| Total: $274.3M | ||||
| Company (Symbol)# | Type Of Financing | Number Of Shares, Units Or Warrants (M) | Amount Raised (M) | Investors; Placement Agents; Details (Date)@ |
| AEterna Zentaris Inc. (AEZS) | Royalty sale | N/A | $52.5 | AEterna raised $52.5M by selling its Cetrotide (cetrorelix) royalties to Cowen Healthcare Royalty Partners LP (11/12) |
| Alseres Pharmaceuticals Inc. (ALSE) | Private placement of common stock and warrants | 0.5S and W for 0.5S | $1 | Alseres raised $1M through the sale of 543,478 shares and warrants to purchase 543,478 shares to Robert Gipson (11/21) |
| Ardea Biosciences Inc. (RDEA) | Loan agreement | W for 0.056S | $8 | Ardea entered into an $8M loan agreement with Oxford Finance Corp. and Silicon Valley Bank; it issued warrants to the lenders entitling them to purchase up to 56,000 shares of common stock over seven years (11/13) |
| ARYx Therapeutics (ARYX) | Private placement of stock and warrants | 9.6S and W for 2.9S | $21.6 | ARYx raised $21.6M through New Enterprise Associates, MPM Capital and OrbiMed Advisors; Pacific Growth Equities was the placement agent (11/12) |
| CardioVascular BioTherapeutics Inc. (OTC BB:CVBT) | Royalty sale | N/A | $15 | CardioVascular will receive up to $15M from Cardio Neo-Genesis LP in exchange for a royalty for its coronary heart disease candidate (11/13) |
| Infinity Pharmaceuticals Inc. (INFI) | Equity investment and line of credit | N/A | $125 | Infinity secured a $75M equity investment and a $50M line of credit in a deal with Purdue Pharmaceutical Products LP and its European affiliate Mundipharma International Corp. Ltd. (11/20) |
| Manhattan Pharmaceuticals Inc. (OTC BB:MHAN) | Private placement of secured debt and warrants | 0.0005U | $1 | Manhattan is selling up to 500 units with each unit consisting of a 12% senior secured promissory note in the amount of $5,000 and a warrant to purchase up to 166,667 shares of common stock at an exercise price of 9 cents per share (11/25) |
| Neurogen Corp. (NRGN) | Monetizing assets | N/A | $9 | Neurogen sold four of its five buildings for $6M and will sell its chemical library to a global pharmaceutical company for $3M (11/14) |
| Northwest Biotherapeutics Inc. (OTC BB:NWBO) | Loan agreement and promissory notes | N/A | $1.7 | Northwest obtained about $1.7M through an agreement with SDS Capital Group SPC Ltd. and a group of private investors (11/6) |
| Santhera Pharmaceuticals AG (Switzerland; SWX:SANN) | Private placement of common stock | 0.37S | CHF15.9 ($13.5) |
Santhera received the money from Ares Life Sciences, which acquired a 10% stake in the company (11/12**) |
| SciClone Pharmaceuticals Inc. (SCLN) | Debt financing | N/A | $6 | SciClone is receiving $6M in debt financing through Silicon Valley Bank (11/19) |
| StemCells Inc. (STEM) | Private placement of common stock and warrants | 13.8S and W for 10.3S | $20 | StemCells raised $20M in a placement with institutional investors; Susquehanna Financial Group LLLP and Dawson James Securities Inc. served as placement agents (11/12) |
| Notes: | ||||
| This chart does not include real estate or manufacturing plant financings, or debt deals done to replace existing debt. Funds from loan facilities are included only when the company takes a draw, if announced. | ||||
| # Unless otherwise indicated, shares are traded on the Nasdaq exchange | ||||
| @ Refers to the date of the press release. | ||||
| ** Denotes the date the item ran in BioWorld International. | ||||
| Currency conversions are based on exchange rates at the time of the deal. | ||||
| N/A = Not applicable. | ||||
| OTC BB = Over-the-Counter Bulletin Board. | ||||
