|
PUBLIC
Investment Banking Deals
Michael Fugler
$8,000,000
Unique Mobility
PIPE
Lead Manager
March 1997
|
$25,000,000
AVI Biopharma
IPO
Co-Manager
May 1997
|
$6,000,000
Tamboril Cigar Company
Private Placement
of Convertible
Preferred Stock
Transaction Advisor
September 1997
|
|
$25,000,000
ZymeTx, Inc.
IPO
Co-Manager
October 1997
|
$16,200,000
Interleukin Genetics
IP0
Co-Manager
November 1997
|
$8,000,000
Unique Mobility
PIPE
Lead Manager
January 1998
|
|
$25,000,000
Standard Automotive
IPO
Co-Manager
January 1998
|
$5,000,000
Spatializer Audio Laboratories, Inc.
Private Placement
of Convertible Preferred Stock w/ Warrants
Transaction Advisor
Advisor
April 1998
|
$15,000,000
Careside
IPO
Co-Manager
June 1999
|
|
$25,000,000
Medinex Systems
IPO
Co-Manager
June 1999
|
$10,800,000
NeoTherapeutics
Secondary Offering
Co-Manager
July 1999
|
Donlar Biosyntrix
Corporation
Reverse Merger
Optim Nutrition
Advisor to Donlar Corp.
October 2000
|
|
$15,000,000
Imageware
IPO
Co-Manager
March 2000
|
$10,000,000
Vitech America
Follow On
Co-Manager
June 2000
|
$22,000,000
AVI BioPharma
Follow On
Co-Manager
July 2000
|
|
$10,000,000
GMX Resources, Inc.
IPO
Co-Manager
February 2001
|
$10,400,000
Taser International, Inc.
IPO
Underwriter
May 2001
|
$4,200,000
Ellis, Inc.
PIPE
Placement Agent
October 2001
|
|
$11,000,000
GMX Resources, Inc.
Follow On
Co-Manager
July 2001
|
$12,000,000
microHelix, Inc.
IPO
Co-Manager
November 2001
|
$12,000,000
$5,000,000
Unique Mobility
Shelf Offering
Lead Manager
April 2002
|
|
$73,000,000
Integrated Data Systems, Inc.
M&A
Advisor to Seller
April 2003
|
$14,300,000
Q-Comm
International, Inc.
Secondary Offering
Underwriter
June 2003
|
$13,500,000
PATH 1 Network Technologies, Inc.
IPO
Co-Manager
July 2003
|
|
$400,000
Vicom, Inc.
Private Placement of
Common Stock
Transaction Advisor
September 2003
|
$2,376,000
Unique Mobility
Shelf Offering
Lead Manager
October 2003
|
$34,000,000
Pacific Mercantile Bancorp
Secondary Offering
Co-Manager
December 2003
|
|
$9,388,800
Milestone
Scientific, Inc.
Secondary Offering
Underwriter
February 2006
|
$10,500,000
DayStar
Technologies, Inc.
IPO
Co-Manager
February 2006
|
$1,000,000
Visijet, Inc.
Convertible Debentures
w/Warrants
Lead Manager
June 2006
|
|
$10,000,000
Nighthawk Systems, Inc.
Equity Line
Lead Manager
August 2006
|
$250,000
Nighthawk Systems, Inc.
Convertible Debenture
Lead Manager
August 2006
|
$4,845,000
Visijet, Inc.
Convertible Debentures
w/Warrants
Lead Manager
January 2005
|
|
PRIVATE
Investment Banking Deals
Michael Fugler
$7,000,000
Olivio
Private Placement
Lead Manager
February 1997
|
$6,200,000
EV Global Motors
Private Placement
Lead Manager
June 1997
|
$10,000,000
Transgenomic
Private Placement
Co-Manager
July 1997
|
|
$3,500,000
Synxis
Private Placement
Co-Manager
May 1999
|
$3,500,000
YellowBrix
Private Placement
Lead Manager
November 1999
|
$600,000
SilverCarrot, Inc.
Private Placement
of Common Stock
Transaction Advisor
January 2000
|
|
$14,700,000
Synxis
Private Placement
Lead Manager
March 2000
|
$1,500,000
Document Planet Inc.
Private Placement
Placement Agent
April 2000
|
$1,040,000
FreeRide Media, L.L.C.
Private Placement
of Common Stock
w/Warrants
Transaction Advisor
February 1999
|
$995,000
AsiaNetTP
Corporation Limited
Private Placement
of Common Stock
w/Warrants
Transaction Advisor
December 1999 |
$894,000
FreeRide Media, L.L.C.
Private Placement
of Common Stock
Transaction Advisor
January 2000 |
$7,500,000
Nextrend
Private Placement
Co-Manager
March 2000
|
|
$20,000,000
YellowBrix
Private Placement
Lead Manager
May 2000
|
$9,100,000
TSCentral
Private Placement
Lead Manager
June 2000
|
$4,000,000
TSCentral
Private Placement
Lead Manager
January 2001
|
|
$9,000,000
Rila
Private Placement
Lead Manager
January 2001
|
$2,400,000
NetInsurance
Private Placement
Lead Manager
January 2001
|
$2,250,000
SilverCarrot, Inc.
Private Placement
of Common Stock
w/Warrants
Transaction Advisor
May 2001
|
|
$4,000,000
TSCentral
Private Placement
Lead Manager
June 2001
|
|
|
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