| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | Aurora Spine Corp | 1598103 | 09/24/2021 | D | $6,240,070 | $3,167,826 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | INTERNATIONAL ISOTOPES INC | 1038277 | 08/07/2012 | D | $8,000,000 | $3,069,900 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | Thoughtful Media Group, Inc. | 1606726 | 05/09/2014 | D | $6,000,000 | $3,000,000 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | LiveWell Canada Inc. | 1764649 | 02/27/2019 | D | $3,000,000 | $3,000,000 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | Golden Minerals Co | 1011509 | 05/07/2020 | D | $3,000,000 | $3,000,000 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | Synthetic Biologics, Inc. | 894158 | 08/04/2022 | D | $3,000,000 | $3,000,000 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | Electrovaya Inc. | 1844450 | 10/13/2021 | D | $4,811,738 | $2,978,695 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | YouMail, Inc. | 1419772 | 02/09/2015 | D | $3,500,000 | $2,910,000 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | A.G.P. Alternative Investment Fund III LLC - Series 1 | 1917786 | 05/16/2022 | D | $50,000,000 | $2,820,000 |
| A.G.P. / ALLIANCE GLOBAL PARTNERS | 8361 | A.G.P. Alternative Investment Fund LLC | 1855929 | 06/03/2021 | D/A | Indefinite | $2,695,000 |
