Capital Markets & Securities: A Consistent Record of Success

The Capital Markets & Securities group has assisted diverse clients in closing a large number of successful transactions that have helped these businesses meet their strategic goals.

Representations include:

• Q1 2024
  • Represented Roth Capital Partners and TFI Securities and Futures Limited as placement agents in its $12.3 million Public Offering of common stock of Ispire Technology Inc. (NASDAQ: ISPR), a worldwide leader in R&D, design, commercialization, manufacturing, sales, marketing and distribution for branded and ODM solutions.
  • Represented Corbus Pharmaceuticals Holdings, Inc. (NASAQ: CRBP) in its $150 million at-the-market offering. 
  • Representing Chatham Asset Management, LLC, the sole owner of R.R. Donnelley & Sons Company, a global provider of marketing, packaging, print, and supply chain solutions, in RRD’s acquisition of digital and print marketing businesses from Vericast Corp.
  • Represented Celldex Therapeutics, Inc. (NASDAQ: CLDX) in its $460.5 million public offering of common stock.
  • Represented Celldex Therapeutics, Inc. (NASDAQ: CLDX) in its at-the-market offering of up to $300.0 million of common stock.
  • Represented Motus GI Holdings, Inc. (NASDAQ: MOTS),  a medical technology company, in its definitive agreement for the immediate exercise of warrants for $2.7 million gross proceeds.
  • Represented Cingulate, Inc. (NASDAQ: CING), a clinical stage biopharmaceutical company, in its $7.5 million public offering of common stock and warrants.
  • Represented Pineapple Energy Inc. (NASDAQ: PEGY), a leading provider of sustainable solar energy and backup power to households and small businesses, in a registered direct offering of $1 million of shares of the company’s common stock.
  • Represented Corbus Pharmaceuticals Holdings, Inc. (NASDAQ: CRBP) in a $94.5 million public offering of common stock.
  • Represented Altamira Therapeutics Ltd. (NASDAQ: CYTO) in a $1.66 million at-the-market offering agreement of common stock. 
• Q4 2023
  • Represented Coya Therapeutics, Inc. (Nasdaq: COYA), a clinical-stage biotechnology company developing proprietary therapies to enhance the function of regulatory T cells, in the closing of its private placement offering of 4,370,382 shares of its common stock for gross proceeds of approximately $26.5 million.
  • Represented Gain Therapeutics, Inc. (NASDAQ: GANX), a clinical-stage biotechnology company leading the discovery and development of next generation allosteric therapies, in its public offering of common stock and warrants for gross proceeds of $5.0 million.
  • Represented Gain Therapeutics, Inc. (NASDAQ: GANX), a clinical-stage biotechnology company leading the discovery and development of next generation allosteric therapies, in its private placement of common stock and warrants for gross proceeds of $5.0 million.
  • Represented Dermata Therapeutics, Inc. (NASDAQ: DRMA), a clinical-stage biotechnology company focusing on the treatment of medical and aesthetic skin conditions, in its warrant repricing and reload transaction for gross proceeds of $2.26 million. H.C. Wainwright & Co. acted as exclusive placement agent.
  • Represented Reviva Pharmaceuticals Holdings, Inc. (NASDAQ: RVPH), a late-stage pharmaceutical company developing therapies that seek to address unmet medical needs in the areas of central nervous system (CNS), inflammatory and cardiometabolic diseases, in its registered direct offering for gross proceeds of $30 million.
  • Represented the Special Situations Funds, as the lead investors in the secondary purchase of Series A Convertible Preferred Stock of Bitcoin Depot Inc (NASDAQ: BTM).
  • Represented Sonnet BioTherapeutics Holdings, Inc. (NASDAQ: SONN) in its $4.55 million underwritten public offering of common stock and warrants.
  • Represented H.C. Wainwright & Co. in a $4,000,000 private placement priced at-the-market of securities of Adial Pharmaceuticals, Inc. (NASDAQ:ADIL) a clinical-stage biopharmaceutical company focused on developing therapies for the treatment and prevention of addiction and related disorders. 
  • Represented Tonix Pharmaceuticals Holding Corp. (NASDAQ: TNXP), a biopharmaceutical company, in its $4.5 million public offering of common stock, warrants and pre-funded warrants. A.G.P./Alliance Global Partners acted as lead placement agent, and Brookline Capital Markets, a division of Arcadia Securities, LLC, acted as co-placement agent for this offering.
• Q3 2023
  • Represented First Wave BioPharma, Inc. (NASDAQ: FWBI), a clinical-stage biopharmaceutical company, in the exercise and issuance of new warrants in a private placement for $4.0 million in gross proceeds priced at-the-market.
  • Represented Cingulate Inc. (NASDAQ: CING), a clinical-stage biopharmaceutical company, in a $4 million public offering of common stock and warrants. H. C. Wainwright & Co. acted as exclusive placement agent.
  • Represented H.C. Wainwright & Co., LLC in a $5 million private placement of common stock and warrants of NanoVibronix, Inc. (NASDAQ: NAOV), a medical device company.
  • Represented Special Situation Funds as lead investors of electroCore, Inc. (Nasdaq: ECOR), a commercial-stage bioelectronic medicine and wellness company, in its $8.145 million registered direct offering and concurrent private placements of common stock and warrants priced at the market. 
  • Represented Tonix Pharmaceuticals Holding Corp. (NASDAQ: TNXP), a biopharmaceutical company, in its $7 million public offering of common stock, warrants, and pre-funded warrants.
  • Represented Chardan Capital Markets LLC and Titan Partners Group as co-placement agents in a registered direct offering and concurrent private placement for a total of $4.3 million of shares of common stock of Better Therapeutics, Inc. (NASDAQ: BTTX)
  • Represented First Wave BioPharma, Inc. (NASDAQ:FWBI), a clinical-stage biopharmaceutical company specializing in the development of targeted, non-systemic therapies for gastrointestinal diseases, in a $2.1 million public offering.
• Q2 2023
  • Represented SmartKem, Inc. (OTCQB: SMTK), a company seeking to reshape the world of electronics with its disruptive organic thin-film transistors (OTFTs), in its $14.2 million private placement of preferred stock and warrants.
  • Represented Dragonfly Energy Holdings Corp. (NASDAQ: DFLI), an industry leader in energy storage and producer of deep cycle lithium-ion storage batteries, in its unwritten offering of $20 million of shares of common stock and warrants.
  • Represented Special Situations Funds as lead investor in a $23 million registered direct offering of ordinary shares for Arbe Robotics Ltd. (NASDAQ: ARBE), a global leader in perception radar solutions.
  • Represented Arch Therapeutics, Inc. (OTCQB: ARTH), a marketer and developer of novel self-assembling wound care and biosurgical products, in a private placement of convertible notes, warrants, and common stock, with gross proceeds of approx. $585,600 from institutional and individual investors.
  • Represented CISO Global, Inc. (NASDAQ: CISO), an industry leader as a managed cybersecurity and compliance provider, in its $4 million registered direct offering.
  • Represented Loop Media, Inc. (NYSE American: LPTV), a leading multi-channel streaming platform that provides curated music video and branded entertainment channels for businesses, in its at-the-market offering of $50 million of common shares.  B. Riley Securities, Inc. acted as sales agent for the offering.
  • Represented Dermata Therapeutics, Inc. (NASDAQ:DRMA; DRMAW), a clinical-stage biotechnology company focusing on the treatment of medical and aesthetic skin diseases and conditions, in an at-the-market offering and concurrent private placement for the issuance of common stock, warrants and pre-funded warrants with gross offering proceeds of $1.8 million.
  • Represented EF Hutton, division of Benchmark Investments, LLC, as representative of the several underwriters in a $5 million underwritten public offering of shares of common stock and warrants of Biocept, Inc. (NASDAQ: BIOC), a leading provider of molecular diagnostic assays, products and service.
  • Represented Wedbush Securities Inc. as sales agent for an at-the-market offering of common stock of TScan Therapeutics, Inc. (NASDAQ: TCRX), a clinical-stage biopharmaceutical company dedicated to creating life-changing T cell therapies, of up to $75 million. 
  • Represented ZyVersa Therapeutics, Inc. (NASDAQ: ZVSA), a clinical stage specialty biopharmaceutical company developing first-in-class drugs for treatment of inflammatory and renal diseases, in a “reasonable best efforts” public offering of up to $11 million. A.G.P acted as the lead placement agent and The Benchmark Company acted as co-placement agent.
  • Represented Loop Media, Inc. (NYSE American: LPTV), a leading multi-channel streaming platform that provides curated music video and branded entertainment channels for businesses, in its at-the-market offering of $50 million of common shares.  B. Riley Securities, Inc. acted as sales agent for the offering.
  • Represented Ladenburg Thalmann & Co. Inc. and A.G.P./Alliance Global Partners as co-managing underwriters in a $25 million underwritten public offering of shares and warrants for Meta Materials Inc. (NASDAQ:MMAT)(FSE:MMAT), a developer of high-performance functional materials and nanocomposites.
  • Represented Chardan Capital Markets LLC as placement agent in a $6.5 million private placement of common stock of Better Therapeutics, Inc. (NASDAQ: BTTX), a prescription digital therapeutics (PDT) company developing a clinically validated, software-based, novel form of cognitive behavioral therapy (CBT) to address the root causes of cardiometabolic diseases.
• Q1 2023
  • Represented Edesa Biotech, Inc. (NASDAQ: EDSA), a clinical-stage biopharmaceutical company focused on inflammatory and immune-related diseases, in its at-the-market offering of up to $20 million of common shares.
  • Represented Dermata Therapeutics, Inc. (NASDAQ: DRMA), a clinical-stage biotechnology company focusing on the treatment of medical and aesthetic skin conditions, in a $5 million public offering of common stock and warrants.
  • Represented H.C. Wainwright & Co. as exclusive placement agent in a $6 million registered direct offering of common stock and warrants of Novan, Inc. (NASDAQ: NOVN), a medical dermatology company primarily focused on researching, developing, and commercializing innovative therapeutic products for skin diseases.
  • Represented First Wave BioPharma, Inc. (NASDAQ: FWBI), a clinical-stage biopharmaceutical company, in its $4.0 million private placement of common stock, warrants, and pre-funded warrants.
  • Represented Genprex, Inc. (NASDAQ: GNPX), a clinical-stage gene therapy company, in a $4 million registered direct offering of common stock and warrants. A.G.P/Alliance Global Partners acted as sole placement agent for the offering.
  • Represented H.C. Wainwright & Co., LLC as exclusive placement agent in a $7.5 million registered direct offering and concurrent private placement of common stock and warrants of Checkpoint Therapeutics, Inc. (NASDAQ:CKPT), a clinical-stage immunotherapy and targeted oncology company.
  • Represented Sonnet BioTherapeutics Holdings, Inc. (NASDAQ: SONN), a biopharmaceutical company developing innovative targeted biologic drugs, in its $15 million underwritten public offering of common stocks and warrants.
  • Represented Ladenburg Thalmann & Co. Inc., B. Riley Securities, Inc. and Roth Capital Partners, LLC as sales agents in an At-The-Market sales agreement for the issuance of up to $100 million of common stock of Meta Materials Inc. (NASDAQ:MMAT), a developer of high-performance functional materials and nanocomposites.
  • Represented Coya Therapeutics, Inc. (Nasdaq: COYA), a clinical-stage biotechnology company, in its $15,250,000 initial public offering of common stocks and warrants.
  • Represented Cingulate Inc. (Nasdaq: CING), a clinical-stage biopharmaceutical company, in an At-the-Market Offering of common stock.
• Q4 2022
  • Represented Lake Street Capital Markets, LLC, a research-oriented investment bank focused on high-growth companies, as sole underwriter in an underwritten public offering of common stock and warrants of Ensysce Biosciences, Inc., (Nasdaq: ENSC) (OTC PINK: ENSCW), a clinical-stage biotech company working to improve prescription drug safety to reduce abuse and overdose.
  • Represented First Wave BioPharma, Inc. (NASDAQ:FWBI), a clinical-stage biopharmaceutical company, in a private placement of warrants and pre-funded warrants.
  • Represented Sonnet BioTherapeutics Holdings, Inc. (Nasdaq: SONN), a biopharmaceutical company developing innovative targeted biologic drugs, in a $1.66 million At-the-Market Offering supplementing a prior $6.1 million offering of common stock.
  • Represented Tonix Pharmaceuticals Holding Corp. (Nasdaq: TNXP), a clinical-stage biopharmaceutical company, in connection with its $15 million private placement of convertible redeemable preferred stock.
  • Represented First Wave BioPharma, Inc. (NASDAQ: FWBI), a clinical stage biopharmaceutical company, in connection with its $6 million public offering of common stock (or equivalents) and warrants.
  • Represented Timber Pharmaceuticals, Inc. (NYSE: TMBR), a publicly held biopharmaceutical company focused on the development and commercialization of treatments for rare dermatologic diseases, in a $1.3 million registered direct offering of common stock and warrants issued concurrently with a private placement of warrants and preferred stock.
• Q3 2022
  • Represented BTIG, LLC, Oppenheimer & Co. Inc., and B. Riley Securities, Inc., as sales agents, in connection with an at-the-market offering of up to $150 million of common stock of Celularity, Inc. (NASDAQ:CELU), a clinical-stage biotechnology company focused on developing off-the-shelf therapies for the treatment of cancer and infectious and degenerative diseases.
  • Represented Reviva Pharmaceuticals Holdings, Inc. (NASDAQ: RVPH), a clinical-stage pharmaceutical company developing therapies in the areas of central nervous system, cardiovascular, metabolic, and inflammatory diseases, in its registered direct offering and concurrent private placement of $8.5 million of common stock and warrants.
  • Represented Sonnet BioTherapeutics Holdings, Inc. (NASDAQ:SONN), a biopharmaceutical company developing innovative targeted biologic drugs, in connection with a $6.1 million At-the-Market Offering.
  • Represented Sonnet BioTherapeutics Holdings, Inc. (NASDAQ:SONN), a biopharmaceutical company developing innovative targeted biologic drugs, in connection with a $2.25 million private placement of convertible preferred stocks and warrants.
  • Represented Tonix Pharmaceuticals Holding Corp. (Nasdaq: TNXP), a clinical-stage biopharmaceutical company, in connection with an equity line transaction for up to $50 million of common stock. (UPO)
  • Represented Timber Pharmaceuticals, Inc. (NYSE: TMBR), a publicly held biopharmaceutical company focused on the development and commercialization of treatments for rare dermatologic diseases, in connection with an $8 million public offering of common stocks and warrants.
  • Represented First Wave BioPharma, Inc. (NASDAQ: FWBI), a clinical stage biopharmaceutical company, in its private placement with several institutional accredited investors of convertible preferred stock and warrants.
  • Represented Arch Therapeutics, Inc. (OTCQB: ARTH), a marketer and developer of novel self-assembling wound care and biosurgical products, in a private placement of convertible notes, warrants, and common stock, with gross proceeds of approx. $3.5 million from institutional and individual investors.
• Q2 2022
  • Represented Altair Engineering Inc. (NASDAQ: ALTR), a global leader in computational science and artificial intelligence, in its $230 million private offering of convertible senior notes.
  • Represented Tonix Pharmaceuticals Holding Corp. (Nasdaq: TNXP), a clinical-stage biopharmaceutical company, in its $30 million private placement of convertible redeemable preferred stock.
  • Represented Oppenheimer & Co. Inc., Craig-Hallum Capital Group LLC and Roth Capital Partners, LLC, as sales agents, in connection with an At the Market Offering of common stock of up to $50 million of Akoustis Technologies, Inc. (NASDAQ: AKTS), an integrated device manufacturer of patent bulk acoustic wave high-band RF filers for mobile and other wireless applications.
  • Represented Kintara Therapeutics, Inc. (NASDAQ: VRPX), a biopharmaceutical company developing novel cancer therapies for patients who are failing, or are resistant to, current treatment regimens, in its $8.6 million registered direct offering of common stock and warrants.
  • Represented Vyant Bio, Inc. (NASDAQ: VYNT), a biotechnology drug discovery company, in connection with its $20 million at-the-market offering.
• Q1 2022
  • Represented Vyant Bio, Inc. (NASDAQ: VYNT), a biotechnology drug discovery company, in connection with an equity line transaction for up to $15 million in common stock with Lincoln Park Capital Fund, LLC.
  • Represented Roth Capital Partners as lead agent in connection with a public offering of common stock and warrants of Guardion Health Sciences, Inc. (NASDAQ: GHSI), a clinical nutrition and diagnostics company.
  • Represented H.C. Wainwright & Co., as underwriter, in a $20 million underwritten offering of common stock and warrants of Surgalign Holdings, Inc. (NASDAQ: SRGA), a global medical technology company focused on elevating the standard of care through the evolution of digital surgery.
  • Represented iTolerance, Inc., a biotechnology company focused on the development of innovative regenerative medicines, in an offering of its convertible promissory notes for approximately $17 million in gross proceeds.
  • Represented Reviva Pharmaceuticals Holdings, Inc. (NASDAQ: RVPH), a clinical-stage pharmaceutical company, in its at the market offering agreement for up to $12.9 million of shares of common stock. H.C. Wainwright & Co., LLC served as the sales agent for the transaction.
    
• Q4 2021
  • Represented Tonix Pharmaceuticals Holding Corp (NASDAQ: TNXP), a clinical-stage biopharmaceutical company, in connection with an $80 million equity line of credit with Lincoln Park Capital, LLC.
  • Represented Cingulate Inc. (NASDAQ: CING), a clinical-stage biopharmaceutical company, in its $25 million initial public offering.
  • Represented H.C. Wainwright & Co. as exclusive placement agent in connection with an $11.5 million registered direct offering of common stock and warrants of Exicure, Inc. (NASDAQ:XCUR), a development-stage biotechnology company developing therapeutics for neurology and other genetic disorders.
  • Represented Edesa Biotech, Inc. (NASDAQ: EDSA) in connection with its at-the-market offering of up to $15,000,000 of common shares.
  • Represented Timber Pharmaceuticals, Inc. (NYSE: TMBR), a biopharmaceutical company focused on the development and commercialization of treatments for rare and orphan dermatologic diseases, in connection with a $17.25 million underwritten public offering of common stock and warrants.
  • Represented William Blair & Company, L.L.C., as underwriter, in a public offering of $10 million of common stock of Brickell Biotech, Inc. (NASDAQ: BBI), a clinical-stage pharmaceutical company focused on developing innovative and differentiated prescription therapeutics for the treatment of debilitating skin diseases.
  • Represented H.C. Wainwright & Co., LLC, as the sole sales agent, in connection with an at-the-market offering of up to $50 million of common shares of ImmunoPrecise Antibodies Ltd. (NASDAQ: IPA).
• Q3 2021
  • Represented Kintara Therapeutics, Inc. (NASDAQ: KTRA), a biopharmaceutical company developing novel cancer therapies for patients who are failing, or are resistant to, current treatment regimens in a $15 million registered direct offering.
  • We represented Altair Engineering Inc. (NASDAQ: ALTR), a global technology company providing software and cloud solutions in the areas of simulation, high-performance computing, and artificial intelligence, in its $200 million private placement offering of common stock to Matrix Capital Management, one of its largest stockholders.
  • Represented Virpax Pharmaceuticals Inc. (NASDAQ: VRPX), preclinical stage biopharmaceutical company focused on developing pharmaceutical products for pain management, in its $40 million underwritten offering of common stock.
  • Represented Kintara Therapeutics, Inc. (Nasdaq: KTRA), formerly DelMar Pharmaceuticals, Inc., developer of novel cancer therapies for patients with unmet medical needs, in connection with a $25 million private placement of Series C Convertible Preferred Stock priced at-the-market.
  • Represented Sonnet BioTherapeutics Holdings, Inc. (NASDAQ: SONN), a biopharmaceutical company developing innovative targeted biologic drugs, in connection with a $30 million underwritten public offering of common stock and warrants.
  • Represented Dermata Therapeutics, Inc. (NASDAQ:DRMA), a clinical-stage medical dermatology company, in its $18 million initial public offering.
  • Represented H.C. Wainwright & Co. as exclusive placement agent in connection with a $25 million registered direct offering of Aridis Pharmaceuticals, Inc. (NASDAQ: ARDS), a biopharmaceutical company focused on the discovery and development of novel anti-infective therapies to treat life-threatening infections.
  • Represented AzurRx BioPharma, Inc. (NASDAQ: AZRX), a biopharmaceutical company specialized in the research and development of non-systemic biologics for gastrointestinal disorders, in connection with a $5.75 million underwritten public offering of shares of common stock.
  • Represented H.C. Wainwright & Co. LLC, as sole book-running manager, in a $8.05 million public offering of common stock of Brickell Biotech, Inc. (NASDAQ: BBI), a clinical-stage pharmaceutical company focused on developing innovative and differentiated prescription therapeutics for the treatment of debilitating skin diseases.
  • Represented Celldex Therapeutics, Inc. (NASDAQ: CLDX) in connection with its $287.5 million public offering of common stock.
• Q2 2021
  • Represented Oppenheimer & Co., as sales agent, in an at-the-market offering of common stock of Moleculin Biotech, Inc. (NASDAQ: MBRX), a clinical stage pharmaceutical company, for an aggregate sales price of up to $50 million.
  • Represented H.C. Wainwright & Co. as exclusive placement agent in a $50 million registered direct offering of common stock and warrants of Surgalign Holdings, Inc. (NASDAQ: SRGA), a global medical technology company focused on elevating the standard of care through the evolution of digital surgery.
  • Represented M28 Capital, Maverick Capital and Population Health as lead investors in a $100 million preferred stock financing for Fractyl Health, Inc.
  • Represented Reviva Pharmaceuticals Holdings, Inc., (NASDAQ: RVPH), a clinical-stage pharmaceutical company developing therapies that seek to address unmet medical needs in the areas of central nervous system (CNS), cardiovascular, metabolic, and inflammatory diseases, in a $34.5 million underwritten offering of common stock and warrants.
  • Represented Roth Capital Partners, as sole placement agent, in connection with a $7.9 million registered direct offering of common stock of Reed’s Inc. (NASDAQ: REED), owner of a portfolio of handcrafted, all-natural beverages.
  • Represented Oppenheimer & Co. Inc., as sole book-running manager, in a $23 million underwritten offering of common stock of Achieve Life Sciences, Inc. (NASDAQ:ACHV), a clinical-stage pharmaceutical company committed to the global development and commercialization of cytisinicline for smoking cessation and nicotine addiction.
  • Represented AzurRx BioPharma Inc. (NASDAQ: AZRX), a biopharmaceutical company specialized in the research and development of non-systemic biologics for gastrointestinal disorders, in their $50 million at-the-market offering of common stock. H.C. Wainwright & Co., LLC served as sales agent.
  • Represented H.C. Wainwright & Co., as sole book-running manager, in an $14,200,000 underwritten offering of common stock of Benitec Biopharma Inc. (NASDAQ: BNTC), a development-stage biotechnology company focused on the advancement of novel genetic medicines.
• Q1 2021
  • Represented Oppenheimer & Co., Inc. and William Blair and Company, L.L.C. as sales agents in connection with a $50 million At-the-Market offering of Brickell Biotech (NASDAQ: BBI), a clinical-stage pharmaceutical company focused on developing innovative and differentiated prescription therapeutics for the treatment of debilitating skin diseases.
  • Represented H.C. Wainwright & Co., as underwriter, in connection with a $22.5 million underwritten offering of common stock of Anixa Biosciences, Inc. (NASDAQ: ANIX), a biotechnology company focused on the treatment and prevention of cancer and infectious diseases.
  • Represented Edesa Biotech, Inc. (Nasdaq: EDSA), a clinical-stage biopharmaceutical company focused on inflammatory and immune-related diseases, in a $10 million underwritten public offering of common shares.
  • Represented AzurRx BioPharma, Inc. (NASDAQ: AZRX), a clinical stage biopharmaceutical company, in connection with its $10 million registered direct offering of common stock and warrants.
  • Represented SmartKem Limited, a pioneer in the development of organic thin film transistors, in a private placement of $24.8 million of common stock and pre-funded warrants.
  • Represented Zomedica Corp. (NYSE: ZOM), veterinary health company, in a $200 million underwritten offering of common shares.
  • Represented Tonix Pharmaceuticals Holding Corp. (Nasdaq: TNXP), a clinical-stage biopharmaceutical company focused on discovering and developing small molecules and biologics to treat and prevent disease and alleviate pain, in a $70 million At-the-Market-Offering.
  • Represented Virpax Pharmaceuticals, Inc. (NASDAQ:VRPX), a company specializing in developing pharmaceutical products for pain management, in its $18 million initial public offering of common stock.
  • Represented Aeterna Zentaris Inc. (NASDAQ: AEZS),  a specialty biopharmaceutical company commercializing and developing therapeutics and diagnostic tests, in connection with a $29.7 underwritten offering of common stock.
  • Represented H.C. Wainwright & Co., as exclusive placement agent, in connection with a $61 million registered direct offering of common stock of Caladrius Biosciences, Inc. (NASDAQ: CLBS), a clinical-stage biopharmaceutical company dedicated to the development of cellular therapies designed to reverse disease.
  • Represented Tribal Capital Markets, LLC, as sole placement agent, in connection with a $10.2 million PIPE for Processa Pharmaceuticals, Inc. (NASDAQ: PCSA), a clinical-stage biopharmaceutical company developing products to improve the survival and/or quality of life for patients who have unmet medical needs.
  • Represented Arch Therapeutics, Inc. (OTCQB: ARTH), a developer of novel self-assembling wound care and biosurgical devices, in connection with a $6.9 million private placement.
  • Represented Cancer Genetics, Inc. (NASDAQ: CGIX), a leader in drug discovery and preclinical oncology and immuno-oncology services, in a $17.5 million registered direct offering. H.C. Wainwright & Co. acted as the exclusive placement agent for the offering.
  • Represented H.C. Wainwright & Co., as sole book-running manager, in a $25 million firm commitment underwritten offering of common shares of ImmunoPrecise Antibodies Ltd. (NASDAQ: IPA) (TSXV: IPA), a leader in full-service, therapeutic antibody discovery and development.
  • Represented Sonnet BioTherapeutics Holdings, Inc. (NASDAQ: SONN), a biopharmaceutical company developing innovative targeted biologic drugs, in connection with a $15.8 million At-the-Market-Offering of common stock.
  • Represented Oppenheimer & Co. Inc., as sole book-running manager, and Roth Capital Partners, LLC, as co-manager, in connection with the $67.8 million underwritten public offering of common stock of Moleculin Biotech, Inc. (NASDAQ: MBRX), a clinical stage pharmaceutical company with a broad portfolio of drug candidates targeting highly resistant tumors and viruses.
  • Represented Cancer Genetics, Inc. (NASDAQ: CGIX), a leader in drug discovery and preclinical oncology and immuno-oncology services, in a $10 million private placement priced at-the-market.
  • Represented Auris Medical Holding Ltd (NASDAQ: EARS), a clinical-stage biopharmaceutical company, in an $8 million At-the-Market-Offering.
  • Represented Motus GI Holdings Inc. (NASDAQ:MOTS), a medical technology company providing endoscopy solutions that improve clinical outcomes and enhance the cost-efficiency associated with the diagnosis and management of gastrointestinal conditions, in a $11 million warrant exchange.
  • Represented an investor in connection with an aggregate $1.2 billion private placement of common stock by Social Capital Hedosophia Holdings Corp. V (IPOE), a special purpose acquisition company (SPAC), which financed a portion of the acquisition by the SPAC of Social Financial Inc., a leading financial services platform.
  • Represented BTIG, LLC, as sole book-running manager, in connection with a $42 million underwritten public offering of common stock of OncoSec Medical Incorporated (NASDAQ:ONCS), a late-stage biotechnology company.
  • Represented Tonix Pharmaceuticals Holding Corp. (Nasdaq: TNXP), a clinical-stage biopharmaceutical company focused on discovering and developing small molecules and biologics to treat pain, in a $40 million registered direct offering of 50,000,000 shares of its common stock. A.G.P./Alliance Global Partners acted as the sole placement agent for the offering.
  • Represented an investor in connection with an aggregate $400 million private placement of common stock by Social Capital Hedosophia Holdings Corp. III, a special purpose acquisition company (SPAC), which financed a portion of the acquisition by the SPAC of Clover Health Investments, Corp., an innovative technology company improving health outcomes for America’s seniors.
• Q4 2020
  • Represented an investor in connection with an aggregate $600 million private placement of common stock by Social Capital Hedosophia Holdings Corp. II, a special purpose acquisition company (SPAC), which financed a portion of the acquisition by the SPAC of Opendoor Labs Inc., a leading digital platform for residential real estate.
  • Represented H.C. Wainwright & Co., LLC, as lead agent, in a $50 million at-the-market offering of common shares of Mogo Inc. (TSX: MOGO; NASDAQ: MOGO), a financial technology company based in Vancouver, Canada.
  • Represented H.C. Wainwright & Co., LLC, as sole book-running manager, in connection with a $28.75 million underwritten public offering of common stock of Aytu BioScience, Inc. (NASDAQ: AYTU), a commercial-stage, specialty pharmaceutical company focused on commercializing novel products that address significant patient needs.
  • Represented Auris Medical Holding Ltd. (NASDAQ: EARS), a clinical-stage biopharmaceutical company, in connection with an $8 million registered direct offering. 
  • Represented Cancer Genetics, Inc. (NASDAQ: CGIX), a leader in drug discovery and preclinical oncology and immuno-oncology services, in connection with an at-the-market offering of shares of common stock.
  • Represented Special Situations Funds as lead investor in connection with an $8 million PIPE for Assure Holdings Corp. (OTC: ARHH), a provider of intraoperative neuromonitoring services.
  • Represented Roth Capital Partners, as sole book-running manager, in connection with a $12.1 million underwritten public offering of common stock of Reed’s Inc. (NASDAQ: REED), a producer of all-natural craft sodas and ginger candy.
  • Represented H.C. Wainwright & Co., as sole book-running manager, in connection with a $25 million underwritten public offering of common stock and warrants of Bellicum Pharmaceuticals, Inc. (NASDAQ: BLCM), a clinical-stage biopharmaceutical company striving to deliver cures through controllable cell therapies.
  • Represented Cancer Genetics (NASDAQ: CGIX), a leader in drug discovery and preclinical oncology and immuno-oncology services, in a $3.45 million underwritten public offering of common stock.
  • Represented Oppenheimer & Co. Inc. as sole book-running manager in connection with a $15 million underwritten public offering of common stock and warrants of Brickell Biotech, Inc. (NASDAQ: BBI), a clinical-stage pharmaceutical company focused on developing innovative and differentiated prescription therapeutics for the treatment of debilitating skin diseases.
  • Represented H.C. Wainwright & Co. as underwriter in connection with an $11.5 million offering of common stock and warrants of Benitec Biopharma Inc. (NASDAQ: BNTC), a development-stage biotechnology company focused on the advancement of novel genetic medicines.
• Q3 2020
  • Represented Roth Capital Partners as underwriter in connection with a $26.5 million underwritten public offering of common stock of Loop Industries Inc. (NASDAQ: LOOP), an innovator in sustainable plastics technology.
  • Served as special U.S. counsel to Voyager Digital Ltd, a crypto-asset broker, in connection with a C$5.745 million private placement of special warrants exercisable for units, comprised of one common share and one-half of one common share purchase warrant, and a concurrent non-brokered private placement of Units.
  • Represented Tonix Pharmaceuticals Holding Corp. (NASDAQ: TNXP), a clinical-stage biopharmaceutical company focused on discovering and developing pharmaceutical products to treat serious neuropsychiatric conditions and improving biodefense, in connection with an equity line transaction for up to $30 million in common stock with Lincoln Park Capital Fund, LLC.
  • Represented Motus GI Holdings, Inc. (NASDAQ: MOTS), a medical technology company providing endoscopy solutions that improve clinical outcomes and enhance the cost-efficiency associated with the diagnosis and management of gastrointestinal conditions, in a $10 million registered direct offering of common stock and warrants. 
  • Represented Kintara Therapeutics, Inc. (Nasdaq: KTRA), formerly DelMar Pharmaceuticals, Inc., developer of novel cancer therapies for patients with unmet medical needs, in connection with a $25 million private placement of Series C Convertible Preferred Stock priced at-the-market.
  • Represented Abingworth Bioventures V LP, an international investment group dedicated to collaborating with life sciences entrepreneurs, as the selling stockholder in a $17.6 million underwritten secondary offering of common stock of Personalis, Inc. (NASDAQ: PSNL), a Menlo Park-based cancer genomics company.
  • Represented Roth Capital Partners and National Securities Corporation as joint book-running managers in connection with a $12.4 million underwritten offering of common stock and concurrent uplisting to the Nasdaq Capital Market of Flux Power Holdings, Inc. (NASDAQ: FLUX), a developer of advanced lithium industrial batteries for commercial and industrial equipment.
  • Represented Corbus Pharmaceuticals Holdings, Inc. (NASDAQ: CRBP), a clinical-stage pharmaceutical company focused on the development and commercialization of novel therapeutics to treat rare, chronic, and serious inflammatory and fibrotic diseases, in connection with an at-the-market offering of shares of common stock for up to $150 million.
  • Represented Aeterna Zentaris Inc. (NASDAQ: AEZS) (TSX: AEZS), a specialty biopharmaceutical company commercializing and developing therapeutics and diagnostic tests, in connection with a $7 million registered direct offering of common stock and warrants.
  • Represented Tribal Capital Markets, LLC as sole placement agent in connection with a $10 million Series B financing for Gain Therapeutics, Inc., a biotechnology company focused on developing first-in-class medicines that target novel allosteric binding sites on enzymes for the treatment of rare genetic and CNS diseases.
  • Represented AzurRx Biopharma (NASDAQ: AZRX), a biopharmaceutical company specializing in the research and development of nonsystemic biologics for gastrointestinal disorders, in connection with a private placement of convertible preferred stock and warrants and exchange of, as consideration in the private placement, its outstanding convertible promissory notes, for a combined value of $22.1 million. Alexander Capital L.P. acted as sole placement agent for the Private Placement and financial advisor for the Exchange.
  • Represented Tonix Pharmaceuticals Holding Corp. (Nasdaq: TNXP), a clinical-stage biopharmaceutical company focused on discovering and developing small molecules and biologics to treat pain, addiction, and psychiatric conditions, in connection with a $10.5 million registered direct offering of common stock.
  • Represented Aeterna Zentaris Inc. (NASDAQ: AEZS) (TSX: AEZS), a specialty biopharmaceutical company commercializing and developing therapeutics and diagnostic tests, in connection with a $12 million public offering of common stock and warrants.
  • Represented Zomedica Pharmaceuticals Corp. (NYSE: ZOM), a veterinary diagnostic and pharmaceutical company, in connection with a $30 million public offering of common stock and warrants. 
  • Represented Matinas BioPharma Holdings, Inc. (NYSE:MTNB), a clinical stage biopharmaceutical company focused on development of its lead product candidate, MAT9001, for the treatment of cardiovascular and metabolic conditions, in connection with an at-the-market offering with an aggregate offering price of up to $50 million. 
• Q2 2020
  • Represented Celldex Therapeutics, Inc. (NASDAQ: CLDX), a biopharmaceutical company focused on the development and commercialization of immunotherapies and other targeted biologics, in a $75 million at-the-market offering of common stock.
  • Represented Celldex Therapeutics, Inc. (NASDAQ: CLDX), a biopharmaceutical company focused on the development and commercialization of immunotherapies and other targeted biologics, in connection with a $130.4 million public offering of common stock.
  • Represented Provention Bio, Inc. (Nasdaq: PRVB), a biopharmaceutical company dedicated to intercepting and preventing immune-mediated diseases, in connection with a $110 million underwritten public offering of common stock.
  • Represented H.C. Wainwright & Co., as exclusive lead placement agent, in connection with a $25 million public offering of common stock for Actinium Pharmaceuticals, Inc. (NYSE: ATNM), a clinical-stage biopharmaceutical company.
  • Represented Zomedica Pharmaceuticals Corp.(NYSE: ZOM), a veterinary diagnostic and pharmaceutical company, in a $20 million public offering of common stock and warrants.  H.C. Wainwright & Co. acted as exclusive placement agent for the offering.
  • Represented Oppenheimer & Co., as sole book-running manager, in connection with a $20 million underwritten offering of common stock and warrants for Brickell Biotech, Inc., (NASDAQ: BBI), a clinical-stage pharmaceutical company focused on developing innovative and differentiated prescription therapeutics for the treatment of debilitating skin diseases.
  • Served as local counsel to National Fuel Gas Company, a diversified energy company engaged principally in the production, gathering, transportation, distribution, and marketing of natural gas, in connection with a $172.6 million underwritten public offering and sale of common stock.
  • Served as local counsel to National Fuel Gas Company, a diversified energy company engaged principally in the production, gathering, transportation, distribution, and marketing of natural gas, in connection with a $500 million public offering and sale of Notes due 2026. 
  • Represented The Benchmark Company as sole-book-running manager in connection with a $5 million underwritten public offering of common stock of Hoth Therapeutics, Inc. (NASDAQ: HOTH).
  • Represented Zomedica Pharmaceuticals Corp. (NYSE: ZOM), a veterinary diagnostic and pharmaceutical company, in a $20 million public offering of common stock and warrants.
  • Represented Timber Pharmaceuticals LLC, a privately held biopharmaceutical company focused on the development and commercialization of treatments for orphan dermatologic diseases, in connection with a $25 million private placement of common stock and warrants.
  • Represented Corbus Pharmaceuticals Holdings, Inc., a clinical-stage drug development company pioneering transformative medicines that target the endocannabinoid system, in connection with an at-the-market offering of common stock of up to $75 million.
  • Represented Delcath Systems, Inc. (NASDAQ:DCTH), an interventional oncology company focused on the treatment of rare primary and metastatic cancers of the liver, in a $22 million underwritten public offering of shares and warrants and uplisting to the Nasdaq Capital Market. 
  • Represented Zomedica Pharmaceuticals Corp., (NYSE: ZOM), a veterinary diagnostic and pharmaceutical company, in connection with a $4 million public offering of common shares and warrants.
  • Represented an investor in connection with a note repurchase by R.R. Donnelley & Sons Company (NYSE: RRD) of approximately $26.6 million in Senior Notes.
  • Represented an investor in connection with the private exchange of approximately $277 million aggregate principal amount of outstanding indebtedness for approximately $297 million aggregate principal amount of newly issued unsecured Senior Notes of R.R. Donnelley & Sons Company (NYSE: RRD), a global provider of multichannel business communications services and marketing solutions.
  • Represented Zomedica Pharmaceuticals Corp., (NYSE: ZOM), a veterinary diagnostic and pharmaceutical company, in connection with a public offering of common shares and warrants.
  • Represented Oppenheimer & Co. Inc. as sales agent in connection with an at-the-market offering of common stock of Brickell Biotech, Inc. (NASDAQ: BBI), a clinical-stage pharmaceutical company focused on developing innovative and differentiated prescription therapeutics for the treatment of debilitating skin diseases.
  • Represented H.C. Wainwright & Co. as the sole book-running manager in connection with the $31.6 million underwritten public offering of common stock of Actinium Pharmaceuticals, Inc. (NYSE: ATNM), a clinical-stage biopharmaceutical company developing Antibody Radiation-Conjugates.
  • Represented Roth Capital Partners, LLC as underwriter in connection with an underwritten offering of common stock of Reed’s Inc. (NASDAQ: REED), a producer of all-natural craft sodas and ginger candy.
  • Represented Tonix Pharmaceuticals Holding Corp. (NASDQ: TNXP), a clinical-stage biopharmaceutical company focused on discovering and developing small molecules and biologics to treat pain, addiction and psychiatric conditions, in connection with an at-the-market offering of up to $50 million.
  • Represented Sonnet BioTherapeutics, Inc., a privately-held clinical stage biopharmaceutical company developing innovative targeted biologic drugs, in connection with its merger with Chanticleer Holdings, Inc. to form a company operating under the name Sonnet BioTherapeutics Holdings, Inc., with its shares trading on the Nasdaq Capital Market under the ticker symbol “SONN” and in connection with a private placement and the acquisition of the global development rights for Atexakin Alfa from Relief Therapeutics SA. 
• Q1 2020
  • Represented National Securities Corporation as underwriter in connection with a $21 million underwritten public offering of common shares of Oramed Pharmaceuticals Inc. (Nasdaq: ORMP), a clinical-stage pharmaceutical company focused on the development of oral drug delivery systems.
  • Represented H.C. Wainwright & Co. in connection with an underwritten public offering of shares of common stock and warrants to purchase common stock of Novan, Inc., clinical development-stage biotechnology company focused on leveraging nitric oxide’s naturally occurring anti-microbial and immunomodulatory mechanisms of action to treat a range of diseases with significant unmet needs.
  • Represented H.C. Wainwright & Co. as placement agent in connection with a registered direct offering of common stock of Novan, Inc., a clinical development-stage biotechnology.
  • Represented Helius Medical Technologies, Inc., neurotech company focused on neurological wellness, in connection with registered direct offering of common stock and warrants. H.C. Wainwright & Co. acted as the exclusive placement agent for the offering.
  • Represented Laidlaw & Company (UK) Ltd. as underwriter in connection with a best efforts public offering of common stock of Hoth Therapeutics, Inc., a clinical-stage biopharmaceutical company focused on developing new generation therapies for dermatological disorders.
  • Represented Special Situations Funds as lead investor in connection with a registered direct offering of common stock for Eton Pharmaceuticals, Inc. (NASDAQ: ETON), a specialty pharmaceutical company that focuses on developing and commercializing pharmaceutical products. 
  • Represented Oppenheimer & Co. Inc. as sole underwriter in an underwritten public offering of $26.5 million of common stock for Catabasis Pharmaceuticals, Inc. (Nasdaq: CATB), a clinical-stage biopharmaceutical company.
  • Represented Oppenheimer & Co. Inc. as placement agent in a registered direct offering of shares and warrants for Moleculin Biotech, Inc., a clinical stage pharmaceutical company focused on the development of a broad portfolio of oncology drug candidates for the treatment of highly resistant tumors. 
  • Represented Corbus Pharmaceuticals Holdings, Inc., a clinical-stage pharmaceutical company focused on the development and commercialization of novel therapeutics to treat rare, chronic and serious inflammatory and fibrotic diseases, in connection with a $46 million underwritten public offering of common stock.
  • Represented Tonix Pharmaceuticals Holding Corp. (Nasdaq: TNXP),  a clinical-stage biopharmaceutical company focused on discovering and developing small molecules and biologics to treat pain, addiction and psychiatric conditions, in an underwritten public offering of Class A Units comprised of common stock and warrants and Class B Units comprised of Series B Preferred Stock and warrants.
  • Represented Roth Capital Partners as sole book-running manager in an underwritten public offering of common stock and warrants of Myomo, Inc. (NYSE: MYO), a wearable medical robotics company that offers expanded mobility for those suffering from neurological disorders and upper limb paralysis.
  • Represented Zomedica Pharmaceuticals Corp. (NYSE: ZOM), a veterinary diagnostic and pharmaceutical company, in a registered direct offering of common stock and warrants.
  • Represented Laidlaw & Company (UK) Ltd. as underwriter in connection with an underwritten public offering of common shares of BioSig Technologies, Inc., a medical technology company commercializing a proprietary biomedical signal processing platform designed to improve the electrophysiology (EP) marketplace.
  • Represented Tonix Pharmaceuticals Holding Corp. (Nasdaq: TNXP), a clinical-stage biopharmaceutical company focused on discovering and developing pharmaceutical products to treat serious neuropsychiatric conditions and improving biodefense, in connection with a $16 million registered direct offering of common stock. 
  • Represented Matinas BioPharma Holdings, Inc. (NYSE:MTNB) in connection with a clinical stage biopharmaceutical company focused on development of its lead product candidate, MAT9001, for the treatment of cardiovascular and metabolic conditions, in connection with an approximately $50 million public offering of common stock.
  • Represented H.C. Wainwright & Co. as exclusive placement agent in a registered direct offering priced at-the-market of common stock, pre-funded warrants and common stock warrants of Tetraphase Pharmaceuticals, Inc. (Nasdaq: TTPH).
  • Represented H.C. Wainwright & Co. as exclusive placement agent in a private placement priced at-the-market of common stock, pre-funded warrants and common stock warrants of Tetraphase Pharmaceuticals, Inc. (Nasdaq: TTPH)

About the Capital Markets & Securities Practice

Private and public capital markets transactions can play a vital role in funding a company's growth strategy and provide a significant competitive advantage. Accessing the capital markets demands sophisticated legal advisors who are attuned to regulatory and financial markets trends–and who can efficiently negotiate and close the deal.

Our Capital Markets & Securities group works primarily with issuers and underwriters on the full spectrum of offerings, including:

• Initial public offerings (IPOs)
• Follow-on offerings
• Confidentially marketed public offerings (CMPOs)
• Registered directs (RDs)
• Private investments in public equity (PIPE) transactions
• At-the-market offerings (ATMs)
• Convertible equity and debt offerings
• Other financing strategies

Our partners and other senior practitioners are extensively involved in deals from beginning to end, offering a level of engagement that many other firms do not provide.

The group works closely with clients across a broad range of industries and across various stages in their life cycles as emerging growth and public companies. Major investment banks that underwrite offerings appreciate working with our lawyers, who collectively have closed hundreds of deals and are quickly able to identify and address disruptive factors to smooth the path forward. Issuers, especially those launching their IPOs, appreciate how our team provides both legal insight and business-savvy guidance through this complex process. The group's ongoing dialogues with the SEC, Nasdaq, and NYSE American help facilitate solutions if problems arise.

Many of our capital markets lawyers contribute to clients' strategic success through the firm's Transactions & Advisory Group. This collaborative unit offers clients an integrated legal solution for executing transactions and managing the related corporate governance and compliance issues.