Secondaries Announced 10.12.17

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Our Buy, Neutral or Avoid ratings of the Secondaries below are intended as a recommendation for those who buy Secondaries on a regular basis. For example, this is not to be interpreted as a Buy recommendation in the traditional sense of adding to your stock portfolio; this is a short term (usually one day or opening trade) time period.

Company:  Tandem Diabetes Care, Inc.
Symbol:     TNDM
Price:       Last Trade $4.68
Trade Date:    10/13
Shares:    3.2 million
Re-Offer Range: Subscription Needed
Underwriter(s)    : Oppenheimer & Co.
Co-Manager(s): National Securities
Description:  Tandem Diabetes Care is a medical device company dedicated to improving the lives of people with diabetes through relentless innovation and revolutionary customer experience.
Rating = Subscription Needed

Company:  BioTime, Inc.
Symbol:     BTX
Price:       Last Trade $2.73
Trade Date:    10/13
Shares:     7.7 million ($20 million raise)
Re-Offer Range: Subscription Needed
Underwriter(s)    : Raymond James
Description:  BioTime is a late stage clinical biotechnology company focused on developing and commercializing products addressing degenerative diseases.
Rating = Subscription Needed

Company:  CatchMark Timber Trust, Inc.
Symbol:     CTT
Price:       Last Trade $13.04
Trade Date:    10/13
Shares:     4 million
Re-Offer Range: Subscription Needed
Underwriter(s)    : Raymond James, Stifel, RBC
Co-Manager(s): FBR
Description:  CatchMark Timber Trust is a self-administered and self-managed, publicly-traded REIT that strives to deliver superior risk-adjusted returns for all stakeholders through disciplined acquisitions, sustainable harvests and well-timed sales.
Rating = Subscription Needed

Company:  Smart Global Holdings – Block
Symbol:     SGH
Price:       Last Trade $34.78
Trade Date:    10/13
Shares:     1.25 million
Re-Offer Range: Subscription Needed
Underwriter(s)    : Barclays
Description:  SMART Global Holdings, Inc. is a global leader in specialty memory, storage and hybrid solutions serving the electronics industry for over 25 years.
Rating = Subscription Needed