Transactions

November 13, 2013
xG Technologies, Inc.

xG Technologies, Inc.

$10 Million

Secondary/Follow-On Joint Book-Runner
October 30, 2013
InterCloud Systems, Inc.

InterCloud Systems, Inc.

$5.8 Million

Secondary/Follow-On Joint Book-Runner
October 28, 2013

Quartet Merger Corp.

$96.6 Million

IPO Co-Manager
October 24, 2013
Sorrento Therapeutics, Inc.

Sorrento Therapeutics, Inc.

$34.6 Million

Secondary/Follow-On Sole Book-Runner
October 24, 2013
Alcobra Ltd.

Alcobra Ltd.

$38 Million

Secondary/Follow-On Joint Book-Runner
October 22, 2013
Cancer Genetics, Inc.

Cancer Genetics, Inc.

$46 Million

Secondary/Follow-On Sole Book-Runner
October 16, 2013
Advaxis, Inc.

Advaxis, Inc.

$26.5 Million

Secondary/Follow-On Sole Book-Runner
October 8, 2013
CytRx Corporation

CytRx Corporation

$25.9 Million

Secondary/Follow-On Sole Book-Runner
October 3, 2013
Caladrius Biosciences, Inc. (fka NeoStem)

Caladrius Biosciences, Inc. (fka NeoStem)

$40.3 Million

Secondary/Follow-On Sole Book-Runner
September 25, 2013
Evoke Pharma, Inc.

Evoke Pharma, Inc.

$29 Million

IPO Sole Book-Runner
September 4, 2013
Timberline Resources Corp.

Timberline Resources Corp.

$2.2 Million

Secondary/Follow-On Sole Book-Runner
August 13, 2013
Aastrom Biosciences, Inc.

Aastrom Biosciences, Inc.

$9 Million

Secondary/Follow-On Sole Book-Runner
August 13, 2013
Cancer Genetics, Inc.

Cancer Genetics, Inc.

$16.1 Million

Secondary/Follow-On Sole Book-Runner
August 12, 2013
Matinas Biopharma

Matinas Biopharma

$15 Million

Private Placement
August 7, 2013
Opexa Therapeutics, Inc.

Opexa Therapeutics, Inc.

$19.4 Million

Secondary/Follow-On Sole Book-Runner
July 30, 2013
Vuzix Corporation

Vuzix Corporation

$8.1 Million

Secondary/Follow-On Sole Book-Runner

Note: Transactions occurring before April 1, 2018 executed prior to joining ThinkEquity, a Division of Fordham Financial Management., Inc.