Secondaries Announced 3.20.17

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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. Spot secondaries or block trades due to the very short duration of announcement to trading, may take longer to “work”, and should be judged accordingly. (the key is the pricing for spots and or blocks…even more so than scheduled secondaries)
Company: Condor Hospitality Trust
Symbol: CDOR
Price: Last Trade $13.96
Trade Date: Subscription Needed
Shares: 4 million
Underwriter(s) KeyBanc Capital, Baird, Janney Montgomery Scott, Compass Point, D.A. Davidson & Co., Wunderlich
Rating = Subscription Needed

Company: QuickLogic Inc.
Symbol: QUIK
Price: Last Trade $2.34
Trade Date: Subscription Needed
Shares: 6.4 million
Underwriter(s) Craig Hallum, Benchmark Capital
Rating = Subscription Needed

Company: Tandem Diabetes Care
Symbol: TNDM
Price: Last Trade $2.05
Trade Date: Subscription Needed
Shares: 18 million
Underwriter(s) Piper Jaffray
Co-Manager(s) Oppenheimer & Co., Wedbush PacGrow
Rating = Subscription Needed

Company: Merit Medical Systems, Inc.
Symbol: MMSI
Price: Last Trade $31.55
Trade Date: Subscription Needed
Shares: 3.9 million
Underwriter(s) BofA Merrill Lynch, Piper Jaffray, Wells Fargo Securities
Co Manager(s) Canaccord Genuity, Raymond James, SunTrust Robinson Humphrey
Rating = Subscription Needed

Company: La Jolla Pharmaceutical Company
Symbol: LJPC
Price: Last Trade $38.44
Trade Date: Subscription Needed
Shares: 2.6 million
Underwriter(s) J.P. Morgan, Cowen and Company
Rating = Subscription Needed

Company: Calithera Biosciences, Inc.
Symbol: CALA
Price: Last Trade $12.35
Trade Date: Subscription Needed
Shares: 4.5 million
Underwriter(s) Leerink Partners, Wells Fargo Securities
Co manager(s) JMP Securities
Rating = Subscription Needed

Company: Axsome Therapeutics
Symbol: AXSM
Price: Last Trade $4.40
Re-offer: Subscription Needed
Trade Date: Subscription Needed
Shares: Approximately 3.4 million
Underwriter(s) Ladenburg Thalmann
Rating = Subscription Needed

Company: Genesis Energy, L.P.
Symbol: GEL
Price: Last Trade $32.87
Re-offer Range: Subscription Needed
Trade Date: Subscription Needed
Shares: 4 million
Underwriter(s) Wells Fargo Securities, Baird
Rating = Subscription Needed

Company: Golub Capital BDC
Symbol: GBDC
Price: Last Trade $19.42
Re-offer: $19.03
Trade Date: 3/21
Shares: 1.75 million
Underwriter(s) Raymond James
Rating = Subscription Needed