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PPHM - O/S Shares History (’06–curr.) – a/o

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cjgaddy   Sunday, 08/19/12 09:42:23 AM
Re: cjgaddy post# 84300
Post # of 253013 
PPHM - O/S Shares History (’06–curr.) – a/o 8-16-12, shares outstanding = 104,191,176, up 17,120 since 7-13-12.

4-30-06 35,876,438
1-31-07 39,222,440
4-30-07 39,222,440
7-6-07 45,233,123
7-31-07 45,242,123
10-31-07 45,242,123
1-31-08 45,242,123
4-30-08 45,242,123
7-31-08 45,242,123
10-31-08 45,242,123
1-31-09 45,242,123
4-30-09 45,537,711
7-10-09 47,392,883
7-31-09 47,393,783
10-31-09 48,869,563 +1,475,780
1-31-10 50,903,404 +2,033,841
4-30-10 53,094,894 +2,191,490
6-21-10 54,388,917 +1,294,023 (6-22-10 ATM/mlv Form424)
7-9-10 55,069,449 +475,987 (4-30-10 10K iss. 7-14-10)
7-31-10 55,784,955 +715,506
10-31-10 59,220,742 +3,435,787
11-30-10 63,932,353 +4,711,611 (10-31-10 10Q iss. 12-9-10)
12-15-10 64,404,097 +471,744 (12-17-10 S-3: $75M Shelf Reg.)
1-31-11 66,813,419 +2,409,322
2-28-11 67,885,811 +1,072,392 (1-31-11 10Q iss. 3-11-11)
4-30-11 69,837,142 +1,951,331
7-8-11 71,069,858 +1,232,716 (4-30-11 10K iss. 7-14-11)
8-22-11 72,704,647 +1,634,789 (Proxy iss. 8-26-11)
8-31-11 73,284,016 +579,369 (424B5 iss. 9-2-11)
9-8-11 79,536,268 +6,252,252 (Roth Sale to 3 Inst’s @ $1.11/sh.)
10-31-11 82,638,201 +3,101,933
12-9-11 86,788,817 +4,150,616 (10-31-11 10Q iss. 12-12-11)
1-31-12 93,146,226 +6,357,409
2-29-12 98,873,172 +5,726,946 (1-31-12 10Q iss. 3-9-12)
4-30-12 101,421,365 +2,548,193
7-13-12 104,174,056 +2,752,691 (4-30-12 10K iss. 7-16-12)
8-16-12 104,191,176 +17,120** (prelim. proxy 14A http://tinyurl.com/c48bvof )

**8-15-12: CEO STEVE KING'S 29MIN. TALK AT WEDBUSH/NYC http://tinyurl.com/8mhrtld
…SK: "We've laid out our strategy for financing the company; we've not been raising money thru the capital markets in any way. We're not currently planning on going out for, nor have we been actively involved in any other fund-raising activities. Right now, our stated goal is to pursue a debt-arrangement - with an asset like Avid Bioservices, we can get very preferential rates on raising debt-type funding right now, which we feel is the least-dilutive for the company. In fact, our stated goal is to raise $20-30mm thru a debt facility between now and out next earnings call on Sept. 10, 2012. With that capital in the bank, we’ll then will have a 1yr+ runway. We believe that will get us thru the partnering discussions, and then with a partner on board, then certainly we expect that’ll bring in the capital needed to move the company forward for what should hopefully be several years time period. So, that’s our goal – we have a nice, clean cap structure, minimal # of warrants, stock options – there’s no convertible debt on the books, so we think we’re in good shape as we continue to move the company forward into those successful partnering discussions.”

O/S WARRANTS & STOCK-OPTIONS A/O 4-30-2012:
From the 4-30-12 10-K (pg. F-30 & F-28):
...219,967 warrants o/s with wgt.avg. exercise price of $1.48 (exp. 12-19-2013) – none iss. in FY10-11-12.
...7,402,248 stock options exercisable & expected to vest, with a wgt.avg. exercise price of $2.93.

= = = = = = = = = = = = =
Latest 10K 4-30-12 iss. 7-16-12: http://tinyurl.com/79o57b2 PR: http://tinyurl.com/c8nytow (#Cash 4-30-12 $18.0mm)
= > # CFO Paul Lytle, 7-16-12 CC: ”Since 5-1-12, the start of FY’13, we have received over $7 million in customer deposits to secure this future mfg. capacity. Based on the current mfg. schedule, we expect to realize the revenue from these mfg. commitments over FY '13 and FY '14.” ( http://tinyurl.com/cs7spbz )
Latest 10Q 1-31-12 iss. 3-9-12 http://tinyurl.com/7h352ks PR: http://tinyurl.com/7z9qh23 (Cash 1-31-12 $19.8mm)
ALL SEC filings for PPHM: http://tinyurl.com/6d4jw8
PPHM's Corp. Bylaws (a/o 12-21-07): http://www.secinfo.com/dV3p8.u4av.d.htm
Poison Pill adopted 3-16-06: http://tinyurl.com/yvypvh - 44-pg SEC filing: http://tinyurl.com/5m57ut

= = = = = = = = = = = = = = = = = = =
A-T-M (At-The-Market) Sales 3-2009 - 6-30-12 ($89,674,000gr./51,785,558sh=$1.73/sh): http://tinyurl.com/bnd6o7d
…New ATM Agreement (up to $75mm) with MLV announced 12-29-10/8K: http://tinyurl.com/2a6w76g
...3-9-12: PPHM files shelf to sell up to $150mm common stock, warrants, S3: http://tinyurl.com/7dl7pjm

11-8-10: Kenneth Dart (Eastern Capital) acquires 7.1% stake (3,961,568) in PPHM http://tinyurl.com/24qctos
...2-14-12: Kenneth Dart adds 3,460,192, now 7,421,760 (8.55% a/o 12-9-11) http://tinyurl.com/7bb26j4

12-31-10: BlackRock Inc. (Larry Fink, CEO) accums 5.6% stake in Peregrine http://tinyurl.com/4oercf8

7-23-12: Ayer Capital Mgt. accums 5.39% stake in PPHM (5,610,236) http://tinyurl.com/97w8gjm

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