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Cowen and Co. is arranging a $50 million at-the-market offering of common stock for Oncothyreon Inc. (ONTY), the developer of a vaccine that stimulates the body's immune system response to some cancers
The vaccine Stimuvax is in Phase III clinical trials. More
Other Top Stories... |
Sun River Energy (SNRV), a PIPE issuer under investigation for alleged stock manipulation, has rehired Mirador Consulting to assist in capital raising efforts. More
Rodman & Renshaw Capital Group (RODM), the owner of the most active PIPE placement agent, is betting its future and the future of the private placement business on a new automated electronic execution platform. More
Philadelphia Brokerage and Emerging Growth Equities are arranging a $10 million registered direct offering of common stock of Axion Power International (AXPW) to fund development of the company's lead-carbon-based batteries and electrical power storage systems. More
Ardea Biosciences (RDEA), an early-stage biotechnology company with a drug to treat gout undergoing phase III trials, filed a registered direct offering, after a 21.3% rise in its share price. More
The former chief procurement officer of PIPE issuer Syntax-Brillian Corp. was ordered to pay $48 million in disgorgement, interest and fines for insider trading and for taking part in a fraudulent revenue-recognition scheme, the Securities and Exchange Commission said. More
Ener1 Inc. (HEVVQ), a lithium-ion battery maker that's raised $298.9 million in the PIPE market since 2003, filed for bankruptcy protection. More
Ladenburg Thalmann & Co. is arranging an $11.1 million registered direct offering of common stock for Repros Therapeutics (RPRX) to fund clinical trials of its Androxal and Proellex drug candidates for treatment of sexual disorders. More
Chardan Capital Markets is arranging a $5.76 million registered direct offering of common stock and warrants of CEL-SCI Corp. (CVM) to fund expenses including a legal settlement with PIPE investors led by Iroquois Capital, and phase III clinical trials of its Multikine injection for treatment of cancer. More
Rodman & Renshaw Capital Group, the most active PIPE placement agent in nine of the last 10 years, may have earned only $4.9 million in investment banking fees from PIPEs, registered direct offerings and underwritten offerings in the fourth quarter, based on fees disclosed in securities filings and estimates of undisclosed fees for similar transactions. More
The number of PIPE transactions so far this year is down significantly, compared to 2011 at this time.
There have been only 42 placements of more than $1 million, worth a total of $760.9 million, so far in 2012. More
Shares of Response Genetics (RGDX) rose as much as 41% after the provider of diagnostic tests for cancer announced a $7.95 million private placement of common stock. More
Ardea Biosciences (RDEA), an early-stage biotechnology company with a gout drug undergoing phase III trials, raised $144.5 million in an overnight deal. More
Aegis Capital is raising a total of $10.85 million in financing for ChromaDex Corp. (CDXC), a provider of ingredients for dietary supplements, natural foods, cosmetics and pharmaceuticals. More
Shares of development-stage drug maker MannKind Corp. (MNKD) fell after the company disclosed offerings of up to $50 million in stock and $161 million in convertible debt. More
Rodman & Renshaw is arranging a $30 million registered direct offering of common stock and warrants of Hyperdynamics Corp. (HDY) to fund ongoing drilling costs related to the oil explorer's Sabu-1 exploratory well in offshore Guinea in West Africa. More
Noelle Maloney was named interim inspector general of the Securities and Exchange Commission while the SEC searches for a permanent replacement for David Kotz, who recently resigned from his post as the agency's internal watchdog. More
Citigroup Global Markets and Piper Jaffray & Co. acted as the joint book-running managers on a $45.15 million confidentially marketed public offering of common stock of Trius Therapeutics (TSRX) to fund the biotechnology company's ongoing phase III clinical trials of a new treatment for antibiotic resistant infections. More
Triodos Bank, a Netherlands-based financial institution, has increased its stake in New Resource Bank (NWBN) to more than 20% after participating in a $7.7 million private placement of common stock. More
The N.I.R. Group, the investment management firm run by Corey Ribotsky, is resigning as the manager of the AJW Funds, according to a spokesman for the firm and Ribotsky. More
A federal appellate court rejected hedge fund manager Special Situations Funds' argument that it should have been exempt from securities laws barring short-swing profits by holders of 10% of a company's registered shares in a case where it invested in a PIPE. More
