Total: $153.903M

Company
(Symbol)#

Type Of Financing

Number Of Shares, Units Or Warrants (M)

Amount Raised (M)

Investors; Placement Agents; Details
(Date)@


Aphton Corp. (APHT)

Private placement of common stock

0.5S and
0.15W

$1.52

Aphton sold 500,000 shares of common stock from its shelf registration statement raising $1.5M, and it sold 150,000 warrants for $18,750 (2/24)

Aradigm Corp. (ARDM)

Private placement of common stock and warrants

19S and
W for 4.3S

$15

Aradigm raised $15M in a private placement of 19M shares and warrants to purchase about 4.3M shares (2/12)

Cepheid Inc. (CPHD)

Private placement of common stock

1.4S

$5

Cepheid raised $5M in a private placement of stock; EHS Securities LLC acted as exclusive selling agent for the offering (2/28)

Hollis-Eden Pharmaceuticals Inc. (HEPH)

Private placement of convertible debentures

N/A

$10

Hollis-Eden raised $10M through the private placement of debentures that are convertible into common stock at $5.70 apiece; investors also were issued warrants to purchase an aggregate of 350,880 common shares for $6.17 each, and additional warrants to purchase an equal number of common shares for $6.71 apiece; SG Cowen Securities Corp. acted as the transaction's placement agent (2/26)

Martek Biosciences
Corp.
(MATK)

Credit facility

N/A

--

Martek closed a one-year, $10M secured working capital line of credit facility with Allfirst Bank (2/26)

Neose Technologies
Inc.
(NTEC)

Private placement of common stock

2.9S

$17

Neose raised $17M in a private placement of 2.9M shares; Domain Associates LLC led the placement; undisclosed new and existing investors participated, and JPMorgan acted as the exclusive placement agent (2/17)

NexMed Inc. (NEXM)

Exercise of warrants to purchase shares of common stock

0.389W

$0.533

NexMed raised $533,489 in interim financing through the exercise of 389,408 warrants to purchase shares of its common stock (2/6)

Novavax Inc. (NVAX)

Private placement of common stock

4.75S

$16.6

Novavax raised about $16.6M through the private placement of 4.75M shares with SJ Strategic Investments LLC (2/18)

Nymox Pharmaceutical Corp. (NYMX)

Private placement of common stock

N/A

$5

Nymox raised $5M in a private financing (2/25)

Onyx Pharmaceuticals Inc. (ONXX)

Private placement of common stock

2.1S

$10

Onyx raised $10M through the private sale of about 2.1M shares; the shares were placed primarily with Deerfield Management Co. (2/18)

Ortec International Inc. (OTC BB: ORTC)

Private placement of convertible preferred stock

N/A

$2

Ortec completed a $2M private placement of non-registered Series B convertible preferred stock; investors were Paul Capital Royalty Acquisition Fund LP and other previous investors (2/27)

Ribozyme Pharmaceuticals Inc. (RZYM)

Private placement of common stock and warrants

N/A

$48

Ribozyme raised $48M in a private placement of stock and warrants with The Sprout Group, Venrock Associates, Oxford Bioscience Partners, Techno Venture Management and Granite Global Ventures (2/12)

SuperGen Inc. (SUPG)

Private placement of notes and warrants

W for 2S
and U

$21.25

SuperGen raised $21.25M in a private placement of senior exchangeable convertible notes and related warrants; the notes are convertible into SuperGen stock at $4.25 each; investors also received warrants to purchase nearly 2M shares (2/27)

Viventia Biotech Inc. (Canada; TSE:VBI)

Private placement of units

11.1U

$2

Viventia raised $2M in a private placement of 11.1M units with Clairmark Investments (2/11)


Notes:

This chart does not include real estate or manufacturing plant financings.

# Unless otherwise indicated, shares are traded on the Nasdaq exchange.

@ Dates refer to the date of the press release.

N/A = Not available, applicable or reported.

OTC BB = Over-the-Counter Bulletin Board; TSE = Toronto Stock Exchange