| COMPANY | SYMBOL | TYPE | PRICE | Shares | Trade Date | UNDERWRITER (S) |
| Abpro Corporation | ABP | IPO | Withdrawn | Withdrawn | 5/11/2018 | UBS Investment Bank, Wells Fargo Securities, Nomura, Oppenheimer & Co. |
| Adesto Technologies Corporation | IOTS | IPO | $5.00-$5.00 | 5 million | 10/27/2015 | Needham & Co., Oppenheimer & Co. |
| ADMA Biologics | ADMA | IPO | $8.50-$9.50 | 3.35 million | 10/17/2013 | Oppenheimer & Co., BMO Capital Markets |
| Anchiano Therapeutics Ltd. | ANCN | IPO | $14.55-$14.55 | 2.65 million ADSs | 2/12/2019 | Oppenheimer & Co. |
| Avenue Therapeutics, Inc. | ATXI | IPO | $5.00-$7.00 | 5.5 million | 6/27/2017 | Oppenheimer & Co. |
| Bio Blast Pharma Ltd. | ORPN | IPO | $11.00-$13.00 | 3.2 million | 7/31/2014 | Oppenheimer & Co., Roth Capital Partners |
| City Office REIT, Inc. | CIO | IPO | $14.00-$16.00 | 5.8 million | 4/15/2014 | Janney Montgomery Scott, Wunderlich Securities, Oppenheimer & Co. |
| Clearwater Analytics Holdings, Inc. | CWAN | IPO | $14.00-$16.00 | 30 million | 9/24/2021 | Goldman Sachs, J.P. Morgan, Morgan Stanley, Credit Suisse, RBC Capital, Wells Fargo Securities, Oppenheimer & Co., Piper Sandler, William Blair |
| CM Finance | CMFN | IPO | $15.00-$15.00 | 6.7 million | 2/6/2014 | Raymond James, Keefe, Bruyette & Woods, Oppenheimer & Co. |
| Corporacion America Airports S.A. | CAAP | IPO | $19.00-$23.00 | 28.6 million | 2/1/2018 | Oppenheimer & Co., BofA Merrill Lynch, Citigroup, Goldman Sachs & Co. |
| Dipexium Pharmaceuticals, LLC | DPRX | IPO | $12.00-$14.00 | 2.75 million | 3/13/2014 | Oppenheimer & Co., Feltl & Co. |
| Erickson Air-Crane | EAC | IPO | $8.00-$9.00 | 4.8 million | 4/11/2012 | Stifel Nicolaus Weisel, Oppenheimer & Co., Lazard Capital Markets |
| Gain Therapeutics, Inc. | GANX | IPO | $10.00-$12.00 | 3.6 million | 3/18/2021 | BTIG, Oppenheimer |
| Garrison Capital | GARS | IPO | $14.00-$16.00 | 5.33 million | 3/27/2013 | Baird, Oppenheimer & Co., William Blair & Co., Janney Montgomery Scott, Stephens Inc. |
| Global Medical REIT | GMRE | IPO | $10.00-$12.00 | 9.1 million | 6/29/2016 | Wunderlich, Oppenheimer & Co. |
| GSE Holding | GSE | IPO | $8.00-$10.00 | 7 million | 2/10/2012 | Oppenheimer & Co., FBR |
| HomeSmart Holdings, Inc. | HS | IPO | Withdrawn | Withdrawn | 0/0/0 | JP Morgan, BofA Securities, Stifel, Oppenheimer & Co, DA Davidson, Stephens Inc.
|
| Marlin Midstream Partners, LP | FISH | IPO | $19.00-$21.00 | 6.87 million | 7/26/2013 | Stifel Nicolaus Weisel, Baird, Oppenheimer & Co. |
| MDxHealth, Inc. | MDXH | IPO | $13.46-$13.46 | 3.75 million ADSs | 11/4/2021 | Piper Sandler, Oppenheimer & Co. |
| Milestone Pharmaceuticals Inc. | MIST | IPO | $14.00-$16.00 | 5.5 million | 5/9/2019 | Jefferies, Cowen, Piper Jaffray, Oppenheimer & Co. |
| Motus GI Holdings, Inc. | MOTS | IPO | $5.00-$7.00 | 3.5 million | 2/14/2018 | Piper Jaffray, Oppenheimer & Co. |
| Nano-X Imaging Ltd. | NNOX | IPO | $16.00-$18.00 | 9.2 million | 8/21/2020 | Cantor, Oppenheimer & Co., Berenberg, CIBC Capital Markets
|
| Newsummit Biopharma Holdings | NSB | IPO | TBD | TBD | 0/0/0 | Oppenheimer & Co., Cowen & Co. |
| NEXX Systems | NEXX | IPO | $5.50-$7.00 | 7 million | 0/0/0 | Needham & Co., LLC, Oppenheimer & Co. |
| Orchid Island Capital, Inc. | ORC | IPO | $14.00-$16.00 | 2.36 million | 2/14/2013 | Ladenburg Thalmann, Oppenheimer & Co |
| PermRock Royalty Trust | PRT | IPO | $19.00-$21.00 | 6.25 million trust units | 5/2/2018 | Wells Fargo Securities, Goldman Sachs & Co., UBS Investment Bank, Deutsche Bank Securities, Jefferies, Stifel, Oppenheimer & Co. |
| Physicians Realty Trust | DOC | IPO | $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 |
| Plymouth REIT | PLYM | IPO | $19.00-$21.00 | 3.75 million | 6/9/2017 | D.A. Davidson, BB&T Capital Markets, Oppenheimer & Co. |
| Qualtrics International Inc. | XM | IPO | $27.00-$29.00 | 50.4 million | 1/28/2021 | Morgan Stanley, J.P. Morgan, BofA Securities, Barclays, Deutsche Bank Securities, Goldman Sachs, HSBC, Citigroup, BMO Capital Markets, Truist Securities, Canaccord Genuity, Evercore ISI, JMP Securities, Oppenheimer & Co., Piper Sandler, Raymond James, William Blair |
| Samba TV, Inc. | SMBA | IPO | Withdrawn | WIthdrawn | 0/0/0 | BofA Securities, Evercore ISI, Oppenheimer & Co |
| StoneCastle Financial | BANX | IPO | $25.00-$25.00 | 4.4 million | 11/7/2013 | Keefe, Bruyette & Woods, Baird, Oppenheimer & Co. |
| Sweetgreen, Inc. | SG | IPO | $23.00-$25.00 | 13 million | 11/18/2021 | Goldman Sachs, J.P. Morgan, Allen & Co., Morgan Stanley, Citigroup, Cowen, Oppenheimer & co., RBC Capital, William Blair |
| Taylor & Martin Group | TMG | IPO | $8.00-$10.00 | 19 million | 0/0/0 | Canaccord Genuity, Oppenheimer & Co., KeyBanc Capital Markets, Stephens Inc. |
| TCP Capital Corporation | TCPC | IPO | $14.75-$14.75 | 5.75 million | 4/4/2012 | Deutsche Bank Securities, Stifel, Oppenheimer & Co. |
| TetraLogic Pharmaceuticals | TLOG | IPO | $7.00-$7.00 | 7.2 million | 12/12/2013 | Oppenheimer & Co., Guggenheim Securities, Needham & Co. |
| Vaccinex, Inc. | VCNX | IPO | $12.00-$15.00 | 3.3 million | 8/9/2018 | Oppenheimer & Co., BTIG |
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