Nasdaq: INTZ Nasdaq: INTZ Nasdaq: INTZ
Nasdaq: INTZ Nasdaq: INTZ Nasdaq: INTZ

$10,700,000

Private Placement

Sole Placement Agent

March

2022

ClientLogos 300x150 01
NYSE American: NILE NYSE American: NILE NYSE American: NILE
NYSE American: NILE NYSE American: NILE NYSE American: NILE

$200,000,000

At-The-Market Offering

Sole Sales Agent

February

2022

YAYO Logo
OTC: YAYO OTC: YAYO OTC: YAYO
OTC: YAYO OTC: YAYO OTC: YAYO

$13,700,000

Private Placement

Placement Agent

January

2022

ClientLogos 300x150 08
Nasdaq: AIRT Nasdaq: AIRT Nasdaq: AIRT
Nasdaq: AIRT Nasdaq: AIRT Nasdaq: AIRT

$12,000,000

At-The-Market Offering

Sole Sales Agent

November

2021

Outlook Therapeutics
Nasdaq: OTLK Nasdaq: OTLK Nasdaq: OTLK
Nasdaq: OTLK Nasdaq: OTLK Nasdaq: OTLK

$10,220,000

Private Placement

Financial Advisor

November

2021

ClientLogos 300x150 08
Nasdaq: NXTP Nasdaq: NXTP Nasdaq: NXTP
Nasdaq: NXTP Nasdaq: NXTP Nasdaq: NXTP

$1,665,000

Private Placement

Sole Placement Agent

October

2021

ClientLogos 300x150 03
Nasdaq: LUCD Nasdaq: LUCD Nasdaq: LUCD
Nasdaq: LUCD Nasdaq: LUCD Nasdaq: LUCD

$70,000,000

Initial Public Offering

Financial Advisor

October

2021

Endra Life Science
Nasdaq: NDRA Nasdaq: NDRA Nasdaq: NDRA
Nasdaq: NDRA Nasdaq: NDRA Nasdaq: NDRA

$20,000,000

At-the-Market Offering

Sole Sales Agent

June

2021

AIRTINC
Nasdaq: AIRT Nasdaq: AIRT Nasdaq: AIRT
Nasdaq: AIRT Nasdaq: AIRT Nasdaq: AIRT

$8,000,000

At-the-Market Offering

Sole Sales Agent

May

2021

MOnaker Group
Nasdaq: MKGI Nasdaq: MKGI Nasdaq: MKGI
Nasdaq: MKGI Nasdaq: MKGI Nasdaq: MKGI

$9,370,000

Private Placement

Sole Placement Agent

March

2021

Ault Global Holdings
NYSE American: DPW NYSE American: DPW NYSE American: DPW
NYSE American: DPW NYSE American: DPW NYSE American: DPW

$200,000,000

At-the-Market Offering

Sole Sales Agent

March

2021

Endra Life Science
Nasdaq: NDRA Nasdaq: NDRA Nasdaq: NDRA
Nasdaq: NDRA Nasdaq: NDRA Nasdaq: NDRA

$12,600,000

At-the-Market Offering

Sole Sales Agent

February

2021

Ault Global Holdings
NYSE American: DPW NYSE American: DPW NYSE American: DPW
NYSE American: DPW NYSE American: DPW NYSE American: DPW

$125,000,000

At-the-Market Offering

Sole Sales Agent

February

2021

Nemaura
Nasdaq: NMRD Nasdaq: NMRD Nasdaq: NMRD
Nasdaq: NMRD Nasdaq: NMRD Nasdaq: NMRD

$24,015,000

Private Placement

Sole Placement Agent

February

2021

Atossa Therapeutics
Nasdaq: ATOS Nasdaq: ATOS Nasdaq: ATOS
Nasdaq: ATOS Nasdaq: ATOS Nasdaq: ATOS

$25,200,000

Registered Direct

Financial Advisor

January

2021

Ault Global Holdings
NYSE American: DPW NYSE American: DPW NYSE American: DPW
NYSE American: DPW NYSE American: DPW NYSE American: DPW

$50,000,000

At-the-Market Offering

Sole Sales Agent

January

2021

Pro Dex
Nasdaq: PDEX Nasdaq: PDEX Nasdaq: PDEX
Nasdaq: PDEX Nasdaq: PDEX Nasdaq: PDEX

$25,000,000

At-the-Market Offering

Sole Sales Agent

December

2020

Ascendiant Client Logos 10
Nasdaq: PAVM Nasdaq: PAVM Nasdaq: PAVM
Nasdaq: PAVM Nasdaq: PAVM Nasdaq: PAVM

$8,100,000

Registered Direct

Financial Advisor

December

2020

Dpw Holdings
NYSE American: NILE NYSE American: NILE NYSE American: NILE
NYSE American: NILE NYSE American: NILE NYSE American: NILE

$40,000,000

At-the-Market Offering

Sole Sales Agent

December

2020

MOnaker Group
Nasdaq: MKGI Nasdaq: MKGI Nasdaq: MKGI
Nasdaq: MKGI Nasdaq: MKGI Nasdaq: MKGI

$5,520,000

Private Placement

Sole Placement Agent

November

2020

Outlook Therapeutics
Nasdaq: OTLK Nasdaq: OTLK Nasdaq: OTLK
Nasdaq: OTLK Nasdaq: OTLK Nasdaq: OTLK

$10,220,000

Private Placement

Financial Advisor

November

2020

IMAC (1)
Nasdaq: IMAC Nasdaq: IMAC Nasdaq: IMAC
Nasdaq: IMAC Nasdaq: IMAC Nasdaq: IMAC

$2,690,000

Private Placement

Sole Placement Agent

November

2020

Dpw Holdings
NYSE American: NILE NYSE American: NILE NYSE American: NILE
NYSE American: NILE NYSE American: NILE NYSE American: NILE

$8,975,000

At-the-Market Offering

Sole Sales Agent

October

2020

IMAC (1)
Nasdaq: IMAC Nasdaq: IMAC Nasdaq: IMAC
Nasdaq: IMAC Nasdaq: IMAC Nasdaq: IMAC

$5,000,000

At-the-Market Offering

Sole Sales Agent

October

2020

Endra Life Science
Nasdaq: NDRA Nasdaq: NDRA Nasdaq: NDRA
Nasdaq: NDRA Nasdaq: NDRA Nasdaq: NDRA

$6,800,000

At-the-Market Offering

Sole Sales Agent

September

2020

Phunwaree
Nasdaq: PHUN Nasdaq: PHUN Nasdaq: PHUN
Nasdaq: PHUN Nasdaq: PHUN Nasdaq: PHUN

$15,000,000

At-the-Market Offering

Sole Sales Agent

August

2020

Nemaura
Nasdaq: NMRD Nasdaq: NMRD Nasdaq: NMRD
Nasdaq: NMRD Nasdaq: NMRD Nasdaq: NMRD

$6,015,000

Private Placement

Sole Placement Agent

April

2020

MOnaker Group
Nasdaq: MKGI Nasdaq: MKGI Nasdaq: MKGI
Nasdaq: MKGI Nasdaq: MKGI Nasdaq: MKGI

$895,000

Private Placement

Sole Placement Agent

April

2020

IMAC (1)
Nasdaq: IMAC Nasdaq: IMAC Nasdaq: IMAC
Nasdaq: IMAC Nasdaq: IMAC Nasdaq: IMAC

$1,115,000

Private Placement

Financial Advisor

March

2020

Daxor
Nasdaq: DXR Nasdaq: DXR Nasdaq: DXR
Nasdaq: DXR Nasdaq: DXR Nasdaq: DXR

$2,000,000

Registered Direct

Financial Advisor

March

2020

Sintx Technology
Nasdaq: SINT Nasdaq: SINT Nasdaq: SINT
Nasdaq: SINT Nasdaq: SINT Nasdaq: SINT

$9,440,000

Public Offering

Financial Advisor

February

2020

Outlook Therapeutics
Nasdaq: OTLK Nasdaq: OTLK Nasdaq: OTLK
Nasdaq: OTLK Nasdaq: OTLK Nasdaq: OTLK

$7,600,000

Private Placement

Financial Advisor

December

2019

BIOLASE Inc
Nasdaq: BIOL Nasdaq: BIOL Nasdaq: BIOL
Nasdaq: BIOL Nasdaq: BIOL Nasdaq: BIOL

$8,500,000

Public Offering

Financial Advisor

October

2019

Myomo
NYSE American: MYO NYSE American: MYO NYSE American: MYO
NYSE American: MYO NYSE American: MYO NYSE American: MYO

$3,300,000

Private Placement

Sole Placement Agent

October

2019

Hemispher
NYSE American: AIM NYSE American: AIM NYSE American: AIM
NYSE American: AIM NYSE American: AIM NYSE American: AIM

$2,635,000

Private Placement

Sole Placement Agent

August

2019

Dpw Holdings
NYSE American: NILE NYSE American: NILE NYSE American: NILE
NYSE American: NILE NYSE American: NILE NYSE American: NILE

$5,500,000

At-the-Market Offering

Sole Sales Agent

August

2019

Summit Wirelesd

$5,420,000

Public Offering

Financial Advisor

May

2019

Novus
Nasdaq: ELDN Nasdaq: ELDN Nasdaq: ELDN
Nasdaq: ELDN Nasdaq: ELDN Nasdaq: ELDN

$10,700,000

Registered Direct

Financial Advisor

May

2019

ORAGENICS
NYSE American: OGEN NYSE American: OGEN NYSE American: OGEN
NYSE American: OGEN NYSE American: OGEN NYSE American: OGEN

$12,500,000

Public Offering

Financial Advisor

April

2019

Nova Bay
NYSE American: NBY NYSE American: NBY NYSE American: NBY
NYSE American: NBY NYSE American: NBY NYSE American: NBY

$2,215,000

Private Placement

Sole Placement Agent

March

2019

Hemispher Biopharma
NYSE American: AIM NYSE American: AIM NYSE American: AIM
NYSE American: AIM NYSE American: AIM NYSE American: AIM

$5,300,000

Public Offering

Co-Manager

March

2019

Outlook Therapeutics
Nasdaq: OTLK Nasdaq: OTLK Nasdaq: OTLK
Nasdaq: OTLK Nasdaq: OTLK Nasdaq: OTLK

$2,000,000

Private Placement

Financial Advisor

March

2019

AeMetis
Nasdaq: AMTX Nasdaq: AMTX Nasdaq: AMTX
Nasdaq: AMTX Nasdaq: AMTX Nasdaq: AMTX

$30,000,000

Private Placement

Financial Advisor

January

2019

Red Hill Biopharma
Nasdaq: RDHL Nasdaq: RDHL Nasdaq: RDHL
Nasdaq: RDHL Nasdaq: RDHL Nasdaq: RDHL

$20,000,000

Public Offering

Co-Manager

December

2018

BIOLASE Inc
Nasdaq: BIOL Nasdaq: BIOL Nasdaq: BIOL
Nasdaq: BIOL Nasdaq: BIOL Nasdaq: BIOL

$12,500,000

Private Placement

Financial Advisor

November

2018

Hemispher Biopharma
NYSE American: AIM NYSE American: AIM NYSE American: AIM
NYSE American: AIM NYSE American: AIM NYSE American: AIM

$3,200,000

Private Placement

Sole Placement Agent

September

2018

TZERO

$250,000,000

Private Placement

Placement Agent

August

2018

Red Hill Biopharma
Nasdaq: RDHL Nasdaq: RDHL Nasdaq: RDHL
Nasdaq: RDHL Nasdaq: RDHL Nasdaq: RDHL

$25,000,000

Public Offering

Financial Advisor

August

2018

MGT
MGTI (OTCMKTS) MGTI (OTCMKTS) MGTI (OTCMKTS)
MGTI (OTCMKTS) MGTI (OTCMKTS) MGTI (OTCMKTS)

$150,000,000

At-the-Market Offering

Sole Sales Agent

July

2018

Hemispher Biopharma
NYSE American: AIM NYSE American: AIM NYSE American: AIM
NYSE American: AIM NYSE American: AIM NYSE American: AIM

$500,000

Registered Direct

Sole Placement Agent

March

2018

Controlled Semiconductor

$2,050,000

Private Placement

Sole Placement Agent

April

2007

Pro Dex
Nasdaq: PDEX Nasdaq: PDEX Nasdaq: PDEX
Nasdaq: PDEX Nasdaq: PDEX Nasdaq: PDEX

$20,000,000

At-the-Market Offering

Sole Sales Agent

February

2017

Stem Cells

$8,000,000

Public Offering

Financial Advisor

March

2016

MAD Catz

$25,000,000

At-the-Market Offering

Sole Sales Agent

November

2015

Nova Bay
NYSE American: NBY NYSE American: NBY NYSE American: NBY
NYSE American: NBY NYSE American: NBY NYSE American: NBY

$4,900,000

Private Placement

Financial Advisor

March

2015

Endurance

$8,839,000

Private Placement

Sole Placement Agent

September

2015

ARI Network Service

$5,280,000

Private Placement

Financial Advisor

May

2015

Nova Bay
NYSE American: NBY NYSE American: NBY NYSE American: NBY
NYSE American: NBY NYSE American: NBY NYSE American: NBY

$10,000,000

At-The-Market Offering

Sole Sales Agent

October

2014

SIGMA Labs
Nasdaq: SGLB Nasdaq: SGLB Nasdaq: SGLB
Nasdaq: SGLB Nasdaq: SGLB Nasdaq: SGLB

$25,000,000

At-The-Market Offering

Sole Sales Agent

September

2014

Stem Cells

$20,000,000

Registered Direct

Sole Placement Agent

July

2014

Cumulus
Nasdaq: CMLS Nasdaq: CMLS Nasdaq: CMLS
Nasdaq: CMLS Nasdaq: CMLS Nasdaq: CMLS

$260,000,000

Acquisition

Valuation Opinion

March

2015

Neonode
Nasdaq: NEON Nasdaq: NEON Nasdaq: NEON
Nasdaq: NEON Nasdaq: NEON Nasdaq: NEON

$10,000,000

Private Placement

Sole Placement Agent

May

2014

Active Power

$10,000,000

Registered Direct

Financial Advisor

February

2014

Quantum

$16,475,000

Public Offering

Financial Advisor

February

2014

MGT
MGTI (OTCMKTS) MGTI (OTCMKTS) MGTI (OTCMKTS)
MGTI (OTCMKTS) MGTI (OTCMKTS) MGTI (OTCMKTS)

$8,500,000

At-The-Market Offering

Sole Sales Agent

December

2013

Stone Castle

$110,000,000

Initial Public Offering

Co-Manager

November

2013

Nova Bay
NYSE American: NBY NYSE American: NBY NYSE American: NBY
NYSE American: NBY NYSE American: NBY NYSE American: NBY

$5,000,000

At-The-Market Offering

Sole Sales Agent

November

2013

HRAA

$5,400,000

Private Placement

Sole Placement Agent

November

2013

GSV Capital

$69,000,000

Private Placement

Co-Manager

September

2014

Quantum

$6,000,000

At-the-Market Offering

Sole Sales Agent

August

2013

Carmike Cinemas
Nasdaq: NASDAQ Nasdaq: NASDAQ Nasdaq: NASDAQ
Nasdaq: NASDAQ Nasdaq: NASDAQ Nasdaq: NASDAQ

$81,000,000

Public Offering

Co-Manager

July

2013

ARI Network Service

$1,650,000

Warrant Exercise

Sole Placement Agent

July

2013

Repros

$71,250,000

Public Offering

Co-Manager

June

2013