Aastrom appears to go to the well frequently.
From the 8-K recently:
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" On May 27, 1999 the Registrant sold to one investor for an aggregate purchase price of $3 million: (i) 3,000 shares of its newly created 1999 Series III Convertible Preferred Stock (the "Series III Preferred"), (ii) a warrant to purchase 150,000 shares of the common stock of the Registrant at an exercise price of $2.275, and (iii) a warrant to purchase 150,000 shares of the common stock of the Registrant at an exercise price equal to 130% of an average market price of the Registrants common stock on November 15, 1999, with such date subject to acceleration based upon certain events. The shares of Series III Preferred are convertible, at the option of the holder, into shares of the Registrant's Common Stock at the lower of (i) $2.34, or (ii) a price based on the market price of the Registrant's Common Stock prior to conversion. With limited exceptions, the shares of Series III Preferred are not convertible into Common Stock until November 23, 1999 and, ....."
...
RGC INTERNATIONAL INVESTORS, LDC
By: Rose Glen Capital Management, L.P., Investment Manager
By: RGC General Partner Corp., as General Partner
By:_______________________________________________
Gary S. Kaminsky
Managing Director
RESIDENCE: Cayman Islands
ADDRESS:
c/o Rose Glen Capital Management, L.P.
3 Bala Plaza East, Suite 200
251 St. Asaphs Road
Bala Cynwyd, PA 19004
Facsimile: (610) 617-0570
Telephone: (610) 617-5900
AGGREGATE SUBSCRIPTION AMOUNT:
Number of Preferred Shares: 3,000
Number of Warrants 300,000
Aggregate Purchase Price: $3,000,000
(Other companies with Kaminsky named:
edgar-online.com
(Info, Ribi,SOFN,BASEA!,CYCH,GENZL,RGCI-the placement company)
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From the most recent S-3, datek Oct,7 1998:
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PROSPECTUS
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" 4,163,855 SHARES OF COMMON STOCK
AASTROM BIOSCIENCES, INC.
This Prospectus relates to the offer and sale of up to 5,537,765 shares (the "Shares") of Common Stock of Aastrom Biosciences, Inc., a Michigan corporation (the "Company"). The Shares are issuable upon conversion of shares of 1998 Series I Convertible Preferred Stock of the Company (the "Series I Shares")."
SELLING SHAREHOLDER OFFERING BEING OFFERED AFTER THE OFFERING
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RGC International Investors, LDC (1) (2) 2,484,848 2,484,848 0
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How much? There are 3 different figures. |
