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Company: Citizens Financial Group, Inc.,
Symbol: CFG
Price: $23.00-$25.00
Description: They are the 13th largest retail bank holding company in the United States according to SNL Financial with $122.2 billion of total assets as of December 31, 2013. Headquartered in Providence, Rhode Island, they deliver a broad range of retail and commercial banking products and services to approximately five million individuals, institutions and companies.
Trade Date: 9/24
Shares: 140 million
Type: IPO
Underwriter(s)   Co Manager(s)

Morgan Stanley, Goldman Sachs & Co., J.P. Morgan, Deutsche Bank Securities, RBS Securities, Wells Fargo Securities, Barclays, Citigroup   Evercore Partners, ING Financial Markets, Guggenheim Securities, Sanford C. Bernstein & Co., Lebenthal & Co., The Williams Capital Group, Credit Suisse, Oppenheimer & Co., Jefferies, Keefe, Bruyette & Woods, RBC Capital Markets, Sandler O'Neill + Partners, UBS Securities


Company: Civitas Therapeutics
Symbol: CVTS
Price: $14.00-$16.00
Description: They are a biopharmaceutical company focused on developing and commercializing transformative therapeutics using our proprietary ARCUS technology, with an initial focus on treating debilitating OFF episodes, the unpredictable re-emergence of symptoms, in patients with Parkinson's disease, or PD.
Trade Date: 9/25
Shares: 5 million
Type: IPO
Underwriter(s)   Co Manager(s)

J.P. Morgan, BofA Merrill Lynch   Cowen and Company, Oppenheimer & Co.


Company: CONE Midstream Partners LP
Symbol: CNNX
Price: $19.00-$21.00
Description: They are a fee-based, growth-oriented master limited partnership recently formed by CONSOL Energy Inc. (NYSE: CNX) and Noble Energy, Inc. (NYSE: NBL), whom they refer to as their Sponsors to own, operate, develop and acquire natural gas gathering and other midstream energy assets to service our Sponsors' rapidly growing production in the Marcellus Shale in Pennsylvania and West Virginia.
Trade Date: 9/25
Shares: 17.5 million
Type: IPO
Underwriter(s)   Co Manager(s)

Wells Fargo Securities, BofA Merrill Lynch, Citigroup, J.P. Morgan, Baird, Barclays, Deutsche Bank Securities, Goldman Sachs & Co., Morgan Stanley, Credit Suisse, RBC Capital Markets   MUFG, PNC Capital Markets LLC, BB&T Capital Markets, BBVA, BNP PARIBAS, DNB Markets, Mizuho Securities,TD Securities


Company: Cyber-Ark Software Ltd.
Symbol: CYBR
Price: $13.00-$15.00
Description: They are a global leader and pioneer of a new layer of IT security solutions that protects organizations from cyber attacks that have made their way inside the network perimeter to strike at the heart of the enterprise.
Trade Date: 9/24
Shares: 5.4 million
Type: IPO
Underwriter(s)   Co Manager(s)

J.P Morgan, Deutsche Bank Securities, Barclays   William Blair, Nomura, Oppenheimer & Co.


Company: Dermira, Inc.
Symbol: DERM
Price: $14.00-$16.00
Description: They are a specialty biopharmaceutical company focused on bringing innovative and differentiated medical dermatology products to dermatologists and their patients.
Trade Date: 0/0
Shares: 5.35 million
Type: IPO
Underwriter(s)   Co Manager(s)

Citigroup, Leerink Partners   Guggenheim Securities, Needham & Company


Company: Eyegate Pharmaceuticals, Inc.
Symbol: EYEG
Price: $12.00-$14.00
Description: They are a clinical-stage specialty pharmaceutical company that is focused on developing and commercializing therapeutics and drug delivery systems for treating diseases of the eye.
Trade Date: 10/3
Shares: 1.9 million
Type: IPO
Underwriter(s)   Co Manager(s)

Aegis Capital Corp  


Company: GWG Holdings, Inc
Symbol: GWGH
Price: Priced at $12.50
Description: They are engaged in the emerging secondary market for life insurance. They acquire life insurance policies in the secondary market from policy owners desiring to sell their policies at a discount to the face value of the insurance benefit.
Trade Date: Opened 9/19
Shares: 800 K
Type: IPO
Underwriter(s)   Co Manager(s)

Newport Coast Securities, Axiom Capital Management, Newbridge Securities Corporation  


Company: Medley Management Inc.
Symbol: MDLY
Price: $20.00-$22.00
Description: They are a rapidly growing asset management firm with approximately $3.3 billion of AUM as of June 30, 2014.
Trade Date: 9/24
Shares: 6 million
Type: IPO
Underwriter(s)   Co Manager(s)

Goldman Sachs, Credit Suisse, Barclays, Deutsche Bank, Keefe Bruyette & Woods   RCS Capital, JMP Securities, Ladenburg Thalmann, MLV & Co., Gilford Securities Incorporated


Company: Smart & Final Stores, Inc.
Symbol: SFS
Price: $12.00-$14.00
Description: They are a high-growth, value-oriented food retailer serving a diverse demographic of household and business customers through two complementary and highly productive store banners.
Trade Date: 9/24
Shares: 13.5 million
Type: IPO
Underwriter(s)   Co Manager(s)

Credit Suisse, Morgan Stanley, Deutsche Bank Securities   Barclays, Citigroup, Piper Jaffray, Guggenheim Securities


Company: Travelport Worldwide Limited
Symbol: TVPT
Price: $14.00-$16.00
Description: They are a leading travel commerce marketplace providing distribution, technology, payment and other solutions for the $7 trillion global travel and tourism industry.
Trade Date: 9/25
Shares: 30 million
Type: IPO
Underwriter(s)   Co Manager(s)

Morgan Stanley, UBS Investment Bank, Credit Suisse, Deutsche Bank Securities   Cowen and Company, Evercore, Jefferies, Sanford C. Bernstein, William Blair


Company: Vantage Energy
Symbol: VEI
Price: $24.00-$27.00
Description: They are a growth-oriented, independent oil and natural gas company engaged in the acquisition, development, exploitation and exploration of oil and natural gas properties in the United States, with a focus on the Marcellus Shale, where they hold a concentrated acreage position in what they believe to be the core of the play in Greene County, Pennsylvania. Additionally, we have a sizeable position in what we believe to be the core of the Barnett Shale.
Trade Date: 9/25
Shares: 23.6 million
Type: IPO
Underwriter(s)   Co Manager(s)

Barclays, Goldman Sachs & Co.,Citigroup, Credit Suisse, Tudor Pickering Holt & Co., Wells Fargo Securities   Raymond James, RBC Capital Markets, Scotiabank/Howard Weil, KeyBanc Capital Markets, Mitsubishi Financial Group


Company: Viking Therapeutics, Inc.
Symbol: VKTX
Price: $10.00-$12.00
Description: They are a clinical-stage biopharmaceutical company focused on the development of novel, first-in-class or best-in-class therapies for metabolic and endocrine disorders.
Trade Date: 0/0
Shares: 5 million
Type: IPO
Underwriter(s)   Co Manager(s)

Oppenheimer & Co., Roth Capital Partners   Craig-Hallum Capital Group, MLV & Co., Summer Street Research Partners


Company: Vitae Pharmaceuticals, Inc.
Symbol: VTAE
Price: $11.00-$13.00
Description: They are a clinical stage biotechnology company focused on discovering and developing novel, small molecule drugs for diseases that represent large market opportunities where there are significant unmet medical needs.
Trade Date: 9/24
Shares: 5 million
Type: IPO
Underwriter(s)   Co Manager(s)

Stifel, BMO Capital Markets   JMP Securities, Wedbush PacGrow Life Sciences


Company: Vivint Solar
Symbol: VSLR
Price: $16.00-$18.00
Description: They offer distributed solar energy - electricity generated by a solar energy system installed at customers' locations - to residential customers based on 20-year contracts at prices below their current utility rates.
Trade Date: 10/1
Shares: 20.6 million
Type: IPO
Underwriter(s)   Co Manager(s)

Goldman Sachs & Co., BofA Merrill Lynch, Credit Suisse   Citigroup, Morgan Stanley, Deutsche Bank Securities, Barclays, Blackstone Capital Market


Company: VWR Corporation
Symbol: VWR
Price: $22.00-$25.00
Description: They are a leading, independent provider of laboratory products, services and solutions to the global life science, general research and applied markets.
Trade Date: 10/2
Shares: 25.5 million
Type: IPO
Underwriter(s)   Co Manager(s)

BofA Merrill Lynch, Goldman Sachs & Co.,J.P. Morgan   Barclays, Deutsche Bank Securities, Citigroup, Jefferies, William Blair, Cowen and Company, Mizuho Securities, SMBC Nikko, Drexel Hamilton, Loop Capital Markets


Company: Wayfair Inc.
Symbol: W
Price: $25.00-$28.00
Description: They have created one of the world's largest online destinations for the home. Through their e-commerce business model, they offer visually inspiring browsing, compelling merchandising, easy product discovery and attractive prices for over seven million products from over 7,000 suppliers across five distinct brands
Trade Date: 10/2
Shares: 11 million
Type: IPO
Underwriter(s)   Co Manager(s)

Goldman Sachs, BofA Merrill Lynch, Citigroup, Allen and Company   Pacific Crest, Piper Jaffray, Wells Fargo, Canaccord Genuity, Cowen and Company, Raymond James