Mike Urban

D. A. Davidson & Co. is a dually SEC-registered investment adviser and FINRA broker-dealer headquartered in Great Falls, Montana. The firm was founded in 1935 and is a subsidiary of D.A. Davidson Companies, a financial service holding company. They provide liquidity and execution in small & mid-cap stocks to a wide range of institutional investors, including mutual fund and money managers around the world.

Citizens JMP Securities LLC (Citizens JMP) is a full-service investment bank and broker/dealer headquartered in San Francisco, California. The firm was founded by Joseph Jolson in 2002 and was formerly JMP Securities LLC. The firm is a subsidiary of JMP Holding LLC, ultimately held by Citizens Financial Group, Inc. (NYSE: CFG). Citizens JMP provides equity research, institutional brokerage, and investment banking services to public and private growth companies and their investors. They are a research-driven, growth-oriented firm that provides services to small- and mid-sized companies and the institutions that invest in them. The firm specializes in four high-growth sectors of the economy: technology, healthcare, financial services, and real estate.

UBS Securities LLC is an investment bank and registered broker/dealer headquartered in New York City. The firm was founded in 1998 as UBS Warburg LLC. They are a subsidiary of UBS Americas Holding LLC, ultimately held by UBS Group AG (SWX: UBSG, NYSE: UBS) in Switzerland. UBS Securities is a primary dealer in US Government securities and provides a full range of investment banking services which includes corporate finance, mergers and acquisitions, capital markets, trading and sales, fixed-income, equity research, private banking, underwriting and prime brokerage operations. The firm also provides advisory services and access to capital markets for corporate, institutional, intermediary and alternative asset management clients.

JPMorgan Securities LLC (JPMS) is a securities brokerage firm headquartered in New York City. The firm was founded in 1985 and is a subsidiary of JPMorgan Broker-Dealer Holdings, Inc., ultimately held by JPMorgan Chase & Co., Inc. (NYSE: JPM). JPMS provides research on fixed income, credit, derivatives, emerging markets, foreign exchange, structured finance, technical analysis and bond indices. Their equity analysts cover equities throughout North America, EMEA, Asia/Pacific and the emerging markets. The firm's fixed income team formulates trading and portfolio recommendations for investors in global bonds and other fixed-income markets based on valuations, analytics and market dynamics.

Scotia Capital (USA), Inc. (SCUSA) is a SEC-registered broker/dealer headquartered in New York City. The firm is a subsidiary of Scotia Holdings (USA) LLC, which is owned by The Bank of Nova Scotia (NYSE: BNS; TSE: BNS) in Canada. They provide debt research coverage on US investment grade and high yield debt markets. SCUSA focuses on 6 industries which includes automotive, financial services, healthcare, media and communications, REGAL - real estate/gaming and leisure and technology. They also focus on 4 main global sectors such as power, mining, infrastructure and oil & gas/energy.

Ladenburg Thalmann & Co., Inc. (Broker) is the broker/dealer division of Ladenburg Thalmann & Co., Inc., ultimately held by Advisor Group Holdings, Inc. Headquartered in New York City, the firm was founded in 1876 and offers a full suite of capital markets products and services, including proprietary equity research and a fixed-income trading desk. For institutional asset management clients, the firm provides liquidity, execution, high-quality idea-generating research, and access to corporate management teams. Their institutional coverage includes relationships with over asset management companies all over the world. To corporate clients, they bring access to investor capital, broad distribution capabilities and financial markets advisory. Ladenburg Thalmann is a leader in financing growing middle-market public companies across various industry verticals, including Healthcare & Life Sciences, Yield-Oriented Securities (BDCs, REITs, MLPs), Energy, Power & Infrastructure, and Telecom, Media & Technology.

Founded in 2005, The Vertical Trading Group LLC (Member FINRA) is a registered broker/dealer located in New York City. The firm is a subsidiary of RAS Holdings LLC. Their institutional equities trading desk provides their clients with timely information and high-quality execution. They make markets in approximately 2000 securities and handle securities on all major exchanges, crossing networks and electronic trading platforms. Vertical's agency-only trading desk leverages the firm's advanced multi-asset electronic trading suite to help clients identify and capitalize on event-driven trading opportunities. They seek to help assess and capitalize on the mispricings of securities triggered by anticipated major corporate events and catalysts that arise as a result of corporate restructurings, recapitalizations, mergers and acquisitions, relative value disparities/stub trades, finance trades (synthetic stock loans) and index revisions.

Cassel Salpeter & Co. LLC operates as an independent investment banking firm that provides advice services. It offers mergers and acquisitions, valuations, fairness & solvency, re-structuring, advisory services and capital raising services to the banks and commercial finance companies. The company was founded by James S. Cassel and Scott E. Salpeter in 2010 and is headquartered in Miami, FL.

KPMG LLP engages in the provision of audit, tax, and advisory services. It serves the banking and capital markets, building, construction and real estate, consumer and retail, energy, natural resources and chemicals, financial services, government and public sector, healthcare and life sciences, industrial manufacturing, insurance, media and entertainment, private equity, technology, telecommunications, and venture capital industries. The company was founded in 1987 and is headquartered in New York, NY.

Jefferies LLC is a global investment bank and institutional securities firm headquartered in New York City. The firm was founded in 1962 and is a subsidiary of Jefferies Group LLC, ultimately held by Jefferies Financial Group, Inc. (NYSE: JEF). Jefferies provides corporate clients with research and execution services in equity, fixed income, and foreign exchange markets, as well as a full range of investment banking services such as underwriting, mergers and acquisitions, restructuring and recapitalization, and other advisory services, with all businesses operating in the Americas, Europe and Asia.

Founded in 1958, Merrill Lynch Piece Fenner & Smith, Inc. is an SEC registered broker/dealer located in New York City. The firm is a subsidiary of BAC North America Holding Co. and their ultimate parent is Bank of America Corp. (NYSE BAC).

BB&T Securities LLC, doing business as BB&T Capital Markets, is the broker/dealer subsidiary of BB&T Corp. (NYSE: BBT). The firm is headquartered in Richmond, Virginia. They offer a full array of investment, trading and execution services to middle-market companies. BB&T Capital Markets' sales and trading arm is comprised of 2 groups: Debt Securities Sales & Trading and Equity Sales & Trading. The Debt Securities Sales & Trading group focuses on: (1) Government and agency securities (2) corporate bonds (3) municipal bonds (4) asset-backed securities (5) mortgage-backed securities (6) preferred securities and (7) money market desk (short-term securities including BB&T funding). The Equity Sales & Trading group focuses on: (1) institutional block execution services (2) institutional distribution of proprietary research (3) providing proprietary access to industry leading conferences and management teams (4) serving as a NASDAQ market maker for over 250 securities (5) stock buybacks including 10b-18 and 10b5-1 trading plans and (6) 144 stock sales, individual 10b5-1 trading plans (buy and sell) and employee cashless stock option programs. BB&T Capital Markets provides research coverage of the communications, defense and government services, energy, financial services, furnishings and consumer durables, healthcare, industrial services, retail/consumer durables and transportation services sectors.

University of Houston System offers higher education degrees and job training or vocational study programs. It offers about 280 undergraduate and graduate degree programs in fields such as business, education, humanities and law. It was founded in 1927 and is headquartered in Houston, TX.

Goldman Sachs & Co. LLC (GS&Co.) is a securities brokerage firm headquartered in New York City. Founded in 1927, the firm is a subsidiary of The Goldman Sachs Group, Inc. (NYSE: GS). GS&Co. provides services to help hedge funds manage risk, monitor portfolios, maintain liquidity and build their businesses. They offer clients access to global equity and derivatives markets, as well as foreign exchange, commodities, European Lefts, rates and credit across the Americas, Europe and Asia. The firm proactively monitors capital markets, searching for pockets of liquidity and news that may require changes to those strategies. Integration with the Goldman Sachs network gives clients access to the firm's sectored block trades and their insights into price discovery. Their electronic trading program provides clients with tools to manage their trades from pre-trade analytics to post-trade analysis.

Brean Capital is an independent investment bank and registered broker/dealer headquartered in New York City. The firm was founded in 1973 and provides equity research, corporate finance and advisory investment banking, equity institutional sales and trading, and asset management to institutional investors and corporate clients. Their fixed income business provides sales, trading, research and banking services on a wide range of mortgage and asset-backed, US Treasury and government agency securities, structured products, corporate bonds, and municipal debt. The fixed income sales team employs a highly analytical approach to bond selection, trade execution, and overall bond portfolio management. Under the guidance of fixed income strategists, the fixed income team uses a combination of qualitative and quantitative analyses to create custom investment portfolios and develop targeted, executable bond trading strategies to complement their clients? balance sheets.

H. C. Wainwright & Co. LLC (H. C. Wainwright) is a full-service broker/dealer headquartered in New York City. The firm was founded in 1868 and is a subsidiary of HCWHC, Inc. H. C. Wainwright delivers industry insights and real-time execution to both public and private small and middle-sized global emerging market companies. With a focus on identifying buyers and sellers in illiquid and difficult to trade equities, the firm specializes in block trading and providing liquidity in these securities with as little market impact as possible.

Oppenheimer & Co., Inc. (Broker) (Oppenheimer-Broker) is the global full-service brokerage division of Oppenheimer & Co., Inc., an investment boutique headquartered in New York City with additional offices nationwide. Founded in 1975, the firm is owned directly by Viner Finance Inc., an indirect subsidiary of Oppenheimer Holdings Inc. (NYSE: OPY). Oppenheimer-Broker offers a full array of brokerage services to retail, institutional, and corporate clients.

Cherry Bekaert LLP engages in the provision of financial and management services. It offers services such as assurance, tax, advisory, cybersecurity, wealth management, consulting, and corporate tax planning strategies. The company was founded in 1947 and is headquartered in Richmond, VA.

William Blair & Co. LLC (William Blair) is a SEC-registered broker/dealer firm headquartered in Chicago, Illinois. The firm was founded by William McCormick Blair in 1935 and is a subsidiary of WBC Holdings LP. Until 1941, they were known as Blair, Bonner & Co. William Blair provides broking services to individual, institutional and issuing clients.

Colliers Securities LLC is a registered broker-dealer headquartered in Minneapolis, Minnesota. The firm was founded in 1997 and formerly known as Dougherty & Co. LLC. They are a wholly owned subsidiary of Colliers Mortgage Holdings LLC, ultimately owned by Colliers International Group, Inc. (NASDAQ; TSX: CIGI) in Canada. Colliers Securities generally provides brokerage, custody and execution services through a clearing arrangement with National Financial Services LLC, a nonaffiliated firm, member NYSE, SIPC and a Fidelity Investments® Company.

RBC Capital Markets LLC is a full-service brokerage and financial services firm headquartered in New York City. They are a direct subsidiary of RBC USA Holdco Corp. and a wholly-owned indirect subsidiary of Royal Bank of Canada (TSE, NYSE: RY). Founded in 2010, the firm is comprised of 3 major business lines: the Private Client Group, the Fixed-Income Group and the Clearing and Execution Services Group. The Private Client Group serves individual investors, while the Fixed-Income Group provides services to institutions, municipalities and non-profit organizations. The Clearing and Execution Services Group is a provider of clearing and execution services to independent brokers/dealers throughout the US. RBC Capital Markets focuses on the following sectors: communications, media, consumer/retail, diversified industries, energy, financial institutions, forest products, healthcare, infrastructure finance, mining & metals, real estate, social infrastructure, technology and the US municipal markets.

EcoHealth Alliance, Inc. operates a not for profit organization. It protects the health of people, animals, and the environment. Its programs include rift valley fever, predict, health and policy initiatives, monitoring the deadly Nipah virus, emerging disease hotspots, project deep forest, ecohealthy pets, global wildlife trade, and economics of emerging infectious diseases. The company is headquartered in New York, NY.

CytoDel LLC is engaged in biotechnology services. Its products include Ctyo-111, first botulism antidote and Cyto-012, musculoskeletal and aesthetic medicine. The company was founded by Philip A. Band, Konstantin Ichtchenko and Edwin Vazquez Cintron in 2012 and is headquartered in New York City, NY.

B. Riley Securities, Inc. is a registered broker/dealer headquartered in Los Angeles, California. The firm is a subsidiary of B. Riley Securities Holdings LLC, ultimately owned by B. Riley Financial, Inc. (NASDAQ: RILY). The firm was formed in 2017, when B. Riley Financial, Inc. merged two of their brokers, B. Riley & Co. (founded in 1997) and FBR Capital Markets & Co. (founded in 1989), under the name of B. Riley FBR, Inc. B. Riley Securities provides research and trading ideas to institutional clients and high net-worth individuals. They provide investment banking services to a wide range of middle-market private and public companies.

Citigroup Private Bank is the private banking subsidiary of Citigroup, Inc. (NYSE: C) in the US. Headquartered in New York City, the firm serves worldly and wealthy individuals and their families with a customized private banking service that crosses borders. They also provide services to professional investors, family offices, and lawyers and law firms.

Paramount BioSciences LLC (Paramount) is a venture capital firm founded in 1991. The firm is headquartered in New york.

Quorum Business Solutions, Inc. engages in the provision of energy business management software solutions and consulting services. Its products include accounting; field measurement; land management; marketing and logistics; production operations; transportation and storage; and document management. It also offer services such as readiness, deployment, education, and outsourcing The company was founded by R. Scott Leeds and Bruce E. Wartell in 1998 and is headquartered in Houston, TX.