AFFILIATES:

Brookline Capital Markets

Completed Transactions

Ongoing Engagements

  • Ongoing Engagement

  • Ongoing Engagement

  • Ongoing Engagement

  • Ongoing Engagement

Completed Transactions

  • $450,000,000

    Merger

    Financial Advisor

    September 2022

  • $4,575,000

    Convertible Preferred Stock

    Exclusive Placement Agent

    August 2022

  • $3,300,000

    Follow On Offering

    Co-Manager

    August 2022

  • $287,000,000

    Merger

    Capital Markets Advisor

    August 2022

  • Merger

    Brookline Capital Holdings, LLC as Sponsor

    August 2022

  • $15,000,000

    Registered Direct Offering

    Financial Advisor

    June 2022

  • $8,500,000

    Registered Direct Offering

    Financial Advisor

    June 2022

  • $15,000,000

    Series C-2

    Convertible Preferred Stock

    Financial Advisor

    June 2022

  • $936,435,859

    Convertible & Derivative Unwind Advisory

    100% Unwind of Tax-Integrated Warrant and Bond Hedge & Concurrent

    2023 & 2024 Convertible Debt Repurchase

    Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.

  • Capital Markets Advisor

    Completed Engagement

    May 2022

  • Capital Markets Advisor

    Completed Engagement

    May 2022

  • $45,000,000

    Follow-On Offering

    Co-Manager

    April 2022

  • Completed Engagement

    Capital Markets Advisor

    April 2022

  • $3,000,000

    PIPE

    Exclusive Placement Agent

    March 2022

  • Completed Engagement

    Capital Markets Advisor

    March 2022

  • $376,867,000

    IPO

    Co-Manager

    February 2022

  • $165,000,000

    IPO

    Co-Manager

    February 2022

  • Completed Engagement

    Capital Markets Advisor

    February 2022

  • Relativity Acquisition Corp.

    $143,750,000

    IPO

    Co-Manager

    Februrary 2022

  • $866,000,000

    IPO

    Co-Manager

    January 2022

  • $15,000,000

    Convertible Note

    Exclusive Placement Agent

    January 2022

  • Western Venturas Acquisition Corp.

    $115,000,000

    IPO

    Co-Manager

    January 2022

  • Larkspur Health Acquisition Corp.

    $77,700,000

    IPO

    Co-Manager

    December 2021

  • Ault Disruptive Technologies Corporation

    $115,000,000

    IPO

    Co-Manager

    December 2021

  • Alpha Star Acquisition Corp

    $115,000,000

    IPO

    Co-Manager

    December 2021

  • IceCure Medical Ltd.

    $15,000,000

    Follow-On Offering

    Co-Manager

    December 2021

  • Inception Growth Acquisition Ltd

    $103,500,000

    IPO

    Co-Manager

    December 2021

  • Guggenheim Active Allocation Fund

    $655,000,000

    IPO

    Co-Manager

    November 2021

  • $700,000,000

    Senior Priority Guaranteed Notes Offering

    Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.

  • $115,000,000

    IPO

    Co-Manager

    October 2021

  • Mount Rainier Acquisition Corp

    $150,000,000

    IPO

    Co-Manager

    October 2021

  • $15,000,000

    Follow-On Offering

    Co-Manager

    October 2021

  • $3,825,000

    Registered Direct

    Financial Advisor

    October 2021

  • Mainstay CBRE Global Infrastructure

    $1,000,000,000

    IPO

    Co-Manager

    October 2021

  • $10,000,000

    Series A Convertible Preferred Stock

    Sole Placement Agent

    October 2021

  • $1,000,000,000

    IPO

    Co-Manager

    October 2021

  • HHG Capital Corporation

    $50,000,000

    IPO

    Joint Bookrunner

    September 2021

  • Jupiter Acquisition Corp.

    $157,600,000

    IPO

    Joint Bookrunner

    August 2021

  • $18,000,000

    IPO

    Co-Manager

    August 2021

  • Nova Vision Acquisition Corp.

    $57,500,000

    IPO

    Joint Bookrunner

    August 2021

  • Financial Advisor

    Advisor

    August 2021

  • $5,000,000

    PIPE

    Financial Advisor

    July 2021

  • $9,500,000

    PIPE

    Sole Placement Agent

    July 2021

  • $580,000,000

    IPO

    Co-Manager

    July 2021

  • $18,850,000

    Series A Convertible Preferred Stock

    Sub Placement Agent

    July 2021

  • $551,051,467

    Warrant Dividend Distributed to All Holders of Common Stock

    3,306,309 Warrants Distributed Exercisable with Cash or Bonds

    Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.

  • $2,600,000

    Follow-On Offering

    Co-Manager

    June 2021

  • Global Consumer Acquisition Corp.

    $170,000,000

    IPO

    Co-Manager

    June 2021

  • Golden Path Acquisition Corp.

    $57,500,000

    IPO

    Co-Manager

    June 2021

  • $1,000,000,000

    IPO

    Co-Manager

    June 2021

  • $1,500,000,000

    IPO

    Co-Manager

    May 2021

  • Ace Global Business Acquisition Ltd.

    $46,000,000

    IPO

    Joint Bookrunner

    April 2021

  • Protogenic Therapeutics

    $13,200,000

    Follow-On Offering

    Co-Manager

    April 2021

  • Nuveen Variable Rate Preferred & Income Fund

    $575,000,000

    IPO

    Co-Manager

    April 2021

  • $575,000,000

    IPO

    Co-Manager

    April 2021

  • $13,200,000

    Follow-On Offering

    Co-Manager

    April 2021

  • $14,500,000

    Follow-On Offering

    Co-Manager

    March 2021

  • $4,400,000,000

    IPO

    Co-Manager

    March 2021

  • Asceptiscope

    $6,400,000

    Series A Convertible Preferred Stock

    Exclusive Placement Agent

    March 2021

  • Completed Engagement

    Capital Markets Advisor

    March 2021

  • $15,000,000

    Registered Direct

    Co-Placement Agent

    March 2021

  • $51,750,000

    Follow-On Offering

    Co-Manager

    February 2021

  • $115,000,000

    Follow-On Offering

    Co-Manager

    February 2021

  • $20,000,000

    ATM Offering

    Joint Sales Agent

    February 2021

  • Completed Engagement

    Capital Markets Advisor

    February 2021

  • Venus Acquisition Corp.

    $46,000,000

    IPO

    Joint Bookrunner

    February 2021

  • True Health

    $10,000,000

    Series B Convertible Preferred Stock Offering

    Exclusive Placement Agent

    February 2021

  • $10,000,000

    Series B Convertible Preferred Stock

    Sole Placement Agent

    February 2021

  • $6,000,000

    Limited Partnership

    Financial Advisor

    February 2020

  • Rivernorth Fexible Municiple Income Fund II

    $440,000,000

    IPO

    Co-Manager

    February 2021

  • $42,607,394

    Follow-On Offering

    Financial Advisor

    January 2021

  • $23,000,000

    IPO

    Co-Manager

    January 2021

  • Big Cyprus Acquisition Corp.

    $100,000,000

    IPO

    Co-Manager

    January 2021

  • $75,600,000

    Follow-On Offering

    Co-Manager

    January 2021

  • $35,000,000

    Registered Direct

    Co-Placement Agent

    January 2021

  • Completed Engagement

    Capital Markets Advisor

    January 2021

  • Completed Engagement

    Capital Markets Advisor

    January 2021

  • Completed Engagement

    Capital Markets Advisor

    January 2021

  • $2,000,000,000

    IPO

    Co-Manager

    January 2021

  • $18,000,000

    Convertible Note

    Sole Placement Agent

    January 2021

  • Big Cypress Acquisition Corp.

    $115,000,000

    IPO

    Co-Manager

    January 2021

  • $85,000,000

    Follow-On Offering

    Co-Manager

    December 2020

  • 9 Meters Biopharma

    $34,500,500

    Follow-On Offering

    Co-Manager

    December 2020

  • $10,500,000

    Registered Direct

    Financial Advisor

    December 2020

  • $8,500,000

    Registered Direct

    Financial Advisor

    December 2020

  • $34,500,000

    Follow-On Offering

    Co-Manager

    December 2020

  • InMed Pharmaceuticals

    $8,000,000

    Follow-On Offering

    Co-Manager

    November 2020

  • $28,000,000

    Public Convertible Debt Exchange

    Immediately Redeemable

    *B. Dyson Capital Advisors acted as sole financial advisor

    Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.

  • PGM Short Duration Yield Income Fund

    $1,000,000,000

    IPO

    Co-Manager

    November 2020

  • $1,250,000,000

    IPO

    Co-Manager

    October 2020

  • $46,000,000

    Follow-On Offering

    Co-Manager

    October 2020

  • $7,800,000

    Follow-On Offering

    Co-Manager

    September 2020

  • $2,400,000,000

    IPO

    Co-Manager

    September 2020

  • CAD $6,500,000

    PIPE

    Lead US Placement Agent

    August 2020

  • $15,000,000

    Follow-On Offering

    Co-Manager

    August 2020

  • $780,000,000

    IPO

    Co-Manager

    August 2020

  • $198,900,000

    Follow-On Offering

    Financial Advisor

    July 2020

  • Greencity Acquisition Corp.

    $40,000,000

    IPO

    Co-Manager

    July 2020

  • $80,500,000

    Follow-On Offering

    Co-Manager

    July 2020

  • $134,800,000

    Follow-On Offering

    Co-Manager

    July 2020

  • $43,700,000

    Follow-On Offering

    Co-Manager

    July 2020

  • $10,000,000

    Registered Direct

    Financial Advisor

    July 2020

  • $80,000,000

    PIPE

    Financial Advisor

    July 2020

  • $177,000,000

    IPO

    Co-Manager

    July 2020

  • CAD $10,100,000

    Private Placement

    Co-Placement Agent

    June 2020

  • $11,500,000

    Follow-On Offering

    Co-Manager

    June 2020

  • $100,000,000

    IPO

    Co-Manager

    June 2020

  • Completed Engagement

    Capital Markets Advisor

    June 2020

  • Completed Engagement

    Capital Markets Advisor

    June 2020

  • Completed Engagement

    Capital Markets Advisor

    June 2020

  • $665,000,000

    IPO

    Co-Manager

    June 2020

  • $1,130,000

    Series C Convertible Preferred Stock

    Sole Placement Agent

    May 2020

  • $4,300,000

    Registered Direct

    Co-Placement Agent

    May 2020

  • $5,000,000

    Registered Direct

    Co-Placement Agent

    April 2020

  • $20,000,000

    Follow-On Offering

    Co-Placement Agent

    April 2020

  • $80,500,000

    Follow-On Offering

    Financial Advisor

    April 2020

  • $500,000,000

    IPO

    Co-Manager

    March 2020

  • $110,000,000

    IPO

    Co-Manager

    March 2020

  • $920,000,000

    IPO

    Co-Manager

    February 2020

  • $10,000,000

    Registered Direct

    Co-Placement Agent

    February 2020

  • $4,800,000

    Registered Direct

    Financial Advisor

    February 2020

  • $13,000,000

    Series A Convertible Preferred Stock

    Sole Placement Agent

    February 2020

  • True Health

    $6,000,000

    Series A Convertible Preferred Stock

    Financial Advisor

    February 2020

  • $2,100,000,000

    IPO

    Co-Manager

    January 2020

  • $7,000,000

    Follow-On Offering

    Co-Manager

    January 2020

  • $4,400,000

    Registered Direct

    Sole Placement Agent

    January 2020

  • $10,200,000

    IPO

    Co-Manager

    December 2019

  • $7,100,000

    Convertible Note

    Sub Placement Agent

    December 2019

  • $40,300,000

    Follow-On Offering

    Co-Manager

    December 2019

  • Completed Engagement

    Capital Markets Advisor

    December 2019

  • $11,000,000

    Convertible Note

    Sole Placement Agent

    December 2019

  • $35,000,000

    Follow-On Offering

    Co-Manager

    December 2019

  • $40,250,000

    Follow-On Offering

    Co-Manager

    December 2019

  • Completed Engagement

    Capital Markets Advisor

    November 2019

  • $114,300,000

    Public Convertible Debt Exchange

    Immediately Redeemable

    Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.

  • Completed Engagement

    Capital Markets Advisor

    November 2019

  • $365,000,000

    IPO

    Co-Manager

    November 2019

  • Allianz Artificial Inteligence Fund

    $615,000,000

    IPO

    Co-Manager

    October 2019

  • $200,000,000

    IPO

    Co-Manager

    October 2019

  • $810,000,000

    IPO

    Co-Manager

    September 2019

  • “Seller’s Choice”|Acquisition

    September 2019

  • $7,500,000

    Series A Convertible Preferred Stock

    Placement Agent

    September 2019

  • $8,700,000

    Follow-On Offering

    Co-Manager

    September 2019

  • $10,500,000

    Follow-On Offering

    Co-Manager

    August 2019

  • $365,000,000

    IPO

    Co-Manager

    July 2019

  • $55,900,000

    Follow-On Offering

    Co-Manager

    July 2019

  • BlackRock Science and Technology Trust II

    $1,400,000,000

    IPO

    Co-Manager

    June 2019

  • $15,600,000

    Follow-On Offering

    Co-Placement Agent

    June 2019

  • $143,700,000

    IPO

    Co-Manager

    June 2019

  • $8,000,000

    PIPE

    Co-Placement Agent

    June 2019

  • Angel Oak Financial Strategies Income Term Trust

    $215,000,000

    IPO

    Co-Manager

    May 2019

  • $10,000,000

    PIPE|Registered Direct

    PIPE|Registered Direct

    May 2019

  • $9,300,000

    Follow-On Offering

    Co-Manager

    April 2019

  • $2,100,000

    Follow-On Offering

    Co-Placement Agent

    April 2019

  • $260,000,000

    IPO

    Co-Manager

    March 2019

  • $3,000,000

    Registered Direct

    Co-Placement Agent

    March 2019

  • $57,500,000

    IPO

    Co-Manager

    March 2019

  • $34,500,000

    Follow-On Offering

    Co-Manager

    March 2019

  • $485,000,000

    Merger

    M&A Advisor

    March 2019

  • Wealthbridge Acquisition Corp.

    $57,500,000

    IPO

    Co-Manager

    February 2019

  • $25,000,000

    Series B Convertible Preferred Stock

    Sole Placement Agent

    February 2019

  • Geneos Therapeutics

    $5,000,000

    Series B Convertible Preferred Stock

    Exclusive Placement Agent

    February 2019

  • $850,000,000

    IPO

    Co-Manager

    January 2019

  • $8,600,000

    Follow-On Offering

    Co-Manager

    January 2019

  • $25,000,000

    PIPE

    Financial Advisor

    January 2019

  • $5,700,000

    Convertible Note

    Sole Placement Agent

    January 2019

  • $70,000,000

    IPO

    Co-Manager

    December 2018

  • $13,800,000

    Follow-On Offering

    Financial Advisor

    November 2018

  • $17,000,000

    Follow-On Offering

    Financial Advisor

    November 2018

  • $127,000,000

    IPO

    Co-Manager

    October 2018

  • $10,900,000

    Follow-On Offering

    Co-Manager

    September 2018

  • $10,000,000

    Follow-On Offering

    Co-Manager

    September 2018

  • $4,000,000

    PIPE

    Financial Advisor

    September 2018

  • $46,000,000

    Follow-On Offering

    Co-Manager

    August 2018

  • $75,000,000

    Follow-On Offering

    Co-Manager

    August 2018

  • $7,600,000

    Series A-1 Convertible Preffered Stock

    Exclusive Placement Agent

    August 2018

  • $1,440,000

    Warrant Exchange

    Sole Solicitation Agent

    August 2018

  • $16,560,000

    Follow-On Offering

    Co-Manager

    July 2018

  • $74,000,000

    IPO

    Financial Advisor

    July 2018

  • $27,600,000

    Series C Convertible Preferred Stock

    Sole Placement Agent

    July 2018

  • $20,700,000

    Follow-On Offering

    Co-Manager

    May 2018

  • $5,000,000

    PIPE

    Sole Placement Agent

    April 2018

  • $30,000,000

    Follow-On Offering

    Co-Manager

    March 2018

  • $115,000,000

    IPO

    Lead Manager

    February 2018

  • AIT Therapeutics

    $9,820,000

    PIPE

    Co-Placement Agent

    February 2018

  • $6,000,000

    Convertible Note

    Sole Placement Agent

    February 2018

  • $9,820,000

    PIPE

    Co-Placement Agent

    February 2018

  • $5,500,000

    Follow-On Offering

    Co-Lead Placement Agent

    January 2018

  • $23,000,000

    Series B Convertible Preferred Stock

    Sole Placement Agent

    December 2017

  • $140,000,000

    IPO

    Co-Manager

    November 2017

  • $6,000,000

    Series A Convertible Preferred Stock

    Sole Placement Agent

    November 2017

  • $216,000,000

    IPO

    Co-Manager

    October 2017

  • Dreyfus Alcentra Global Credit Income 2024 Target Term Fund Inc

    $150,000,000

    IPO

    Co-Manager

    October 2017

  • $3,000,000

    PIPE

    Sole Placement Agent

    August 2017

  • $35,000,000

    Series B Convertible Preferred Stock

    Sole Placement Agent

    August 2017

  • $13,300,000

    PIPE

    Co-Placement Agent

    May 2017

  • $5,000,000

    Convertible Note

    Sole Placement Agent

    May 2017

  • $5,300,000

    Series B Convertible Preferred Stock

    Sole Placement Agent

    May 2017

  • $52,500,000

    IPO

    Financial Advisor

    March 2017

  • $5,600,000

    PIPE

    Financial Advisor

    February 2017

  • $7,000,000

    Series A Convertible Preferred Stock

    Sole Placement Agent

    February 2017

  • $8,000,000

    Series B Convertible Preferred Stock

    Sole Placement Agent

    December 2016

  • $23,000,000

    Series B Convertible Preferred Stock

    Co-Placement Agent

    November 2016

  • $6,000,000

    PIPE

    Sole Placement Agent

    August 2016

  • $35,000,000

    PIPE

    Financial Advisor

    July 2016

  • $12,000,000

    PIPE

    Co-Placement Agent

    June 2016

  • $22,000,000

    PIPE

    Co-Placement Agent

    April 2016

  • $3,100,000

    Convertible Sub Note

    Sole Placement Agent

    February 2016

  • $5,300,000

    PIPE

    Sole Placement Agent

    December 2015

  • $56,000,000

    Series A Convertible Preferred Stock

    Sole Placement Agent

    October 2015

  • $6,900,000

    Convertible Sub Note

    Sole Placement Agent

    July 2015

  • $20,000,000

    PIPE

    Co-Placement Agent

    June 2015

  • $10,000,000

    Series A Convertible Preferred Stock

    Sole Placement Agent

    March 2015

  • $10,000,000

    PIPE

    Sole Placement Agent

    December 2014

  • $4,000,000

    Convertible Note

    Sole Placement Agent

    November 2014

  • $27,000,000

    Series B Convertible Preferred Stock

    Co-Placement Agent

    September 2014

  • $10,000,000

    Series A Convertible Preferred Stock

    Sole Placement Agent

    May 2014

  • $20,000,000

    PIPE

    Co-Placement Agent

    April 2014

  • $4,000,000

    Secured Note & Warrants

    Sole Placement Agent

    March 2014

  • $2,500,000

    PIPE

    Sole Placement Agent

    March 2014

  • $4,000,000

    Convertible Note

    Exclusive Placement Agent

    November 2013

  • $1,000,000,000

    IPO

    Co-Manager

    November 2020

  • $8,000,000

    Follow-On Offering

    Co-Manager

    November 2020

  • $615,000,000

    IPO

    Co-Manager

    October 2019

  • $150,000,000

    Registered Direct New Issue Convertible Debt

    Immediately Redeemable

  • $6,100,000

    Series A Convertible Preferred Stock

    Sole Placement Agent

    March 2021

All figures include transactions conducted through CIM Securities, LLC.
Brookline Capital Markets was a division of CIM Securities, LLC from January 2016 through May 2019.