Maxim Group

Third-party Research Disclosures

Please see below for the appropriate third-party research disclosures for the following companies with regard to Maxim Group and its affiliates.

Managing/Co-Managing a Public Offering

Maxim Group managed/co-managed a public offering of the securities for the following companies in the past 12 months.

Company Name Ticker Symbol
Aastrom Biosciences ASTM
Acorn Energy, Inc ACFN
ADMA Biologics ADMA
Agenus inc AGEN
American Capital Mortgage MTGE
Apollo Tactical Income Fund AIF
Ares Multi-Strategy Credit Fund ARMF
Arlington Asset Senior Notes AI
Armour Residential REIT Pf B ARR b
Blackrock Multi-Sector Inc Trust BIT
Boulevard Acquisition Corp BLVDU
Box Ships Inc TEU
Box Ships Inc 9% Reed. Pf C TEUPRC
Box Ships Inc Pfd C TEU.C
BRAINSTORM BCLI
Brookfield Mortgage Oppty Inc Fund BOI
CARMIKE CINEMAS INC CKEC
Cel Sci Corp CVM
Center Coast MLP & Infrastructure Fd CEN
Clearbridge American Energy MLP CBA
Cohen & Steers MLP Inc. & Energy Fd MIE
DoubleLine Income Solutions Fd DSL
Dreyfus Municipal Bond Infrast. Fd DMB
Eaton Vance Muni Inc. Term Trust ETX
EatonVance Floating Rate Inc Pluss EFF
Fiduciary Claymore MLP FMO
Fifth Street Finance FSC
Fifth Street Senior Floating Rate Corp FSFR
First Trust Immediate Duration Fd FPF
Five Oaks Investment CorP OAKS PRA
Flaherty & Crumrine Dynamic Pfd DFP
Full Circle 8.25% Notes FULLL
Full Circle Capital Corp FULL
Gastar Exploration USA B Pfd GST.PR.B
General Finance Corp C 9% pfd GFCNC
Global Defense& Nat. Security Sys. Inc GDEF
Goldman Sachs MLP Inc Oppt Fund GMZ
Good Times Restaurants Inc GTIM
Guggenheim Credit Allocation Fd GGM
Hercules Technology Growth Cap HTGC
Inovio Pharmaceutials INO
INTL FCStone Inc Senior Note INTLL
ISORAY INC ISR
IVY HIGH INCOME OPPTS FD IVH
KCAP Financial Inc KCAP
KKR INCOME OPPORTUNITIES KIO
Ladenburg Thalman pf A LTS Pr A
Levy Acquisition LEVYU
Medgenics Inc MDGN
Medley Capital Corp MCC
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