Secondaries Announced 3.21.18

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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: OP Bancorp
Symbol: OPBK
Price Range: $9.50-$11.50
Trade Date: 3/28
Shares: 2 million
Underwriter(s): Keefe Bruyette & Woods
Co-Manager(s): DA Davidson
Description: They are a bank holding company headquartered in Los Angeles, California. The last reported closing sale price for their common stock as reported on the OTCQB Market on March 19, 2018, was $11.50 per share.
Rating = Subscription Needed

Company: Gaia, Inc.
Symbol: GAIA
Price: Last Trade $16.10
Trade Date: 3/22
Shares: 1.25 million ($20 million cash raise)
Re-Offer Range:Subscription Needed
Underwriter(s): B.Riley FBR
Co-Manager(s): Lake Street Capital, Dougherty & Co.
Description: Gaia is a global video streaming service and community that provides curated conscious media in three primary channels—Seeking Truth, Transformation and Yoga—to its 400,000 subscribers in over 170 countries.
Rating = Subscription Needed

Company: Resonant, Inc.
Symbol: RESN
Price: Last Trade $4.21
Trade Date: 3/23
Shares: 4.75 million ($20m cash raise)
Underwriter(s): Needham & Co.
Description: They are a late-stage development company that has created an innovative software, intellectual property, or IP, and services platform that has the ability to increase designer efficiency, reduce the time to market and lower unit costs in the designs of filters for radio frequency, or RF, front-ends for the mobile device industry.
Rating = Subscription Needed