Transactions

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
January 31, 2012
ChromaDex Corporation

ChromaDex Corporation

$11.2 Million

Registered Direct Sole Book-Runner
December 1, 2011
Synergy Pharmaceuticals, Inc.

Synergy Pharmaceuticals, Inc.

$17.3 Million

Follow-on Direct Sole Book-Runner
December 1, 2011
New York Mortgage Trust, Inc.

New York Mortgage Trust, Inc.

$16.6 Million

Follow-on Direct Co-Manager
November 8, 2011
Selway Capital Acquisition Corp.

Selway Capital Acquisition Corp.

$20 Million

IPO Sole Book-Runner
October 28, 2011
American Realty Capital Properties, Inc.

American Realty Capital Properties, Inc.

$15.8 Million

Secondary/Follow-On Co-Manager
July 15, 2011
TowerStream Corporation

TowerStream Corporation

$41.4 Million

Secondary/Follow-On Joint Book-Runner
May 26, 2011

China Growth Equity Investment Ltd.

$50 Million

IPO Co-Manager
May 24, 2011
IZEA Holdings Inc.

IZEA Holdings Inc.

$3.3 Million

Private Placement Placement Agent
May 19, 2011
NetSol Technologies, Inc.

NetSol Technologies, Inc.

M&A Advisor
May 9, 2011
Universal Business Payment Solutions Acquisition Corporation

Universal Business Payment Solutions Acquisition Corporation

$72 Million

IPO

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