| Total: $396.07M | ||||
| Company | Type Of Financing | Number Of Shares, Units Or Warrants (M) | Amount Raised (M) | Investors; Placement Agents; Details (Date)@ |
| | ||||
| Alteon Inc. | Private placement | 4.45S | $18.9 | Alteon entered into a stock purchase agreement to sell 4.45M shares for net proceeds of $18.6M; the shares are being offered at $4.25 per share; investors include Fiduciary Trust Company International, funds managed by Merlin Biomed Group LLC, SDS Merchant Fund LP, Oracle Investment Management Inc., Scout Capital, MPM BioEquities Capital LLC and Domain Public Equity Partners (1/7) |
| BioMS Medi- | Exercise of share purchase warrants | 3S | C$9 | BioMS raised US$5.6M from the exercise of about 3M share purchase warrants (1/9) |
| Bioxel Pharma | Private placement of units | 0.79U | C$0.6 | Bioxel closed a private placement of 789,474 units to raise US$375,751; each unit consists of one common share and one-half common share purchase warrant (1/11) |
| Cel-Sci Corp. | Private placement of common stock | ND | $1.6 | Cel-Sci closed a $1.6M financing; investors were not disclosed (1/28) |
| Celsion Corp. | Private placement of units | 12.5U | $6.25 | Celsion raised $6.25M in a private placement of units consisting of one share of common stock and one common stock purchase warrant, at a price of 50 cents per unit (1/10) |
| Charles River | Private placement of senior convertible debentures | N/A | $175 | Charles River privately placed $175M of senior convertible debentures (1/18) |
| Cytogen | Private placement of common stock | 3S | $8 | Cytogen raised $8M, placing 3M shares with the State of Wisconsin Investment Board (1/22) |
| Digene Corp. | Private placement of common stock | 0.59S | $15 | Digene raised $15M in a private placement under which it sold 588,325 shares of its common stock to Acqua Wellington Private Placement Fund Ltd. and Acqua Wellington Opportunity I Ltd. (1/31) |
| GlycoGene- | Private placement of common stock and warrants | 3.01S and W for 3.2S | $5.1 | GlycoGenesys raised about $5.1M in net proceeds from institutional and accredited investors; The Shemano Group acted as lead placement agent (1/31) |
| IntraBiotics | Private placement of common stock | 5.9S | $13.9 | IntraBiotics raised net proceeds of $13.9M in the private placement with institutional and private investors (1/30) |
| La Jolla | Private placement of common stock | 7S | $51.6 | La Jolla raised $51.6M in a sale of 7M shares; UBS Warburg LLC and Pacific Growth Equities Inc. served as placement agents (1/16) |
| Ortec Inter- | Nonequity financing | N/A | $5 | Ortec raised $5M from Paul Capital Royalty Acquisition Fund, as part of a $15M nonequity financing in August 2001 (1/29) |
| Pheromone | Private placement of special warrants | 0.41W | C$0.23 (US | Company completed the sale of 410,000 special warrants raising US$141,958; each special warrant will be exercisable into one common share and one common share purchase warrant (1/15) |
| Protein | Exercise of warrants for the purchase of common | N/A | $1 | Protein Polymer raised $1M in additional capital through the exercise of warrants for the purchase of common stock; investors were not disclosed (1/29) |
| Rigel Pharma- | Private placement of common stock | 7S | $31.5 | Rigel raised $31.5M through the placement of 7M shares; Robertson Stephens Inc. acted as placement agent (1/17) |
| Sonus Pharma- | Private placement of common stock and warrants | 1.9S and W for 0.39S | $13.6 | Sonus raised $13.6M in the private placement; investors were S.A.C. Capital Associates LLC, S.A.C. HealthCo Fund LLC, Narragansett Asset Management LLC, Domain Public Equity Partners LP and Symmetry Capital Management; Punk, Ziegel & Co. served as the placement agent (1/22) |
| Trimeris | Private placement of common stock | 1.27S | $41 | Trimeris raised $41M net in a placement of 1.27M shares (1/25) |
| Viragen | Private placement of convertible debentures and warrants | N/A | $2.5 | Company closed a $2.5M private financing of convertible debentures and warrants with an institutional investor (1/16) |
| | ||||
| Notes: |
||||
| # Unless otherwise indicated, shares are traded on the Nasdaq exchange. This chart does not include real estate or manufacturing plant financings. |
||||
| @ Dates refer to the date of the press release. |
||||
| N/A = Not available, applicable or reported. |
||||
| AMEX = American Stock Exchange; CDNX = Canadian Venture Exchange; NYSE = New York Stock Exchange; OTC BB = Over the Counter Bulletin Board; TSE = Toronto Stock Exchange |
||||
