| Lead Manager/ | # of | Price Range | Dollar | SCOOP | ||
| New Filings (Proposed Symbol) | Joint-Lead Managers | Shares | Low | High | Volume | Ratings |
| Artisan Partners Asset Management (APAM) | Citigroup/ Goldman, Sachs | $250.00 | n.a. | |||
| Babylon Ltd. (BBYL) | Citigroup/ Jefferies | $115.00 | n/c | |||
| Enanta Pharmaceuticals (ENTA) | J.P. Morgan/ Credit Suisse | $69.00 | n.a. | |||
| GFI Software S.A. (GFIX) | J.P. Morgan Securities/ Credit Suisse Securities/ Jefferies | $100.00 | n.a. | |||
| ING U.S. (tba) | Morgan Stanley/ Goldman, Sachs & Co. | $100.00 | n.a. | |||
| Norwegian Cruise Line Holdings (NCLH) | UBS Investment Bank/ Barclays | $250.00 | n.a. | |||
| UBIC (UBIC) | Baird/ William Blair | $46.25 | n.a. | |||
| Western Gas Equity Partners, LP (WGP) | Barclays/ Citigroup | $362.25 | n.a. | |||
| n.a. (not available) | ||||||
| n/c (no call) | ||||||
| Postponed | ||||||
| Singulex (SGLX) | UBS Investment Bank/ Piper Jaffray | 4.38 | $15.00 | $17.00 | $70.00 | 1-Star |
| Taylor & Martin Group (TMG) | Canaccord Genuity/ Oppenheimer | 15.00 | $10.00 | $12.00 | $165.00 | 1-Star |
| Withdrawn | ||||||
| HBC Acquisition (tba)(u) | Citigroup | 10.00 | $10.00 | $10.00 | $100.00 | 1-Star |
| New Terms | ||||||
| Alon USA Partners, LP (ALDW) | Goldman, Sachs/ Credit Suisse/ Citigroup | 10.00 | $19.00 | $21.00 | $200.00 | 2-Stars |
| Audeo Oncology (AURX) | Leerink Swann/ Oppenheimer | 3.25 | $14.00 | $16.00 | $48.75 | 1-Star |
| Gladstone Land (LAND) | Janney Montgomery Scott/ JMP Securities | 3.33 | $15.00 | $15.00 | $50.00 | 1-Star |
| Ruckus Wireless (RKUS) | Goldman, Sachs/ Morgan Stanley | 8.40 | $13.00 | $15.00 | $117.60 | 2-Stars |
| Silvercrest Asset Management Group (SAMG) | Sandler O’Neill & Partners/ Raymond James | 4.62 | $11.00 | $13.00 | $55.40 | 1-Star |
| YY Inc. (YY) | Morgan Stanley/ Deutsche Bank Securities/ Citigroup | 7.80 | $10.50 | $12.50 | $89.70 | n.a. |
| IPOs Priced | Lead | Shares | Amount | Offer | Close | % |
| Weeks of Oct. 29 & Nov. 5, 2012 | Manager(s) | Offered | Raised | Price | 11/9/12 | Change |
| Restoration Hardware Holdings (RH) | BofA Merrill Lynch/ Goldman, Sachs | 5.20 | $124.80 | $24.00 | $33.30 | 38.75% |
| Delek Logistics Partners, LP (DKL) | BofA Merrill Lynch/ Barclays | 8.00 | $160.00 | $20.00 | $22.35 | 11.75% |
| Southcross Energy Partners, L.P (SXE) | Citigroup/ Wells Fargo Securities/ Barclays/ J.P. Morgan | 9.00 | $180.00 | $20.00 | $22.35 | 11.75% |
| Stellus Capital Investment (SCM) | Raymond James/ Stifel, Nicolaus | 8.00 | $120.00 | $15.00 | $15.18 | 1.20% |
| OFS Capital (OFS) | Morgan Stanley/ UBS Investment Bank/ Barclays/ RBC Capital Markets | 6.67 | $100.00 | $15.00 | $13.68 | -8.80% |
| Atossa Genetics (ATOS) | Dawson James Securities | 0.80 | $4.00 | $5.00 | $4.05 | -19.00% |
