Transactions

April 11, 2013
Selway Capital Acquisition Corp. merger with Healthcare Corp of America $60,000,000

Selway Capital Acquisition Corp. merger with Healthcare Corp of America $60,000,000

$6.2 Million

Block Trade
April 4, 2013
Cancer Genetics, Inc.

Cancer Genetics, Inc.

$6.9 Million

IPO Sole Book-Runner
March 22, 2013
Rosetta Genomics Ltd.

Rosetta Genomics Ltd.

$5.9 Million

Advisor Placement Agent
March 21, 2013
Five Oaks Investment Corp.

Five Oaks Investment Corp.

$60.5 Million

IPO Co-Manager
March 7, 2013
Hercules Technology Growth Capital

Hercules Technology Growth Capital

$98.8 Million

Secondary/Follow-On Co-Manager
March 6, 2013
Oculus Innovative Sciences, Inc.

Oculus Innovative Sciences, Inc.

$3.5 Million

Secondary/Follow-On Sole Book-Runner
March 5, 2013
Professional Diversity Network, Inc.

Professional Diversity Network, Inc.

$21 Million

IPO Sole Book-Runner
February 7, 2013
Imprimis Pharmaceuticals, Inc.

Imprimis Pharmaceuticals, Inc.

$11.1 Million

Secondary/Follow-On Co-Manager
January 31, 2013
Echo Therapeutics, Inc.

Echo Therapeutics, Inc.

$11.8 Million

Secondary/Follow-On Sole Book-Runner
January 29, 2013
Stemline Therapeutics, Inc.

Stemline Therapeutics, Inc.

$38.2 Million

IPO Sole Book-Runner
January 1, 2013
Chalkable, Inc.

Chalkable, Inc.

$3 Million

Debt Capital
December 21, 2012
Kips Bay Medical, Inc.

Kips Bay Medical, Inc.

$6.5 Million

Secondary/Follow-On Joint Book-Runner
December 20, 2012
Echo Therapeutics, Inc.

Echo Therapeutics, Inc.

$3.5 Million

Secondary/Follow-On Sole Book-Runner
December 19, 2012
Timberline Resources Corp.

Timberline Resources Corp.

$2.2 Million

Secondary/Follow-On Sole Book-Runner
December 7, 2012
Superconductor Technologies Inc.

Superconductor Technologies Inc.

$3.2 Million

Secondary/Follow-On Sole Book-Runner
December 7, 2012
Northwest Biotherapeutics, Inc.

Northwest Biotherapeutics, Inc.

$13.8 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.