| Company | Type Of | Number Of | Amount | Investors; Placement Agents; |
| (Symbol) | Financing | Shares, Units | Raised (M) | Details (Date) |
| Or Warrants (M) | ||||
| Abaxis Inc. (ABAX) | Debt | — | $5.5 | Transamerica Technology Finance is pro- |
| financing | viding $5.5M in debt financing, consisting | |||
| of $3M for capital equipment and $2.5M in | ||||
| working capital (9/9) | ||||
| Celgene Corp. (CELG) | Private | ND | $8.3 | Celgene netted $8.3M from a private place- |
| placement | ment with a single investor; the financing | |||
| "instrument" is convertible into stock at | ||||
| $11.00 per share (9/17) | ||||
| Celtrix Pharma- | Interim | — | $2 | As part of Celtrix's corporate restructuring, |
| ceuticals Inc. (CTRX) | financing | the company's existing investors committed | ||
| $2M in additional funding to extend its | ||||
| cash resources into 4Q:99 (9/18) | ||||
| Cypress Bioscience | Private | 2.2S | $3.3 | Cypress sold 2.18M shares of Series A pre- |
| Inc. (CYPB) | placement | ferred stock at $1.514 per share to current | ||
| shareholders and new institutional investors | ||||
| in this placement; the preferred stock is con- | ||||
| vertible on a 1:1 basis into common shares (9/16) | ||||
| Hybridon Inc. | Facility | — | $6.5 | Hybridon terminated its lease on a facility |
| (OTC Bulletin | consolidation | owned by Charles River Building Limited | ||
| Board:HYBN) | Partnership and is selling its interest in that | |||
| limited partnership; the company will get | ||||
| $6.5M, including release of restricted cash, | ||||
| in connection with these transactions (9/18) | ||||
| ID Biomedical Corp. | Private | ND | $4 | ID Biomedical will sell $4M in Class A |
| (TSE:IDB; Canada) | placement | convertible preferred stock to a single | ||
| institutional investor; the preferred shares | ||||
| carry a 6% annual dividend and can be con- | ||||
| verted into common stock at market anytime | ||||
| over 3 years; the investor will also get 0.3M | ||||
| common stock purchase warrants, exercisable | ||||
| over 2 years at a premium to market (9/14) | ||||
| Xenova Group plc | Rights | 9.6U | $18 | Xenova sold 9.55M units at $1.88 each to |
| (XNVAY; U.K.) | offering | investors; 1.2M units were bought by | ||
| and private | qualifying shareholders and the remainder | |||
| placement | by new institutional and other investors; | |||
| each unit consists of 2 common shares and | ||||
| 1 warrant, which can be exercised at $1.20 | ||||
| until 12/31/99; Greig Middleton & Co. Ltd. | ||||
| acted as the placement agent (prices con- | ||||
| verted at a rate of £0.585/US$1) (9/29) | ||||
| TOTAL: $47.6M | ||||
| NOTES: | ||||
| ND = Not disclosed, reported and/or available; S = Shares; U = Units; TSE = Toronto Stock Exchange; W = Warrants | ||||
| The financings in this chart include loans, bridge financings and other interim measures as well as sales of business units, debt offerings, rights offerings, exercises of warrants, institutional offerings of registered stock and standard private placements. | ||||