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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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October 16, 2017

Alphatec Holdings, Inc. (ATEC) - Initiation of Research Coverage

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July 14, 2017

Surmodics, Inc. (SDRX) - Initiation of Research Coverage

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July 12, 2017

On Track Innovations Ltd. (OTIV) - Initiation of Research Coverage

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May 10, 2017

RiceBran Technologies (RIBT) - Initiation of Research Coverage

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April 12, 2017

PCTEL, Inc. (PCTI) - Initiation of Research Coverage

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March 21, 2017

NV5 Global, Inc. (NVEE) - Initiation of Research Coverage

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March 17, 2017

Nautilus, Inc. (NLS) - Initiation of Research Coverage

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February 27, 2017

Electro Scientific Industries, Inc. (ESIO) - Initiation of Research Coverage

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February 13, 2017

Synacor, Inc. (SYNC) - Initiation of Research Coverage

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January 30, 2017

Cardiovascular Systems, Inc. (CSII) - Initiation of Research Coverage

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January 3, 2017

BioScrip, Inc. (BIOS) - Initiation of Research Coverage

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December 21, 2016

NN, Inc. (NNBR) - Initiation of Research Coverage

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December 7, 2016

TheStreet, Inc. (TST) - Initiation of Research Coverage

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December 2, 2016

Aspen Group, Inc. (ASPU) - Initiation of Research Coverage

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October 17, 2016

Asure Software, Inc. (ASUR) - Initiation of Research Coverage

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September 27, 2016

Nano Dimension Ltd (NNDM) - Initiation of Research Coverage

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September 15, 2016

Health Insurance Innovations (HIIQ) - Initiation of Research Coverage

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September 13, 2016

HARSCO, Inc. (HSC) - Initiation of Research Coverage

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August 26, 2016

CyberOptics Corporation (CYBE) - Initiation of Research Coverage

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July 19, 2016

Trupanion, Inc. (TRUP) - Initiation of Research Coverage

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September 3, 2015

Transaction - Field Nation, LLC $30,000,000 Private Placement

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August 7, 2015

Transaction - SMTP, Inc. $3,800,000 Follow-On

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July 16, 2015

Transaction - Radiant Logistics, Inc. $51,750,000 Follow-On

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July 7, 2015

Transaction - Ballard Power Systems, Inc. $14,950,000 Follow-On

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June 24, 2015

Transaction - Celyad SA $100,100,000 Follow-On

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June 3, 2015

Transaction - Clean Diesel Technologies, Inc. $5,125,000 Follow-On

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February 11, 2015

Transaction - Delcath Systems, Inc. $2,800,000 Follow-On

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February 6, 2015

Transaction - VolitionRx Limited $10,673,438 Follow-On

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February 6, 2015

Transaction - Selectica, Inc. $5,900,000 PIPE

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February 5, 2015

Transaction - Asterias Biotherapeutics, Inc. $1,500,000 Follow-On

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December 30, 2014

Transaction - Uniloc $10,000,000 Private Placement

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November 21, 2014

Transaction - Speed Commerce, Inc. $55,000,000 Acquired Fifth Gear

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July 2, 2014

Transaction - Selectica, Inc. Acquired Iasta, Inc.

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July 2, 2014

Transaction - Selectica, Inc. $7,500,000 PIPE

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June 25, 2014

Transaction - Kona Grill, Inc. $48,932,500 Follow-On

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April 24, 2014

Transaction - Parametric Sound Corporation $40,000,000 Follow-On

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February 26, 2014

Transaction - VolitionRX Limited $3,000,000 PIPE

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January 24, 2014

Transaction - Selectica, Inc. $8,700,000 PIPE

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December 11, 2013

Transaction - MiMedx Group, Inc. $39,100,000 Follow-On

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November 15, 2013

Transaction - Advanced Emissions Solutions, Inc. $31,050,000 Follow-On

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