Mark Christopher Koontz

Founded in 2002, Maxim Group LLC is a registered broker/dealer located in New York City. The firm provides an array of financial services including: investment banking, equity research, private wealth management, structured products and global institutional equity, fixed-income and derivative sales and trading to a diverse range of corporate clients, institutional investors and high net-worth individuals. Maxim Group's niche is emerging-growth companies in a variety of sectors including healthcare, technology, retail and others. They utilize a fundamental, bottom-up approach to investment recommendations. The firm combines rigorous financial analysis of specific companies and industries with due diligence that includes frequent consults with suppliers, customers, competitors and senior management. The firm focuses on under-covered, small- to-mid-cap companies where valuation levels may be out of sync with fundamental trends. Maxim's coverage universe often represents attractive niche industries where stocks tend to be inefficient. This research coverage fills a void created by the downsized research ranks and shrinking coverage of small- to mid-cap stocks by large investment banks. Maxim Group is a member of FINRA, the MSRB, the SIPC, the ISE, NASDAQ and NYSE Arca.

New Generation Advisors LLC (NGA) is an independent registered investment advisor and hedge fund manager headquartered in Manchester, Massachusetts. The firm was founded by George Putnam III in 2007 and succeeded to the investment advisory business of New Generation Advisers, Inc. in 2008. NGA provides investment management services to two limited partnerships, the NGA Funds, one formed in Massachusetts and the other in Bermuda. The limited partners in the NGA Funds consist of high net-worth individuals, family offices, endowments, other institutions and funds-of-funds.