Transactions

Trout Capital has helped its clients close on transactions in both up and down markets, whether working as a sole advisor or in conjunction with other investment banks.

Date	Company	Size
02/2012	Vivus Inc. Public Offering of Common Stock Advisor	$202,500,000	Details Vivus Inc. $202,500,000 Public Offering of Common Stock Advisor View Press Release February 2012
02/2012	Algeta Private Placement of Common Stock Advisor	NOK 260,000,000	Details Algeta NOK 260,000,000 Private Placement of Common Stock Advisor February 2012
12/2011	Cell Therapeutics Private Placement of Preferred Stock and Warrants Advisor	$20,000,000	Details Cell Therapeutics $20,000,000 Private Placement of Preferred Stock and Warrants Advisor View Press Release December 2011
08/2011	Vivus Inc. Registered Direct Placement of Common Stock Advisor	$45,800,000	Details Vivus Inc. $45,800,000 Registered Direct Placement of Common Stock Advisor View Press Release August 2011
07/2011	Genetic Technologies, Inc. Private Placement of Common Stock US Placement Agent	A$11,700,000	Details Genetic Technologies, Inc. A$11,700,000 Private Placement of Common Stock US Placement Agent View Press Release July 2011
06/2011	Cell Therapeutics Private Placement of Preferred Stock and Warrants Financial Advisor	$30,000,000	Details Cell Therapeutics $30,000,000 Private Placement of Preferred Stock and Warrants Financial Advisor View Press Release June 2011
06/2011	Pharmacyclics, Inc. Registered Direct Placement of Common Stock Advisor	$57,100,000	Details Pharmacyclics, Inc. $57,100,000 Registered Direct Placement of Common Stock Advisor View Press Release June 2011
04/2011	Inhibitex, Inc. Public Offering of Common Stock Financial Advisor	$54,000,000	Details Inhibitex, Inc. $54,000,000 Public Offering of Common Stock Financial Advisor View Press Release April 2011
03/2011	BioSante Pharmaceuticals Registered Direct Placement of Common Stock Financial Advisor	$25,100,000	Details BioSante Pharmaceuticals $25,100,000 Registered Direct Placement of Common Stock Financial Advisor View Press Release March 2011
02/2011	4SC AG Capital Increase Advisor	€11,740,000	Details 4SC AG €11,740,000 Capital Increase Advisor View Press Release February 2011
01/2011	Amarin Corp. Public Offering of American Depositary Shares Advisor	$104,900,000	Details Amarin Corp. $104,900,000 Public Offering of American Depositary Shares Advisor View Press Release January 2011
12/2010	BioSante Pharmaceuticals Registered Direct Placement of Common Stock and Warrants Financial Advisor	$18,000,000	Details BioSante Pharmaceuticals $18,000,000 Registered Direct Placement of Common Stock and Warrants Financial Advisor View Press Release December 2010
12/2010	Neurologix, Inc. Secured Notes Co-Placement Agent	$7,000,000	Details Neurologix, Inc. $7,000,000 Secured Notes Co-Placement Agent View Press Release December 2010
11/2010	GeneGo, Inc. Company Sale Sole Financial Advisor	Undisclosed	Details GeneGo, Inc. Undisclosed Company Sale Sole Financial Advisor View Press Release November 2010
11/2010	Avanir Pharmaceuticals Public Offering of Common Stock Financial Advisor	$83,200,000	Details Avanir Pharmaceuticals $83,200,000 Public Offering of Common Stock Financial Advisor View Press Release November 2010
10/2010	Cell Therapeutics Private Placement of Preferred Stock and Warrants Financial Advisor	$21,000,000	Details Cell Therapeutics $21,000,000 Private Placement of Preferred Stock and Warrants Financial Advisor View Press Release October 2010
08/2010	Intendis GmbH (Bayer HealthCare) Product Licensing Advisor	Undisclosed	Details Intendis GmbH (Bayer HealthCare) Undisclosed Product Licensing Advisor View Press Release August 2010
07/2010	Response Biomedical Corp. Private Placement of Common Stock Placement Agent	C$8,000,000	Details Response Biomedical Corp. C$8,000,000 Private Placement of Common Stock Placement Agent View Press Release July 2010
06/2010	BioSante Pharmaceuticals Registered Direct Placement of Common Stock Financial Advisor	$15,000,000	Details BioSante Pharmaceuticals $15,000,000 Registered Direct Placement of Common Stock Financial Advisor View Press Release June 2010
06/2010	Pharmacyclics, Inc. Registered Direct Placement of Common Stock Advisor	$52,000,000	Details Pharmacyclics, Inc. $52,000,000 Registered Direct Placement of Common Stock Advisor View Press Release June 2010
04/2010	Genetic Technologies Group Private Placement of Common Stock Placement Agent	$1,089,681	Details Genetic Technologies Group $1,089,681 Private Placement of Common Stock Placement Agent View Press Release April 2010
03/2010	Cell Therapeutics Private Placement of Preferred Stock and Warrants Financial Advisor	$20,000,000	Details Cell Therapeutics $20,000,000 Private Placement of Preferred Stock and Warrants Financial Advisor View Press Release March 2010
03/2010	Epigenomics AG Rights Offering of Common Stock US Placement Agent	€33,100,000	Details Epigenomics AG €33,100,000 Rights Offering of Common Stock US Placement Agent View Press Release March 2010
01/2010	Cell Therapeutics Private Placement of Preferred Stock and Warrants Advisor	$30,000,000	Details Cell Therapeutics $30,000,000 Private Placement of Preferred Stock and Warrants Advisor View Press Release January 2010
09/2009	Vivus Inc. Public Offering of Common Stock Advisor	$108,675,000	Details Vivus Inc. $108,675,000 Public Offering of Common Stock Advisor View Press Release September 2009
09/2009	Intendis GmbH (Bayer HealthCare) Product Acquistion Advisor	Undisclosed	Details Intendis GmbH (Bayer HealthCare) Undisclosed Product Acquistion Advisor View Press Release September 2009
08/2009	Avanir Pharmaceuticals Controlled Equity Offering Sub-Sales Agent	$10,530,000	Details Avanir Pharmaceuticals $10,530,000 Controlled Equity Offering Sub-Sales Agent View Press Release August 2009
08/2009	Pharmacyclics, Inc. Rights Offering of Common Stock Financial Advisor	$28,800,000	Details Pharmacyclics, Inc. $28,800,000 Rights Offering of Common Stock Financial Advisor View Press Release August 2009
07/2009	Cell Therapeutics Public Offering of Common Stock and Warrants Financial Advisor	$43,851,499	Details Cell Therapeutics $43,851,499 Public Offering of Common Stock and Warrants Financial Advisor View Press Release July 2009
05/2009	Response Biomedical Corp. Unit Offering US Placement Agent	C$11,000,000	Details Response Biomedical Corp. C$11,000,000 Unit Offering US Placement Agent View Press Release May 2009
02/2009	Epigenomics AG Capital Increase Financial Advisor	€5,182,000	Details Epigenomics AG €5,182,000 Capital Increase Financial Advisor View Press Release February 2009
02/2009	Pharmasset, Inc. Registered Direct Placement of Common Stock Financial Advisor	$45,500,000	Details Pharmasset, Inc. $45,500,000 Registered Direct Placement of Common Stock Financial Advisor View Press Release February 2009
08/2008	Vivus Inc. Registered Direct Placement of Common Stock Placement Agent	$65,000,000	Details Vivus Inc. $65,000,000 Registered Direct Placement of Common Stock Placement Agent View Press Release August 2008
07/2008	Pharmasset, Inc. Registered Direct Placement of Common Stock Financial Advisor	$25,900,000	Details Pharmasset, Inc. $25,900,000 Registered Direct Placement of Common Stock Financial Advisor July 2008
02/2008	Epigenomics AG Rights Offering of Common Stock Placement Agent	€13,500,000	Details Epigenomics AG €13,500,000 Rights Offering of Common Stock Placement Agent February 2008
11/2007	Pharmaxis, Inc. Private Placement of Common Stock Financial Advisor	A$20,000,000	Details Pharmaxis, Inc. A$20,000,000 Private Placement of Common Stock Financial Advisor November 2007
10/2007	DUSA Pharmaceuticals, Inc. Private Placement of Common Stock and Warrants Financial Advisor	$11,000,000	Details DUSA Pharmaceuticals, Inc. $11,000,000 Private Placement of Common Stock and Warrants Financial Advisor October 2007
08/2007	Encysive Pharmaceuticals Private Placement of Common Stock Co-Placement Agent	$15,000,000	Details Encysive Pharmaceuticals $15,000,000 Private Placement of Common Stock Co-Placement Agent August 2007
06/2007	IDM Pharma Registered Direct Placement of Common Stock and Warrants Financial Advisor	$25,000,000	Details IDM Pharma $25,000,000 Registered Direct Placement of Common Stock and Warrants Financial Advisor June 2007
05/2007	Vasogen Inc. Private Placement of Common Stock and Warrants Financial Advisor	$16,000,000	Details Vasogen Inc. $16,000,000 Private Placement of Common Stock and Warrants Financial Advisor View Press Release May 2007
05/2007	Avalon Pharmaceuticals Private Placement of Common Stock Co-Placement Agent	$20,000,000	Details Avalon Pharmaceuticals $20,000,000 Private Placement of Common Stock Co-Placement Agent View Press Release May 2007
05/2007	Epigenomics AG Private Placement of Common Stock Placement Agent	$6,600,000	Details Epigenomics AG $6,600,000 Private Placement of Common Stock Placement Agent May 2007
01/2007	Avalon Pharmaceuticals Private Placement of Common Stock Financial Advisor	$10,000,000	Details Avalon Pharmaceuticals $10,000,000 Private Placement of Common Stock Financial Advisor View Press Release January 2007

	7/17/2012 PDUFA: Vivus' Qnexa for the treatment of obesity Washington, DC, USA
	8/1/2012 8th Annual Wall Street Unplugged New York, NY, USA