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March 11, 2020

Universal Technical Institute, Inc. (UTI) - Initiation of Research Coverage

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March 4, 2020

Transaction - DermTech, Inc. $65,000,000 PIPE

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February 25, 2020

Transaction - Universal Technical Institute, Inc. $52,565,228 Follow-On

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February 24, 2020

BioLife Solutions, Inc. (BLFS) - Initiation of Research Coverage

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February 14, 2020

Transaction - AquaBounty Technologies, Inc. $15,525,000 Follow-On

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February 7, 2020

Transaction - Ziopharm Oncology, Inc. $90,434,780 Follow-On

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January 9, 2020

iCad, Inc. (ICAD) - Initiation of Research Coverage

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January 6, 2020

Sportsman's Warehouse Holdings, Inc. (SPWH) - Initiation of Research Coverage

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December 17, 2019

Transaction - RiceBran Technologies $8,481,250 Follow-On

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December 12, 2019

Transaction - Aquestive Therapeutics, Inc. $35,000,000 Follow-On

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December 11, 2019

Transaction - ENDRA Life Sciences Inc. $8,100,000 PIPE

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December 5, 2019

DermTech, Inc. (DMTK) - Initiation of Research Coverage

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November 25, 2019

Transaction - FLYHT Aerospace Solutions Ltd. CAD$6,669,025 PIPE

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November 25, 2019

iMedia Brands, Inc. (IMBI) - Initiation of Research Coverage

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November 25, 2019

Benchmark Electronics, Inc. (BHE) - Initiation of Research Coverage

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November 20, 2019

Transaction - Checkpoint Therapeutics, Inc. $17,018,000 Follow-On

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November 13, 2019

Transaction - AVITA Medical Limited A$120,000,000 Australian Institutional Placement

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October 28, 2019

GrowGeneration Corp. (GRWG) - Initiation of Research Coverage

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October 7, 2019

Transaction - TheMaven, Inc. $20,000,000 PIPE

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October 2, 2019

Opera Limited (OPRA) - Initiation of Research Coverage

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July 8, 2019

Perion Network Ltd. (PERI) - Initiation of Research Coverage

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June 24, 2019

QuinStreet, Inc. (QNST) - Initiation of Research Coverage

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June 11, 2019

Napco Security Technologies, Inc. (NSSC) - Initiation of Research Coverage

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June 7, 2019

Tuesday Morning Corporation (TUES) - Initiation of Research Coverage

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June 4, 2019

Sonim Technologies, Inc. (SONM) - Initiation of Research Coverage

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May 29, 2019

Checkpoint Therapeutics, Inc. (CKPT) - Initiation of Research Coverage

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May 20, 2019

ENDRA Life Sciences, Inc. (NDRA) - Initiation of Research Coverage

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April 26, 2019

Reed's, Inc. (REED) - Initiation of Research Coverage

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April 4, 2019

Ziopharm Oncology, Inc. (ZIOP) - Initiation of Research Coverage

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March 25, 2019

Super League Gaming (SLGG) - Initiation of Research Coverage

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March 5, 2019

CTI BioPharma Corp. (CTIC) - Initiation of Research Coverage

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March 5, 2019

DiaMedica Therapeutics, Inc. (DMAC) - Initiation of Research Coverage

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February 8, 2019

inTEST Corporation (INTT) - Initiation of Research Coverage

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December 10, 2018

Imprimis Pharmaceuticals, Inc. (IMMY) - Initiation of Research Coverage

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December 4, 2018

LiqTech International, Inc. (LIQT) - Initiation of Research Coverage

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December 3, 2018

Jerash Holdings, Inc. (JRSH) - Initiation of Research Coverage

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November 30, 2018

Akoustis Technologies, Inc. (AKTS) - Initiation of Research Coverage

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November 28, 2018

Biofrontera AG (BFRA) - Assumption of Research Coverage

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September 24, 2018

Pareteum Corporation (TEUM) - Initiation of Research Coverage

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September 11, 2018

Viemed Healthcare, Inc. (VMD.TO) - Initiation of Research Coverage

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October 9, 2013

Transaction - Ballard Power Systems, Inc. $14,490,000 Follow-On

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September 26, 2013

Transaction - Speed Commerce, Inc. $24,000,000 Follow-On

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September 26, 2013

Transaction - Westport Innovations, Inc. $152,340,000 Follow-On

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September 18, 2013

Transaction - Patent Properties, Inc. $11,600,000 PIPE

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September 16, 2013

Transaction - Clean Energy Fuels Corp $250,000,000 144A Convertible Debt Offering

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August 16, 2013

Transaction - PowerSecure International, Inc. $40,000,000 Follow-On

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June 3, 2013

Transaction - Marathon Patent Group, Inc. $6,000,000 PIPE

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May 31, 2013

Transaction - Selectica, Inc. $6,400,000 PIPE

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May 28, 2013

Transaction - Real Goods Solar, Inc. $16,484,875 Block Trade

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