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
Active Power ACPW
ADMA Biologics ADMA
Aeterna Zentaris AEZS
Agenus inc AGEN
America First Multifamily Investors LP ATAX
American Agency Capital Corp. AGNC
American Capital Mortgage MTGE
Americas 1st MultiFamily Inves Oppt LP ATAX
Anavex Life Sciences AVXL
Arbor Realty Trust Inc. ABRN
Ares Multi-Strategy Credit Fund ARMF
Arlington Asset Senior Notes AI
Athersys Inc. ATHX
Atlas Resource Partners LP ARP
Bio-Path Holdings Inc. BPTH
BioLineRx Inc. BLRX
Blue Capital Reinsurance Holdings Inc BCRH
Boadwalk Pipeline Partners LP BWP
Boulevard Acquisition Corp BLVDU
Box Ships Inc TEU
Box Ships Inc 9% Reed. Pf C TEUPRC
Box Ships Inc Pfd C TEU.C
Breitburn Energy Partners LP BBEP
Callon Petroleum Co Series A 10% CPE prA
Cambridge Capital Acquisition CAMBU
Cancer Genetics Inc CGIX
Capitala Finance Corp CPTA
Catalyst Pharmaceutical Partners CPRX
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
Exelixis Inc EXEL
Fiduciary Claymore MLP FMO
Fifth Street Finance FSC
Fifth Street Senior Floating Rate Corp FSFR
First Trust Immediate Duration Fd FPF
First Trust New Opports MLP Energy Fd FPL
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
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