General Cannabis Corp.
$2,600,000
Senior Secured Promissory Notes
Common Stock Purchase Warrants
September 2016
SITO Mobile, Ltd.
$11,500,000
Public Offering
September 2016
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
Aridis Pharmaceuticals, Inc.
$15,200,000
Private Placement of Common Stock and Warrants
August 2016
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