Total: $228.65M

Company
(Symbol)#
(M)

Type Of
Financing

Number Of
Shares, Units
Or Warrants

Amount
Raised
(M)

Investors; Placement Agents; Details
(Date)@


Aeolus
Pharmaceuticals
Inc.
(OTC BB:
AOLS)

Private placement of stock and warrants

10S and 11W

$5

The financing was led by Efficacy Capital; 7M five- year warrants are exercisable at $0.75 per share; also, Efficacy got 4M one-year warrants exercisable at $0.50 per share (6/6)

Bioject
Medical
Technologies
Inc.
(BJCT)

Private placement of stock and notes

N/A

$5.75

Affiliates of Sanders Morris Harris are purchasing $4.5M of Series E preferred stock, while Partners for Growth LP is buying $1.5M of convertible notes (6/1)

Cell
Therapeutics
Inc.
(CTIC)

Equity financing commitment

N/A

N/A

Societe Generale agreed to purchase up to $55M of registered CTI stock over two years, shares it would sell on the Italian market; CTI would determine the timing and amount of any sales (6/21)

Clinical Data
Inc.
(CLDA)

Private placement of stock and warrants

1.04S and 0.52W

$17

The securities were sold to institutional and other accredited investors; details were not disclosed (6/14)

CombiMatrix
Group
(CBMX)

Equity financing commitment

N/A

N/A

Cornell Capital Partners agreed to purchase up to $50M of CombiMatrix stock over two years at a 2.5% discount to the market price; CombiMatrix will determine the timing and amount of any sales (6/15)

Corgentech
Inc.
(CGTK)

Equity financing commitment

N/A

N/A

Azimuth Opportunity Ltd. agreed to purchase up to $30M in Corgentech stock over two years, at a small discount to the market price; any sales would be made at Corgentech's discretion (6/20)

ExonHit
Therapeutics
SA
(France;
Euronext:ALEHT)

Private placement of stock and warrants

1S and 0.1W

€6.5 ($8.1)

The shares were sold at €6.50 each; the one-year warrants are exercisable at €7.80 per share (6/16)

Genaera
Corp.
(GENR)

Registered direct offering

35.6S and 26.7W

$25

Units were sold at $0.70385 each; the warrants are exercisable at $0.6101 per share; Banc of America Securities LLC was lead placement agent; Fortis Securities LLC was co- lacement agent (6/29)

Genelabs
Technologies
Inc.
(GNLB)

Private placement of stock and warrants

6.1S and 2.5W

$9

Shares are being sold at $1.42 each, and the warrants at $0.125 per underlying share; the warrants are exercisable at $1.42 per share (6/27)

Generex
Biotechnology
Corp.
(Canada;
GNBT)

Private placement of securities/ warrants exercise

3.4S and 2.56W; 4.36S

$13.5

Shares in a private placement were sold at $2.05 each; five-year warrants in that deal are exercisable at $2.45 per share; also, investors exercised $6.5M in warrants to purchase 4.36M shares (6/2)

ISTA
Pharmaceuticals
Inc.
(ISTA)

Private placement of convertible notes

N/A

$40

The three-year, 8% notes have an initial conversion price of $7.75 per share (6/22)

Lexicon
Genetics Inc.
(LEXG)

Equity financing commitment

N/A

N/A

Azimuth Opportunity Ltd. agreed to purchase up to $75M of registered Lexicon stock over 18 months, at a small discount to the market price; Lexicon would determine the timing and amounts (6/13)

Peregrine
Pharmaceuticals
Inc.
(PPHM)

Private placement of stock

9.286S

$13

The shares were sold from a shelf registration to the Double U Master Fund LP (6/19)

ProMetic Life
Sciences Inc.
(Canada;
TSE:PLI)

Private placement of stock

29.6S

C$10.8 ($9.7)

The private placement of subordinate voting shares was made in deal with JPMorgan and Third Point LLC (6/2)

Vectura
Group plc
(UK; LSE:VEC)

Private placement of stock

52.94S

£45 ($82.6)

The placement with institutional investors is being fully underwritten by Piper Jaffray (6/28)


Notes:
This chart does not include real estate or manufacturing plant financings, or debt deals done to replace existing debt.
# Unless otherwise indicated, shares are traded on the Nasdaq exchange.
Currency conversions are based on exchange rates at the time of the deal.
N/A = Not applicable; ND = Not disclosed.
LSE = London Stock Exchange; OTC BB = Over-the-Counter Bulletin Board; TSE = Toronto Stock Exchange.

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