| Punk, Ziegel & Company Contact Info |
| Location: New York, NY - United States Web Site |
| Number of Deals Placed: |
15
(Ranked 129 out of 1099 Placement Agents) |
| Total Dollar Amount Placed: |
$275,008,411
(Ranked 154 out of 1099 Placement Agents) |
| Favorite Sectors: |
| Consumer- Non-Cyclical (Healthcare) |
| Communications |
|
| Favorite Industries: |
| Biotechnology |
| Pharmaceuticals |
|
| Favorite Sub-Industries: |
| Medical - Biomedical/Gene |
| Medical - Drugs |
|
| Most Recent Transactions: |
| 01/03/05 |
Zone 4 Play, Inc. |
ZFPI |
| 12/17/04 |
Aradigm Corporation |
ARDM |
|
|
|
| Post Deal Stock Performance |
| |
% Change | vs. S&P 500 |
| 1 Month Avg. |
2.93 %
|
6.54 %
|
| 3 Month Avg. |
25.77 %
|
23.07 %
|
| 6 Month Avg. |
37.49 %
|
33.73 %
|
| 12 Month Avg. |
60.39 %
|
54.02 %
|
The performance numbers displayed above are based on a dollar weighted average of all of the transactions placed to date.
|
|
|
| Favored Sector, Industry, and Sub-Industry by Punk, Ziegel & Company Placements: |
| Sector |
% of $ Placed |
| Consumer- Non-Cyclical (Healthcare) |
94.91 % |
| Communications |
5.09 % |
| TOTAL |
100.00 % |
|
| Industry |
% of $ Placed |
| Biotechnology |
65.48 % |
| Pharmaceuticals |
29.44 % |
| Other |
5.09 % |
| TOTAL |
100.00 % |
|
| Sub-Industry |
% of $ Placed |
| Medical - Biomedical/Gene |
65.48 % |
| Medical - Drugs |
24.89 % |
| Other |
9.63 % |
| TOTAL |
100.00 % |
|
|
| |
|
Favored Security Structure and Market Cap Range by Punk, Ziegel & Company Placements: |
| Security Structure |
% of $ Placed |
| Common Stock |
83.75 % |
| Common Stock - Reset |
0.00 % |
| Common Stock - Shelf |
10.44 % |
| Structured Equity Line |
0.00 % |
| Convertibles: |
|
| Fixed |
5.82 % |
| Floating |
0.00 % |
| Reset |
0.00 % |
| Company Installment |
0.00 % |
| TOTAL |
100.00 % |
|
| Market Cap Range |
% of $ Placed |
| 0 - 20M |
5.26 % |
| 20M - 50M |
24.42 % |
| 50M - 100M |
15.54 % |
| 100M - 200M |
33.05 % |
| 200M - 500M |
21.73 % |
| 500M - 1B |
0.00 % |
| 1B - 5B |
0.00 % |
| 5B + |
0.00 % |
| TOTAL |
100.00 % |
|
|
| |
| All Transactions Placed by Punk, Ziegel & Company: |
| Date |
Company Name |
% Cash Fees |
Symbol |
Gross Proceeds |
Security Sold |
| PIPE Placements: |
| 01/03/2005 |
Zone 4 Play, Inc. |
6.00 % |
ZFPI |
$3,989,997 |
Common Stock |
| 12/17/2004 |
Aradigm Corporation |
6.00 % |
ARDM |
$12,500,093 |
Common Stock |
| 11/19/2004 |
VaxGen, Inc. |
Unavailable |
VXGN |
$39,750,000 |
Common Stock |
| 11/16/2004 |
WPCS International Inc. |
7.50 % |
WPCS |
$10,000,000 |
Common Stock |
| 05/03/2004 |
Axonyx Inc. FA |
8.18 % |
AXYX |
$20,000,000 |
Common Stock |
| 04/19/2004 |
Callisto Pharmaceuticals, Inc. |
5.80 % |
CLSP |
$4,839,995 |
Common Stock |
| 01/08/2004 |
Axonyx Inc. FA |
6.65 % |
AXYX |
$49,698,442 |
Common Stock |
| 12/03/2003 |
VaxGen, Inc. |
6.00 % |
VXGN |
$28,700,000 |
Common Stock - Shelf Sale |
| 09/11/2003 |
Axonyx Inc. FA |
3.56 % |
AXYX |
$24,299,067 |
Common Stock |
| 07/25/2003 |
Sonus Pharmaceuticals, Inc. |
7.69 % |
SNUS |
$13,991,053 |
Common Stock |
| 03/31/2003 |
Orchid BioSciences, Inc. |
Unavailable |
ORCH |
$16,000,000 |
Convertible Preferred Stock |
| 12/31/2002 |
Axonyx Inc. |
8.76 % |
AXYX |
$4,462,534 |
Common Stock |
| 01/18/2002 |
Sonus Pharmaceuticals, Inc. |
8.09 % |
SNUS |
$13,600,030 |
Common Stock |
| 12/04/2001 |
Axonyx Inc. |
6.32 % |
AXYX |
$6,422,200 |
Common Stock |
| 10/07/1997 |
Lynx Therapeutics, Inc. |
Unavailable |
LYXT |
$26,755,000 |
Common Stock |
| TOTAL |
15 |
$275,008,411 |
|
|
| FA Punk, Ziegel & Company acted as Financial Advisor on this transaction. |
|
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