Transactions

Helping to create prosperity from ambition.

January 2021

FoxWayne Enterprises Acquisition Corp.

Nasdaq: FOXWU

$57,500,000

SPAC IPO

Sole Bookrunner*

January 2021

Dragon Victory International Limited

Nasdaq: LYL

$2,000,000

Private Placement

Exclusive Placement Agent*

January 2021

B. Riley Financial, Inc.

Nasdaq: RILY

$230,000,000

Senior Notes

Co-Manager*

January 2021

COMSovereign Holding Corp.

Nasdaq: COMS

$17,365,435

Uplisting
and Underwritten Public Offering

Sole Bookrunner*

January 2021

Digital Ally Inc.

Nasdaq: DGLY

$40,040,000

Registered Direct

Exclusive Placement Agent*

December 2020

SPI Energy Co., Ltd.

Nasdaq: SPI

$35,019,900

Registered Direct

Placement Agent*

December 2020

AMMO Inc.

Nasdaq: POWW

$20,682,749

Uplisting

Joint Bookrunner*

December 2020

CEL-SCI Corporation

NYSE: CVM

$14,650,000

Bought Underwritten Public Offering

Joint Bookrunner*

December 2020

Ontrak, Inc.

Nasdaq: OTRK

$42,817,500

Follow-On Offering

Co-Manager*

December 2020

GreenBox POS

OTCQB: GRBX

$3,200,000

Private Placement

Exclusive Placement Agent*

December 2020

Monaker Group

Nasdaq: MKGI

$8,855,000

Bought Underwritten Public Offering

Joint Bookrunner*

November 2020

Kingswood Acquisition Corp.

NYSE: KWAC

$115,000,000

SPAC IPO

Issuer*

Disclosure

* All securities offered through a broker-dealer affiliated with the principals of E.F. Hutton & Co. LLC. All such deals were conducted through EF Hutton LLC (CRD# 103792, 2020-2024). E.F. Hutton & Co. LLC had no involvement in the transactions from 2020-2024.

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