Secondaries Announced 1.16.18

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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.

Company: HTG Molecular Diagnostics, Inc.
Symbol: HTGM
Price: Last Trade $3.50
Trade Date: 1/19
Shares: 10 million
Underwriter(s): Leerink Partners, Cantor Fitzgerald
Co-Manager(s): LifeSci Capital LLC
Description: The mission of HTG is to empower precision medicine at the local level.
Rating = Subscription Needed

Company: Obalon Therapeutics
Symbol: OBLN
Price: Last Trade $7.93
Trade Date: 1/19
Shares: 4.4 million ($35 million cash raise)
Underwriter(s): UBS Investment Bank, Canaccord Genuity, Stifel
Co-Manager(s): BTIG
Description: They are a vertically integrated medical device company with the first and only FDA-approved swallowable, gas-filled intragastric balloon system for the treatment of obesity.
Rating = Subscription Needed

Company: Genocea Biosciences, Inc.
Symbol: GNCA
Price: Last Trade $1.08
Trade Date: 1/17
Shares: 50 million
Re-Offer Range: Subscription Needed
Underwriter(s): Cantor Fitzgerald
Co-Manager(s): Needham & Co., Baird
Description: Genocea is harnessing the power of T cell immunity to develop life-changing vaccines and immunotherapies.
Rating = Subscription Needed

Company: UroGen Pharma
Symbol: URGN
Price: Last Trade $45.05
Trade Date: 1/19
Shares: 1.13 million
Underwriter(s): Jefferies, Cowen & Company
Co-Manager(s): Oppenheimer & Co., National Securities
Description: They are a clinical-stage biopharmaceutical company developing advanced non-surgical treatments to address unmet needs in the field of urology, with a focus on uro-oncology.
Rating = Subscription Needed

Company: New Residential Investment Corp.
Symbol: NRZ
Price: Last Trade $17.63
Trade Date: 1/17
Shares: 25 million
Re-Offer Range: Subscription Needed
Underwriter(s): Credit Suisse, J.P. Morgan, BofA Merrill Lynch, BTIG, B.Riley FBR, UBS
Description: New Residential focuses on opportunistically investing in, and actively managing, investments related to residential real estate.
Rating = Subscription Needed

Company: Sequans Communications
Symbol: SQNS
Price: Last Trade $2.05
Trade Date: 1/17
Shares: 10 million ($20 million cash raise)
Re-Offer Range: Subscription Needed
Underwriter(s): Needham & Co.
Description: They are a leading provider of single-mode 4G LTE semiconductor solutions for the Internet of Things and a wide range of broadband data devices.
Rating = Subscription Needed

Company: Inspired Entertainment, Inc.
Symbol: INSE
Price: Last Trade $8.55
Trade Date: 1/19
Shares: 4.5 million
Underwriter(s): Morgan Stanley
Description: Inspired is a global gaming technology company, supplying Virtual Sports, Mobile Gaming and Server Based Gaming systems with associated terminals and digital content to regulated lottery, betting and gaming operators around the world.
Rating = Subscription Needed

Company: Golden Entertainment, Inc.
Symbol: GDEN
Price: Last Trade $31.70
Trade Date: 1/19
Shares: 6.5 million
Underwriter(s): J.P. Morgan, Morgan Stanley
Co-Manager(s): Macquarie Capital
Description: Golden Entertainment, Inc. owns and operates gaming properties across two divisions – resort casino operations and distributed gaming.
Rating = Subscription Needed

Company: Intrexon Corporation
Symbol: XON
Price: Last Trade $13.77
Trade Date: 1/17
Shares: TBD
Re-Offer Range: Subscription Needed
Underwriter(s): JMP Securities
Description: Intrexon Corporation is Powering the Bioindustrial Revolution with Better DNA™ to create biologically-based products that improve the quality of life and the health of the planet.
Rating = Neutral

Company: Carrizo Oil & Gas – Block
Symbol: CRZO
Price: Last Trade $23.25
Trade Date: 1/17
Shares: 1.2 million
Re-Offer Range: Subscription Needed
Underwriter(s): Citigroup
Description: They engage in the exploration, development, and production of oil and gas primarily in the United States.
Rating = Subscription Needed

Company: PDC Energy – Block
Symbol: PDCE
Price: Last Trade $54.17
Trade Date: 1/17
Shares: 0.66 million
Re-Offer Range: Subscription Needed
Underwriter(s): Citigroup
Description: PDC Energy, Inc., an independent exploration and production company, acquires, explores for, develops, and produces crude oil, natural gas, and natural gas liquids in the United States.
Rating = Subscription Needed