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Sample Agent Transactions

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Closing Date Range: Between 07/01/2011 and 12/31/2011
Sector Preference: Energy
Structure Type: Common Stock, Convertible - Fixed, Common Stock - Reset, Common Stock - Shelf Sale (Registered Direct), Common Stock - CMPO/Overnight Offering
Deal Status: Definitive Agreement (No Funding) Transactions
Closed Transactions
Display Options: Display only the first 10 Agents
Sort Report by Total Number of Deals
Market Cap Range: $500.00M or smaller
Legal Structures: PIPE
Closing Name Closing Symbol Deal Status Closing Date Announcement Date Commitment Amount Gross Proceeds Cash Fees Agent Fees (%) Agent Type Industry Structure Dilution Pricing Discount/Premium Fixed Conversion Discount Floating Conversion Discount/Premium Warrant Coverage Warrant Excercise Premium

1. RBS Morgans

Geodynamics Limited GDY:AU Closed 12/21/2011 12/21/2011 N/A $3,777,977 Not Disclosed 0.000% Co-Agent Energy-Alternative Sources Common Stock 7.51% -16.67% N/A N/A 0.00% 0.00%
Carabella Resources Limited CLR:AU Closed 12/06/2011 12/06/2011 N/A $24,620,281 Not Disclosed 0.000% Co-Agent Coal Common Stock 17.68% -7.14% N/A N/A 0.00% 0.00%
Coalbank Limited CBQ:AU Definitive Agreement (No Funding) 07/21/2011 07/21/2011 N/A $2,039,711 Not Disclosed 0.000% Co-Lead Agent Coal Convertible - Fixed 6.85% N/A -9.52% N/A 0.00% 0.00%
Coalbank Limited CBQ:AU Closed 07/21/2011 07/21/2011 N/A $2,039,711 Not Disclosed 0.000% Co-Lead Agent Coal Common Stock 7.36% -9.52% N/A N/A 0.00% 0.00%
Total: 4 Deals $32,477,679  


2. Patersons Securities Limited

Central Petroleum Limited CTP:AU Closed 09/15/2011 09/15/2011 N/A $5,164,309 Not Disclosed 0.000% Exclusive Agent Oil & Gas Common Stock 9.26% -20.29% N/A N/A 0.00% 0.00%
Coalbank Limited CBQ:AU Definitive Agreement (No Funding) 07/21/2011 07/21/2011 N/A $2,039,711 Not Disclosed 0.000% Co-Lead Agent Coal Convertible - Fixed 6.85% N/A -9.52% N/A 0.00% 0.00%
Coalbank Limited CBQ:AU Closed 07/21/2011 07/21/2011 N/A $2,039,711 Not Disclosed 0.000% Co-Lead Agent Coal Common Stock 7.36% -9.52% N/A N/A 0.00% 0.00%
Total: 3 Deals $9,243,731  


3. Rodman & Renshaw, LLC

GeoGlobal Resources Inc. GGR Closed 11/22/2011 11/15/2011 N/A $3,951,993 $234,000 5.920% Exclusive Agent Oil & Gas Common Stock 39.80% -15.79% N/A N/A 100.00% 5.26%
Imperial Petroleum, Inc. IPMN Closed 09/21/2011 09/16/2011 N/A $3,177,502 $217,525 7.000% Exclusive Agent Oil & Gas Common Stock 23.43% -20.21% N/A N/A 50.00% 6.38%
OriginOil Inc. OOIL Closed 07/11/2011 07/07/2011 N/A $1,000,000 $100,000 10.000% Exclusive Agent Energy-Alternative Sources Convertible - Fixed 10.72% N/A -33.29% N/A 117.65% -13.28%
Total: 3 Deals $8,129,495  


4. Northland Securities, Inc.

Synergy Resources Corporation SYRG Closed 12/21/2011 12/15/2011 N/A $40,249,998 $2,615,518 6.500% Co-Lead Agent Oil & Gas Common Stock - CMPO/Overnight Offering 40.55% -1.79% N/A N/A 0.00% 0.00%
American Standard Energy Corporation ASEN Closed 07/15/2011 07/12/2011 N/A $13,000,003 $998,000 7.670% Co-Agent Oil & Gas Common Stock 15.14% -16.67% N/A N/A 150.00% -34.78%
Total: 2 Deals $53,250,001  


5. C.K. Cooper & Company, Inc.

Synergy Resources Corporation SYRG Closed 12/21/2011 12/15/2011 N/A $40,249,998 $2,615,518 6.500% Co-Lead Agent Oil & Gas Common Stock - CMPO/Overnight Offering 40.55% -1.79% N/A N/A 0.00% 0.00%
Ante5, Inc. ANFC Closed 07/26/2011 07/26/2011 N/A $6,142,500 $429,975 7.000% Co-Agent Oil & Gas Common Stock 22.37% 5.26% N/A N/A 50.00% 57.89%
Total: 2 Deals $46,392,498  


6. Helmsec Global Capital Limited

Carabella Resources Limited CLR:AU Closed 12/06/2011 12/06/2011 N/A $24,620,281 Not Disclosed 0.000% Lead Agent Coal Common Stock 17.68% -7.14% N/A N/A 0.00% 0.00%
African Energy Resources Limited AFR:AU Closed 07/18/2011 07/18/2011 N/A $16,098,510 Not Disclosed 0.000% Lead Agent Coal Common Stock 10.12% -9.91% N/A N/A 0.00% 0.00%
Total: 2 Deals $40,718,791  


7. FirstEnergy Capital Corporation

Yoho Resources Inc. YO:CN Closed 12/22/2011 12/12/2011 N/A $4,860,085 Not Disclosed 0.000% Lead Agent Oil & Gas Common Stock 3.08% 26.18% N/A N/A 0.00% 0.00%
Tethys Petroleum Limited TPL:CN Closed 12/09/2011 11/29/2011 N/A $13,424,416 Not Disclosed 0.000% Co-Agent Oil & Gas Common Stock 9.09% 4.00% N/A N/A 0.00% 0.00%
Total: 2 Deals $18,284,501  


8. Lazard

Pacific Ethanol, Inc. PEIX Closed 12/13/2011 12/09/2011 N/A $8,006,250 $480,375 6.000% Exclusive Agent Energy-Alternative Sources Common Stock 16.32% -13.22% N/A N/A 65.00% 23.97%
Gasco Energy, Inc. GSX Closed 08/03/2011 07/28/2011 N/A $4,000,000 $260,000 6.500% Exclusive Agent Oil & Gas Common Stock - CMPO/Overnight Offering 21.66% -8.79% N/A N/A 71.88% 27.69%
Total: 2 Deals $12,006,250  


9. Haywood Securities, Inc.

Yoho Resources Inc. YO:CN Closed 12/22/2011 12/12/2011 N/A $4,860,085 Not Disclosed 0.000% Co-Agent Oil & Gas Common Stock 3.08% 26.18% N/A N/A 0.00% 0.00%
Vast Exploration Inc. VST:CN Closed 11/22/2011 10/19/2011 N/A $2,947,838 $33,800 5.000% Co-Agent Oil & Gas Common Stock 24.62% -9.09% N/A N/A 0.00% 0.00%
Total: 2 Deals $7,807,923  


10. Acumen Capital Finance Partners

Yoho Resources Inc. YO:CN Closed 12/22/2011 12/12/2011 N/A $4,860,085 Not Disclosed 0.000% Co-Agent Oil & Gas Common Stock 3.08% 26.18% N/A N/A 0.00% 0.00%
Redwater Energy Corp RED:CN Closed 09/02/2011 08/24/2011 N/A $2,241,000 $132,910 5.931% Co-Agent Oil & Gas Common Stock 20.79% 17.95% N/A N/A 5.00% 53.85%
Total: 2 Deals $7,101,085