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股本结构

单位:万股
公告日期 2018-07-17 2018-05-15 2018-04-02 2018-04-02 2017-12-19 2017-11-14
证券总股本 3591.53 3200.33 3190.33 2100.22 1790.42 1755.33
普通股本 3591.53 3200.33 3190.33 2100.22 1790.42 1755.33
优先股 未披露 0.55 未披露 1.22 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 2018-07-10 2018-03-31 2018-03-20 2017-12-31 2017-12-01 2017-11-13
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
2018-07-17 3591.53 未披露 定期报告 2018-07-10
2018-05-15 3200.33 0.55
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From December 31, 2017 to March 31, 2018 Conversion of Series E Preferred Stock and dividends Common stock issued to consultant
2018-03-31
2018-04-02 3190.33 未披露 定期报告 2018-03-20
2018-04-02 2100.22 1.22
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from December 31, 2016 to December 31, 2017 Conversion of Series E Preferred Stock and dividends Common stock issued in connection with November 2016 Equity Line Common stock issued in connection with March 2017 Equity Line Commitment fees and adjustment to shares issued related to November 2016 Equity Line Common stock issued to settle liabilities Common stock issued to consultant Share Purchase agreements and amendments Shares issued in conjunction with May 2017 Convertible Notes Rounding shares issued in connection with Reverse Split Conversion of April 2017 Convertible Notes Conversion of July 2017 Senior Secured Convertible Note Conversion of May 2017 Convertible Notes
2017-12-31
2017-12-19 1790.42 未披露 定期报告 2017-12-01
2017-11-14 1755.33 未披露 定期报告 2017-11-13
2017-11-14 1367.70 未披露
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from December 31, 2016 to September 30, 2017 Common stock issued in connection with November 2016 Equity Line Common stock issued in connection with March 2017 Equity Line Commitment fees and adjustment to shares issued related to March 2017 Equity Line Common stock issued to settle liabilities Share Purchase agreements and amendments Shares issued in conjunction with May 2017 Convertible Notes Rounding shares issued in connection with Reverse Split Conversion of April 2017 Convertible Notes Conversion of July 2017 Senior Secured Convertible Note Conversion of May 2017 Convertible Notes
2017-09-30
2017-09-11 1358.64 未披露 定期报告 2017-09-07
2017-08-21 1057.55 未披露 定期报告 2017-08-17
2017-07-28 1010.77 未披露 定期报告 2017-07-26
2017-07-18 1001.38 未披露 定期报告 2017-07-17
2017-08-21 996.43 未披露
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from December 31, 2016 to June 30, 2017 Common stock issued in connection with November 2016 Equity Line Common stock issued in connection with March 2017 Equity Line Commitment fees and adjustment to shares issued related to March 2017 Equity Line Common stock issued to settle liabilities Share Purchase agreements and amendments to Share Purchase agreements Shares issued in conjunction with May 2017 Convertible Notes Rounding shares issued in connection with Reverse Split
2017-06-30
2017-06-30 990.28 未披露 定期报告 2017-06-29
2017-06-14 1008.71 未披露 定期报告 2017-06-09
2017-05-17 1002.71 未披露 定期报告 2017-05-16
2017-06-14 956.96 未披露
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from December 31, 2016 to April 13, 2017 Common stock issued in connection with November 2016 HLHW Equity Line Common stock issued in connection with March 2017 HLHW Equity Line Common stock issued to settle liabilities Amendments to certain securities purchase agreements On April 12, 2017,Pharmaceuticals Inc. announced a reverse stock split of its shares of common stock at a ratio of 1-for-20. Beginning with the opening of trading on April 13, 2017.
2017-04-13
2017-03-23 18447.63 未披露 定期报告 2017-03-22
2016-12-02 14209.14 未披露 定期报告 2016-11-30
2016-11-18 13129.14 未披露 定期报告 2016-11-17
2016-11-02 12479.14 未披露 定期报告 2016-10-21
2016-11-18 11269.14 未披露
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from December 31, 2015 to September 30, 2016 Conversion of Series D Preferred Stock to common stock and accretion of deemed dividend Capital Access Agreements Share Purchase Agreements Costs related to equity financing Promissory note conversions to common stock Common stock issued to settle liabilities Exercise of stock options Share-based compensation
2016-09-30
2016-08-15 7917.88 未披露 定期报告 2016-08-11
2016-08-15 5473.03 0.06
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from December 31, 2015 to June 30, 2016 Conversion of Series D Preferred Stock to common stock and accretion of deemed dividend Capital Access Agreements Share Purchase Agreements Common stock issued to settle liabilities Exercise of stock options Share-based compensation
2016-06-30
2016-05-16 4094.86 未披露 定期报告 2016-05-12
2016-04-29 3932.18 未披露 定期报告 2016-04-27
2016-05-16 3618.58 0.09
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from December 31, 2015 to March 31, 2016 Conversion of Series D Preferred Stock to common stock and accretion of deemed dividend Common stock issued to settle liabilities Exercise of stock options Share-based compensation
2016-03-31
2016-03-30 3598.58 未披露 定期报告 2016-03-24
2016-03-30 3243.49 0.10
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from December 31, 2014 to December 31, 2015 Exercise of options and warrants Conversion of Series C Preferred Stock and associated dividends Conversion of Series D Preferred Stock to common stock and accretion of deemed dividend Stock-based compensation Shares issued to settle liabilities Shares issued for financing costs
2015-12-31
2015-11-16 3028.07 未披露 定期报告 2015-11-11
2015-11-13 2992.50 未披露 定期报告 2015-10-29
2015-11-16 2890.73 0.12
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from December 31, 2014 to September 30, 2015 Conversion of Series C preferred stock inclusive of accrued dividends Series C preferred stock exchange Exercise of options Conversion of Series D preferred shares to common stock and accretion of deemed dividend Share-based compensation Shares issued to settle liabilities Shares issued for financing costs
2015-09-30
2015-08-26 2707.11 0.03
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In addition, in July 2015, Daniel G. Teper, our Chief Executive Officer, and Daniel Kazado, our Chairman, converted an aggregate of 32 Series C Preferred Stock into an aggregate of 23,561 shares of our common stock.
2015-07-27
2015-08-14 2520.17 0.23
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from December 31, 2014 to June 30, 2015 Conversion of Series C Preferred Stock inclusive of accrued dividends Exercise of options Share-based compensation Shares issued to settle liabilities Shares issued for financing costs
2015-06-30
2015-05-15 2465.17 未披露 定期报告 2015-05-13
2015-04-30 2457.53 未披露 定期报告 2015-04-24
2015-04-15 2456.66 未披露 定期报告 2015-04-13
2015-05-15 2457.30 0.28
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From December 31, 2014 to March 31, 2015 Exercise of options Conversion of Series C Preferred Stock inclusive of accrued dividends Share-based compensation, stock awards
2015-03-31
2015-04-15 2397.54 0.28
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from December 31, 2013 to December 31, 2014 Issuance of shares of common stock as part of March 2014 Warrant amendment Exercise of options and warrants Issuance of shares and warrants, net of issuance costs of $1,136 Settlement of derivative liability Conversion of convertible promissory note Reclassification of Series C Preferred Stock from mezzanine Conversion of Series C Preferred Stock Acceleration of stock awards in connection with November 2014 convertible promissory note Stock-based compensation, stock awards
2014-12-31
2014-11-17 1919.73 未披露 定期报告 2014-11-14
2014-11-17 1794.48 0.39
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From December 31, 2013 to September 30, 2014 Reclassification of Series C Preferred Stock Conversion of Series C Preferred Stock Issuance of shares of common stock as part of March 2014 Warrant amendment Exercise of options and warrants Issuance of shares and warrants Share-based compensation, stock awards
2014-09-30
2014-09-08 1741.10 0.44 定期报告 2014-09-05
2011-08-15 7100.37 未披露
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from December 31, 2010 to June 30, 2011 Issuance of common stock and warrants, net of issuance costs Issuance of restricted common stock, net
2011-06-30
2011-03-31 7098.93 未披露 定期报告 2011-03-30
2011-03-31 5498.74 未披露
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Issuance of common stock and warrants, net of issuance costs Issuance of common stock resulting from reverse split Issuance of restricted common stock and restricted stock units, net Issuance of common stock under ESPP Exercise of warrants
2010-12-31
2010-11-09 5039.57 未披露 定期报告 2010-11-09
2010-11-09 5039.50 未披露
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Issuance of common stock and warrants, net of issuance costs Issuance of common stock resulting from reverse split Issuance of restricted common stock and restricted stock units Issuance of common stock under ESPP Exercise of warrants
2010-09-30
2010-08-06 5039.35 未披露 定期报告 2010-08-06
2010-08-06 5038.44 未披露
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Issuance of common stock and warrants, net of issuance costs Issuance of common stock resulting from reverse split Issuance of restricted common stock and restricted stock units, net Issuance of common stock under ESPP Exercise of warrants
2010-06-30
2010-03-15 4417.10 未披露 定期报告 2010-03-05
2010-03-15 4404.76 未披露
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from December 31, 2008 to January 15, 2010 Issuance of common stock and warrants, net Issuance of restricted common stock and restricted stock units, net Issuance of common stock under ESPP Conversion of 7.5556% convertible subordinated notes into Common Stock Exercise of warrants Exercise of stock options On January 14, 2010, we effected a previously authorized 1-for-3 reverse stock split of our common stock. The reverse stock split took effect at the start of trading on January 15, 2010 on a 1-for-3 split-adjusted basis
2010-01-15
2009-03-13 10757.23 未披露 定期报告 2009-03-11
2009-03-13 8244.46 未披露
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from December 31, 2007 to December 31, 2008 Exercise of warrants Issuance of common stock and warrants, net Issuance of common stock under ESPP Issuance of common stock as payment of loan Issuance of restricted common stock, net
2008-12-31
2008-03-18 5129.53 未披露 定期报告 2008-03-14
2008-03-18 4586.95 未披露
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from December 31, 2006 to December 31, 2007 Exercise of stock options Exercise of warrants Issuance of common stock and warrants, net Issuance of restricted common stock, net Issuance of common stock, net, as payment of warrant liability
2007-12-31
2007-04-02 3239.83 未披露 定期报告 2007-03-25
2007-04-02 3239.24 未披露
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from December 31, 2005 to December 31, 2006 Exercise of stock options Exercise of Series B Convertible Preferred stock warrants Exercise of Series C Convertible Preferred stock warrants Exercise of March 2005 Senior Note warrants Conversion of Series A, B, C Convertible Preferred Stock Issuance of common stock and warrants, net of fees of $1.5 million Issuance of common stock in connection with conversion of tbg II loan Issuance of common stock in connection with conversion of 2002 bridge loan and accrued interest and exercise of warrants Issuance of common stock in connection with conversion of March 2005 Senior Notes and accrued interest Issuance of common stock in connection with conversion of November 2005 Notes and accrued interest Issuance of common stock, options and warrants related to the merger with Maxim Issuance of common stock to settle litigation
2006-12-31
2006-03-16 2448.50 未披露 定期报告 2006-03-13
From December 31, 2017 to March 31, 2018 Conversion of Series E Preferred Stock and dividends Common stock issued to consultant
from December 31, 2016 to December 31, 2017 Conversion of Series E Preferred Stock and dividends Common stock issued in connection with November 2016 Equity Line Common stock issued in connection with March 2017 Equity Line Commitment fees and adjustment to shares issued related to November 2016 Equity Line Common stock issued to settle liabilities Common stock issued to consultant Share Purchase agreements and amendments Shares issued in conjunction with May 2017 Convertible Notes Rounding shares issued in connection with Reverse Split Conversion of April 2017 Convertible Notes Conversion of July 2017 Senior Secured Convertible Note Conversion of May 2017 Convertible Notes
from December 31, 2016 to September 30, 2017 Common stock issued in connection with November 2016 Equity Line Common stock issued in connection with March 2017 Equity Line Commitment fees and adjustment to shares issued related to March 2017 Equity Line Common stock issued to settle liabilities Share Purchase agreements and amendments Shares issued in conjunction with May 2017 Convertible Notes Rounding shares issued in connection with Reverse Split Conversion of April 2017 Convertible Notes Conversion of July 2017 Senior Secured Convertible Note Conversion of May 2017 Convertible Notes
from December 31, 2016 to June 30, 2017 Common stock issued in connection with November 2016 Equity Line Common stock issued in connection with March 2017 Equity Line Commitment fees and adjustment to shares issued related to March 2017 Equity Line Common stock issued to settle liabilities Share Purchase agreements and amendments to Share Purchase agreements Shares issued in conjunction with May 2017 Convertible Notes Rounding shares issued in connection with Reverse Split
from December 31, 2016 to April 13, 2017 Common stock issued in connection with November 2016 HLHW Equity Line Common stock issued in connection with March 2017 HLHW Equity Line Common stock issued to settle liabilities Amendments to certain securities purchase agreements On April 12, 2017,Pharmaceuticals Inc. announced a reverse stock split of its shares of common stock at a ratio of 1-for-20. Beginning with the opening of trading on April 13, 2017.
from December 31, 2015 to September 30, 2016 Conversion of Series D Preferred Stock to common stock and accretion of deemed dividend Capital Access Agreements Share Purchase Agreements Costs related to equity financing Promissory note conversions to common stock Common stock issued to settle liabilities Exercise of stock options Share-based compensation
from December 31, 2015 to June 30, 2016 Conversion of Series D Preferred Stock to common stock and accretion of deemed dividend Capital Access Agreements Share Purchase Agreements Common stock issued to settle liabilities Exercise of stock options Share-based compensation
from December 31, 2015 to March 31, 2016 Conversion of Series D Preferred Stock to common stock and accretion of deemed dividend Common stock issued to settle liabilities Exercise of stock options Share-based compensation
from December 31, 2014 to December 31, 2015 Exercise of options and warrants Conversion of Series C Preferred Stock and associated dividends Conversion of Series D Preferred Stock to common stock and accretion of deemed dividend Stock-based compensation Shares issued to settle liabilities Shares issued for financing costs
from December 31, 2014 to September 30, 2015 Conversion of Series C preferred stock inclusive of accrued dividends Series C preferred stock exchange Exercise of options Conversion of Series D preferred shares to common stock and accretion of deemed dividend Share-based compensation Shares issued to settle liabilities Shares issued for financing costs
In addition, in July 2015, Daniel G. Teper, our Chief Executive Officer, and Daniel Kazado, our Chairman, converted an aggregate of 32 Series C Preferred Stock into an aggregate of 23,561 shares of our common stock.
from December 31, 2014 to June 30, 2015 Conversion of Series C Preferred Stock inclusive of accrued dividends Exercise of options Share-based compensation Shares issued to settle liabilities Shares issued for financing costs
From December 31, 2014 to March 31, 2015 Exercise of options Conversion of Series C Preferred Stock inclusive of accrued dividends Share-based compensation, stock awards
from December 31, 2013 to December 31, 2014 Issuance of shares of common stock as part of March 2014 Warrant amendment Exercise of options and warrants Issuance of shares and warrants, net of issuance costs of $1,136 Settlement of derivative liability Conversion of convertible promissory note Reclassification of Series C Preferred Stock from mezzanine Conversion of Series C Preferred Stock Acceleration of stock awards in connection with November 2014 convertible promissory note Stock-based compensation, stock awards
From December 31, 2013 to September 30, 2014 Reclassification of Series C Preferred Stock Conversion of Series C Preferred Stock Issuance of shares of common stock as part of March 2014 Warrant amendment Exercise of options and warrants Issuance of shares and warrants Share-based compensation, stock awards
from December 31, 2010 to June 30, 2011 Issuance of common stock and warrants, net of issuance costs Issuance of restricted common stock, net
Issuance of common stock and warrants, net of issuance costs Issuance of common stock resulting from reverse split Issuance of restricted common stock and restricted stock units, net Issuance of common stock under ESPP Exercise of warrants
Issuance of common stock and warrants, net of issuance costs Issuance of common stock resulting from reverse split Issuance of restricted common stock and restricted stock units Issuance of common stock under ESPP Exercise of warrants
Issuance of common stock and warrants, net of issuance costs Issuance of common stock resulting from reverse split Issuance of restricted common stock and restricted stock units, net Issuance of common stock under ESPP Exercise of warrants
from December 31, 2008 to January 15, 2010 Issuance of common stock and warrants, net Issuance of restricted common stock and restricted stock units, net Issuance of common stock under ESPP Conversion of 7.5556% convertible subordinated notes into Common Stock Exercise of warrants Exercise of stock options On January 14, 2010, we effected a previously authorized 1-for-3 reverse stock split of our common stock. The reverse stock split took effect at the start of trading on January 15, 2010 on a 1-for-3 split-adjusted basis
from December 31, 2007 to December 31, 2008 Exercise of warrants Issuance of common stock and warrants, net Issuance of common stock under ESPP Issuance of common stock as payment of loan Issuance of restricted common stock, net
from December 31, 2006 to December 31, 2007 Exercise of stock options Exercise of warrants Issuance of common stock and warrants, net Issuance of restricted common stock, net Issuance of common stock, net, as payment of warrant liability
from December 31, 2005 to December 31, 2006 Exercise of stock options Exercise of Series B Convertible Preferred stock warrants Exercise of Series C Convertible Preferred stock warrants Exercise of March 2005 Senior Note warrants Conversion of Series A, B, C Convertible Preferred Stock Issuance of common stock and warrants, net of fees of $1.5 million Issuance of common stock in connection with conversion of tbg II loan Issuance of common stock in connection with conversion of 2002 bridge loan and accrued interest and exercise of warrants Issuance of common stock in connection with conversion of March 2005 Senior Notes and accrued interest Issuance of common stock in connection with conversion of November 2005 Notes and accrued interest Issuance of common stock, options and warrants related to the merger with Maxim Issuance of common stock to settle litigation