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SELECTED TRANSACTIONS
Not a complete list – Please contact your Livingston Securities Representative for further details


NLS
Pharmaceutics
2021

Selling Group Member in
Connection with $20
million Initial Public Offering


Kura
Oncology, Inc.
2020

Selling Group Member in
Connection with $125
million Secondary Offering


ViewRay, Inc.
2019

Selling Group Member in
Connection with $130
million Secondary Offering


Provention
Bio, Inc.
2019

Selling Group Member in
Connection with $40
million Secondary Offering


Castle
Biosciences, Inc.
2019

Selling Group Member in
Connection with $64
million Initial Public Offering


Genocea
Biosciences, Inc.
2019

Selling Group Member in
Connection with $37
million Secondary Offering


Mersana
Therapeutics, Inc.
2019

Selling Group Member in
Connection with $85
million Secondary Offering


MacroGenics, Inc.
2018

Selling Group Member in
Connection with $95
million Secondary Offering


Xencor, Inc.
2018

Selling Group Member in
Connection with $226
million Secondary Offering


Vascular
Biogenics LTD.
2017

Selling Group Member in
Connection with $18
million Secondary Offering


Level
Brands, Inc.
2017

Selling Group Member in
Connection with $12
million Initial Public Offering


ACM
Research, Inc.
2017

Selling Group Member in
Connection with $11
million Initial Public Offering


Fat
Brands, Inc.
2017

Selling Group Member in
Connection with $24
million Initial Public Offering


OrthoPediatrics Corp.
2017

Selling Group Member in
Connection with $52
million Initial Public Offering


Arcimoto, Inc.
2017

Selling Group Member in
Connection with $19
million Initial Public Offering


Kura
Oncology, Inc.
2017

Selling Group Member in
Connection with $50
million Secondary Offering


Tetraphase
Pharmaceticals, Inc.
2017

Selling Group Member in
Connection with $65
million Secondary Offering


Myomo, Inc.
2017

Selling Group Member in
Connection with $5
million Initial Public Offering


ShotSpotter, Inc.
2017

Selling Group Member in
Connection with $30
million Initial Public Offering


Brookline
Bancorp, Inc.
2017

Selling Group Member in
Connection with $75
million Secondary Offering


Cara
Therapeutics
2017

Selling Group Member in
Connection with $80
million Secondary Offering


Valeritas, Inc
2017

Selling Group Member in
Connection with $52
million Secondary Offering


Tandem
Diabetes Care
2017

Selling Group Member in
Connection with $22
million Secondary Offering


Zosano Pharma
2017

Selling Group Member in
Connection with $25
million Secondary Offering


Dermira, Inc
2017

Selling Group Member in
Connection with $168
million Secondary Offering


K2M Group
Holdings, Inc
2017

Selling Group Member in
Connection with $81
million Secondary Offering


Bluerock Residential
Growth REIT
2017

Selling Group Member in
Connection with $52
million Secondary Offering


Mirati
Therapeutics, Inc
2017

Selling Group Member in
Connection with $24
million Secondary Offering


Vericel
Corporation
2016

Selling Group Member in
Connection with $17
million Secondary Offering


Tesaro, Inc.
2016

Selling Group Member in
Connection with $236
million Secondary Offering


Bovie
Medical Corp.
2016

Selling Group Member in
Connection with $6
million Secondary Offering


MedEquities
Realty Trust
2016

Selling Group Member in
Connection with $239
million Initial Public Offering


Fulgent
Diagnostics
2016

Selling Group Member in
Connection with $37
million Initial Public Offering


CareDx, Inc.
2016

Selling Group Member in
Connection with $9
million Secondary Offering


Proteostasis
Therapeutics
2016

Selling Group Member in
Connection with $65
million Secondary Offering


OncoMed
Pharmaceuticals
2016

Selling Group Member in
Connection with $55
million Secondary Offering


Protagonist
Therapeutics, Inc.
2016

Selling Group Member in
Connection with $90
million Initial Public Offering


Invuity, Inc.
2016

Selling Group Member in
Connection with $28
million Secondary Offering


Tactile Systems
Technology, Inc.
2016

Selling Group Member in
Connection with $40
million Initial Public Offering


Cardiome
Pharma Corp.
2016

Selling Group Member in
Connection with $30
million Secondary Offering


Paratek
Pharmaceuticals
2016

Selling Group Member in
Connection with $55
million Secondary Offering


Dermira, Inc.
2016

Selling Group Member in
Connection with $126
million Secondary Offering


NantHealth, Inc.
2016

Selling Group Member in
Connection with $91
million Initial Public Offering


OvaScience, Inc.
2016

Selling Group Member in
Connection with $50
million Secondary Offering


Turning Point
Brands, Inc.
2016

Selling Group Member in
Connection with $54
million Initial Public Offering


Spark
Energy, LLC
2016

Selling Group Member in
Connection with $27
million Secondary Offering


Vitae
Pharmaceuticals, Inc
2016

Selling Group Member in
Connection with $35
million Secondary Offering


Senseonics, Inc.
2016

Selling Group Member in
Connection with $45
million Secondary Offering


Akebia
Therapeutics
2016

Selling Group Member in
Connection with $65
million Secondary Offering


Epizyme, Inc.
2016

Selling Group Member in
Connection with $120
million Secondary Offering


Acceleron
Pharma, Inc.
2016

Selling Group Member in
Connection with $150
million Secondary Offering


Cancer
Genetics, Inc.
2015

Selling Group Member in
Connection with $12
million Secondary Offering


Kura
Oncology
2015

Selling Group Member in
Connection with $50
million Secondary Offering


American
Farmland Co.
2015

Selling Group Member in
Connection with $48
Initial Public Offering


Physicians
Realty Trust
2015

Selling Group Member in
Connection with $206
million Secondary Offering


Intra-Cellular
Therapies, Inc.
2015

Selling Group Member in
Connection with $300
million Secondary Offering


Intrexon
Corporation
2015

Selling Group Member in
Connection with $200
million Secondary Offering


Inotek
Pharmaceuticals
2015

Selling Group Member in
Connection with $69
million Secondary Offering


vTv
Therapeutics
2015

Selling Group Member in
Connection with $117 million
Initial Public Offering


Exelixis
2015

Selling Group Member in
Connection with $135
million Secondary Offering


Ooma, Inc.
2015

Selling Group Member in
Connection with $60 million
Initial Public Offering


RedHill
Biopharma
2015

Selling Group Member in
Connection with $40 million
Secondary Offering


Tonix
Pharmaceuticals
2015

Selling Group Member in
Connection with $17 million
Secondary Offering


Pieris
Pharmaceuticals, Inc.
2015

Selling Group Member in
Connection with $25 million
Secondary Offering


Sotherly
Hotels, Inc.
2015

Selling Group Member in
Connection with $21
million Secondary Offering


Whitestone
REIT
2015

Selling Group Member in
Connection with $52
million Secondary Offering


Invuity, Inc.
2015

Selling Group Member in
Connection with $48
million Initial Public Offering


Celtaxsys
2015

Placement Agent in Connection
with $40 million Series D
Preferred Stock Offering


Ignyta, Inc.
2015

Selling Group Member in
Connection with $71
million Secondary Offering


Jaguar
Animal Health
2015

Selling Group Member in
Connection with $20
million Initial Public Offering


HTG Molecular
Diagnostics, Inc.
2015

Selling Group Member in
Connection with $50
million Initial Public Offering


CoLucid
Pharmaceuticals, Inc.
2015

Selling Group Member in
Connection with $55 million
Initial Public Offering


Professional
Diversity Network
2015

Selling Group Member in
Connection with $3
million Secondary Offering


XBiotech,
Inc.
2015

Selling Group Member in
Connection with $76
million Initial Public Offering


The Habit
Restaurants, Inc.
2015

Selling Group Member in
Connection with $155
million Secondary Offering


Carbylan
Therapeutics, Inc.
2015

Selling Group Member in
Connection with $65 million
Initial Public Offering


Kura
Oncology, Inc.
2015

Co-Placement Agent in
Connection with $58 million
Private Placement


Anthera
Pharmaceuticals,
Inc.
2015

Selling Group Member in
Connection with $25
million Secondary Offering


Cyber-Ark
Software, Inc.
2015

Selling Group Member in
Connection with $204
million Secondary Offering


NGL Energy
Partners, LP
2015

Selling Group Member in
Connection with $172
million Unit Offering


Intra-Cellular
Therapies, Inc.
2015

Selling Group Member in
Connection with $114
million Secondary Offering


Inotek
Pharmaceuticals.
2015

Selling Group Member in
Connection with $40
million Initial Public Offering


Great Ajax Corp.
2015

Selling Group Member in
Connection with $71
million Initial Public Offering


Bellerophon
Therapeutics
2015

Selling Group Member in
Connection with $60
million Initial Public Offering


Asterias
Biotherapeutics, Inc.
2015

Selling Group Member in
Connection with $1.5
million Secondary Offering


Redhill
Biopharma Ltd.
2015

Selling Group Member in
Connection with $12.5
million Secondary Offering


Rose Rock
Midstream, L.P.
2015

Selling Group Member in
Connection with $80
million Unit Offering


Trovagene, Inc.
2015

Selling Group Member in
Connection with $20
million Secondary Offering


Actinium
Pharmaceuticals,
Inc.
2015

Selling Group Member in
Connection with $20
million Secondary Offering


Catalyst
Pharmaceuticals.
2015

Selling Group Member in
Connection with $37
million Secondary Offering


The Habit
Restaurants, Inc.
2014

Selling Group Member in
Connection with $90
million Initial Public Offering


Neothetics, Inc.
2014

Selling Group Member in
Connection with $65
million Initial Public Offering


NeuroDerm Ltd.
2014

Selling Group Member in
Connection with $45
million Initial Public Offering


The Joint Corp.
2014

Selling Group Member in
Connection with $19.5
million Initial Public Offering


Sky Solar
Holdings, Ltd.
2014

Selling Group Member in
Connection with $44
million Initial Public Offering


Sientra, Inc.
2014

Selling Group Member in
Connection with $75
million Initial Public Offering


ProQR
Therapeutics B.V.
2014

Selling Group Member in
Connection with $97.5
million Initial Public Offering


ReWalk
Robotics Ltd.
2014

Selling Group Member in
Connection with $36
million Initial Public Offering


Insmed
2014

Selling Group Member in
Connection with $115
million Secondary Offering


Mobileye,
N.V.
2014

Selling Group Member in
Connection with $1
billion Initial Public Offering


Innocoll,
AG.
2014

Selling Group Member in
Connection with $51.5
million Initial Public Offering


CareDx,
Inc.
2014

Selling Group Member in
Connection with $40
million Initial Public Offering


BioAmber,
Inc.
2014

Selling Group Member in
Connection with $35
million Secondary Offering


GlobeImmune,
Inc.
2014

Selling Group Member in
Connection with $15
million Initial Public Offering


CollabRx, Inc.
2014

Selling Group Member in
Connection with $2
million Secondary Offering


Zafgen
2014

Selling Group Member in
Connection with $96
million Initial Public Offering


Parnell Pharmaceuticals Holdings Ltd
2014

Selling Group Member in
Connection with $50
million Initial Public Offering


Signal Genetic, Inc.
2014

Selling Group Member in
Connection with $8.5
million Initial Public Offering


Aspen Aerogels,
Inc.
2014

Selling Group Member in
Connection with $82.5
million Initial Public Offering


1347 Property Insurance Holdings,
Inc.
2014

Selling Group Member in
Connection with $20
million Secondary Offering


TOP SHIPS, Inc.
2014

Selling Group Member in
Connection with $20
million Common Stock and Warrant Offering


Superior Drilling Products, Inc.
2014

Selling Group Member in
Connection with $27
million Initial Public Offering


China Commercial Credit, Inc.
2014

Selling Group Member in
Connection with $7
million Common Stock and Warrant Offering


Aldeyra Therapeutics, Inc.
2014

Selling Group Member in
Connection with $12
million Initial Public Offering


Lombard Medical, Inc.
2014

Selling Group Member in
Connection with $55
million Initial Public Offering


xG Technology, Inc.
2014

Selling Group Member in
Connection with $10
million Secondary Offering


Cerulean Pharma, Inc.
2014

Selling Group Member in
Connection with $59
million Initial Public Offering


1347 Property Insurance Holdings
2014

Selling Group Member in
Connection with $15
million Initial Public Offering


Advaxis, Inc.
2014

Selling Group Member in
Connection with $12
million Secondary Offering


Ignyta, Inc.
2014

Selling Group Member in
Connection with $47
million Secondary Offering


Recro Pharma, Inc.
2014

Selling Group Member in
Connection with $30
million Initial Public Offering


Ceres, Inc.
2014

Selling Group Member in
Connection with $20
million Secondary Offering


OvaScience, Inc.
2014

Selling Group Member in
Connection with $50
million Secondary Offering


Nephrogenex, Inc.
2014

Selling Group Member in
Connection with $37
million Initial Public Offering


Biocept, Inc.
2014

Selling Group Member in
Connection with $19
Initial Public Offering


Intra-Cellular
Therapies, Inc.
2014

Selling Group Member in
Connection with $115
million Public Offering


SMTP, Inc.
2014

Selling Group Member in
Connection with $10
million Secondary Offering


Tonix Pharmaceuticals Holding Corp.
2014

Selling Group Member in
Connection with $43
million Secondary Offering


Kips Bay
Medical, Inc.
2014

Selling Group Member in
Connection with $3
million Secondary Offering


Akers
Biosciences, Inc.
2014

Selling Group Member in
Connection with $15
million Initial Public Offering


Exelixis, Inc.
2014

Selling Group Member in
Connection with $80
million Secondary Offering


Intellicheck
Mobilisa, Inc.
2014

Selling Group Member in
Connection with $3
million Secondary Offering


SuperCom Ltd.
2013

Selling Group Member in
Connection with $12
million Secondary Offering


Opexa
Therapeutics, Inc.
2013

Selling Group Member in
Connection with $7
million Secondary Offering


Synthetic
Biologics, Inc.
2013

Selling Group Member in
Connection with $11
million Secondary Offering


Lipocine, Inc.
2013

Selling Group Member in
Connection with $12
million Secondary Offering


RiT
Technologies Ltd.
2013

Selling Group Member in
Connection with $6
million Secondary Offering


xG Technology,
Inc.
2013

Selling Group Member in
Connection with $10
million Secondary Offering


Synta
Pharmaceuticals, Corp.
2013

Selling Group Member in
Connection with $52
million Secondary Offering


InterCloud Systems, Inc.
2013

Selling Group Member in
Connection with $5
million Secondary Offering


Dynavax
Technologies Corporation
2013

Selling Group Member in
Connection with $86
million Secondary Offering


Cancer
Genetics, Inc.
2013

Selling Group Member in
Connection with $40
million Secondary Offering


Advaxis, Inc.
2013

Selling Group Member in
Connection with $23
million Secondary Offering


CytRx
Corporation
2013

Selling Group Member in
Connection with $23
million Secondary Offering


Fate Therapeutics, Inc.
2013

Selling Group Member in
Connection with $40
million Initial Public Offering


Intra-Cellular Therapies, Inc.
2013

Co-Placement Agent in
Connection with $60
million Private Placement


KaloBios Pharmaceuticals, Inc.
2013

Selling Group Member in
Connection with $30
million Secondary Offering


Evoke
Pharma, Inc.
2013

Selling Group Member in
Connection with $25
million Initial Public Offering


SS&C Technologies
Holdings, Inc.
2013

Selling Group Member in
Connection with $281
million Stock Offering


Plug Power, Inc.
2013

Selling Group Member in
Connection with $10
million Secondary Offering


Cancer
Genetics, Inc.
2013

Selling Group Member in
Connection with $15
million Secondary Offering


Tonix
Pharmaceutical
Holding Corp
2013

Selling Group Member in
Connection with $11
million Unit Offering


Regulus
Therapeutics, Inc.
2013

Selling Group Member in
Connection with $43
million Secondary Offering


ARCA biopharma,
2013

Selling Group Member in
Connection with $20
million Series A Convertible Preferred Stock Offering


inContact, Inc.,
2013

Selling Group Member in
Connection with $45
million Secondary Offering


BioAmber, Inc.,
2013

Selling Group Member in
Connection with $80
million Unit Initial Public Offering


Isis
Pharmaceuticals, Inc.,
2013

Selling Group Member in
Connection with $171
million Secondary Offering


GW
Pharmaceuticals plc,
2013

Selling Group Member in
Connection with $31
ADS Initial Public Offering


Uni-Pixel, Inc.,
2013

Selling Group Member in
Connection with $32
million Secondary Offering


Goodrich Petroleum
Corporation,
2013

Selling Group Member in
Connection with $100
million Series C Preferred Stock Initial Public Offering


Cerus Corporation,
2013


Selling Group Member in
Connection with $35 million
Secondary Offering


Astoria Financial
Corporation,
2013

Selling Group Member in
Connection with $135 million
Series C Preferred Stock Initial Public Offering


Silver Spring
Networks,
2013

Selling Group Member in
Connection with $81 million
Initial Public Offering


Trius Therapeutics,
2013

Selling Group Member in
Connection with $9 million
Secondary Offering


Cytori
Therapeutics, Inc.
2012

Selling Group Member in
Connection with $20 million
Secondary Offering


SolarCity Corporation,
2012

Selling Group Member in
Connection with $92 million
Initial Public Offering


Sarepta Therapeutics, Inc.
2012

Selling Group Member in
Connection with $125 million
Secondary Offering


GreenHunter Energy, Inc.
2012

Selling Group Member in
Connection with $6 million
Series C Preferred Secondary Offering


Magnum Hunter Resources
Corporation,2012

Selling Group Member in
Connection with $24
million Series E Preferred Stock Initial Public Offering


NovaBay Pharma,
2012

Selling Group Member in
Connection with $7 million
Secondary Offering


Cynosure, Inc.
2012

Selling Group Member in
Connection with $66 million
Secondary Offering


Atossa Genetics, Inc.
2012

Selling Group Member in
Connection with $4 million
Initial Public Offering


Aquasition Corp.
2012

Selling Group Member in
Connection with $50 million
Initial Public Offering


OvaScience, Inc.
2012

Co-Placement Agent in
Connection with $42 million
PIPE Offering


ChipMOS Technologies LTD.
2012

Selling Group Member in
Connection with $25 million
Secondary Offering


Immunocellular Therapeutics Ltd.
2012

Selling Group Member in
Connection with $21 million
Secondary and Warrant Offering


Regulus
Therapeutics, Inc.
2012

Selling Group Member in
Connection with $45 million
Initial Public Offering


Horizon Pharma,Inc.
2012

Selling Group Member
in Connection with
$75 million
Secondary and Warrant Offering


Magnum Hunter Resources
Corporation,2012

Selling Group Member in
Connection with $46
million Series D Preferred Stock Secondary Offering


Fluidigm Corporation
2012

Selling Group Member
in Connection with
$52 million
Secondary Offering


GreenHunter
Energy, Inc.
2012

Co-Manager in Connection
with $9 million Series C
Preferred Stock Initial Public Offering


Nanosphere, Inc.
2012

Selling Group Member in
Connection with $25 million
Secondary Offering


Magnum Hunter Resources Corporation,2012

Selling Group Member in
Connection with $158 million
Secondary Offering


Transcept Pharmaceuticals, Inc.
2012

Selling Group Member in
Connection with $41 million
Secondary Offering


Discovery Laboratories, Inc.
2012

Selling Group Member
in Connection with
$45 million
Secondary Offering


InvenSense, Inc.
2012

Selling Group Member
in Connection with
$97 million
Secondary Offering


Amicus
Therapeutics, Inc.
2012

Selling Group Member
in Connection with
$57 million
Secondary Offering


Ceres, Inc.
2012

Selling Group Member
in Connection with
$65 million Initial
Public Offering


Intermolecular, Inc
2011

Selling Group Member
in Connection with
$97 million Initial
Public Offering


InvenSense, Inc.
2011

Selling Group Member
in Connection with
$75 million Initial
Public Offering


Ventrus
Biosciences, Inc.
2011

Selling Group Member
in Connection with $45
million Secondary Offering


Gevo, Inc.
2011

Selling Group Member
in Connection with
$107 million Initial
Public Offering


NeoPhotonics Corp.
2011

Selling Group Member
in Connection with
$83 million Initial
Public Offering


Codexis, Inc.
2010

Selling Group Member
in Connection with
$78 million Initial
Public Offering


A123 Systems, Inc.
2009

Selling Group Member
in Connection with
$378 million Initial
Public Offering


Southwest NanoTechnologies
2009

Placement Agent in Connection with $3 million Equity Investment


LivinGreen
Materials
2009

Financial Advisor in Connection with Company Formation


*MMFX Technologies
2008

Exclusive Placement Agent in
Connection with $55 million Secured Debt Financing


*Southwest NanoTechnologies
2007

Placement Agent in Connection with $5 million Equity Investment


*Starfire Systems
2007

Exclusive Placement Agent in Connection with $10 million Equity Investment


*Luna Innovations
2006

Selling Group Member in Connection with $21 million Initial Public Offering


*pSivida Ltd
2005

Placement Agent in Connection with Completion of $5.6 million PIPE Transaction

*Transactions with an "asterisk" indicate transactions that executives of Livingston Securities completed while at other firms.

Investments that are narrowly-focused will carry higher risks of fluctuation and loss potential than those that are invested more broadly.

Disclosures | Business Continuity | Terms of Use | Member FINRA, SIPC | MSRB Registered