CTI BioPharma
CTIC

股本结构

单位：万股
公告日期 2023-05-15 2023-05-15 2023-03-06 2023-03-06 2022-11-07 2022-11-07
证券总股本 13188.02 13188.00 13183.59 13074.72 12689.42 12687.92
普通股本 13188.02 13188.00 13183.59 13074.72 12689.42 12687.92
优先股 未披露 0.36 未披露 0.36 未披露 0.36
其他 未披露 未披露 未披露 未披露 未披露 未披露
变动日期 2023-05-04 2023-03-31 2023-02-21 2022-12-31 2022-10-31 2022-09-30
注释：中概股证券总股本=普通股股本/ 存托凭证比例

历史变动

公告日期 变动后普通股本（万股） 变动后优先股（万股） 变动原因 变动日期
2023-05-15 13188.02 未披露 定期报告 2023-05-04
2023-05-15 13188.00 0.36
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From January 1, 2023 to March 31, 2023 Exercise of stock options
2023-03-31
2023-03-06 13183.59 未披露 定期报告 2023-02-21
2023-03-06 13074.72 0.36
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From December 31, 2021 to December 31, 2022 Conversion of Series O preferred stock to common stock Issuance of common stock, net (at-the-market equity offering) Conversion of Series X preferred stock to common stock Exercise of stock options and shares issued under employee stock purchase plan
2022-12-31
2022-11-07 12689.42 未披露 定期报告 2022-10-31
2022-11-07 12687.92 0.36
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From June 30, 2022 to September 30, 2022 Conversion of Series X preferred stock to common stock Exercise of stock options Conversion of Series O preferred stock to common stock
2022-09-30
2022-08-08 11438.53 未披露 定期报告 2022-08-01
2022-08-08 11413.08 1.66
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From March 31, 2022 to June 30, 2022 Issuance of common stock, net (At-the-market equity facility) Conversion of Series X preferred stock to common stock Exercise of stock options and shares issued under employee stock purchase plan
2022-06-30
2022-05-12 10896.69 未披露 定期报告 2022-05-05
2022-04-19 10102.10 未披露 定期报告 2022-04-07
2022-05-12 10061.83 1.70
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From January 1, 2022 to March 31, 2022 Issuance of common stock, net (At-the-market equity facility) Exercise of stock options
2022-03-31
2022-03-31 9991.76 未披露 定期报告 2022-03-17
2022-03-31 9976.39 1.76
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From December 31, 2020 to December 31, 2021 Issuance of common stock, net (at-the-market equity offering) Issuance of common stock and Series X1 Preferred Stock, net Conversion of Series X preferred stock to common stock Exercise of stock options and shares issued under employee stock purchase plan Cancellation of restricted stock
2021-12-31
2021-11-12 9669.24 未披露 定期报告 2021-10-28
2021-11-12 9667.99 1.73
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From June 30, 2021 to September 30, 2021 Conversion of Series X preferred stock to common stock
2021-09-30
2021-08-05 9330.99 1.70
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From March 31, 2021 to June 30, 2021 Issuance of common stock and Series X1 preferred stock, net of issuance costs Exercise of stock options and shares issued under employee stock purchase plan
2021-06-30
2021-05-06 9328.22 未披露 定期报告 2021-04-29
2021-04-20 9315.12 未披露 定期报告 2021-04-08
2021-04-06 9015.77 未披露
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1.Common stock offered by the company 14,260,800 shares. 2.The number of shares of common stock to be outstanding after this offering is based on 75,896,884 shares of common stock outstanding as of December 31, 2020.
2021-04-06
2021-05-06 7675.13 1.70
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from January 1, 2021 to March 31, 2021 Issuance of common stock, net of issuance costs
2021-03-31
2021-04-20 7675.13 未披露 定期报告 2021-03-22
2021-03-17 7668.73 未披露 定期报告 2021-03-10
2021-03-17 7589.69 1.70
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from December 31, 2019 to December 31, 2020 Issuance of common stock, net of issuance costs Conversion of Series X preferred stock to common stock Reclassification of Series X preferred stock from mezzanine equity
2020-12-31
2020-12-07 7547.14 1.70 定期报告 2020-11-30
2020-11-10 7375.18 未披露 定期报告 2020-11-03
2020-08-07 7371.68 1.70
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From March 21, 2020 to June 30, 2020 Reclassification of Series X preferred stock from mezzanine equity
2020-06-30
2020-05-15 7368.16 1.70
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From December 31, 2019 to March 27, 2020 Issuance of common stock, net of issuance costs Conversion of Series X preferred stock to common stock
2020-03-27
2020-03-13 7367.87 未披露 定期报告 2020-03-06
2020-03-13 5797.97 1.26 定期报告 2019-12-31
2019-08-01 5797.87 1.26 定期报告 2019-06-30
2019-05-02 5797.87 未披露 定期报告 2019-04-25
2019-05-02 5797.93 1.26
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from January 1, 2019 to March 31, 2019 Equity-based compensation
2019-03-31
2019-04-04 5797.93 未披露 定期报告 2019-03-14
2019-03-13 5798.01 未披露 定期报告 2019-02-28
2019-03-13 5798.61 1.26
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from December 31, 2017 to December 31, 2018 Issuance of common stock, net of issuance costs Exchange of common stock for preferred stock
2018-12-31
2018-11-01 5798.86 未披露 定期报告 2018-10-25
2018-11-01 5798.87 1.26 定期报告 2018-09-30
2018-08-03 5798.89 未披露 定期报告 2018-07-26
2018-08-03 5798.49 1.26 定期报告 2018-06-30
2018-05-03 5797.66 未披露 定期报告 2018-04-26
2018-05-03 5798.09 1.26 定期报告 2018-03-31
2018-03-30 5798.11 1.26 定期报告 2018-03-22
2018-03-30 5798.29 未披露 定期报告 2018-02-20
2018-03-07 4296.95 0.06
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from December 31, 2016 to December 31, 2017 Issuance of Series N-3 preferred stock, net of issuance costs Conversion of Series N-3 preferred stock to common stock Equity-based compensation
2017-12-31
2017-12-08 4296.81 0.06 定期报告 2017-12-05
2017-11-07 4297.04 0.06 定期报告 2017-10-31
2017-11-07 4297.04 未披露 定期报告 2017-10-30
2017-11-07 4297.72 0.06 定期报告 2017-09-30
2017-08-31 4298.24 未披露 定期报告 2017-07-31
2017-08-04 4298.26 未披露 定期报告 2017-07-27
2017-07-27 4299.45 0.06 定期报告 2017-06-30
2017-06-29 2838.92 未披露 定期报告 2017-05-31
2017-05-03 2821.48 未披露 定期报告 2017-04-26
2017-05-03 2822.44 未披露 定期报告 2017-03-31
2017-03-02 2822.58 未披露 定期报告 2017-02-23
2017-02-27 2822.58 未披露 定期报告 2017-01-31
2017-03-02 2822.86 未披露
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from December 31, 2015 to January 3, 2017 Equity-based compensation On December 9, 2016 CTI BioPharma Corp. approved a 1-10 reverse stock split . The reverse stock split will become effective on or about January 1, 2017 and The NASDAQ Capital Market in the United States on January 3, 2017.
2017-01-03
2016-12-23 28229.27 未披露 定期报告 2016-11-30
2016-11-30 28230.16 未披露 定期报告 2016-10-31
2016-11-08 28237.66 未披露 定期报告 2016-10-27
2016-11-08 28250.83 未披露 定期报告 2016-09-30
2016-09-29 28254.46 未披露 定期报告 2016-08-31
2016-08-31 28271.78 未披露 定期报告 2016-07-31
2016-08-04 28281.94 未披露 定期报告 2016-07-28
2016-07-28 28287.06 未披露 定期报告 2016-06-30
2016-05-10 28293.01 未披露 定期报告 2016-05-03
2016-04-28 28034.68 未披露 定期报告 2016-03-31
2016-03-17 28054.38 未披露 定期报告 2016-02-26
2016-02-17 28055.54 未披露 定期报告 2016-02-10
2016-02-29 28056.50 未披露 定期报告 2016-01-31
2016-02-17 28046.11 未披露
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from December 31, 2014 to December 31, 2015 Issuance of common stock, net of issuance costs Conversion of Series N-1 preferred stock to common stock Conversion of Series N-2 preferred stock to common stock Value of beneficial conversion features related to preferred stock Equity-based compensation Stock option exercises
2015-12-31
2015-11-05 23172.39 未披露 定期报告 2015-10-30
2015-10-29 19184.15 未披露 定期报告 2015-09-30
2015-09-30 18072.11 未披露 定期报告 2015-08-31
2015-08-06 18065.91 未披露 定期报告 2015-07-30
2015-07-29 18035.91 未披露 定期报告 2015-07-22
2015-08-06 18037.23 未披露 定期报告 2015-06-30
2015-05-06 18024.74 未披露 定期报告 2015-03-31
2015-03-12 18025.59 未披露 定期报告 2015-03-05
2015-01-14 17979.05 未披露 定期报告 2015-01-08
2015-03-12 17676.11 未披露
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From December 31, 2013 to December 31, 2014 Issuance of Series 20 preferred stock, net of transaction costs Conversion of Series 20 preferred stock to common stock Issuance of Series 21 preferred stock, net of transaction costs Conversion of Series 21 preferred stock to common stock Exercise of common stock purchase warrants Equity-based compensation Stock option exercises
2014-12-31
2014-12-30 17650.18 未披露 定期报告 2014-11-30
2014-11-21 17652.28 未披露 定期报告 2014-11-20
2014-10-31 15009.19 未披露 定期报告 2014-10-24
2014-10-31 15013.54 未披露 定期报告 2014-09-30
2014-09-30 15015.08 未披露 定期报告 2014-08-31
2014-08-04 14993.32 未披露 定期报告 2014-07-29
2014-08-04 14594.52 未披露 定期报告 2014-06-30
2014-04-29 14983.01 未披露 定期报告 2014-04-23
2014-04-29 14983.90 未披露 定期报告 2014-03-31
2014-03-28 14961.83 未披露 定期报告 2014-03-17
2014-03-04 14963.77 未披露 定期报告 2014-02-24
2014-03-04 14550.88 未披露
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from December 31, 2012 to December 31, 2013 Issuance of Series 18 preferred stock, net of transaction costs Conversion of Series 18 preferred stock to common stock Issuance of Series 19 preferred stock, net of transaction costs Conversion of Series 19 preferred stock to common stock Equity-based compensation
2013-12-31
2013-12-10 14548.71 未披露 定期报告 2013-12-09
2013-10-30 12987.87 未披露 定期报告 2013-10-25
2013-10-30 12986.59 未披露 定期报告 2013-09-30
2013-07-31 11477.58 未披露 定期报告 2013-07-26
2013-07-31 11478.10 未披露 定期报告 2013-06-30
2013-05-13 11263.39 未披露 定期报告 2013-05-06
2013-05-02 11263.46 未披露 定期报告 2013-04-26
2013-05-02 11263.93 未披露 定期报告 2013-03-31
2013-02-28 10981.07 未披露 定期报告 2013-02-22
2013-02-28 10982.37 未披露
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from December 31, 2011 to December 31, 2012 Conversion of Series 14 preferred stock to common stock Issuance of Series 15 preferred stock, net of transaction costs Conversion of Series 15 preferred stock to common stock Issuance of Series 16 preferred stock, net of transaction costs Conversion of Series 16 preferred stock to common stock Issuance of Series 17 preferred stock, net of transaction costs Conversion of Series 17 preferred stock to common stock Exercise or exchange of common stock purchase warrants Equity-based compensation
2012-12-31
2012-11-01 9699.25 未披露 定期报告 2012-10-25
2012-11-01 6227.02 未披露 定期报告 2012-09-30
2012-08-02 28340.90 未披露 定期报告 2012-07-30
2012-07-27 25819.70 未披露 定期报告 2012-07-20
2012-08-02 26123.82 未披露 定期报告 2012-06-30
2012-06-25 24821.23 未披露 定期报告 2012-06-22
2012-04-20 22771.46 未披露 定期报告 2012-04-13
2012-04-20 22657.56 未披露 定期报告 2012-03-31
2012-03-08 22660.87 未披露 定期报告 2012-03-02
2012-03-08 20306.77 1.00
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from December 31, 2010 to December 31, 2011 Issuance of Series 8 preferred stock, net of transaction costs Redemption of Series 8 preferred stock Issuance of Series 9 preferred stock Conversion of Series 9 preferred stock to common stock Issuance of Series 10 preferred stock, net of transaction costs Redemption of Series 10 preferred stock Issuance of Series 11 preferred stock Conversion of Series 11 preferred stock to common stock Issuance of Series 12 preferred stock, net of transaction costs Conversion of Series 12 preferred stock to common stock Issuance of Series 13 preferred stock, net of transaction costs Conversion of Series 13 preferred stock to common stock Issuance of Series 14 preferred stock, net of transaction costs Conversion of Series 14 preferred stock to common stock Exercise of common stock purchase warrants Equity-based compensation Repurchase of shares in connection with taxes on restricted stock vesting Employee stock purchase plan
2011-12-31
2011-10-25 19276.34 未披露 定期报告 2011-10-21
2011-10-25 19280.12 未披露 定期报告 2011-09-30
2011-10-28 19287.55 未披露 定期报告 2011-08-31
2011-07-28 19287.68 未披露 定期报告 2011-07-22
2011-07-28 17522.99 未披露 定期报告 2011-06-30
2011-04-26 100540.96 未披露 定期报告 2011-04-22
2011-04-26 100446.21 未披露 定期报告 2011-03-31
2011-02-16 90079.96 未披露 定期报告 2011-02-14
2011-02-16 81375.13 未披露
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Issuance and conversion of Series 3 preferred stock to common stock Issuance and conversion of Series 4 preferred stock to common stock Issuance and conversion of Series 5 preferred stock to common stock Issuance and conversion of Series 6 preferred stock to common stock Issuance and conversion of Series 7 preferred stock to common stock Issuance of common stock in exchange for convertible notes Exercise of common stock purchase warrants Equity-based compensation Repurchase of shares in connection with taxes on restricted stock vesting Employee stock purchase plan
2010-12-31
2010-10-28 81478.19 未披露 定期报告 2010-10-22
2010-10-28 75845.39 未披露 定期报告 2010-09-30
2010-08-06 75847.55 未披露 定期报告 2010-07-30
2010-08-06 71350.31 未披露 定期报告 2010-06-30
2010-05-06 65629.73 未披露 定期报告 2010-05-03
2010-05-06 61542.39 未披露 定期报告 2010-03-31
2010-02-26 61611.62 未披露 定期报告 2010-02-22
2010-02-26 59028.26 未披露
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from December 31, 2008 to December 31, 2009 Issuance of common stock and warrants Conversion of 10% convertible senior notes due 2011 to common stock Conversion of 9% convertible senior notes to common stock Conversion of Series F preferred stock to common stock Conversion of Series 1 preferred stock to common stock Conversion of Series 2 preferred stock to common stock Exercise of Class A warrants Exercise of Class B warrants Issuance of common stock in exchange for convertible notes Issuance of common stock in connection with Series A preferred stock settlement Issuance of common stock in exchange for milestone modification Conversion or exchange of Series A, B and D convertible preferred stock to common stock Equity-based compensation Repurchase of shares in connection with taxes on restricted stock vesting Employee stock purchase plan
2009-12-31
2009-03-16 32183.97 未披露 定期报告 2009-03-09
2009-03-16 18641.19 1.11
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from December 31, 2007 to December 31, 2008 Conversion of convertible preferred stock to common stock Conversion of 18.33% convertible senior notes to common stock Conversion of 15.5% convertible senior notes to common stock Conversion of 13.5% convertible senior notes to common stock Conversion of 10% convertible senior notes due 2012 to common stock Conversion of 10% convertible senior notes due 2011 to common stock Conversion of 9.66% convertible senior notes to common stock Conversion of 9% convertible senior notes to common stock Conversion of 5.75% convertible senior notes to common stock Issuance of common stock in connection with exchange of 5.75% convertible subordinated and senior subordinated notes Issuance of common stock in connection with financing agreement Issuance of common stock under the Midsummer Equity Line Equity-based compensation
2008-12-31
2008-03-26 9460.79 未披露 定期报告 2008-03-19
2008-03-26 6244.42 3.45
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from December 31, 2006 to December 31, 2007 Conversion of convertible preferred stock to common stock Conversion of 7.5% convertible senior notes to common stock Issuance of common stock in connection with SMI acquisition Issuance of common stock in connection with exchange of 5.75% senior subordinated and subordinated notes Proceeds from issuance of common stock and warrants, net Equity-based compensation
2007-12-31
2007-03-16 15514.13 未披露 定期报告 2007-03-12
2007-03-16 14558.89 未披露
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from December 31, 2005 to December 31, 2006 Conversion of 6.75% convertible senior notes to common stock Proceeds from issuance of common stock, net Repurchase of common stock and warrants Conversion of 7.5% convertible senior notes to common stock Exercise of warrants to common stock Proceeds from issuance of common stock to Novartis, net Proceeds from stock sold via employee stock purchase plan Deferred compensation Conversion of restricted share rights to common stock
2006-12-31
2006-03-16 10127.22 未披露 定期报告 2006-03-10
2006-03-16 7342.17 未披露
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from December 31, 2004 to December 31, 2005 Conversion of convertible senior subordinated notes to common stock Equity instruments issued to induce conversion of convertible senior subordinated notes to common stock Conversion of convertible senior notes to common stock Proceeds from stock options exercised and stock sold via employee stock purchase plan Deferred compensation Equity-based compensation expense
2005-12-31
2005-03-04 6464.70 未披露 定期报告 2005-02-24
2005-03-04 6386.27 未披露
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from December 31, 2003 to December 31, 2004 Issuance of common stock for the acquisition of Novuspharma Conversion of warrants to common stock Proceeds from issuance of common stock, net Proceeds from stock options exercised and stock sold via employee stock purchase plan Deferred compensation Equity-based compensation expense
2004-12-31
2004-03-12 5030.64 未披露 定期报告 2004-03-01
2004-03-12 3433.90 未披露
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from December 31, 2002 to December 31, 2003 Conversion of warrants to common stock Preferred stock dividend Proceeds from stock options exercised and stock sold via employee stock purchase plan Deferred compensation
2003-12-31
2003-03-27 3313.59 未披露 定期报告 2003-02-28
2003-03-27 3305.42 未披露
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from December 31, 2001 to December 31, 2002 Preferred stock dividend Proceeds from stock options exercised and stock sold via employee stock purchase plan Equity-based compensation expense Repurchase of common stock
2002-12-31
2002-03-29 3499.10 未披露 定期报告 2002-02-28
2002-03-29 3498.18 未披露
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from December 31, 2000 to December 31, 2001 Conversion of preferred stock to common stock Preferred stock dividend Proceeds from stock warrants exercised Proceeds from stock options exercised and stock awards, and stock sold via employee stock purchase plan Rescission of option exercises Donation of common stock
2001-12-31
2001-04-02 3370.13 未披露 定期报告 2001-02-28
2001-04-02 3356.26 0.24
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from December 31, 1999 to December 31, 2000 PolaRx acquisition Conversion of preferred stock to common stock Net proceeds from the issuance of common stock, net of offering costs of $4,460,818 (including warrants issued to placement agent valued at $1,581,000) Net proceeds from the issuance of common stock via follow-on public offering, net of offering costs of $9,301,660 Preferred stock dividend Proceeds from stock warrants exercised Proceeds from stock options exercised and stock awards, and stock sold via employee stock purchase plan
2000-12-31
2000-03-24 2129.48 未披露 定期报告 2000-03-15
2000-03-24 1559.55 1.00
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from December 31, 1998 to December 31, 1999 Proceeds from stock options exercised and stock awards Proceeds from stock sold via employee stock purchase plan Net proceeds from the issuance of Series D convertible preferred stock and warrants to acquire common stock via private placement equity offering, net of offering costs of $755,040 (including warrants issued to placement agent value at $100,000)
1999-12-31
1999-03-31 1553.44 未披露
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from December 31, 1997 to December 31, 1998 Proceeds from stock options exercised and stock awards Restriced shares issued to non-employees Proceeds from stock sold via employee stock purchase plan
1998-12-31
1998-03-31 1538.34 未披露 定期报告 1998-03-27
1998-03-31 1537.84 未披露
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from December 31, 1996 to December 31, 1997 Net proceeds from the issuance of common stock via initial public offering, net of offering costs of $3,197,750 Net proceeds from the issuance of common stock via follow-on public offering, net of offering costs of $2,538,000 Net proceeds from the issuance of common stock via private placement equity offering Conversion of Preferred Stock to Common Stock Proceeds from stock options exercised and stock awards
1997-12-31
1997-03-31 1302.84 未披露 定期报告 1997-03-27
From January 1, 2023 to March 31, 2023 Exercise of stock options
From December 31, 2021 to December 31, 2022 Conversion of Series O preferred stock to common stock Issuance of common stock, net (at-the-market equity offering) Conversion of Series X preferred stock to common stock Exercise of stock options and shares issued under employee stock purchase plan
From June 30, 2022 to September 30, 2022 Conversion of Series X preferred stock to common stock Exercise of stock options Conversion of Series O preferred stock to common stock
From March 31, 2022 to June 30, 2022 Issuance of common stock, net (At-the-market equity facility) Conversion of Series X preferred stock to common stock Exercise of stock options and shares issued under employee stock purchase plan
From January 1, 2022 to March 31, 2022 Issuance of common stock, net (At-the-market equity facility) Exercise of stock options
From December 31, 2020 to December 31, 2021 Issuance of common stock, net (at-the-market equity offering) Issuance of common stock and Series X1 Preferred Stock, net Conversion of Series X preferred stock to common stock Exercise of stock options and shares issued under employee stock purchase plan Cancellation of restricted stock
From June 30, 2021 to September 30, 2021 Conversion of Series X preferred stock to common stock
From March 31, 2021 to June 30, 2021 Issuance of common stock and Series X1 preferred stock, net of issuance costs Exercise of stock options and shares issued under employee stock purchase plan
1.Common stock offered by the company 14,260,800 shares. 2.The number of shares of common stock to be outstanding after this offering is based on 75,896,884 shares of common stock outstanding as of December 31, 2020.
from January 1, 2021 to March 31, 2021 Issuance of common stock, net of issuance costs
from December 31, 2019 to December 31, 2020 Issuance of common stock, net of issuance costs Conversion of Series X preferred stock to common stock Reclassification of Series X preferred stock from mezzanine equity
From March 21, 2020 to June 30, 2020 Reclassification of Series X preferred stock from mezzanine equity
From December 31, 2019 to March 27, 2020 Issuance of common stock, net of issuance costs Conversion of Series X preferred stock to common stock
from January 1, 2019 to March 31, 2019 Equity-based compensation
from December 31, 2017 to December 31, 2018 Issuance of common stock, net of issuance costs Exchange of common stock for preferred stock
from December 31, 2016 to December 31, 2017 Issuance of Series N-3 preferred stock, net of issuance costs Conversion of Series N-3 preferred stock to common stock Equity-based compensation
from December 31, 2015 to January 3, 2017 Equity-based compensation On December 9, 2016 CTI BioPharma Corp. approved a 1-10 reverse stock split . The reverse stock split will become effective on or about January 1, 2017 and The NASDAQ Capital Market in the United States on January 3, 2017.
from December 31, 2014 to December 31, 2015 Issuance of common stock, net of issuance costs Conversion of Series N-1 preferred stock to common stock Conversion of Series N-2 preferred stock to common stock Value of beneficial conversion features related to preferred stock Equity-based compensation Stock option exercises
From December 31, 2013 to December 31, 2014 Issuance of Series 20 preferred stock, net of transaction costs Conversion of Series 20 preferred stock to common stock Issuance of Series 21 preferred stock, net of transaction costs Conversion of Series 21 preferred stock to common stock Exercise of common stock purchase warrants Equity-based compensation Stock option exercises
from December 31, 2012 to December 31, 2013 Issuance of Series 18 preferred stock, net of transaction costs Conversion of Series 18 preferred stock to common stock Issuance of Series 19 preferred stock, net of transaction costs Conversion of Series 19 preferred stock to common stock Equity-based compensation
from December 31, 2011 to December 31, 2012 Conversion of Series 14 preferred stock to common stock Issuance of Series 15 preferred stock, net of transaction costs Conversion of Series 15 preferred stock to common stock Issuance of Series 16 preferred stock, net of transaction costs Conversion of Series 16 preferred stock to common stock Issuance of Series 17 preferred stock, net of transaction costs Conversion of Series 17 preferred stock to common stock Exercise or exchange of common stock purchase warrants Equity-based compensation
from December 31, 2010 to December 31, 2011 Issuance of Series 8 preferred stock, net of transaction costs Redemption of Series 8 preferred stock Issuance of Series 9 preferred stock Conversion of Series 9 preferred stock to common stock Issuance of Series 10 preferred stock, net of transaction costs Redemption of Series 10 preferred stock Issuance of Series 11 preferred stock Conversion of Series 11 preferred stock to common stock Issuance of Series 12 preferred stock, net of transaction costs Conversion of Series 12 preferred stock to common stock Issuance of Series 13 preferred stock, net of transaction costs Conversion of Series 13 preferred stock to common stock Issuance of Series 14 preferred stock, net of transaction costs Conversion of Series 14 preferred stock to common stock Exercise of common stock purchase warrants Equity-based compensation Repurchase of shares in connection with taxes on restricted stock vesting Employee stock purchase plan
Issuance and conversion of Series 3 preferred stock to common stock Issuance and conversion of Series 4 preferred stock to common stock Issuance and conversion of Series 5 preferred stock to common stock Issuance and conversion of Series 6 preferred stock to common stock Issuance and conversion of Series 7 preferred stock to common stock Issuance of common stock in exchange for convertible notes Exercise of common stock purchase warrants Equity-based compensation Repurchase of shares in connection with taxes on restricted stock vesting Employee stock purchase plan
from December 31, 2008 to December 31, 2009 Issuance of common stock and warrants Conversion of 10% convertible senior notes due 2011 to common stock Conversion of 9% convertible senior notes to common stock Conversion of Series F preferred stock to common stock Conversion of Series 1 preferred stock to common stock Conversion of Series 2 preferred stock to common stock Exercise of Class A warrants Exercise of Class B warrants Issuance of common stock in exchange for convertible notes Issuance of common stock in connection with Series A preferred stock settlement Issuance of common stock in exchange for milestone modification Conversion or exchange of Series A, B and D convertible preferred stock to common stock Equity-based compensation Repurchase of shares in connection with taxes on restricted stock vesting Employee stock purchase plan
from December 31, 2007 to December 31, 2008 Conversion of convertible preferred stock to common stock Conversion of 18.33% convertible senior notes to common stock Conversion of 15.5% convertible senior notes to common stock Conversion of 13.5% convertible senior notes to common stock Conversion of 10% convertible senior notes due 2012 to common stock Conversion of 10% convertible senior notes due 2011 to common stock Conversion of 9.66% convertible senior notes to common stock Conversion of 9% convertible senior notes to common stock Conversion of 5.75% convertible senior notes to common stock Issuance of common stock in connection with exchange of 5.75% convertible subordinated and senior subordinated notes Issuance of common stock in connection with financing agreement Issuance of common stock under the Midsummer Equity Line Equity-based compensation
from December 31, 2006 to December 31, 2007 Conversion of convertible preferred stock to common stock Conversion of 7.5% convertible senior notes to common stock Issuance of common stock in connection with SMI acquisition Issuance of common stock in connection with exchange of 5.75% senior subordinated and subordinated notes Proceeds from issuance of common stock and warrants, net Equity-based compensation
from December 31, 2005 to December 31, 2006 Conversion of 6.75% convertible senior notes to common stock Proceeds from issuance of common stock, net Repurchase of common stock and warrants Conversion of 7.5% convertible senior notes to common stock Exercise of warrants to common stock Proceeds from issuance of common stock to Novartis, net Proceeds from stock sold via employee stock purchase plan Deferred compensation Conversion of restricted share rights to common stock
from December 31, 2004 to December 31, 2005 Conversion of convertible senior subordinated notes to common stock Equity instruments issued to induce conversion of convertible senior subordinated notes to common stock Conversion of convertible senior notes to common stock Proceeds from stock options exercised and stock sold via employee stock purchase plan Deferred compensation Equity-based compensation expense
from December 31, 2003 to December 31, 2004 Issuance of common stock for the acquisition of Novuspharma Conversion of warrants to common stock Proceeds from issuance of common stock, net Proceeds from stock options exercised and stock sold via employee stock purchase plan Deferred compensation Equity-based compensation expense
from December 31, 2002 to December 31, 2003 Conversion of warrants to common stock Preferred stock dividend Proceeds from stock options exercised and stock sold via employee stock purchase plan Deferred compensation
from December 31, 2001 to December 31, 2002 Preferred stock dividend Proceeds from stock options exercised and stock sold via employee stock purchase plan Equity-based compensation expense Repurchase of common stock
from December 31, 2000 to December 31, 2001 Conversion of preferred stock to common stock Preferred stock dividend Proceeds from stock warrants exercised Proceeds from stock options exercised and stock awards, and stock sold via employee stock purchase plan Rescission of option exercises Donation of common stock
from December 31, 1999 to December 31, 2000 PolaRx acquisition Conversion of preferred stock to common stock Net proceeds from the issuance of common stock, net of offering costs of $4,460,818 (including warrants issued to placement agent valued at $1,581,000) Net proceeds from the issuance of common stock via follow-on public offering, net of offering costs of $9,301,660 Preferred stock dividend Proceeds from stock warrants exercised Proceeds from stock options exercised and stock awards, and stock sold via employee stock purchase plan
from December 31, 1998 to December 31, 1999 Proceeds from stock options exercised and stock awards Proceeds from stock sold via employee stock purchase plan Net proceeds from the issuance of Series D convertible preferred stock and warrants to acquire common stock via private placement equity offering, net of offering costs of $755,040 (including warrants issued to placement agent value at $100,000)
from December 31, 1997 to December 31, 1998 Proceeds from stock options exercised and stock awards Restriced shares issued to non-employees Proceeds from stock sold via employee stock purchase plan
from December 31, 1996 to December 31, 1997 Net proceeds from the issuance of common stock via initial public offering, net of offering costs of $3,197,750 Net proceeds from the issuance of common stock via follow-on public offering, net of offering costs of $2,538,000 Net proceeds from the issuance of common stock via private placement equity offering Conversion of Preferred Stock to Common Stock Proceeds from stock options exercised and stock awards
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