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| COMPANY | SYMBOL | TYPE | PRICE | Shares | Trade Date | UNDERWRITER (S) |
| AFC Gamma, Inc. | AFCG | IPO | $19.00-$19.00 | 6.25 million | 3/19/2021 | JMP Securities, Ladenburg Thalmann, Seaport Global |
| Aldagen | ALDH | IPO | TBD | TBD | 0/0/0 | Boenning & Scattergood, Ladenburg Thalmann & Co. |
| Axsome Therapeutics | AXSM | IPO | $11.00-$13.00 | 5.6 million | 11/19/2015 | Ladenburg Thalmann |
| Eyenovia, Inc. | EYEN | IPO | $10.00-$12.00 | 2.73 million | 1/25/2018 | Ladenburg Thalmann, Roth Capital Partners |
| FriendFinder Networks, Inc. | FFN | IPO | Priced at $10.00 | 5 million | 5/11/2011 | Imperial Capital, Ladenburg Thalmann & Co. |
| Immunome Inc. | IMNM | IPO | $11.00-$13.00 | 3.25 million | 10/2/2020 | Ladenburg Thalmann, Chardan |
| Independence Realty Trust | IRT | IPO | $10.00-$11.00 | 4 million | 8/13/2013 | Ladenburg Thalmann, William Blair, JMP Securities, Compass Point |
| Innovative Industrial Properties | IIPR | IPO | $20.00-$20.00 | 3.35 million | 12/1/2016 | Ladenburg Thalmann, Compass Point |
| Krystal Biotech, Inc. | KRYS | IPO | $9.00-$11.00 | 3.96 million | 9/20/2017 | Ladenburg Thalmann |
| Muni Funding Company of America | MUNF | IPO | TBD | TBD | 0/0/0 | Ladenburg Thalmann |
| Nuvo Group Ltd. | NUVO | IPO | TBD | TBD | 0/0/0 | Cantor, Berenberg, Ladenburg Thalmann |
| Orchid Island Capital, Inc. | ORC | IPO | $14.00-$16.00 | 2.36 million | 2/14/2013 | Ladenburg Thalmann, Oppenheimer & Co |
| RCS Capital Corporation | RCAP | IPO | $19.00-$21.00 | 20 million | 6/5/2013 | JMP Securities, Ladenburg Thalmann |
| Union Acquisition Corp | LTN.U | IPO | $10.00-$10.00 | 10 million | 2/28/2018 | Ladenburg Thalmann, Brookline Capital Markets |
| Zosano Pharma Corporation | ZSAN | IPO | $10.00-$12.00 | 4.5 million | 1/27/2015 | Ladenburg Thalmann, Roth Capital Partners |
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