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IPO's by Industry: Financial

Browse Industries: Business Services | Consumer | Communications | Energy | Health Care | Industrial | Materials | Technology | Transportation

COMPANYSYMBOLPRICESharesTrade DateUNDERWRITER (S)
AGM Group Holdings Inc.AGMHTBDTBD0/0/0Network 1 Financial Securities
Alcentra Capital Corporation ABDC$15.00-$15.006.66 million5/9/2014Raymond James, Baird, Keefe, Bruyette & Woods
Allegiance BancsharesABTX$22.00-$24.002.6 million10/8/2015Baird, Stephens Inc.
Ally Financial Inc.ALLY$25.00-$28.0095 million4/10/2014Citigroup, Morgan Stanley, Goldman Sachs & Co., Barclays, BofA Merrill Lynch, Deutsche Bank Securities, J.P. Morgan
American Capital Senior Floating, Ltd.ACSFPriced at $15.0010 million1/16/2014Morgan Stanley, Citigroup, Deutsche Bank Securities, Keefe, Bruyette & Woods, UBS Investment Bank
American Farmland CompanyAFCO$8.50-$10.506 million10/20/2015Deutsche Bank Securities, Citigroup, Raymond James, RBC Capital Markets, FBR
American Homes 4 RentAMHLast trade $17.9913 million8/14/2014Morgan Stanley
American Residential PropertiesARPIPriced at $21.0013.7 million5/9/2013Morgan Stanley, BofA Merrill Lynch, FBR, Jefferies
Anchor Bancorp Wisconsin Inc.ABCW$25.00-$27.00372 K10/22/2014Sandler O' Neill + Partners LP
Ares Management, L.P.ARES$21.00-$23.0011.4 million5/2/2014J.P. Morgan, BofA Merrill Lynch, Goldman Sachs, Morgan Stanley, Wells Fargo Securities
Athene Holding LtdATH$38.00-$42.0027 million12/9/2016Barclays, Citigroup, Goldman Sachs & Co., Wells Fargo Securities, BofA Merrill Lynch, BMO Capital Markets, Credit Suisse, Deutsche Bank Securities, J.P. Morgan, Morgan Stanley, RBC Capital Markets,BNP Paribas, BTIG, Evercore ISI, SunTrust Robinson Humphrey, UBS Investment Bank
Avaya Holdings CorpAVYAWithdrawnTBD0/0/0Morgan Stanley, Goldman Sachs, J.P. Morgan, Citi, Deutsche Bank Securities,
Avenue Financial HoldingsAVNU$11.00-$13.002.5 million2/10/2015Keefe Bruyette & Woods
Bats Global Markets, Inc.BATS$17.00-$19.0013.3 million4/15/2016Morgan Stanley, Citigroup, BofA Merrill Lynch, Credit Suisse, Goldman Sachs & Co., J.P. Morgan
Blackhawk Network Holdings, Inc.HAWKPriced at $23.0010 million4/19/2013Goldman Sachs, BofA Merrill Lynch, Citigroup, Deutsche Bank Securities
Blue Capital Reinsurance Holdings Ltd.BCRHPriced at $20.006.3 million11/6/2013Deutsche Bank Securities, UBS Investment Bank, Barclays Capital, Keefe Bruyette & Woods, Raymond James, RBC Capital Markets
Bluerock Residential Growth Reit, Inc.BRG$15.00-$15.003.45 million3/28/2014Wunderlich Securities
C1 Financial, Inc.BNK$18.00-$20.002.6 million8/14/2014Keefe, Raymond James
Cadence BancorporationCADE$19.00-$21.007.5 million4/13/2017Goldman Sachs & Co., J.P. Morgan, Sandler O'Neill + Partners, Keefe Bruyette & Woods
Capital Bank Financial Corp.CBFPriced at $18.0010 million9/20/2012Credit Suisse, BofA Merrill Lynch, Goldman Sachs, Barclays Capital, FBR
Capitala FinanceCPTAPriced at $20.004 million9/25/2013Deutsche Bank Securities, UBS Investment Bank, Barclays Capital
CapStar Financial HoldingsCSTR$14.50-$16.502.6 million9/22/2016Keefe Bruyette & Woods, Sandler O' Neill + Partners
Carvana Co. CVNA$14.00-$16.0015 million4/28/2017Wells Fargo Securities, BofA Merrill Lynch, Citigroup, Deutsche Bank Securities
CatchMark Timber TrustCTTPriced at $13.5010.5 million12/12/2013Raymond James, Baird, Stifel Nicolaus Weisel
CBS Outdoor AmericasCBSO$26.00-$28.0020 million3/28/2014Goldman Sachs, BofA Merrill Lynch, J.P. Morgan, Morgan Stanley
Cherry Hill Mortgage Investment CorporationCHMIPriced at $20.006.5 million10/4/2013Barclays Capital, Morgan Stanley, Citigroup, UBS Investment Bank
China Internet Nationwide Financial ServicesCIFS$10.00-$10.002.5 million0/0/0Boustead Securities, Network 1 Financial Securities
China Rapid Finance LimitedXRF$9.50-$11.5010 Million ADS4/28/2017Morgan Stanley, Credit Suisse, Jefferies
Citizens Financial Group, Inc.,CFG$23.00-$25.00140 million9/24/2014Morgan Stanley, Goldman Sachs & Co., J.P. Morgan, Deutsche Bank Securities, RBS Securities, Wells Fargo Securities, Barclays, Citigroup
City Office REIT, Inc.CIO$14.00-$16.005.8 million4/15/2014Janney Montgomery Scott, Wunderlich Securities, Oppenheimer & Co.
CM FinanceCMFNPriced at $15.006.7 million2/6/2014Raymond James, Keefe, Bruyette & Woods, Oppenheimer & Co.
Community Choice Financial, Inc.CCFI$10.00-$12.0010.66 million0/0/0Credit Suisse, Jefferies, Stephens Inc.
Conifer HoldingsCNFR$11.00-$13.003.1 million8/13/2015BMO Capital Markets, Raymond James
ConnectOne BancorpCNOBPriced at $28.001.6 million2/12/2013Stifel
County BancorpICBK$16.00-$18.001.18 million1/16/2015Baird, Sterne Agee
CPI Card Group PMTS$16.00-$18.0015 million10/9/2015BMO Capital Markets, Goldman Sachs & Co., CIBC
Crescent Capital Finance Group, Inc.CCFG$15.00-$15.008.33 million3/7/2012UBS Investment Bank, Morgan Stanley, Credit Suisse, RBC Capital Markets
Dragon Victory International LimitedTBDTBDTBD0/0/0Boustead Securities, Network 1 Financial Securities
Easterly Government Properties, Inc.DEA$14.00-$16.0012 million2/6/2015Citigroup, Raymond James, RBC Capital Markets
Elevate Credit, Inc.ELVT$12.00-$14.007.7 million4/6/2017UBS Investment Bank, Credit Suisse, Jefferies, Stifel, William Blair
Empire State Realty TrustESRTPriced at $13.0071.5 million10/2/2013BofA Merrill Lynch, Goldman Sachs
Enova International, Inc.ENVATBDTBD0/0/0UBS Investment Bank, Barclays Capital, Jefferies
Equity BancsharesEQBK$22.00-$24.001.94 million11/11/2015Keefe Bruyette & Woods, Stephens Inc.
EverBank Financial CorpEVERPriced at $10.0019.2 million5/3/2012Goldman Sachs, BofA Merrill Lynch, Credit Suisse
Farmland Partners Inc.FPI$14.00-$16.003.8 million7/25/2014Baird, BMO Capital Markets, Janney Montgomery Scott
FB Financial GroupFBK$16.00-$18.005.88 million9/16/2016J.P. Morgan, UBS Investment Bank, Keefe Bruyette & Woods
FCB Financial HoldingsFCB$24.00-$27.007.5 million8/1/2014Deutsche Bank Securities, J.P. Morgan, BofA Merrill Lynch, UBS Investment Bank
Fidelity & Guaranty LifeFGLPriced at $17.009.8 million12/13/2013Credit Suisse, J.P. Morgan, Jefferies, Macquarie Capital, RBC Capital Markets
Fifth Street Asset ManagementFSAM$17.00-$17.006 million10/30/2014Morgan Stanley, J.P. Morgan, Goldman Sachs, RBC Capital Markets, Credit Suisse
First Data CorporationFDC$18.00-$20.00160 million10/15/2015Citigroup, Morgan Stanley, BofA Merrill Lynch, KKR, Barclays, Credit Suisse, Deutsche Bank Securities, Goldman Sachs & Co., HSBC, Mizuho Securities, PNC Capital Markets LLC, SunTrust Robinson Humphrey, Wells Fargo Securities
First Hawaiian, Inc.FHB$21.00-$23.0021.1 million8/4/2016Goldman Sachs & Co., BofA Merrill Lynch, BNP PARIBAS, Barclays, Credit Suisse, Deutsche Bank Securities, J.P. Morgan, Citigroup, Morgan Stanley, UBS Investment Bank
First NBC Bank HoldingNBCBPriced at $24.004.2 million5/10/2013Sandler O' Neill + Partners LP, Keefe Bruyette & Woods
Fortress Transportation and Infrastructure Investors Ltd.FTAI$19.00-$21.0020 million5/15/2015Citigroup, BofA Merrill Lynch, Barclays, Deutsche Bank Securities, UBS Investment Bank
FX Alliance, Inc.FXPriced at $12.005.2 million2/9/2012BofA Merrill Lynch, Goldman Sachs, Citigroup, J.P. Morgan
Garrison CapitalGARSPriced at $15.005.33 million 3/27/2013Baird, Oppenheimer & Co., William Blair & Co., Janney Montgomery Scott, Stephens Inc.
Goldman Sachs BDC, Inc.GSBD$20.00-$21.006 million3/18/2015BofA Merrill Lynch, Goldman Sachs & Co., Morgan Stanley, Citigroup, Credit Suisse, Wells Fargo Securities
Granite Point Mortgage Trust Inc.GPMTTBDTBD0/0/0J.P. Morgan, Morgan Stanley, Citigroup
Great Ajax Corp.AJX$15.00-$17.005 million2/13/2015FBR, Sterne Agee, Nomura
Great Western BancorpGWB$21.00-$24.0016 million10/15/2014Deutsche Bank Securities, BofA Merrill Lynch
Green Bancorp, Inc.GNBC$15.00-$17.004.7 million8/8/2014Sandler O' Neill + Partners LP, Jefferies
Grupo Supervielle S.A.SUPV$11.00-$13.0025.5 million ADS5/19/2016Morgan Stanley, BofA Merrill Lynch
Guaranty BancsharesGNTY$26.00-$28.002 million5/9/2017Sandler O' Neill + Partners, Stephens Inc.
Hamilton Lane IncorporatedHLNE$15.00-$17.0011.9 million3/1/2017J.P. Morgan, Morgan Stanley
Harvest Capital CreditHCAPPriced at $15.003.4 Million5/3/2013Keefe Bruyette & Woods, JMP Securities, William Blair
Health Insurance InnovationsHIIQLast trade $12.811.72 million8/15/2014Raymond James
Heritage Insurance Holding, Inc., HRTG$14.00-$16.006 million5/23/2014Citigroup
HomeStreet, Inc.HMST$43.00-$45.001.3 million2/10/2012FBR
Houlihan Lokey, Inc.HLI$22.00-$24.0010.5 million8/13/2015BofA Merrill Lynch, Goldman Sachs & Co.
Hunting Dog Capital Corp.HDCC$15.00-$15.002 million0/0/0Joseph Gunnar & Co.
Independent Bank GroupIBTXPriced at $26.003.2 million4/3/2013Sandler O' Neill + Partners LP, Evercore, Keefe Bruyette & Woods
InfraREIT, Inc.HIFR$19.00-$21.0020 million1/30/2015BofA Merrill Lynch, Citigroup
Innovative Industrial PropertiesIIPR$20.00-$20.003.35 million12/1/2016Ladenburg Thalmann, Compass Point
Investar Holding CorporationISTR$15.00-$17.002.87 million7/1/2014Sandler O' Neill + Partners LP, Sterne Agee
James River Group HoldingsJRVR$22.00-$24.0011 million12/12/2014Keefe, UBS Investment Company, FBR, BMO Capital Markets
Jernigan CapitalJCAP$19.00-$21.005 million3/27/2015Raymond James, Baird, Wunderlich Securities
JGWPT Holdings Inc.JGW$15.00-$17.009.75 million11/8/2013Barclays Capital, Credit Suisse, Deutsche Bank Securities, Jefferies, Keefe Bruyette & Woods
Ladder Capital CorpLADRPriced at $17.0013.25 million2/6/2014Deutsche Bank Securities, Citigroup, Wells Fargo Securities, BofA Merrill Lynch, J.P. Morgan
Landmark Apartment TrustLATTBDTBD0/0/0BofA Merrill Lynch, Citigroup
Leju Holdings Ltd.LEJU$10.00-$12.0010.0 million4/17/2014Credit Suisse, J.P. Morgan
LendingClub CorporationLC$10.00-$12.0057.7 million12/11/2014Morgan Stanley, Goldman Sachs & Co., Credit Suisse, Citigroup
Live Oak BancsharesLOB$16.00-$18.004.8 million7/23/2015Sandler O' Neill + Partners LP, Keefe Bruyette & Woods, SunTrust Robinson Humphrey
loanDepot, Inc.LDI$16.00-$18.00Postponed11/13/2015Morgan Stanley, Goldman Sachs & Co., Wells Fargo Securities, Barclays, UBS Investment Bank, Citigroup
Manning & Napier, Inc.MNPriced at $12.0012.5 million11/18/2011BofA Merrill Lynch
Markit Ltd.MRKT$23.00-$25.0053.5 million6/19/2014BofA Merrill Lynch, Barclays, Citigroup, Credit Suisse, Deutsche Bank Securities, Goldman Sachs & Co., HSBC, J.P. Morgan, Morgan Stanley, UBS Investment Bank
MedEquities Realty Trust, IncMRT$12.00-$14.0019.9 million9/29/2016FBR, J.P. Morgan, Citigroup, KeyBanc Capital Markets
Medley Management Inc.MDLY$20.00-$22.006 million9/24/2014Goldman Sachs, Credit Suisse, Barclays, Deutsche Bank, Keefe
MGM Growth Properties LLCMGP$18.00-$21.0050 million4/20/2016BofA Merrill Lynch, J.P. Morgan, Morgan Stanley, Evercore ISI, Barclays, Citigroup, Deutsche Bank Securities
Midland States BancorpMSBI$25.00-$27.003.6 million5/24/2016Sandler O' Neill + Partners LP, Keefe Bruyette & Woods
Moelis & Co.MC$26.00-$29.006.5 million4/16/2014Goldman Sachs, Morgan Stanley, Moelis & Co., J.P. Morgan, UBS Investment Bank
National Bank Holdings CorporationNBHCPriced at $19.257.15 million9/20/2012Goldman Sachs, Keefe Bruyette & Woods
National Commerce CorporationNCOM$18.50-$20.501.7 million3/19/2015Keefe Bruyette & Woods
National Storage Affiliates TrustNSA$15.00-$17.0020 million4/23/2015Jefferies, Morgan Stanley, Wells Fargo Securities
Nationstar Mortgage Holdings Inc.NSMPriced at $14.0016.7 million3/8/2012BofA Merrill Lynch, Citigroup, Credit Suisse, Wells Fargo Securities
Nordic Realty TrustNORT$15.00-$15.005 million0/0/0Wunderlich Securities
OM Asset Management LimitedOMAM$15.00-$17.0022 million10/9/2014BofA Merrill Lynch, Morgan Stanley, Citigroup, Credit Suisse
On Deck CapitalONDK$16.00-$18.0010 million12/17/2014Morgan Stanley, BofA Merrill Lynch, J.P. Morgan, Deutsche Bank Securities, Jefferies
Opus BankOPB$31.00-$34.005.126 million4/16/2014J.P. Morgan, Credit Suisse,Sandler O' Neill + Partners LP, and Keefe, Bruyette & Woods
Paramount GroupPGRE$16.00-$19.00131 million11/19/2014BofA Merrill Lynch, Morgan Stanley, Wells Fargo Securities, Deutsche Bank Securities
People's Utah BancorpPUB$13.00-$15.002.5 million6/11/2015D.A. Davidson & Co.
Physicians Realty TrustDOCLast trade $14.579 million9/9/2014BofA Merrill Lynch, KeyBanc Capital Markets, Wunderlich Securities, BMO, Stifel, RBC Capital Markets, Oppenheimer & Co., Janney Montgomery Scott
Plymouth REITPLYM$19.00-$21.003.75 million6/9/2017D.A. Davidson, BB&T Capital Markets, Oppenheimer & Co.
Preferred Apartment Communities, Inc.APTS$10.00-$10.004.5 million3/31/2011Wunderlich Securities, Anderson & Strudwick
QTS Realty TrustQTSPriced at $21.0012.25 million10/9/2013Goldman Sachs, Jefferies, BofA Merrill Lynch, Deutsche Bank Securities, KeyBanc Capital Markets, Morgan Stanley
Retail Properties of America, Inc.RPAIPriced at $8.0031.8 million4/5/2012J.P. Morgan, Citigroup, Deutsche Bank Securities, Keybank Capital Markets
Reverse Mortgage Investment TrustRMITTBDTBD0/0/0Credit Suisse, Barclays, FBR, UBS Investment Bank, Nomura, Wells Fargo Securities
Safety, Income and Growth, Inc.SFTYTBDTBD0/0/0BofA Merrill Lynch, J.P. Morgan, Barclays
Santander Consumer USA HoldingsSCPriced at $24.0075 million1/23/2014Citigroup, J.P. Morgan, BofA Merrill Lynch, Deutsche Bank Securities, Santander, Barclays, Goldman Sachs, Morgan Stanley, RBC Capital Markets, BMO Capital Markets, Credit Suisse, UBS Investment Bank, Wells Fargo Securities
ServisFirst Bancshares Inc.,SFBS$91.00-$93.000.625 million5/14/2014Sandler O' Neill + Partners LP
Sidoti & Company, Inc.SDTI$9.00-$11.003 million0/0/0WR Hambrecht & Co., Sidoti & Co.
Silver Bay Realty TrustSBYPriced at $18.5013.25 million12/14/2012Credit Suisse, BofA Merrill Lynch, J.P. Morgan
Silvercrest Asset Management GroupSAMGPriced at $11.004.8 million6/27/2013Sandler O' Neill + Partners LP, Raymond James
Springleaf HoldingsLEAFPriced @ $17.0021.1 million10/16/2013BofA Merrill Lynch, Citigroup, Credit Suisse, Barclays Capital, Allen & Co.
Sprott Physical Platinum and Palladium TrustSPPPPriced @ $10.0028 million12/19/2012Morgan Stanley, RBC Capital Markets, BofA Merrill Lynch, UBS Investment Bank
Square 1 FinancialSQBK$15.00-$17.005.8 million3/27/2014Sandler O' Neill + Partners LP, Keefe, Bruyette & Woods
Stonegate Mortgage CorporationSGMPriced at $16.007.1 million10/10/2013BofA Merrill Lynch, Credit Suisse, Barclays Capital, FBR
Store Capital CorporationSTOR$17.00-$19.0027.5 million11/18/2014Goldman Sachs & Co., Credit Suisse, Morgan Stanley
Sutherland Asset ManagementSLDTBDTBD0/0/0TBD
Synchrony FinancialSYF$23.00-$26.00125 million7/31/2014Goldman Sachs, J.P. Morgan, Citigroup, Morgan Stanley, Barclays, BofA Merrill Lynch, Credit Suisse, Deutsche Bank Securities
Talmer BancorpTLMRPriced at $13.0015.6 million2/12/2014Keefe, Bruyette & Woods, J.P. Morgan
TCP Capital CorporationTCPCLast trade $17.475.9 million11/21/2014Deutsche Bank Securities, BofA Merrill Lynch, Raymond James, Keefe, RBC Capital Markets, Oppenheimer & Co.
The Bank of N.T. Butterfield & SonNTB$22.00-$25.0010.6 million9/16/2016Goldman Sachs & Co., Citigroup, Sandler O' Neill + Partners LP
TPG RE Finance Trust, Inc.TRTXTBDTBD0/0/0BofA Merrill Lynch, Citigroup, Goldman Sachs & Co., Wells Fargo Securities
TPG Specialty Lending, Inc.TSLX$16.00-$17.007 million3/21/2014J.P. Morgan, BofA Merrill Lynch, Goldman Sachs, Citigroup, Wells Fargo Securities, Barclays
Transfirst, Inc.TFTBDTBD0/0/0Goldman Sachs & Co., J.P. Morgan, Credit Suisse,Barclays, Deutsche Bank Securities, Citigroup, Jefferies, RBC Capital Markets, Wells Fargo Securities
TransUnionTRU$21.00-$23.0029.5 million6/25/2015Goldman Sachs & Co., J.P. Morgan, BofA Merrill Lynch, Deutsche Bank Securities, RBC Capital Markets, Wells Fargo Securities, Credit Suisse
TriplePoint Venture Growth BDC Corp.TPVG$15.00-$15.008.33 million3/6/2014Morgan Stanley, Wells Fargo, Goldman Sachs, Credit Suisse, UBS Investment Bank
TriState Capital HoldingsTSCPriced at $11.505.7 million5/9/2013Stephens, Inc., Keefe Bruyette & Woods, Baird
Triumph BancorpTBK$14.00-$16.006.7 million11/7/2014Sandler O' Neill + Partners LP, Evercore, Wells Fargo
Veritex HoldingsVBTX$12.00-$14.002.7 million10/9/2014Sandler O' Neill + Partners LP, Stephens Inc.
Virtu Financial, Inc.VIRT$17.00-$19.0016.5 million4/16/2015Goldman Sachs, J.P. Morgan,Sandler O' Neill + Partners LP
WhiteHorse Finance, Inc.WHFPriced @ $15.006.66 million12/5/2012Deutsche Bank Securities, J.P. Morgan, Citigroup, Barclays Capital
Yintech Investment HoldingYIN$12.50-$14.507.5 million ADSs4/27/2016Jefferies
Yirendai Ltd.YRD$9.00-$11.007.5 million12/18/2015Morgan Stanley, Credit Suisse, China Renaissance
ZAIS FinancialZFCPriced at $21.255.7 million2/8/2013Deutsche Bank Securities, Citigroup, Barclays Capital, Credit Suisse



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