EF Hutton Transactions

Announced: Apollomics Inc. Merger with Maxpro Capital Acquisition Corp.
$ 899,000,000
Capital Markets Advisor
September 2022
EF Hutton Acquisition Corporation I
(Nasdaq: EFHTU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
September 2022
Yoshiharu Global Co.
(Nasdaq: YOSH)
$ 11,760,000
Initial Public Offering
Sole Bookrunner
September 2022
Bright Green Corporation
(Nasdaq: BGXX)
$ 10,000,000
Private Placement
Exclusive Placement Agent
September 2022
Announced: Rana Financial, Inc. & Mobitech International Merger with Fintech Ecosystem Development Corp.
$ 198,000,000
Capital Markets Advisor
September 2022
Announced: HWH International Inc. Merger with Alset Capital Acquisition Corp.
$ 125,000,000
Capital Markets Advisor
September 2022
Announced: AERWINS Technologies, Inc. Merger with Pono Capital Corp.
$ 700,000,000
SPAC IPO Underwriter
September 2022
Announced: Ocean Biomedical, Inc. Merger with Aesther Healthcare Acquisition Corp.
$ 345,000,000
Capital Markets Advisor
August 2022
Onfolio Holdings Inc.
(Nasdaq: ONFO)
$ 13,774,847
Initial Public Offering
Sole Bookrunner
August 2022
Announced: Newsight Imaging Ltd. Merger with Vision Sensing Acquisition Corp.
$ 380,000,000
Capital Markets Advisor
August 2022
Graphex Group Limited
(NYSE: GRFX)
$ 13,500,000
Underwritten Public Offering and Uplisting
Sole Bookrunner
August 2022
Reborn Coffee, Inc.
(Nasdaq: REBN)
$ 7,200,000
Initial Public Offering
Sole Bookrunner
August 2022
Treasure Global Inc
(Nasdaq: TGL)
$ 9,200,00
Initial Public Offering
Sole Bookrunner
August 2022
Announced: Caspi Oil Gas LLP Merger with Liberty Resources Acquisition Corp.
$ 427,700,000
SPAC IPO Underwriter
August 2022
Embrace Change Acquisition Corp.
(Nasdaq: EMCGU)
$ 73,928,550
SPAC IPO
Sole Bookrunner
August 2022
Pono Capital Two, Inc
(Nasdaq: PTWOU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
August 2022
Mobiv Acquisition Corp
(Nasdaq: MOBVU)
$ 100,050,000
SPAC IPO
Sole Bookrunner
August 2022
American Rebel Holdings, Inc. (Nasdaq: AREB) with Champion Safe Company
$ 9,897,420
Acquisition
Financial Advisor
July 2022
Announced: Seamless Group Inc. Merger with InFint Acquisition Corp.
$ 400,000,000
SPAC IPO Underwriter
August 2022
Announced: Graphjet Technologies Merger with Energem Corp.
$ 1,490,000,000
SPAC IPO Underwriter
July 2022
Closed: FiscalNote Holdings, Inc., Merger with Duddell Street Acquisition Corp.
$ 1,188,000,000
Capital Markets Advisor
July 2022
Announced: Security Matters Limited Merger with Lionheart III Corp
$ 244,400,00
Capital Markets Advisor
July 2022
Announced: AnyTech365 Merger with DUET Acquisition Corp.
$ 287,000,000
SPAC IPO Sole Bookrunner
July 2022
American Rebel Holdings, Inc.
(Nasdaq: AREB)
$ 12,887,976
Private Placement
Exclusive Placement Agent
July 2022
AgriFORCE Growing Systems Ltd.
(Nasdaq: AGRI)
$ $14,025,000
Convertible Debt Facility
Exclusive Placement Agent
July 2022
Feutune Light Acquisition Corporation
(Nasdaq: FLFVU)
$ 97,750,000
SPAC IPO
Joint Bookrunner
June 2022
Vivakor, Inc.
(Nasdaq: VIVK)
$ 37,400,000
Acquisition of Silver Fuels Delhi, LLC & White Claw Colorado City, LLC
Financial Advisor
June 2022
Odyssey Marine Exploration, Inc.
(Nasdaq: OMEX)
$ 16,547,375
Registered Direct Offering
Exclusive Placement Agent
June 2022
Acri Capital Acquisition Corporation
(Nasdaq: ACACU)
$ 86,250,000
SPAC IPO
Sole Bookrunner
June 2022
Modiv Inc.
(NYSE: MDV)
$ 50,000,000
ATM Offering
Sales Agent
June 2022
TC Biopharm (Holdings) Plc
(Nasdaq: TCBP)
$ 4,600,000
Underwritten Public Offering
Sole Bookrunner
June 2022
Statera Biopharma, Inc.
(Nasdaq: STAB)
$ 5,650,000
Underwritten Public Offering
Sole Bookrunner
March 2022
Announced: Benuvia Inc. Merger with Pono Capital Corp.
$ 440,000,000
Exclusive M&A Advisor
March 2022
Troika Media Group, Inc.
(Nasdaq: TRKA)
$ 50,000,000
Private Placement
Exclusive Placement Agent
March 2022
Nubia Brand International Corp.
(Nasdaq: NUBIU)
$ 123,500,000
SPAC IPO
Sole Bookrunner
March 2022
Salem Media Group, Inc.
(Nasdaq: SALM)
$ 15,000,000
ATM Offering
Financial Advisor
March 2022
Trio Petroleum Corp.
$ 4,500,000
Private Placement
Exclusive Placement Agent
February 2022
Future Tech II Acquisition Corp.
(Nasdaq: FTIIU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
February 2022
Genesis Unicorn Capital Corp.
(Nasdaq: GENQU)
$ 86,250,000
SPAC IPO
Sole Bookrunner
February 2022
Splash Beverage Group, Inc.
(NYSE: SBEV)
$ 9,200,000
Underwritten Public Offering
Sole Bookrunner
February 2022
Northern Lights Acquisition Corp.
(Nasdaq: NLITU)
$ 60,000,000
Private Placement
Exclusive Placement Agent
February 2022
Announced: Safe Harbor Financial Merger with Northern Lights Acquisition Corp.
$ 327,000,000
Capital Markets Advisor
February 2022
Vivakor, Inc.
(Nasdaq: VIVK)
$ 8,000,000
Underwritten Public Offering and Uplisting
Sole Bookrunner
February 2022
TC BioPharm (Holdings) PLC
(Nasdaq: TCBP)
$ 17,500,004
Initial Public Offering
Sole Bookrunner
February 2022
HNR Acquisition Corp
(NYSE: HNRAU)
$ 75,000,000
SPAC IPO
Sole Bookrunner
February 2022
Evergreen Corporation
(Nasdaq: EVGRU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
February 2022
Statera Biopharma, Inc.
(Nasdaq: STAB)
$ 2,000,000
Registered Direct Offering
Exclusive Placement Agent
February 2022
American Rebel Holdings, Inc.
(Nasdaq: AREB)
$ 10,500,000
Underwritten Public Offering and Uplisting
Sole Bookrunner
February 2022
Alset Capital Acquisition Corp.
(Nasdaq: ACAXU)
$ 86,250,000
SPAC IPO
Sole Bookrunner
February 2022
CareCloud, Inc.
(Nasdaq: MTBC)
$ 25,000,000
Preferred Stock Offering
Joint Bookrunner
January 2022
Indonesia Energy Corp.
(NYSE: INDO)
$ 7,000,000
Private Placement
Exclusive Placement Agent
January 2022
Renovare Environmental, Inc.
(Nasdaq: RENO)
$ 1,285,000
Private Placement
Co-Placement Agent
January 2022
DUET Acquisition Corp.
(Nasdaq: DUETU)
$ 86,250,000
SPAC IPO
Sole Bookrunner
January 2022
Guardforce AI Co. Ltd.
(Nasdaq: GFAI)
$ 10,295,996
Private Placement
Exclusive Placement Agent
January 2022
Technology & Telecommunication Acquisition Corp.
(Nasdaq: TETEU)
$ 115,000,000
SPAC IPO
Sole Bookrunnner
January 2022
Hour Loop, Inc.
(Nasdaq: HOUR)
$ 6,900,000
Initial Public Offering
Sole Bookrunner
January 2022
AFC Gamma, Inc.
(Nasdaq: AFCG)
$ 70,725,000
Underwritten Public Offering
Joint Bookrunner
January 2022
AppTech Payment Corp.
(Nasdaq: APCX)
$ 15,000,000
Underwritten Public Offering and Uplisting
Sole Bookrunner
January 2022
EVmo, Inc.
(OTCPK: YAYO)
$ 13,700,000
Underwritten Public Offering
Sole Bookrunner
January 2022
Aetherium Acquisition Corp.
(Nasdaq: GMFIU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
December 2021
Applied UV, Inc.
(Nasdaq: AUVI)
$ 9,200,001
Underwritten Public Offering
Sole Bookrunner
December 2021
Arogo Capital Acquisition Corp.
(Nasdaq: AOGOU)
$ 103,500,000
SPAC IPO
Sole Bookrunner
December 2021
Reliance Global Group, Inc.
(Nasdaq: RELI)
$ 20,000,000
Private Placement
Exclusive Placement Agent
December 2021
Sagaliam Acquisition Corp.
(Nasdaq: SAGAU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
December 2021
G Medical Innovations Holdings Ltd
(Nasdaq: GMVD)
$ 5,000,000
Private Placement
Exclusive Placement Agent
December 2021
BurTech Acquisition Corp.
(Nasdaq: BRKHU)
$ 287,500,000
SPAC IPO
Sole Bookrunner
December 2021
Inception Growth Acquisition Limited
(Nasdaq: IGTAU)
$ 103,500,000
SPAC IPO
Joint Bookrunner
December 2021
Babcock & Wilcox Enterprises, Inc.
(NYSE: BW)
$ 140,000,000
Senior Notes
Joint Bookrunner
December 2021
Announced: InfiniteWorld Merger with Aries I Acquisition Corporation
$ 554,000,000
SPAC IPO Joint Bookrunner
December 2021
Announced: GP Global and Luminex Merger with Global Consumer Acquisition Corp.
$ 507,000,000
SPAC IPO Sole Bookrunner
December 2021
Stran & Company Inc.
(Nasdaq: STRN)
$ 21,728,472
Private Placement
Exclusive Placement Agent
December 2021
Announced: Aerami Therapeutics Merger with Foxwayne Enterprises Acquisition Corp.
$ 250,000,000
SPAC IPO Sole Bookrunner
December 2021
Digital World Acquisition Corp.
(Nasdaq: DWACU)
$ 1,000,000,000
Private Placement
Exclusive Placement Agent
December 2021
Greenidge Generation Holdings Inc.
(Nasdaq: GREE)
$ 17,000,000
Senior Notes
Joint Bookrunner
December 2021
B. Riley Financial, Inc.
(Nasdaq: RILY)
$ 322,679,225
Senior Notes
Lead Manager
December 2021
Longeveron Inc.
(Nasdaq: LGVN)
$ 20,462,540
Private Placement
Exclusive Placement Agent
December 2021
Canna-Global Acquisition Corp.
(Nasdaq: CNGLU)
$ 230,000,000
SPAC IPO
Sole Bookrunner
November 2021
Pasithea Therapeutics Corp.
(Nasdaq: KTTA)
$ 30,380,000
Private Placement
Exclusive Placement Agent
November 2021
Atlanticus Holdings Corp.
(Nasdaq: ATLC)
$ 150,000,000
Senior Notes
Lead Manager
November 2021
InFinT Acquisition Corp.
(NYSE: IFIN.U)
$ 199,998,800
SPAC IPO
Lead Bookrunner
November 2021
Announced: eCombustible Energy LLC Merger with Benessere Capital Acquisition Corp.
$ 867,000,000
SPAC IPO Sole Bookrunner
November 2021
Energem Corp.
(Nasdaq: ENCPU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
November 2021
Argo Blockchain PLC
(Nasdaq: ARBK)
$ 40,000,000
Senior Notes
Joint Bookrunner
November 2021
Kidpik Corp.
(Nasdaq: PIK)
$ 18,000,000
Initial Public Offering
Sole Bookrunner
November 2021
AnPac Bio-Medical Science Co., Ltd.
(Nasdaq: ANPC)
$ 2,513,286
Underwritten Public Offering
Sole Bookrunner
November 2021
Stran & Company Inc.
(Nasdaq: STRN)
$ 20,699,996
Initial Public Offering
Lead Bookrunner
November 2021
Tellurian Inc.
(NYSE: TELL)
$ 50,000,000
Senior Notes Offering
Lead Manager
November 2021
Liberty Resources Acquisition Corp.
(Nasdaq: LIBYU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
November 2021
GreenBox POS
(Nasdaq: GBOX)
$ 100,000,000
Private Placement
Exclusive Placement Agent
November 2021
Fortune Rise Acquisition Corp.
(Nasdaq: FRLAU)
$ 97,750,000
SPAC IPO
Joint Bookrunner
November 2021
NextPlay Technologies, Inc.
(Nasdaq: NXTP)
$ 30,000,000
Registered Direct Offering
Exclusive Placement Agent
November 2021
Announced: Trump Media & Technology Group with Digital World Acquisition Corp.
( )
$ 1,700,000,000
SPAC IPO Sole Bookrunner
October 2021
Vision Sensing Acquisition Corp.
(Nasdaq: VSACU)
$ 101,200,000
SPAC IPO
Sole Bookrunner
October 2021
The Glimpse Group
(Nasdaq: VRAR)
$ 15,000,000
Private Placement
Exclusive Placement Agent
October 2021
iSun, Inc.
(Nasdaq: ISUN)
$ 39,500,000
ATM Offering
Sales Agent
October 2021
Golden Matrix Group, Inc.
(OTCQX: GMGI)
$ 3,475,003
Registered Direct Offering
Exclusive Placement Agent
October 2021
Fintech Ecosystem Development Corp.
(Nasdaq: FEXDU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
October 2021
Superior Drilling Products, Inc.
(NYSE: SDPI)
$ 2,000,000
Registered Direct Offering
Exclusive Placement Agent
October 2021
Healthcare Triangle, Inc.
(Nasdaq: HCTI)
$ 13,050,000
Initial Public Offering
Sole Bookrunner
October 2021
Fat Projects Acquisition Corp.
(Nasdaq: FATPU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
October 2021
Greenidge Generation Holdings Inc.
(Nasdaq: GREE)
$ 55,200,000
Senior Notes
Lead Manager
October 2021
Maxpro Capital Acquisition Corp.
(Nasdaq: JMACU)
$ 103,500,000
SPAC IPO
Sole Bookrunner
October 2021
Parsec Capital Acquisitions Corp.
(Nasdaq: PCXCU)
$ 86,250,000
SPAC IPO
Sole Bookrunner
October 2021
Healthcare Trust, Inc.
(Nasdaq: HTIA)
$ 90,750,000
Preferred Stock Offering
Co-Manager
October 2021
PEDEVCO Corp.
(NYSE: PED)
$ 7,000,002
Registered Direct Offering
Joint Placement Agent
October 2021
LifeMD, Inc.
(Nasdaq: LFMD)
$ 35,000,000
Preferred Stock Offering
Joint Bookrunner
September 2021
Guardforce AI Co., Ltd.
(Nasdaq: GFAI)
$ 15,000,000
Underwritten Public Offering
and Uplisting
Sole Bookrunner
September 2021
HHG Capital Corp.
(Nasdaq: HHGCU)
$ 57,500,000
SPAC IPO
Joint Bookrunner
September 2021
Aesther Healthcare Acquisition Corp.
(Nasdaq: AEHAU)
$ 105,000,000
SPAC IPO
Sole Bookrunner
September 2021
Pasithea Therapeutics Corp.
(Nasdaq: KTTA)
$ 24,000,000
Initial Public Offering
Sole Bookrunner
September 2021
Digital World Acquisition Corp.
(Nasdaq: DWACU)
$ 287,500,000
SPAC IPO
Sole Bookrunner
September 2021
Digital Brands Group, Inc.
(Nasdaq: DBGI)
$ 5,265,000
Private Placement
Exclusive Placement Agent
September 2021
Charah Solutions, Inc.
(NYSE: CHRA)
$ 135,000,000
Senior Notes
Lead Manager
August 2021
DatChat, Inc.
(Nasdaq: DATS)
$ 13,799,999
Initial Public Offering
Lead Bookrunner
August 2021
PHP Ventures Acquisition Corp.
(Nasdaq: PPHPU)
$ 57,500,000
SPAC IPO
Sole Bookrunner
August 2021
Pono Capital Corp.
(Nasdaq: PONOU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
August 2021
BioVie, Inc.
(Nasdaq: BIVI)
$ 20,736,000
Underwritten Public Offering
Financial Advisor
August 2021
Nova Vision Acquisition Corp.
(Nasdaq: NOVVU)
$ 57,500,000
SPAC IPO
Joint Bookrunner
August 2021
Gladstone Acquisition Corp.
(Nasdaq: GLEEU)
$ 104,924,800
SPAC IPO
Sole Bookrunner
August 2021
B. Riley Financial, Inc.
(Nasdaq: RILY)
$ 316,250,000
Senior Notes
Lead Manager
August 2021
IDW Media Holdings, Inc.
(NYSE: IDW)
$ 10,350,000
Underwritten Public Offering
and Uplisting
Sole Bookrunner
August 2021
HCW Biologics, Inc.
(Nasdaq: HCWB)
$ 56,000,000
Initial Public Offering
Sole Bookrunner
July 2021
TradeUP Acquisition Corp.
(Nasdaq: UPTDU)
$ 44,300,000
SPAC IPO
Joint Bookrunner
July 2021
Applied UV, Inc.
(Nasdaq: AUVI)
$ 13,800,000
Preferred Stock Offering
Joint Bookrunner
July 2021
AgriFORCE Growing Systems, Ltd.
(Nasdaq: AGRI)
$ 15,639,994
Initial Public Offering
Sole Bookrunner
July 2021
Protagenic Therapeutics, Inc.
(Nasdaq: PTIX)
$ 10,000,000
ATM Offering
Sales Agent
July 2021
Sonim Technologies, Inc.
(Nasdaq: SONM)
$ 10,000,000
ATM Offering
Sales Agent
June 2021
The Glimpse Group, Inc.
(Nasdaq: VRAR)
$ 14,087,500
Initial Public Offering
Sole Bookrunner
June 2021
Synchronoss Technologies, Inc.
(Nasdaq: SNCR)
$ 125,000,000
Senior Notes
Lead Manager
June 2021
G Medical Innovations Holdings, Ltd.
(Nasdaq: GMVD)
$ 15,000,000
Initial Public Offering
Sole Bookrunner
June 2021
Grove, Inc.
(Nasdaq: GRVI)
$ 12,650,000
Initial Public Offering
Sole Bookrunner
June 2021
Northern Lights Acquisition Corp.
(Nasdaq: NLITU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
June 2021
Global Self Storage, Inc.
(Nasdaq: SELF)
$ 6,900,002
Underwritten Public Offering
Sole Bookrunner
June 2021
Grom Social Enterprises, Inc.
(Nasdaq: GROM)
$ 11,496,384
Underwritten Public
Offering and Uplisting
Sole Bookrunner
June 2021
Splash Beverage Group Inc.
(NYSE: SBEV)
$ 15,000,000
Uplisting
and Underwritten Public Offering
Sole Bookrunner
June 2021
Global Consumer Acquisition Company
(Nasdaq: GACQU)
$ 182,630,000
SPAC IPO
Sole Bookrunner
June 2021
American Resources Corporation
(Nasdaq: AREC)
$ 30,100,000
Registered Direct
Exclusive Placement Agent
June 2021
Atlanticus Holdings Corporation
(Nasdaq: ATLC)
$ 79,713,325
Preferred Stock Offering
Lead Manager
June 2021
CEL-SCI Corporation
(NYSE: CVM)
$ 36,418,200
Bought Underwritten Public Offering
Sole Bookrunner
June 2021
Taronis Fuels, Inc.
(OTCQB: TRNF)
$ 16,496,004
Private Placement
Executive Placement Agent
June 2021
COMSovereign Holding Corp.
(Nasdaq: COMS)
$ 10,000,000
Private Placement
Financial Advisor
May 2021
SANUWAVE Health, Inc.
(OTCQB: SNWV)
Private Placement
Exclusive Placement Agent
May 2021
Aries I Acquisition Corporation
(Nasdaq: RAMMU)
$ 143,750,000
SPAC IPO
Joint Bookrunner
May 2021
Digital Brands Group, Inc.
(Nasdaq: DBGI)
$ 11,499,999
Initial Public Offering
Sole Bookrunner
May 2021
Monaker Group, Inc.
(Nasdaq: MKGI)
$ 9,286,250
Underwritten Public Offering
Sole Bookrunner
May 2021
Data Knights Acquisition Corporation
(Nasdaq: DKDCU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
May 2021
Maquia Capital Acquisition Corporation
(Nasdaq: MAQCU)
$ 173,097,190
SPAC IPO
Sole Bookrunner
May 2021
Babcock & Wilcox Enterprises, Inc.
(NYSE: BW)
$ 111,117,500
Preferred Stock Offering
Lead Manager
May 2021
Alfi, Inc.
(Nasdaq: ALF)
$ 17,807,840
Initial Public Offering
Sole Bookrunner
May 2021
Protagenic Therapeutics, Inc.
(Nasdaq: PTIX)
$ 13,197,000
Uplisting
and Underwritten Public Offering
Sole Bookrunner
April 2021
Troika Media Group, Inc.
(Nasdaq: TRKA)
$ 24,000,002
Initial Public Offering
Sole Bookrunner
April 2021
Muscle Maker Grill
(Nasdaq: GRIL)
Advisory
Financial Advisory
April 2021
LIZHI Inc.
(Nasdaq: LIZI)
$ 30,000,002
Registered Direct
Exclusive Placement Agent
April 2021
Medalist Diversified REIT, Inc.
(Nasdaq: MDRR)
$ 12,000,000
Underwritten Public Offering
Sole Bookrunner
April 2021
Dragon Victory International Limited
(Nasdaq: LYL)
$ 6,000,000
Private Placement
Exclusive Placement Agent
March 2021
Integrated Ventures, Inc.
(OTCPK: INTV)
$ 9,000,000
Registered Direct
Exclusive Placement Agent
March 2021
Wizard Brands, Inc.
(OTCPK: WIZD)
Private Placement
Placement Agent
March 2021
B. Riley Financial, Inc.
(Nasdaq: RILY)
$ 159,493,250
Senior Notes
Co-Manager
March 2021
Infinity Energy Resources, Inc.
(OTCPK: IFNY)
Advisory
Financial Advisor
March 2021
Agriforce Growing Systems, Ltd.
Private Placement
Placement Agent
March 2021
IMAC Holdings, Inc.
(Nasdaq: IMAC)
$ 19,550,000
Underwritten Public Offering
Sole Bookrunner
March 2021
Grom Social Enterprises Inc.
(OTCPK: GRMM)
Private Placement
Placement Agent
March 2021
Healthcare Triangle Inc.
$ 4,000,000
Private Placement
Placement Agent
March 2021
American Acquisition Opportunity Inc.
(Nasdaq: AMAOU)
$ 105,060,020
SPAC IPO
Sole Bookrunnner
March 2021
Cootek (Cayman) Inc.
(NYSE: CTK)
$ 20,000,000
Private Placement
Exclusive Placement Agent
March 2021
The Glimpse Group
Private Placement
Placement Agent
March 2021
Hoth Therapeutics Inc.
(Nasdaq: HOTH)
$ 15,000,000
Private Placement
Financial Advisor
March 2021
GreenBox POS
(Nasdaq: GBOX)
$ 50,111,250
Uplisting
and Underwritten Public Offering
Sole Bookrunner
February 2021
Gaucho Group Holdings, Inc.
(Nasdaq: VINO)
$ 8,000,004
Uplisting
and Underwritten Public Offering
Sole Bookrunner
February 2021
U.S. Energy Corp.
(Nasdaq: USEG)
$ 5,771,160
Underwritten Public Offering
Sole Bookrunner
February 2021
Longeveron
(Nasdaq: LGVN)
$ 29,100,000
Initial Public Offering
Sole Bookrunner
February 2021
Babcock & Wilcox Enterprises, Inc.
(NYSE: BW)
$ 125,000,000
Senior Notes Offering
Co-Manager
February 2021
COMSovereign Holding Corp.
(Nasdaq: COMS)
$ 27,599,997
Underwritten Public Offering
Sole Bookrunner
February 2021
Reliance Global Group
(Nasdaq: RELI)
$ 12,420,000
Uplisting
and Underwritten Public Offering
Sole Bookrunner
February 2021
SPI Energy Co., Ltd.
(Nasdaq: SPI)
$ 14,732,396
Registered Direct
Placement Agent
February 2021
PEDEVCO Corp.
(NYSE: PED)
$ 8,952,750
Underwritten Public Offering
Sole Bookrunner
February 2021
Digital Ally Inc.
(Nasdaq: DGLY)
$ 40,040,000
Registered Direct
Exclusive Placement Agent
January 2021
Cootek (Cayman) Inc.
(NYSE: CTK)
$ 10,000,000
Private Placement
Exclusive Placement Agent
January 2021
COMSovereign Holding Corp.
(Nasdaq: COMS)
$ 17,365,435
Uplisting
and Underwritten Public Offering
Sole Bookrunner
January 2021
B. Riley Financial, Inc.
(Nasdaq: RILY)
$ 230,000,000
Senior Notes
Co-Manager
January 2021
Dragon Victory International Limited
(Nasdaq: LYL)
$ 2,000,000
Private Placement
Exclusive Placement Agent
January 2021
FoxWayne Enterprises Acquisition Corp.
(Nasdaq: FOXWU)
$ 57,500,000
SPAC IPO
Sole Bookrunner
January 2021
Cootek (Cayman) Inc.
(NYSE: CTK)
$ 10,000,000
Private Placement
Exclusive Placement Agent
January 2021
Gladstone Land Corp.
(Nasdaq: LAND)
$ 52,500,000
Preferred
Series D Cumulative Term
January 2021
Digital Ally Inc.
(Nasdaq: DGLY)
$ 30,955,000
Registered Direct
Exclusive Placement Agent
January 2021
Benessere Capital Acquisition Corp.
(Nasdaq: BENEU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
January 2021
Monaker Group
(Nasdaq: MKGI)
$ 8,855,000
Bought Underwritten Public Offering
Joint Bookrunner
December 2020
GreenBox POS
(OTCQB: GRBX)
$ 3,200,000
Private Placement
Exclusive Placement Agent
December 2020
Ontrak, Inc.
(Nasdaq: OTRK)
$ 42,817,500
Follow-On Offering
Co-Manager
December 2020
CEL-SCI Corporation
(NYSE: CVM)
$ 14,650,000
Bought Underwritten Public Offering
Joint Bookrunner
December 2020
AMMO Inc.
(Nasdaq: POWW)
$ 20,682,749
Uplisting
Joint Bookrunner
December 2020
SPI Energy Co., Ltd.
(Nasdaq: SPI)
$ 35,019,900
Registered Direct
Placement Agent
December 2020
Kingswood Acquisition Corp.
(NYSE: KWAC)
$ 115,000,000
SPAC IPO
Issuer
November 2020
Dragon Victory International Limited
(Nasdaq: LYL)
$ 1,500,000
Private Placement
Exclusive Placement Agent
November 2020
Taronis Fuels, Inc.
(OTCQB: TRNF)
$ 10,425,000
Private Placement
Exclusive Placement Agent
November 2020
U.S. Energy Corp.
(Nasdaq: USEG)
$ 3,450,000
Follow-On Offering
Sole Bookrunner
November 2020
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 5,000,000
Private Placement
Exclusive Placement Agent
October 2020
GreenBox POS
(OTCQB: GRBX)
$ 3,850,000
Private Placement
Exclusive Placement Agent
October 2020
Hyde Caviar, LLC
$ 3,150,000
Debt Financing
Financial Advisor
October 2020
Taronis Fuels, Inc.
(OTCQB: TRNF)
$ 10,850,000
Private Placement
Exclusive Placement Agent
October 2020
Molecular Data Inc.
(Nasdaq: MKD)
$ 5,000,000
Private Placement
Exclusive Placement Agent
October 2020
Gladstone Land Corp.
(Nasdaq: LAND)
$ 23,760,000
Follow-On Offering
Co-Manager
October 2020
American Resources Corp.
(Nasdaq: AREC)
$ 13,000,000
Registered Direct
Exclusive Placement Agent
October 2020
Presidio Property Trust
(Nasdaq: SQFT)
$ 2,500,000
Initial Public Offering
Sole Bookrunner
October 2020
SPI Energy Co., Ltd.
(Nasdaq: SPI)
$ 16,005,600
Registered Direct
Exclusive Placement Agent
September 2020
U.S. Energy Corp.
(Nasdaq: USEG)
$ 1,658,003
Registered Direct
Exclusive Placement Agent
September 2020
BioVie Inc.
(Nasdaq: BIVI)
$ 17,999,800
Uplisting
Joint Bookrunner
September 2020
Muscle Maker Grill
(Nasdaq: GRIL)
$ 5,600,000
Follow-On Offering
Joint Bookrunner
September 2020
Ontrak
(Nasdaq: OTRK)
$ 42,500,000
Preferred / Senior Notes
Co-Manager
August 2020
NanoViricides
(AMEX: NNVC)
$ 50,000,000
ATM Offering
Sales Agent
July 2020
Nemaura Medical Inc.
(Nasdaq: NMRD)
$ 11,500,000
Underwritten Public Offering
Exclusive Placement Agent
July 2020
Monaker Group
(Nasdaq: MKGI)
$ 2,000,000
Registered Direct
Exclusive Placement Agent
July 2020
NanoViricides
(AMEX: NNVC)
$ 11,500,000
Follow-On Offering
Sole Bookrunner
July 2020
NanoViricides
(AMEX: NNVC)
$ 10,220,000
Registered Direct
Placement Agent
May 2020

Past Transactions

Note: includes transactions completed prior to joining Kingswood Capital Markets

IDW Media Holdings, Inc.
(OTCPK: IDWM)
$ 12,300,000
Private Placement
Financial Advisor
March 2020
Digital Ally
(Nasdaq: DGLY)
$ 2,900,000
Follow-On Offering
Sole Bookrunner
February 2020
Document Security Systems
(NYSE: DSS)
$ 4,600,000
Follow-On Offering
Sole Bookrunner
February 2020
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 4,600,000
Preferred / Senior Notes
Sole Bookrunner
February 2020
Zedge, Inc.
(NYSE: ZDGE)
$ 2,250,000
Registered Direct
Financial Advisor
February 2020
Ondas Networks
(OTCPK: ONDS)
Financial Advisor
February 2020
IQ International
(ETR: IQL)
Financial Advisor
February 2020
Avinger
(Nasdaq: AVGR)
$ 4,500,000
Follow-On Offering
Sole Bookrunner
January 2020
NanoViricides
(AMEX: NNVC)
$ 8,625,000
Follow-On Offering
Sole Bookrunner
January 2020
Torchlight
(Nasdaq: TRCH)
$ 2,300,000
Follow-On Offering
Sole Bookrunner
January 2020
CEL-SCI Corporation
(NYSE: CVM)
$ 6,325,000
Follow-On Offering
Sole Bookrunner
December 2019
Indonesia Energy Corp.
(NYSE: INDO)
$ 15,000,007
Sole Bookrunner
December 2019
Scynexis
(Nasdaq: SCYX)
$ 35,000,000
Follow-On Offering
Co-Manager
December 2019
Arcimoto
(Nasdaq: FUV)
$ 9,000,000
Follow-On Offering
Joint Bookrunner
November 2019
Document Security Systems
(NYSE: DSS)
$ 1,822,200
Private Placement
Placement Agent
November 2019
Indonesia Energy Corp.
(NYSE: INDO)
Financial Advisor
October 2019
Cocrystal Pharma
(Nasdaq: COCP)
$ 3,000,000
Follow-On Offering
Sole Bookrunner
October 2019
Happiness Biotech
(Nasdaq: HAPP)
$ 11,000,000
Co-Manager
October 2019
Stemline Therapeutics, Inc.
(Nasdaq: STML)
$ 76,250,000
Follow-On Offering
Co-Manager
August 2019
Sigma Labs
(Nasdaq: SGLB)
$ 2,300,000
Follow-On Offering
Sole Bookrunner
July 2019
Tonix Pharmaceuticals
(Nasdaq: TNXP)
$ 5,400,000
Follow-On Offering
Sole Bookrunner
July 2019
Document Security Systems
(NYSE: DSS)
$ 5,859,593
Follow-On Offering
Sole Bookrunner
June 2019
Gladstone Land
(Nasdaq: LAND)
$ 23,460,000
Follow-On Offering
Co-Manager
June 2019
Jiayin Group Inc
(Nasdaq: JFIN)
$ 36,750,000
Follow-On Offering
Co-Manager
May 2019
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 9,199,167
Follow-On Offering
Sole Bookrunner
May 2019
Genetic Technologies
(Nasdaq: GENE)
$ 1,180,917
Sole Bookrunner
May 2019
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 1,299,998
Private Placement
Placement Agent
May 2019
Monaker Group
(Nasdaq: MKGI)
$ 1,740,000
Follow-On Offering
Co-Manager
April 2019