| 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 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Surna Inc. | 1482541 | 11/07/2014 | D | $3,000,000 | $100,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | iSelect Innovation Fund I, LLC | 1720101 | 10/24/2017 | D | Indefinite | $65,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Terra Secured Income Fund, LLC | 1468889 | 10/28/2009 | D/A | $20,000,000 | $50,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Service Finance Funding III, LLC | 1498213 | 08/18/2010 | D/A | $10,000,000 | $25,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Optex Systems Inc | 1452043 | 12/16/2008 | D | $2,250,000 | $0 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Gulf South Energy Partners 2009 A LP | 1459399 | 03/30/2009 | D | $24,000,000 | $0 |
