| Closing Date Range: |
Between 07/01/2004 and 12/31/2004
|
| Sector Preference: |
ALL Sectors |
| Industry Preference: |
Biotechnology |
| Sub-Industry Preference: |
ALL Sub-Industries |
| Exchange Type: |
ALL Exchanges |
| Structure Type: |
ALL Structures |
| Security Sold: |
ALL
|
| Investor Type: |
ALL Investors |
| Display Options: |
Display only the first 10 Deals
Sort Report by Closing Date (Most recent first) |
| Transaction Size Range: |
Not Specified |
| Market Cap Range: |
Between $100.00M and $200.00M |
| Closing Market Price: |
Not Specified |
| Dilution % Range: |
Not Specified |
| Warrant Coverage % Range: |
Not Specified |
| Source: |
ALL Sources
|
| Filing Date: |
Not Specified
|
| Effective Date: |
Not Specified
|
| Include: |
Both - Closed and Cancelled Transactions |
| Legal Structures: |
PIPE |
| Included Items: |
Not Specified
|
| Excluded Items: |
Not Specified
|
| Issuer Country of Incorporation: |
ALL |
|
 |
| Company Name at Closing |
Stock Symbol at Closing |
Country of Origin |
Closing Date |
Gross Proceeds |
Volume (30 Day Avg) at Closing |
Total Commitment Amount |
Current Symbol |
Sector |
Industry |
Sub-Industry |
Security Type |
Security Sold |
Market Cap at Closing |
Outstanding Shares at Closing |
Closing Market Price |
Stock Price Change Since Closing |
Purchase Price Per Share |
Closing Exchange |
Term
(Months) |
Dilution |
Shares Issued |
Purchase Price Premium/Discount |
Fixed Conversion Price |
Fixed Conversion Premium/Discount |
Floating Conversion Premium/Discount |
Interest or Dividend Rate |
Days to First Conversion |
Face Value Per Share |
Maximum Monthly Conversion |
Floor Price Premium(+) Or Discount(-) |
Warrant Coverage |
Warrant 1 Shares |
Warrant 2 Shares |
Warrant 3 Shares |
Warrant 1 Exercise Price |
Warrant 2 Exercise Price |
Warrant 3 Exercise Price |
Warrant Premium/Discount |
Filing Date |
Effective Date |
Filing Type |
Filing Date: Days Before/After Closing |
Effectiveness: Days Before/After Closing |
Effectiveness: Days Before/After Filing |
Placement Agent |
Placement Agent Fees |
| Targeted Genetics Corporation |
TGEN |
United States |
12/31/2004 |
$6,010,281 |
319,456 |
N/A |
TGEN |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Common Stock - Shelf Sale (Registered Direct) |
Common Stock - Shelf Sale (Registered Direct) |
$120.02M |
81,646,802 |
$1.47 |
-47.62%
|
$1.52 |
NASDAQ SMC |
N/A |
4.84%
|
3,954,132 |
3.40% |
N/A
|
N/A
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
N/A
|
0.00%
|
0 |
0 |
0 |
N/A |
N/A |
N/A |
0.00% |
06/17/2004
|
07/07/2004
|
S-3
|
-197 |
-177 |
20 |
None |
None
|
| RegeneRx Biopharmaceuticals, Inc. |
RGRX |
United States |
12/31/2004 |
$5,866,507 |
104,326 |
N/A |
RGN |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Common Stock |
Common Stock |
$146.25M |
34,011,486 |
$4.30 |
-10.00%
|
$3.25 |
OTC BB |
N/A |
6.67%
|
1,805,079 |
-24.42% |
N/A
|
N/A
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
N/A
|
25.64%
|
462,808 |
0 |
0 |
$4.06 |
N/A |
N/A |
-5.58% |
01/28/2005
|
02/14/2005
|
S-3
|
28 |
45 |
17 |
ThinkEquity Partners |
7.00%
|
| Sinovac Biotech Limited |
SVA |
China |
12/31/2004 |
$1,685,001 |
265,252 |
N/A |
SVA |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Common Stock |
Units (Common Stock + Warrants) |
$126.91M |
34,770,233 |
$3.65 |
-19.18%
|
$3.00 |
AMEX |
N/A |
3.23%
|
561,667 |
-17.81% |
N/A
|
N/A
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
N/A
|
100.00%
|
561,667 |
0 |
0 |
$3.35 |
N/A |
N/A |
-8.22% |
None
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
Credit Suisse Advisory Partners AG** |
7.35%
|
| EntreMed, Inc. |
ENMD |
United States |
12/23/2004 |
$14,000,005 |
1,244,130 |
N/A |
ENMD |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Common Stock |
Common Stock |
$118.22M |
37,175,215 |
$3.18 |
-3.46%
|
$2.55 |
NASDAQ NMS |
N/A |
17.72%
|
5,490,198 |
-19.81% |
N/A
|
N/A
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
N/A
|
20.00%
|
1,098,040 |
0 |
0 |
$3.67 |
N/A |
N/A |
15.41% |
01/26/2005
|
02/04/2005
|
S-3
|
34 |
43 |
9 |
Rodman & Renshaw, LLC** |
5.00%
|
| Inhibitex Inc. |
INHX |
United States |
11/04/2004 |
$49,745,896 |
42,256 |
N/A |
INHX |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Common Stock |
Common Stock |
$134.58M |
18,309,536 |
$7.35 |
15.65%
|
$7.34 |
NASDAQ NMS |
N/A |
48.12%
|
6,777,370 |
-0.14% |
N/A
|
N/A
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
N/A
|
30.00%
|
2,033,209 |
0 |
0 |
$8.81 |
N/A |
N/A |
19.86% |
12/10/2004
|
01/31/2005
|
S-1
|
36 |
88 |
52 |
Lazard Freres & Co. LLC |
3.91%
|
| Aastrom Biosciences, Inc. |
ASTM |
United States |
10/27/2004 |
$10,000,000 |
2,027,127 |
N/A |
ASTM |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Common Stock - Shelf Sale (Registered Direct) |
Common Stock - Shelf Sale (Registered Direct) |
$118.80M |
83,076,168 |
$1.43 |
116.78%
|
$1.21 |
NASDAQ SMC |
N/A |
12.44%
|
8,264,463 |
-15.38% |
N/A
|
N/A
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
N/A
|
25.00%
|
2,066,116 |
0 |
0 |
$1.74 |
N/A |
N/A |
21.68% |
09/19/2003
|
Pending
|
S-3
|
-404 |
N/A |
N/A |
Rodman & Renshaw, LLC |
6.00%
|
| Arena Pharmaceuticals, Inc. |
ARNA |
United States |
10/20/2004 |
$7,500,000 |
92,443 |
N/A |
ARNA |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Common Stock |
Common Stock |
$118.11M |
25,619,590 |
$4.61 |
89.80%
|
$8.00 |
NASDAQ NMS |
N/A |
3.66%
|
937,500 |
73.54% |
N/A
|
N/A
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
N/A
|
Not Disclosed.
|
0 |
0 |
0 |
N/A |
N/A |
N/A |
0.00% |
None
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
Not Disclosed. |
Not Disclosed.
|
| Curis, Inc. |
CRIS |
United States |
10/12/2004 |
$20,098,972 |
219,974 |
N/A |
CRIS |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Common Stock - Shelf Sale (Registered Direct) |
Common Stock - Shelf Sale (Registered Direct) |
$155.02M |
41,560,415 |
$3.73 |
28.42%
|
$3.67 |
NASDAQ NMS |
N/A |
14.50%
|
5,476,559 |
-1.61% |
N/A
|
N/A
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
N/A
|
10.00%
|
547,656 |
0 |
0 |
$4.59 |
N/A |
N/A |
23.06% |
12/23/2003
|
01/07/2004
|
S-3
|
-293 |
-278 |
15 |
Leerink Swann & Co. |
5.97%
|
| Lorus Therapeutics Inc. |
LRP |
Canada |
10/06/2004 |
$11,881,185 |
29,236 |
N/A |
LRP |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Convertible - Fixed |
Convertible Secured Debentures |
$106.34M |
171,517,341 |
$0.62 |
-1.61%
|
$792.08 |
AMEX |
60 |
13.50%
|
15,000 |
N/A |
$0.79
|
27.76%
|
N/A
|
Prime Rate
plus
1.000% |
0 |
$792.08 |
100.00% |
0.00%
|
20.87%
|
4,000,000 |
0 |
0 |
$0.79 |
N/A |
N/A |
27.76% |
None
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
None |
None
|
| Myogen, Inc. |
MYOG |
United States |
09/24/2004 |
$59,999,985 |
63,853 |
N/A |
MYOG |
Consumer- Non-Cyclical (Healthcare) |
Biotechnology |
Medical - Biomedical/Gene |
Common Stock |
Common Stock |
$172.39M |
26,521,144 |
$6.50 |
72.00%
|
$6.53 |
NASDAQ NMS |
N/A |
41.46%
|
9,195,400 |
0.38% |
N/A
|
N/A
|
N/A
|
N/A
|
N/A |
N/A |
N/A |
N/A
|
19.58%
|
1,800,000 |
0 |
0 |
$7.80 |
N/A |
N/A |
20.00% |
10/29/2004
|
11/18/2004
|
S-3
|
35 |
55 |
20 |
CIBC World Markets** |
4.33%
|
| Total Number of Deals: |
|
10 |
| |
$186,787,832 |
|
| |
| **
This transaction involved more than one Placement Agent. Please review
the transaction report for the complete list of Placement Agents. |
Download an Excel version of this report
