TOTAL: $481 .37M

Company (Symbol)#

Type Of Financing

Number Of Shares, Units Or Warrants (M)

Amount Raised (M)

Investors; Placement Agents; Details (Date)


Agennix AG (Germany; PK:GAGXF)

Combined rights offering and private placement

N/A

€78.4 ($107.8)

Agennix priced the offering at €3.81 per share; Piper Jaffray Ltd. and WestLB AG acted as joint global coordinators on the transaction (10/4)

Alimera Sciences Inc. (ALIM)

Revolving line of credit and a term loan

W for 0.08S

$12.5

Alimera secured a $20M credit facility provided by Silicon Valley Bank, and a $12.5M term loan provided by MidCap Financial LLC and Silicon Valley Bank (10/18)

Apricus Biosciences Inc. (APRI)

Private placement

N/A

$9.3

Apricus raised $9.3M in a securities offering; Dawson James Securities acted as the exclusive placement agent (10/6)

Bionovo Inc. (BNVID)

Registered direct offering

2.7S and 2W

$3

Bionovo raised $3M by selling about 2.7M shares priced at $1.10 apiece and will issue about 2M warrants; William Blair & Co. LLC is acting as exclusive placement agent (10/4)

ChemGenex Pharmaceuticals Ltd. (Australia; ASX:CXS)

Investment

N/A

$14.7

Cephalon Inc. provided up to $14.7M to ChemGenex for a note convertible at 49 cents per share (10/25)

Cyclacel Pharmaceuticals Inc. (CYCC)

Private placement of stock and warrants

8.3U

$22. 1

Cyclacel raised $22. 1M in a sale of stock and warrants; Lazard Capital Markets LLC served as the lead placement agent, and Roth Capital Partners LLC served as the co-placement agent for the offering (10/6)

Cytomedix Inc. (AMEX:GTF)

Registered direct offering

3.7S and W for 1 .8S

$13

Cytomedix secured a $13M financing through a registered direct offering of shares and warrants, plus $10M and $1.5M equity purchase agreements (10/11)

DARA BioSciences Inc. (DARA)

Registered direct offering

0.613U

$1 .4

DARA raised $1.4M in an offering of 612,667 units, with each unit consisting of one share and 0.5 warrants to purchase one share, to institutional investors (10/27)

DiaGenic ASA (Norway; OSLO:DIAG)

Private placement of shares

140S

NOK70 ($12)

DiaGenic raised $12M through the private placement of 140M shares priced at NOK0.50 each (10/8)

Discovery Laboratories Inc. (DSCO)

Private placement of common stock and warrants

2.4S and W for 1 .2S

$0.5

Discovery Laboratories raised $500,000 through PharmaBio Development Inc.'s purchase of 2.4M shares at 21 cents per share and warrants of 1.2M shares for 27.3 cents per share (10/14)

Galapagos NV (Belgium; BR:GLPG)

Share offering

2.4S

€28.7 ($39.6)

Galapagos raised $39.6M, placing 2.4M shares with institutional and other qualified investors (10/20**)

Hybrigenics SA (France; Paris:ALHYG)

Equity line

N/A

€1 .43 ($1 .99)

Hybrigenics amended an agreement with YA Global Master SPV Ltd. for a total equity line of €12M ($16.7M); it has drawn down €1.43M (10/12)

iBio Inc. (OTC BB:IBPM)

Private placement of common stock and warrants

3S and W for 3S

$6

iBio raised $6M by placing 3M shares at $2 each; each investor was issued a warrant to purchase the same number of shares at a cash exercise price of $2.20 per share for a period of five years (10/28)

IS Pharma plc (UK; LSE:ISPH)

Private placement of common stock

4.6S

£3.6 ($5.7)

IS Pharma raised $5.7M through the issue of about 4.6M shares at 77 pence per share with Abingworth LLP (10/7)

Karo Bio AB (Sweden; SSE:KARO)

Rights issue and equity-based credit facility

N/A

SEK530 ($79.7)

Karo Bio secured SEK530M by raising SEK300M in a rights issue that is fully guaranteed and another SEK230M in an equity-based credit facility (10/27)

Omeros Corp. (OMER)

Financing involving future net proceeds

3W for 0. 133S each

$25

Omeros raised $25M exchanging a share of future net proceeds of its GPCR antibody therapeutic to Vulcan Capital and Life Sciences Discovery Fund; the deal includes warrants for Vulcan to purchase common stock at exercise prices of $20, 30 and $40; the three five-year warrants are good for 133,333 shares each (10/26)

Ore Pharmaceuticals Holdings Inc. (PK:ORXE)

Debt and equity investment

3. 1S and a five-year note

$5.3

Ore raised $5.1M through the sale of $1.1M in shares at 35 cents each and a five-year note for $4.2M to Steel Partners Ltd. (10/26)

Oxygen Biotherapeutics Inc. (OXBT)

Placement of senior unsecured promissory notes

N/A

$5

Oxygen entered a note purchase agreement with JP SPC 1 Vatea Segregated Portfolio to sell $5M of senior unsecured promissory notes in a series of closings between Oct. 31 and Dec. 31 (10/14)

PDL BioPharma Inc. (PDLI)

Private placement of notes

Notes

$88

PDL raised $88M through the placement of 2015 notes for cash (10/28)

Pluristem Therapeutics Inc. (Israel; PSTI)

Private placement of common stock and warrants

4.375S and W for 2.625S

$5.25

Pluristem raised $5.25M in the placement with selected institutional and private investors; Rodman & Renshaw LLC acted as the U.S. placement agent (10/13)

QRxPharma Ltd. (Australia; ASX:QRX)

Private placement

16.47S

$14

QRxPharma raised $14M by issuing shares at 85 cents each (10/4)

SciClone Pharmaceuticals Inc. (SCLN)

Debt financing

facility

N/A

(up to $15M)

SciClone said that Silicon Valley Bank increased the existing debt financing facility from $6M to $15M (10/6)

Sirona Biochem Corp. (Canada; CDNX:SBM)

Nonbrokered private placement of units

10.5U

C$1.05 ($1.03)

Sirona raised $1 .03M by selling 10.5M units for C10 cents each, with each unit consisting of one share and one two-year warrant exercisable at C20 cents (10/29)

Stellar Biotechnologies Inc. (CDNX:KLH)

Private placement of units

6U

$3.6

Stellar offered 6M units at 60 cents each to raise $3.6M; each unit consists of one share and one transferable share purchase warrant (10/27)

Stellar Pharmaceuticals Inc. (Canada; OTC BB:SLXCF)

Private placement of units

1U

$1

Stellar is arranging a nonbrokered private placement of up to 1M units for $1 per unit (10/6)

ThromboGenics NV (Belgium; BR:THR)

Exercise of warrants

W for 0.289S

€2.8 ($3.9)

ThromboGenics raised $3.9M as the result of the exercise of warrants by a number of employees (10/28)


Notes:

This chart does not include real estate or manufacturing plant financings, or debt deals done to replace existing debt. Loan money is included in the total only when it is drawn down, if disclosed.

# Unless otherwise indicated, shares are traded on the Nasdaq exchange; ** Denotes the date the item ran in BioWorld International. Currency conversions are based on exchange rates at the time of the deal.

The date indicated refers to the BioWorld Today issue in which the news item can be found.

N/A = Not applicable; ND = Not disclosed.

AMEX = American Stock Exchange; ASX = Australian Stock Exchange; BR = Brussels Stock Exchange; CDNX = Canadian Venture Exchange; LSE = London Stock Exchange; OTC BB = Over-the-Counter Bulletin Board; PK = Pink Sheets; SSE = Stockholm Stock Exchange.