| COMPANY | SYMBOL | TYPE | PRICE | Shares | Trade Date | UNDERWRITER (S) |
| Great Basin Scientific, Inc. | GBSN | IPO | Priced at $7.00 | 1.2 million | 0/0/0 | Dawson James Securities, Inc. |
| Sole Elite Group Limited | SOLE | IPO | $5.50-$7.00 | 2 million | 0/0/0 | Dawson James Securities, View Trade Securities |
| Spring Bank Pharmaceuticals | SBPH | IPO | $12.00-$14.00 | 0.92 million | 5/6/2016 | Dawson James Securities |