Transactions

August 4, 2021

B. Riley Financial, Inc.
(Nasdaq: RILY)

$316,250,000

Senior Notes

Lead Manager

August 1, 2021

IDW Media Holdings, Inc.
(NYSE: IDW)

$10,350,000

Underwritten Public Offering
and Uplisting

Sole Bookrunner

July 1, 2021

HCW Biologics, Inc.
(Nasdaq: HCWB)

$56,000,000

Initial Public Offering

Sole Bookrunner

Unicycive Therapeutics Inc.
(Nasdaq: UNCY)

Initial Public Offering
Lead Manager

July 30, 2021

TradeUP Acquisition Corp.
(Nasdaq: UPTDU)

$44,300,000

SPAC IPO
Joint Bookrunner

Golden Matrix Group Inc.
(OTCPK: GMGI)

$10,000,000

Underwritten Public Offering
Sole Bookrunner

July 14, 2021

Applied UV, Inc.
(Nasdaq: AUVI)

$13,800,000

Preferred Stock Offering

Joint Bookrunner

July 15, 2021

AgriFORCE Growing Systems, Ltd.
(Nasdaq: AGRI)

$15,639,994

Initial Public Offering

Sole Bookrunner

July 8, 2021

Protagenic Therapeutics, Inc.
(Nasdaq: PTIX)

$10,000,000

ATM Offering

Sales Agent

June 18, 2021

Sonim Technologies, Inc.
(Nasdaq: SONM)

$10,000,000

ATM Offering
Sales Agent

June 16, 2021

The Glimpse Group, Inc.
(Nasdaq: VRAR)

$14,087,500

Initial Public Offering
Sole Bookrunner

June 15, 2021

Synchronoss Technologies, Inc.
(Nasdaq: SNCR)

$125,000,000

Senior Notes

Lead Manager