Transactions

August 14, 2012
Neuralstem, Inc.

Neuralstem, Inc.

$2.8 Million

Secondary/Follow-On Sole Book-Runner
August 2, 2012
Rosetta Genomics Ltd.

Rosetta Genomics Ltd.

$31.6 Million

Secondary/Follow-On Sole Book-Runner
July 12, 2012
Ampio Pharmaceutcials, Inc.

Ampio Pharmaceutcials, Inc.

$17.8 Million

Secondary/Follow-On Sole Book-Runner
July 11, 2012
New York Mortgage Trust, Inc.

New York Mortgage Trust, Inc.

$30.2 Million

Secondary/Follow-On Co-Manager
June 19, 2012
AspenBio Pharmaceuticals, Inc.

AspenBio Pharmaceuticals, Inc.

$12.2 Million

Secondary/Follow-On Sole Book-Runner
May 29, 2012
Trovagene, Inc.

Trovagene, Inc.

$10.6 Million

Secondary/Follow-On Sole Book-Runner
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

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