B. Riley FBR Northland Securities, Inc., Craig Hallum Capital Group and Dougherty & Company LLC. as underwriters’ counsel for the $36.4 million public offering of Iteris, Inc., a provider of essential applied informatics that enable smart transportation and digital agriculture.
A.G.P./Alliance Global Partners as:
- Exclusive placement agent in a $25 million registered direct offering and a $20 million registered direct offering of common shares and warrants by HEXO Corp, a consumer packaged cannabis-based products company.
- Underwriters’ counsel in the $20 million PIPE offering and $15 million private placement offering of senior secured convertible notes for LiveWell Canada Inc., a Canadian CBD company listed on the Canadian Stock Exchange and entering the U.S. markets.
- Lead placement agent in a $7.5 million private placement of Class B Subordinate Voting Shares and warrants of FSD Pharma Inc., a Canadian cannabis biotech research and pharmaceutical company.
Wrightspeed, Inc., a designer of range-extended electric vehicle powertrains, in connection with the sale of $20 million of preferred stock and convertible notes.
Monster Digital, Inc. in connection with corporate reorganization with Innovate Biopharmaceuticals, Inc. and concurrent $60 million PIPE.
Impac Mortgage Holdings, Inc., a leading residential mortgage lender, in connection with its IPO and subsequent follow-on offerings for Impac and its affiliated entities totaling over $525 million.
Skechers USA, Inc., a global footwear designer and distributor, in connection with its IPO and convertible debt transaction totaling over $160 million.
Deem, Inc., a leading cloud commerce company providing commerce-as-a-service (CaaS) solutions, in connection with the sale of preferred stock totaling over $125 million.
Helio, Inc., a $500 million mobile phone joint venture between Earthlink, a leading internet provider, and SK Telecom, the largest South Korean wireless telecommunications operator, in connection with capital raising and strategic and transactional matters.
Tandon Digital, Inc., a developer and distributor of memory products under the Monster brand name, in connection with its sale of common stock and convertible notes totaling over $10 million.
China-based China New Borun Corporation, a producer and distributor of corn-based edible alcohol, in connection with its $40 million IPO.
Roth Capital Partners, LLC, as underwriter’s counsel in connection with the $10 million follow-on stock offering for Active Power, Inc., a developer of flywheel-based uninterruptible power supply products and modular infrastructure solutions, and a $21 million follow-on stock offering for HQ Sustainable Maritime, Inc., an aquaculture product processing firm.
JMP Securities and Jeffries & Company as underwriter’s counsel in connection with the $85 million follow-on offering for United PanAm Financial Corp., an originator of automobile financing.
China-based Fuqi International, Inc., a leading designer and distributor of precious metal jewelry in China, in connection with its $63 million IPO and $100 million follow-on offering.
Bam Entertainment, Inc., a video game designer and distributor, in connection with its $45 million IPO.
China-based NIVS IntelliMedia Technology Inc., a consumer electronics products manufacturer and distributor, in connection with its $23 million IPO.
China-based ZST Digital Networks, Inc., a satellite company, in connection with its $25 million IPO.
China-based China Elector Motor, Inc., a developer and manufacturer of electronic motors, in connection with its $25 million IPO.
Imperial Credit Industries, Inc., a diversified financial institutional lender, in connection with its IPO and subsequent follow-on offerings of equity and debt for ICI and its affiliated entities totaling over $1 billion.
Internet Connect, Inc., a DSL provider, in connection with the sale of over $100 million of preferred stock.
Advest, Inc., as underwriters counsel in connection with the $20 million IPO of Anworth Mortgage Asset Corp., a mortgage REIT.
Joseph Charles & Associates as underwriter’s counsel in connection with the $10 million IPO of Jakks Pacific, Inc., a leading toy manufacturer.
Colorep, Inc., a developer of sustainable subsurface printing and dyeing technology, in connection with the sale of over $40 million of capital stock.
Stila Cosmetics, Inc., a leading cosmetic company, in connection with its sale to Estee Lauder.
BNC Mortgage, a mortgage originator, in connection with its $30 million IPO and sale to Lehman Brothers.
WCT Communications, Inc., a telecommunications provider, in connection with its $20 million IPO and sale to Frontier Corporation.