| COMPANY | SYMBOL | TYPE | PRICE | Shares | Trade Date | UNDERWRITER (S) |
| Capnia, Inc. | CAPN | IPO | $6.50-$8.50 | 1.65 million | 11/13/2014 | Maxim Group LLC |
| Cerecor, Inc. | CERC | IPO | $6.00-$7.00 | 4 million | 10/15/2015 | Maxim Group LLC |
| Check-Cap Ltd. | CHEKU | IPO | $10.00-$12.00 | 2 million | 2/19/2015 | Chardan Capital Markets, LLC, Maxim Group LLC |
| China For-Gen | CFG | IPO | $3.50-$4.00 | 4 million shares | 0/0/0 | Maxim Group LLC, National Securities |
| ContraFect Corporation | CFRXU | IPO | Priced at $6.00 | 6 million | 7/29/2014 | Maxim Group LLC |
| Dermtech International | DMTK | IPO | TBD | TBD | 0/0/0 | Maxim Group LLC |
| Digital Cinema Destinations | DCIN | IPO | $6.00-$8.00 | 2.2 million | 4/17/2012 | Maxim Group LLC, Dominick & Dominick |
| ECM Energy Services, Inc. | ECME | IPO | $7.00-$9.00 | 2.5 million | 0/0/0 | Maxim Group LLC |
| Galmed Pharmaceuticals Ltd. | GLMD | IPO | Priced at $13.50 | 2.84 million | 3/13/2014 | Maxim Group LLC |
| Opgen, Inc. | OPGN | IPO | $8.00-$10.00 | 2.85 million | 5/5/2015 | Maxim Group LLC |
| OphthaliX | TBD | IPO | TBD | TBD | 0/0/0 | Maxim Group LLC |
| PLX Pharma | PLXP | IPO | $17.00-$19.00 | 3.8 million | 0/0/0 | Raymond James, Maxim Group LLC |
| West Coast Realty Trust | WCRT | IPO | TBD | TBD | 0/0/0 | Maxim Group LLC |