Michael E. Kalafer

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.

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.

Part of Mitsubishi Chemical Group Corp., Tanabe Research Laboratories U.S.A., Inc. develops pharmaceutical products. The company is based in San Diego, CA.

Otologic Pharmaceutics, Inc. develops treatment for acute hearing loss. Its product HPN1010 is an oral medication to treat acute hearing loss to reduce the development of permanent hearing disorders. The company was founded by Richard Kopke, Robert A. Floyd and Dave karlman and is headquartered in Oklahoma City, OK.

Pamlico BioPharma, Inc. provides antibody therapeutics services. It develops fully-human monoclonal antibody (hmAb) therapeutics for the rapid diagnosis and treatment of infectious diseases and cancer. The firms lead program is focused on severe pneumonia caused by streptococcus pneumoniae (SPN), and is in preclinical IND-directed activities for a mAb cocktail and a companion point-of-care (POC) diagnostic against three serotypes that account for over 40% of SPN infections. The company was founded on 18 December, 2014 and is headquartered in Oklahoma, OK.