Book Runner IPO Transactions
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
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