Ongoing Engagements
Ongoing Engagement
Capital Markets Advisor
-
Ongoing Engagement
Capital Markets Advisor
-
Ongoing Engagement
Capital Markets Advisor
Ongoing Engagement
Capital Markets Advisor
Completed Transactions
$1,850,000
PIPE
Exclusive Placement Agent
December 2024
$6,000,000
PIPE
Exclusive Placement Agent
December 2024
$6,950,000
Series B Convertible Preferred Stock
Exclusive Placement Agent
December 2024
Â
Completed Engagement
Capital Markets Advisor
December 2024
$16,100,000
PIPE
Co-Placement Agent
December 2024
Capital Markets Advisor
Completed Engagement
December 2024
$3,000,000
Registered Direct
Co-Placement Agent
November 2024
$53,000,000
PIPE
Co-Placement Agent
November 2024
$45,000,000
Merger
Capital Markets Advisor
November 2024
$496,300,000
Merger
Financial Advisor
November 2024
-
$7,000,000
PIPE
Exclusive Placement Agent
November 2024
$4,000,000
US IPO
Co-Manager
November 2024
$2,600,000
Secondary Sale
Introducing Agent
November 2024
$3,500,000
Secondary Sale
Introducing Agent
November 2024
$1,275,000
PIPE
Exclusive Placement Agent
October 2024
$20,600,000
PIPE
Co-Placement Agent
September 2024
$4,000,000
Registered Direct
Co-Placement Agent
September 2024
Completed Engagement
Capital Markets Advisor
September 2024
Capital Markets Advisor
Completed Engagement
August 2024
Â
Capital Markets Advisor
Completed Engagement
August 2024
-
$6,400,000
IPO
Sole Bookrunner
July 2024
-
$10,000,000
Registered Direct
Co-Placement Agent
July 2024
-
$5,000,000
Registered Direct
Co-Placement Agent
June 2024
$110,000,000
Merger
Financial Advisor
June 2024
$8,000,000
PIPE
Financial Advisor
April 2024
Â
Capital Markets Advisor
Completed Engagement
April 2024
Completed Engagement
Capital Markets Advisor
April 2024
-
$6,600,000
PIPE
Financial Advisor
April 2024
Undisclosed
Secondary Sale
Introducing Agent
April 2024
-
$3,000,000
PIPE
Exclusive Placement Agent
April 2024
$50,000,000
PIPE
Financial Advisor
March 2024
-
$75,000,000
Follow-On
Financial Advisor
March 2024
$69,000,000
IPO
Sole Bookrunner
February 2024
-
Completed Engagement
Capital Markets Advisor
January 2024
$1,100,000
Series A
Exclusive Placement Agent
January 2024
$7,000,000
PIPE
Exclusive Placement Agent
January 2024
$80,000,000
PIPE
Financial Advisor
January 2024
$69,000,000
IPO
Co-Manager
December 2023
-
$4,500,000
Follow-On
Co-Placement Agent
December 2023
-
$6,750,000
Secondary Sale
Introducing Agent
December 2023
$60,000,000
IPO
Co-Manager
November 2023
$18,500,000
PIPE
Co-Placement Agent
October 2023
Completed Engagement
Capital Markets Advisor
October 2023
$12,670,000
Secured Note
Sole Placement Agent
October 2023
$69,000,000
IPO
Co-Manager
October 2023
$67,100,000
PIPE
Financial Advisor
October 2023
-
$5,000,000
Registered Direct
Financial Advisor
September 2023
$4,500,000
Follow-On
Co-Placement Agent
September 2023
$4,750,000
Secured Convertible Promissory Note
Co-Placement Agent
September 2023
-
$3,100,000
Series A
Exclusive Placement Agent
September 2023
$335,000,000
Merger
Financial Advisor
September 2023
$25,000,000
Series B
Placement Agent
September 2023
$12,000,000
Registered Direct
Co-Placement Agent
August 2023
$75,000,000
IPO
Co-Manager
August 2023
-
Â
Completed Engagement
Capital Markets Advisor
August 2023
-
$7,000,000
Follow-On
Co-Placement Agent
July 2023
$149,500,000
IPO
Joint Bookrunner
July 2023
$57,500,000
IPO
Co-Manager
June 2023
$5,500,000
PIPE
Financial Advisor
June 2023
Completed Engagement
Capital Markets Advisor
June 2023
$5,000,000
Follow-On
Lead Manager
May 2023
-
$18,000,000
PIPE
Financial Advisor
May 2023
-
Â
Completed Engagement
Capital Markets Advisor
May 2023
-
Completed Engagement
Capital Markets Advisor
April 2023
$6,500,000
PIPE
Co-Placement Agent
April 2023
-
$15,918,000
IPO
Joint Bookrunner
January 2023
$2,800,000
PIPE
Exclusive Placement Agent
January 2023
-
Completed Engagement
Capital Markets Advisor
December 2022
$31,800,000
Unsecured Convertible Promissory Note
Financial Advisor
December 2022
$14,500,000
Follow-On
Co-Placement Agent
December 2022
-
$7,900,000
PIPE
Sole Placement Agent
December 2022
$65,000,000
Follow-On
Financial Advisor
December 2022
$6,000,000
Follow-On
Co-Placement Agent
December 2022
$555,000,000
Merger
Capital Markets Advisor to AGBA
November 2022
-
Completed Engagement
Capital Markets Advisor
November 2022
Â
Completed Engagement
Capital Markets Advisor
November 2022
-
Â
Completed Engagement
Capital Markets Advisor
September 2022
$4,575,000
Series A Convertible Preferred Stock
Sole Placement Agent
August 2022
$3,300,000
Follow-On
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
Financial Advisor
June 2022
-
$8,500,000
Registered Direct
Financial Advisor
June 2022
$15,000,000
Series C-2 Convertible Preferred Stock
Financial Advisor
June 2022
-
$2,820,000
Convertible Note
Exclusive Placement Agent
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.
-
Completed Engagement
Capital Markets Advisor
May 2022
Completed Engagement
Capital Markets Advisor
May 2022
$45,000,000
Follow-On
Co-Manager
April 2022
-
Â
Completed Engagement
Capital Markets Advisor
April 2022
Â
Completed Engagement
Capital Markets Advisor
April 2022
-
$3,000,000
PIPE
Sole Placement Agent
March 2022
-
Â
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
$143,750,000
IPO
Co-Manager
Februrary 2022
$866,000,000
IPO
Co-Manager
January 2022
-
$15,100,000
Convertible Note
Sole Placement Agent
January 2022
$115,000,000
IPO
Co-Manager
January 2022
$77,700,000
IPO
Co-Manager
December 2021
$115,000,000
IPO
Co-Manager
December 2021
$115,000,000
IPO
Co-Manager
December 2021
-
$15,000,000
Follow-On
Co-Manager
December 2021
$550,000,000
IPO
Co-Manager
December 2021
$103,500,000
IPO
Joint Bookrunner
December 2021
$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
$172,500,000
IPO
Co-Manager
October 2021
$15,000,000
Follow-On
Co-Manager
October 2021
$3,825,000
Registered Direct
Financial Advisor
October 2021
-
$10,000,000
Series A Convertible Preferred Stock
Sole Placement Agent
October 2021
$1,000,000,000
IPO
Co-Manager
October 2021
$2,000,000
IPO
Co-Manager
September 2021
$57,500,000
IPO
Joint Bookrunner
September 2021
$157,600,000
IPO
Joint Bookrunner
August 2021
$18,000,000
IPO
Co-Manager
August 2021
$57,500,000
IPO
Joint Bookrunner
August 2021
Â
Completed Engagegment
Capital Markets Advisor
August 2021
$5,000,000
PIPE
Financial Advisor
July 2021
$580,000,000
IPO
Co-Manager
July 2021
-
$18,850,000
Series A Convertible Preferred Stock
Sub Placement Agent
July 2021
-
$9,500,000
PIPE
Sole Placement Agent
June 2021
-
$2,600,000
Follow-On
Co-Manager
June 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.
$170,000,000
IPO
Co-Manager
June 2021
$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
$46,000,000
IPO
Joint Bookrunner
April 2021
$575,000,000
IPO
Co-Manager
April 2021
-
$13,200,000
Follow-On
Co-Manager
April 2021
$575,000,000
IPO
Co-Manager
April 2021
$6,100,000
Series A Convertible Preferred Stock
Exclusive Placement Agent
March 2021
$14,500,000
Follow-On
Co-Manager
March 2021
$4,400,000,000
IPO
Co-Manager
March 2021
-
Completed Engagement
Capital Markets Advisor
March 2021
-
$15,000,000
Registered Direct
Co-Placement Agent
March 2021
$51,750,000
Follow-On
Co-Manager
February 2021
$115,000,000
Follow-On
Co-Manager
February 2021
-
$20,000,000
ATM
Joint Sales Agent
February 2021
Â
Completed Engagement
Capital Markets Advisor
February 2021
$46,000,000
IPO
Joint Bookrunner
February 2021
$10,000,000
Series B Convertible Preferred Stock
Exclusive Placement Agent
February 2021
$440,000,000
IPO
Co-Manager
February 2021
$23,000,000
IPO
Co-Manager
January 2021
$75,600,000
Follow-On
Co-Manager
January 2021
-
$42,607,394
Follow-On
Financial Advisor
January 2021
-
$35,000,000
Registered Direct
Co-Placement Agent
January 2021
Â
Completed Engagement
Capital Markets Advisor
January 2021
-
Â
Completed Engagement
Capital Markets Advisor
January 2021
-
Â
Completed Engagement
Capital Markets Advisor
January 2021
$2,000,000,000
IPO
Co-Manager
January 2021
$18,000,000
Convertible Note
Exclusive Placement Agent
January 2021
$115,000,000
IPO
Co-Manager
January 2021
-
$85,000,000
Follow-On
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
Co-Manager
December 2020
$1,000,000,000
IPO
Co-Manager
November 2020
$8,000,000
Follow-On
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.
$1,250,000,000
IPO
Co-Manager
October 2020
-
$46,000,000
Follow-On
Co-Manager
October 2020
-
$7,800,000
Follow-On
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
Co-Manager
August 2020
$780,000,000
IPO
Co-Manager
August 2020
$198,900,000
Follow-On
Financial Advisor
July 2020
$40,000,000
IPO
Joint Bookrunner
July 2020
$80,500,000
Follow-On
Co-Manager
July 2020
$134,800,000
Follow-On
Co-Manager
July 2020
$43,700,000
Follow-On
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
PIPE
Co-Placement Agent
June 2020
-
$11,500,000
Follow-On
Co-Manager
June 2020
$100,000,000
IPO
Co-Manager
June 2020
-
Completed Engagement
Capital Markets Advisor
June 2020
-
Â
Completed Engagement
Capital Markets Advisor
June 2020
-
Â
Completed Engagement
Capital Markets Advisor
June 2020
$665,000,000
IPO
Co-Manager
June 2020
-
$1,130,000
Series C Convertible Preferred Stock
Exclusive 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
Co-Placement Agent
April 2020
-
$80,500,000
Follow-On
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
$4,000,000
Series A Convertible Preferred Stock
Financial Advisor
February 2020
-
$2,100,000,000
IPO
Co-Manager
January 2020
$7,000,000
Follow-On
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
Co-Manager
December 2019
-
Completed Engagement
Capital Markets Advisor
December 2019
$11,000,000
Convertible Note
Placement Agent
December 2019
-
$40,250,000
Follow-On
Co-Manager
December 2019
-
Â
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.
-
Â
Completed Engagement
Capital Markets Advisor
November 2019
$365,000,000
IPO
Co-Manager
November 2019
$615,000,000
IPO
Co-Manager
October 2019
$200,000,000
IPO
Co-Manager
October 2019
$810,000,000
IPO
Co-Manager
September 2019
Acquisition
"Seller's Choice"
Buy-Side Advisor
September 2019
$7,500,000
Series A Convertible Preferred Stock
Exclusive Placement Agent
September 2019
-
$8,700,000
Follow-On
Co-Manager
September 2019
-
$10,500,000
Follow-On
Co-Manager
August 2019
$365,000,000
IPO
Co-Manager
July 2019
-
$55,900,000
Follow-On
Co-Manager
July 2019
$1,400,000,000
IPO
Co-Manager
June 2019
-
$15,600,000
Follow-On
Co-Placement Agent
June 2019
-
$143,700,000
IPO
Co-Manager
June 2019
$8,000,000
PIPE
Co-Placement Agent
June 2019
-
$215,000,000
IPO
Co-Manager
May 2019
$10,000,000
Registered Direct & PIPE
Financial Advisor
May 2019
-
$9,300,000
Follow-On
Co-Manager
April 2019
-
$2,100,000
Follow-On
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
Co-Manager
March 2019
$485,000,000
Merger
M&A Advisor
March 2019
$57,500,000
IPO
Co-Manager
February 2019
$25,000,000
Series B Convertible Preferred Stock
Exclusive Placement Agent
February 2019
$5,000,000
Series B Convertible Preferred Stock
Sole Placement Agent
February 2019
$850,000,000
IPO
Co-Manager
January 2019
$8,600,000
Follow-On
Co-Manager
January 2019
$25,000,000
PIPE
Financial Advisor
January 2019
-
$5,700,000
Series C Convertible Note
Co-Placement Agent
January 2019
$70,000,000
IPO
Co-Manager
December 2018
-
$13,800,000
Follow-On
Financial Advisor
November 2018
$17,000,000
Follow-On
Financial Advisor
November 2018
$127,000,000
IPO
Co-Manager
October 2018
$10,900,000
Follow-On
Co-Manager
September 2018
-
$10,000,000
Follow-On
Co-Manager
September 2018
$4,000,000
PIPE
Financial Advisor
September 2018
$46,000,000
Follow-On
Co-Manager
August 2018
$75,000,000
Follow-On
Co-Manager
August 2018
-
$7,600,000
Series A-1 Convertible Preffered Stock
Sole Placement Agent
August 2018
$1,440,000
Warrant Exchange
Sole Solicitation Agent
August 2018
-
$16,560,000
Follow-On
Co-Manager
July 2018
-
$74,000,000
IPO
Financial Advisor
July 2018
$27,600,000
Series C Convertible Preferred Stock
Placement Agent
July 2018
-
$20,700,000
Follow-On
Co-Manager
May 2018
-
$5,000,000
PIPE
Sole Placement Agent
April 2018
-
$30,000,000
Follow-On
Co-Manager
March 2018
-
$115,000,000
IPO
Lead Manager
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
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
-
$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
Co-Placement Agent
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
Sole Placement Agent
November 2013
-
$150,000,000
Registered Direct New Issue Convertible Debt
Immediately Redeemable
Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.
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.