Cases
Representative Matters: Represented B. Riley Securities Inc.
Citigroup Global Markets Inc. as underwriters in a headline-making at-the-market transaction involving AMC Entertainment Holdings Inc. in which nearly $40 billion worth of AMC shares changed h
s on Wall Street.
Represented SVB Leerink LLC, acting as sales agent in a $100 million at the market equity offering of common stock for Cassava Sciences, Inc. (Nasdaq: SAVA), a clinical-stage biotechnology company which works to develop novel solutions for Alzheimer's disease
other neurodegenerative diseases.
Represented Roth Capital Partners, LLC, acting as sales agent in a $50 million at the market equity offering of common stock for Ampio Pharmaceuticals, Inc. (NYSEAmerican: AMPE), a development stage pharmaceutical company attempting to develop a treatment for prevalent inflammatory conditions for which there are limited treatment options.
Represented Jefferies LLC, Cantor Fitzgerald & Co.
B. Riley FBR, Inc., acting as sales agents in a $200 million at the market equity offering of common stock of TG Therapeutics, Inc. (Nasdaq: TGTX)
TG Therapeutics works to develop therapies for patients with various B-cell mediated diseases including Chronic Lymphocytic Leukemia, non-Hodgkins Lymphoma
Multiple Sclerosis.
Represented B. Riley FBR, Inc., acting as sales agent in a $115 million at the market offering of 6.375% Senior Notes due 2025 for B. Riley Financial, Inc. (Nasdaq: RILY), a collaborative financial services
solutions provider.
Represented B. Riley FBR, Inc., acting as sales agent in a $150 million at the market equity offering of common stock for Novavax, Inc. (Nasdaq: NVAX), a late stage biotechnology company focused on the discovery, development
commercialization of vaccines to prevent serious infectious diseases, including a potential COVID-related vaccine.
Represented B. Riley FBR, Inc., acting as sales agent in a $35 million at the market equity offering of American Depository Shares for Sequans Communications S.A. (NYSE: SQNS)
Sequans designs, develops
supplies 4G LTE
5G semiconductor solutions for wireless mobile broadb
applications, with a specific focus on the single-mode device market. This groundbreaking transaction as it was the first ever at the market offering for a French company.
Represented B. Riley FBR, Inc., acting as sales agent in a $4.6 million at the market equity offering of common stock for Hepion Pharmaceuticals, Inc. (NYSE American: HEPA), a developer of targeted therapies for liver disease arising from chronic hepatitis, non-alcoholic steatohepatitis, fibrosis,
liver cancer.
Represented The Benchmark Company LLC, acting as underwriter in a $12.5 million offering of preferred stock for Fortress Biotech, Inc. (Nasdaq: FBIOP), a developer of pharmaceutical
biotechnology products
product c
idates.
Represented JMP Securities LLC, acting as sales agent in a $25 million at the market equity offering of common stock for iCAD, Inc. (Nasdaq: ICAD), a global medical technology company that provides innovative cancer detection
therapy solutions.
Represented JMP Securities LLC, acting as sales agent in an $18.9 million at the market equity offering of common stock for Altimmune, Inc. (Nasdaq: ALT), a clinical-stage biopharmaceutical company which develops treatments for liver disease
immune modulating therapies.
Represented Cowen
Company, LLC, acting as sales agent in a $50 million at the market ( ATM ) offering of common stock for Allena Pharmaceuticals, Inc. (Nasdaq: ALNA), a late-stage clinical biopharmaceutical company, which engages in the development
commercialization of oral enzyme therapeutics to treat patients with rare
severe metabolic,
kidney disorders in the United States
internationally.
Represented JonesTrading Institutional Services LLC
Roth Capital Partners, LLC, acting as sales agents in a $10 million at the market equity offering of common stock for Acer Therapeutics, Inc. (Nasdaq: ACER), which focuses on the acquisition, development,
commercialization of therapies for patients with serious rare
ultra-rare diseases with critical unmet medical need.
Represented JonesTrading Institutional Services LLC, acting as sales agent in a $30 million capital on dem
offering of common stock for Curis, Inc. (Nasdaq: CRIS), a clinical-stage biotechnology company seeking to develop
commercialize innovative drug c
idates for the treatment of human cancers.
Represented JonesTrading Institutional Services LLC, acting as sole book running manager, Ladenburg Thalmann & Co. Inc., acting as joint book runner, LifeSci Capital LLC, acting as lead manager,
B. Riley FBR, Inc., acting as co-manager, in a $115 million confidentially marketed public offering of common stock for Catalyst Biosciences, Inc. (NASDAQ: CBIO), a clinical-stage biopharmaceutical company focused on developing novel medicines to address hematology indications.
Represented Stifel, Nicolaus & Company, Incorporated, acting as sales agent in a $50 million at the market ( ATM ) offering of common stock for Sientra, Inc. (NASDAQ: SIEN), a medical aesthetics company, which engages in developing
commercializing plastic surgery implantable devices.
Represented JonesTrading Institutional Services LLC, acting as sales agent in a $75 million at the market ( ATM ) offering of beneficial unit certificates representing assigned limited partnership interests for America First Multifamily Investors, L.P. (Nasdaq: ATAX). America First Multifamily Investors engages in the acquisition of a portfolio of mortgage revenue bonds that are issued by state
local housing authorities to provide construction
permanent financing for affordable multifamily
student housing
commercial properties.
Represented B. Riley FBR, Inc., acting as sales agent in a $100 million expansion of an existing at the market ( ATM ) equity offering of common stock for Sorrento Therapeutics, Inc. (NASDAQ: SRNE). Sorrento is a clinical stage, antibody-centric, biopharmaceutical company developing new therapies to turn malignant cancers into manageable
possibly curable diseases.
Represented Stifel, Nicolaus & Company, Incorporated., acting as sales agent in a $50 million at the market ( ATM ) equity offering of Class A common stock for Reata Pharmaceuticals, Inc. (NASDAQ: RETA), a clinical-stage biopharmaceutical company that develops novel therapeutics for patients with serious or life-threatening diseases by targeting molecular pathways involved in the regulation of cellular metabolism
inflammation.
Represented H.C. Wainwright & Co., LLC, FBR Capital Markets & Co.,
MLV & Co. LLC, acting as sales agents in a $150 million at the market ( ATM ) offering of common stock for Spectrum Pharmaceuticals, Inc. (NASDAQ: SPPI), a biotechnology company focused on acquiring, developing,
commercializing drug products, with a primary focus in hematology
oncology diseases by targeting molecular pathways involved in the regulation of cellular metabolism
inflammation.
Represented Cowen
Company LLC, acting as sales agent in a $100 million at the market ( ATM ) equity offering of common stock for Aduro Biotech, Inc. (NASDAQ: ADRO), a clinical-stage cancer immunotherapy company focused on the discovery, development
commercialization of therapies for the treatment of challenging diseases.
Represented Stifel, Nicolaus & Company, Incorporated, acting as sales agent in a $50 million at the market ( ATM ) equity offering of common stock for TransEnterix, Inc. (NYSE American: TRXC), a medical device company that is pioneering the use of robotics to improve minimally invasive surgery.
Represented FBR Capital Markets & Co., Raymond James & Associates, Inc.
S
ler O'Neill & Partners. L.P., acting as sales agents in a $50 million at the market offering of common stock for Preferred Bank (NASDAQ: PFBC), a California state-chartered bank
an FDIC-supervised depositary institution with a class of securities registered under the Exchange Act.
Represented Cowen
Company, LLC, acting as agent in a $50 million at the market offering of common stock for Clearside Biomedical, Inc. (Nasdaq: CLSD), a late-stage clinical ophthalmic biopharmaceutical company that envisions a world without blindness.
Represented JonesTrading Institutional Services LLC, Canaccord Genuity Inc., D.A. Davidson & Co., FBR Capital Markets & Co., JMP Securities LLC,
National Securities Corporation, acting as agents in a $150 million at the market offering of common stock for Preferred Apartment Communities, Inc. (NYSE: APTS), a Maryl
corporation formed primarily to acquire
operate multifamily properties in select targeted markets throughout the United States.
Represented Stifel, Nicolaus & Company, Incorporated
DNB Markets, Inc., acting as sales agents in a $40 million at the market ( ATM ) equity offering of common stock, 8.00% Series B Cumulative Redeemable Perpetual Preferred Shares, 8.875% Series C Cumulative Redeemable Perpetual Preferred Shares
8.75% Series D Cumulative Redeemable Perpetual Preferred Shares for Tsakos Energy Navigation Ltd. (NYSE: TNP
BSX: TEN).
Represented FBR Capital Markets & Co. acting as sales agent in a $150 million at the market ( ATM ) offering of 6.25% unsecured notes due 2024 for Hercules Capital, Inc. (NYSE: HTGC), a business development company under the Investment Company Act of 1940, focused on providing senior secured venture growth loans to high-growth, innovative venture capital-backed companies in a broadly diversified variety of technology, life sciences
sustainable
renewable technology industries.
Represented FBR Capital Markets & Co., acting as sales agent, in a $195 million at the market ( ATM ) offering of common stock, series B preferred stock
series C preferred stock for Anworth Mortgage Asset Corporation (NYSE: ANH), a mortgage REIT that primarily invests in mortgage-backed securities on a leveraged basis.
Represented FBR Capital Markets & Co.
MLV & Co. LLC, acting as sales agents, in a $100 million at the market ( ATM ) offering of class A common stock for Bluerock Residential Growth REIT, Inc. (NYSE MKT: BRG), a multi-family REIT that invests in institutional-quality apartment properties in U.S. growth markets.
Represented Cowen
Company LLC acting as sales agent, in a $75 million at the market ( ATM ) offering of common stock for Carbo Ceramics Inc. (NYSE: CRR), an oilfield services technology company that provides industry-leading production enhancement
environmental protection solutions.
Represented Jones Trading Institutional Services LLC, FBR Capital Markets & Co.
Canaccord Genuity Inc., acting as sales agents, in a $150 million at the market ( ATM ) offering of common stock for Preferred Apartment Communities, Inc. (NYSE: APTS), a Maryl
corporation formed primarily to acquire
operate multifamily properties in select targeted markets throughout the United States.
