| NEWBRIDGE SECURITIES CORPORATION | 104065 | Service Finance Funding III, LLC | 1498213 | 08/26/2010 | D/A | $10,000,000 | $225,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Tocagen Inc | 1419041 | 06/10/2013 | D | $5,250,000 | $210,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | iSelect Innovation Fund (B) I, LLC | 1720102 | 12/28/2017 | D | Indefinite | $200,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Hancock Jaffe Laboratories, Inc. | 1661053 | 03/22/2017 | D | $7,500,000 | $194,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | SHOPOFF MESA VERDE FUND LLC | 1887474 | 12/22/2021 | D/A | $5,384,517 | $175,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | SHOPOFF MESA VERDE FUND LLC | 1887474 | 02/07/2022 | D/A | $5,384,517 | $175,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Oncolix, Inc. | 1574061 | 10/25/2016 | D/A | $400,000 | $150,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Oncolix, Inc. | 1574061 | 10/04/2016 | D | $200,000 | $150,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Hudson Film Group, Inc. | 1506506 | 11/24/2010 | D | $1,000,000 | $100,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Cottonwood Residential O.P., LP | 1480126 | 10/16/2014 | D | Indefinite | $100,000 |
