| NEWBRIDGE SECURITIES CORPORATION | 104065 | BriaCell Therapeutics Corp. | 1610820 | 04/10/2018 | D | $800,000 | $800,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | ROYALE ENERGY INC | 864839 | 01/06/2010 | D | $3,500,000 | $762,500 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Service Finance Funding II, LLC | 1473057 | 10/27/2009 | D/A | $10,000,000 | $731,376 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Service Finance Funding II, LLC | 1473057 | 10/20/2009 | D/A | $10,000,000 | $701,376 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Shopoff Opportunity Fund VI, L.P. | 1745037 | 11/09/2018 | D/A | $100,000,000 | $669,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | ARC Property Trust, Inc. | 1480970 | 02/24/2016 | D/A | $30,000,000 | $572,423 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Grom Social Enterprises, Inc. | 1662574 | 12/13/2018 | D | $552,000 | $552,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Service Finance Funding II, LLC | 1473057 | 10/02/2009 | D/A | $10,000,000 | $505,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | PALOMA PHARMACEUTICALS INC | 1353255 | 09/02/2009 | D | $2,000,000 | $500,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Shopoff Opportunity Fund VI, L.P. | 1745037 | 10/26/2018 | D/A | $100,000,000 | $462,781 |
