Mirum Pharmaceuticals – Selling Group Member January 2020

Intra Cellular Therapies – Selling Group Member January 2020

PNM Resources – Selling Group Member January 2020

Stanley Black and Decker – Selling Group Member November 2019

Reata Pharmaceuticals – Selling Group Member November 2019

BioCryst Pharmaceuticals – Selling Group Member November 2019

Ellington Financial – Selling Group Member November 2019

Clarivate Analytics – Selling Group Member December 2019

Sprout Social – Selling Group Member December 2019

Phreesia – Selling Group Member December 2019

Citibank, N.A. FXD-FRN Senior Unsecured – January 2020