Financing Institutions

Provides structured equity and debt financing. Read the purchase or conversion formula and the conditions for each funding tranche.

Checked 2026-09-06

Committed equity facilities let an issuer sell shares in tranches, subject to contractual conditions. The headline commitment is not cash already received.

Checked 2026-09-06

Financing examples include secured convertible notes with warrants. Compare note face value with net cash proceeds and review repayment terms.

Checked 2026-09-06

Has provided secured convertible-note financing. Read conversion, repayment and participation rights in the specific agreement.

Checked 2026-09-06

Participates in registered direct offerings and private placements involving shares, pre-funded warrants and warrants; examples also include warrant exercise inducements.

Checked 2026-09-06

An alternative asset manager whose financing transactions include convertible notes and accompanying warrants. Terms vary by transaction.

Checked 2026-09-06

A multi-strategy asset manager that includes direct, bespoke structured financings among its special-situations strategies.

Checked 2026-09-06

Provides committed equity facilities. Distinguish CFPI's role as purchaser from Cantor's separate investment-banking roles.

Checked 2026-09-06

aTyr's 2023 annual report describes a 2020 equity purchase facility that ended in March 2023. This is a historical example; review draw conditions and commitment fees.

Checked 2026-09-07

Examples include Datavault AI convertible notes and RETO's June 2025 prepaid-share facility. The June 10, 2026 RETO Schedule 13G/A reported zero beneficially owned shares; this is a dated disclosure, not a live position. RETO's August 2026 prospectus reports repayment of the remaining $3,209,101 and termination of the prior agreement. These historical dealings do not establish an affiliation with Mapie Wind Limited.

Checked 2026-09-17

MicroVision's April 2026 registration statement covers shares underlying secured convertible notes. A resale registration cap does not show how many shares have been converted or sold.

Checked 2026-09-07

A March 2024 transaction included convertible preferred stock and a warrant to purchase preferred stock. Check the conversion formula, ownership limits and the security underlying each warrant.

Checked 2026-09-07

Disclosures include a 2025 equity purchase agreement and separate convertible-note financings with warrants. Separate the equity facility, note balance and possible warrant proceeds.

Checked 2026-09-07

zSpace disclosed an equity line signed in July 2025. Read purchase limits, pricing, registration conditions and commitment shares before treating the headline facility as available cash.

Checked 2026-09-07

Participated in Immunic's 2026 PIPE. Equillium's 2026 proxy also identifies the manager and healthcare fund in share and pre-funded-warrant holdings. Participation alone does not establish a holding period.

Checked 2026-09-07

Named in Immunic's 2022 PIPE and as lead investor in its 2026 financing. Distinguish upfront funding from any future funding subject to warrant exercise or other conditions.

Checked 2026-09-07

Participated in Immunic's October 2022 private placement of shares and pre-funded warrants. A pre-funded warrant is distinct from a conventional warrant with a substantial exercise price.

Checked 2026-09-07

Participated in Immunic's October 2022 PIPE, which included shares and pre-funded warrants. Use the agreement to identify each purchaser's allocation and any resale registration rights.

Checked 2026-09-07

Kala's November 2022 agreement covers common shares and Series E convertible preferred stock. Inspect conversion approvals and ownership caps separately from the initial cash investment.

Checked 2026-09-07

Participated in Immunic's 2026 PIPE; its official strategy also includes healthcare royalty and credit investing. A PIPE investment and a royalty-backed loan have different cash-flow claims.

Checked 2026-09-07

A May 2026 proxy describes participation in a December 2025 PIPE with shares, pre-funded warrants and additional warrant series. Review each series separately for exercise terms and dilution.

Checked 2026-09-07

Participated in KalVista's December 2022 registered direct offering of shares and pre-funded warrants. That offering was registered direct, even though it appears in discussions of PIPE investors.

Checked 2026-09-07

Participated in KalVista's December 2022 registered direct offering. The issuer identifies the Crossover fund explicitly; an ambiguous abbreviation alone is insufficient to identify an investor.

Checked 2026-09-07

Participated in KalVista's December 2022 registered direct offering of shares and pre-funded warrants. Fund names and beneficial-ownership groupings should be read separately.

Checked 2026-09-07

A 2026 prospectus names it as sole placement agent on a best-efforts basis. Check agency fees and obligations; arranging a financing does not establish that the agent is the end investor.

Checked 2026-09-07

The cited March 2024 preferred-stock financing names it as placement agent, with a separate investor buying the securities. Read cash fees and any agent warrants alongside investor terms.

Checked 2026-09-07

GeoVax's March 2025 8-K names it as placement agent for an offering involving common shares, pre-funded warrants and warrants. Distinguish its compensation from the purchaser's investment.

Checked 2026-09-07

Its official investment-banking services cover IPOs, follow-ons, private placements, ATMs and debt financing. Check whether a particular engagement is firm commitment or best efforts.

Checked 2026-09-07

A March 2026 prospectus describes a firm-commitment offering with shares and warrants. Underwriting purchase obligations differ from a placement agent's best-efforts engagement.

Checked 2026-09-07

DSS's 2026 S-1 describes its role in a firm-commitment offering closed in February 2026. Review underwriting discounts, commissions and any overallotment option.

Checked 2026-09-07

Nuwellis's July 2026 agreement covers registered common shares and unregistered warrants placed with investors. One financing can combine securities with different registration status.

Checked 2026-09-07

One and one Green Technologies' April 2026 agency agreement appoints it for North America without a commitment to buy securities. Check territory, fees and closing conditions.

Checked 2026-09-07

The prospectus states a 5% cash fee on proceeds received and up to $50,000 expense reimbursement. The agency agreement says "seven percent (5.0%)"; its words and figures conflict. This is an intermediary role; the cited documents do not establish that the agent owns or controls the purchaser. Distinguish the agent's compensation from funding supplied by the investor.

Checked 2026-09-17

Established July 5, 2024; formerly Maple wind biotechnology Limited, renamed May 8, 2025. The LEI record uses NATURAL_PERSONS exceptions for both accounting-parent disclosures, without naming the individuals. Reviewed sources do not establish a Streeterville or Yorkville affiliation. RETO's two-year facility allows up to $36 million cash funding, with $3.3 million initially funded and 6% original issue discount. Share issuance is at RETO's discretion. Price is the lower of 50% of the agreement-date close or 50% of the lowest close in the 180 trading days before settlement notice, subject to a split-adjusted $0.10 floor. The 9.99% ownership cap is not a cumulative sales limit.

Checked 2026-09-17