| Company |
Amount |
SSRP Role |
Type |
Date |
| Immunocellular Therapeutics Ltd. (OTCBB: IMUC) |
$10.4 Million Common Shares |
Co- Managers |
Public Offering |
Jan-12 |
| Ampio Pharmaceuticals (NASDAQ: AMPE) |
$9.4 Million Common Shares |
Co- Managers |
Public Offering |
Dec-11 |
| Sunshine Heart (ASX: SHC)
|
A$5 Million Common Shares
|
Sole U.S. Placement Agent |
Private Placement |
Jul-11 |
| Protea Biosciences, Inc.
|
$2.7 Million Common Shares |
Sole U.S. Placement Agent |
Private Placement |
Jul-11 |
| Wafergen (NASDAQ: WGBS) |
$30.6 Million Equity & Debt |
Co- Managers |
Private Placement |
May-11 |
| NPS Pharmaceuticals (NASDAQ: NPSP) |
$114 Million Common Shares |
Co- Managers |
Public Offering |
Apr-11 |
| Immunocellular Therapeutics Ltd. (OTCBB: IMUC) |
$8.1 Million Common Shares |
Lead Placement Agent |
Private Placement |
Feb-11 |
| Titan Pharmaceuticals (CVE:TMD) |
$8.25 Million Common Shares |
Co- U.S. Placement Agent |
Private Placement |
Dec-10 |
| Avanir Pharmaceuticals (NASDAQ: AVNR) |
$88 Million Common Shares |
Co- Managers |
Public Offering |
Nov-10 |
| Sunshine Heart (ASX: SHC) |
A$13.2 Million Common Shares |
Sole U.S. Placement Agent |
Private Placement |
Oct-10 |
| Novadaq Technologies (TSX: NDQ) |
$7.1 Million Common Shares |
Sole U.S. Placement Agent |
Private Placement |
Feb-10 |
| Undisclosed NASDAQ Biopharma Company |
$3.0 Million Restricted Shares |
Sole Placement Agent |
Private Placement |
Nov-09 |
| Stereotaxis Inc. (NASDAQ: STXS) |
$26 Million Common Shares |
Co – Managers |
Public Offering |
Oct-09 |
| Unilife Medical Solutions Ltd. (NASDAQ: UNIS) |
A$32.1 Million Ordinary Shares |
Sole U.S. Placement Agent |
Private Placement |
Oct-09 |
| Undisclosed NASDAQ Biopharma Company |
$2.4 Million Restricted Shares |
Sole Placement Agent |
Private Placement |
Sep-09 |
| HeartWare Limited (NASDAQ: HTWR) |
$60 Million Ordinary Shares |
Co-U.S. Placement Agent |
Private Placement |
Aug-09 |
| Lombard Medical Technologies (LON: LMT) |
£6.4 Million Ordinary Shares |
Sole U.S. Placement Agent |
Private Placement |
Jan-09 |
| Lombard Medical Technologies (LON: LMT) |
£1.6 Million Convertible Loan Notes |
Sole U.S. Placement Agent |
Private Placement |
Sep-08 |
| HeartWare Limited (NASDAQ: HTWR) |
A$31 Million Ordinary Shares |
Co-U.S. Placement Agent |
Private Placement |
Jul-08 |
| HeartWare Limited (NASDAQ: HTWR) |
A$36 Million Ordinary Shares |
Sole U.S. and Co-European Placement Agent |
Private Placement |
Jul-07 |
