Transactions

Helping to create prosperity from ambition.

September 2020

SPI Energy Co., Ltd.

Nasdaq: SPI

$16,005,600

Registered Direct

Exclusive Placement Agent

August 2020

Ontrak

Nasdaq: OTRK

$42,500,000

Preferred / Senior Notes

Co-Manager

July 2020

NanoViricides

AMEX: NNVC

$11,500,000

Follow-On Offering

Sole Bookrunner

July 2020

Monaker Group

Nasdaq: MKGI

$2,000,000

Registered Direct

Exclusive Placement Agent

July 2020

Nemaura Medical Inc.

Nasdaq: NMRD

$11,500,000

Underwritten Public Offering

Exclusive Placement Agent

July 2020

NanoViricides

AMEX: NNVC

$50,000,000

ATM Offering

Sales Agent

May 2020

NanoViricides

AMEX: NNVC

$10,220,000

Registered Direct

Placement Agent

Disclaimer

All investment banking transactions prior to 2025 were executed at a previous broker-dealer, and represent previous deal experience by current individuals currently associated with E.F. Hutton & Co.

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