SCP & CO | Private Equity Fund on Axial

SCP & CO

Telecommunications, Wireless Telecommunications Carriers (except Satellite)

Advised

Pearce Services, Inc

in their acquisition by

Willcrest Partners

April 2014

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

Harmony Healthcare

in securing investment from

a Private Equity Investor

December 2012

SCP & CO

Drugs and Druggists' Sundries Distributors (Wholesalers), Medical, Dental, and Hospital Equipment and Supplies Distributors (Wholesalers), Ophthalmic Goods Distributors (Wholesalers)

Advised

GBD Healthcare

in securing investment from

a Revolving Line of Credit

December 2012

SCP & CO

Oil and Gas Field Machinery and Equipment Manufacturing, Support Activities for Oil and Gas Operations

Advised

Quality Lease Services

in their acquisition by

Rocaceia

December 2012

SCP & CO

Activities Related to Real Estate, Lessors of Real Estate

Advised

Red River Real Estate Holdings

in securing investment from

a Senior Debt Financer

December 2012

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

Freedom Health

in securing investment from

Easy Choice Health Plan and MD Care

December 2012

SCP & CO

Activities Related to Real Estate, Hospitals, Lessors of Real Estate, Nursing and Residential Care Facilities, Veterinary Services

Advised

Nacogdoches Real Estate Assets, LLCS

in securing investment from

Undisclosed

December 2012

SCP & CO

Oil and Gas Field Machinery and Equipment Manufacturing, Support Activities for Oil and Gas Operations

Advised

Rocaceia

in securing investment from

a Senior Secured Loaner and a Common Equity Provider

December 2012

SCP & CO

Software and Online Services

Advised

InfoFinder

in securing investment from

a Series A Financier

December 2011

SCP & CO

Adhesive Manufacturing, All Other Nonmetallic Mineral Mining, Architectural and Structural Metals Manufacturing, Asphalt and asphaltic materials made in petroleum refineries, Asphalt paving mixtures made in petroleum refineries, Asphalt Paving, Roofing, and Saturated Materials Manufacturing, Asphalt roofing construction machinery manufacturing, Building materials (e.g., fascia, panels, siding, soffit), plastics, manufacturing, Building panels, corrugated and flat, plastics, manufacturing, Ceiling lumber, dressed, resawing purchased lumber, Cement and Concrete Product Manufacturing, Ceramic tiles, floor and wall, manufacturing, Clay Building Material and Refractories Manufacturing, Concrete Block and Brick Manufacturing, Dimension stone for buildings manufacturing, Door locks, metal, manufacturing, Doors and door frames, plastics, manufacturing, Doors, unframed glass, made from purchased glass, Fabricated Metal Product Manufacturing, Gypsum building products manufacturing, Machine Shops; Turned Product; and Sc

Advised

Tampa Pavement Constructors

in securing investment from

Undiclosed

December 2011

Skyway Group

Administration of Human Resource Programs, Employment Services, Health Care Services, Healthcare Software (Consumer), Healthcare Software (Enterprise), Human Resources Consulting Services

invested in

Harmony Healthcare

June 2011

SCP & CO

Drugs and Druggists' Sundries Distributors (Wholesalers), Medical, Dental, and Hospital Equipment and Supplies Distributors (Wholesalers), Ophthalmic Goods Distributors (Wholesalers)

Advised

Harmony Healthcare

in securing investment from

Undisclosed

December 2010

SCP & CO

Enterprise Software and Online Services, Software and Online Services

Advised

Network Liquidator

in securing investment from

a Senior Debt Financier

December 2010

SCP & CO

Software and Online Services

Advised

InfoFinder

in securing investment from

a Bridge Financier

December 2010

SCP & CO

Drugs and Druggists' Sundries Distributors (Wholesalers), Hospitals, Medical, Dental, and Hospital Equipment and Supplies Distributors (Wholesalers), Nursing and Residential Care Facilities, Ophthalmic Goods Distributors (Wholesalers), Veterinary Services

Advised

Spinnaker Health

in securing investment from

Undisclosed

December 2009

SCP & CO

Software and Online Services

Advised

Acuity Solutions

in securing investment from

Fishnet Security

December 2009

SCP & CO

Drugs and Druggists' Sundries Distributors (Wholesalers), Medical, Dental, and Hospital Equipment and Supplies Distributors (Wholesalers), Ophthalmic Goods Distributors (Wholesalers)

Advised

RWS Healthcare

in securing investment from

Undisclosed

December 2009

SCP & CO

Health Care Services

Advised

Tocagen

in securing investment from

a Series B Financier

December 2009

SCP & CO

Adhesive Manufacturing, Architectural and Structural Metals Manufacturing, Architecture, Engineering, and Construction (ACE), Asphalt roofing construction machinery manufacturing, Building materials (e.g., fascia, panels, siding, soffit), plastics, manufacturing, Building panels, corrugated and flat, plastics, manufacturing, Ceiling lumber, dressed, resawing purchased lumber, Ceramic tiles, floor and wall, manufacturing, Dimension stone for buildings manufacturing, Door locks, metal, manufacturing, Doors and door frames, plastics, manufacturing, Doors, unframed glass, made from purchased glass, Engineering Services (Non-Construction), Fabricated Metal Product Manufacturing, Gypsum building products manufacturing, Machine Shops; Turned Product; and Screw, Nut, and Bolt Manufacturing, Other Concrete Product Manufacturing, Other Millwork (including Flooring), Prefabricated Metal Building and Component Manufacturing, Prefabricated Wood Building Manufacturing, Research and Development in the Physical, Engineering,

Advised

eCycling.com

in securing investment from

Undisclosed

December 2009

SCP & CO

Drugs and Druggists' Sundries Distributors (Wholesalers), Hospitals, Medical, Dental, and Hospital Equipment and Supplies Distributors (Wholesalers), Nursing and Residential Care Facilities, Ophthalmic Goods Distributors (Wholesalers), Veterinary Services

Advised

Arrowhead Healthcare

in their acquisition by

Spinnaker Health

December 2009

SCP & CO

Activities Related to Real Estate, Direct Life, Health, and Medical Insurance Carriers, Lessors of Real Estate

Advised

10-Year Leasehold Interest

in their acquisition by

GBD Healthcare

December 2008

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

RWS Healthcare

in securing investment from

a Lender for College Park

December 2008

SCP & CO

Activities Related to Real Estate, Hospitals, Lessors of Real Estate, Nursing and Residential Care Facilities, Veterinary Services

Advised

Skilled Nursing Facilities

in their acquisition by

Granite Investment Group

December 2008

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

GBD Healthcare

in securing investment from

a Revolving Line of Credit

December 2008

SCP & CO

Activities Related to Real Estate, Lessors of Real Estate

Advised

Retail Center

in their acquisition by

Red River Real Estate Holdings

December 2008

SCP & CO

Activities Related to Real Estate, Direct Life, Health, and Medical Insurance Carriers, Lessors of Real Estate

Advised

10-Year Leasehold Interest

in their acquisition by

GO ATM

December 2008

SCP & CO

Activities Related to Real Estate, Commercial Banking, Credit Unions, Lessors of Real Estate, Savings Institutions

Advised

Red River Real Estate Holdings

in securing investment from

a Lender

December 2008

SCP & CO

Activities Related to Real Estate, Lessors of Real Estate

Advised

EcoGroup, Inc.

in securing investment from

a Debt and Equity Financier for New Port Tampa

December 2007

SCP & CO

Advertising, Public Relations, and Related Services, Software and Online Services

Advised

Reader Group

in their acquisition by

Creative Loafing

December 2007

SCP & CO

Activities Related to Real Estate, Health Care Services, Lessors of Real Estate

Advised

Cypress Healthcare

in securing investment from

an Equity Financier

December 2007

SCP & CO

Hospitals, Nursing and Residential Care Facilities, Veterinary Services

Advised

MMVI

in their acquisition by

Cypress Healthcare

December 2007

SCP & CO

Advertising, Public Relations, and Related Services, Software and Online Services

Advised

Creative Loafing

in securing investment from

Sale Leaseback of Real Estate

December 2007

SCP & CO

Advertising, Public Relations, and Related Services, Software and Online Services

Advised

Creative Loafing

in securing investment from

a Senior Debt Financier

December 2007

SCP & CO

Activities Related to Real Estate

Advised

Morin Developement Group

in securing investment from

a Debt Financier for West End

December 2007

SCP & CO

Activities Related to Real Estate, Lessors of Real Estate

Advised

Glancer Holdings

in securing investment from

an Equity Financier

December 2007

SCP & CO

Activities Related to Real Estate, Lessors of Real Estate

Advised

Chicago Avenue

in their acquisition by

InStep Software

December 2007

SCP & CO

Activities Related to Real Estate, Health Care Services, Lessors of Real Estate

Advised

Cypress Healthcare

in securing investment from

a Debt Financier

December 2007

SCP & CO

Activities Related to Real Estate, Health Care Services, Lessors of Real Estate

Advised

Park Agency Assisted Living Facility

in their acquisition by

RWS Healthcare

December 2007

SCP & CO

Advertising, Public Relations, and Related Services, Software and Online Services

Advised

Creative Loafing

in securing investment from

Undisclosed

December 2007

SCP & CO

Activities Related to Real Estate

Advised

Morin Developement Group

in securing investment from

an Equity Financier for West End

December 2007

SCP & CO

Activities Related to Real Estate, Health Care Services, Lessors of Real Estate

Advised

Cypress Healthcare

in securing investment from

a Debt Financier

December 2007

SCP & CO

Activities Related to Real Estate, Lessors of Real Estate

Advised

EcoGroup, Inc.

in securing investment from

a Bridge Financier

December 2007

SCP & CO

Activities Related to Real Estate, Health Care Services, Lessors of Real Estate

Advised

Cypress Healthcare

in securing investment from

a Debt Financier

December 2007

SCP & CO

Advertising, Public Relations, and Related Services, Software and Online Services

Advised

Creative Loafing

in securing investment from

a Mezzanine Financier

December 2007

SCP & CO

Activities Related to Real Estate, Health Care Services, Lessors of Real Estate

Advised

SCC Texas

in their acquisition by

Granite Investment Group

December 2007

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

RWS Healthcare

in securing investment from

a Senior Debt Financier

December 2007

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

Cypress Healthcare

in securing investment from

a Debt Financier for MMVI

December 2006

SCP & CO

Health Care Services

Advised

Care2Learn

in their acquisition by

RedVector Software

December 2006

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

RWS Healthcare

in securing investment from

a Debt Financier

December 2006

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

Cypress Healthcare

in securing investment from

a Debt Financier for MMVI

December 2006

SCP & CO

Activities Related to Real Estate

Advised

Cortex Developement

in securing investment from

a Mezzanine Financier for Mandalay Bay

December 2006

SCP & CO

Activities Related to Real Estate, Hospitals, Nursing and Residential Care Facilities, Veterinary Services

Advised

Skilled Nursing Facilities

in their acquisition by

Granite Investment Group

December 2006

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

RWS Healthcare

in securing investment from

An Equity Financier

December 2006

SCP & CO

Activities Related to Real Estate, Lessors of Real Estate

Advised

MM70 LLC

in securing investment from

a Debt Financier

December 2006

SCP & CO

Activities Related to Real Estate

Advised

Cortex Developement

in securing investment from

A Debt Financier for Fiesta Key

December 2006

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

Cypress Healthcare

in securing investment from

an Equity Financing for MMVI

December 2006

SCP & CO

Activities Related to Real Estate

Advised

Cortex Developement

in securing investment from

Undisclosed

December 2006

SCP & CO

Health Care Services

Advised

RedPath Integrated Pathology

in securing investment from

Private Placement of Series A Preferred Stock

December 2006

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

Cypress Healthcare

in securing investment from

a Debt Financier

December 2006

SCP & CO

Direct Life, Health, and Medical Insurance Carriers

Advised

MMVI

in their acquisition by

Cypress Healthcare

December 2006

SCP & CO

Commercial Banking, Credit Unions, Savings Institutions

Advised

Freedom Bank

in securing investment from

Common Stock

December 2006

SCP & CO

Direct Life, Health, and Medical Insurance Carriers, Medical Equipment and Supplies Manufacturing

Advised

WWT and Arbors

in their acquisition by

RWS Healthcare

December 2006

SCP & CO

Health Care Services

Advised

NICORE

in securing investment from

DIvision of Berkshire Hathaway

December 2005

SCP & CO

Health Care Services, Hospitals, Nursing and Residential Care Facilities, Veterinary Services

Advised

Cypress Healthcare

in securing investment from

a Mezzanine Financier for Grace Acquisition

December 2004

SCP & CO

Advertising, Public Relations, and Related Services, Software and Online Services

Advised

Creative Loafing

in securing investment from

Undisclosed

December 2004

SCP & CO

Newspaper, Periodical, Book, and Directory Publishers, Software and Online Services

Advised

Surfline Data Services

in securing investment from

Edgewater

December 2004

SCP & CO

Health Care Services

Advised

Integrated Health Holdings

in securing investment from

a Bridge Financier

December 2004

SCP & CO

Advertising, Public Relations, and Related Services, Software and Online Services

Advised

Creative Loafing

in securing investment from

Cox Newspaper Equity

December 2004

SCP & CO

Software and Online Services

Advised

Nexland Systems

in securing investment from

Symantec

December 2003