Total: $78.645M

Company
(Symbol)#

Type Of
Financing

Number Of Shares, Units Or Warrants (M)

Amount Raised (M)

Investors; Placement Agents; Details (Date)@


Advanced Viral Research Corp.
(ADVR)

Private placement of common stock and warrants

21.5S and W for 16S

$3

Advanced Viral Research raised $3M after selling 21.5M shares and warrants for about 16M shares; H.C. Wainwright and Co. served as placement agent (9/10)

Aphton Corp.
(APHT)

Private placement of common stock

2.5S

$5

Aphton raised $5M in the private placement; Life Science Group Inc. acted as placement agent (9/26)

Cell Pathways
Inc.
(CLPA)

Private placement of common stock

6.2S

$4.4

Cell Pathways sold about 6.2M shares at 70 cents per share for proceeds of about $4.4M (9/19)

Forbes Medi-Tech
Inc.
(Canada; FMTI; TSE:FMI)

Private placement of special warrants

1.5W

$0.975

Forbes raised 975,000 through the issuance of 1.5M special warrants through Dominick & Dominick Securities Inc. (9/25)

Immune Network
Ltd.
(Canada; OTC
BB:IMMFF)

Private placement of units

0.898U

$0.09

Immune Network raised $89,831 in a placement of 898,307 units; each unit includes one common share and one warrant, which is exercisable for a period of two years at a price of 15 cents (9/11)

ISTA Pharma-
ceuticals
Inc.
(ISTA)

Private placement of common stock

N/A

$40

ISTA raised $40M in a financing led by The Sprout Group, Sanderling Venture Partners and Investor Growth Capital (9/19)

Nymox
Pharmaceutical
Corp.
(NYMX)

Private placement of common stock

0.091S

$0.4

Nymox raised $400,400 in a private placement of 91,000 shares at $4.40 per share (9/24)

Pharsight Corp.
(PHST)

Private placement of units

N/A

$4.4

Pharsight closed the second round of a $7.5M financing; the first round for $3.1M was completed in June (9/13)

Prescient
NeuroPharma

Inc.
(Canada; CDNX:PRE)

Bridge term loan facility

N/A

-

Prescient entered a term sheet for a C$1M (US$638,580) bridge term loan facility with three existing investors: Peter Allard, Business Development Bank of Canada and GeneChem Technologies Venture Fund LP (9/6)

Protein Polymer
Technologies

Inc.
(PPTI)

Exercise of warrants for the purchase of common stock

N/A

$0.68

Protein Polymer received about $680,000 through the exercise; each warrant holder who exercised received an equal number of replacement warrants (9/9)

SuperGen Inc.
(SUPG)

Private placement of common stock and warrants

1.8S and W
for 1.8S

$4.5

SuperGen raised $4.5M in a placement of 1.8M shares and warrants for another 1.8M shares (9/24)

Xenova Group
plc
(UK; XNVA)

Rights issue

N/A

£9.9 (US$15.2)

Xenova raised US$15.2M with a rights issue; Nomura International plc was the underwriter (9/18**)


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.

** Denotes the date the item ran in BioWorld International.

N/A = Not available, applicable or reported.

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