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 |
|---|---|
| Armour Residential REIT | ARR |
| Blackstone/GSO Senior Floating | BSL |
| Celcius Holdings Inc | CELH, CELHW |
| China Hydroelectric | CHC |
| Cormedix | CRMD |
| Cushing MLP Total Return Fund | SRV |
| Energy Income & Growth Fd | FEN |
| Federal Enhanced Treasuries | FTT |
| Golden Green Enterprises | CHOP, CHOPW |
| IGI | Western Asset Investment Grade Opp Trust |
| Kingtone Wireless | KONE |
| Kit Digital | KITD |
| Micromet | MITI |
| Neostem | NBS |
| Nile Therapeutics, Inc | NLTX |
| Nuveen Mort Oppt term Fd 2 | JMT |
| Nuveen Mortgage Oppt Term Fund | JLS |
| RegenRx | RGN |
| Seligman Premium Technology Growth Fund | STK |
| Vringo | VRNGU |
| Western Asset Mortg Def Oppt Fd | DMO |
| Winner Medical | WWIN |
| 22 Results | Page 1 of 1 |