| AEGIS CAPITAL CORP. | 15007 | AmCap Necessity Retail Fund LLC | 1766327 | 03/06/2020 | D/A | $100,000,000 | $7,425,000 |
| AEGIS CAPITAL CORP. | 15007 | Aegis Special Situations Fund LLC - Series Medtech IX | 1941821 | 08/30/2022 | D | $10,000,000 | $7,185,000 |
| AEGIS CAPITAL CORP. | 15007 | Crescent Moon Investors, LLC | 1759925 | 11/26/2018 | D | $7,010,000 | $7,010,000 |
| AEGIS CAPITAL CORP. | 15007 | Agritech Partners LLC - Series HB-1 | 1866948 | 06/11/2021 | D | $40,000,000 | $6,610,000 |
| AEGIS CAPITAL CORP. | 15007 | Corbus Pharmaceuticals Holdings, Inc. | 1595097 | 04/23/2014 | D | $13,000,000 | $6,310,000 |
| AEGIS CAPITAL CORP. | 15007 | Carter Multifamily Growth & Income Fund, LLC | 1723529 | 06/04/2018 | D/A | $200,000,000 | $6,240,417 |
| AEGIS CAPITAL CORP. | 15007 | MCI Preferred Income Fund IV, LLC | 1774415 | 03/16/2020 | D/A | $500,000,000 | $5,882,536 |
| AEGIS CAPITAL CORP. | 15007 | Aegis Special Situations QP Fund LLC - Series Rideshare I | 1739299 | 08/15/2018 | D/A | $12,500,000 | $5,856,500 |
| AEGIS CAPITAL CORP. | 15007 | CleanTech Innovations, Inc. | 1382219 | 07/15/2010 | D | $10,000,000 | $5,644,000 |
| AEGIS CAPITAL CORP. | 15007 | DelMar Pharmaceuticals, Inc. | 1498382 | 05/10/2016 | D | Indefinite | $5,600,000 |
