| COMPANY | SYMBOL | TYPE | PRICE | Shares | Trade Date | UNDERWRITER (S) |
| GWG Holdings, Inc | GWGH | IPO | Priced at $12.50 | 800 K | 9/19/2014 | Newport Coast Securities, Axiom Capital Management, Newbridge Securities Corporation |
| Monster Digital | MSDI | IPO | $4.50-$6.00 | 2.3 million | 7/8/2016 | Axiom Capital Management |
| Wowo Limited | WOWO | IPO | Priced at $10.00 | 4 million | 4/8/2015 | Axiom Capital Management |
| Yulong Eco-materials Ltd. | YECO | IPO | $6.25-$7.25 | 2.25 million | 6/26/2015 | Axiom Capital Management, Inc.,Northland Capital Markets, ViewTrade Securities |