| COMPANY | SYMBOL | PRICE | Shares | Trade Date | UNDERWRITER (S) |
| 360 Finance, Inc. | QFIN | $16.50-$18.50 | 3.1 million ADSs | 12/14/2018 | Citigroup, Haitong International, AMTD, Lighthouse Capital |
| 9F Inc. | JFU | $7.50-$9.50 | 8.9 million ADSs | 8/15/2019 | Credit Suisse |
| AG Mortgage Investment Trust, Inc. | MITT | Last trade $24.33 | 3.75 million | 12/20/2012 | Credit Suisse, BofA Merrill Lynch, Nomura, Stifel Nicolaus Weisel |
| Alcentra Capital Corporation | ABDC | $15.00-$15.00 | 6.66 million | 5/9/2014 | Raymond James, Baird, Keefe, Bruyette & Woods
|
| Alerus Financial Corporation | ALRS | $22.00-$24.00 | 2.9 million | 9/13/2019 | Raymond James, DA Davidson |
| Allegiance Bancshares | ABTX | $22.00-$24.00 | 2.6 million | 10/8/2015 | Baird, Stephens Inc. |
| Ally Financial Inc. | ALLY | $25.00-$28.00 | 95 million | 4/10/2014 | Citigroup, Morgan Stanley, Goldman Sachs & Co., Barclays, BofA Merrill Lynch, Deutsche Bank Securities, J.P. Morgan |
| Amalgamated Bank | AMAL | $15.00-$17.00 | 6.7 million | 8/9/2018 | Barclays, J.P. Morgan, Keefe, Bruyette & Woods |
| American Capital Senior Floating, Ltd. | ACSF | $15.00-$15.00 | 10 million | 1/16/2014 | Morgan Stanley, Citigroup, Deutsche Bank Securities, Keefe, Bruyette & Woods, UBS Investment Bank |
| American Farmland Company | AFCO | $8.50-$10.50 | 6 million | 10/20/2015 | Deutsche Bank Securities, Citigroup, Raymond James, RBC Capital Markets, FBR
|
| American Homes 4 Rent | AMH | $16.00-$18.00 | 44 million | 8/1/2013 | Goldman Sachs, Bank of America Merrill Lynch, JP Morgan, Wells Fargo Securities |
| American Residential Properties | ARPI | $21.00-$23.00 | 13.7 million | 5/9/2013 | Morgan Stanley, BofA Merrill Lynch, FBR, Jefferies |
| AmREIT, Inc. | AMRE | $14.00-$16.00 | 3.65 million | 7/16/2013 | Jefferies, Baird |
| AMTD International Inc. | HKIB | $8.10-$8.48 | 20.8 million ADSs | 8/5/2019 | AMTD Global Markets, Loop Capital Markets, MasterLink, Tiger Brokers, ViewTrade Securities |
| Anchor Bancorp Wisconsin Inc. | ABCW | $25.00-$27.00 | 372 K | 10/22/2014 | Sandler O' Neill + Partners LP |
| Ares Management, L.P. | ARES | $21.00-$23.00 | 11.4 million | 5/2/2014 | J.P. Morgan, BofA Merrill Lynch, Goldman Sachs, Morgan Stanley, Wells Fargo Securities |
| Armada Hoffler Properties | AHH | $11.00-$13.00 | 16.5 Million | 5/8/2013 | Baird, Raymond James, Stifel |
| Artisan Partners Asset Management | APAM | $27.00-$29.00 | 11.5 million | 3/7/2013 | Citigroup, Goldman Sachs & Co., |
| AssetMark Financial Holdings, Inc. | AMK | $19.00-$21.00 | 12.5 million | 7/18/2019 | JP Morgan, Goldman Sachs, Credit Suisse, Huatai Securities |
| Athene Holding Ltd | ATH | $38.00-$42.00 | 27 million | 12/9/2016 | Barclays, Citigroup, Goldman Sachs & Co., Wells Fargo Securities, BofA Merrill Lynch, BMO Capital Markets, Credit Suisse, Deutsche Bank Securities, J.P. Morgan, Morgan Stanley, RBC Capital Markets,BNP Paribas, BTIG, Evercore ISI, SunTrust Robinson Humphrey, UBS Investment Bank |
| Avaya Holdings Corp | AVYA | Withdrawn | TBD | 0/0/0 | Morgan Stanley, Goldman Sachs, J.P. Morgan, Citi, Deutsche Bank Securities, |
| Avenue Financial Holdings | AVNU | $11.00-$13.00 | 2.5 million | 2/10/2015 | Keefe Bruyette & Woods |
| Aviv REIT | AVIV | $18.00-$20.00 | 13.2 million | 3/21/2013 | Morgan Stanley, BofA Merrill Lynch, Goldman Sachs, |
| AXA Equitable Holdings, Inc. | EQH | $24.00-$27.00 | 137.3 million | 5/10/2018 | Morgan Stanley, J.P. Morgan, Barclays, Citigroup, BofA Merrill Lynch, Credit Suisse, Deutsche Bank Securities, Goldman Sachs & Co. BNP PARIBAS, SOCIETE GENERALE, ING, Credit Agricole CIB, HSBC, Natixis, RBC Capital Markets |
| Bain Capital Specialty Finance, Inc. | BCSF | $20.25-$21.25 | 7.5 million | 11/15/2018 | BofA Merrill Lynch, Goldman Sachs, Morgan Stanley, Citigroup, Credit Suisse, Keefe Bruyette & Woods, Wells Fargo |
| Bank7 Corp. | BSVN | $18.00-$21.00 | 3.4 million | 9/20/2018 | Keefe Bruyette & Woods, Stephens Inc. |
| BankFlorida | BFL | Postponed | Postponed | 2/12/2019 | B.Riley FBR |
| Bats Global Markets, Inc. | BATS | $17.00-$19.00 | 13.3 million | 4/15/2016 | Morgan Stanley, Citigroup, BofA Merrill Lynch, Credit Suisse, Goldman Sachs & Co., J.P. Morgan |
| BayCom Corp | BCML | $21.00-$23.00 | 2.9 million | 5/4/2018 | FIG Partners, D.A. Davidson |
| Bicapital Corporation | BICA | TBD | TBD | 0/0/0 | BofA Merrill Lynch, Citigroup, J.P. Morgan |
| Blackhawk Network Holdings, Inc. | HAWK | $20.00-$22.00 | 10 million | 4/19/2013 | Goldman Sachs, BofA Merrill Lynch, Citigroup, Deutsche Bank Securities |
| Blend Labs Inc. | BLND | $16.00-$18.00 | 20 million | 7/16/2021 | Goldman Sachs, Allen & Company, Wells Fargo,KeyBanc, Truist, UBS Investments |
| Blue Capital Reinsurance Holdings Ltd. | BCRH | $20.00-$20.00 | 6.3 million | 11/6/2013 | Deutsche Bank Securities, UBS Investment Bank, Barclays Capital, Keefe Bruyette & Woods, Raymond James, RBC Capital Markets |
| Bluerock Residential Growth Reit, Inc. | BRG | $15.00-$15.00 | 3.45 million | 3/28/2014 | Wunderlich Securities |
| Bridgewater Bancshares, Inc. | BWB | $10.50-$12.50 | 6.7 million | 3/14/2018 | Sandler O'Neill + Partners, DA Davidson |
| Brixmor Property Group | BRX | $19.00-$21.00 | 41.25 million | 10/30/2013 | BofA Merrill Lynch, Citi, J.P. Morgan, Wells Fargo, Barclays, Deutsche Bank, RBC Capital Markets, UBS
|
| Byline Bancorp, Inc. | BY | $19.00-$21.00 | 5.7 million | 6/30/2017 | BofA Merrill Lynch, Keefe Bruyette & Woods |
| C1 Financial, Inc. | BNK | $18.00-$20.00 | 2.6 million | 8/14/2014 | Keefe, Raymond James |
| Cadence Bancorporation | CADE | $19.00-$21.00 | 7.5 million | 4/13/2017 | Goldman Sachs & Co., J.P. Morgan, Sandler O'Neill + Partners, Keefe Bruyette & Woods
|
| Capital Bancorp, Inc. | CBNK | $12.50-$14.50 | 2.2 million | 9/26/2018 | Keefe Bruyette & Woods, Stephens Inc. |
| Capital Bank Financial Corp. | CBF | $21.00-$23.00 | 10 million | 9/20/2012 | Credit Suisse, BofA Merrill Lynch, Goldman Sachs, Barclays Capital, FBR |
| Capitala Finance | CPTA | $20.00-$20.00 | 4 million | 9/25/2013 | Deutsche Bank Securities, UBS Investment Bank, Barclays Capital |
| CapStar Financial Holdings | CSTR | $14.50-$16.50 | 2.6 million | 9/22/2016 | Keefe Bruyette & Woods, Sandler O' Neill + Partners |
| CatchMark Timber Trust | CTT | $13.50-$15.00 | 10.5 million | 12/12/2013 | Raymond James, Baird, Stifel Nicolaus Weisel |
| CBS Outdoor Americas | CBSO | $26.00-$28.00 | 20 million | 3/28/2014 | Goldman Sachs, BofA Merrill Lynch, J.P. Morgan, Morgan Stanley |
| CBTX, Inc. | CBTX | $24.00-$26.00 | 2.4 million | 11/8/2017 | Stephens, Keefe Bruyette & Woods, Sandler O' Neill + Partners |
| Chain Bridge Bancorp, Inc. | CBNA | $24.00-$26.00 | 1.85 million | 10/4/2024 | Piper Sandler, Raymond James, Hovde Group |
| Cherry Hill Mortgage Investment Corporation | CHMI | $20.00-$20.00 | 6.5 million | 10/4/2013 | Barclays Capital, Morgan Stanley, Citigroup, UBS Investment Bank |
| China Internet Nationwide Financial Services | CIFS | $10.00-$10.00 | 2.02 million | 8/8/2017 | Boustead Securities, Network 1 Financial Securities |
| China Rapid Finance Limited | XRF | $9.50-$11.50 | 10 Million ADS | 4/28/2017 | Morgan Stanley, Credit Suisse, Jefferies |
| Citizens Financial Group, Inc., | CFG | $23.00-$25.00 | 140 million | 9/24/2014 | Morgan Stanley, Goldman Sachs & Co., J.P. Morgan, Deutsche Bank Securities, RBS Securities, Wells Fargo Securities, Barclays, Citigroup |
| City Office REIT, Inc. | CIO | $14.00-$16.00 | 5.8 million | 4/15/2014 | Janney Montgomery Scott, Wunderlich Securities, Oppenheimer & Co. |
| Claros Mortgage Trust, Inc. | CMTG | $18.65-$19.65 | 5.5 million | 11/3/2021 | Morgan Stanley, J.P. Morgan, Goldman Sachs, Deutsche Bank Securities, UBS Investment Bank, Wells Fargo Securities, JMP Securities, Keefe Bruyette & Woods |
| CM Finance | CMFN | $15.00-$15.00 | 6.7 million | 2/6/2014 | Raymond James, Keefe, Bruyette & Woods, Oppenheimer & Co. |
| CNFinance Holdings Limited | CNF | $7.50-$8.50 | 6.5 million ADSs | 11/7/2018 | Roth Capital, Shenwan Hongyuan Securities |
| Coastal Financial Corporation | CCB | $13.00-$15.00 | 2.9 million | 7/18/2018 | Keefe Bruyette & Woods, Hovde Group |
| Community Choice Financial, Inc. | CCFI | $10.00-$12.00 | 10.66 million | 0/0/0 | Credit Suisse, Jefferies, Stephens Inc. |
| Conifer Holdings | CNFR | $11.00-$13.00 | 3.1 million | 8/13/2015 | BMO Capital Markets, Raymond James |
| ConnectOne Bancorp | CNOB | $26.00-$29.00 | 1.6 million | 2/12/2013 | Stifel |
| Corebridge Financial, Inc. | CRBG | $21.00-$24.00 | 80 million | 9/15/2022 | J.P. Morgan, Morgan Stanley, Piper Sandler, BofA Securities, Citigroup, Goldman Sachs & Co. |
| County Bancorp | ICBK | $16.00-$18.00 | 1.18 million | 1/16/2015 | Baird, Sterne Agee |
| CPI Card Group | PMTS | $16.00-$18.00 | 15 million | 10/9/2015 | BMO Capital Markets, Goldman Sachs & Co., CIBC |
| Crescent Capital Finance Group, Inc. | CCFG | $15.00-$15.00 | 8.33 million | 3/7/2012 | UBS Investment Bank, Morgan Stanley, Credit Suisse, RBC Capital Markets |
| CrossFirst Bankshares, Inc. | CFB | $15.00-$17.00 | 7.1 million | 8/15/2019 | Keefe, Bruyette & Woods, Raymond James, Stephens Inc. |
| CURO Group Holdings Corp. | CURO | $14.00-$16.00 | 6.67 million | 12/7/2017 | Credit Suisse, Jefferies, Stephens Inc |
| CyrusOne Inc. | CONE | $16.00-$18.00 | 16.5 million | 1/18/2013 | Morgan Stanley, BofA Merrill Lynch, Deutsche Bank Securities, Barclays |
| DLocal Limited | DLO | $16.00-$18.00 | 29.4 million | 6/3/2021 | JP Morgan, Goldman Sachs, Citigroup, Morgan Stanley, BofA Securities, HSBC, UBS Investment Bank
|
| Dragon Victory International Limited | LYL | $6.00-$6.00 | 1.4 million | 10/20/2017 | Boustead Securities, Network 1 Financial Securities |
| Dynasty Financial Partners Inc. | DSTY | Withdrawn | Withdrawn | 0/0/0 | Goldman Sachs, J.P. Morgan, Citigroup, RBC Capital Markets |
| Easterly Government Properties, Inc. | DEA | $14.00-$16.00 | 12 million | 2/6/2015 | Citigroup, Raymond James, RBC Capital Markets |
| Elevate Credit, Inc. | ELVT | $12.00-$14.00 | 7.7 million | 4/6/2017 | UBS Investment Bank, Credit Suisse, Jefferies, Stifel, William Blair |
| Empire State Realty Trust | ESRT | $13.00-$15.00 | 71.5 million | 10/2/2013 | BofA Merrill Lynch, Goldman Sachs |
| Enova International, Inc. | ENVA | TBD | TBD | 0/0/0 | UBS Investment Bank, Barclays Capital, Jefferies |
| Equity Bancshares | EQBK | $22.00-$24.00 | 1.94 million | 11/11/2015 | Keefe Bruyette & Woods, Stephens Inc. |
| Esquire Financial Holdings | ESQ | $14.00-$16.00 | 2.36 million | 6/27/2017 | Sandler O' Neill + Partners |
| Essent Group Ltd. | ESNT | $14.00-$16.00 | 19.7 million | 10/31/2013 | Goldman Sachs, J.P. Morgan, BofA Merrill Lynch, Barclays, Credit Suisse, Macquarie Capital |
| EverBank Financial Corp | EVER | Priced at $10.00 | 19.2 million | 5/3/2012 | Goldman Sachs, BofA Merrill Lynch, Credit Suisse |
| EVO Payments, Inc. | EVOP | $14.00-$16.00 | 14 million | 5/23/2018 | J.P. Morgan, BofA Merrill Lynch, Citigroup, Deutsche Bank Securities, SunTrust Robinson Humphrey, Barclays, Cowen and Company, Goldman Sachs & Co., Regions Securities LLC, William Blair |
| Exeter Finance Corporation | XTF | Withdrawn | Withdrawn | 0/0/0 | Citigroup, Wells Fargo |
| Farmland Partners Inc. | FPI | $14.00-$16.00 | 3.8 million | 7/25/2014 | Baird, BMO Capital Markets, Janney Montgomery Scott |
| FB Financial Group | FBK | $16.00-$18.00 | 5.88 million | 9/16/2016 | J.P. Morgan, UBS Investment Bank, Keefe Bruyette & Woods |
| FCB Financial Holdings | FCB | $24.00-$27.00 | 7.5 million | 8/1/2014 | Deutsche Bank Securities, J.P. Morgan, BofA Merrill Lynch, UBS Investment Bank |
| Fidelity & Guaranty Life | FGL | $17.00-$19.00 | 9.8 million | 12/13/2013 | Credit Suisse, J.P. Morgan, Jefferies, Macquarie Capital, RBC Capital Markets |
| Fidus Investment Corporation | FDUS | $14.00-$16.00 | 1.5 million | 6/20/2011 | Raymond James, Robert Baird, Keefe, Bruyette & Woods |
| Fifth Street Asset Management | FSAM | $17.00-$17.00 | 6 million | 10/30/2014 | Morgan Stanley, J.P. Morgan, Goldman Sachs, RBC Capital Markets, Credit Suisse |
| Fifth Street Senior Floating Rate Corp | FSFR | $15.00-$15.00 | 6.7 million | 7/12/2013 | Morgan Stanley, Deutsche Bank Securities, UBS Investment Bank, Goldman Sachs, Barclays, Credit Suisse, J.P. Morgan |
| Finwise Bancorp | FINW | $10.00-$12.00 | 3.5 million | 11/19/2021 | Piper Sandler |
| First Data Corporation | FDC | $18.00-$20.00 | 160 million | 10/15/2015 | Citigroup, Morgan Stanley, BofA Merrill Lynch, KKR, Barclays, Credit Suisse, Deutsche Bank Securities, Goldman Sachs & Co., HSBC, Mizuho Securities, PNC Capital Markets LLC, SunTrust Robinson Humphrey, Wells Fargo Securities |
| First Hawaiian, Inc. | FHB | $21.00-$23.00 | 21.1 million | 8/4/2016 | Goldman Sachs & Co., BofA Merrill Lynch, BNP PARIBAS, Barclays, Credit Suisse, Deutsche Bank Securities, J.P. Morgan, Citigroup, Morgan Stanley, UBS Investment Bank |
| First NBC Bank Holding | NBCB | $22.00-$26.00 | 4.2 million | 5/10/2013 | Sandler O' Neill + Partners LP, Keefe Bruyette & Woods |
| First Western Financial, Inc. | MYFW | $19.00-$21.00 | 2 million | 7/19/2018 | Keefe Bruyette & Woods, Stephens, Sandler O' Neill |
| FirstCaribbean International Bank Limited | FCI | Postponed | Postponed | 0/0/0 | Barclays, UBS Investment Bank, CIBC Capital Markets |
| Five Oaks Investment Corp. | OAKS | $15.00-$15.00 | 8.84 million | 3/22/2013 | Barclays, Credit Suisse, UBS Investment Bank, Keefe Bruyette & Woods |
| Five Star Bancorp | FSBC | $18.00-$20.00 | 5.265 million | 5/5/2021 | Keefe,Bruyette & Woods |
| Flywire Corporation | FLYW | $22.00-$24.00 | 10.4 million | 5/26/2021 | Goldman Sachs, JP Morgan, Citigroup, BofA Securities |
| Focus Financial Partners Inc. | FOCS | $35.00-$39.00 | 16.2 million | 7/26/2018 | Goldman Sachs, BofA Merrill Lynch, KKR, BMO Capital, RBC Capital, SunTrust Robinson Humphrey |
| Fortress Transportation and Infrastructure Investors Ltd. | FTAI | $19.00-$21.00 | 20 million | 5/15/2015 | Citigroup, BofA Merrill Lynch, Barclays, Deutsche Bank Securities, UBS Investment Bank
|
| Futu Holdings Limited | FHL | $10.00-$12.00 | 7.5 million ADSs | 3/8/2019 | Goldman Sachs, UBS, Credit Suisse |
| FVCBankcorp, Inc. | FVCB | $19.00-$21.00 | 1.75 million | 9/14/2018 | Sandler O' Neill + Partners, Raymond James |
| FX Alliance, Inc. | FX | $13.50-$15.00 | 5.2 million | 2/9/2012 | BofA Merrill Lynch, Goldman Sachs, Citigroup, J.P. Morgan |
| Garrison Capital | GARS | $14.00-$16.00 | 5.33 million | 3/27/2013 | Baird, Oppenheimer & Co., William Blair & Co., Janney Montgomery Scott, Stephens Inc. |
| Gladstone Land Corporation | LAND | $15.00-$15.00 | 3.33 million | 1/29/2013 | Janney Montgomery Scott, JMP Securities |
| Golden Bull Limited | DNJR | $4.00-$4.50 | 1.55 million | 3/20/2018 | Viewtrade Securities |
| Goldman Sachs BDC, Inc. | GSBD | $20.00-$21.00 | 6 million | 3/18/2015 | BofA Merrill Lynch, Goldman Sachs & Co., Morgan Stanley, Citigroup, Credit Suisse, Wells Fargo Securities |
| Great Ajax Corp. | AJX | $15.00-$17.00 | 5 million | 2/13/2015 | FBR, Sterne Agee, Nomura |
| Great Western Bancorp | GWB | $21.00-$24.00 | 16 million | 10/15/2014 | Deutsche Bank Securities, BofA Merrill Lynch |
| Green Bancorp, Inc. | GNBC | $15.00-$17.00 | 4.7 million | 8/8/2014 | Sandler O' Neill + Partners LP, Jefferies |
| Grupo Supervielle S.A. | SUPV | $11.00-$13.00 | 25.5 million ADS | 5/19/2016 | Morgan Stanley, BofA Merrill Lynch |
| Guaranty Bancshares | GNTY | $26.00-$28.00 | 2 million | 5/9/2017 | Sandler O' Neill + Partners, Stephens Inc. |
| Hamilton Lane Incorporated | HLNE | $15.00-$17.00 | 11.9 million | 3/1/2017 | J.P. Morgan, Morgan Stanley |
| Hannon Armstrong Sustainable Infrastructure Capital | HASI | $14.00-$16.00 | 3 million | 4/18/2013 | BofA Merrill Lynch, Deutsche Bank Securities, Morgan Stanley |
| Hanover Bancorp, Inc | HNVR | $21.00-$23.00 | 1.3 million | 5/11/2022 | Stephens Inc., Piper Sandler |
| Harvest Capital Credit | HCAP | $14.50-$15.50 | 3.4 Million | 5/3/2013 | Keefe Bruyette & Woods, JMP Securities, William Blair |
| HBT Financial, Inc. | HBT | $17.00-$19.00 | 8.3 million | 10/11/2019 | Keefe Bruyette & Woods, JP Morgan |
| Health Insurance Innovations | HIIQ | $14.00-$16.00 | 4.67 million | 2/8/2013 | Credit Suisse, Citigroup, BofA Merrill Lynch |
| Heritage Insurance Holding, Inc., | HRTG | $14.00-$16.00 | 6 million | 5/23/2014 | Citigroup |
| Home Loan Servicing Solutions, Ltd. | HLSS | $14.00-$16.00 | 13.33 million | 2/29/2012 | Wells Fargo Securities, Barclays Capital, Citigroup, Deutsche Bank Securities |
| HomeStreet, Inc. | HMST | $43.00-$45.00 | 1.3 million | 2/10/2012 | FBR |
| Houlihan Lokey, Inc. | HLI | $22.00-$24.00 | 10.5 million | 8/13/2015 | BofA Merrill Lynch, Goldman Sachs & Co.
|
| Hunting Dog Capital Corp. | HDCC | Postponed | Postponed | 0/0/0 | Joseph Gunnar & Co. |
| Independence Realty Trust | IRT | $10.00-$11.00 | 4 million | 8/13/2013 | Ladenburg Thalmann, William Blair, JMP Securities, Compass Point |
| Independent Bank Group | IBTX | $24.00-$26.00 | 3.2 million | 4/3/2013 | Sandler O' Neill + Partners LP, Evercore, Keefe Bruyette & Woods |
| InfraREIT, Inc. | HIFR | $19.00-$21.00 | 20 million | 1/30/2015 | BofA Merrill Lynch, Citigroup
|
| ING U.S., Inc. | VOYA | $21.00-$24.00 | 65.2 million | 5/2/2013 | Morgan Stanley, Goldman Sachs & Co., Citigroup, BofA Merrill Lynch, Credit Suisse, Deutsche Bank Securities, J.P. Morgan
|
| Innovative Industrial Properties | IIPR | $20.00-$20.00 | 3.35 million | 12/1/2016 | Ladenburg Thalmann, Compass Point |
| Intercorp Financial Services Inc. | IFS | $44.00-$50.00 | 9 million | 7/19/2019 | BofA Merrill Lynch, JP Morgan, Itau BBA, Inteligo SAB |
| Investar Holding Corporation | ISTR | $15.00-$17.00 | 2.87 million | 7/1/2014 | Sandler O' Neill + Partners LP, Sterne Agee |
| James River Group Holdings | JRVR | $22.00-$24.00 | 11 million | 12/12/2014 | Keefe, UBS Investment Company, FBR, BMO Capital Markets |
| JAVELIN Mortgage Investment | JMI | $20.00-$20.00 | 7.25 million | 10/3/2012 | Deutsche Bank Securities, Citigroup, Barclays, Credit Suisse |
| Jernigan Capital | JCAP | $19.00-$21.00 | 5 million | 3/27/2015 | Raymond James, Baird, Wunderlich Securities |
| JGWPT Holdings Inc. | JGW | $15.00-$17.00 | 9.75 million | 11/8/2013 | Barclays Capital, Credit Suisse, Deutsche Bank Securities, Jefferies, Keefe Bruyette & Woods |
| Jianpu Technology Inc. | JT | $8.50-$10.50 | 22.5 million ADSs | 11/16/2017 | Goldman Sachs (Asia), Morgan Stanley, J.P. Morgan |
| Jiayin Group Inc. | JFIN | $10.50-$12.50 | 3.5 million ADSs | 5/10/2019 | Roth Capital, Shenwan Hongyuan Securities
|
| Ladder Capital Corp | LADR | $16.00-$18.00 | 13.25 million | 2/6/2014 | Deutsche Bank Securities, Citigroup, Wells Fargo Securities, BofA Merrill Lynch, J.P. Morgan |
| Landmark Apartment Trust | LAT | TBD | TBD | 0/0/0 | BofA Merrill Lynch, Citigroup |
| Leju Holdings Ltd. | LEJU | $10.00-$12.00 | 10.0 million | 4/17/2014 | Credit Suisse, J.P. Morgan |
| LendingClub Corporation | LC | $10.00-$12.00 | 57.7 million | 12/11/2014 | Morgan Stanley, Goldman Sachs & Co., Credit Suisse, Citigroup |
| Level One Bancorp | LEVL | $27.00-$29.00 | 1.2 million | 4/20/2018 | Raymond James, Keefe Bruyette & Woods |
| LexinFintech Holdings Ltd. | LX | $9.00-$11.00 | 12 million | 12/21/2017 | Goldman Sachs (Asia), BofA Merrill Lynch, Deutsche Bank Securities, China Renaissance |
| LinkBancorp Inc. | LNKB | $8.00-$9.50 | 4.575 million | 9/14/2022 | Stephens, Piper Sandler, DA Davidson |
| Live Oak Bancshares | LOB | $16.00-$18.00 | 4.8 million | 7/23/2015 | Sandler O' Neill + Partners LP, Keefe Bruyette & Woods, SunTrust Robinson Humphrey |
| loanDepot, Inc. | LDI | $19.00-$21.00 | 3.85 million | 2/11/2021 | Goldman Sachs, BofA Securities, Credit Suisse, Morgan Stanley, Barclays, Citigroup, Jefferies, UBS Investment Bank |
| Lufax Holding Ltd | LU | $11.50-$13.50 | 175 million ADSs | 10/30/2020 | Goldman Sachs, BofA Securities, UBS Investment Bank, HSBC, China PA Securities (Hong Kong) Company Limited, Morgan Stanley, CLSA. Jefferies |
| Luther Burbank Corporation | LBC | $10.50-$12.50 | 12.15 million | 12/8/2017 | Keefe Bruyette & Woods, Sandler O' Neill |
| Manning & Napier, Inc. | MN | Priced at $12.00 | 12.5 million | 11/18/2011 | BofA Merrill Lynch |
| Marex Group plc | MRX | $18.00-$21.00 | 15.4 million | 4/25/2024 | Barclays, Goldman Sachs, Jefferies, Keefe Bruyette & Woods, Citigroup, UBS Investment Bank, Piper Sandler, HSBC, Drexel Hamilton, Loop Capital Markets (Listed Alphabetically) |
| Markit Ltd. | MRKT | $23.00-$25.00 | 53.5 million | 6/19/2014 | BofA Merrill Lynch, Barclays, Citigroup, Credit Suisse, Deutsche Bank Securities, Goldman Sachs & Co., HSBC, J.P. Morgan, Morgan Stanley, UBS Investment Bank |
| MedEquities Realty Trust, Inc | MRT | $12.00-$14.00 | 19.9 million | 9/29/2016 | FBR, J.P. Morgan, Citigroup, KeyBanc Capital Markets
|
| Medley Management Inc. | MDLY | $20.00-$22.00 | 6 million | 9/24/2014 | Goldman Sachs, Credit Suisse, Barclays, Deutsche Bank, Keefe |
| Mercantil Bank Holding Corporation (Amerant) | AMTB | $16.50-$18.50 | 6.3 million | 12/19/2018 | Raymond James, Keefe Bruyette & Woods |
| Merchants Bancorp | MBIN | $17.00-$19.00 | 6.25 million | 10/27/2017 | Sandler O'Neill + Partners, Stephens Inc., Raymond James |
| Meridian Bank | MRBK | $17.00-$19.00 | 2.35 million | 11/7/2017 | Sandler O' Neill + Partners |
| MetroCity Bankshares Inc. | MCBS | $14.50-$16.50 | 1.9 million | 10/3/2019 | Keefe Bruyette & Woods, Raymond James |
| Metropolitan Bank Holding Corp. | MCB | $31.00-$34.00 | 3.1 million | 11/8/2017 | J.P. Morgan, Keefe Bruyette & Woods |
| MGM Growth Properties LLC | MGP | $18.00-$21.00 | 50 million | 4/20/2016 | BofA Merrill Lynch, J.P. Morgan, Morgan Stanley, Evercore ISI, Barclays, Citigroup, Deutsche Bank Securities |
| Midland States Bancorp | MSBI | $25.00-$27.00 | 3.6 million | 5/24/2016 | Sandler O' Neill + Partners LP, Keefe Bruyette & Woods |
| Moelis & Co. | MC | $26.00-$29.00 | 6.5 million | 4/16/2014 | Goldman Sachs, Morgan Stanley, Moelis & Co., J.P. Morgan, UBS Investment Bank |
| Monroe Capital Corporation | MRCC | $15.00-$15.00 | 5 million | 10/25/2012 | Baird, William Blair, Janney Montgomery Scott |
| Morgan Stanley Direct Lending Fund | MSDL | $20.67-$20.67 | 5.0 million | 1/24/2024 | Morgan Stanley, JP Morgan, Wells Fargo, Keefe Bruyette & Woods, Raymond James, RBC Capital, UBS Investment Bank |
| National Bank Holdings Corporation | NBHC | $20.00-$22.00 | 7.15 million | 9/20/2012 | Goldman Sachs, Keefe Bruyette & Woods |
| National Commerce Corporation | NCOM | $18.50-$20.50 | 1.7 million | 3/19/2015 | Keefe Bruyette & Woods |
| National Storage Affiliates Trust | NSA | $15.00-$17.00 | 20 million | 4/23/2015 | Jefferies, Morgan Stanley, Wells Fargo Securities |
| Nationstar Mortgage Holdings Inc. | NSM | $17.00-$19.00 | 16.7 million | 3/8/2012 | BofA Merrill Lynch, Citigroup, Credit Suisse, Wells Fargo Securities |
| Nordic Realty Trust | NORT | $15.00-$15.00 | 5 million | 0/0/0 | Wunderlich Securities |
| Nu Holdings Ltd. | NU | $8.00-$9.00 | 289.2 million | 12/9/2021 | Morgan Stanley, Goldman Sachs, Citigroup, NuInvest, Allen & Co., HSBC, UBS Investment Bank |
| Nuveen Churchill Direct Lending Corp. | NCDL | $18.05-$18.05 | 5.5 million | 1/25/2024 | BofA Securities, UBS Investment Bank, Morgan Stanley, Wells Fargo, Keefe Bruyette & Woods, JMP Securities, Truist Securities |
| Oaktree Capital Group | OAK | $43.00-$46.00 | 8.85 million | 4/12/2012 | Goldman Sachs & Co., Morgan Stanley, BofA Merrill Lynch, Credit Suisse, Deutsche Bank Securities, J.P. Morgan |
| OM Asset Management Limited | OMAM | $15.00-$17.00 | 22 million | 10/9/2014 | BofA Merrill Lynch, Morgan Stanley, Citigroup, Credit Suisse |
| On Deck Capital | ONDK | $16.00-$18.00 | 10 million | 12/17/2014 | Morgan Stanley, BofA Merrill Lynch, J.P. Morgan, Deutsche Bank Securities, Jefferies |
| OneConnect Financial Technology Co., Ltd. | OCFT | $12.00-$14.00 | 31.2 million ADSs | 12/13/2019 | Morgan Stanley, Goldman Sachs, J.P. Morgan, Ping An of China Securities, BofA Merrill Lynch, HSBC |
| OneStream, Inc. | OS | $17.00-$19.00 | 24.5 million | 7/24/2024 | Morgan Stanley, J.P. Morgan,, KKR, BofA Securities, Citigroup, Guggenheim Securities |
| Oportun Financial Corporation | OPRT | $15.00-$17.00 | 6.25 million | 9/26/2019 | Barclays, JP Morgan, Jefferies, Keefe Bruyette & Woods |
| Opus Bank | OPB | $31.00-$34.00 | 5.126 million | 4/16/2014 | J.P. Morgan, Credit Suisse,Sandler O' Neill + Partners LP, and Keefe, Bruyette & Woods |
| Orange County Bancorp, Inc. | OBT | $32.00-$35.00 | 1 million | 8/5/2021 | Piper Sandler, Stephens |
| Orchid Island Capital, Inc. | ORC | $14.00-$16.00 | 2.36 million | 2/14/2013 | Ladenburg Thalmann, Oppenheimer & Co |
| Origin Bancorp, Inc. | OBNK | $33.00-$35.00 | 3.6 million | 5/9/2018 | Stephens Inc., Raymond James |
| Owl Rock Capital Corporation | ORCC | $15.30-$16.30 | 10 million | 7/18/2019 | Goldman Sachs, BofA Merrill Lynch, RBC Capital, SunTrust Robinson, Wells Fargo, Credit Suisse, Deutsche Bank, JMP Securities, Keefe Bruyette & Woods, Morgan Stanley, Raymond James SOCIETE GENERALE |
| P10, Inc. | PX | $14.00-$16.00 | 20 million | 10/21/2021 | Morgan Stanley, J.P. Morgan, Barclays |
| Pacific City Financial Corporation | PCB | $20.00-$22.00 | 2.4 million | 8/10/2018 | Keefe Bruyette & Woods, Raymond James, Sandler O' Neill |
| PagSeguro Digital Ltd. | PAGS | $17.50-$20.50 | 105.4 million | 1/24/2018 | Goldman Sachs & Co., Morgan Stanley, BofA Merrill Lynch, Bradesco BBI, Credit Suisse, Deutsche Bank Securities, Itau BBA, J.P. Morgan |
| Paramount Group | PGRE | $16.00-$19.00 | 131 million | 11/19/2014 | BofA Merrill Lynch, Morgan Stanley, Wells Fargo Securities, Deutsche Bank Securities |
| Patria Investments Limited | PAX | $14.00-$16.00 | 30.09 million | 1/22/2021 | JP Morgan, BofA Securities, Credit Suisse, Goldman Sachs |
| PennyMac Financial Services, Inc. | PFSI | $17.00-$19.00 | 11.1 million | 5/9/2013 | Citigroup, BofA Merrill Lynch, Credit Suisse, Goldman Sachs & Co. |
| People's Utah Bancorp | PUB | $13.00-$15.00 | 2.5 million | 6/11/2015 | D.A. Davidson & Co. |
| Physicians Realty Trust | DOC | $11.50-$13.50 | 9 million | 9/9/2014 | BofA Merrill Lynch, KeyBanc Capital Markets, Wunderlich Securities, BMO, Stifel, RBC Capital Markets, Oppenheimer & Co., Janney Montgomery Scott |
| PPDAI Group Inc. | PPDF | $16.00-$19.00 | 17 million ADSs | 11/10/2017 | Credit Suisse, Citigroup |
| Preferred Apartment Communities, Inc. | APTS | $10.00-$10.00 | 4.5 million | 3/31/2011 | Wunderlich Securities, Anderson & Strudwick |
| Preston Hollow Community Capital, Inc. | PHCC | Postponed | Postponed | 7/29/2021 | JP Morgan, UBS Investment Bank, Piper Sandler |
| Professional Holding Corp. | PFHD | $19.00-$21.00 | 3.1 million | 2/7/2020 | Stephens Inc., Keefe, Bruyette & Woods |
| QIWI plc | QIWI | $16.00-$18.00 | 12.5 million | 5/3/2013 | J.P. Morgan, Credit Suisse |
| QTS Realty Trust | QTS | $27.00-$30.00 | 12.25 million | 10/9/2013 | Goldman Sachs, Jefferies, BofA Merrill Lynch, Deutsche Bank Securities, KeyBanc Capital Markets, Morgan Stanley |
| Qudian Inc. | QD | $19.00-$22.00 | 37.5m ADSs | 10/18/2017 | Morgan Stanley, Credit Suisse, Citigroup, CICC, UBS Investment Bank |
| RBB Bancorp | RBB | $22.00-$24.00 | 3.75 million | 7/26/2017 | Sandler O'Neill & Partners, Keefe, Bruyette & Woods, Stephens Inc. |
| RCS Capital Corporation | RCAP | $19.00-$21.00 | 20 million | 6/5/2013 | JMP Securities, Ladenburg Thalmann |
| Red River Bancshares, Inc. | RRBI | $42.00-$46.00 | 0.6 million | 5/3/2019 | FIG Partners, Stephens Inc. |
| Regional Management Corporation | RM | $17.00-$19.00 | 4.2 million | 3/28/2012 | Jefferies, Stephens Inc. |
| Retail Properties of America, Inc. | RPAI | $10.00-$12.00 | 31.8 million | 4/5/2012 | J.P. Morgan, Citigroup, Deutsche Bank Securities, Keybank Capital Markets |
| Reverse Mortgage Investment Trust | RMIT | TBD | Withdrawn | 0/0/0 | Credit Suisse, Barclays, FBR, UBS Investment Bank, Nomura, Wells Fargo Securities |
| Rexford Industrial Realty, Inc. | REXR | $13.00-$15.00 | 16 million | 7/19/2013 | BofA Merrill Lynch, Wells Fargo Securities, FBR, J.P. Morgan |
| Robinhood Markets, Inc | HOOD | $38.00-$42.00 | 55 million | 7/29/2021 | Goldman Sachs, JP Morgan, Barclays, Citigroup, Wells Fargo, Mizuho Securities |
| Rocket Companies, Inc. | RKT | $20.00-$22.00 | 100 million | 8/6/2020 | Goldman Sachs, Morgan Stanley, Credit Suisse, J.P. Morgan, RBC Capital Markets, Allen & Co., BofA Securities, Barclays, Citigroup, UBS Investment |
| Samoyed Holding Limited | SMY | Withdrawn | Withdrawn | 0/0/0 | Morgan Stanley, Deutsche Bank, CICC |
| Santander Consumer USA Holdings | SC | $22.00-$24.00 | 75 million | 1/23/2014 | Citigroup, J.P. Morgan, BofA Merrill Lynch, Deutsche Bank Securities, Santander, Barclays, Goldman Sachs, Morgan Stanley, RBC Capital Markets, BMO Capital Markets, Credit Suisse, UBS Investment Bank, Wells Fargo Securities |
| Select Income REIT | SIR | $21.00-$23.00 | 8 million | 3/7/2012 | Morgan Stanley, BofA Merrill Lynch, Wells Fargo Securities, Citigroup, RBC Capital Markets, UBS Investment Bank |
| Senmiao Technology Limited | AIHS | $4.00-$4.50 | 3 million | 3/16/2018 | Viewtrade Securities |
| ServisFirst Bancshares Inc., | SFBS | $91.00-$93.00 | 0.625 million | 5/14/2014 | Sandler O' Neill + Partners LP |
| Silver Bay Realty Trust | SBY | $18.00-$20.00 | 13.25 million | 12/14/2012 | Credit Suisse, BofA Merrill Lynch, J.P. Morgan |
| Silvercrest Asset Management Group | SAMG | $11.00-$13.00 | 4.8 million | 6/27/2013 | Sandler O' Neill + Partners LP, Raymond James |
| Silvergate Capital Corporation | SI | $13.00-$15.00 | 3.33 million | 11/7/2019 | Barclays, Keefe Bruyette & Woods, Sandler O'Neill + Partners, Compass Point |
| Sound Point Meridian Capital Inc. | SPMC | $20.00-$20.00 | 4 million | 6/14/2024 | Oppenheimer, B.Riley Securities, Janney Montgomery Scott, Piper Sandler |
| South Plains Financial, Inc. | SPFI | $17.50-$19.50 | 3.4 million | 5/9/2019 | Keefe Bruyette & Woods, Sandler O' Neill |
| Southern States Bancshares, Inc. | SSBK | $19.00-$21.00 | 2 million | 8/12/2021 | Keefe Bruyette & Woods, Truist Securities
|
| Spirit of Texas Bancshares, Inc. | STXB | $20.00-$22.00 | 2 million | 5/4/2018 | Stephens Inc., Keefe Bruyette & Woods |
| Spirit Realty Capital | SRC | $16.00-$18.00 | 29 million | 9/20/2012 | Morgan Stanley, Macquarie Capital, UBS Investment Bank, Deutsche Bank Securities, RBC Capital Markets |
| Springleaf Holdings | LEAF | $15.00-$17.00 | 21.1 million | 10/16/2013 | BofA Merrill Lynch, Citigroup, Credit Suisse, Barclays Capital, Allen & Co. |
| Sprott Physical Platinum and Palladium Trust | SPPP | $10.00-$10.00 | 28 million | 12/19/2012 | Morgan Stanley, RBC Capital Markets, BofA Merrill Lynch, UBS Investment Bank |
| Square 1 Financial | SQBK | $15.00-$17.00 | 5.8 million | 3/27/2014 | Sandler O' Neill + Partners LP, Keefe, Bruyette & Woods |
| StepStone Group Inc. | STEP | $15.00-$17.00 | 17.5 million | 9/16/2020 | J.P. Morgan, Goldman Sachs, Morgan Stanley, Barclays, UBS Investment Bank |
| Sterling Bancorp, Inc. | SBT | $12.00-$14.00 | 15 million | 11/17/2017 | Sandler O' Neill + Partners |
| StoneCastle Financial | BANX | $25.00-$25.00 | 4.4 million | 11/7/2013 | Keefe, Bruyette & Woods, Baird, Oppenheimer & Co. |
| Stonegate Mortgage Corporation | SGM | $20.00-$22.00 | 7.1 million | 10/10/2013 | BofA Merrill Lynch, Credit Suisse, Barclays Capital, FBR |
| Store Capital Corporation | STOR | $17.00-$19.00 | 27.5 million | 11/18/2014 | Goldman Sachs & Co., Credit Suisse, Morgan Stanley |
| Sutherland Asset Management | SLD | TBD | TBD | 0/0/0 | TBD |
| Synchrony Financial | SYF | $23.00-$26.00 | 125 million | 7/31/2014 | Goldman Sachs, J.P. Morgan, Citigroup, Morgan Stanley, Barclays, BofA Merrill Lynch, Credit Suisse, Deutsche Bank Securities |
| Talmer Bancorp | TLMR | $12.50-$14.50 | 15.6 million | 2/12/2014 | Keefe, Bruyette & Woods, J.P. Morgan |
| TCP Capital Corporation | TCPC | $14.75-$14.75 | 5.75 million | 4/4/2012 | Deutsche Bank Securities, Stifel, Oppenheimer & Co. |
| The Bank of N.T. Butterfield & Son | NTB | $22.00-$25.00 | 10.6 million | 9/16/2016 | Goldman Sachs & Co., Citigroup, Sandler O' Neill + Partners LP |
| Third Coast Bancshares, Inc | TCBX | $24.00-$26.00 | 3.5 million | 11/9/2021 | Stephens Inc., Piper Sandler, Deutsche Bank Securities |
| TPG Inc. | TPG | $28.00-$31.00 | 33.9 million | 1/13/2022 | J.P. Morgan, Goldman Sachs, Morgan Stanley, TPG Capital, BofA Securities, Citigroup, Deutsche Bank Securities, Evercore ISI, UBS Investment Bank, Wells Fargo Securities, BMO Capital Markets, Barclays |
| TPG RE Finance Trust, Inc. | TRTX | $20.00-$21.00 | 11 million | 7/20/2017 | BofA Merrill Lynch, Citigroup, Goldman Sachs & Co., Wells Fargo Securities, Deutsche Bank Securities, J.P. Morgan, Morgan Stanley, Barclays
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| TPG Specialty Lending, Inc. | TSLX | $16.00-$17.00 | 7 million | 3/21/2014 | J.P. Morgan, BofA Merrill Lynch, Goldman Sachs, Citigroup, Wells Fargo Securities, Barclays |
| Tradeweb Markets Inc. | TW | $24.00-$26.00 | 40 million | 4/4/2019 | JP Morgan, Citigroup, Goldman Sachs, Morgan Stanley, BofA Merrill Lynch, Barclays, Credit Suisse, Deutsche Bank Securites, UBS Investment Bank, Wells Fargo Securities |
| Transfirst, Inc. | TF | TBD | TBD | 0/0/0 | Goldman Sachs & Co., J.P. Morgan, Credit Suisse,Barclays, Deutsche Bank Securities, Citigroup, Jefferies, RBC Capital Markets, Wells Fargo Securities |
| TransUnion | TRU | $21.00-$23.00 | 29.5 million | 6/25/2015 | Goldman Sachs & Co., J.P. Morgan, BofA Merrill Lynch, Deutsche Bank Securities, RBC Capital Markets, Wells Fargo Securities, Credit Suisse |
| Trean Insurance Group, Inc. | TIG | $13.00-$15.00 | 10.7 million | 7/16/2020 | J.P. Morgan, Evercore ISI, William Blair |
| Trinity Capital Inc. | TRIN | $13.50-$15.50 | 7.375 million | 1/29/2021 | Keefe, Bruyette & Woods, Wells Fargo, UBS Investment Bank |
| TriplePoint Venture Growth BDC Corp. | TPVG | $15.00-$15.00 | 8.33 million | 3/6/2014 | Morgan Stanley, Wells Fargo, Goldman Sachs, Credit Suisse, UBS Investment Bank |
| TriState Capital Holdings | TSC | $10.50-$12.50 | 5.7 million | 5/9/2013 | Stephens, Inc., Keefe Bruyette & Woods, Baird |
| Triumph Bancorp | TBK | $14.00-$16.00 | 6.7 million | 11/7/2014 | Sandler O' Neill + Partners LP, Evercore, Wells Fargo |
| U.S. Century Bank | USCB | $10.00-$12.50 | 4 million | 7/23/2021 | Keefe Bruyette & Woods |
| UP Fintech Holding Limited | TIGR | $5.00-$7.00 | 13 million ADSs | 3/20/2019 | Citigroup, Deutsche Bank |
| Upstart Holdings, Inc. | UPST | $20.00-$22.00 | 12.01 million | 12/16/2020 | Goldman Sachs, BofA Securities, Citigroup, Jefferies, Barclays |
| Velocity Financial, LLC | VEL | $14.00-$16.00 | 7.25 million | 1/17/2020 | Wells Fargo, Citigroup, JMP Securities |
| Veritex Holdings | VBTX | $12.00-$14.00 | 2.7 million | 10/9/2014 | Sandler O' Neill + Partners LP, Stephens Inc. |
| Victory Capital Holdings, Inc. | VCTR | $17.00-$19.00 | 11.7 million | 2/8/2018 | J.P. Morgan, BofA Merrill Lynch, Morgan Stanley, Barclays, Goldman Sachs & Co., RBC Capital Markets |
| Vinci Partners Investments Ltd. | VINP | $16.00-$18.00 | 13.9 million | 1/28/2021 | J.P. Morgan, Goldman Sachs, BTG Pactual |
| Virtu Financial, Inc. | VIRT | $17.00-$19.00 | 16.5 million | 4/16/2015 | Goldman Sachs, J.P. Morgan,Sandler O' Neill + Partners LP |
| Waystar Holding Corp | WAY | $20.00-$23.00 | 45 million | 6/7/2024 | J.P. Morgan, Goldman Sachs, Barclays, William Blair, Evercore ISI, BofA Securities, RBC Capital Markets, Deutsche Bank |
| Weidai Ltd. | WEI | $9.00-$11.00 | 4.5 million ADSs | 11/15/2018 | Morgan Stanley, Credit Suisse, Citigroup |
| Western Asset Mortgage Capital | WMC | $20.00-$20.00 | 8 million | 5/10/2012 | Deutsche Bank Securities, J.P. Morgan, Citigroup, Jefferies |
| WhiteHorse Finance, Inc. | WHF | $15.00-$15.00 | 6.66 million | 12/5/2012 | Deutsche Bank Securities, J.P. Morgan, Citigroup, Barclays Capital |
| X Financial | XYF | $9.00-$11.00 | 11 million ADSs | 9/19/2018 | Deutsche Bank, Morgan Stanley |
| Xoom | XOOM | $13.00-$15.00 | 6.325 million | 2/15/2013 | Barclays Capital, Needham & Co. |
| XP, Inc. | XP | $22.00-$25.00 | 72.5 million | 12/11/2019 | Goldman Sachs, JP Morgan, Morgan Stanley, XP Investments, Itau BBA, BofA Merrill Lynch, Citigroup, Credit Suisse, UBS Investment Bank |
| Yintech Investment Holding | YIN | $12.50-$14.50 | 7.5 million ADSs | 4/27/2016 | Jefferies |
| Yirendai Ltd. | YRD | $9.00-$11.00 | 7.5 million | 12/18/2015 | Morgan Stanley, Credit Suisse, China Renaissance |
| YX Asset Recovery Limited | YXR | Postponed | Postponed | 0/0/0 | Deutsche Bank, CMBI, Raymond James, AMTD Global, SunTrust Robinson Humphrey |
| ZAIS Financial | ZFC | $21.25-$21.25 | 5.7 million | 2/8/2013 | Deutsche Bank Securities, Citigroup, Barclays Capital, Credit Suisse |
