| COMPANY | SYMBOL | TYPE | PRICE | Shares | Trade Date | UNDERWRITER (S) |
| Aqua Metals, Inc. | AQMS | IPO | $5.00-$5.00 | 6.6 million | 7/31/2015 | National Securities Corp. |
| Atomera Incorporated | ATMR | IPO | $7.50-$7.50 | 3.2 million | 8/5/2016 | National Securities Corp. |
| WhiteSmoke, Inc. | WHSM | IPO | $8.00-$10.00 | Postponed | 0/0/0 | Aegis Capital Corp, EarlyBirdCapital, Inc., National Securities Corp. |