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.

Expected Investment Banking Compensation

Maxim Group expects to receive or intends to seek compensation for investment banking services from the following companies in the next three months.

Company Name Ticker Symbol
Aastrom Biosciences, Inc ASTM
Achillion Pharmaceuticals, Inc ACHN
Acorn Energy, Inc ACFN
ADMA Biologics, Inc. ADMA
Advanced Cell Technology Inc. ACTC
Aeterna Zentaris Inc. AEZS
AG Mortgage Trust, Inc. MITT
Agenus Inc AGEN
Allscripts-Misys Healthcare Sol. MDRX
American Capital Agency Corp AGNC
American Capital Mortgage Investment Corp. MTGE
Anworth Mortgage Asset Corp ANH
Apollo Investment Corp AINV
Apollo Residential Mortgage Inc. AMTG
Ardmore Shipping Corp. ASC
Arlington Asset Investment Corp. AI
Armour Residential REIT ARR
Arno Therapeutics Inc. ARNO
Asia Entertainment and Resources AERL
Athersys, Inc ATHX
Atlas Air Worlwide Holdings AAWW
AVI Biopharma SRPP
Baltic Trading Ltd. BALT
BofI Holding, Inc. BOFI
Capstead Mortgage Corp CMO
Carmike Cinemas CKEC
Catalyst Pharmaceutical Partners, Inc. CPRX
Catalyst Pharmaceuticals Partners, Inc. CPRX
Cerner Corp. CERN
China Gerui Advanced Materials CHOP
Copa Holdings SA CPA
CorMedix, Inc CRMD
Cutera Inc. CUTR
Cynosure, Inc. CYNO
CYS Investments, Inc CYS
Cytori Therapeutics, Inc. CYTX
Dendreon Corp DNDN
Deyu Agriculture Corp DEYU
DHT Holdings Inc. DHT
diaDexus, Inc. DDXS
Diana Shipping Inc. DSX
Digital Cinemas Destinations Corp DCIN
Dynex Capital, Inc. DX
Ellie Mae, Inc. ELLI
Ellington Financial LLC EFC
Exelixis, Inc EXEL
Exide Technologies XIDE
Fifth Street Finance Corp. FSC
Fifth Street Senior Floating Rate Corp. FSFR
First Internet Bancorp INBK
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