Transactions

Helping to create prosperity from ambition.

September 2020

BioVie Inc.

Nasdaq: BIVI

$17,999,800

Uplisting

Joint Bookrunner*

September 2020

U.S. Energy Corp.

Nasdaq: USEG

$1,658,003

Registered Direct

Exclusive Placement Agent*

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*

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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