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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.AGMH$5.00-$5.001.0-1.4 million0/0/0Network 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.ACSF$15.00-$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 RentAMH$16.00-$18.0044 million8/1/2013Goldman Sachs, Bank of America Merrill Lynch, JP Morgan, Wells Fargo Securities
American Residential PropertiesARPI$21.00-$23.0013.7 million5/9/2013Morgan Stanley, BofA Merrill Lynch, FBR, Jefferies
AmREIT, Inc.AMRE$14.00-$16.003.65 million7/16/2013Jefferies, Baird
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
Armada Hoffler PropertiesAHH$11.00-$13.0016.5 Million5/8/2013Baird, Raymond James, Stifel
Artisan Partners Asset ManagementAPAM$27.00-$29.0011.5 million3/7/2013Citigroup, Goldman Sachs & Co.,
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
Aviv REITAVIV$18.00-$20.0013.2 million3/21/2013Morgan Stanley, BofA Merrill Lynch, Goldman Sachs,
AXA Equitable Holdings, Inc.TBDTBDTBD0/0/0Morgan Stanley, J.P. Morgan
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
Bicapital CorporationBICATBDTBD0/0/0BofA Merrill Lynch, Citigroup, J.P. Morgan
Blackhawk Network Holdings, Inc.HAWK$20.00-$22.0010 million4/19/2013Goldman Sachs, BofA Merrill Lynch, Citigroup, Deutsche Bank Securities
Blue Capital Reinsurance Holdings Ltd.BCRH$20.00-$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
Brixmor Property GroupBRX$19.00-$21.0041.25 million10/30/2013BofA Merrill Lynch, Citi, J.P. Morgan, Wells Fargo, Barclays, Deutsche Bank, RBC Capital Markets, UBS
Byline Bancorp, Inc.BY$19.00-$21.005.7 million6/30/2017BofA Merrill Lynch, Keefe Bruyette & Woods
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.CBF$21.00-$23.0010 million9/20/2012Credit Suisse, BofA Merrill Lynch, Goldman Sachs, Barclays Capital, FBR
Capitala FinanceCPTA$20.00-$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
CatchMark Timber TrustCTT$13.50-$15.0010.5 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
CBTX, Inc.CBTX$24.00-$26.002.4 million11/8/2017Stephens, Keefe Bruyette & Woods, Sandler O' Neill + Partners
Cherry Hill Mortgage Investment CorporationCHMI$20.00-$20.006.5 million10/4/2013Barclays Capital, Morgan Stanley, Citigroup, UBS Investment Bank
China Internet Nationwide Financial ServicesCIFS$10.00-$10.002.02 million8/8/2017Boustead 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 FinanceCMFN$15.00-$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 BancorpCNOB$26.00-$29.001.6 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
CURO Group Holdings Corp. CUROTBDTBD0/0/0Credit Suisse, Jefferies, Stephens Inc
CyrusOne Inc.CONE$16.00-$18.0016.5 million1/18/2013Morgan Stanley, BofA Merrill Lynch, Deutsche Bank Securities, Barclays
Dragon Victory International LimitedLYL$6.00-$6.001.4 million10/20/2017Boustead 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 TrustESRT$13.00-$15.0071.5 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.
Esquire Financial HoldingsESQ$14.00-$16.002.36 million6/27/2017Sandler O' Neill + Partners
Essent Group Ltd.ESNT$14.00-$16.0019.7 million10/31/2013Goldman Sachs, J.P. Morgan, BofA Merrill Lynch, Barclays, Credit Suisse, Macquarie Capital
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 LifeFGL$17.00-$19.009.8 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
Fifth Street Senior Floating Rate CorpFSFR$15.00-$15.006.7 million7/12/2013Morgan Stanley, Deutsche Bank Securities, UBS Investment Bank, Goldman Sachs, Barclays, Credit Suisse, J.P. Morgan
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 HoldingNBCB$22.00-$26.004.2 million5/10/2013Sandler O' Neill + Partners LP, Keefe Bruyette & Woods
Five Oaks Investment Corp.OAKS$15.00-$15.008.84 million3/22/2013Barclays, Credit Suisse, UBS Investment Bank, 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.FX$13.50-$15.005.2 million2/9/2012BofA Merrill Lynch, Goldman Sachs, Citigroup, J.P. Morgan
Garrison CapitalGARS$14.00-$16.005.33 million 3/27/2013Baird, Oppenheimer & Co., William Blair & Co., Janney Montgomery Scott, Stephens Inc.
Gladstone Land CorporationLAND$15.00-$15.003.33 million1/29/2013Janney Montgomery Scott, JMP Securities
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
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
Hannon Armstrong Sustainable Infrastructure CapitalHASI$14.00-$16.003 million4/18/2013BofA Merrill Lynch, Deutsche Bank Securities, Morgan Stanley
Harvest Capital CreditHCAP$14.50-$15.503.4 Million5/3/2013Keefe Bruyette & Woods, JMP Securities, William Blair
Health Insurance InnovationsHIIQ$14.00-$16.004.67 million2/8/2013Credit Suisse, Citigroup, BofA Merrill Lynch
Heritage Insurance Holding, Inc., HRTG$14.00-$16.006 million5/23/2014Citigroup
Home Loan Servicing Solutions, Ltd.HLSS$14.00-$16.0013.33 million2/29/2012Wells Fargo Securities, Barclays Capital, Citigroup, Deutsche Bank Securities
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.
Independence Realty TrustIRT$10.00-$11.004 million8/13/2013Ladenburg Thalmann, William Blair, JMP Securities, Compass Point
Independent Bank GroupIBTX$24.00-$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
ING U.S., Inc.VOYA$21.00-$24.0065.2 million5/2/2013Morgan Stanley, Goldman Sachs & Co., Citigroup, BofA Merrill Lynch, Credit Suisse, Deutsche Bank Securities, J.P. Morgan
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
JAVELIN Mortgage InvestmentJMI$20.00-$20.007.25 million10/3/2012Deutsche Bank Securities, Citigroup, Barclays, Credit Suisse
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
Jianpu Technology Inc.JT$8.50-$10.5022.5 million ADSs11/16/2017Goldman Sachs (Asia), Morgan Stanley, J.P. Morgan
Ladder Capital CorpLADR$16.00-$18.0013.25 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
LexinFintech Holdings Ltd.LXLTBDTBD0/0/0Goldman Sachs (Asia), BofA Merrill Lynch, Deutsche Bank Securities, China Renaissance
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
Luther Burbank CorporationLBCTBDTBD0/0/0Keefe Bruyette & Woods, Sandler O' Neill
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
Merchants BancorpMBIN$17.00-$19.006.25 million10/27/2017Sandler O'Neill + Partners, Stephens Inc., Raymond James
Meridian BankMRBK$17.00-$19.002.35 million11/7/2017Sandler O' Neill + Partners
Metropolitan Bank Holding Corp.MCB$31.00-$34.003.1 million11/8/2017J.P. Morgan, Keefe Bruyette & Woods
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
Monroe Capital CorporationMRCC$15.00-$15.005 million10/25/2012Baird, William Blair, Janney Montgomery Scott
National Bank Holdings CorporationNBHC$20.00-$22.007.15 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.NSM$17.00-$19.0016.7 million3/8/2012BofA Merrill Lynch, Citigroup, Credit Suisse, Wells Fargo Securities
Nordic Realty TrustNORT$15.00-$15.005 million0/0/0Wunderlich Securities
Oaktree Capital GroupOAK$43.00-$46.008.85 million4/12/2012Goldman Sachs & Co., Morgan Stanley, BofA Merrill Lynch, Credit Suisse, Deutsche Bank Securities, J.P. Morgan
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
Orchid Island Capital, Inc.ORC$14.00-$16.002.36 million2/14/2013Ladenburg Thalmann, Oppenheimer & Co
Paramount GroupPGRE$16.00-$19.00131 million11/19/2014BofA Merrill Lynch, Morgan Stanley, Wells Fargo Securities, Deutsche Bank Securities
PennyMac Financial Services, Inc.PFSI$17.00-$19.0011.1 million5/9/2013Citigroup, BofA Merrill Lynch, Credit Suisse, Goldman Sachs & Co.
People's Utah BancorpPUB$13.00-$15.002.5 million6/11/2015D.A. Davidson & Co.
Physicians Realty TrustDOC$11.50-$13.509 million9/9/2014BofA Merrill Lynch, KeyBanc Capital Markets, Wunderlich Securities, BMO, Stifel, RBC Capital Markets, Oppenheimer & Co., Janney Montgomery Scott
PPDAI Group Inc.PPDF$16.00-$19.0017 million ADSs11/10/2017Credit Suisse, Citigroup
Preferred Apartment Communities, Inc.APTS$10.00-$10.004.5 million3/31/2011Wunderlich Securities, Anderson & Strudwick
QIWI plcQIWI$16.00-$18.0012.5 million5/3/2013J.P. Morgan, Credit Suisse
QTS Realty TrustQTS$27.00-$30.0012.25 million10/9/2013Goldman Sachs, Jefferies, BofA Merrill Lynch, Deutsche Bank Securities, KeyBanc Capital Markets, Morgan Stanley
Qudian Inc.QD$19.00-$22.0037.5m ADSs10/18/2017Morgan Stanley, Credit Suisse, Citigroup, CICC, UBS Investment Bank
RBB BancorpRBB$22.00-$24.003.75 million7/26/2017Sandler O'Neill & Partners, Keefe, Bruyette & Woods, Stephens Inc.
RCS Capital CorporationRCAP$19.00-$21.0020 million6/5/2013JMP Securities, Ladenburg Thalmann
Regional Management CorporationRM$17.00-$19.004.2 million3/28/2012Jefferies, Stephens Inc.
Retail Properties of America, Inc.RPAI$10.00-$12.0031.8 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
Rexford Industrial Realty, Inc.REXR$13.00-$15.0016 million7/19/2013BofA Merrill Lynch, Wells Fargo Securities, FBR, J.P. Morgan
Santander Consumer USA HoldingsSC$22.00-$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
Select Income REITSIR$21.00-$23.008 million3/7/2012Morgan Stanley, BofA Merrill Lynch, Wells Fargo Securities, Citigroup, RBC Capital Markets, UBS Investment Bank
Senmiao Technology LimitedAIHSTBDTBD0/0/0Viewtrade Securities
ServisFirst Bancshares Inc.,SFBS$91.00-$93.000.625 million5/14/2014Sandler O' Neill + Partners LP
Silver Bay Realty TrustSBY$18.00-$20.0013.25 million12/14/2012Credit Suisse, BofA Merrill Lynch, J.P. Morgan
Silvercrest Asset Management GroupSAMG$11.00-$13.004.8 million6/27/2013Sandler O' Neill + Partners LP, Raymond James
Spirit Realty CapitalSRC$16.00-$18.0029 million9/20/2012Morgan Stanley, Macquarie Capital, UBS Investment Bank, Deutsche Bank Securities, RBC Capital Markets
Springleaf HoldingsLEAF$15.00-$17.0021.1 million10/16/2013BofA Merrill Lynch, Citigroup, Credit Suisse, Barclays Capital, Allen & Co.
Sprott Physical Platinum and Palladium TrustSPPP$10.00-$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
Sterling Bancorp, Inc. SBT$12.00-$14.0015 million11/17/2017Sandler O' Neill + Partners
StoneCastle FinancialBANX$25.00-$25.004.4 million11/7/2013Keefe, Bruyette & Woods, Baird, Oppenheimer & Co.
Stonegate Mortgage CorporationSGM$20.00-$22.007.1 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 BancorpTLMR$12.50-$14.5015.6 million2/12/2014Keefe, Bruyette & Woods, J.P. Morgan
TCP Capital CorporationTCPC$14.75-$14.755.75 million4/4/2012Deutsche Bank Securities, Stifel, 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.TRTX$20.00-$21.0011 million7/20/2017BofA Merrill Lynch, Citigroup, Goldman Sachs & Co., Wells Fargo Securities, Deutsche Bank Securities, J.P. Morgan, Morgan Stanley, Barclays
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 HoldingsTSC$10.50-$12.505.7 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
Western Asset Mortgage CapitalWMC$20.00-$20.008 million5/10/2012Deutsche Bank Securities, J.P. Morgan, Citigroup, Jefferies
WhiteHorse Finance, Inc.WHF$15.00-$15.006.66 million12/5/2012Deutsche Bank Securities, J.P. Morgan, Citigroup, Barclays Capital
XoomXOOM$13.00-$15.006.325 million2/15/2013Barclays Capital, Needham & Co.
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 FinancialZFC$21.25-$21.255.7 million2/8/2013Deutsche Bank Securities, Citigroup, Barclays Capital, Credit Suisse



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