Secondaries Announced 4.19.17

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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: TCP Capital
Symbol: TCPC
Price: Last Trade $17.23
Trade Date 4/20
Re-Offer Range: Subscription Needed
Shares: 5 million
Underwriter(s) Wells Fargo Securities, BofA Merrill Lynch, Raymond James, Deutsche Bank Securities, RBC Capital Markets
Rating = Subscription Needed

Company: Eagle Point Credit Company Inc.
Symbol: ECC
Price: Last Trade $20.60
Trade Date: 4/20
Re-Offer Range: Subscription Needed
Shares: 1.25 million
Underwriter(s): Keefe Bruyette & Woods, Ladenburg Thalmann, Oppenheimer & Co, Wunderlich Securities
Co-Manager(s): FBR, MUFG, National Securities Corp.
Rating = Subscription Needed

Company: Whitestone REIT
Symbol: WSR
Price: Last Trade $14.25
Trade Date 4/20
Re-Offer Range: Subscription Needed
Shares: 8.1 million
Underwriter(s) SunTrust Robinson Humphrey, BMO Capital Markets, JMP Securities
Co-Manager(s): Wunderlich, J.J.B. Hilliard Lyons LLC, Janney Montgomery Scott, Ladenburg Thalmann, Maxim Group
Rating = Subscription Needed