Transactions

May 25, 2012
New York Mortgage Trust, Inc.

New York Mortgage Trust, Inc.

$18.3 Million

Secondary/Follow-On Co-Manager
May 24, 2012
Rosetta Genomics Ltd.

Rosetta Genomics Ltd.

$6.6 Million

Registered Direct Sole Book-Runner
May 16, 2012
Rosetta Genomics Ltd.

Rosetta Genomics Ltd.

$2.2 Million

Registered Direct Sole Book-Runner
May 15, 2012
IZEA Inc.

IZEA Inc.

$1.4 Million

Private Placement Placement Agent
May 4, 2012
Synergy Pharmaceuticals

Synergy Pharmaceuticals

$51.8 Million

Secondary/Follow-On Sole Book-Runner
April 19, 2012
Firsthand Technology Value Fund

Firsthand Technology Value Fund

$118.8 Million

Secondary/Follow-On Co-Manager
April 12, 2012
Rosetta Genomics Ltd.

Rosetta Genomics Ltd.

$3.1 Million

Registered Direct Sole Book-Runner
April 4, 2012
TCP Capital Corp.

TCP Capital Corp.

$84.8 Million

IPO Co-Manager
March 28, 2012

Garza County Public Facility Corporation

$35.9 Million

New Issue
March 23, 2012
Galectin Therapeutics, Inc.

Galectin Therapeutics, Inc.

$12 Million

Secondary/Follow-On Sole Book-Runner
March 22, 2012
Arlington Asset Investment Corp.

Arlington Asset Investment Corp.

$41.9 Million

Secondary/Follow-On Co-Manager
March 21, 2012

BGS Acquisition Corp.

$40 Million

IPO Co-Manager
March 1, 2012
NetSol Technologies, Inc.

NetSol Technologies, Inc.

$6.7 Million

Secondary/Follow-On Sole Book-Runner
February 16, 2012
InVivo Therapeutics Holdings, Inc.

InVivo Therapeutics Holdings, Inc.

$20 Million

Secondary/Follow-On Joint Book-Runner
February 10, 2012
GSV Capital Corp.

GSV Capital Corp.

$90 Million

Secondary/Follow-On Co-Manager
February 9, 2012
Comstock Mining

Comstock Mining

$17.3 Million

Secondary/Follow-On Joint Book-Runner

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