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Transactions

Helping to create prosperity from ambition.

December 2020

SPI Energy Co., Ltd.

Nasdaq: SPI

$35,019,900

Registered Direct

Placement Agent*

PRESS RELEASE

December 2020

AMMO Inc.

Nasdaq: POWW

$20,682,749

Uplisting

Joint Bookrunner*

PRESS RELEASE

December 2020

CEL-SCI Corporation

NYSE: CVM

$14,650,000

Bought Underwritten Public Offering

Joint Bookrunner*

PRESS RELEASE

December 2020

Ontrak, Inc.

Nasdaq: OTRK

$42,817,500

Follow-On Offering

Co-Manager*

PRESS RELEASE

December 2020

GreenBox POS

OTCQB: GRBX

$3,200,000

Private Placement

Exclusive Placement Agent*

PRESS RELEASE

December 2020

Monaker Group

Nasdaq: MKGI

$8,855,000

Bought Underwritten Public Offering

Joint Bookrunner*

PRESS RELEASE

November 2020

Kingswood Acquisition Corp.

NYSE: KWAC

$115,000,000

SPAC IPO

Issuer*

PRESS RELEASE

November 2020

U.S. Energy Corp.

Nasdaq: USEG

$3,450,000

Follow-On Offering

Sole Bookrunner*

PRESS RELEASE

November 2020

Taronis Fuels, Inc.

OTCQB: TRNF

$10,425,000

Private Placement

Exclusive Placement Agent*

PRESS RELEASE

November 2020

Dragon Victory International Limited

Nasdaq: LYL

$1,500,000

Private Placement

Exclusive Placement Agent*

PRESS RELEASE

October 2020

Presidio Property Trust

Nasdaq: SQFT

$2,500,000

Initial Public Offering

Sole Bookrunner*

PRESS RELEASE

October 2020

American Resources Corp.

Nasdaq: AREC

$13,000,000

Registered Direct

Exclusive Placement Agent*

PRESS RELEASE
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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