FINRA SIPC
  
Ticker Symbol Company Name

Representative Capital Formation

 

$15,940,000

(Nasdaq: BOFI)

Common Stock

Sole Underwritten Secondary Public Offering

$18,720,000

(Nasdaq: KTOS)

Common Stock

Registered Direct
Offering (RDO)

$7,500,000

Series A and Series B
Preferred Stock

Senior Credit Facility
and Convertible Notes

$20,500,000

Senior Credit Facility and
Convertible Preferred Stock

$17,085,000

Common Stock

$25,000,000

Senior Credit Facility

$49,500,000

Senior Credit Facility
and Subordinated Debt

$20,007,000

Common Stock

$14,800,000

Convertible Preferred Stock

$25,000,000

Senior Secured
Subordinated Notes

14,800,000 Shares

Common Stock

$30,300,000

Acquisition Financing

4,200,000 Shares

Common Stock

$20,000,000

Senior Credit Facility
and Convertible Notes

$65,400,000

Subordinated Notes

4,887,500 Shares

Common Stock

$24,400,000

Series D Convertible
Preferred Stock

1,350,000 Shares

Common Stock