Selected Financing Transaction Experience
$12,230,000 $125,000,000 $2,000,000 $11,500,000 $50,850,000
Private Placement Senior Convertible Notes Private Placement Follow-On Offering U.S. IPO ADS Sole Placement Agent Sole Bookrunner Senior Co-Manager December 2014 December 2014 December 2014 November 2014 November 2014
$5,000,000 $3,356,973 $900,000 $10,500,000 $99,750,000
Registered Direct & PIPE Offering PIPE PIPE Preferred Offering Follow-On Offering Sole Manager Placement Agent Sole Placement Agent Joint Bookrunner October 2014 October 2014 October 2014 October 2014 September 2014
$129,375,000 $5,850,000 $18,375,000 $140,000,000 $33,773,670
Convertible Perpetual Follow-On Offering Follow-On Offering Preferred Offering Preferred Stock Offering Follow-On Offering Joint Bookrunner September 2014 September 2014 August 2014 August 2014 August 2014
DIVISION OF NORTHLAND SECURITIES, INC. - MEMBER FINRA AND SIPC 1 Selected Financing Transaction Experience
$5,287,500 $2,150,000 $6,515,100 $11,500,000 $12,000,000
Follow-On Offering Follow-On Offering Follow-On Offering Follow-On Offering PIPE Sole Bookrunner Sole Bookrunner Sole Placement Agent August 2014 August 2014 August 2014 July 2014 July 2014
$435,000,000 $6,750,000 $8,250,000 $149,500,000 $7,240,000
Follow-On Offering Initial Public Offering U.S. IPO ADS Initial Public Offering U.S IPO Sole Bookrunner Joint Bookrunner July 2014 July 2014 June 2014 June 2014 June 2014
$15,179,978 $202,687,500 $28,749,955 $486,000,000 $34,514,375
Preferred Offering Follow-On Offering Follow-On Offering Follow-On Offering Follow-On Offering Sole Bookrunner June 2014 June 2014 June 2014 June 2014 May 2014
DIVISION OF NORTHLAND SECURITIES, INC. - MEMBER FINRA AND SIPC 2 Selected Financing Transaction Experience
$172,615,000 $9,330,000 $4,000,000 $10,000,000 $5,000,000
Registered Direct & Follow-On Offering Registered Direct Initial Public Offering Private Placement PIPE Offering Placement Advisor Sole Manager May 2014 May 2014 May 2014 May 2014 March 2014
$83,490,000 $6,987,000 $154,800,000 $216,211,500 $115,009,200
Follow-On Offering Registered Direct Follow-On Offering Follow-On Offering Follow-On Offering Senior Co-Manager Sole Manager March 2014 March 2014 March 2014 February 2014 February 2014
$150,000,000 $5,000,000
Convertible Offering PIPE Offering Sole Manager February 2014 February 2014
DIVISION OF NORTHLAND SECURITIES, INC. - MEMBER FINRA AND SIPC 3