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FINANCIAL | Investment Banking
maximgrp.com

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Investments

8

Portfolio Exits

3

Partners & Customers

7

About Maxim Group

Maxim Group is an investment banking, securities and investment management firm. The Firm provides financial services including: investment banking, equity research, private wealth management, structured products, and global institutional equity, fixed-income and derivative sales & trading to a diverse range of corporate clients, institutional investors and high net worth individuals.Maxim Group is registered as a broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following: Financial Industry Regulatory Authority (FINRA); Municipal Securities Rulemaking Board (MSRB); Securities Insurance Protection Corporation (SIPC); NASDAQ Stock Market; and NYSE Arca, Inc

Maxim Group Headquarter Location

405 Lexington Avenue

New York, New York, 10174,

United States

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Maxim Group Web Traffic

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Page Views per Million (PVPM)
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Maxim Group Rank

Latest Maxim Group News

Roth CH Acquisition V Co. Announces Pricing Of $100 Million Initial Public Offering

Dec 1, 2021

(the "Company") announced today the pricing of its initial public offering of 10,000,000 units at a price of $10. Author: Roth CH Acquisition V Co. (the "Company") announced today the pricing of its initial public offering of 10,000,000 units at a price of $10.00 per unit. The units will be listed on The Nasdaq Global Market ("Nasdaq") and trade under the ticker symbol "ROCLU" beginning on December 1, 2021. Each unit consists of one share of common stock and one-half of one redeemable warrant, with each whole warrant exercisable to purchase one share of common stock at a price of $11.50 per share. After the securities comprising the units begin separate trading, the shares of common stock and warrants are expected to be listed on Nasdaq under the symbols "ROCL" and "ROCLW," respectively. Roth Capital Partners and Craig-Hallum Capital Group are acting as joint book-running managers for the offering. The Company has granted the underwriters a 45-day option to purchase up to an additional 1,500,000 units at the initial public offering price to cover over-allotments, if any. Maxim Group LLC is acting as the qualified independent underwriter for the offering. The offering is expected to close on December 3, 2021. A registration statement relating to these securities was declared effective by the U.S. Securities and Exchange Commission (the "SEC") on November 30, 2021. The offering is being made only by means of a prospectus. When available, copies of the prospectus relating to this offering may be obtained from Roth Capital Partners, 888 San Clemente, Newport Beach, CA 92660, Attn: Prospectus Department, telephone: 800-678-9147, or Craig-Hallum Capital Group LLC, 222 South Ninth Street, Suite 350, Minneapolis, MN 55402, Attn: Equity Capital Markets, telephone: 612-334-6300 or by email at prospectus@chlm.com . This press release shall not constitute an offer to sell or the solicitation of an offer to buy, nor shall there be any sale of these securities in any state or jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction. Cautionary Note Concerning Forward-Looking Statements This press release contains statements that constitute "forward-looking statements," including with respect to the initial public offering and search for an initial business combination. No assurance can be given that the offering discussed above will be completed on the terms described, or at all, or that the proceeds of the offering will be used as indicated. Forward-looking statements are subject to numerous conditions, many of which are beyond the control of the Company, including those set forth in the Risk Factors section of the Company's registration statement for the initial public offering filed with the SEC. Copies are available on the SEC's website, www.sec.gov . The Company undertakes no obligation to update these statements for revisions or changes after the date of this release, except as required by law. View source version on businesswire.com: https://www.businesswire.com/news/home/20211130006113/en/ By

Maxim Group Investments

8 Investments

Maxim Group has made 8 investments. Their latest investment was in The9 as part of their PIPE on April 4, 2021.

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Maxim Group Investments Activity

investments chart

Date

Round

Company

Amount

New?

Co-Investors

Sources

4/9/2021

PIPE

The9

$144M

Yes

1

1/8/2018

Series A

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$99M

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10

6/4/2013

Series B - III

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$99M

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10

5/26/2011

PIPE

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$99M

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10

10/21/2010

Series B

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$99M

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10

Date

4/9/2021

1/8/2018

6/4/2013

5/26/2011

10/21/2010

Round

PIPE

Series A

Series B - III

PIPE

Series B

Company

The9

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Amount

$144M

$99M

$99M

$99M

$99M

New?

Yes

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Co-Investors

Sources

1

10

10

10

10

Maxim Group Portfolio Exits

3 Portfolio Exits

Maxim Group has 3 portfolio exits. Their latest portfolio exit was Edge Therapeutics on October 01, 2015.

Date

Exit

Companies

Valuation
Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model.

Acquirer

Sources

10/1/2015

IPO

$991

1

00/00/0000

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$991

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10

00/00/0000

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$991

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10

Date

10/1/2015

00/00/0000

00/00/0000

Exit

IPO

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Companies

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Valuation

$991

$991

$991

Acquirer

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Sources

1

10

10

Maxim Group Acquisitions

1 Acquisition

Maxim Group acquired 1 company. Their latest acquisition was Onblox on November 04, 2019.

Date

Investment Stage

Companies

Valuation
Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model.

Total Funding

Note

Sources

11/4/2019

Acquired

1

Date

11/4/2019

Investment Stage

Companies

Valuation

Total Funding

Note

Acquired

Sources

1

Maxim Group Partners & Customers

7 Partners and customers

Maxim Group has 7 strategic partners and customers. Maxim Group recently partnered with OpSec Security on May 5, 2019.

Date

Type

Business Partner

Country

News Snippet

Sources

5/28/2019

Partner

OpSec Security

United States

OpSec Security and Maxim Partner to Extend the Reach of Brand Protection throughout Asia

The strategic partnership between OpSec Security and Maxim Group will target fighting the increase in Brand infringement and counterfeit goods .

2

8/14/2017

Partner

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10

1/31/2017

Partner

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10

1/31/2017

Partner

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10

6/16/2016

Partner

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10

Date

5/28/2019

8/14/2017

1/31/2017

1/31/2017

6/16/2016

Type

Partner

Partner

Partner

Partner

Partner

Business Partner

OpSec Security

Country

United States

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News Snippet

OpSec Security and Maxim Partner to Extend the Reach of Brand Protection throughout Asia

The strategic partnership between OpSec Security and Maxim Group will target fighting the increase in Brand infringement and counterfeit goods .

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Sources

2

10

10

10

10

Maxim Group Team

7 Team Members

Maxim Group has 7 team members, including current Chief Marketing Officer, David Shapiro.

Name

Work History

Title

Status

David Shapiro

Chief Marketing Officer

Current

Michael Quintavalla

Chief Administrative Officer

Current

Ritesh Veera

Rodman & Renshaw

Senior Managing Director, Managing Director

Current

Tim O Brien CFA

Senior Vice President

Former

Eric Cheng

Senior Managing Director

Former

Name

David Shapiro

Michael Quintavalla

Ritesh Veera

Tim O Brien CFA

Eric Cheng

Work History

Rodman & Renshaw

Title

Chief Marketing Officer

Chief Administrative Officer

Senior Managing Director, Managing Director

Senior Vice President

Senior Managing Director

Status

Current

Current

Current

Former

Former

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