股本结构
单位：万股
| 公告日期 | 2024-02-06 | 2024-01-26 | 2024-01-26 | 2024-01-04 | 2024-02-06 | 2023-11-29 |
|---|---|---|---|---|---|---|
| 证券总股本 | 12389.69 | 12383.82 | 12375.79 | 12322.22 | 10750.00 | 10743.22 |
| 普通股本 | 12389.69 | 12383.82 | 12375.79 | 12322.22 | 10750.00 | 10743.22 |
| 优先股 | 未披露 | 未披露 | 未披露 | 未披露 | 未披露 | 未披露 |
| 其他 | 未披露 | 未披露 | 未披露 | 未披露 | 未披露 | 未披露 |
| 变动日期 | 2024-01-31 | 2024-01-19 | 2024-01-10 | 2024-01-05 | 2023-12-31 | 2023-11-20 |
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 |
|---|---|---|---|---|
| 2024-02-06 | 12389.69 | 未披露 | 定期报告 | 2024-01-31 |
| 2024-01-26 | 12383.82 | 未披露 | 定期报告 | 2024-01-19 |
| 2024-01-26 | 12375.79 | 未披露 | 定期报告 | 2024-01-10 |
| 2024-01-04 | 12322.22 | 未披露 |
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Common stock offered 15,790,000 shares by the company
|
2024-01-05 |
| 2024-02-06 | 10750.00 | 未披露 |
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From September 30, 2023 to December 31, 2023
Common stock - restricted stock units vesting
Exercise of stock options
|
2023-12-31 |
| 2023-11-29 | 10743.22 | 未披露 | 定期报告 | 2023-11-20 |
| 2023-11-29 | 10731.20 | 未披露 |
更多>>
From September 30, 2022 to September 30, 2023
Exercise of stock options
Common stock - restricted stock units vesting
|
2023-09-30 |
| 2023-08-07 | 10719.29 | 未披露 | 定期报告 | 2023-07-31 |
| 2023-08-07 | 10710.20 | 未披露 |
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From March 31, 2023 to June 30, 2023
Common stock - restricted stock units vesting
Exercise of stock options
|
2023-06-30 |
| 2023-05-02 | 10690.04 | 未披露 | 定期报告 | 2023-04-24 |
| 2023-05-02 | 10686.90 | 未披露 |
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From December 31, 2022 to March 31, 2023
Common stock - restricted stock units vesting
Exercise of stock options
|
2023-03-31 |
| 2023-02-06 | 10831.02 | 未披露 | 定期报告 | 2023-02-01 |
| 2023-01-30 | 10670.67 | 未披露 | 定期报告 | 2023-01-20 |
| 2023-02-06 | 10614.00 | 未披露 |
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From September 30, 2022 to December 31, 2022
Common stock - restricted stock units vesting
Exercise of stock options
|
2022-12-31 |
| 2022-11-28 | 10600.57 | 未披露 | 定期报告 | 2022-11-16 |
| 2022-11-28 | 10596.00 | 未披露 |
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From September 30, 2021 to September 30, 2022
Exercise of stock options
Common stock - restricted stock units vesting
|
2022-09-30 |
| 2022-08-04 | 10584.90 | 未披露 | 定期报告 | 2022-07-28 |
| 2022-08-04 | 10579.55 | 未披露 |
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From March 31, 2022 to June 30, 2022
Exercise of stock options
Common stock - restricted stock units vesting
|
2022-06-30 |
| 2022-05-10 | 10573.62 | 未披露 | 定期报告 | 2022-05-05 |
| 2022-05-10 | 10570.20 | 未披露 |
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From December 31, 2021 to March 31, 2022
Common stock - restricted stock units vesting
Foreign currency translation adjustments
|
2022-03-31 |
| 2022-02-02 | 10545.97 | 未披露 | 定期报告 | 2022-01-31 |
| 2022-01-26 | 10544.84 | 未披露 | 定期报告 | 2022-01-21 |
| 2022-01-26 | 10542.50 | 未披露 | 定期报告 | 2022-01-10 |
| 2022-02-02 | 10479.80 | 未披露 |
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From September 30, 2021 to December 31, 2021
Exercise of stock options
Common stock - restricted stock units vesting
|
2021-12-31 |
| 2021-11-22 | 10452.57 | 未披露 | 定期报告 | 2021-11-15 |
| 2021-11-22 | 10432.70 | 未披露 |
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From September 30, 2020 to September 30, 2021
Exercise of stock options
Common stock - restricted stock units vesting
|
2021-09-30 |
| 2021-08-05 | 10425.93 | 未披露 | 定期报告 | 2021-08-02 |
| 2021-08-05 | 10420.90 | 未披露 |
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From March 31, 2021 to June 30, 2021
Exercise of stock options
Common stock-restricted stock units vesting
|
2021-06-30 |
| 2021-05-04 | 10408.49 | 未披露 | 定期报告 | 2021-04-30 |
| 2021-05-04 | 10402.00 | 未披露 |
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from December 31, 2020 to March 31, 2021
Exercise of stock options
Common stock - restricted stock units vesting
|
2021-03-31 |
| 2021-02-04 | 10379.24 | 未披露 | 定期报告 | 2021-02-01 |
| 2021-01-28 | 10378.94 | 未披露 | 定期报告 | 2021-01-25 |
| 2021-01-28 | 10375.06 | 未披露 | 定期报告 | 2021-01-14 |
| 2021-02-04 | 10319.40 | 未披露 |
更多>>
From September 30,2020 to December 31,2020
Exercise of stock options
Common stock - restricted stock units vesting
|
2020-12-31 |
| 2020-11-23 | 10275.68 | 未披露 | 定期报告 | 2020-11-16 |
| 2020-11-23 | 10237.63 | 未披露 |
更多>>
From September 30, 2019 to September 30, 2020
Exercise of stock options
Common stock - restricted stock units vesting
Common stock - issued for cash
|
2020-09-30 |
| 2020-08-05 | 10229.18 | 未披露 | 定期报告 | 2020-07-27 |
| 2020-08-05 | 10225.09 | 未披露 |
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from March 31, 2020 to June 30, 2020
Exercise of stock options
Common stock - restricted stock units vesting
|
2020-06-30 |
| 2020-05-07 | 10177.33 | 未披露 | 定期报告 | 2020-05-05 |
| 2020-05-07 | 10174.81 | 未披露 |
更多>>
from December 31, 2019 to March 31, 2020
Common stock - restricted stock units vesting
Exercise of stock options
|
2020-03-31 |
| 2020-01-28 | 10156.22 | 未披露 | 定期报告 | 2020-01-22 |
| 2020-02-05 | 10111.18 | 未披露 |
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from September 30, 2019 to December 31, 2019
Exercise of stock options
Common stock - restricted stock units vesting
Common stock - issued for cash
|
2019-12-31 |
| 2019-12-06 | 10010.63 | 未披露 | 定期报告 | 2019-12-06 |
| 2019-11-25 | 9570.80 | 未披露 | 定期报告 | 2019-11-20 |
| 2019-11-25 | 9550.63 | 未披露 |
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From September 30, 2018 to September 30, 2019
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued at $23.00 per share
|
2019-09-30 |
| 2019-08-05 | 9530.10 | 未披露 | 定期报告 | 2019-08-02 |
| 2019-08-05 | 9520.76 | 未披露 |
更多>>
From September 30, 2018 to June 30, 2019
Exercise of stock options
Common stock- restricted stock units vesting
Common stock issued for cash
|
2019-06-30 |
| 2019-05-08 | 9481.41 | 未披露 | 定期报告 | 2019-05-06 |
| 2019-05-08 | 9466.57 | 未披露 |
更多>>
From December 31, 2018 to March 31, 2019
Exercise of stock options
Common stock- Restricted Stock Units vesting
|
2019-03-31 |
| 2019-02-07 | 9420.74 | 未披露 | 定期报告 | 2019-02-06 |
| 2019-01-25 | 9420.09 | 未披露 | 定期报告 | 2019-01-23 |
| 2019-01-25 | 9377.12 | 未披露 | 定期报告 | 2019-01-18 |
| 2019-02-07 | 9259.15 | 未披露 |
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From September 30, 2018 to December 31, 2018
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued for cash
|
2018-12-31 |
| 2018-12-11 | 9222.47 | 未披露 | 定期报告 | 2018-12-07 |
| 2018-12-11 | 8850.53 | 未披露 |
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From September 30, 2017 to September 30, 2018
Exercise of stock options
Exercise of warrants
Common stock- Restricted Stock Units vesting
Common stock issued at $5.25 per share
|
2018-09-30 |
| 2018-08-07 | 8802.31 | 未披露 | 定期报告 | 2018-08-06 |
| 2018-08-07 | 8785.47 | 未披露 |
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from September 30, 2017 to June 30, 2018
Exercise of stock options
Exercise of warrants
Common stock- Restricted Stock Units vesting
Common stock issued for cash at $5.25 per share, net of offering costs
|
2018-06-30 |
| 2018-05-08 | 8757.72 | 未披露 | 定期报告 | 2018-05-07 |
| 2018-05-08 | 8757.04 | 未披露 |
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from September 30, 2017 to March 31, 2018
Exercise of stock options
Exercise of warrants
Common stock- Restricted Stock Units vesting
Common stock issued for cash at $5.25 per share, net of offering costs
|
2018-03-31 |
| 2018-01-25 | 8678.76 | 未披露 | 定期报告 | 2018-01-19 |
| 2018-02-09 | 7491.79 | 未披露 |
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From September 30, 2017 To December 31, 2017
Exercise of warrants
Common stock- Restricted Stock Units vesting
|
2017-12-31 |
| 2017-12-12 | 7478.54 | 未披露 |
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From September 30, 2016 To September 30, 2017
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued to Amgen at $7.16 per share
Preferred stock converted to common stock
Exchange rights exercised
|
2017-09-30 |
| 2017-05-03 | 7477.21 | 未披露 |
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from December 31, 2016 to March 31, 2017
Preferred stock converted to common stock
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued to Amgen at $7.16 per share
|
2017-03-31 |
| 2017-02-01 | 7456.97 | 未披露 | 定期报告 | 2017-01-27 |
| 2017-02-06 | 7441.30 | 未披露 |
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from September 30, 2016 to December 31, 2016
Preferred stock converted to common stock
Common stock- Restricted Stock Units vesting
Common stock issued to Amgen at $7.16 per share
|
2016-12-31 |
| 2016-12-14 | 7417.35 | 未披露 | 定期报告 | 2016-12-12 |
| 2016-11-25 | 7149.25 | 1.57 | 定期报告 | 2016-11-22 |
| 2016-10-28 | 6974.67 | 1.57 | 定期报告 | 2016-10-27 |
| 2016-12-14 | 6974.67 | 1.57 |
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from September 30, 2015 to September 30, 2016
Exercise of warrants
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued for cash at $5.90 per share, net of offering costs
Common stock issued to Amgen at $7.16 per share
|
2016-09-30 |
| 2016-08-09 | 6075.03 | 未披露 | 定期报告 | 2016-08-08 |
| 2016-08-09 | 6042.94 | 1.57 |
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From September 30, 2015 to June 30, 2016
Exercise of warrants
Exercise of stock options
Common stock- Restricted Stock Unit vesting
|
2016-06-30 |
| 2016-05-10 | 5996.07 | 1.57 |
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from September 30, 2015 to March 31, 2016
Exercise of stock options
Common stock- Restricted Stock Unit vesting
|
2016-03-31 |
| 2016-02-09 | 5962.75 | 1.57 |
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From September 30, 2015 to December 31, 2015
Exercise of stock options
Common stock- Restricted Stock Unit vesting
|
2015-12-31 |
| 2015-12-14 | 5955.47 | 未披露 | 定期报告 | 2015-12-11 |
| 2015-12-14 | 5954.47 | 1.57 |
更多>>
from September 30, 2014 to September 30, 2015
Preferred stock converted to common stock
Exercise of warrants
Exercise of stock options
Exercise of exchange rights
Common stock- Restricted Stock Unit vesting
Common stock issued to Novartis @ $7.53
|
2015-09-30 |
| 2015-08-04 | 5950.09 | 未披露 | 定期报告 | 2015-07-31 |
| 2015-08-04 | 5949.84 | 1.57 |
更多>>
from September 30, 2014 to June 30, 2015
Preferred stock converted to common stock
Exercise of warrants
Exercise of stock options
Exercise of exchange rights
Common stock-RSU vesting
Common stock issued to Novartis @ $7.53
|
2015-06-30 |
| 2015-05-11 | 5949.84 | 未披露 | 定期报告 | 2015-05-08 |
| 2015-05-11 | 5943.59 | 1.57 |
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from September 30, 2014 to March 31, 2015
Preferred stock converted to common stock
Exercise of warrants
Exercise of stock options
Exercise of exchange rights
Common stock-RSU vesting
Common stock issued to Novartis @ $7.53
|
2015-03-31 |
| 2015-02-09 | 5479.26 | 未披露 | 定期报告 | 2015-02-05 |
| 2015-01-23 | 5473.33 | 1.83 | 定期报告 | 2015-01-09 |
| 2015-02-09 | 5471.57 | 1.83 |
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from September 30, 2014 to December 31, 2014
Exercise of warrants
Exercise of stock options
Exercise of exchange rights
|
2014-12-31 |
| 2014-11-25 | 5468.26 | 未披露 | 定期报告 | 2014-11-24 |
| 2014-11-25 | 5465.69 | 1.83 |
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from September 30, 2013 to September 30, 2014
Preferred stock issued @ $1,000 per share
Preferred stock converted to common stock
Exercise of warrants
Exercise of stock options
Common stock issued @ $5.86
Common stock issued @ $18.95
Common stock issued to Galloway
|
2014-09-30 |
| 2014-08-12 | 5290.86 | 2.13 |
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From September 30, 2013 to June 30, 2014
Common stock issued
Preferred stock issued
Common stock issued to Galloway
Preferred stock converted to common stock
|
2014-06-30 |
| 2014-05-06 | 5187.24 | 未披露 | 定期报告 | 2014-05-01 |
| 2014-05-06 | 5186.71 | 2.13 |
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from September 30, 2013 to March 31, 2014
Exercise of warrants
Exercise of stock options
Common stock issued @ $5.86
Common stock issued @ $18.95
Common stock issued to Galloway
Preferred stock converted to common stock
|
2014-03-31 |
| 2014-02-04 | 3968.70 | 未披露 | 定期报告 | 2014-01-31 |
| 2014-02-04 | 3900.22 | 5.13 |
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from September 30, 2013 to December 31, 2013
Exercise of warrants
Exercise of stock options
Common stock issued @ $5.86
Preferred stock converted to common stock
Preferred stock issued @ $1,000 per share
|
2013-12-31 |
| 2013-12-20 | 3870.88 | 5.13 | 定期报告 | 2013-12-18 |
| 2013-12-18 | 3870.04 | 未披露 | 定期报告 | 2013-12-16 |
| 2013-12-18 | 3248.94 | 0.99 |
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from September 30, 2012 to September 30, 2013
Exercise of warrants
Exercise of stock options
Subscription reversal
Common stock issued @ $4.49 per share to Roche
Common stock and warrants issued @ $2.26 per unit
Common stock and warrants issued @ $2.12 per unit
Common stock issued @ $1.83 per share
Preferred stock issued @ 1,000 per share
|
2013-09-30 |
| 2013-08-07 | 3153.92 | 未披露 | 定期报告 | 2013-08-05 |
| 2013-08-07 | 3130.63 | 0.99 |
更多>>
from September 30, 2012 to June 30, 2013
Subscription reversal
Common stock and warrants issued @ $ 2.26 per unit, net
Common stock and warrants issued @ $ 2.12 per unit, net
Common stock issued @ $ 4.49 per share to Roche
Common stock @ $ 1.83 per unit, net
Preferred stock issued @ $ 1,000 per share
|
2013-06-30 |
| 2013-05-09 | 1704.28 | 未披露 |
更多>>
from September 30, 2012 to March 31, 2013
Subscription reversal
Common stock and warrants issued @ $2.26 per unit
Common stock and warrants issued @ $2.12 per unit
Common stock issued @ $4.49 per share to Roche
|
2013-03-31 |
| 2013-02-13 | 1731.12 | 未披露 | 定期报告 | 2013-02-08 |
| 2013-02-04 | 1711.55 | 未披露 | 定期报告 | 2013-01-31 |
| 2013-02-13 | 1564.42 | 未披露 |
更多>>
from September 30,2012 to December 21,2012
Common stock and warrants issued @ $2.26 per unit
Common stock issued @ $4.49 per share to Roche
|
2012-12-21 |
| 2012-12-28 | 1357.92 | 未披露 |
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from September 30,2011 to September 30,2012
Exercise of stock options
Common stock issued @ $3.80 per share
Common stock issued @ $3.70 per share
Common stock issued @ $4.00 per share
Common stock issued @ $6.23 per share
Common stock issued @ $5.11 per share
Common stock issued @ $2.76 per share
Common stock issued under Committed Capital Agreement
Common stock issued in acquisitions
Fractional shares redeemed in reverse stock split
Preferred stock converted to common stock
Exercise of warrants
|
2012-09-30 |
| 2012-08-13 | 1131.08 | 未披露 |
更多>>
from September 30, 2011 to June 30, 2012
Exercise of stock options
Common stock issued @ $3.80 per share
Common stock issued @ $3.70 per share
Common stock issued @ $4.00 per share
Common stock issued @ $6.23 per share
Common stock issued @ $5.11 per share
Common stock issued under Committed Capital Agreement
Common stock issued in acquisitions
Fractional shares redeemed in reverse stock split
Preferred stock issued @ $1,000 per share
Preferred stock converted to common stock
Exercise of warrants
|
2012-06-30 |
| 2012-05-08 | 1121.30 | 未披露 | 定期报告 | 2012-05-01 |
| 2012-05-08 | 1080.63 | 未披露 |
更多>>
from Sep 30,2011 to Mar 31,2012
Exercise of stock options
Common stock issued @ $3.80 per share
Common stock issued @ $3.70 per share
Common stock issued @ $4.00 per share
Common stock issued under Committed Capital Agreement
Common stock issued in acquisition
Fractional shares redeemed in reverse stock split
Preferred stock converted to common stock
|
2012-03-31 |
| 2012-02-09 | 1053.05 | 0.10 |
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from September 30, 2011 to December 31, 2011
Exercise of stock options
Common stock issued @ $3.80 per share
Common stock issued @ $3.70 per share
Common stock issued @ $4.00 per share
Common stock issued under Committed Capital Agreement
Common stock issued in acquisition
Fractional shares redeemed in reverse stock split
Preferred stock issued @ $1,000 per share
|
2011-12-31 |
| 2011-12-20 | 1052.59 | 未披露 | 定期报告 | 2011-12-15 |
| 2011-12-20 | 864.23 | 未披露 |
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from September 30, 2010 to November 17, 2011
Exercise of warrants
Exercise of stock options
Common stock issued @ $3.80 per share
As of November 17, 2011, the Company effected a 1 for 10 reverse stock split.
|
2011-11-17 |
| 2011-08-08 | 7183.37 | 未披露 |
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from Sep 30, 2010 to Jun 30, 2011
Exercise of warrants
Exercise of stock options
|
2011-06-30 |
| 2010-12-22 | 7180.67 | 未披露 | 定期报告 | 2010-12-22 |
| 2010-12-22 | 7172.01 | 未披露 |
更多>>
Exercise of stock options
Common stock issued @ $0.63 per share
Common stock issued @ $1.312 per share
Common Stock issued to Calando stockholders in exchange for Calando’s shares
Common Stock issued to Unidym stockholders in exchange for Unidym’s shares
Exercise of warrants
|
2010-09-30 |
| 2010-08-12 | 7093.80 | 未披露 |
更多>>
Exercise of stock options
Common stock issued @ $0.63 per share
Common stock issued @ $1.312 per share
Common Stock issued to Calando stockholders in exchange for Calando’s shares
Common Stock issued to Unidym stockholders in exchange for Unidym’s shares
Exercise of warrants
|
2010-06-30 |
| 2010-05-13 | 6391.38 | 未披露 |
更多>>
Common stock issued @ $0.63 per share
Common Stock issued to Calando stockholders in exchange for Calando’s shares
Common Stock issued to Unidym stockholders in exchange for Unidym’s shares
Exercise of warrants
|
2010-03-31 |
| 2009-12-22 | 6278.84 | 未披露 | 定期报告 | 2009-12-15 |
| 2009-12-22 | 5641.18 | 未披露 |
更多>>
From September 30, 2008 to September 30, 2009
Common Stock issued @ $0.55 per share to Unidym stockholders in exchange for Unidym’s shares
Common Stock issued @ $0.52 per share to TEL Ventures in exchange for Unidym’s shares
Common stock issued @ $0.30 per share
|
2009-09-30 |
| 2008-12-15 | 4293.45 | 未披露 | 定期报告 | 2008-12-11 |
| 2008-12-15 | 4293.45 | 未披露 |
更多>>
From September 30, 2007 to September 30, 2008
Exercise of stock options
Common stock issued, net
Common stock issued @ $2.72 per share to Rice University as a gift
Common stock issued to purchase shares of Unidym, Inc.
Common stock issued to purchase MASA Energy, LLC
Common stock issued to Unidym for the acquisition of Nanoconduction
Common stock issued @ $2.18/sh to Alan Gotcher
|
2008-09-30 |
| 2007-12-14 | 3861.04 | 未披露 |
更多>>
From September 30, 2006 to September 30, 2007
Exercise of stock options
Common stock issued, net
Common stock issued for purchase of Carbon Nanotechnologies, Inc.
|
2007-09-30 |
| 2006-12-14 | 3420.36 | 未披露 | 定期报告 | 2006-12-11 |
| 2006-12-14 | 3414.36 | 未披露 |
更多>>
From September 30, 2005 to September 30, 2006
Exercise of stock options
Stock issued @ $4.88 per share
Common stock issued @ $3.84 per share as payment for application of patents
Common stock and warrants issued @ $3.50 per unit
Common stock issued to Caltech as payment for legal fees
Purchase of Calando Pharmaceuticals, Inc.@ 5.17/share
|
2006-09-30 |
| 2005-12-22 | 2798.42 | 未披露 |
更多>>
From September 30, 2004 to September 30, 2005
Exercise of warrants @ $1.50 per share
Exercise of stock options @ $1.00 per share
Purchase of Insert Therapeutics shares @ $0.28/share
Common stock issued for services
|
2005-09-30 |
| 2004-12-16 | 1363.15 | 未披露 |
更多>>
From September 30, 2003 to September 30, 2004
Exercise of stock options @ $0.20 per share
Common stock & warrants issued for cash @ $1.00 per unit
Common stock & warrants issued for marketable securities @ $1.00 per unit
Common stock and warrants issued for cash @ $1.50 per unit
Common stock issued in reverse acquisition
Common stock issued as a gift for $1.09 per share
Common stock and warrants issued as stock issuance cost @ $1.50 per unit
Exercise of stock option @ $0.20 per share
Exercise of stock options @ $1.00 per share
|
2004-09-30 |
Common stock offered 15,790,000 shares by the company
From September 30, 2023 to December 31, 2023
Common stock - restricted stock units vesting
Exercise of stock options
From September 30, 2022 to September 30, 2023
Exercise of stock options
Common stock - restricted stock units vesting
From March 31, 2023 to June 30, 2023
Common stock - restricted stock units vesting
Exercise of stock options
From December 31, 2022 to March 31, 2023
Common stock - restricted stock units vesting
Exercise of stock options
From September 30, 2022 to December 31, 2022
Common stock - restricted stock units vesting
Exercise of stock options
From September 30, 2021 to September 30, 2022
Exercise of stock options
Common stock - restricted stock units vesting
From March 31, 2022 to June 30, 2022
Exercise of stock options
Common stock - restricted stock units vesting
From December 31, 2021 to March 31, 2022
Common stock - restricted stock units vesting
Foreign currency translation adjustments
From September 30, 2021 to December 31, 2021
Exercise of stock options
Common stock - restricted stock units vesting
From September 30, 2020 to September 30, 2021
Exercise of stock options
Common stock - restricted stock units vesting
From March 31, 2021 to June 30, 2021
Exercise of stock options
Common stock-restricted stock units vesting
from December 31, 2020 to March 31, 2021
Exercise of stock options
Common stock - restricted stock units vesting
From September 30,2020 to December 31,2020
Exercise of stock options
Common stock - restricted stock units vesting
From September 30, 2019 to September 30, 2020
Exercise of stock options
Common stock - restricted stock units vesting
Common stock - issued for cash
from March 31, 2020 to June 30, 2020
Exercise of stock options
Common stock - restricted stock units vesting
from December 31, 2019 to March 31, 2020
Common stock - restricted stock units vesting
Exercise of stock options
from September 30, 2019 to December 31, 2019
Exercise of stock options
Common stock - restricted stock units vesting
Common stock - issued for cash
From September 30, 2018 to September 30, 2019
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued at $23.00 per share
From September 30, 2018 to June 30, 2019
Exercise of stock options
Common stock- restricted stock units vesting
Common stock issued for cash
From December 31, 2018 to March 31, 2019
Exercise of stock options
Common stock- Restricted Stock Units vesting
From September 30, 2018 to December 31, 2018
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued for cash
From September 30, 2017 to September 30, 2018
Exercise of stock options
Exercise of warrants
Common stock- Restricted Stock Units vesting
Common stock issued at $5.25 per share
from September 30, 2017 to June 30, 2018
Exercise of stock options
Exercise of warrants
Common stock- Restricted Stock Units vesting
Common stock issued for cash at $5.25 per share, net of offering costs
from September 30, 2017 to March 31, 2018
Exercise of stock options
Exercise of warrants
Common stock- Restricted Stock Units vesting
Common stock issued for cash at $5.25 per share, net of offering costs
From September 30, 2017 To December 31, 2017
Exercise of warrants
Common stock- Restricted Stock Units vesting
From September 30, 2016 To September 30, 2017
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued to Amgen at $7.16 per share
Preferred stock converted to common stock
Exchange rights exercised
from December 31, 2016 to March 31, 2017
Preferred stock converted to common stock
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued to Amgen at $7.16 per share
from September 30, 2016 to December 31, 2016
Preferred stock converted to common stock
Common stock- Restricted Stock Units vesting
Common stock issued to Amgen at $7.16 per share
from September 30, 2015 to September 30, 2016
Exercise of warrants
Exercise of stock options
Common stock- Restricted Stock Units vesting
Common stock issued for cash at $5.90 per share, net of offering costs
Common stock issued to Amgen at $7.16 per share
From September 30, 2015 to June 30, 2016
Exercise of warrants
Exercise of stock options
Common stock- Restricted Stock Unit vesting
from September 30, 2015 to March 31, 2016
Exercise of stock options
Common stock- Restricted Stock Unit vesting
From September 30, 2015 to December 31, 2015
Exercise of stock options
Common stock- Restricted Stock Unit vesting
from September 30, 2014 to September 30, 2015
Preferred stock converted to common stock
Exercise of warrants
Exercise of stock options
Exercise of exchange rights
Common stock- Restricted Stock Unit vesting
Common stock issued to Novartis @ $7.53
from September 30, 2014 to June 30, 2015
Preferred stock converted to common stock
Exercise of warrants
Exercise of stock options
Exercise of exchange rights
Common stock-RSU vesting
Common stock issued to Novartis @ $7.53
from September 30, 2014 to March 31, 2015
Preferred stock converted to common stock
Exercise of warrants
Exercise of stock options
Exercise of exchange rights
Common stock-RSU vesting
Common stock issued to Novartis @ $7.53
from September 30, 2014 to December 31, 2014
Exercise of warrants
Exercise of stock options
Exercise of exchange rights
from September 30, 2013 to September 30, 2014
Preferred stock issued @ $1,000 per share
Preferred stock converted to common stock
Exercise of warrants
Exercise of stock options
Common stock issued @ $5.86
Common stock issued @ $18.95
Common stock issued to Galloway
From September 30, 2013 to June 30, 2014
Common stock issued
Preferred stock issued
Common stock issued to Galloway
Preferred stock converted to common stock
from September 30, 2013 to March 31, 2014
Exercise of warrants
Exercise of stock options
Common stock issued @ $5.86
Common stock issued @ $18.95
Common stock issued to Galloway
Preferred stock converted to common stock
from September 30, 2013 to December 31, 2013
Exercise of warrants
Exercise of stock options
Common stock issued @ $5.86
Preferred stock converted to common stock
Preferred stock issued @ $1,000 per share
from September 30, 2012 to September 30, 2013
Exercise of warrants
Exercise of stock options
Subscription reversal
Common stock issued @ $4.49 per share to Roche
Common stock and warrants issued @ $2.26 per unit
Common stock and warrants issued @ $2.12 per unit
Common stock issued @ $1.83 per share
Preferred stock issued @ 1,000 per share
from September 30, 2012 to June 30, 2013
Subscription reversal
Common stock and warrants issued @ $ 2.26 per unit, net
Common stock and warrants issued @ $ 2.12 per unit, net
Common stock issued @ $ 4.49 per share to Roche
Common stock @ $ 1.83 per unit, net
Preferred stock issued @ $ 1,000 per share
from September 30, 2012 to March 31, 2013
Subscription reversal
Common stock and warrants issued @ $2.26 per unit
Common stock and warrants issued @ $2.12 per unit
Common stock issued @ $4.49 per share to Roche
from September 30,2012 to December 21,2012
Common stock and warrants issued @ $2.26 per unit
Common stock issued @ $4.49 per share to Roche
from September 30,2011 to September 30,2012
Exercise of stock options
Common stock issued @ $3.80 per share
Common stock issued @ $3.70 per share
Common stock issued @ $4.00 per share
Common stock issued @ $6.23 per share
Common stock issued @ $5.11 per share
Common stock issued @ $2.76 per share
Common stock issued under Committed Capital Agreement
Common stock issued in acquisitions
Fractional shares redeemed in reverse stock split
Preferred stock converted to common stock
Exercise of warrants
from September 30, 2011 to June 30, 2012
Exercise of stock options
Common stock issued @ $3.80 per share
Common stock issued @ $3.70 per share
Common stock issued @ $4.00 per share
Common stock issued @ $6.23 per share
Common stock issued @ $5.11 per share
Common stock issued under Committed Capital Agreement
Common stock issued in acquisitions
Fractional shares redeemed in reverse stock split
Preferred stock issued @ $1,000 per share
Preferred stock converted to common stock
Exercise of warrants
from Sep 30,2011 to Mar 31,2012
Exercise of stock options
Common stock issued @ $3.80 per share
Common stock issued @ $3.70 per share
Common stock issued @ $4.00 per share
Common stock issued under Committed Capital Agreement
Common stock issued in acquisition
Fractional shares redeemed in reverse stock split
Preferred stock converted to common stock
from September 30, 2011 to December 31, 2011
Exercise of stock options
Common stock issued @ $3.80 per share
Common stock issued @ $3.70 per share
Common stock issued @ $4.00 per share
Common stock issued under Committed Capital Agreement
Common stock issued in acquisition
Fractional shares redeemed in reverse stock split
Preferred stock issued @ $1,000 per share
from September 30, 2010 to November 17, 2011
Exercise of warrants
Exercise of stock options
Common stock issued @ $3.80 per share
As of November 17, 2011, the Company effected a 1 for 10 reverse stock split.
from Sep 30, 2010 to Jun 30, 2011
Exercise of warrants
Exercise of stock options
Exercise of stock options
Common stock issued @ $0.63 per share
Common stock issued @ $1.312 per share
Common Stock issued to Calando stockholders in exchange for Calando’s shares
Common Stock issued to Unidym stockholders in exchange for Unidym’s shares
Exercise of warrants
Exercise of stock options
Common stock issued @ $0.63 per share
Common stock issued @ $1.312 per share
Common Stock issued to Calando stockholders in exchange for Calando’s shares
Common Stock issued to Unidym stockholders in exchange for Unidym’s shares
Exercise of warrants
Common stock issued @ $0.63 per share
Common Stock issued to Calando stockholders in exchange for Calando’s shares
Common Stock issued to Unidym stockholders in exchange for Unidym’s shares
Exercise of warrants
From September 30, 2008 to September 30, 2009
Common Stock issued @ $0.55 per share to Unidym stockholders in exchange for Unidym’s shares
Common Stock issued @ $0.52 per share to TEL Ventures in exchange for Unidym’s shares
Common stock issued @ $0.30 per share
From September 30, 2007 to September 30, 2008
Exercise of stock options
Common stock issued, net
Common stock issued @ $2.72 per share to Rice University as a gift
Common stock issued to purchase shares of Unidym, Inc.
Common stock issued to purchase MASA Energy, LLC
Common stock issued to Unidym for the acquisition of Nanoconduction
Common stock issued @ $2.18/sh to Alan Gotcher
From September 30, 2006 to September 30, 2007
Exercise of stock options
Common stock issued, net
Common stock issued for purchase of Carbon Nanotechnologies, Inc.
From September 30, 2005 to September 30, 2006
Exercise of stock options
Stock issued @ $4.88 per share
Common stock issued @ $3.84 per share as payment for application of patents
Common stock and warrants issued @ $3.50 per unit
Common stock issued to Caltech as payment for legal fees
Purchase of Calando Pharmaceuticals, Inc.@ 5.17/share
From September 30, 2004 to September 30, 2005
Exercise of warrants @ $1.50 per share
Exercise of stock options @ $1.00 per share
Purchase of Insert Therapeutics shares @ $0.28/share
Common stock issued for services
From September 30, 2003 to September 30, 2004
Exercise of stock options @ $0.20 per share
Common stock & warrants issued for cash @ $1.00 per unit
Common stock & warrants issued for marketable securities @ $1.00 per unit
Common stock and warrants issued for cash @ $1.50 per unit
Common stock issued in reverse acquisition
Common stock issued as a gift for $1.09 per share
Common stock and warrants issued as stock issuance cost @ $1.50 per unit
Exercise of stock option @ $0.20 per share
Exercise of stock options @ $1.00 per share