deals

• Represented EF Hutton, the underwriter on two Initial Public Offerings that are now trading on NASDAQ: Yoshiharu Global Co. (NASDAQ: YOSH) is a a fast-growing restaurant operator specializing in Japanese ramen and Reborn Coffee, Inc. (NASDAQ: REBN) is focused on serving high quality, specialty-roasted coffee at retail locations, kiosks and cafes. 

• Represented the Benchmark Company, the sole book-running manager for a $6.375 Million Initial Public Offering and NASDAQ listing with Heart Test Laboratories, Inc. (NASDAQ: HSCS; HSCSW), a medical technology company focused on applying innovative AI-based technology to an ECG (also known as an EKG) to expand and improve an ECG’s clinical usefulness.

• Represented Greenwave Technology Solutions, Inc. (Nasdaq: GWAV), a leading operator of 11 metal recycling facilities in Virginia and North Carolina, in connection with its NASDAQ listing.

• Represented AmeriDrive Holdings, Inc., a (MaaS) Mobility as a Service company with one of the largest private subscription fleets in North America and a presence in multiple states, in entering into a joint venture with HyreCar, Inc., a national carsharing marketplace for ridesharing, food, and package delivery via its proprietary technology platform, and obtained a loan facility in the amount of $100 Million from Credit Suisse.

• Represented Inpixon (Nasdaq: INPX), a leading indoor data company that delivers Indoor Intelligence™ solutions, in connection with its $50 million registered direct offering of 53,198 shares of Series 8 convertible preferred stock and warrants to purchase up to an aggregate of 112,778,723 shares of common stock at a per share price of $0.4717.

• Represented Vicinity Motor Corp (TSXV:VMC) (NASDAQ:VEV) (FRA:6LGA), a North American supplier of electric vehicles for both public and commercial enterprise use, in connection with its $12 million registered direct offering of 4,444,445 common shares and warrants to purchase up to 4,444,445 common shares at a combined purchase price of $2.70 per unit.

• Represented Peninsula Acquisition Corporation in closing an alternative public offering with Transphorm, Inc., a pioneer in the development and manufacturing of high reliability-high performance gallium nitride (GaN) semiconductors for power conversion, allowing Transphorm to raise $21.5 million in a private placement financing in connection with a reverse merger.
• Represented Max-1 Acquisition Corporation in closing an alternative public offering with Exicure, Inc., a pioneer in developing three-dimensional Spherical Nucleic Acid (SNA™) constructs as gene regulatory and immunotherapeutic agents, allowing Exicure to raise $20 million in a private placement financing in connection with a reverse merger.
• Represented Odyssey Semiconductor Technologies, Inc. in closing a share exchange with Odyssey Semiconductor, Inc., a semiconductor device company developing high-voltage power switching components and systems based on Gallium Nitride (GaN) processing technology, to raise approximately $2.7 million in a private placement financing.
• Represented HyreCar, Inc., the carsharing marketplace for ridesharing and delivery, in its $12.6 million underwritten IPO.
• Represented GI Dynamics, Inc., a medical device company that is developing EndoBarrier® for patients with type 2 diabetes and obesity, in its offering of up to $10 million Series A Preferred Shares.
  
• Represented ClearSign Technologies Corporation (Nasdaq: CLIR), an emerging leader in industrial combustion and sensing technologies that improve energy, operational efficiency and safety while dramatically reducing emissions, in a $5.175 million firm commitment underwritten offering the closing of 2,587,500 shares of its common stock at a public offering price of $2.00 per share.
• Represented Inpixon (Nasdaq: INPX), a leading indoor data company that delivers Indoor Intelligence™ solutions, in connection with its $150 million At-The-Market Public Offering.
• Private placement of common stock of VBI Vaccines Inc. (NASDAQ: VBIV), led by institutional investors RTW Investments, ARCH Venture Partners and Perceptive Advisors.
• Series A Preferred Stock financing of Reload Studios, Inc., a virtual reality entertainment developer based in Los Angeles, California. World Innovation Lab, a technology investment firm based in Silicon Valley and Tokyo, Japan, acted as lead investor.
• Issuer’s counsel in private placement of equity-linked securities of Uni-Pixel, Inc. (NASDAQ: UNXL) to two institutional investors. Cowen and Company, LLC acted as sole placement agent for the financing. Uni-Pixel develops Performance Engineered Films™ for the touch screen, flexible printed electronics and display markets.
• Issuer’s counsel in underwritten follow-on public offering of common stock of ClearSign Combustion Corporation (NASDAQ: CLIR), an emerging leader in combustion and emissions control technology for industrial, commercial and utility markets. MDB Capital Group, LLC acted as underwriter for the offering.
• Borrower’s counsel to VBI Vaccines Inc. (NASDAQ: VBIV) in entering into a venture debt facility from Perceptive Advisors, LLC, a New York based life sciences fund with approximately $1 billion under management. VBI Vaccines is a biopharmaceutical company developing novel technologies that seek to expand vaccine protection in large underserved markets.
• Borrower’s counsel to Response Genetics, Inc. (NASDAQ: RGDX) in entering into a venture debt facility from SWK Funding LLC, a wholly-owned subsidiary of SWK Holdings Corporation. Response Genetics is a CLIA-certified clinical laboratory focused on the development and sale of molecular diagnostic testing services for cancer.
• Borrower’s counsel to Viveve Medical, Inc. in entering into a venture debt facility with Square1 Bank. Viveve Medical is a life sciences company focused on women’s health.
• Issuer’s counsel to Sysorex Global Holdings Corp. (NASDAQ: SYRX) in connection with its initial public offering (IPO). Wellington Shields & Co., LLC and Dougherty & Company LLC acted as the co-managing underwriters in connection with the IPO.
• Issuer’s counsel to ClearSign Combustion Corporation (NASDAQ: CLIR) in its registered direct public offering. Brean Capital, LLC acted as underwriter for the offering.
• Issuer’s counsel to Ideal Power Inc. (NASDAQ: IPWR) in its initial public offering (IPO). MDB Capital Group LLC acted as the Managing Underwriter and Northland Capital Markets acted as the co-managing underwriter for the IPO.
• Issuer’s counsel to Uni-Pixel, Inc. (NASDAQ: UNXL) in its underwritten public offering of common stock. Cowen and Company LLC acted as underwriter for the offering.
• Issuer’s counsel to ClearSign Combustion Corporation (NASDAQ: CLIR) in its initial public offering of common stock. MDB Capital Group, LLC acted as underwriter for the offering.
• Handled initial public offering of more than $75 million of common stock for a consumer finance company and subsequent public offering of an additional $35 million of common stock.
• Represented London Stock Exchange listed company in $300-million tender offer for all of the shares of a NASDAQ/NNM Corporation and subsequent "going private" merger.
• Represented NYSE listed company in public offering of $148 million of additional common stock and the concurrent private placement of $23 million of common stock to affiliates of the issuer.

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