Kingswood Capital Markets

Division of Benchmark Investments, Inc.

Transaction History

Kingswood Capital Markets Transactions

HNR Acquisition Corp.
$ 100,000,000
SPAC IPO

Sole Bookrunner

Pending
American Acquisition Opportunity Inc.
$ 100,000,000
SPAC IPO

Sole Bookrunnner

Pending
Gladstone Acquisition Corporation
$ 100,000,000
SPAC IPO

Sole Bookrunner

Pending
HHG Capital Corporation
$ 50,000,000
SPAC IPO

Sole Bookrunner

Pending
Maquia Capital Acquisition Corporation
$ 200,000,000
SPAC IPO

Sole Bookrunner

Pending
Protagenic Therapeutics
(OTCPK: PTIX)
$ 18,000,000
Uplisting

Sole Bookrunner

Pending
Gaucho Group Holdings, Inc.
(Nasdaq: VINO)
$ 8,000,000
Uplisting

Sole Bookrunner

February 2021
Press Release
GreenBox POS
(Nasdaq: GBOX)
$ 50,111,250
Uplisting

Sole Bookrunner

February 2021
Press Release
U.S. Energy Corp.
(Nasdaq: USEG)
$ 5,771,160
Underwritten Public Offering

Sole Bookrunner

February 2021
Press Release
Longeveron
(Nasdaq: LGVN)
$ 26,600,000
Initial Public Offering

Sole Bookrunner

February 2021
Press Release
Babcock & Wilcox Enterprises, Inc.
(NYSE: BW)
$ 125,000,000
Senior Notes

Co-Manager

February 2021
Press Release
COMSovereign Holding Corp.
(Nasdaq: COMS)
$ 27,599,997
Underwritten Public Offering

Sole Bookrunner

February 2021
Press Release
Reliance Global Group
(Nasdaq: RELI)
$ 12,420,000
Uplisting

and Underwritten Public Offering
Sole Bookrunner

February 2021
Press Release
SPI Energy Co., Ltd.
(Nasdaq: SPI)
$ 14,732,396
Registered Direct

Placement Agent

February 2021
Press Release
PEDEVCO Corp.
(NYSE: PED)
$ 8,952,750
Underwritten Public Offering

Sole Bookrunner

February 2021
Press Release
Digital Ally Inc.
(Nasdaq: DGLY)
$ 40,040,000
Registered Direct

Exclusive Placement Agent

January 2021
Press Release
CooTek (Cayman) Inc.
(NYSE: CTK)
$ 20,000,000
Private Placement

Exclusive Placement Agent

January 2021
COMSovereign Holding Corp.
(Nasdaq: COMS)
$ 17,371,219
Uplisting

and Underwritten Public Offering
Sole Bookrunner

January 2021
Press Release
B. Riley Financial, Inc.
(Nasdaq: RILY)
$ 230,000,000
Senior Notes

Co-Manager

January 2021
Press Release
Dragon Victory International Limited
(Nasdaq: LYL)
$ 2,000,000
Private Placement

Exclusive Placement Agent

January 2021
FoxWayne Enterprises Acquisition Corp.
(Nasdaq: FOXWU)
$ 57,500,000
SPAC IPO

Sole Bookrunner

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

Exclusive Placement Agent

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

Series D Cumulative Term

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

Exclusive Placement Agent

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

Sole Bookrunner

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

Bought Underwritten Public Offering
Joint Bookrunner

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

Bought Underwritten Public Offering
Joint Bookrunner

December 2020
Press Release
AMMO Inc.
(Nasdaq: POWW)
$ 20,607,149
Uplisting

Joint Bookrunner

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

Placement Agent

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

Issuer

November 2020
Press Release
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

Exclusive Placement Agent

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

Sole Bookrunner

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

Exclusive Placement Agent

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

Exclusive Placement Agent

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

Exclusive Placement Agent

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

Sole Bookrunner

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

Exclusive Placement Agent

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

Exclusive Placement Agent

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

Joint Bookrunner

September 2020
Press Release
Ontrak
(Nasdaq: OTRK)
$ 42,500,000
Preferred / Senior Notes

Co-Manager

August 2020
Press Release
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
Press Release
Monaker Group
(Nasdaq: MKGI)
$ 2,000,000
Registered Direct

Exclusive Placement Agent

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

Sole Bookrunner

July 2020
Press Release
NanoViricides
(AMEX: NNVC)
$ 10,220,000
Registered Direct

Placement Agent

May 2020
Press Release

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
Preferred / Senior Notes

Sole Bookrunner

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

Financial Advisor

February 2020
Ondas Networks
(OTCPK: ONDS)

Financial Advisor

February 2020
IQ International
(ETR: IQL)

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

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)

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

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

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

This site has been designed for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security which may be referenced upon the site. Such offers can only be made where lawful under applicable law. The services and information provided through this site are for personal, noncommercial use and display. Benchmark Investments, Inc. does not intend to provide investment advice through this site and does not represent that the securities or services discussed are suitable for any investor. Investors are advised not to rely on any information contained in the site in the process of making a fully informed investment decision. Benchmark Investments Inc. does not, and this site does not intend to, render tax or legal advice. Individuals and firms may only transact business in a jurisdiction after satisfying its licensing and qualification requirements or after being excluded or exempted. Investment adviser agents and investment adviser representatives are some of the common names for registered individuals and firms. Consumers should contact securities law administrators in their jurisdiction for information concerning the license status or disciplinary history of a registered individual or firm. Summaries of information regarding registered agents and principals of Benchmark Investments Inc and regarding the firm may be found at https://brokercheck.finra.org. Comparable Services may be available for a lower cost. Benchmark Investments Inc. is not responsible for the collection, use or security of information by companies or organizations outside of Benchmark Investments Inc. that may be linked to our websites. Links to non-Benchmark Investments Inc sites are provided for convenience only and are accessed at your own risk. The information available on these sites has been produced by unaffiliated third parties and Benchmark Investments Inc. does not guarantee its timeliness, sequence, accuracy, adequacy or completeness and make no warranties with respect to results to be obtained from its use. Any opinions or recommendations expressed therein are solely those of the third party information providers and are not the opinions or recommendations of Benchmark Investments Inc. No endorsement of third party products, services or information is expressed or implied by any information, material or content referred to or included on, or linked from or to this website. Under no circumstances should the information be construed as an offer to sell or solicitation of an offer to buy a particular security. Consumers are encouraged to read the privacy policies of websites reached through the use of links from the Benchmark Investments Inc. website. Clearing Services provided RBC Correspondent Services, Inc. Benchmark Investments Inc. is a member of FINRA and SIPC.

en English
zh-CN Chinese (Simplified)en Englishiw Hebrewpt Portuguesees Spanish