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Innovative, Global Exposure and Fundamental Driven.
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Trust and strategic partnerships.
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Communicating, Executing and Delivering Ideas and Returns.
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Disciplined, Personalized, and Experienced.
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About Us

32 Years in the making. We are a boutique full-service investment bank that offers a full suite of unparalleled solutions in Creative Investment Banking, Equity and Debt Capital Markets Advisory, Sales & Trading, and Wealth Management to our clients.

UNIVEST AT A GLANCE

Products & Services

Investment Banking

Innovative, Fundamental Driven and Global Exposure.

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Products & Services

Capital Markets Advisory

Enduring Partnerships with Strategic Investors.

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Products & Services

Sales & Trading

Communicating, Executing and Delivering Ideas and Returns.

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Products & Services

Wealth Management

Disciplined, Personalized and Experienced.

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Our History

Founded in 1993, we, Univest Securities, pride ourselves in providing high level of value-added service to both our corporate and individual clients across the globe.

Our Team

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Edric Yi Guo

President, Chief Executive Officer, Head of Investment Banking Division

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Our Team

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Bradley Richmond

Chief Operating Officer, Co-Head of Investment Banking Division

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Our Team

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Hans Ge

Managing Director of Investment Banking Division

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Our Team

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Scott E. Madison

Managing Director of Capital Markets

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Univest Securities, LLC Announces Closing of $3.5 Million Registered Direct Offering for its Client Lichen International Limited (NASDAQ: LICN)

New York, Nov. 11, 2026 (GLOBE NEWSWIRE) — Univest Securities, LLC announced the closing of a $3.5 million registered direct offering for its client, Lichen International Limited (NASDAQ: LICN). Under the securities purchase agreement, certain institutional investors purchased 17,500,000 units at $0.20 per unit. Each unit consisted of one Class A Ordinary Share (or one pre-funded warrant in lieu thereof) and one warrant.

The warrants are exercisable immediately upon issuance at $0.20 per Class A Ordinary Share and have a one-year term from issuance. Each warrant includes a zero cash exercise option to acquire 4.72 Class A Ordinary Shares. Gross proceeds to Lichen were approximately $3.5 million before placement agent fees and other offering expenses. Univest acted as sole placement agent.

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RECENT TRANSACTIONS

View All
November 11th, 2026
Registered Direct Offering

$3,500,000

Sole Placement Agent
Lichen International Limited
NASDAQ: LICN
November 10th, 2026
Registered Direct Offering

$1,200,000

Sole Placement Agent
JIADE LIMITED
NASDAQ: JDZG
November 6th, 2026
Registered Direct Offering

$1,200,000

Sole Placement Agent
NetClass Technology Inc
NASDAQ: NCTL
October 22nd, 2026
Follow-On Offering

$5,600,000

Sole Placement Agent
CitroTech Inc.
NASDAQ: CITR
October 15th, 2026
Registered Direct Offering

$18,000,000

Sole Placement Agent
WF Holding Limited
NASDAQ: WFF
October 13th, 2026
Second ELOC

$1,650,000

Sole Placement Agent
WF Holding Limited
NASDAQ: WFF
October 9th, 2026
Registered Direct Offering

$12,000,000

Sole Placement Agent
China SXT Pharmaceuticals Inc.
NASDAQ: SXTC
October 8th, 2026
ELOC

$5,000,000

Sole Placement Agent
Ohmyhome Ltd
NASDAQ: OMH
October 1st, 2026
Registered Direct Offering

$2,000,000

Sole Placement Agent
Neo-Concept International Group Holdings Ltd
NASDAQ: NCI
September 18th, 2026
Registered Direct Offering

$15,000,000

Sole Placement Agent
ReTo Eco-Solutions, Inc.
NASDAQ: RETO
August 21st, 2026
Registered Direct Offering

$5,000,000

Sole Placement Agent
Singularity Future Technology Ltd.
NASDAQ: SGLY
August 20th, 2026
Registered Direct Offering

$1,750,000

Sole Placement Agent
EShallGo Inc.
NASDAQ: EHGO
August 19th, 2026
Registered Direct Offering

$1,800,000

Sole Placement Agent
Singularity Future Technology Ltd.
NASDAQ: SGLY
August 17th, 2026
Registered Direct Offering

$1,500,000

Sole Placement Agent
YXT.COM Group Holding Limited
NASDAQ: YXT
August 7th, 2026
Registered Direct Offering

$1,050,000

Sole Placement Agent
YXT.COM Group Holding Limited
NASDAQ: YXT
August 7th, 2026
Initial ELOC

$3,498,000

Sole Placement Agent
ReTo Eco-Solutions Inc.
NASDAQ: RETO
July 30th, 2026
ELOC

$3,000,000

Sole Placement Agent
WF Holding Limited
NASDAQ: WFF
July 28th, 2026
Registered Direct Offering

$4,000,000

Sole Placement Agent
Ohmyhome Ltd
NASDAQ: OMH
July 27th, 2026
ELOC

$10,000,000

Sole Placement Agent
Artificial Intelligence Technology Solutions Inc.
OTC:AITX
July 25th, 2026
Registered Direct Offering

$9,000,000

Sole Placement Agent
China SXT Pharmaceuticals Inc.
NASDAQ: SXTC
July 24th, 2026
Registered Direct Offering

$5,000,000

Sole Placement Agent
Zhongchao Inc.
NASDAQ: ZCMD
July 14th, 2026
Registered Direct Offering

$4,000,000

Sole Placement Agent
Haoxi Health Technology Ltd
NASDAQ: HAO
July 3rd, 2026
PIPE

$30,000,000

Sole Placement Agent
China SXT Pharmaceuticals Inc.
NASDAQ: SXTC
July 1st, 2026
Registered Direct Offering

$750,000

Sole Placement Agent
EShallGo Inc.
NASDAQ: EHGO
June 25th, 2026
Registered Direct Offering

$1,479,000

Sole Placement Agent
EShallGo Inc.
NASDAQ: EHGO
June 24th, 2026
Registered Direct Offering

$5,450,000

Sole Placement Agent
GD Culture Group Limited
Nasdaq: GDC
June 15th, 2026
Register Direct Offering

$8,000,000

Sole Placement Agent
Pop Culture Group Co., Ltd
NASDAQ: CPOP
June 3rd, 2026
Registered Direct Offering

$8,000,000

Sole Placement Agent
Hitek Global Inc
NASDAQ: HKIT
June 1st, 2026
PIPE

$4,000,000

Sole Placement Agent
Phoenix Motor Inc
NASDAQ: PEVM
May 31th, 2026
PIPE

$5,000,000

Sole Placement Agent
Picocela Inc
NASDAQ: PCLA
May 29th, 2026
Follow-On Offering

$5,000,000

Sole Placement Agent
Zhongchao Inc.
NASDAQ: ZCMD
May 20th, 2026
Registered Direct Offering

$2,000,000

Sole Placement Agent
Client Smart Powerr Corp.
NASDAQ: CREG
May 20th, 2026
Registered Direct Offering

$20,000,000

Sole Placement Agent
Regencell Bioscience Holdings Limited
NASDAQ: RGC
May 20th, 2026
PIPE

$700,000

Sole Placement Agent
Artificial Intelligence Technology Solutions Inc.
OTC: AITX
May 15th, 2026
PIPE

$25,000,000

Sole Placement Agent
Faraday Future Intelligent Electric Inc.
NASDAQ: FFAI
May 12th, 2026
Registered Direct Offering

$6,500,000

Sole Placement Agent
Haoxi Health Technology Ltd
NASDAQ: HAO
May 4th, 2026
Registered Direct Offering

$1,200,000

Sole Placement Agent
UTime Limited
NASDAQ: WTO
April 29th, 2026
ATM

$300,000,000

Sole Placement Agent
GD Culture Group Limited
NASDAQ: GDC
April 20th, 2026
Follow-On Offering

$4,998,750

Sole Placement Agent
Fitness Champs Holdings Limited
NASDAQ: FCHL
April 17th, 2026
PIPE

$45,780,000

Sole Placement Agent
Faraday Future Intelligent Electric Inc.
NASDAQ: FFAI
April 17th, 2026
ELOC

$11,730,000

Sole Placement Agent
PMGC HOLDINGS INC.
NASDAQ: ELAB
April 16th, 2026
Additional Allocation

$946,150

Sole Placement Agent
VISIONSYS AI INC.
NASDAQ: VSA
March 30th, 2026
ATM

$500,000,000

Sole Sales Agent
Regencell Bioscience Holdings Limited
NASDAQ: RGC
March 30th, 2026
Registered Direct Offering

$3,000,000

Sole Placement Agent
Hitek Global Inc.
NASDAQ: HKIT
March 27th, 2026
Registered Direct Offering

$3,000,000

Sole Placement Agent
VisionSys AI Inc.
NASDAQ: VSA
March 25th, 2026
Follow-On Offering

$16,000,000

Sole Placement Agent
Linkers Industries Limited
NASDAQ: LNKS
March 18th, 2026
Registered Direct Offering

$13,999,992

Sole Placement Agent
Meiwu Technology Co Ltd
NASDAQ: WNW
February 19th, 2026
Registered Direct Offering

$3,000,000

Sole Placement Agent
JIADE Ltd
NASDAQ:JDZG
February 17th, 2026
Pre-Paid Purchase

$10,355,000

Sole Placement Agent
Algorhythm Holdings, Inc.
NASDAQ: RIME
February 13th, 2026
Registered Direct Offering

$1,150,004.34

Sole Placement Agent
Aquabounty Technologies Inc
NASDAQ:AQB
February 10th, 2026
Additional Allocation

$62,500

Sole Placement Agent
TIAN RUIXIANG Holdings Ltd
NASDAQ: TIRX
February 9th, 2026
Additional Allocation

$423,223.88

Sole Placement Agent
TIAN RUIXIANG Holdings Ltd
NASDAQ: TIRX
February 6th, 2026
Fourth ELOC

$8,147,569.50

Sole Placement Agent
PMGC Holdings, Inc.
NASDAQ: ELAB
February 5th, 2026
Additional Allocation

$450,000

Sole Placement Agent
TIAN RUIXIANG Holdings Ltd
NASDAQ: TIRX
February 4th, 2026
Registered Direct Offering

$1,945,000

Sole Placement Agent
TIAN RUIXIANG Holdings Ltd
NASDAQ: TIRX
January 30th, 2026
Registered Direct Offering

$5,200,400

Sole Placement Agent
TIAN RUIXIANG Holdings Ltd
NASDAQ: TIRX
January 16th, 2026
PIPE

$7,000,000

Sole Placement Agent
Akanda Corp.
NASDAQ: AKAN
January 13th, 2026
Registered Direct Offering

$10,000,000

Sole Placement Agent
China SXT Pharmaceuticals, Inc
NASDAQ: SXTC
January 13th, 2026
Third ELOC

$5,464,500

Sole Placement Agent
PMGC Holdings, Inc.
NASDAQ: ELAB
January 7th, 2026
Second ELOC

$3,278,700

Sole Placement Agent
PMGC Holding, Inc.
NASDAQ: ELAB
January 2nd, 2026
Registered Direct Offering

$1,400,000

Sole Placement Agent
Globavend Holdings Limited
NASDAQ: GVH
December 19th, 2025
Pre-Paid Purchase

$1,090,000

Sole Placement Agent
ALGORHYTHM HOLDINGS, INC.
NASDAQ: RIME
December 15th, 2025
Registered Direct Offering

$4,000,000

Sole Placement Agent
Jiuzi Holdings, Inc
NASDAQ: JZXN
December 10th, 2025
Follow-On Offering

$5,040,000

Exclusive Placement Agent
Top Wealth Group Holding Limited
NASDAQ: TWG
November 26th, 2025
Registered Direct Offering

$8,000,000

Sole Placement Agent
MingZhu Logistics Holdings Limited
NASDAQ: YGMZ
November 6th, 2025
Registered Direct Offering

$15,000,000

Sole Placement Agent
Cheer Holding, Inc.
NASDAQ: CHR
November 4th, 2025
Registered Direct Offering

$4,200,000

Sole Placement Agent
Boqii Holding Ltd.
(NYSE: BQ)
October 27th, 2025
PIPE

$2,800,000

Sole Placement Agent
GD Culture Group
NASDAQ: GDC
October 22rd, 2025
Initial Public Offering

$6,900,000

Joint Bookrunners
Ambitions Enterprise Management Co. LLC
NASDAQ: AHMA
October 21st, 2025
PIPE

$2,909,515

Sole Placement Agent
General Enterprise Ventures, Inc.
NASDAQ: GEVI
October 20th, 2025
PIPE

$9,223,592

Sole Placement Agent
General Enterprise Ventures.INC
NASDAQ: GEVI
October 17th, 2025
Registered Direct Offering

$25,000,000

Sole Placement Agent
UTime Limited
NASDAQ: WTO
October 16th, 2025
Registered Direct Offering

$28,000,000

Sole Placement Agent
Yueda Digital Holding
NASDAQ: YDKG
October 9th, 2025
Registered Direct Offering

$15,000,000

Sole Placement Agent
Zeta Network Group
NASDAQ: ZNB
October 8th, 2025
Follow-On Offering

$8,000,000

Sole Placement Agent
EPWK Holdings Ltd
NASDAQ: EPWK
October 2nd, 2025
Follow-On Offering

$8,500,000

Sole Placement Agent
Cheer Holding, Inc.
NASDAQ: CHR
October 2nd, 2025
Registered Direct Offering

$15,000,000

Sole Placement Agent
Chijet Motor Company, Inc.
NASDAQ: CJET
September 30th, 2025
PIPE

$41,000,000

Sole Placement Agent
Qualigen Therapeutics, Inc.
NASDAQ: QLGN
September 29th, 2025
Initial ELOC

$5,000,000

Sole Placement Agent
PMGC Holdings, Inc.
NASDAQ: ELAB
September 26th, 2025
Registered Direct Offering

$2,900,000

Sole Placement Agent
WORK Medical Technology Group LTD
NASDAQ: WOK
September 3rd, 2025
Registered Direct Offering

$9,000,000

Sole Placement Agent
Next Technology Holding Inc.
NASDAQ: NXTT
August 25th, 2025
Warrant Inducement

$1,670,000

Exclusive Financial Advisor
PMGC Holdings Inc.
NASDAQ: ELAB
August 22th, 2025
PIPE

$4,000,000

Sole Placement Agent
Algorhythm Holdings, Inc.
NASDAQ: RIME
August 4th, 2025
PIPE

$2,200,000

Sole Placement Agent
NetClass Technology Inc.
NASDAQ: NTCL
July 28th, 2025
PIPE

$4,500,000

Sole Placement Agent
Qualigen Therapeutics, Inc.
NASDAQ: QLGN
July 25th, 2025
Registered Direct Offering

$4,200,000

Sole Placement Agent
Garden Stage Limited
NASDAQ: GSIW
July 17th, 2025
PIPE

$105,000,000

Sole Placement Agent
Faraday Future Intelligent Electric Inc.
NASDAQ: FFAI
July 1st, 2025
Registered Direct Offering

$5,000,000

Sole Placement Agent
Ostin Technology Group Co., Ltd.
NASDAQ: OST
June 27th, 2025
Follow-On Offering

$15,000,000

Sole Placement Agent
Globavend Holdings Limited
NASDAQ: GVH
June 25th, 2025
Registered Direct Offering

$1,200,000

Sole Placement Agent
Houston American Energy Corp.
NYSE: HUSA
June 20th, 2025
Registered Direct Offering

$2,370,000

Sole Placement Agent
Houston American Energy Corp.
NYSE: HUSA
June 16th, 2025
Follow-On Offering

$8,000,000

Sole Placement Agent
Chanson International Holding
NASDAQ: CHSN
May 22nd, 2025
Registered Offering

$5,000,000

Sole Book Runner
WORK Medical Technology Group LTD
NASDAQ: WOK
May 5th, 2025
PIPE

$5,500,000

Sole Placement Agent
GD Culture Group Limited
NASDAQ: GDC
April 24th, 2025
ATM

$1,737,635

Sole Placement Agent
PMGC Holdings Inc.
NASDAQ: ELAB
March 24th, 2025
PIPE

$41,000,000

Sole Placement Agent
Faraday Future Intelligent Electric Inc.
NASDAQ: FFAI
March 24th, 2025
Registered Direct Offering

$1,480,000

Sole Placement Agent
PMGC Holdings Inc.
NASDAQ: ELAB
March 18th, 2025
Follow-On Offering

$12,000,000

Sole Placement Agent
Bon Nature Life LTD
NASDAQ: BON
March 6th, 2025
PIPE

$1,000,000

Sole Placement Agent
GD Culture Group Limited
NASDAQ: GDC
March 3rd, 2025
PIPE

$5,371,000

Sole Placement Agent
General Enterprise Ventures, INC.
NASDAQ: GEVI
January 29th, 2025
Registered Direct Offering

$3,400,000

Sole Placement Agent
Lichen China Limited
NASDAQ: LICN
January 28th, 2025
Warrant Inducement

$1,920,000

Sole Financial Advisor
PMGC Holdings Inc.
NASDAQ: ELAB
January 23th, 2025
Registered Direct Offering

$4,420,000

Sole Placement Agent
Houston American Energy Corp.
NYSE: HUSA
December 31st, 2024
Registered Direct Offering

$3,125,000

Sole Placement Agent
Lichen China Limited
NASDAQ: LICN
December 27th, 2024
Registered Direct Offering

$2,800,000

Sole Placement Agent
Lichen China Limited
NASDAQ: LICN
December 18th, 2024
Registered Direct Offering

$2,000,000

Sole Placement Agent
Algorhythm Holdings, Inc.
NASDAQ: RIME
December 13th, 2024
Registered Direct Offering

$2,700,000

Sole Placement Agent
Lichen China Limited
NASDAQ: LICN
December 10th, 2024
Registered Direct Offering

$15,000,000

Sole Placement Agent
Universe Pharmaceuticals, Inc.
NASDAQ: UPC
December 6th, 2024
Follow-On Offering

$9,500,000

Sole Placement Agent
Algorhythm Holdings, Inc.
NASDAQ: RIME
November 25th, 2024
PIPE

$5,100,000

Sole Placement Agent
Qualigen Therapeutics, Inc.
NASDAQ:QLGN
November 11th, 2024
PIPE

$2,500,000

Sole Placement Agent
Houston American Energy.
NYSE: HUSA
October 24th, 2024
PIPE

$2,352,941

Sole Placement Agent
Algorhythm Holdings, Inc.
NASDAQ: RIME
October 3rd, 2024
Registered Direct Offering

$1,500,000

Sole Placement Agent
Akanda Corp.
NASDAQ: AKAN
September 24th, 2024
Registered Follow-On Offering

$8,000,000

Sole Placement Agent
Elevai Labs Inc.
NASDAQ: ELAB
September 17th, 2024
Registered Direct Offering

$1,200,000

Sole Placement Agent
Focus Universal Inc.
NASDAQ: FCUV
September 12th, 2024
PIPE

$30,000,000

Sole Placement Agent
Faraday Future Intelligent Electric Inc.
NASDAQ: FFIE
September 6th, 2024
Registered Direct Offering

$3,470,585.55

Sole Placement Agent
Qualigen Therapeutics, Inc.
NASDAQ: QLGN
August 2nd, 2024
PIPE

$1,150,000

Sole Placement Agent
Elevai Labs Inc.
NASDAQ: ELAB
July 12th, 2024
Promissory Note

$2,000,000

Sole Placement Agent
Qualigen Therapeutics, Inc.
NASDAQ: QLGN
May 17th, 2024
Registered Direct Offering

$2,500,000

Sole Book Runner
Akanda Corp.
NASDAQ: AKAN
May 17th, 2024
Registered Direct Offering

$1,500,000

Sole Book Runner
Akanda Corp.
NASDAQ: AKAN
March 27th, 2024
Follow-On Offering

$5,000,000

Sole Book Runner
Akanda Corp.
NASDAQ: AKAN
March 26th, 2024
Registered Direct Offering

$926,957

Sole Placement Agent
GD Culture Group Limited
NASDAQ: GDC
February 12th, 2024
Registered Direct Offering

$5,000,000

Sole Placement Agent
TOP Financial Group Limited
NASDAQ: TOP
February 9th, 2024
Registered Direct Offering

$5,000,000

Sole Book Runner
Lottery.com Inc.
NASDAQ: LTRY
February 1st, 2024
Registered Direct Offering

$708,000

Sole Book Runner
Akanda Corp.
NASDAQ: AKAN
December 6th, 2023
Registered Direct Offering

$12,000,000

Sole Placement Agent
U Power Limited.
NASDAQ: UCAR
November 29th, 2023
PIPE

$5,000,000

Sole Placement Agent
ZK International Group Co., Ltd.
NASDAQ: ZKIN
November 24th, 2023
Initial Public Offering

$6,000,000

Lead Book Runner
ELEVAI Labs Inc.
NASDAQ: ELAB
November 3rd, 2023
Registered Direct Offering

$9,998,126.66

Sole Placement Agent
GD Culture Group Limited
NASDAQ: GDC
October 2nd, 2023
Initial Public Offering

$10,000,000

Sole Book Runner
VS Media Holdings Limited
NASDAQ: VSME
September 21st, 2023
Initial Public Offering

$5,002,500

Sole Book Runner
Davis Commodities Limited
NASDAQ: DTCK
May 4th, 2023
Registered Direct Offering

$9,547,027.78

Sole Placement Agent
GD Culture Group Limited
NASDAQ: GDC
April 20th, 2023
Initial Public Offering

$11,000,000

Lead Book Runner
Top KingWin Ltd.
NASDAQ: TCJH
April 6th, 2023
Registered Direct Offering

$3,000,000

Sole Book Runner
AnPac Bio-Medical Science Co., Ltd.
NASDAQ: ANPC
April 6th, 2023
PIPE

$18,333,333

Sole Placement Agent
Wetrade Group Inc.
NASDAQ: WETG
April 4th, 2023
Initial Public Offering

$9,600,000

Sole Book Runner
Shengfeng Development Limited
NASDAQ: SFWL
February 8th, 2023
Initial Public Offering

$16,000,000

Lead Book Runner
Lichen China Limited
NASDAQ: LICN
January 27th, 2023
Initial Public Offering

$40,625,000

Co-Manager
QuantaSing Group Limited
NASDAQ: QSG
January 4th, 2023
PIPE

$16,666,666.66

Sole Placement Agent
Addentax Group Corp
NASDAQ: ATXG
November 7th, 2022
Registered Direct Offering

$25,000,000

Sole Placement Agent
Huadi International Group Co., Ltd.
NASDAQ: HUDI
October 26th, 2022
Follow-On Offering

$2,000,000

Sole Book Runner
Soluna Holdings, Inc.
NASDAQ: SLNH
August 30th, 2022
Initial Public Offering

$25,000,000

Sole Book Runner
Jianzhi Education Technology Group Company Limited
NASDAQ: JZ
July 21st, 2022
Initial Public Offering

$40,000,000

Sole Book Runner
WeTrade Group Inc.
NASDAQ: WETG
July 20th, 2022
PIPE

$61,215,000

Sole Placement Agent
Cenntro Electric Group Limited
NASDAQ: CENN
June 17th, 2022
PIPE

$12,593,905

Sole Placement Agent
Marizyme, Inc.
OTC: MRZM
June 7th, 2022
Underwritten Public Offering

$5,750,000

Sole Book Runner
Bit Origin Limited
NASDAQ: BTOG
June 3rd, 2022
Initial Public Offering

$25,000,000

Lead Book Runner
Zhong Yang Financial Group Limited
NASDAQ: TOP
April 27th, 2022
Preferred Stock Offering

$30,486,565

Sole Book Runner
Soluna Holdings, Inc.
NASDAQ: SLNHP
January 13th, 2022
Initial Public Offering

$25,000,000

Sole Book Runner
Yoshitsu Co., Ltd
NASDAQ: TKLF
February 2nd, 2022
Registered Direct Offering

$16,130,716

Sole Placement Agent
China Xiangtai Food Co., Ltd.
NASDAQ: PLIN
December 28th, 2021
Preferred Stock Offering

$8,970,000

Sole Book Runner
Soluna Holdings, Inc.
NASDAQ: SLNHP
November 24th, 2021
Registered Direct Offering

$16,500,000

Sole Placement Agent
China Xiangtai Food Co., Ltd.
NASDAQ: PLIN
October 21st, 2021
PIPE

$16,300,000

Sole Placement Agent
Mechanical Technology, Inc.
NASDAQ: MKTY
September 23rd, 2021
PIPE

$2,285,143

Sole Placement Agent
Todos Medical Ltd.
OTC: TOMDF
August 23rd, 2021
Preferred Stock Offering

$20,160,000

Sole Book Runner
Mechanical Technology, Inc.
NASDAQ: MKTYP
June 7th, 2021
Follow-On Offering

$24,562,500

Sole Placement Agent
TIAN RUIXIANG Holdings Ltd
NASDAQ: TIRX
April 27th, 2021
Follow-On Offering

$17,250,000

Sole Book Runner
Mechanical Technology, Inc.
NASDAQ: MKTY
April 7th, 2021
Follow-On Offering

$85,400,000

Sole Placement Agent
Ebang International Holdings Inc.
NASDAQ: EBON
March 25th, 2021
Initial Public Offering

$28,750,000

Sole Book Runner
Universe Pharmaceuticals, Inc.
NASDAQ: UPC
February 25th, 2021
Follow-On Offering

$14,375,000

Sole Book Runner
Glory Star New Media Group Holdings Limited
NASDAQ: GSMG
February 22th, 2021
Warrants Inducement

$72,400,000

Sole Solicitation Agent
Ebang International Holdings Inc.
NASDAQ: EBON
February 22th, 2021
Follow-On Offering

$96,000,000

Sole Placement Agent
Ebang International Holdings Inc.
NASDAQ: EBON
February 22th, 2021
Registered Direct Offering

$25,000,000

Sole Placement Agent
Code Chain New Continent Limited
NASDAQ: CCNC
February 10th, 2021
Initial Public Offering

$34,500,000

Sole Book Runner
Baosheng Media Group Holdings Limited
NASDAQ: BAOS
January 27th, 2021
ATM

$6,800,000

Sole Placement Agent
Houston American Energy Corporation
NYSE: HUSA
January 19th, 2021
Follow-On Offering

$40,000,000

Sole Placement Agent
TD Holdings, Inc.
NASDAQ: GLG
January 11th, 2021
Initial Public Offering

$28,750,000

Sole Book Runner
Qilian International Holding Group, Ltd.
NASDAQ: QLI
November 29th, 2020
Registered Direct Offering

$10,000,000

Sole Placement Agent
Tantech Holdings, Ltd.
NASDAQ: TANH
November 29th, 2020
Follow-On Offering

$42,000,000

Sole Placement Agent
Ebang International Holdings Inc.
NASDAQ: EBON
September 29th, 2020
PIPE

$7,000,000

Sole Placement Agent
Marizyme, Inc.
OTC: MRZM
January 30th, 2020
Initial Public Offering

$16,000,000

Lead Book Runner
AnPac Bio-Medical Science
NASDAQ: ANPC
October 25th, 2019
Initial Public Offering

$12,650,000

Sole Book Runner
Happines Biotech Group, Ltd.
NASDAQ: HAPP
February 4th, 2019
Initial Public Offering

$8,000,000

Sole Book Runner
INmune Bio, Inc.
NASDAQ: INMB

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Univest Securities, LLC Announces Closing of $3.5 Million Registered Direct Offering for its Client Lichen International Limited (NASDAQ: LICN)

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Univest Securities, LLC Announces Closing of $18 Million Registered Direct Offering for its Client WF Holding Limited (NASDAQ: WFF)

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Univest Securities, LLC Announces Closing of $12 Million Registered Direct Offering for its Client China SXT Pharmaceuticals Inc. (NASDAQ: SXTC)

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Univest Securities, LLC Announces Closing of $2.0 Million Registered Direct Offering for its Client Neo-Concept International Group Holdings Ltd (NASDAQ: NCI)

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Univest Securities, LLC Announces Closing of $15.0 Million Registered Direct Offering for its Client ReTo Eco-Solutions, Inc. (NASDAQ: RETO)

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