Book Runner IPO Transactions

MINGZHU LOGISTICS HOLDINGS LIMITED.
(NASDAQ: YGMZ)
(NASDAQ: YGMZ)
$12MM
IPO
10/2020
Underwriter

ADITX THERAPEUTICS, INC.
(NASDAQ: ADTX)
(NASDAQ: ADTX)
$11MM
IPO
6/2020
Underwriter

TRXADE GROUP, INC.
(NASDAQ: MEDS)
(NASDAQ: MEDS)
$5MM
UPLISTING
2/2020
Underwriter

CANAAN INC.
(NASDAQ: CAN)
(NASDAQ: CAN)
$90MM
IPO
11/2019
Underwriter

AMTD INTERNATIONAL INC.
(NYSE: HKIB)
(NYSE: HKIB)
Underwriter
$174MM
IPO
8/2019
Joint Book Running Manager

BLUE HAT INTERACTIVE ENTERTAINMENT TECHNOLOGY
(NASDAQ: BHAT)
(NASDAQ: BHAT)
Underwriter
$8MM
IPO
7/2019
Sole Book Running Manager

GOLDEN BULL LIMITED
(NASDAQ: DNJR)
(NASDAQ: DNJR)
Underwriter
$7.1MM
IPO
3/2018
Sole Book Running Manager

SENMIAO TECHNOLOGY LTD
(NASDAQ: AIHS)
(NASDAQ: AIHS)
Underwriter
$13.5MM
IPO
3/2018
Sole Book Running Manager

FARMMI, INC.
(NASDAQ: FAMI)
(NASDAQ: FAMI)
Underwriter
$6.7MM
IPO
2/2018
Sole Book Running Manager

TDH HOLDINGS, INC.
(NASDAQ: PETZ)
(NASDAQ: PETZ)
Underwriter
$6.4MM
IPO
9/2017
Sole Book Running Manager

Newater Technology
(NASDAQ:NEWA)
(NASDAQ:NEWA)
Underwriter
$8.05MM
IPO
8/2017
Sole Book Running Manager

RETO ECO-SOLUTIONS, INC.
(NASDAQ: RETO)
(NASDAQ: RETO)
Underwriter
$16.1MM
IPO
12/2017
Sole Book Running Manager

China Customer Relations Center
(NASDAQ:CCRC)
(NASDAQ:CCRC)
$9.6MM
IPO
12/2015
Sole Book Running Manager

Tantech Holdings Ltd.
(NASDAQ:TANH)
(NASDAQ:TANH)
12.8MM
IPO
3/2015
Sole Book Running Manager
Select Transactions

FLUX POWER HOLDINGS, INC.
(NYSE: FLUX)
(NYSE: FLUX)
$10.8MM
Follow On
8/2020
Selling Group Member

SUPER LEAGUE GAMING, INC.
(NYSE: SLGG)
(NYSE: SLGG)
$8.4MM
Follow On
8/2020
Selling Group Member

IMEDIA BRANDS, INC.
(NASDAQ: IMBI)
(NASDAQ: IMBI)
$15MM
Follow On
8/2020
Selling Group Member

PERSHING SQUARE TONTINE HOLDINGS, LTD.
(NYSE: PSTH.U)
(NYSE: PSTH.U)
$4B
IPO
7/2020
Selling Group Member

BLUECITY HOLDINGS LIMITED
(NASDAQ: BLCT)
(NASDAQ: BLCT)
$84.8MM
IPO
7/2020
Selling Group Member

EBANG INTERNATIONAL HOLDINGS INC.
(NASDAQ: EBON)
(NASDAQ: EBON)
$101MM
IPO
6/2020
Selling Group Member

VBI VACCINES INC.
(NASDAQ: EBON)
(NASDAQ: EBON)
$50MM
Follow On
5/2020
Selling Group Member

CASPER SLEEP INC
(NYSE: CSPR)
(NYSE: CSPR)
$100MM
IPO
1/2020
Selling Group Member

AESTHESTIC MEDICAL INTERNATIONAL HOLDINGS
(NASDAQ: AIH)
(NASDAQ: AIH)
30MM
IPO
10/2019
Selling Group Member

NEW YORK MORTGAGE
(NASDAQ: NYMT)
(NASDAQ: NYMT)
150MM
Follow On
9/2019
Selling Group Member

CELYAD
(NASDAQ: CYAD)
(NASDAQ: CYAD)
20MM
Follow On
9/2019
Selling Group Member
ORISUN ACQUISSITION CORP
(NASDAQ: ORSNU)
(NASDAQ: ORSNU)
40MM
IPO
8/2019
Selling Group Member

MERCURY SYSTEMS INC
(NASDAQ: MRCY)
(NASDAQ: MRCY)
414MM
Follow On
5/2019
Selling Group Member

AVANTOR INC
(NYSE: AVTR)
(NYSE: AVTR)
900MM
Follow On
5/2019
Selling Group Member

BIODELIVERY SCIENCES INTL
(NASDAQ: BDSI)
(NASDAQ: BDSI)
60MM
Follow On
4/2019
Selling Group Member

CANNTRUST HOLDINGS INC
(NASDAQ: CTST)
(NASDAQ: CTST)
134MM
IPO
4/2019
Selling Group Member

CARE TRUST REIT INC
(NASDAQ: CTRE)
(NASDAQ: CTRE)
134MM
Follow On
4/2019
Selling Group Member

HOOKIPA PHARMA
(NASDAQ: HOOK)
(NASDAQ: HOOK)
84MM
IPO
4/2019
Selling Group Member

REDWOOD TRUST
(NYSE: RWT)
(NYSE: RWT)
156MM
Follow On
3/2019
Selling Group Member

HENNESSY CAPITAL ACQ IV
(NASDAQ: HCACU)
(NASDAQ: HCACU)
261MM
IPO
3/2019
Selling Group Member

SIENNA BIOPHARMACEUTICALS
(NASDAQ: SNNA)
(NASDAQ: SNNA)
20MM
Follow On
2/2019
Selling Group Member

PENNYMAC MORTGAGE
(NYSE: PMT)
(NYSE: PMT)
144MM
Follow On
2/2019
Selling Group Member

NEW YORK MORTGAGE
(NASDAQ: NYMT)
(NASDAQ: NYMT)
75MM
Follow On
1/2019
Selling Group Member

ANNALY CAPITAL MGMT
(NYSE: NLY)
(NYSE: NLY)
730MM
Follow On
1/2019
Selling Group Member