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
Aeterna Zentaris AEZS
Agenus inc AGEN
American Agency Capital Corp. AGNC
American Capital Mortgage MTGE
Ares Multi-Strategy Credit Fund ARMF
Arlington Asset Senior Notes AI
Athersys Inc. ATHX
Bio-Path Holdings Inc. BPTH
BioLineRx Inc. BLRX
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
CARMIKE CINEMAS INC CKEC
Cel Sci Corp CVM
Center Coast MLP & Infrastructure Fd CEN
Clearbridge American Energy MLP CBA
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
Galena Biopharma GALE
Galmed Pharmaceuticals Inc. GLMD
Gastar Exploration USA B Pfd GST.PR.B
Gladstone Capital GLAD
Global Defense& Nat. Security Sys. Inc GDEF
Goldman Sachs MLP Inc Oppt Fund GMZ
Good Times Restaurants Inc GTIM
Guggenheim Credit Allocation Fd GGM
Inovio Pharmaceutials INO
INTL FCStone Inc Senior Note INTLL
ISORAY INC ISR
IVY HIGH INCOME OPPTS FD IVH
KKR INCOME OPPORTUNITIES KIO
Ladenburg Thalman Financial Services Inc. LTS
Levy Acquisition LEVYU
Magic Software Enterprises Inc. MGIC
Medley Capital Corp MCC
Medley Capital Inc MCC
Medley Capital Par Notes MCV
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