Secondaries Announced 5.23.18

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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: QuickLogic Corporation
Symbol: QUIK
Price: Last Trade $1.56
Trade Date: 5/24
Re-Offer Range: Subscription Needed
Shares: Subscription Needed
Underwriter(s): Craig Hallum Capital
Co-Manager(s): Roth Capital
Description: They enable OEMs to maximize battery life for highly differentiated, immersive user experiences with Smartphone, Wearable and IoT devices.
Rating = Subscription Needed
Note: This Offering Includes Warrants

Company: Green Bancorp, Inc.
Symbol: GNBC
Price: Last Trade $23.65
Trade Date: 5/24
Re-offer Range: Subscription Needed
Shares: 2 million
Underwriter(s): Barclays
Description: They are a bank holding company that operates Green Bank in the Houston and Dallas metropolitan areas and Austin
Rating = Subscription Needed

Company: Eiger BioPharmaceuticals, Inc
Symbol: EIGR
Price: Last Trade $13.95
Trade Date: 5/24
Re-offer Range: Subscription Needed
Shares: 3.2 million ($40 million cash raise)
Underwriter(s): Piper Jaffray, BTIG
Co-Manager(s): Ladenburg Thalmann
Description: Eiger is a clinical-stage biopharmaceutical company focused on bringing to market novel product candidates for the treatment of rare diseases.
Rating = Subscription Needed

Company: Floor & Decor Holdings, Inc. – Block
Symbol: FND
Price: Last Trade $45.45
Trade Date: 5/24
Re-offer Range: Subscription Needed
Shares: 10 million
Underwriter(s): J.P. Morgan
Description: Floor & Decor is a multi-channel specialty retailer of hard surface flooring and related accessories, offering a broad in-stock assortment of tile, wood, laminate and natural stone flooring along with decorative and installation accessories at everyday low prices.
Rating = Subscription Needed

Company: AGNC Investment Corp
Symbol: AGNC
Price: Last Trade $19.18
Trade Date: 5/24
Re-Offer Range: Subscription Needed
Shares: 30 million
Underwriter(s): Citigroup, BofA Merrill Lynch, Credit Suisse, J.P. Morgan, Morgan Stanley, UBS
Co-Manager(s): JMP Securities, Keefe Bruyette & Woods
Description: They are an internally-managed real estate investment trust that invests primarily in residential mortgage-backed securities for which the principal and interest payments are guaranteed by a U.S. Government-sponsored enterprise or a U.S. Government agency.
Rating = Subscription Needed