I. COMMENCED TRADING IN NOVEMBER

Company
(Symbol)#

Date
Filed

Date
Comm.

Shares/
Units (M)

Price

Shares
Out
(M)@

Lead, Other
Underwriters

Gross
(US$M)

Post-
Offering
Market
Cap (M)%

INITIAL OFFERINGS

There were no initial public offerings completed in November.

Total: $0M

Number of IPOs in November: 0

Average value of November IPOs: $0M

Number of IPOs in 2012: 12

Total raised in IPOs in 2012: $811M

Average value of IPOs in 2012: $67.58M


Company
(Symbol)#

Date
Filed

Date
Comm.

Shares/
Units (M)

Price

Shares
Out
(M)@

Lead, Other
Underwriters

Gross
(US$M)

Post-
Offering
Market
Cap (M)%

FOLLOW-ON OFFERINGS

Array BioPharma Inc. (Boulder, Colo.; ARRY)1

1/13/12

11/9/12

18S

$3.65

112.9

Jefferies
J.P. Morgan (co-lead)
Piper Jaffray
Stifel Nicolaus Weisel
William Blair

$65.7

$412.1

Rexahn Pharmaceuticals Inc. (Rockville, Md.; NYSE:RNN)2

7/5/11

11/30/12

19.13S and W for 10.52S

$0.33

114.5

Maxim Group LLC
Burrill LLC

$6.3

$37.785


Total: $72M

Number of follow-on offerings in November: 2

Average value of November follow-ons: $36M

Number of follow-on offerings in 2012: 85

Total raised in follow-ons in 2012: $7,134.01M

Average value of follow-ons in 2012: $83.92M


Notes:

# Unless otherwise indicated, shares are traded on the Nasdaq exchange.

@ This column reflects the shares outstanding following the offering, when disclosed.

% Market capitalization is calculated based on the offering price.

Currency conversions are based on exchange rates at the time of the deal.

1 Array's overallotment option: 2.7M shares.

2 Rexahn's overallotment option: 2.9M shares of stock and warrants exercisable for up to 1.6M shares. Each fixed combination will consist of one share and a warrant to purchase up to 0.55 of a share.


II. FILED AND PENDING

Company
(Symbol)#*

Date Filed

Shares/Units (M)

Price

Shares Out

Lead, Other Underwriters

Gross (US$M)

INITIAL OFFERINGS

Audeo Oncology Inc. (San Francisco; AURX)1

7/6/12

3.25S

$14-$16

10.8

Leerink Swann
Oppenheimer & Co. (co-lead)

$49

Enanta Pharmaceuticals Inc. (Watertown, Mass.; ENTA)

11/6/12

N/A

N/A

N/A

J.P. Morgan
Credit Suisse (co-lead)
Leerink Swann
JMP Securities

$69

Globeimmune Inc. (Louisville, Colo.; GBIM)

7/2/12

5S

$11-$13

17.23

Wells Fargo Securities
Piper Jaffray (co-lead)
JMP Securities
Needham & Co.
MLV & Co.

$60

KaloBios Pharmaceuticals Inc. (South San Francisco; KBIO)

10/5/12

N/A

N/A

N/A

Leerink Swann LLC
William Blair & Co. LLC
Needham & Co. LLC

$60

Oncomed Pharmaceuticals Inc. (Redwood City, Calif.; OMED)

5/11/12

N/A

N/A

N/A

Jefferies
Leerink Swann (co-lead)
Piper Jaffray
BMO Capital Markets

$115

OvaScience Inc. (Cambridge, Mass.; OTC BB)

8/28/12

7.6S

$5.50

14.26

N/A

$41.8 (to selling stockholders)

Paratek Pharmaceuticals Inc. (Boston; PRTK)

9/27/12

N/A

N/A

N/A

UBS Investment Bank

Leerink Swann (co-lead)

$92

Radius Health Inc. (Cambridge, Mass.; RDUS)21

2/8/12

N/A

N/A

N/A

UBS Investment Bank
Leerink Swann (co-lead)
Cowen & Co.

$86.25
(withdrawn)

Rib-X Pharmaceuticals Inc. (New Haven, Conn.; RIBX)3

11/28/11

10S

$6-$7

19.9

Deutsche Bank Securities
William Blair & Co.
Lazard Capital Markets
Needham & Co. LLC

$65

Stemline Therapeutics Inc. (New York; STML)

4/2/12

3.5S

$11-$13

N/A

Oppenheimer & Co.
RBC Capital Markets (co-lead)
JMP Securities

$42


Notes: # Unless otherwise indicated, shares are traded on the Nasdaq exchange.

General shelf registration statements are not included until action is taken on the filing. * Stock symbols for companies seeking to complete IPOs are proposed. @ This column reflects the shares outstanding following the offering, when disclosed.

N/A = Not available, applicable or reported.

The value of all offerings is based on either the midpoint of the price range listed in the company's SEC filing or the most recent closing stock price before the offering was announced. In some cases, the company has not disclosed the number of shares to be offered or a price range. Then, the value is the maximum aggregate offering price listed in the SEC filing.

1 Audeo's overallotment option: 487,500-shares.

2 Radius Health withdrew its pending IPO, due to market conditions, on Nov. 15.

3 Rib-X opted for a private financing in 2012.