| Lead Manager/ | # of | Price Range | Dollar | SCOOP | ||
| New Filings (Proposed Symbol) | Joint-Lead Managers | Shares | Low | High | Volume | Ratings |
| DD3 Acquisition (DDMXU) (u) | EarlyBirdCapital | 5.00 | $10.00 | $10.00 | $50.00 | n.a. |
| Equillium (EQ) | Jefferies/ Leerink Partners/ Stifel | $86.25 | n.a. | |||
| Graf Industrial (GRAF.U) (u) | EarlyBirdCapital/ Oppenheimer | 22.50 | $10.00 | $10.00 | $225.00 | n.a. |
| IMAC Holdings (IMAC) | Cuttone | $17.00 | n.a. | |||
| PhaseBio Pharmaceuticals (PHAS) | Citigroup/ Cowen/ Stifel | $86.25 | n.a. | |||
| Riley Exploration Permian (REPX) | SunTrust Robinson Humphrey/ Seaport Global Securities | $115.00 | n.a. | |||
| SI-BONE (SIBN) | Morgan Stanley/ BofA Merrill Lynch | $97.75 | n.a. | |||
| SolarWinds (SWI) | GOLDMAN SACHS/ J.P. MORGAN/ MORGAN STANLEY/ CREDIT SUISSE | $500.00 | n.a. | |||
| SpineEX (SPIX) | ThinkEquity (a division of Fordham Financial Management) | $17.25 | n.a. | |||
| n.a. (not available) | ||||||
| (u) = unit offering | ||||||
| Postponed | ||||||
| Remora Royalties (RRI) | RBC Capital Markets/ Wells Fargo Securities/ UBS Investment Bank/ Stifel | 5.25 | $19.00 | $21.00 | $105.00 | 1-Star |
| Zekelman Industries (ZEK) | Goldman Sachs/ BofA Merrill Lynch | 41.75 | $17.00 | $19.00 | $751.50 | 1-Star |
| Withdrawn | ||||||
| Tapstone Energy (TE) | BofA Merrill Lynch/ Citigroup | $100.00 | n.a. | |||
| n.a. (not available) | ||||||
| New Terms | ||||||
| Capital Bancorp (CBNK) | Keefe, Bruyette & Woods (A Stifel Company)/ Stephens | 2.23 | $12.50 | $14.50 | $30.09 | S/O |
| CooTek (CTK) | Credit Suisse/ BofA Merrill Lynch/ Citigroup | 4.35 | $12.00 | $14.00 | $56.55 | S/O |
| Entasis Therapeutics Holding (ETTX) | Credit Suisse/ BMO Capital Markets | 4.41 | $16.00 | $18.00 | $75.00 | S/O |
| Eventbrite (EB) | Goldman Sachs/ J.P. Morgan/ Allen & Company/ RBC Capital Markets | 10.00 | $21.00 | $23.00 | $220.00 | S/O |
| Farfetch (FTCH) | Goldman Sachs/ J.P. Morgan/ Allen & Company/ UBS Investment Bank | 37.50 | $15.00 | $17.00 | $600.06 | S/O |
| Gritstone Oncology (GRTS) | Goldman Sachs/ Cowen/ Barclays | 6.07 | $131.00 | $15.00 | $443.21 | S/O |
| Guardant Health (GH) | J.P. Morgan/ BofA Merrill Lynch | 12.50 | $15.00 | $17.00 | $200.00 | S/O |
| Ra Medical (RMED) | Piper Jaffray/ Cantor | 3.33 | $14.00 | $16.00 | $50.00 | S/O |
| Sutro Biopharma (STRO) | Cowen/ Piper Jaffray | 5.00 | $14.00 | $16.00 | $75.00 | S/O |
| ToughBuilt Industries (TBLTU) (u) | Maxim Group | $15.00 | S/O | |||
| ToughBuilt Industries (TBLTU) (u) | Maxim Group | 2.14 | $6.00 | $8.00 | $15.00 | S/O |
| Upwork (UPWK) | Citigroup/ Jefferies/ RBC Capital Markets | 12.27 | $10.00 | $12.00 | $134.99 | S/O |
| Urovant Sciences (UROV) | J.P. Morgan/ Jefferies/ Cowen | 10.00 | $14.00 | $16.00 | $150.00 | S/O |
| S/O (Subscribers Only) | ||||||
| IPOs Priced | Lead | Shares | Amount | Offer | Close | % |
| Week of Sept. 17, 2018 | Manager(s) | Offered | Raised | Price | 9/21/18 | Change |
| Y-mAbs Therapeutics (YMAB) | BofA Merrill Lynch/ Cowen/ Canaccord Genuity | 6.00 | $96.00 | $16.00 | $24.00 | 50.00% |
| Eventbrite (EB) | Goldman Sachs/ J.P. Morgan/ Allen & Company/ RBC Capital Markets | 10.00 | $230.00 | $23.00 | $34.25 | 48.91% |
| Farfetch (FTCH) | Goldman Sachs/ J.P. Morgan/ Allen & Company/ UBS Investment Bank | 44.24 | $884.87 | $20.00 | $28.45 | 42.25% |
| Elanco Animal Health (ELAN) | Goldman Sachs/ J.P. Morgan/ Morgan Stanley | 62.90 | $1,509.60 | $24.00 | $34.10 | 42.08% |
| Bank7 (BSVN) | Keefe, Bruyette & Woods (A Stifel Company)/ Stephens | 3.40 | $64.60 | $19.00 | $19.10 | 0.53% |
| X Financial (XYF) | Deutsche Bank Securities/ Morgan Stanley | 11.00 | $104.50 | $9.50 | $9.50 | 0.00% |
| Lead Manager/ | # of | Price Range | Dollar | SCOOP | ||
| New Filings (Proposed Symbol) | Joint-Lead Managers | Shares | Low | High | Volume | Ratings |
| DD3 Acquisition (DDMXU) (u) | EarlyBirdCapital | 5.00 | $10.00 | $10.00 | $50.00 | n.a. |
| Equillium (EQ) | Jefferies/ Leerink Partners/ Stifel | $86.25 | n.a. | |||
| Graf Industrial (GRAF.U) (u) | EarlyBirdCapital/ Oppenheimer | 22.50 | $10.00 | $10.00 | $225.00 | n.a. |
| IMAC Holdings (IMAC) | Cuttone | $17.00 | n.a. | |||
| PhaseBio Pharmaceuticals (PHAS) | Citigroup/ Cowen/ Stifel | $86.25 | n.a. | |||
| Riley Exploration Permian (REPX) | SunTrust Robinson Humphrey/ Seaport Global Securities | $115.00 | n.a. | |||
| SI-BONE (SIBN) | Morgan Stanley/ BofA Merrill Lynch | $97.75 | n.a. | |||
| SolarWinds (SWI) | GOLDMAN SACHS/ J.P. MORGAN/ MORGAN STANLEY/ CREDIT SUISSE | $500.00 | n.a. | |||
| SpineEX (SPIX) | ThinkEquity (a division of Fordham Financial Management) | $17.25 | n.a. | |||
| n.a. (not available) | ||||||
| (u) = unit offering | ||||||
| Postponed | ||||||
| Remora Royalties (RRI) | RBC Capital Markets/ Wells Fargo Securities/ UBS Investment Bank/ Stifel | 5.25 | $19.00 | $21.00 | $105.00 | 1-Star |
| Zekelman Industries (ZEK) | Goldman Sachs/ BofA Merrill Lynch | 41.75 | $17.00 | $19.00 | $751.50 | 1-Star |
| Withdrawn | ||||||
| Tapstone Energy (TE) | BofA Merrill Lynch/ Citigroup | $100.00 | n.a. | |||
| n.a. (not available) | ||||||
| New Terms | ||||||
| Capital Bancorp (CBNK) | Keefe, Bruyette & Woods (A Stifel Company)/ Stephens | 2.23 | $12.50 | $14.50 | $30.09 | S/O |
| CooTek (CTK) | Credit Suisse/ BofA Merrill Lynch/ Citigroup | 4.35 | $12.00 | $14.00 | $56.55 | S/O |
| Entasis Therapeutics Holding (ETTX) | Credit Suisse/ BMO Capital Markets | 4.41 | $16.00 | $18.00 | $75.00 | S/O |
| Eventbrite (EB) | Goldman Sachs/ J.P. Morgan/ Allen & Company/ RBC Capital Markets | 10.00 | $21.00 | $23.00 | $220.00 | S/O |
| Farfetch (FTCH) | Goldman Sachs/ J.P. Morgan/ Allen & Company/ UBS Investment Bank | 37.50 | $15.00 | $17.00 | $600.06 | S/O |
| Gritstone Oncology (GRTS) | Goldman Sachs/ Cowen/ Barclays | 6.07 | $131.00 | $15.00 | $443.21 | S/O |
| Guardant Health (GH) | J.P. Morgan/ BofA Merrill Lynch | 12.50 | $15.00 | $17.00 | $200.00 | S/O |
| Ra Medical (RMED) | Piper Jaffray/ Cantor | 3.33 | $14.00 | $16.00 | $50.00 | S/O |
| Sutro Biopharma (STRO) | Cowen/ Piper Jaffray | 5.00 | $14.00 | $16.00 | $75.00 | S/O |
| ToughBuilt Industries (TBLTU) (u) | Maxim Group | $15.00 | S/O | |||
| ToughBuilt Industries (TBLTU) (u) | Maxim Group | 2.14 | $6.00 | $8.00 | $15.00 | S/O |
| Upwork (UPWK) | Citigroup/ Jefferies/ RBC Capital Markets | 12.27 | $10.00 | $12.00 | $134.99 | S/O |
| Urovant Sciences (UROV) | J.P. Morgan/ Jefferies/ Cowen | 10.00 | $14.00 | $16.00 | $150.00 | S/O |
| S/O (Subscribers Only) | ||||||
| IPOs Priced | Lead | Shares | Amount | Offer | Close | % |
| Week of Sept. 17, 2018 | Manager(s) | Offered | Raised | Price | 9/21/18 | Change |
| Y-mAbs Therapeutics (YMAB) | BofA Merrill Lynch/ Cowen/ Canaccord Genuity | 6.00 | $96.00 | $16.00 | $24.00 | 50.00% |
| Eventbrite (EB) | Goldman Sachs/ J.P. Morgan/ Allen & Company/ RBC Capital Markets | 10.00 | $230.00 | $23.00 | $34.25 | 48.91% |
| Farfetch (FTCH) | Goldman Sachs/ J.P. Morgan/ Allen & Company/ UBS Investment Bank | 44.24 | $884.87 | $20.00 | $28.45 | 42.25% |
| Elanco Animal Health (ELAN) | Goldman Sachs/ J.P. Morgan/ Morgan Stanley | 62.90 | $1,509.60 | $24.00 | $34.10 | 42.08% |
| Bank7 (BSVN) | Keefe, Bruyette & Woods (A Stifel Company)/ Stephens | 3.40 | $64.60 | $19.00 | $19.10 | 0.53% |
| X Financial (XYF) | Deutsche Bank Securities/ Morgan Stanley | 11.00 | $104.50 | $9.50 | $9.50 | 0.00% |