Secondaries Announced 1.24.18

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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: Five Prime Therapeutics
Symbol: FPRX
Price: Last Trade $22.43
Trade Date: 1/25
Shares: 3.4 million ($75m cash raise)
Underwriter(s): Goldman Sachs & Co., J.P. Morgan, Leerink Partners, Wells Fargo
Description: They are a clinical-stage biotechnology company focused on discovering and developing innovative immuno-oncology protein therapeutics
Rating = Subscription Needed

Company: ConforMIS, Inc.
Symbol: CFMS
Price: Last Trade $2.27
Trade Date: 1/25
Shares: 8.9 million ($20 million cash raise)
Re-Offer Range: Subscription Needed
Underwriter(s): Cowen, Canaccord Genuity
Description: ConforMIS is a medical technology company that uses its proprietary iFit Image-to-Implant technology platform to develop, manufacture and sell joint replacement implants that are individually sized and shaped, or customized, to fit each patient’s unique anatomy.
Rating = Subscription Needed

Company: Albireo Pharma, Inc.
Symbol: ALBO
Price: Last Trade $35.76
Trade Date: 1/25
Shares: 1.4 million ($50m cash raise)
Re-Offer Range: Subscription Needed
Underwriter(s): Cowen, William Blair
Co-Manager(s): Needham, Wedbush PacGrow, Roth Capital
Description: Albireo Pharma is a clinical-stage biopharmaceutical company focused through its operating subsidiary on the development of novel bile acid modulators to treat orphan pediatric liver diseases and other liver and gastrointestinal diseases and disorders.
Rating = Subscription Needed

Company: Ocular Therapeutix Inc.
Symbol: OCUL
Price: Last Trade $6.19
Trade Date: 1/25
Shares: 4.8 million ($25 million cash raise)
Re-Offer Range: Subscription Needed
Underwriter(s): Piper Jaffray
Description: They are a biopharmaceutical company focused on the development, manufacturing and commercialization of innovative therapies for diseases and conditions of the eye using its proprietary hydrogel-based formulation technology.
Rating = Subscription Needed

Company: Iovance BioTherapeutics, Inc.
Symbol: IOVA
Price: Last Trade $11.50
Trade Date: 1/25
Shares: 10.9 million ($125m cash raise)
Re-Offer Range: Subscription Needed
Underwriter(s): Jefferies
Description: They are a clinical-stage biotechnology company focused on the development of cancer immunotherapy products for the treatment of various cancers.
Rating = Subscription Needed

Company: Blink Charging Co.
Symbol: BLNK
Price: Last Trade: N/A
Trade Date: 1/30
Shares: 4.6 million
Underwriter(s): Joseph Gunnar
Co-Manager(s): Benchmark, Dawson James Securities
Description: Blink Charging Co. is a leading owner, operator, and provider of electric vehicle charging equipment and networked EV charging services. Their Common Stock is presently quoted on the OTC Pink Current Information Marketplace under the symbol “CCGI”. Each unit consisting of one share of common stock and one warrant to purchase one share of common stock.The warrants included within the units are exercisable immediately, have an exercise price of 150% of the public offering price of one unit, and expire five years from the date of issuance.
Rating = Subscription Needed

Company: The Williams Company – Block
Symbol: WMB
Price: Last Trade $33.10
Trade Date: 1/25
Shares: 8.6 million
Re-Offer Range: Subscription Needed
Underwriter(s): Morgan Stanley
Description: The Williams Companies, Inc. operates as an energy infrastructure company primarily in the United States.
Rating = Subscription Needed