Kingswood Capital Markets

Division of Benchmark Investments, Inc.

Transaction History

Kingswood Capital Markets Transactions

FoxWayne Enterprises Acquisition Corp.
(Nasdaq: FOXWU)
$ 50,000,000
SPAC IPO

Sole Bookrunner

January 2021
CooTek
(NYSE: CTK)
$ 10,000,000
Private Placement

Exclusive Placement Agent

January 2021
Gladstone Land Corp.
(Nasdaq: LAND)
$ 52,500,000

Series D Cumulative Term Preferred Stock Offering

January 2021
Digital Ally Inc.
(Nasdaq: DGLY)
$ 30,950,000
Registered Direct

Exclusive Placement Agent

January 2021
Benessere Capital Acquisition Corp.
(Nasdaq: BENEU)
$ 115,000,000
SPAC IPO

Sole Bookrunner

January 2021
Monaker Group
(Nasdaq: MKGI)
$ 8,855,000

Bought Underwritten Public Offering
Joint Bookrunner

December 2020
GreenBox POS
(OTCQB: GRBX)
$ 1,600,000
Private Placement

Exclusive Placement Agent

December 2020
Ontrak, Inc.
(Nasdaq: OTRK)
$ 42,817,500
Follow-On Offering

Co-Manager

December 2020
CEL-SCI Corporation
(NYSE: CVM)
$ 14,650,000

Bought Underwritten Public Offering
Joint Bookrunner

December 2020
AMMO Inc.
(Nasdaq: POWW)
$ 17,984,999

Underwritten Public Offering
Joint Bookrunner

December 2020
SPI Energy Co., Ltd.
(Nasdaq: SPI)
$ 35,019,900
Registered Direct

Placement Agent

December 2020
Kingswood Acquisition Corp.
(NYSE: KWAC)
$ 115,000,000
SPAC IPO

Issuer

November 2020
Dragon Victory International Limited
(Nasdaq: LYL)
$ 1,500,000
Private Placement

Exclusive Placement Agent

November 2020
Taronis Fuels, Inc.
(OTCQB: TRNF)
$ 10,425,000
Private Placement

Executive Placement Agent

November 2020
U.S. Energy Corp.
(Nasdaq: USEG)
$ 3,450,000
Follow-On Offering

Sole Bookrunner

November 2020
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 5,000,000
Private Placement

Exclusive Placement Agent

October 2020
GreenBox POS
(OTCQB: GRBX)
$ 3,850,000
Private Placement

Exclusive Placement Agent

October 2020
Hyde Caviar, LLC
$ 3,150,000
Debt Financing

Financial Advisor

October 2020
Taronis Fuels, Inc.
(OTCQB: TRNF)
$ 10,850,000
Private Placement

Exclusive Placement Agent

October 2020
Molecular Data Inc.
(Nasdaq: MKD)
$ 5,000,000
Private Placement

Exclusive Placement Agent

October 2020
Gladstone Land Corp.
(Nasdaq: LAND)
$ 23,760,000
Follow-On Offering

Co-Manager

October 2020
American Resources Corp.
(Nasdaq: AREC)
$ 13,000,000
Registered Direct

Exclusive Placement Agent

October 2020
Presidio Property Trust
(Nasdaq: SQFT)
$ 2,500,000
Initial Public Offering

Sole Bookrunner

October 2020
SPI Energy Co., Ltd.
(Nasdaq: SPI)
$ 16,005,600
Registered Direct

Exclusive Placement Agent

September 2020
U.S. Energy Corp.
(Nasdaq: USEG)
$ 1,658,003
Registered Direct

Exclusive Placement Agent

September 2020
Protech Home Medical Corp.
(TSXV: PTQ)
$ 20,000,000
Debt Financing

Financial Advisor

September 2020
BioVie Inc.
(Nasdaq: BIVI)
$ 17,999,800
Uplisting

Joint Bookrunner

September 2020
Muscle Maker Grill
(Nasdaq: GRIL)
$ 5,600,000
Follow-On Offering

Joint Bookrunner

September 2020
Ontrak
(Nasdaq: OTRK)
$ 42,500,000
Series A Preferred

Co-Manager

August 2020
Mediportal
Advisory

Financial Advisor

July 2020
NanoViricides
(AMEX: NNVC)
$ 50,000,000
ATM Offering

Sales Agent

July 2020
Nemaura Medical Inc.
(Nasdaq: NMRD)
$ 11,500,000
Follow-On Offering

Exclusive Placement Agent

July 2020
Monaker Group
(Nasdaq: MKGI)
$ 2,000,000
Registered Direct

Exclusive Placement Agent

July 2020
NanoViricides
(AMEX: NNVC)
$ 11,500,000
Follow-On Offering

Sole Bookrunner

July 2020
Digital Brands Group
Advisory

Financial Advisor

June 2020
Alfi
Advisory

Financial Advisor

June 2020
NanoViricides
(AMEX: NNVC)
$ 10,220,000
Follow-On Offering

Joint Bookrunner

May 2020
Blue Mahoe Capital
Advisory

Financial Advisor

May 2020
Reliance Global Group
(OTCQB: RELI)
Advisory

Financial Advisor

May 2020

Past Transactions

Note: includes transactions completed prior to joining Kingswood Capital Markets

IDW Media Holdings, Inc.
(OTCPK: IDWM)
$ 12,300,000
Private Placement

Financial Advisor

March 2020
Digital Ally
(Nasdaq: DGLY)
$ 2,900,000
Follow-On Offering

Sole Bookrunner

February 2020
Document Security Systems
(NYSE: DSS)
$ 4,600,000
Follow-On Offering

Sole Bookrunner

February 2020
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 4,600,000
Series A Preferred

Sole Bookrunner

February 2020
Zedge, Inc.
(NYSE: ZDGE)
$ 2,250,000
Registered Direct

Financial Advisor

February 2020
Ondas Networks
(OTCPK: ONDS)
Advisory

Financial Advisor

February 2020
IQ International
(ETR: IQL)
Advisory

Financial Advisor

February 2020
Avinger
(Nasdaq: AVGR)
$ 4,500,000
Follow-On Offering

Sole Bookrunner

January 2020
NanoViricides
(AMEX: NNVC)
$ 8,625,000
Follow-On Offering

Sole Bookrunner

January 2020
Torchlight
(Nasdaq: TRCH)
$ 2,300,000
Follow-On Offering

Sole Bookrunner

January 2020
CEL-SCI Corporation
(NYSE: CVM)
$ 6,325,000
Follow-On Offering

Sole Bookrunner

December 2019
Indonesia Energy Corp.
(NYSE: INDO)
$ 15,000,007
Initial Public Offering

Sole Bookrunner

December 2019
Scynexis
(Nasdaq: SCYX)
$ 35,000,000
Follow-On Offering

Co-Manager

December 2019
Arcimoto
(Nasdaq: FUV)
$ 9,000,000
Follow-On Offering

Joint Bookrunner

November 2019
Document Security Systems
(NYSE: DSS)
$ 1,822,200
Private Placement

Placement Agent

November 2019
Indonesia Energy Corp.
(NYSE: INDO)
Advisory

Financial Advisor

October 2019
Cocrystal Pharma
(Nasdaq: COCP)
$ 3,000,000
Follow-On Offering

Sole Bookrunner

October 2019
Happiness Biotech
(Nasdaq: HAPP)
$ 11,000,000
Initial Public Offering

Co-Manager

October 2019
Stemline Therapeutics, Inc.
(Nasdaq: STML)
$ 76,250,000
Follow-On Offering

Co-Manager

August 2019
Sigma Labs
(Nasdaq: SGLB)
$ 2,300,000
Follow-On Offering

Sole Bookrunner

July 2019
Tonix Pharmaceuticals
(Nasdaq: TNXP)
$ 5,400,000
Follow-On Offering

Sole Bookrunner

July 2019
Document Security Systems
(NYSE: DSS)
$ 5,859,593
Follow-On Offering

Sole Bookrunner

June 2019
Gladstone Land
(Nasdaq: LAND)
$ 23,460,000
Follow-On Offering

Co-Manager

June 2019
Jiayin Group Inc
(Nasdaq: JFIN)
$ 36,750,000
Follow-On Offering

Co-Manager

May 2019
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 9,199,167
Follow-On Offering

Sole Bookrunner

May 2019
Genetic Technologies
(Nasdaq: GENE)
$ 1,180,917
Registered Direct

Sole Bookrunner

May 2019
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 1,299,998
Private Placement

Placement Agent

May 2019
Monaker Group
(Nasdaq: MKGI)
$ 1,740,000
Follow-On Offering

Co-Manager

April 2019
FINRA's BrokerCheck

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