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| COMPANY | SYMBOL | TYPE | PRICE | Shares | Trade Date | UNDERWRITER (S) |
| A.S.V., LLC | ASV | IPO | $8.00-$10.00 | 3.8 million | 5/12/2017 | Roth Capital Partners |
| ACM Research, Inc. | ACMR | IPO | $7.50-$9.50 | 2 million | 11/3/2017 | Roth Capital Partners |
| AgEagle Aerial Systems | UAVSU | IPO | $4.25-$4.25 | 2.75 million | 0/0/0 | Northland Capital Markets, Roth Capital Partners |
| Bio Blast Pharma Ltd. | ORPN | IPO | $11.00-$13.00 | 3.2 million | 7/31/2014 | Oppenheimer & Co., Roth Capital Partners |
| Boqii Holding Limited | BQ | IPO | $10.00-$12.00 | 7 million ADSs | 9/30/2020 | Roth Capital Partners, CMBI, Valuable Capital Limited |
| Digital Domain Media Group, Inc. | DDMG | IPO | $10.00-$12.00 | 5.5 million | 11/18/2011 | Roth Capital Partners, Morgan Joseph TriArtisan |
| Eyenovia, Inc. | EYEN | IPO | $10.00-$12.00 | 2.73 million | 1/25/2018 | Ladenburg Thalmann, Roth Capital Partners |
| iClick Interactive Asia Group Limited | ICLK | IPO | $8.00-$9.00 | 3.75 million | 12/22/2017 | Roth Capital Partners, Shenwan Hongyuan Securities |
| iRadimed Inc. | IRMD | IPO | $5.00-$6.00 | 2.02 million | 7/16/2014 | Roth Capital Partners |
| NV5 Holdings | NVEEU | IPO | $5.00-$7.00 | 1.4 million | 3/27/2013 | Roth Capital Partners |
| One Stop Systems, Inc. | OSS | IPO | $6.00-$8.00 | 3.8 million | 2/1/2018 | Roth Capital Partners |
| PCI Media, Inc. | PCIM | IPO | TBD | TBD | 0/0/0 | Roth Capital Partners |
| PhaseRx, Inc. | PZRX | IPO | $5.00-$7.00 | 3.7 million | 5/18/2016 | Laidlaw & Co., Roth Capital Partners |
| Polar Power | POLA | IPO | $7.00-$8.00 | 2.4 million | 12/7/2016 | Roth Capital Partners, Joseph Gunnar & Co. |
| Quhuo Limited | QH | IPO | $9.00-$11.00 | 3.3 million ADSs | 7/10/2020 | Roth Capital Partners, Valuable Capital Limited, Tiger Brokers |
| SenesTech, Inc. | SNES | IPO | $12.00-$14.00 | 1.875 million | 12/8/2016 | Roth Capital Partners |
| ShotSpotter, Inc. | SSTI | IPO | $10.00-$12.00 | 2.8 million | 6/7/2017 | Roth Capital Partners, Northland Capital Markets |
| Sky Solar Holdings | SKYS | IPO | $10.00-$12.00 | 5.5 million ADSs | 11/13/2014 | Roth Capital Partners, Northland Capital Markets |
| SolarCity Corporation | SCTY | IPO | $13.00-$15.00 | 11.5 million | 12/13/2012 | Goldman Sachs, Credit Suisse, BofA Merrill Lynch, Needham & Co., Roth Capital Partners |
| Superior Drilling Products | SDPI | IPO | $5.00-$7.00 | 6.75 million | 5/23/2014 | Roth Capital Partners |
| SynCardia Systems, Inc. | TAHT | IPO | $10.00-$12.00 | 2.5 million | 0/0/0 | Roth Capital Partners |
| Taggares Agriculture Corp. | TAG | IPO | $6.00-$7.00 | 7 million | 0/0/0 | Janney Montgomery Scott, Roth Capital Partners |
| The Joint Corp. | JYNT | IPO | $9.00-$11.00 | 3 million | 11/11/2014 | Roth Capital Partners, Feltl and Company |
| The Lovesac Company | LOVE | IPO | $13.00-$15.00 | 3.5 million | 6/27/2018 | Roth Capital Partners |
| Unique Fabricating | UFAB | IPO | $8.00-$10.00 | 2.35 million | 7/1/2015 | Roth Capital Partners, Taglich Brothers, Inc. |
| Zosano Pharma Corporation | ZSAN | IPO | $10.00-$12.00 | 4.5 million | 1/27/2015 | Ladenburg Thalmann, Roth Capital Partners |
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