Summary

ROTH Capital Partners, LLC (ROTH Capital Partners) is a US-based investment banking firm. It is principally focused on the small-cap public market. The service portfolio of the company includes IPO underwriting services, capital raising services, and placement services. In addition, the company also provides the corporate services including Corporate Stock Buybacks, Employee Stock Option Programs, Directed Share Programs, Corporate Cash Management, and Retirement Plans. ROTH Capital Partners provides its products and service across various industries including Business Services, China, Consumer, Energy & Industrials, Financial Services, Gaming, Healthcare, and Technology & Media. The company operates through the offices located in the US, China and Hong Kong. ROTH Capital Partners is headquartered in California, the US.

GlobalData’s ROTH Capital Partners, LLC - Medical Equipment - Advisory Profile provides an overview of the deals advised by ROTH Capital Partners, LLC in the Medical Devices market. The report is an essential source of information for Medical Devices companies, which require the services of financial/legal advisors in their area/region for raising capital or acquiring a company. The report summarizes ROTH Capital Partners, LLC's deals for the past five years segregated into year, deal type, segment and geography.

Scope

- Provides essential information on the financial deals in which the firm provided financial/legal advisory services. The deals include mergers and acquisitions, asset financing, asset transactions, private equity / venture capital deals, equity offerings, debt offerings, partnerships, and licensing agreements
- Outlines key advisor information for business intelligence needs such as name, business overview, location and contact information
- Analyzes the advisor’s deals by year, deal type, segment and geography
- Provides detailed information on deal particulars, including information about other advisors involved in the deal
- Includes information on the role played by the advisor in specific deals, and the extent of fees/commission charged by the advisor in a particular transaction, if disclosed
- Consists of Deals Advised by Year chart and table displaying information on the number of deals and value reported by the advisor by year, for a five year period
- Incorporates information on the major recent financial deals of the advisor. Each such deal carries a summary, deal type, deal rationale, deal financials and target company’s key financial metrics and ratios (financials are available for major public companies).

Reasons to Buy

- Receive detailed information and evaluate the profile of a particular advisor in the market before considering for your business needs
- Peruse all the advisor’s deals in the Industry market
- Access detailed information about the advisor’s financial deals for the past five years that enable you to scrutinize the key deals, which have shaped investment policies
- Identify other potential advisors currently active in your industry, or industry that you wish to foray into
- Compare your advisory services vis-à-vis your competitors’
- Check and identify the advisor that suits your requirements, such as placement agents, book-runners and underwriters
- Examine the breakdown of deals by category and detailed information on major deals incorporated in the advisor’s profile for your academic or business research needs and their suitability to your requirements.

Table Of Contents

Table of Contents
Table of Contents 2
List of Tables 4
List of Figures 5
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Year, 2007 to YTD 2013 6
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Type, 2007 to YTD 2013 7
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Region, 2007 to YTD 2013 8
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Market, 2007 to YTD 2013 9
ROTH Capital Partners, LLC, Medical Equipment Deals Advised Summary, 2007 to YTD 2013 11
ROTH Capital Partners, LLC, Medical Equipment, Deal Details 16
Acquisition 16
II-VI Sells eV PRODUCTS To Endicott Interconnect 16
Opto Circuits India Acquires Criticare Systems 17
Debt Offerings 19
Tengion Completes Private Placement Of Notes For US$19 Million 19
Tengion Completes Private Placement Of Notes Due 2015 For US$15 Million 21
Equity Offerings 23
StemCells Completes Public Offering Of Units For US$10 Million 23
Celldex Therapeutics Completes An Underwritten Public Offering Of US$32 Million 25
BSD Medical Completes Registered Direct Offering For US$11 Million 27
BSD Medical Completes Registered Direct Offering Of Common Stock For US$2 Million 29
Cytogen Completes Private Placement Of US$10.1 Million 31
Solta Medical Completes Public Offering Of Common Stock For US$17 Million 32
Lucid Completes IPO Of Units For US$6 Million 33
Marina Biotech Completes An Underwritten Public Offering Of Units For US$6.9 Million 35
Marina Biotech Completes Private Placement For US$8.7 Million 37
Clinical Data Completes Public Offering Of US$47 Million 39
Remedent Completes Private Placement Of US$7 Million 41
TearLab Completes Public Offering Of Shares For US$40.4 Million 43
BioDelivery Sciences Completes Public Offering Of Common Stock And Prferred Stock For US$40 Million 45
Lucid Completes Underwritten Public Offering Of Units For US$6 Million 47
CAS Medical Systems Completes Private Placement Of US$15 Million 49
Aastrom Biosciences Completes Public Offering For US$22.5 Million 50
NeoStem Completes Public Offering Of Common Stock For US$7.8 Million 52
Retrophin Completes Private Placement Of Shares For US$25 Million 54
Derma Sciences Completes Public Offering Of Shares For US$36 Million 56
Celldex Therapeutics Completes Underwriters' Exercise Of Over-Allotment Option For US$46 Million 58
Graymark Healthcare Completes An Underwritten Public Offering Of Its Common Stock For US$9 Million 60
YM BioSciences Completes Underwritten Public Offering Of US$46 Million 62
Winner Medical Group Completes Over-Allotment Option Of Public Offering For US$9.7 Million 64
Natus Medical Completes Public Offering Of US$16.18 Million 66
Datatrak International Completes Private Placement Of US$9.43 Million 68
BSD Medical Completes Private Placement Of Common Stock And Warrants For US$5 Million 69
Delcath Systems Completes Public Offering Of Units For US$23 Million 70
NovaBay Pharma Completes Registered Direct Offering Of US$5.16 Million 72
BioDelivery Sciences International Completes Private Placement Of US$15 Million 74
Clinical Data Completes Underwritten Public Offering For US$32 Million 76
Tonix Pharma Completes Public Offering Of Units For US$11.4 Million 78
Nanosphere Completes Public Offering Of Common Stock For US$29 Million 80
NeurogesX Completes Private Placement Of Units For US$20 Million 82
Nanosphere Completes Underwritten Public Offering Of US$34.5 Million 84
BSD Medical Completed Registered Direct Offering Of US$2.75 Million 86
Pluristem Therapeutics Completes Registered Direct Offering Of US$3 Million 88
Tutogen Medical Completes Private Placement Of US$11.99 Million 90
Celldex Therapeutics Completes Public Offering Of Shares For US$104 Million 92
YM BioSciences Completes Public Offering Of Common Stock For US$80 Million 94
Derma Sciences Completes Private Placement For US$29 Million 96
Vermillion Completes Public Offering Of US$21.8 Million 98
BSD Medical Completes Registered Direct Offering Of Common Stock For US$2.5 Million 100
Trinity Biotech Completes Private Placement Of US$7.1 Million 101
Coastal Contacts Completes Public Offering Of Shares For US$20 Million 103
Derma Sciences Completes Private Placement Of Common Stock For US$20 Million 105
TearLab Completes Private Placement Of US$7 Million 107
Marina Biotech Completes Public Offering Of Units For US$5 Million 108
Oxygen Biotherapeutics Completes Registered Direct Offering Of Common Stock For US$5 Million 110
Natus Medical Completes Public Offering Of US$89.7 Million 112
Merger Deals 114
ThermoGenesis And TotipotentRx To Merge 114
Appendix 116
Methodology 116
About GlobalData 116
Contact Us 116
Disclaimer 116

List of Tables
ROTH Capital Partners, LLC, Key Facts 1
ROTH Capital Partners, LLC, Medical Equipment Deals Advised Summary, 2007 to YTD 2013 1
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Year, 2007 to YTD 2013 6
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Type, 2007 to YTD 2013 7
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Region, 2007 to YTD 2013 8
ROTH Capital Partners, LLC Deals Advised By Market, 2007 to YTD 2013 9
ROTH Capital Partners, LLC, Medical Equipment Deals Advised Summary, 2007 to YTD 2013 11
II-VI Sells eV PRODUCTS To Endicott Interconnect 16
Opto Circuits India Acquires Criticare Systems 17
Tengion Completes Private Placement Of Notes For US$19 Million 19
Tengion Completes Private Placement Of Notes Due 2015 For US$15 Million 21
StemCells Completes Public Offering Of Units For US$10 Million 23
Celldex Therapeutics Completes An Underwritten Public Offering Of US$32 Million 25
BSD Medical Completes Registered Direct Offering For US$11 Million 27
BSD Medical Completes Registered Direct Offering Of Common Stock For US$2 Million 29
Cytogen Completes Private Placement Of US$10.1 Million 31
Solta Medical Completes Public Offering Of Common Stock For US$17 Million 32
Lucid Completes IPO Of Units For US$6 Million 33
Marina Biotech Completes An Underwritten Public Offering Of Units For US$6.9 Million 35
Marina Biotech Completes Private Placement For US$8.7 Million 37
Clinical Data Completes Public Offering Of US$47 Million 39
Remedent Completes Private Placement Of US$7 Million 41
TearLab Completes Public Offering Of Shares For US$40.4 Million 43
BioDelivery Sciences Completes Public Offering Of Common Stock And Prferred Stock For US$40 Million 45
Lucid Completes Underwritten Public Offering Of Units For US$6 Million 47
CAS Medical Systems Completes Private Placement Of US$15 Million 49
Aastrom Biosciences Completes Public Offering For US$22.5 Million 50
NeoStem Completes Public Offering Of Common Stock For US$7.8 Million 52
Retrophin Completes Private Placement Of Shares For US$25 Million 54
Derma Sciences Completes Public Offering Of Shares For US$36 Million 56
Celldex Therapeutics Completes Underwriters' Exercise Of Over-Allotment Option For US$46 Million 58
Graymark Healthcare Completes An Underwritten Public Offering Of Its Common Stock For US$9 Million 60
YM BioSciences Completes Underwritten Public Offering Of US$46 Million 62
Winner Medical Group Completes Over-Allotment Option Of Public Offering For US$9.7 Million 64
Natus Medical Completes Public Offering Of US$16.18 Million 66
Datatrak International Completes Private Placement Of US$9.43 Million 68
BSD Medical Completes Private Placement Of Common Stock And Warrants For US$5 Million 69
Delcath Systems Completes Public Offering Of Units For US$23 Million 70
NovaBay Pharma Completes Registered Direct Offering Of US$5.16 Million 72
BioDelivery Sciences International Completes Private Placement Of US$15 Million 74
Clinical Data Completes Underwritten Public Offering For US$32 Million 76
Tonix Pharma Completes Public Offering Of Units For US$11.4 Million 78
Nanosphere Completes Public Offering Of Common Stock For US$29 Million 80
NeurogesX Completes Private Placement Of Units For US$20 Million 82
Nanosphere Completes Underwritten Public Offering Of US$34.5 Million 84
BSD Medical Completed Registered Direct Offering Of US$2.75 Million 86
Pluristem Therapeutics Completes Registered Direct Offering Of US$3 Million 88
Tutogen Medical Completes Private Placement Of US$11.99 Million 90
Celldex Therapeutics Completes Public Offering Of Shares For US$104 Million 92
YM BioSciences Completes Public Offering Of Common Stock For US$80 Million 94
Derma Sciences Completes Private Placement For US$29 Million 96
Vermillion Completes Public Offering Of US$21.8 Million 98
BSD Medical Completes Registered Direct Offering Of Common Stock For US$2.5 Million 100
Trinity Biotech Completes Private Placement Of US$7.1 Million 101
Coastal Contacts Completes Public Offering Of Shares For US$20 Million 103
Derma Sciences Completes Private Placement Of Common Stock For US$20 Million 105
TearLab Completes Private Placement Of US$7 Million 107
Marina Biotech Completes Public Offering Of Units For US$5 Million 108
Oxygen Biotherapeutics Completes Registered Direct Offering Of Common Stock For US$5 Million 110
Natus Medical Completes Public Offering Of US$89.7 Million 112
ThermoGenesis And TotipotentRx To Merge 114

List of Figures
ROTH Capital Partners, LLC, Medical Equipment Deals Advised by Deal Type, 2007 to YTD 2013 1
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Year, 2007 to YTD 2013 1
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Region, 2007 to YTD 2013 1
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Market, 2007 to YTD 2013 1
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Year, 2007 to YTD 2013 6
ROTH Capital Partners, LLC, Medical Equipment Deals Advised by Deal Type, 2007 to YTD 2013 7
ROTH Capital Partners, LLC, Medical Equipment Deals Advised By Region, 2007 to YTD 2013 8
ROTH Capital Partners, LLC, Medical Equipment Deals Advised by Market, 2007 to YTD 2013 9

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