Book Runner IPO Transactions

MINGZHU LOGISTICS HOLDINGS LIMITED.
(NASDAQ: YGMZ)
$12MM
IPO
10/2020
Underwriter
ADITX THERAPEUTICS, INC.
(NASDAQ: ADTX)
$11MM
IPO
6/2020
Underwriter
TRXADE GROUP, INC.
(NASDAQ: MEDS)
$5MM
UPLISTING
2/2020
Underwriter
CANAAN INC.
(NASDAQ: CAN)
$90MM
IPO
11/2019
Underwriter
AMTD INTERNATIONAL INC.
(NYSE: HKIB)
Underwriter
$174MM
IPO
8/2019
Joint Book Running Manager
BLUE HAT INTERACTIVE ENTERTAINMENT TECHNOLOGY
(NASDAQ: BHAT)
Underwriter
$8MM
IPO
7/2019
Sole Book Running Manager
GOLDEN BULL LIMITED
(NASDAQ: DNJR)
Underwriter
$7.1MM
IPO
3/2018
Sole Book Running Manager
SENMIAO TECHNOLOGY LTD
(NASDAQ: AIHS)
Underwriter
$13.5MM
IPO
3/2018
Sole Book Running Manager
FARMMI, INC.
(NASDAQ: FAMI)
Underwriter
$6.7MM
IPO
2/2018
Sole Book Running Manager
TDH HOLDINGS, INC.
(NASDAQ: PETZ)
Underwriter
$6.4MM
IPO
9/2017
Sole Book Running Manager
Newater Technology
(NASDAQ:NEWA)
Underwriter
$8.05MM
IPO
8/2017
Sole Book Running Manager
RETO ECO-SOLUTIONS, INC.
(NASDAQ: RETO)
Underwriter
$16.1MM
IPO
12/2017
Sole Book Running Manager
China Customer Relations Center
(NASDAQ:CCRC)
$9.6MM
IPO
12/2015
Sole Book Running Manager
Tantech Holdings Ltd.
(NASDAQ:TANH)
12.8MM
IPO
3/2015
Sole Book Running Manager

Select Transactions

FLUX POWER HOLDINGS, INC.
(NYSE: FLUX)
$10.8MM
Follow On
8/2020
Selling Group Member
SUPER LEAGUE GAMING, INC.
(NYSE: SLGG)
$8.4MM
Follow On
8/2020
Selling Group Member
IMEDIA BRANDS, INC.
(NASDAQ: IMBI)
$15MM
Follow On
8/2020
Selling Group Member
PERSHING SQUARE TONTINE HOLDINGS, LTD.
(NYSE: PSTH.U)
$4B
IPO
7/2020
Selling Group Member
BLUECITY HOLDINGS LIMITED
(NASDAQ: BLCT)
$84.8MM
IPO
7/2020
Selling Group Member
EBANG INTERNATIONAL HOLDINGS INC.
(NASDAQ: EBON)
$101MM
IPO
6/2020
Selling Group Member
VBI VACCINES INC.
(NASDAQ: EBON)
$50MM
Follow On
5/2020
Selling Group Member
CASPER SLEEP INC
(NYSE: CSPR)
$100MM
IPO
1/2020
Selling Group Member
AESTHESTIC MEDICAL INTERNATIONAL HOLDINGS
(NASDAQ: AIH)
30MM
IPO
10/2019
Selling Group Member
NEW YORK MORTGAGE
(NASDAQ: NYMT)
150MM
Follow On
9/2019
Selling Group Member
CELYAD
(NASDAQ: CYAD)
20MM
Follow On
9/2019
Selling Group Member
ORISUN ACQUISSITION CORP
(NASDAQ: ORSNU)
40MM
IPO
8/2019
Selling Group Member
MERCURY SYSTEMS INC
(NASDAQ: MRCY)
414MM
Follow On
5/2019
Selling Group Member
AVANTOR INC
(NYSE: AVTR)
900MM
Follow On
5/2019
Selling Group Member
BIODELIVERY SCIENCES INTL
(NASDAQ: BDSI)
60MM
Follow On
4/2019
Selling Group Member
CANNTRUST HOLDINGS INC
(NASDAQ: CTST)
134MM
IPO
4/2019
Selling Group Member
CARE TRUST REIT INC
(NASDAQ: CTRE)
134MM
Follow On
4/2019
Selling Group Member
HOOKIPA PHARMA
(NASDAQ: HOOK)
84MM
IPO
4/2019
Selling Group Member
REDWOOD TRUST
(NYSE: RWT)
156MM
Follow On
3/2019
Selling Group Member
HENNESSY CAPITAL ACQ IV
(NASDAQ: HCACU)
261MM
IPO
3/2019
Selling Group Member
SIENNA BIOPHARMACEUTICALS
(NASDAQ: SNNA)
20MM
Follow On
2/2019
Selling Group Member
PENNYMAC MORTGAGE
(NYSE: PMT)
144MM
Follow On
2/2019
Selling Group Member
NEW YORK MORTGAGE
(NASDAQ: NYMT)
75MM
Follow On
1/2019
Selling Group Member
ANNALY CAPITAL MGMT
(NYSE: NLY)
730MM
Follow On
1/2019
Selling Group Member

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