| 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 |
| AEGIS CAPITAL CORP. | 15007 | Aegis Special Situations Fund LLC - Series Medtech VI | 1893051 | 11/10/2021 | D | $12,000,000 | $5,595,000 |
| AEGIS CAPITAL CORP. | 15007 | Aquyre Biosciences Inc | 1887377 | 05/27/2022 | D/A | $5,500,000 | $5,423,710 |
| AEGIS CAPITAL CORP. | 15007 | Aerami Therapeutics Holdings, Inc. | 1650840 | 12/16/2022 | D | $20,000,000 | $5,380,000 |
| AEGIS CAPITAL CORP. | 15007 | FSC Healthcare 1 DST | 1684518 | 07/06/2017 | D/A | $5,320,000 | $5,320,000 |
| AEGIS CAPITAL CORP. | 15007 | Aegis Special Situations Fund LLC - Series DNA I | 1756920 | 01/08/2019 | D/A | $12,500,000 | $5,312,000 |
