Tag: Maxim Group

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Article: 180 Life Sciences Corp. Announces Closing of $11.7 Million Private Placement

Article - Media, Publications

180 Life Sciences Corp. Announces Closing of $11.7 Million Private Placement

GLOBE NEWSWIRE, 25 February 2021

180 Life Sciences Corp. (NASDAQ: ATNF) (180 Life Sciences or the “Company”), a clinical-stage biotechnology company with its lead indication in Phase 2b/3, focused on the development of novel drugs that fulfill unmet needs in inflammatory diseases, fibrosis and pain, today announced the closing of its previously announced private placement of 2,564,000 shares of its common stock and accompanying warrants to purchase an aggregate of up to 2,564,000 shares of common stock at a combined purchase price of $4.55 per share and accompanying warrant. The warrants are exercisable immediately at an exercise price of $5.00 per share and expire five years from the date of issuance. Gross proceeds were approximately $11.7 million, before deducting placement agent fees and other offering expenses. The Company currently intends to use the net proceeds from this offering for general corporate purposes, working capital, and for the research and development of the Company’s programs that are not funded by grants.

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Article: Form 8-K 180 Life Sciences Corp.

Article - Media, Publications

Form 8-K 180 Life Sciences Corp.

EDGAR AGENTS LLC, 24 February 2021

On February 19, 2021, 180 Life Sciences Corp. (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with the purchasers identified on the signature pages thereto (the “Purchasers”) pursuant to which the Company agreed to sell to the Purchasers an aggregate of 2,564,000 shares (the “Shares”) of the common stock, par value $0.0001 per share, of the Company (“Common Stock”), and warrants to purchase up to an aggregate of 2,564,000 shares of Common Stock (the “Warrants”), at a combined purchase price of $4.55 per Share and accompanying Warrant (the “Offering”). Aggregate gross proceeds from the Offering are expected to be approximately $11.7 million, prior to deducting placement agent fees and estimated offering expenses payable by the Company. Net proceeds to the Company from the Offering, after deducting the placement agent fees and estimated offering expenses payable by the Company, are expected to be approximately $10.8 million. The Offering closed on February 23, 2021. Continue reading “Article: Form 8-K 180 Life Sciences Corp.”

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Article: 180 Life Sciences Corp. Announces $11.7 Million Private Placement

Article - Media, Publications

180 Life Sciences Corp. Announces $11.7 Million Private Placement

GLOBE NEWSWIRE, 19 February 2021

180 Life Sciences Corp. (NASDAQ: ATNF) (180 Life Sciences or the “Company”), a clinical-stage biotechnology company with its lead indication in Phase 2b/3, focused on the development of novel drugs that fulfill unmet needs in inflammatory diseases, fibrosis and pain, today announced that it has entered into securities purchase agreements with certain institutional investors to raise approximately $11.7 million through the private placement of 2,564,000 shares of its common stock and accompanying warrants to purchase an aggregate of up to 2,564,000 shares of common stock at a combined purchase price of $4.55 per share and accompanying warrant. The warrants will be exercisable immediately at an exercise price of $5.00 per share and will expire five years from the date of issuance. The closing of the private placement is expected to occur on February 23, 2021, subject to the satisfaction of certain customary closing conditions set forth in the securities purchase agreements.

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Article: Form 424B5 Bionano Genomics, Inc

Article - Media, Publications

Form 424B5 Bionano Genomics, Inc

EDGARFILINGS LTD, 07 January 2021

Common Stock We are offering shares of our common stock at a purchase price of $ per share pursuant to this prospectus supplement. Our common stock is listed on the Nasdaq Capital Market under the symbol “BNGO.” On January 6, 2021, the last reported sale price of our common stock was $4.77 per share. We are an “emerging growth company” as defined under the federal securities laws and, as such, have elected to comply with certain reduced reporting requirements for this prospectus supplement and may elect to do so in future filings. Our business and an investment in our securities involve significant risks. These risks are described under the caption “Risk Factors” beginning on page S-5 of this prospectus supplement and in the documents incorporated by reference into this prospectus supplement and the accompanying prospectus.

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Tip: Market Makers (aka Naked Short Sellers) To Watch Out For

Tip

Most aggressive in bold.

  • Alpine Securities Corporation
  • Alternative Execution Group
  • Ascendiant Capital Markets LLC
  • Biltmore International Corporation
  • BMA Securities
  • BTIG LLC
  • Buckman, Buckman & Reid, Inc.
  • CRT Capital Group LLC
  • D. A. Davidson & Co.
  • Delaney Equity Group LLC
  • Dinosaur Financial Group LLC
  • Fig Partners LLC
  • Glendale Securities Inc.
  • GMP Securities LLC
  • Intl Fcstone Financial Inc.
  • Keefe, Bruyette & Woods, Inc.
  • Maxim Group LLC
  • Monroe Financial Partners Inc.
  • Puma Capital LLC
  • Rafferty Capital Markets LLC
  • Raymond James & Associates Inc.
  • R. F. Lafferty & Co. Inc.
  • Spartan Securities Group LLC
  • Stifel, Nicolaus & Company, Incorporated
  • Stockcross Financial Services, Inc.
  • The Vertical Trading Group LLC
  • Tradition Asiel Securities Inc.
  • T.R. Winston & Company LLC
  • Vandham Securities Corporation
  • Vfinance Investments, Inc.
  • Wall Street Access
  • Wedbush Securities Inc.
  • Wilson-Davis & Co. Inc.
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Article: BIONANO GENOMICS ANNOUNCES PRICING OF $18 MILLION UNDERWRITTEN PUBLIC OFFERING

Article - Media, Publications

BIONANO GENOMICS ANNOUNCES PRICING OF $18 MILLION UNDERWRITTEN PUBLIC OFFERING

GLOBE NEWSWIRE, 02 April 2020

BIONANO GENOMICS, INC. (BNGO), a genome analysis company that provides tools and services based on its Saphyr® system to scientists and clinicians conducting genetic research and patient testing, today announced the pricing of an underwritten public offering of 54,546,000 shares of its common stock (or pre-funded warrants to purchase common stock in lieu thereof) and common warrants to purchase up to an aggregate of 54,546,000 shares of common stock. Each share of common stock and, as applicable, each pre-funded warrant is being sold together with a common warrant to purchase one share of common stock at a combined effective price to the public of $0.33 per share and accompanying common warrant. For each pre-funded warrant Bionano sells, the number of shares of common stock Bionano is offering will be decreased on a one-for-one basis. Continue reading “Article: BIONANO GENOMICS ANNOUNCES PRICING OF $18 MILLION UNDERWRITTEN PUBLIC OFFERING”

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Article: Form S-1/A Bionano Genomics, Inc

Article - Media, Publications

Form S-1/A Bionano Genomics, Inc

EDGARFILINGS LTD, 17 October 2020

We are offering 5,265,000 shares of our common stock and common warrants to purchase an aggregate of 5,265,000 shares of our common stock (and the shares of common stock that are issuable from time to time upon exercise of the warrants). We are also offering to certain purchasers whose purchase of shares of common stock in this offering would otherwise result in the purchaser, together with its affiliates and certain related parties, beneficially owning more than 4.99% (or, at the election of the purchaser, 9.99%) of our outstanding common stock immediately following the consummation of this offering, the opportunity to purchase, if any such purchaser so chooses, pre-funded warrants, in lieu of shares of common stock that would otherwise result in such purchaser’s beneficial ownership exceeding 4.99% (or, at the election of the purchaser, 9.99%) of our outstanding common stock. Each pre-funded warrant will be exercisable for one share of our common stock. Continue reading “Article: Form S-1/A Bionano Genomics, Inc”

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Fined: Maxim Group LLC Fined by FINRA

Fined

Maxim Group LLC Fined by FINRA

19 October 2018

An AWC was issued in which the firm was censured, fined $65,000, ordered to pay $167,780.49, plus interest, in restitution to customers and required to review and revise, as necessary, its systems, policies and procedures (written and otherwise) and training with respect to the sale of Unit Investment Trusts (UITs). Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to establish and maintain a supervisory system, and establish, maintain and enforce WSPs, reasonably designed to detect and prevent unsuitable short-term trading in UITs.

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