Presenting Companies

Union Square, San Francisco, California

Sir Francis Drake Hotel450 Powell StreetUnion Square

January 9-11, 2012

ConFerenCe Book

2B BlackbioADS BiotechnologyAPICA Cardiovascular LimitedAP Pharma APPA.PKAcasti Pharma APO.VAccess PharmaceuticalsAccuGenomicsAdvanced Cardiac TherapeuticsAdvaxis ADSX.OBAgenus AGENAleva NeurotherapeuticsAvita Medical AVHBacterin International Holdings BONEBioceptBiovistaBmeyeBrainScope CompanyCVAC SystemsCadens ImagingCapricorCaprion ProteomicsCardium Therapeutics CXMCastlewood SurgicalCellnovoCervilenzColby PharmaceuticalsCorInnova IncorporatedCyclacel Pharmaceuticals CYCCCytoSorbents CTSODATATRAK International DATA.PKDel Mar PharmacuticalsEpiCept Corporation EPCT.PKEpionEvofemFibrocell Science FCSC.OBFunctional NeuromodulationGenta Incorporated GNTA.OBGlysureHeartForce MedicalHepregenHistoSonicsHistogenics CorporationHyGreenISCHEM CorporationImmunoGenetix TherapeuticsInfoBionicInfonautIntellect Neurosciences ILNS.PKInterface Biologics

InvuityIsoRay ISRLife Medical TechnologiesLiteCureLoneStar HeartMEDomicsMedicalCyberworldsMemen PharmaceuticalsMicrovisk LimitedMiraCorMirna TherapeuticsNanospectra BiosciencesNanoviricides NNVC.OB NeoGenomics NGNM.OBNeodyneNeovasc NVC.VNeuroMetrix NURONorthwest Biotherapeutics NWBO.OB Nova Nano DiagnosticsNovadaq Technologies NDQNovian HealthOncoSec Medical ONCS.OBOncomotorPLC Medical SystemsPrecision NanosystemsQLIDARadLogicsRatioRidge DiagnosticsRubigo TherapeuticsSEA MedicalSmart PerfusionSoft Tissue RegenerationSoluprin PharmaceuticalsSpectraScience SCIE.PKSpherixSPEXStroma Medical CorporationSymetis S.A.TONIX Pharmaceuticals TNXPTelik TELK Thermalin DiabetesThermoGenesis KOOLTelcareTissue Regeneration SystemsTrueVision 3D SurgicalVasomedicaVigilant BiosciencesVisionCare VisionGateWaferGen Biosystems WGBS.OB

1

Most of those reading this remember when the Initial Public Offering (IPO) represented a milestone of success for entrepreneurs and investors. It was a moment when all those who sacrificed and risked would be rewarded for their efforts. It also represented the beginning of expanded possibilities in which a company could access additional capital, to reinvest, grow and to hire. Investors could return their gains and recycle the money back into create new companies. A virtuous cycle of growth and opportunity created. This isn’t the case anymore. Going public is no longer the exit. More often now is the sale of the company, which means consolidation of jobs and elimination of redundancy. So what happened? Where did we go wrong? Our keynote speaker will address that issue and offer answers. David Weild IV has been deeply immersed in this world for over 20 years. He is as knowledgeable as anyone and is regarded as the foremost expert on capital markets. And he has spent the better part of five years trying to understand what happened to decimate our financial ecosystem. Most will cite Sarbanes Oxley as the culprit, but that is a simplistic understanding. Sarbox was just another nail in the coffin. The core issue is market structure. Weild describes how in name of “efficiency” and “consumerism” we eliminated the infrastructure that supported growth companies. And so now we are in a very difficult spot. And although it has taken a bit economic toll on Wall Street, the bigger devastation has been on Main Street where some studies suggest that as many as 10 million jobs were NOT created that could have been had we not pursued “efficiency.” As financers and company CEO’s we are insulated from reality of hard working American’s with no jobs, income and little hope. It is painful to contemplate, but it is real and it makes people gather in the street to protest. But Wall Street doesn’t need to be occupied, it needs to be fixed. Weild outlines in detail exactly we made the wrong turn, the decisions we made. And he has offered ideas and strategy to get us back on path with a coherent ideas to restore the IPO market and to begin to fix our country’s broken financial ecosystem. Grounded in hard data and research, his insights are interesting and his ideas compelling. His plan can work but will require an Act of Congress, which won’t be easy because of the sheer gridlock. But his plan can work. And we need action now. The system is clearly broken. Can it be fixed? There is only one to find out. And whatever the outcome, we hope you chose to participate

Best Regards, Brett JohnsonOneMedPlace

Panelists & advisory Board

Jon Garfield / OneMedPlace. New York City, US.

Anthony Sun Partner / Aisling Capital. New York City, US.

Daniel Bertholet / Endeavour Vision. Geneva, Switzerland.

John Milad / NBGI Ventures. London, UK.

Joshua Scheinfeld Borelli/ Lincoln Park Capital. Chicago, US.

James Huang / Kleiner Perkins Caufield & Byers. China, Shanghai, China.

Michael Nowak / Yorkville Advisors. New York, NY.

J. Casey McGlynn / Wilson Sonsini Goodrich & Rosati. California, US.

David Strupp Jr. / Managing Director, Rodman & Renshaw. US.

Klaus Stöckemann / Peppermint Venture Partners, Berlin. Germany.

J. Misha Petkevich / BladeRock Capital. LLC, Boston, US.

Tony Zhang / Global External R&D. Elli Lilly Shanghai, China.

Kimberly Ha / BioPharm Insight. New York, NY.

David Chen / BFC Group. Shanghai, Chin.

Jeff Margolis / Aurora Capital. New York, NY.

Antoine Papiernik / Sofinnova Partners. Paris, France.

Fred Zussa / Health Digital Ventures. New York, NY.

Nathan Tinker / New York Biotechnology Association. USA.

Teo Dagi / HLM Venture Partners. Boston, MA.

Thom Rasche / Earlybird Venture Capital, Hamburg. Germany.

Josh Scheinfeld / Lincoln Capital. Chicago, IL.

Jim Alfaro / Corporate Finance. New York City, US.

Anne De Gheest / MedStars Venture. Partners Los Altos Hills, CA.

Joseph Cari Jr. MD / Castellini Partners. New York City, US.

Marco Elser / Capital Markets. AdviCorp Rome, Italy.

Klaas de Boer / Entrepreneurs Fund. London, UK

Joseph DiTrolio / MD Roseland Surgical Center. Roseland, US

Stan Yakatan / Katan. Associates Hermosa Beach, CA.

Jonathan I. Cope / Lincoln Park Capital. Chicago, US.

Corinne Lebourgeios / MedC. Partners. Aubonne, Switzerland.

Pietro Strada / Centerboard Partners Limited. London, UK.

Erik Baas / Medtronic. Geneva, Switzerland.

Don Urbanowicz / Urbanowicz Consulting, LLC. New York City, US.

Walter Lin / Ascension Health Ventures. New York, NY.

Mike DeVries / EDF Ventures. Michigan, US.

James Datin Ph.D. / Safeguard. El Paso, US.

Cecilia Gonzalo /.Warburg Pincus LLC. New York City, US.

Brett Johnson / OneMedPlace. New York City, US.

Peter Leonardi / Five Prime Advisors. New York City, US.

William McCluskey / Brean Murray. Carret & Co, New York, NY.

Jeff Miller / Healthcare. Capgemini, North Carolina, US.

Geeta S. Vemuri / Quaker BioVentures. Philadelphia, US.

Edward Borelli / Proactive Investors. USA.

32

Weild outlines an ideological war that currently pits trading-focused vs. investor-focused market interests:

On May 6, 2010, the infamous Flash Crash plunged the Dow Jones Industrial Average more than 1,000 points in just nine minutes. The market reversed its 9 percent loss within an hour, but the white-knuckle event earned a place in history books. The Flash Crash marked the biggest point decline, 998.5 points, on a single day in Dow Jones history.

Joe Saluzzi, co-founder of Themis Trading LLC. analyzed the event. “The Flash Crash was caused by the failure of the market structure. We’ve got a fragmented mess on our hands. We’ve got 13 stock exchanges that are for-profit and over 40 dark pools. The New York Stock Exchange and the NASDAQ are publicly listed, for- profit. So what you’ve got is this whole conflict of interest going on inside the stock market.

the Future of Us Capital Markets

David Weild is a noted equity capital markets and stock exchange expert (private and public markets) who advises issuers, stock exchanges and investors on improving the quality and flow of IPOs, follow-on equity and convertible security offerings. He is a former vice chairman and executive committee member of The NASDAQ stock market. His studies (“Why are IPOs in the ICU?” “Market structure is causing the IPO crisis,” “A wake-up call for America”—and more), along with co-author Edward Kim, are considered to have established authoritatively that market structure changes harmed capital formation and job creation in the United States. This work has been cited broadly in over 100 publications including the Economist, the Wall Street Journal and the Financial Times, and Weild has appeared on Bloomberg TV, CNBC, Fox News and other television networks. Weild was a member of the NYSE and the National Venture Capital Association (NVCA) Blue Ribbon Panel to restore liquidity in the U.S. venture capital industry, and his work was cited in the NVCA’s final report. He has testified in Congress and at the SEC, met with members of the executive branch and participated in the U.S. Treasury Department’s Conference on Capital Formation. Weild was asked by the International Stock Exchange Executives Emeriti to be chairman of a task force on the Small Business Financing Crisis. He has testified at the CFTC-SEC Joint Panel on Emerging Regulatory Issues and has served on the board of National Investor Relations Institute (NIRI), New York.

Tuesday, January 11, 2011

David Weild IV

Director, Capital Markets at Grant Thornton.Founder, Chairman and CEO Capital Markets Advisory Partners.

Prior to NASDAQ, Weild spent 14 years at Prudential Securities in a number of senior management roles, including president of eCommerce, head of Corporate Finance, head of Technology Investment Banking and head of Equity Capital Markets in New York, London and Tokyo. He oversaw more than 1,000 IPOs, follow-on offerings and convertible transactions, and he was an innovator in new issue systems and transaction structures, including the use of Form S-3s to mitigate risk for small capitalization companies raising equity and convertible debt capital (a form of finance now known as registered directs). Weild holds an MBA from the Stern School of Business and a BA from Wesleyan University. He studied on exachange at the Sorbonne, Ecole des Haute Etudes Commerciales and the Stockholm School of Economics. 9/11 blew out 350 plate glass windows that were part of the façade of NASDAQ’s headquarters at Ground Zero. With NASDAQ personnel working from home, Weild led the authorization and implemen-tation of hundreds of share repurchase programs that were credited by market insiders as providing needed confidence (buy orders at lower levels) to investors once the markets reopened. In the course of his 9/11 work, Weild opened the NASDAQ Stock Market with the 9/11 Charity of Tuesday’s Children, which was founded by and for 9/11 family members. He is chairman of the board of Tuesday’s Children, one of the last remaining charities that continues to provide support to the 9/11 community, including first responders.

The trader-focused model operateswithout intermediaries and with near zero transaction costs. It focuses on trades. Exchange-driven funds (baskets) and other derivatives stimulate activity.

Extract for Publication: Capital Markets Series. The tipping point: Is stock market structure causing more harm than good? CFO Roundtable — Quarterly Session Recap October 2011.

Weild contended that today’s markets, driven by computer trading based more on algorithms and “information mining” than “information adding” strategies like fundamental research and stock selection, may have reached a tipping point in favor of the trader-focused model. Valuations are increasingly detached from fundamentals, and share prices are increasingly correlated. Due to a loss of market-maker-supported liquidity, the willingness of investors to stake a claim in ventures below a certain size has suffered.

The investor-focused model favors support for companies through research, sales and capital. It comeswith higher cost. It is investment-focused and stock-selection driven.

Sources: Grant Thornton LLP, Capital Markets Advisory Partners, World Federation of exchanges and individual stock exchangesData as of June 30, 2011

keynote address:

InDexeD vALUe oF SeLeCTeD GLobAL exCHAnGe LISTInGS (1997 = 0)

occupy Wall street?or Fix Wall street?

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Diagnostics and Personalized Medicine

Innovative treatments for complex diseases such as Alzheimer’s or cancer will require a convergence of technologies including molecular diagnostics, genomics, novel monitoring devices and healthcare IT. This session will evaluate the risks and opportunities for investors in this space as personalized medicine becomes integrated into the healthcare system. The Diagnostics and Personalized Medicine session at OneMedForum 2012 will examine these emerging trends and the associated business and investment climate. The distinguished panel members will discuss the risks and opportunities in this space and provide delegates with key information on how to position for growth as personalized medicine becomes integrated into the healthcare system. Panelists: Yves Dubaquie Ph.D, Ann F. Hanham, Melinda Griffith, Jennifer Lieb, Peter Winter.

8:00 – 8:40

Tuesday, January 10th Wednesday, January 11th

What the Healthcare System’s Largest and Leading Providers Seek

The largest consumers of healthcare in the US will share their views on what they will buy and invest in, un-met needs, and where they see extraordinary opportunities for the most promising emerging growth companies.Panelists: Chris Coburn, Matt Hermann, Roger Kitterman, Anne McGeorge, Michael Monson.

10:50 – 11:20

Panels. Panels.

Mobile Health and Medical Devices

The Internet has ushered in what might be a new era in Medical Devices as they begin to provide connectivity and communications to the health system to monitor the patient and provide critical clinical information on a real time basis to physicians and caregivers. Leading investors in this emerging space will discuss opportunities. Up to now medical devices have stood on their own, much like Personal Computer in the 90’s very useful, but its real power of the PC was unleashed by the Internet and connectivity. Experts feel that the same may happen with medical devices. Broadly available Wifi connectivity enables medical devices and diagnostics to piggyback on the existing infrastructure. For example might your pacemaker or any implantable report back patient information in some automated distributed fashion, and deliver the right information to the right people at the right time? Will developments mobile communications technology usher in a new era in medical device, and continue the convergence of information technology with devices? A panel of experts will discuss what might be the biggest trend in medtech. Panelists: David Cassak, Roger Kitterman, Bill McKeon, John Milad.

1:30 – 2:20

AdvaMed 2012 CEO’s Unplugged: Global Outlook on Medical Technology

CEO’s from several of the world’s largest medical device manufacturers will provide their perspective on the globalization of healthcare. The changes in the medical device industry are putting greater strain on companies to maintain profitability and quality, while fostering innovation. Find out how these CEOs are addressing these issues and discuss strategies for growth in the new global economy. This session will be of great interest to investors, entrepreneurs, and growth company CEO’s. Panelists: Joe E. Almeida, Vincent A. Forlenza, David L. Lucchino, Michael A. Mussallem.

4:40 – 5:25

Investment Trends in Biotechnology

This session will provide an overview of the big developments in primary areas of biotechno-logy investing, including regenerative medicine, neurological disorders, vaccines and infectious diseases. This panel will also discuss which therapeutic areas of development will see most investment activity, as well as how to best position your company for a strategic exit- as large pharma seeks to boost it’s pipeline by finding innovative new targets and compounds. Panelists: Les Funtleyder, Kimberly Ha, Andrew McDonald, Tim Opler.

8:00 – 8:30

Chronic Diseases, Wellness & Patient Engagement

Chronic Diseases represent upwards of 80% of the cost in the healthcare system. The management of these diseases represents the most significant opportunity for cost savings. This panel will examine some of the innovative approaches in development to address the issue of chronic diseases, ranging from wellness, and nutrition to enhanced information management systems, which empower the patient to better manage their health, and to avoid sickness and disease in the first place. Panelists: Dr. Gunnar Weikert, Shan Padda.

10:40 – 11:10

Investment Trends in Medical Devices

This panel will provide an overview and discussion of the most interesting trends in primary areas of medical devices investing including: Cardiology, Neurology, Orthopedics, Nanotechnology, Ophthalmology, and Diabetes. Panelists: Antoine Papiernik, Kevin Wasserstein, Steve Levine.

1:30 – 2:20

India as Market Opportunity

Dramatic changes in regulatory and market structure in the world’s largest democracy has created unusual opportunities for biotechnology and medical technology companies. This session will examine how Western companies can capitalize on the opportunities in this market. Panelists: Jeffrey King , Jeff Margolis, Thomas A. Moore, Sri Mosur, Abhijit Zutshi.

4:30 – 5:15

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Panelists.

Chris Coburn has served as Executive Director of Cleveland Clinic Innovations (CCI), Cleveland Clinic’s corporate venturing arm, since it was established in May, 2000. He has built a high performing team of more than three dozen professionals guided by some of the nation’s top venture capitalists. Cleveland Clinic’s 35 spin-off companies have raised more than $450 million in equity investment. In June 2010, Innovations was recognized by Global Corporate Venturing as one of the world’s top 30 health corporate venturing organizations. Mr. Coburn serves on the board of directors of Autonomic Technologies, Cleveland HeartLab, Explorys, PeriTec, and BioEnterprise. He is a former Vice President and General Manager of Battelle Memorial Institute, director of the U.S. Enrichment Corporation (NYSE:USU) and author of the only comprehensive profile of public sector commercialization initiatives as well as numerous articles and book chapters. He has consulted, testified and spoken on technology commercialization throughout North America and more than 20 countries. He was selected in 2008 by Neurotech Business Reports as the most valuable financial professional.

Chris CoburnCleveland Clinic.

One of the leading experts on the medical device industry, David writes and speaks extensively on trends and company strategies focusing on all aspects of the medical device industry. He is a frequent presenter before companies and industry groups, including, for the past several years, the featured interviewer at the Stanford University BioDesign Program’s Innovator’s Workbench series. David was for almost 20 years Managing Partner, running the medical device business, of Windhover Information Inc., which he founded in 1989 with his partner Roger Longman. In 2004, Windhover acquired MedTech Insight, an information provider specializing in the medical device industry, and in 2008, Windhover was acquired by Elsevier Life Sciences Inc. Under Elsevier, David runs the newly created business unit that features several leading publications serving medical device executives, including IN VIVO, Start-Up, MedTech Insight, and the Gray and Silver Sheets. In addition, the new unit oversees the IN3 investor/partnering meetings, the MedTech market research reports business, and the device modules in Windhover’s M&A-alliance-and-financing-transactions database. David Cassak’s Experience

DavidCassakManaging Director,Medical Devices at WindhoverInformation.

Dr. Weikert has been Chairman and founder of Inventages Venture Capital Investments since its inception in 1999. Inventages is specialized in Life Science, wellness and nutrition investments and presently manages funds with assets in excess of approximately $1.5 billion. Dr. Weikert started his career as a medical doctor in the field of metabolic diseases (diabetes, lipid management) and prevention, and subsequently worked for more than 10 years in a broad spectrum of functions in the pharmaceutical industry. Prior to founding Inventages, he held the position of Senior Vice President and Global Head for Life Science Deals at Bayer AG and oversaw major collaborations representing some of the biggest deals between big-pharma and biotechnology in the late 90s. Dr. Weikert received his MD from the University of Dusseldorf and his PhD in the field of metabolism from the Diabetes Research Center, Germany. He also holds an MBA.

Dr. Gunnar Weikert President and CEO.Inventages Venture Capital Investments

José (Joe) E. Almeida has been the President, Chief Executive Officer and a Director of Covidien plc since July 2011. Prior to being elected President and CEO, Mr. Almeida was President of the Medical Devices segment of Covidien. In this position, Mr. Almeida oversaw the Surgical Devices, Energy-based Devices, Respiratory & Monitoring Solutions and Vascular Therapies Global Business Units, as well as the Japan, Asia, Canada and Latin America regions. These businesses account for approximately two-thirds of the Company’s total annual revenues and about three-quarters of its operating profit. Mr. Almeida joined Covidien (formerly known as Tyco Healthcare) in 1995 as Director of Manufacturing and Corporate Engineering, and then held several positions of increasing responsibility, including Vice President of European Manufacturing and Vice President of Global Manufacturing. Before joining Covidien, Mr. Almeida was a Director of Manufacturing in American Home Products’ Acufex Microsurgical division, an Engineering Manager of Johnson & Johnson’s Professional Products division and a Management Consultant at Andersen Consulting (Accenture). Mr. Almeida received a Bachelor’s degree from Escola de Engenharia Maua in São Paulo, Brazil. He currently serves on the Board of Directors of Advanced Medical Technology Association (AdvaMed).

Joe E. AlmeidaPresident and CEO, Covidien.

Dr. Yves Dubaquie joined Novartis Molecular Diagnostics (MDx) in Cambridge, MA, in August 2009. In his current role of Director, Business Development & Licensing, he is engaged in the full spectrum of MDx partnering activities including in-licensing, out-licensing and M&A projects. Prior to joining Novartis MDx, Dr. Dubaquie held the position of Director, Business Development at Ironwood Pharmaceuticals, where he lead the ex-US out-licensing efforts of a gastro-intestinal therapeutic. Before joining Ironwood Pharmaceuticals, he spent seven years at Bristol-Myers Squibb in various therapeutic research, clinical development, and business development roles. Dr. Dubaquie holds a PhD in Biochemistry from the Biozentrum, University of Basel, Switzerland, and subsequently completed a three-year postdoctoral fellowship at Genentech, Inc.

Yves DubaquiePh.D Director, Business Development & Licensing, Novartis Molecular Diagnostics.

Prior to joining HLM in 2006, Teo was a Managing Partner of Cordova Ventures in Atlanta and oversaw its life sciences and health care portfolio. Before joining Cordova Ventures, Teo served as Principal at Access Partners in Westport, CT. Prior to that, he taught and practiced neurosurgery on the faculties of Harvard, Brown and Georgetown Universities, the Uniformed Services University of the Health Sciences and the National Institutes of Health. Teo currently serves as a director of IntelliDx and was previously a director of 14 publicly traded and privately held companies including: Atherogenics, Argos Therapeutics, Axela Biosensors and Inhibitex. He also is on the advisory board of Vengrowth, Oxford Finance Corporation, and sits on the steering committee of the Program in Biomedical Entrepreneurship of the Massachusetts Institute of Technology. Teo received an AB from Columbia College, an MD and MPH from Johns Hopkins, an MTS from Harvard, where he was a Joseph P. Kennedy, Jr. Fellow, and an MBA with distinction from the Wharton School. He trained in neurosurgery at the Massachusetts General Hospital and is a diplomat of the American Board of Neurological Surgeons.

Teo DagiPartner, HLM Venture Partners.

Mr. Garfield serves as the chairman of the advisory board at OneMedPlace. Mr. Garfield also serves as a Board of Director and Chairman of the Audit Committee of Neah Power. Mr. Garfield was the former Chief Executive Officer, Chief Financial Officer and Secretary of Clearant Inc. From 2001 until August 2005, Mr. Garfield served as an independent financial consultant, including Securities and Exchange Commission reporting obligations and Sarbanes-Oxley compliance. From 1998 until January 2001, he served as Chief Financial Officer of a telecom service provider and a software developer. From 1996 to 1998, he served as Vice President of Acquisitions for formally New York Stock Exchange listed ground transportation consolidator Coach USA, Inc. From 1991 to 1996, Mr. Garfield served as Corporate Assistant Controller of Maxxim Medical, Inc. Maxxim was a formally New York Stock Exchange listed manufacturer and distributor of medical products. From 1986 to 1991 Mr. Garfield practiced public accounting with Arthur Andersen and PricewaterhouseCoopers. Mr. Garfield received a Bachelor of Business Administration in Accounting from the University of Texas, Austin.

Jon Garfield Chairman of the advisory board at OneMedPlace.

Vincent A. Forlenza is President and Chief Executive Officer of BD (Becton, Dickinson and Company), a leading global medical technology company that develops, manufactures and sells medical devices, instrument systems and reagents. As President of Becton, Dickinson, Forlenza oversee the firms three business segments (BD Medical, BD Diagnostics and BD Biosciences), as well as the firm’s International and Quality functions. Founded in 1897 and headquartered in Franklin Lakes, New Jersey, BD employs approximately 28,000 people in approximately 50 countries throughout the world. The company serves healthcare institutions, life science researchers, clinical laboratories, the pharmaceutical industry and the general public. Prior to this appointment, Forlenza served as President of BD’s Biosciences division since March 2003. Forlenza joined BD in 1980 and spent the next several years in various positions of increasing responsibility in the United States and Europe in strategic planning, business development and general management of several business units. In 1996, he was appointed president of Becton Dickinson Microbiology Systems in Sparks, Maryland and assumed the position of Senior Vice President, Technology, Strategy and Development in October 1998. He obtained his bachelor’s degree in chemical engineering from Lehigh University in 1975 and his master’s of business administration from Wharton Graduate School, University of Pennsylvania in 1980.

Vincent A. ForlenzaPresidentand CEO, BD.

Les Funtleyder has been in the Healthcare industry since 1993. He joined Miller Tabak + Co., LLC in 2004 as a Health Care Strategist and Portfolio Manager of the Miller Tabak Health Care Transformation Fund. Preceding Miller Tabak, he managed a global long/short Healthcare portfolio for Provident Advisors, a hedge fund in Minneapolis, Minnesota. Prior to joining Provident, Les worked as a medical device analyst at UBS Warburg. Before going to UBS, he covered biotechnology stocks for Bigelow & Company, a Healthcare research boutique in Denver, Colorado. His industry experience includes directing clinical and business research at Innovative Health Solution, a joint venture of Merck and Wyeth; and as a consultant to HMOs and hospitals for Coopers & Lybrand and Health Strategies Group. Mr. Funtleyder has written Healthcare Investing: Profiting from the New World of Pharma, Biotech, and Health Care Services, published in January 2009, which bridges the gap between health reform, innovation, and investing. Les holds a Master of Public Heath (MPH) from Columbia University and a BA from Tulane University.

Les FuntleyderHealthcare Strategist

Melinda Griffith joined Clarient as SVP, Corporate and Legal Affairs, Chief Compliance Officer and Corporate Secre-tary in June 2010, and became head of Clarient’s Product Acquisition and Licensing efforts in February 2011. Ms. Griffith also serves as Clarient’s Chief Compliance Officer. From April, 2009 until June 2010, Ms. Griffith was a consultant to Clarient, providing assistance on a variety of transactions including the acquisition of Applied Genomics in December 2009. Before joining Clarient, Ms. Griffith served as the Executive Vice President, Cor-porate Development and General Counsel of Tethys Biosciences. Ms. Griffith joined Tethys from Roche Molecular Diagnostics, where, as Senior Vice President of Licensing and Law, she led the global licensing and legal activities for the worldwide leader in molecular diagnostics. A member of RMD’s Executive Team, she directed the licensing programs of the PCR technologies and led successful initiatives to acquire rights to pioneer patent portfolios for HIV, Hepatitis C, Human Papilloma Virus, and micro-array technology. Before joining Roche, Ms. Griffith was head of legal and licensing affairs for Axys Pharmaceutical and Genelabs Technologies and began her biotechnology legal career at Cetus Corporation. She also was a corporate associate at the Bingham McCutchen law firm. Ms. Griffith received her B.S. in Business Administration from U.C. Berkeley and her J.D. from U.C. Hastings College of the Law. She is admitted to practice law in California and New York and is a frequent speaker on intellectual property licens-ing and litigation topics.

Melinda GriffithSenior Vice President, Product Acquisition and Licensing,Clarient.

98

Jeffrey J. King is a principal with the intellectual property law firm of PATENT NETWORKS LAW GROUP, PLLC, located in Kirkland, WA. Mr. King provides services for Patent, Trademark, and Copyright matters, specializing in Biotechnology. Mr. King’s scientific background includes molecular, cellular and developmental biology, immunol-ogy, biological response biochemistry, virology, protein modeling and structure-function analysis, pharmaceuticals, diagnostics, bio-defense technologies, cancer therapeutics, genomics, proteomics, protein chemistry, bioinfomat-ics, and nanotechnologies.

Jeffrey KingEsq. Patent Networks Law Group.

Ann F. Hanham joined Burrill & Company in February, 2000, and has utilized her background in clinical and regulatory affairs to lead deals in diagnostic, device and therapeutic opportunities. Prior to joining Burrill & Company, Ann was a co-founder and Vice President of Clinical & Regulatory Affairs at InterMune Pharmaceuticals, and prior to that, the Senior Director for Oncology Product Development at Otsuka Pharmaceuticals and the Medical Director for Celtrix Pharmaceuticals. She has also worked for Becton Dickinson in both regulatory and clinical affairs in their monoclonal antibody program, and as a regulatory toxicologist with the Health Protection Branch of Health and Welfare Canada. Dr. Hanham holds a Ph.D. from the University of British Columbia, an M.Sc. from Simon Fraser University, and a B.Sc. from the University of Toronto. She was also Board Certified in Toxicology in 1986. She is currently the CEO of Adlyfe, and a member of the Board of Directors of Adlyfe, Aerovance, Cardiokine (observer), Endocyte, Logical Therapeutics (observer), SCYNEXIS, Taiwan Liposome Company, and Waterstone. Ann is also a charter member of the C100, a group dedicated to assisting Canadian entrepreneurs.

Ann F. HanhamManaging Director, Burrill & Co.

Matt Hermann actively leads Ascension Health Ventures’ efforts to identify and fund innovative companies that can directly benefit Ascension Health’s ministries and offer the potential for strong investment returns. Before joining Ascension Health Ventures, he served for five years, most recently as vice president with Atlantic Medical Management, LLC, a New York-based venture capital management company focused on early- to mid-stage healthcare services and information technology companies. Prior to that, Mr. Hermann served in financial management roles at two publicly traded healthcare companies, Nutrition 21, Inc. and Regeneron Pharmaceuticals, Inc., and worked at J.P. Morgan Chase & Co. and PricewaterhouseCoopers in New York City. Mr. Hermann is a board observer at several portfolio companies. He holds a Bachelor’s of Science degree in engineering science from Tufts University, College of Engineering, and a master’s of business administration degree in finance from New York University, Leonard N. Stern Graduate School of Business.

Matt HermannAscensionHealth System.

Kimberly Ha is Global Editor for BioPharm Insight, an independent business intelligence product launched by the Financial Times Group. She manages all editorial content and generates daily breaking news coverage. Kimberly has been with Mergermarket since 2005 covering healthcare. She started out as a financial journalist in Hong Kong specializing in healthcare M&A, and was the lead sector specialist before transferring to New York to launch this product in 2007. Kimberly has been a sought-after panelist and moderator at major healthcare investor conferences and events, including the Prix Galien Awards. In 2011, based on her extensive coverage of Alzheimer’s disease, she was nominated by the Alzheimer’s Association and was ultimately selected to be a National Press Foundation Fellow. Kimberly has a BA in Psychology from New York University. She is fluent in Cantonese, Shanghainese, and is proficient in Mandarin.

Kimberly HaGlobal EditorBioPharm Insights.

Mr. Lucchino co-founded Semprus BioSciences in 2007. Under his stewardship, the company has grown from two to 30 employees and secured $28.5M in venture capital financing and $2.4M in federal funding. Prior to co-founding Semprus, Mr. Lucchino was a Senior Associate at Polaris Venture Partners, a $3B venture capital fund based in Boston. Mr. Lucchino was involved in the fund’s investment in Athletes’ Performance, a global leader for integrated performance training, nutrition and physical therapy. Previously, Mr. Lucchino co-founded and served as Managing Director of LaunchCyte, an investment firm that specializes in developing biomedical intellectual property. He led corporate development activities and secured funding for the firm’s portfolio companies. LaunchCyte successfully co-founded six portfolio companies, including Knopp Neurosciences, which recently entered into an exclusive $345M license agreement with Biogen Idec, and Immunetrics. Additionally, Mr. Lucchino is a member of AdvaMed’s (Advanced Medical Technology Association) Board of Directors, where he serves on the International Board Committee, as well as AdvaMed’s 2012 Program Committee.

David L. LucchinoCEO andFounder, Semprus Biosciences.

Roger Kitterman, an experienced venture capital investor with more than 15 years in the industry, is Managing Partner of Partners Healthcare Innovation Fund. Mr. Kitterman has been the startup CEO for three venture-backed companies, and has guided many more through the earliest stages of development. Previously, Mr. Kitterman was a general partner at Mi3 Venture Partners, an early stage, bioengineering focused fund. Prior to joining Mi3, he was a managing director at Lee Munder Venture Partners, the venture capital arm of Lee Munder Capital Group. He joined Lee Munder from Boston University’s Community Technology Fund, where he made venture capital investments in the life sciences and developed and managed spinouts from the university and Boston Medical Center. Roger began his venture capital career in Eastern Europe with the Bulgarian- American Enterprise Fund, a $55 million venture capital fund. He is a founding member of the executive committee of the Institute for Pediatric Innovation. He also advises early stage companies as part of NIH’s Commercialization Assistance Program. Roger holds an MBA in Finance and Business Development from the Columbia Business School and an AB from Harvard College. He is a Member of the Board of Directors of Daktari Diagnostics, Provasculon, VisionScope and Targanox, and represents Healthcare Innovation Fund at the Boards of Synovex and Sebacia.

Roger KittermanManaging Partner, Innovation Fund, Partners Healthcare.

Jennifer Leib is a founding partner of HealthFutures. She brings to this role an extensive background in the scientific, clinical and public policy related issues in modern healthcare. As a board-certified genetic counselor, Jennifer has over five years of clinical research experience at the National Institutes of Health. Prior to the launch of Health Futures, she served as the Director of Government Relations & Public Policy for Affymetrix, Inc., where she advocated for genetic privacy protections, advances in personalized medicine, expansion of stem cell research, and increased funding for biomedical research. She was a lead advocate and strategist for the Genetic Information Nondiscrimination Act, the Genomics and Personalized Medicine Act, and the Laboratory Test Improvement Act. She also worked closely with the company’s internationally respected efforts to bring standardized protocols to the collection and use of genetic information and co-organized its highly successful Genetic Age Symposium series aimed at fostering greater public awareness of policy issues in the life sciences.

Jennifer LiebFounding Partner, HealthFutures.

Mr. Margolis founded Aurora in October 1994. Prior to that Jeff began expanding the firm’s capabilities and founded Atypical BioCapital Management LLC (Atypical Bio(tm)) and Atypical BioVentures Fund LLC, a life science fund management company and venture fund respectively. Atypical Bio(tm) also manages a micro cap and small cap public life science portfolio for a fund-of-funds. The Atypical Bio(tm) group is an affiliate of Aurora. Prior to founding Aurora, Jeff was at D. Blech & Company Incorporated from 1992 until 1994, an investment banking firm specializing in biotechnology companies. Before joining D. Blech & Company, Mr. Margolis worked for nearly a decade for the Fundamental Brokers Group, an international affiliated group of fixed income securities brokers. His last position with the firm was chief financial officer. He holds the following securities industry registrations: (i) general securities principal (Series 24), (ii) registered representative (Series 7), (iii) state agent (Series 63), (iv) financial and operations principal (Series 27),(v) municipal securities principal (Series 54), (vi) options principal (Series 4).

Jeff MargolisPresident and Founder, Aurora Capital LLC.

Anne is in charge of Grant Thornton LLP’s Health Care Practice and has represented health care clients for almost 25 years. She has worked extensively with large health systems, academic medical centers, community hospitals, managed care organizations, Blue Cross Blue Shield organizations, coalitions and purchasing organizations, and physician practices. She has assisted clients in all aspects of financial consulting, including mergers and acquisitions, joint ventures, corporate restructuring, physician contracting, executive compensation, risk assessments, regulatory issues, and IRS matters. She has provided litigation support on health care related matters and has testified as an expert witness on many occasions. As the national managing partner for the health care practice, Anne is responsible for overseeing the service offerings to Grant Thornton’s health care clients around the country, specifically services such as audit (internal and external), tax, valuation, reimbursement assistance, internal controls consulting, security risk consulting, litigation support, M&A, compensation consulting, Sarbanes-Oxley compliance, and other health care corporate compliance. Roger Kitterman,

Anne McGeorgeNational Managing Partner,Healthcare, Grant Thronton, LLC

Bill has held leadership roles at some of the most prestigious corporations in the United States, Europe, and China including: Du Pont, Medtronic, Stanford Medical Center, US Oncology, MicroPort (Shanghai) and Cellnovo. He was twice awarded the Computerworld Smithsonian Award in Medicine.

Bill McKeonCEO, CellNovo.

Andrew McDonald is a healthcare investment professional with expertise in identifying transformative medicines as well as in forecasting clinical trial, regulatory, and sales outcomes. Prior to co-founding LifeSci Advisors, Andrew most recently served as senior biotechnology analyst at Great Point Partners, a dedicated life science hedge fund. From 2004-2006, Andrew was Co-head of Healthcare Research and Biotechnology Analyst at ThinkEquity Partners, a boutique investment bank. Prior to entering the financial services industry, Andrew was a medicinal chemist at Cy-tokinetics from 2001-2004, where he discovered and developed a promising anti-cancer agent now in clinical trials. Andrew began his pharmaceutical career as a medicinal chemist at Pfizer from 2000-2001.

Andrew McDonaldLifeScience Advisors.

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Shan provides the overall strategic leadership and visionary direction for Health Integrated. Shan has a consistent track record of vision, leadership, and success in the healthcare industry. Before joining Health Integrated, Shan co-founded and directed a number of companies in the medical technology area. Two companies initially founded by Shan were sold to private buyers, and one was taken public and traded on the NASDAQ Exchange. Under his tenure, the company approached $70 million in annual sales and had market capitalization of approximately $450 million. Shan was named to the Chicagoland Entrepreneurial Hall of Fame in 1995, and was named Illinois High Tech Entrepreneur of the Year in 1998. Shan currently sits on a number of private company boards and is a gradu-ate of Harvard University.

Shan PaddaChairman and CEO, HealthIntegrated.

Tim Opler is a Principal of Torreya Partners where he provides advisory services to life sciences companies. His current clients include a wide variety of biotechnology, specialty pharmaceuticals and diagnostics companies. Most recently he was Vice-President, Strategy at FibroGen. At FibroGen, Tim was involved in a number of M&A, financial and operational matters. Previously, Tim was a Managing Director in the Health Care Group at Credit Suisse First Boston. Based in New York he focused on a broad portfolio of companies in life sciences. He carried out over $50 billion in financing and M&A transactions. In total, Tim has 14 years of investment banking experience and previ-ously was a finance professor at Ohio State University. As an academic he published over a dozen articles in leading journals in the areas of corporate finance and corporate governance. Tim received a Ph.D. in Economics from UCLA in 1990 and B.A. from Florida State University in 1985.

Tim OplerPrincipal, Torreya Partners.

Peter Winter, Editor of the OneMedPlace Diagnostics Quarterly, is a leading and well-known authority and communicator on the biotechnology and personalized medicine sectors. Mr. Winter has over 30 years experience as a science journalist, editor and consultant. He was the founder and Editor of Canadian Biotech News a weekly publication that served the industry for 20 years. Canadian Biotech News was acquired by Burrill & Company in 2005 . At Burrill & Company he was editor of the Burrill Report that charts the business and financial progress of the sector and the Biotech Report annual series, the most recent of which was Biotech 2011. Mr. Winter has provided strategic intelligence on biotechnology for governments and industry and developed communications strategies for start-up and emerging biotechnology companies. Educated at the University of London UK where he received a special honors degree in science (1974). He worked in cancer research and the pharmaceutical industry before devoting his career to scientific communications, writing/editing, consulting and entrepreneurial activities. Peter Winter is the recipient of a number of awards the most recent being the prestigious Science Journalism Laureate Award from Purdue University (2009).

Peter WinterEditor of the OneMedPlace Diagnostics Quarterly.

Kevin Wasserstein specializes in investing and building medical device companies at Versant. His work with entrepreneurs spans the earliest seed or concept stage of development through the entire life cycle of the company. Kevin has more than eighteen years of venture capital and operating experience in medical device and high technology companies, and currently serves, or has served, in board or advisory roles with companies which include: Acclarent (acquired: Johnson & Johnson), Autonomic Technologies, Respicardia, LipoSonix (acquired: Medicis), Lutonix, Microfabrica, NeoGuide Systems (acquired: Intuitive Surgical), Rox Medical, Second Sight Medical, St. Francis Medical (acquired: Kyphon) and The Innovation Factory. In addition, he serves as a member of AdvaMed’s National Venture Capital Advisory Board, and MDMA’s Venture Capital Advisory Group. Before joining Versant in 2002, Kevin held a variety of marketing and business development roles at Guidant Corporation. Most recently he served as head of marketing in Guidant’s Cardiac Surgery Group. Kevin holds both Bachelor’s and Master’s degrees in Mechanical Engineering, specializing in product design, as well as an MBA, all from Stanford University

Kevin Wasserstein Managing Director, Versant Ventures.

Antoine Papiernik is a Managing Partner at Sofinnova Partners. He joined Sofinnova Partners in 1997, and was previously with CDC-Innovation, the venture arm of the Caisse des Dépôts group. Since joining Sofinnova Partners, Antoine has been an initial investor and active board member in public companies like Actelion, Addex, Orexo, NovusPharma, Movetis and Stentys, which went public respectively on the Zürich stock exchange, the Stockholm stock exchange, the Milan Nuovo Mercato, the Belgium Stock Exchange and EuroNext Paris, in Cotherix (initially NASDAQ listed, then sold to Actelion), CoreValve (sold to Medtronic) and Fovea (sold to Sanofi Aventis). He has also invested in and is a board member of private companies CoAxia, EOS, Mainstay and Recor. Antoine has an MBA from the Wharton School of Business, University of Pennsylvania.

Antoine PapiernikManaging Partner, Sofinnova.

Michael Monson is the Senior Vice President of Performance & Innovation at the Visiting Nurse Service of New York (VNSNY). VNSNY, with $1.3 billion in revenue, is the country’s largest not-for-profit home based healthcare company. As both a payer (Medicare Advantage, Medicaid Long Term Care) and a provider (homecare, hospice, long term care), VNSNY services more than 140,000 individuals a year in the metro New York City marketplace.Reporting to the CEO, Performance & Innovation (PI) is VNSNY’s corporate strategy group focusing on the core strategic and operational management issues facing the company. At VNSNY, Michael has been involved with a range of issues including developing growth strategies for the overall company, forecasting market trends, leading scenario planning for the health plan, improving the financial and operating performance of the homecare business, and optimizing the sales force. Michael also leads VNSNY’s Innovation Office which is responsible for identifying health services, health informatics, and health IT companies that are complementary to VNSNY’s existing suite of services. Michael joined VNSNY in 2004 after having spent six years working for McKinsey & Company where he worked primarily with media and nonprofit clients. Prior to working for McKinsey, Michael was the Finance Director for then Congressman Robert Menedez’s campaign. Michael has a Masters in Public Policy from Harvard’s Kennedy School and a BA from the University of Pennsylvania.

Michael MonsonSenior Vice President of Performance & Innovation, Visiting Nurse Service of New York.

John has over 15 years’ experience in private equity, venture start-ups, corporate finance and the healthcare industry. He joined from Insight Capital, which he founded to provide fundraising, strategy and M&A advisory services to life sciences companies and investors. John also serves as an advisor to the NHS National Institute for Health Research. His previous roles include being a Special Advisor to Atlas Venture, CFO at Nitec Pharma and Associate Director of Healthcare at Nomura International, where he was involved in a number of high profile transactions. He started his career as an investment banker at Lehman Brothers, followed by three years as a private equity professional at Kirkland Investors. John holds a BA in Political Science from University of Chicago.

John MiladNBGI.

Michael A. Mussallem has been chairman and chief executive officer since 2000 when the company spun-off from Baxter International. Prior to his current position, Mussallem held a variety of positions with increasing responsibility in engineering, product development and senior management at Baxter, including group vice president of its cardiovascular business from 1994 to 2000 and group vice president of the biopharmaceutical business from 1998 to 2000. From 1996 until 1998, he was the chairman of Baxter’s Asia board overseeing Baxter’s operations throughout Asia. Mussallem is the former chairman of the board of directors of the Advanced Medical Technology Association (AdvaMed). He is currently on the boards and executive committees of AdvaMed, California Healthcare Institute and OCTANe, and is a trustee of the University of California, Irvine Foundation. Mussallem received a bachelor’s degree in chemical engineering and an honorary doctorate degree from the Rose-Hulman Institute of Technology in Terre Haute, Indiana.

Michael A. MussallemCEO,Edwards Lifesciences.

Sri(dhar) Mosur, President and CEO of Jubilant Discovery Solutions Inc, and Jubilant Biosys Ltd., India, a subsidiary of the jubilant group of companies, has been involved in developing research and manufacturing alliances between India China and the global pharmaceutical Industry for over 19 years. Having extensive hands on experience of the emerging markets, Sri has a very good perspective of the capabilities in the emerging markets of India and China and the needs of the global pharmaceutical industry.His expertise includes developing integrated and functional alliances in collaborative research and development alliances. Having worked with major pharmaceutical, biotech and venture funding companies in the last two decades, Sri brings a very good perspective of the needs, capabili-ties and the potential synergies between the mature and emerging markets. Sri has directed, strategically and functionally, multiple pioneering alliances between these two markets since 1995. Sri’s past and current obligations include: Stint with Indian Pharmaceutical industry, early in his career, Partner in Austin Chemical Company Inc, a Chicago based company involved in outsourcing alliances for major pharma, Strategic consulting to a large mid-western pharma in setting up their research and development strategy in India, the board of Pharma Innovation LLc, a biotech offshoot from Columbia university. NY, Board of Muroplex Inc.

Sri MosurCEO, President Global Drug Discovery & Development.

On December 15, 2006, Thomas Moore was named our Chairman and Chief Executive Officer. He also serves as Chairman of the Board of Directors of Mayan Pigments, Inc., which has developed and patented Mayan pigment technology. Previously, from June 2002 to June 2004 Mr. Moore was President and Chief Executive Officer of Biopure Corporation, a developer of oxygen therapeutics that are intravenously administered to deliver oxygen to the body’s tissues. From 1996 to November 2000 he was President and Chief Executive Officer of Nelson Communica-tions. Previously, Mr. Moore had a 23-year career with the Procter & Gamble Company in multiple managerial posi-tions, including President of Health Care Products where he was responsible for prescription and over-the-counter medications worldwide, and group vice president of the Procter & Gamble Company.

Thomas A. MooreChairman/CEO, Advaxis.

1312

Reverse Merger Tuesday, January 10th, 2012. 3pm.

FaCUlty

This workshop will focus on how companies should prepare their IP for a successful partnering transaction. Discussion topic: Reverse Merger into a Public Shell. To what extent can this be an effective tool for growing companies to economically access the public capital markets. The processes, the costs, the pitfalls and execution issues will be examined.

Jeff Margolis Founder and President, AuroraCapital LLC.

David N. Feldman Managing Partner, Richardson & Patel, & Fox PLLC.

Jeff Margolis Founder and President, Aurora Capital LLC. President and founder of Aurora Capital LLC, Mr. Margolis founded Aurora in October 1994. Aurora Capital Corp. was registered with the SEC and became a member of the FINRA (formerly NASD) in May 1995. Aurora Capital LLC succeeded to the business of Aurora Capital Corp. on September 16, 1998. In 2004, Jeff began expanding the firm’s capabilities and founded Atypical BioCapital Management LLC (Atypical Bio(tm)) and Atypical BioVentures Fund LLC, a life science fund management company and venture fund respectively. Atypical Bio(tm) also manages a micro cap and small cap public life science portfolio for a fund-of-funds. The Atypical Bio(tm) group is an affiliate of Aurora. Prior to founding Aurora, Jeff was at D. Blech & Company Incorporated from 1992 until 1994, an investment banking firm specializing in biotechnology companies. Before joining D. Blech & Company, Mr. Margolis worked for nearly a decade for the Fundamental Brokers Group, an international affiliated group of fixed income securities brokers. His last position with the firm was chief financial officer. He holds the following securities industry registrations: (i) general securities principal (Series 24), (ii) registered representative (Series 7), (iii) state agent (Series 63), (iv) financial and operations principal (Series 27), (v) municipal securities principal (Series 54), (vi) options principal (Series 4).

David N. Feldman is a Partner of Richardson & Patel in its New York City office. His practice focuses on corporate and securities matters and general representation of public and private companies, investment banks, private equity firms and high net worth individuals. He also actively advises on mergers and acquisitions and private equity, debt, venture capital and other financings. David is considered one of the country’s leading experts on alternatives to traditional initial public offerings, including reverse mergers, in which a private company becomes publicly traded through a merger with a publicly held “shell” company. His book on the subject, Reverse Mergers and Other Alternatives to a Traditional IPO, Second Edition (Bloomberg Press) was originally published in 2006, has been translated into Chinese and the second edition was released in December 2009. In 2011, TheStreet.com labeled the book the “seminal text” on reverse mergers. A Wharton School graduate, David is the former Chair of Wharton’s worldwide alumni association board. He is a frequent public speaker, seminar leader and counsel on issues unique to small and midcap companies. He has appeared on Bloomberg TV and National Public Radio and been quoted in the New York Times, Wall Street Journal, The Financial Times, The New York Law Journal, The Deal, Forbes, Entrepreneur, CFO magazine and others. David is also a contributor to An Issuer’s Guide to PIPEs (Bloomberg Press, 2009) and PIPES: A Guide to Private Investments in Public Equity, Revised and Updated Edition (Bloomberg Press, 2005). David’s blog, www.reversemergerblog.com, is visited by thousands of professionals each month. David is also a regular contributor on entrepreneurship to Slate.com’s small business site at http://bizbox.slate.com. David serves on a number of charitable boards as well as those of public companies. He has previously been a member of or associated with the law firms of Feldman LLP, Feldman & Ellenoff; Pryor Cashman LLP; Reavis & McGrath (now Fulbright & Jaworski); and Rivkin Radler LLP.

Workshops WorkshopsFunding Strategies For Life Science CompaniesTuesday, January 10th, 2012. 11am.

Funding Strategies for Life Sciences Companies Over the past several years, the primary sources for life sciences funding have remained largely the same. However, our research indicates that the financial crisis has led to a shift in the popularity, focus and type of deals that are being done. Further, the bar has undoubtedly been raised for life sciences companies seeking funding because investors’ appetite for risk has decreased significantly. Many criteria can be used to evaluate financing options – all of which have pros and cons depending on the current position and future direction of your business. Join members of Grant Thornton’s Life sciences practiceas we discuss:The pros and cons of various funding sources.Venture capital trends and opportunities.New opportunities in government funding.Tips to developing the optimal financing strategy for your business.

FaCUlty

Michael BuherPartner, Life Sciences Practice, Mid-Atlantic, Grant Thornton LLP.

Jeff Ostapeic Partner, Life Sciences Practice, Mid-Atlantic, Grant Thornton LLP.

Tim Zingraf Partner Life Sciences Practice, Mid-Atlantic, Grant Thornton LLP.

Michael Buher is an Audit Partner with Grant Thornton with over twenty years of experience working in the life science, technology, consumer business, and manufacturing, industries. He has extensive experience serving growth-oriented privately-held clients as well as global strategic clients and public registrants. Mike serves on the national life sciences leadership team and is one of the Firm’s key leaders in the Mid-Atlantic technology practice. His current clients include such biotechnology companies as Osiris Therapeutics and Spherix Inc. Some of his other notable clients are US Silica, Carey International, and Airlines Reporting Corporation. Prior to joining Grant Thornton, Mike spent 15 years with Deloitte & Touche where he worked with a variety of companies in the technology and consumer business industries, including mult-national public registrants and private companies. Mike is also involved in several community activities. He currently serves on the executive committee of the Tech Council of Maryland and serves in a variety of roles in other community organizations such as the Boy Scouts of America and the Emmorton Recreation Council.

Jeff is an audit partner in the Minneapolis office of Grant Thornton. He has over 20 years of combined accounting experience in private industry and public practice. Jeff is the leader of the Minneapolis Life Science Industry team. Prior to joining the Firm, Jeff worked for a Big Four firm for more than 15 years. Jeff also worked for three years as a partner in another National CPA firm. During his tenure he gained considerable experience working with SEC registrants, multinational corporations, medium to large privately-held companies and international organizations. Jeff’s primary areas of expertise include accounting and auditing. Throughout his professional career, Jeff has provided sound advice and planning strategy for complex audit engagements. His SEC experience includes serving various public companies and participating in numerous public offerings. His primary responsibility in the audit practice is to manage the services provided to his clients.

Tim is an audit partner for Grant Thornton’s Greater Bay Area offices. Tim also leads our Bay Area Technology Industry Practice and is a member of Grant Thornton’s National Life Sciences Industry Team. Tim has over 25 years of experience providing services to technology and life sciences companies, including over 15 years of experience in public accounting. Clients served range from development stage enterprises to a Fortune 15 pharmaceutical distribution company. His industry experience includes serving as Vice President and Chief Accounting Officer for a publicly-held provider of home infusion therapies. Tim is experienced with SEC filings, public offerings, start-up and growth company activities, and emerging accounting issues such as stock-based compensation and revenue recognition.

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indeX to PresentinG CoMPanies

2B BlackbioMadrid, Spain.

PrivateLate StageBiotech

ADS Biotechnology, Ltd.Sylvania, Ohio.

Private Early Stage Biotech

ADS Biotechnology, Ltd. is a biomedical company that was created in 2008 when its three founders discovered that ADS4203, a blood volume expander they invented in response to a patient’s death to hypovolemia, could actually be applied to any condition that triggers capillary leak syndrome (CLS). CLS is a condition that can be onset by any serious injury, and is a leading cause of mortality among soldiers injured in battle in the U.S. military. Upon intravenous administration, ADS4203 works immediately to prevent further leakage of blood proteins and plasma water from capillaries into surrounding tissue, and actually reverses CLS, thereby giving the body the critical time it needs to heal its damaged capillary vessel walls and to recover. This earlier-stage biotechnology company has ADS4203 under protection by three U.S. patents as well as three international patents, with further patent applications pending. Todd Davies, CEO.

PUbLIC CoMPAnY

a

APICA Cardiovascular LimitedAtlanta, Georgia.

PrivateEarly StageMedtech

Apica Cardiovascular Inc. is a privately-held medical device company developing large hole access, stabilization and closure technology. The ASC™ system is a platform for beating heart delivery of Transcatheter Heart Valves for Aortic Valve Replacement (TAVR), Mitral Valve Repair (MVR), and implantation of Left Ventricular Assist Devices (LVAD), without loss of blood via a sealed conduit. The ASC™ suture-less closure system improves patient safety and reduces technical challenges associated with large access site management for these new minimally invasive procedures with a projected $2B market opportunity by 2014. This earlier-stage medical device company is based in Galway, Ireland, and raised $5.1M in Series A financing in December 2010. James Greene, CEO.

2B Blackbio utilizes genetics to develop and market new diagnostic products within the therapeutic areas of microbiological diagnostics, oncology, pharmacogenetics, and nutritional and metabolic diseases, among others. The Company has launched its first products and services to market, such as the BlackLight® Sepsis kit, which uses high-quality gelified enzymes for identification of any bacterial strain; having been designed to achieve the highest level of performance within the realms of microsequencing and PCR-based screening, it in most cases reaches the level of species in less than eight hours without having previous indication of the etiology of the infection. The BlackLight® Fungal ID Kit just as rapidly identifies the causative agents for about 99% of all invasive fungal diseases found in hospitals. Both kits have obtained IVD CE Marking and are patent-protected. The Company has recently created a separate brand called Genotest, which provides genetic testing services. The first product is Nutricheck® by Genotest, which provides nutritional guidelines based on the analysis of 14 different SNPs, related to nutritional counsel and diet management. This later-stage biotechnology company is currently working on different research projects, with an important support from Spanish Governmental Financing Agencies involving more than €3,75M raised between grants and privileged long-term loans. Micahel Sohn, CEO.

A.P. Pharma Inc.Redwood City, CA.

Late StageBiotech/Sp.Pharma

A.P. Pharma Inc. is a specialty pharmaceutical company that develops products using its proprietary Biochronomer™ technology, a polymer-based drug delivery system. The Company has developed a broad family of unique polymers that bring a number of advantages to drug delivery application such as ease of administration, formulation flexibility, and controlled drug delivery. The Company is currently in the process of resubmitting APF530, its lead product candidate aimed at the prevention of chemotherapy-induced nausea and vomiting, for FDA approval. This later-stage biotechnology company also has additional clinical- and pre-clinical-stage programs underway within the realm of pain management, all of which utilize its bioerodible, injectable, and implantable delivery systems. John Whelan, CEO

otC: aPPa.Pk [CAP: US$44M]

Cardiology and Vascular SystemsAccuGenomics 16 ADS Biotechnology. 15Advanced Cardiac Therapeutics 15APICA 15BMEYE 18Capricor 19Cardium Therapeutics - CXM 20Castlewood Surgical 20CorInnova 21ISCHEM Corporation 25Heart Force Medical 24LoneStar Heart 28MiraCor 29Neovasc - NVC.V 31PLC Medical 33Symetis S.A. 37Vasomedical 38

CosmetologyAvita Medical - AVH 17Fibrocell Science - FCSC.OB 23Neodyne 30STRŌMA Medical 36

Drug Delivery SystemsAcces 16A.P. Pharma - APPA.PK 15Precision NanoSystems 33Ratio Inc. 34Rubigo Therapeutics 34S.E.A. Medical Systems 35

Dermatology and Wound HealingAvita Medical - AVH 17Fibrocell Science - FCSC.OB 23Neodyne 30ThermoGenesis - KOOL 37

Diabetes Cellnovo 20CVAC Systems 19Spherix - SPEX 37Thermalin Diabetes 37

Diagnostics2B Blackbio 15AccuGenomics 16Glysure 24NeuroMetrix - NURO 31Novadaq Technologies - NDQ 32Nova Nano Diagnostics 31Oncomotor 32QLIDA 33Ridge Diagnostics 34SpectraScience - SCIE.PK 36WaferGen - WGBS.OB 39Telcare 37

Drug Discovery and DevelopmentBiovista 18Hepregen 24

General Health and WellbeingAcasti Pharma - APO.V 16CVAC Systems 19

GeneticsAccuGenomics 16 MEDomics 28NeoGenomics Lab. - NGNM.OB 30

Healthcare InformationDATATRAK - DATA.PK 22Epion 23HyGreen 25InfoBionic 26Infonaut 26Medical Cyberworlds 28TrueVision 3D Surgical 38Telcare 37

HematologyCytoSorbents - CTSO 22Microvisk Limited 29NeoGenomics Lab. - NGNM.OB 30Ridge Diagnostics 34ThermoGenesis - KOOL 37

HistologyHistoSonics 25LiteCure 28Soft Tissue Regeneration 35Tissue Regeneration Systems 38

Hygiene HyGreen 25

Illumination and Image-GuidanceInvuity 27Novadaq Technologies - NDQ 31TrueVision 3D Surgical 38

Imaging CADENS Imaging 19VisionGate 39

ImmunologyAgenus - AGEN 17 ImmunoGenetix 26Nanoviricides - NNVC.OB 30NeoGenomics Lab. - NGNM.OB 30Northwest Biotherapeutics - NWBO.OB 31

Infectious DiseasesAdvaxis - ADSX.OB 17Agenus - AGEN 17ImmunoGenetix 26Nanoviricides - NNVC.OB 30

LipidomicsPrecision Nanosystems 33

Men’s HealthColby 21HistoSonics 25IsoRay Medical - ISR 27Nanospectra 30Northwest Biotherapeutics - NWBO.OB 31

NeurologyAleva Neurotherapeutics 17Biocept Laboratories 18BrainScope 19Functional Neuromodulation 23Intellect Neurosciences - ILNS.PK 26Memen Pharmaceuticals 29NeuroMetrix - NURO 31 Ridge Diagnostics 34TONIX Pharmaceuticals - TNXP 38

OncologyAcces 16AccuGenomics 16

Advaxis - ADSX.OB 17Agenus - AGEN 17CADENS Imaging 19Colby 21Cyclacel Pharmaceuticals - CYCC 21Del Mar Pharmaceuticals 22Epicept - EPCT.PK 22Genta - GNTA.OB 24 Interface Biologics 27IsoRay Medical - ISR 27Life Medical Technologies 27Mirna Therapeutics 29Nanospectra Biosciences 30NeoGenomics Lab. - NGNM.OB 30Northwest Biotherapeutics - NWBO.OB 31Nova Nano Diagnostics 31Novian Health 32Oncomotor 32OncoSec Medical - ONCS.OB 32Rubigo Therapeutics 34SpectraScience - SCIE.PK 36Telik - TELK 37Vigilant Biosciences 39VisionGate 39

OpthalmologyVisionCare 39

OrthopedicsBacterin Int. Holdings - BONE 18Histogenics 25Soft Tissue Regeneration 35Tissue Regeneration Systems 38

ProteomicsCaprion Proteomics 20

RadiologyRadLogics 34

Reformulated Drugs and Delivery SystemsGenta - GNTA.OB 24 Rubigo 34 Soluprin Pharmaceuticals 35TONIX Pharmaceuticals - TNXP 38

Regenerative MedicineSmart Perfusion 35ThermoGenesis - KOOL 38

Stem Cell TechnologiesCapricor 20CVAC Systems 19LoneStar Heart 29ThermoGenesis - KOOL 37

Surgery Invuity 27Novadaq Technologies - NDQ 31TrueVision 3D Surgical 38

Women’s HealthCervilenz 21Evofem 23Life Medical Technologies 27Novian Health 32

1716

aa

Acasti PharmaLaval, Quèbec, Canada.

Early Stage Sp. pharma

Acasti Pharma is advancing a portfolio of proprietary, novel omega-3 phospholipids for safe and effective pharmaceutical and medical applications, with an initial focus on cardiovascular disease. Phospholipids serve as the major component of cell membranes, are essential for all vital cell processes, and play an important role in modulating cholesterol efflux. Acasti Pharma’s proprietary novel phospholipids carry and functionalize the polyunsaturated omega-3 fatty acids eicosapentaenoic acid (EPA) and docosahexaenoic acid (DHA), which are stabilized by potent antioxidants; evidence has demonstrated the anti-inflammatory properties of EPA and DHA in regulating important biological functions related to degenerative, arthritic, circulatory, digestive, and brain diseases. Delivering omega-3s functionalized on phospholipids helps optimize the omega-3 fatty acid therapeutic benefits, while potent antioxidants contribute to proper physiological regulation that prevents free radical cellular damage, a common pathway to cardiovascular disease and inflammation as well as neurodegenerative disease. Xavier Harland, CEO.

tsXv: aPo.v [MkT CAP: US$90M]

AccuGenomicsWillmington, NC.

PrivateEarly StageBiotech

AccuGenomics provides standardized, proprietary gene expression tests to accurately diagnose, monitor, and inform cancer treatment. The Company’s BCR-ABL molecular diagnostics test is intended for chronic myeloid leukemia patients previously diagnosed with a BCR-ABL MBCR fusion gene event, and monitors treatment efficiency, minimal residual disease, and follow-up for disease relapse. AccuGenomics’ lung cancer risk test (LCRT-AGx) 14 Gene Test identifies patients at highest genetic risk of lung cancer in order to prioritize them for CT screening, resulting in marked reduction of the annual cost of screening. This earlier-stage biotechnology company is also developing its nucleic acid qPCR (SNAQ) platform, and is working to further its molecular diagnostic business development initiative through the identification of new molecular diagnostic tools, the development of new oncology drug products, and collaboration with biopharmaceutical and nstrument and platform companies. Manfred Frey, CEO.

AdvaxisPrinceton, NJ.

Late StageBiotech

Advaxis is a biotechnology company developing the next generation of immunotherapies for cancer and infectious diseases. The Company’s novel platform technology utilizes a modified infectious microorganism, live attenuated Listeria monocytogenes (Lm), which is bio-engineered to secrete an antigen/adjuvant fusion (Lm-LLO) protein and thereby activate numerous aspects of the immune system simultaneously. Lm-LLO-based immunotherapy is able to generate a comprehensive immune response by serving as its own adjuvant, directing antigen presentation, and changing the tumor microenvironment by increasing tumor infiltrating killer T-cells and decreasing Tregs/MDSCs. Effects include innate immunity, enactment of both arms of the adaptive immune response, and many non-classical immune responses. This later-stage biotechnology company has over fifteen distinct constructs in various stages of development, some directly developed by the Company and others through strategic collaborations with recognized centers of excellence. Tom Moore, CEO.

otCBB: adsX.oB [MkT CAP: $43M]

Agenus Lexington, MA.

Late StageBiotech

Agenus is commercializing breakthrough immunotherapies for cancer and infectious diseases. Within the Company’s Saponin platform is QS-21 Stimulon®, an adjuvant derived from the bark of the Quillaja saponaria tree designed to strengthen the body’s immune response to a vaccine’s antigen, thus making the vaccine more effective. Currently, there are approximately 15 vaccine candidates using QS-21 in clinical development for infectious diseases, cancers, and central nervous system disorders, four of which are in Phase III studies for malaria, non-small cell lung cancer, melanoma, and shingles, respectively. Agenus is also developing a platform utilizing HSPs, which act as “chaperones” to ensure that a cell’s proteins are in the right place at the right time and can help the human body identify a diseased cell and subsequently stimulate an immune response. Within Agenus’s HSP platform is HerpV, a polyvalent off-the-shelf therapeutic heat shock protein-based vaccine for the treatment of genital herpes that has completed Phase I clinical testing. This later-stage biotechnology company is also developing its Prophage Series vaccines, which respectively target glioma, renal cell carcinoma, pediatric neurological tumors, and melanoma. Garo Armen, CEO.

nasdaqCM: aGen [ MkT CAP: US$47M]

Advanced Cardiac Therapeutics (ACT) Laguna Beach, CA.

PrivateLate StageMedtech

Advanced Cardiac Therapeutics (ACT) specializes in advanced irrigated cardiac ablation systems with proprietary temperature-sensing technology based on microwave radiometry. Cardiac catheter ablation procedures involve advancing a catheter into the heart and selectively ablating certain areas of tissue in order to prevent the spread of electrical signals that give rise to a patient’s specific cardiac arrhythmia. Most catheter ablation procedures are conducted with a saline-irrigated catheter in order to prevent the tip from overheating; however, this results in loss of temperature feedback, while the usage of power settings to drive ablation creation brings the issue of poor lesion quality. ACT’s TEMPASURE cardiac ablation catheter enables the measurement of tissue temperature with an irrigated catheter by continually reading the temperature in the tissue below the heart wall surface, thereby providing EP Physicians with greater control and real-time information that is more accurate regarding validity of lesion creation and completeness. This later-stage medical device company is the first to enable knowledge of temperature measurement at depth with saline-irrigation through its technology, which recently received CE mark clearance. Aris Constantinides, CEO.

Access PharmaceuticalDallas, TX.

Late StageBiotech

Access Pharmaceuticals specializes in cancer and supportive care products that are largely based in proprietary nanopolymer technologies. Access has received FDA approval for and markets MuGard™, a viscous, mucoadhesive rinse that provides a protective, soothing coating to the oral mucosa for the management of mucositis, a frequent side-effect of cancer therapy for which there is no established treatment. The Company’s lead development candidate for the treatment of cancer is ProLindac™, a nanopolymer DACH platinum prodrug that utilizes a safe, water-soluble nanoparticulate system to deliver more drug to the tumor while reducing delivery to normal tissue, thereby increasing effectiveness and decreasing toxic side-effects; ProLindac™ has successfully completed a European Phase II trial in patients with ovarian cancer and will soon undergo combination studies. While Access’s primary focus is on oncology, the Company’s drug delivery technologies also yield candidates that address the problem of poor intestinal absorption of drugs by exploiting the body’s own vitamin B-12 absorption system; Cobalamin™ is Access’s proprietary nanopolymer oral drug delivery technology that is transported from the gut to the bloodstream by such a receptor-mediator process. This later-stage biotechnology company is also currently developing products for the oral delivery of insulin and human growth hormone (HGH). Jeffrey Davis, CEO.

otCBB: aCCP.oB [MkT CAP: US$35M]

Aleva NeurotherapeuticsLausanne, Switzerland.

PrivateEarly StageBiotech

Aleva Neurotherapeutics is developing next-generation implants for Deep Brain Stimulation (DBS) therapy that are designed to be more versatile, more precise, and more efficient than contemporary DBS approaches, as well as less prone to cause side effects and complications. The Company’s proprietary microDBS™ technology is based on thin film microscale electrodes that are non-toxic, biocompatible, and have the potential to expand the DBS market to new indications. Aleva is working on three novel brain stimulating products: directSTIM™, which allows for directional stimulation and better targeting of the region to be modulated; spiderSTIM™, which is a full-solution for both intra-surgical and long-term therapeutic use that increases the number of patients with Parkinson’s disease who are eligible for DBS treatment; and cortiSTIM™, an implant for highly localized cortical stimulation that could cater to disease indications not currently addressed by neurostimulation. This earlier-stage biotechnology company’s strategy is to develop its products as complementary implants to existing DBS devices to ease regulatory product development and facilitate faster penetration into the estimated US$450M DBS market. Jean-Pierre Rosat, CEO.

Avita Medical Northridge, CA.

Late StageBiotech

Avita Medical produces ReCell®Spray-On Skin™, an autologous cell harvesting, processing, and delivery technology that enables surgeons and clinicians to treat skin defects using the patient’s own cells in a regenerative process that accelerates healing, minimizes scar formation, eliminates tissue rejection, and reintroduces proper texture and pigmentation to the skin. ReCell® produces a suspension of skin cells from a sample taken from skin surrounding the area to be treated. Once sprayed onto the affected area, the patient’s healthy cells enter into a phase of rapid growth, proliferation, and migration, thereby reconstructing a new skin that matches the surrounding tissue. ReCell® has been designed for use in a variety of wound, plastic, reconstructive, burn, and cosmetic procedures. This later-stage biotechnology company’s procedures performed on-site, utilizes a patented and proprietary spray-on application, takes approximately 30 minutes to complete, and does not require laboratory facilities. William Dolphin, CEO.

asX:avH [MkT CAP: US$24M]

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B-Ca-B

Bacterin International Holdings Inc.Belgrade, MT.

Late StageMedtech

Bacterin International Holdings Inc. is a Montana-based company that develops anti-microbial, anti-infective coatings for revolutionary bone graft material and also processes and markets innovative, biologic allografts for transplantation. Objectives of allograft use include pain relief, aid in tissue regeneration, and aid in bone fusion in spinal and sports medicine procedures. The Company’s biologic scaffolds OsteoSponge®, OsteoSponge® SC, and OsteoWrap® are made from demineralized bone that is malleable and flexible, which enables enhanced efficiency and precision in handling. Bacterin also markets BacFast® and OsteoLock®, which are used in spinal surgery and are designed to minimize graft back-out and increase osteoinductivity. Bacterin’s latest allograft, OsteoSelect® DBM Putty, has excellent handling characteristics and is distributed as a sterile product. The aim of this later-stage medical device company is to help patients return to a healthy, active lifestyle, to help institutions reduce healthcare-associated infections, and to improve medical procedures available to soldiers in less sterile environments. Guy Cook, CEO.

aMeX: Bone [MkT CAP: US$87M]

Biocept LaboratoriesSan Diego, CA.

PrivateLate StageAllied Biotech/Med. Information

Biocept Laboratories is an advanced laboratory services company specializing in oncology tests, specifically for Circulating Tumor Cells (CTCs). The Company utilizes patented and innovative technologies to generate detailed reports that include results and interpretations of lab tests, thereby providing advanced prognostic and predictive assessments that guide the course of treating oncology patients. Biocept’s Cell Enrichment and Extraction (CEE™) system has been demonstrated to consistently capture extremely rare cells that may be present in only 1 of every 50-100 billion blood cells in a microfluidic device, including CTCs in patients with early-stage, metastatic, or recurrent cancers. The Company’s family of laboratory tests, the OncoCEE™ platform, provides a great deal of flexibility for both modifying the capture of rare cells as well as analyzing methods for unique requirements. Thereby, this later-stage biotechnology company is able to aid in assay development, patient population profiling, correlative science studies, the determination of patient eligibility/stratification for clinical trials, and the measurement of efficacy endpoints including surrogates such as particular biomarkers. Linda Macander, CEO.

Biovista IncCharlottesville, VA.

PrivateLate StageAllied Biotech/Med. Information

Biovista Inc. is dedicated to maximizing the value of research and clinical development by systematically repurposing drugs for unmet and commercially valuable medical needs. Biovista’s proprietary discovery platform, termed Clinical Outcome Search Space, utilizes a predictive technology that delineates both drug efficacy and adverse effects while enabling the Company to de-risk these drugs through patient cohort stratification as well as other methods, thereby reducing the risk of failure as the drugs enter and proceed through the clinic. This unique ability to simultaneously profile efficacy and adverse effects enables Biovista & its collaborators to win on both sides of the “Benefit/Risk” equation of drug development. The Company currently has drug programs for neurological disorders, including multiple sclerosis and epilepsy, as well as for cancer, including glioblastoma and melanoma. This later-stage advisory company is collaborating with the FDA to predict safety outcomes of certain drugs, as well as with Pfizer and Novartis to find new uses for a number of their development-stage and marketed drugs. Graham Anthony, CEO.

BMEYENetherlands, Amsterdam.

Private Late Stage Medtech

BMEYE is a technology-based, market-driven company that focuses on finger arterial pressure and cardiac output technologies. While 25 million patients annually could benefit from a new beat-to-beat, noninvasive advanced hemodynamic monitoring device, only 16% of patients in the US are monitored ‘hemodynamically’ for cardiac output during surgery, because the available medical equipment is invasive, costly, intermittent, or unreliable. Now, BMEYE has developed the Nexfin and the ccNexfin; for the first time, physicians have products that will support them to prevent unnecessary complications for their patients and reduce the lengths of their hospital stays. Moreover, Nexfin and ccNexfin can be applied by a nurse, minimizing healthcare costs. BMEYE’s first product, the Nexfin, is a non-invasive blood pressure and cardiac output monitor that offers precise, real-time profiles of data within a minute of application. The Nexfin obtained CE and FDA clearance in 2007, and the Company is building a network of strong distributors with its launch, leading toward physicians’ usage of the Nexfin in patient diagnosis. This later-stage medical device company brings over 30 years of research and development experience to customers and works with medical centers and universities all over the globe in joint research projects.Rob DeRee, CEO.

BrainScope Company Bethesda, MD.

PrivateLate StageMedtech

CVAC Systems Inc. Temecula, CA.

PrivateEarly StageMedtech

CVAC Systems Inc. offers novel technology that is used in improved fitness and athletic conditioning, and which is currently undergoing research regarding its usage in glucose homeostasis and other therapeutic applications. The Cyclic Variations in Adaptive Conditioning (CVAC™) process entails surrounding the body by precisely composed rhythmic changes in pressure, temperature, and density of fresh air, thus stimulating the body’s natural adaptation to such environmental changes. Anecdotal reports of individuals who have used CVAC™, ranging from elderly adults to champion athletes, indicate that the oxygen-carrying capacity of subjects’ blood was improved, as was adaptation to high-altitude environments. Additionally, recent studies indicate that such short-term intermittent hypoxia exposure is capable of mobilizing hematopoietic stem cells and increasing their presence in circulation. This earlier-stage medical device company’s methodology is undergoing further development for medical applications, and is currently available to the general public at any service provider in the US, with patent pending.Allen Ruszkowski, CEO.

CADENS Granby, Québec, Canada.

PrivateEarly StageBiotech

CADENS Imaging develops state-of-the-art imaging solutions dedicated to non-invasive cancer screening. CADENS Colon is a software solution that combines computer-aided detection with electronic colon cleansing, and caters to the radiologist with a user interface dedicated specifically to CT Colonography review. The system features a Tagging-Quality-Tolerant (TQT) electronic colon cleansing solution that automatically removes tagged fluid/stool resulting from reduced patient preparations, even in cases of non-homogeneous patient preparation. As a second reader, CADENS Colon integrates CADENS CAD Colon, which is a detection system designed to identify potential polyps and irregularly shaped colorectal lesions. This portable system also employs a unique pay-per-study business model that supports non-invasive colorectal cancer screening at minimal upfront cost. This earlier-stage biotechnology company aims to enhance clinicians’ diagnostic confidence while eliminating pain and discomfort for patients.Jean-Pierre Robert, CEO.

Capricor Inc.Los Angeles, CA.

PrivateEarly StageBiotech

Capricor Inc. is developing cardiac stem cell therapies for cardiovascular regeneration, using a proprietary mixture of cells from the heart itself. While these cells are genetically programmed to work in concert together and support one another, most investigations of stem cells for usage in the heart involve deriving the cells from non-cardiac tissues, which possess limited clinical usage due to inappropriate differentiation that can cause tumor formation. Capricor’s Cardiac-Derived Cells (CDCs) therapeutic program, the Company’s front line treatment for patients with a recent myocardial infarction or heart attack, offers a coronary catheter-infusible formulation of CDCs. Cardiospheres (CSp) are the Company’s 3-D product that are de facto “biological factories” that stimulate cardiac regeneration when reintroduced to the heart, with the stem cells inside a protected environment that increases effectiveness; this study is currently targeted at the heart failure patient with low-ejection fraction. Both CDCs and CSp can be applied either autologously or allogeneically. Capricor is conducting a Phase I trial studying CDCs, which is the first to use heart-derived stem cells in human subjects, with a Phase II/III clinical trial set to enroll in early 2012. This earlier-stage biotechnology company is currently in a B round of financing. Linda Marban, CEO.

BrainScope Company is a neurotechnology company developing a new generation of portable, simple-to-use, non-invasive instruments to aid medical professionals in promptly assessing brain function at the initial point of care, with an initial focus on Traumatic Brain Injury (TBI). BrainScope’s technology is based on the premise that the brain electrical activity is electro-chemical in nature, and has mathematically predictable electrical correlates that ultimately result in voltages in the brain that create identifiable frequencies. Quantification and analysis of these features provide EEG-based objective descriptors of brain function that enable the identification of TBI, which BrainScope accomplishes through the application of advanced mathematics and miniaturized hardware. This earlier-stage medical device company plans to initially market to the United States Military Health System, as TBI accounts for approximately 22% of casualties in recent conflicts in Afghanistan and Iraq.Michael Singer, CEO.

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Cardium Therapeutics San Diego, CA.

Late StageMedtech

Cardium Therapeutics acquires and strategically develops innovative commercial endeavors within the world of biomedicine, especially such endeavors that have the potential to address significant unmet medical needs and forge definable pathways toward economic monetizations. Cardium’s investment portfolio includes the Tissue Repair Company and Cardium Biologics, both of which develop therapeutic products for wound healing and cardiovascular indications. The Company’s portfolio also includes its in-house MedPodium lifestyle product platform. Lead product candidates include Excellagen topical gel for wound care management, which achieved FDA 510(k) clearance in October 2011, and Generx DNA-based angiogenic biologic for patients with coronary artery disease. In August 2011, this later-stage medtech and investment company received the last payment of its $11.25M sale of InnerCool Therapies to Royal Phillips Electronics, marking the finalization of the Company’s first asset monetization from its biomedical investment portfolio. Christopher Reinhard, CEO.

aMeX: CXM [MkT CAP: US$26M]

Castlewood SurgicalConcord, MA.

PrivateEarly StageMedtech

Castlewood Surgical develops products that enable surgeons to either minimize or completely eliminate the aortic side-biting clamp during coronary artery bypass grafting (CABG), thereby leaving no traces of metal within patients. The Company’s Cyclone™ System lets surgeons use their standard suturing techniques without the addition of foreign materials, without the introduction of permanent rigid connectors or stents, and with minimal disruption to the inner aortic surface. Either venous or arterial graft can be loaded onto the Cyclone™ for measurement prior to usage of the system’s coil and aortic cutter; after a circular cut is made in the aorta, the surgeon can easily begin sewing the proximal anastomosis. This earlier-stage medical device company’s Cyclone™ also supports multiple anastomoses, including hand-sewn and angled anastomoses. Wolfgang Daum, CEO.

Caprion Proteomics, Inc.Montreal, Canada.

PrivateLate stageBiotech

Caprion has developed a highly integrated, industrialized approach to proteomics that reduces variability. The Company standardizes procedures that include sample collection, mass spectrometry analysis, and data analysis, thus generating reproducible data that are routinely validated across large sets of clinical samples. CellCarta® is Caprion’s proteomics discovery platform featuring a gel-free, label-free mass spectrometry technology that enables a comprehensive, quantitative, and robust measurement of protein expression differences across large data sets of biological samples, thereby facilitating the discovery, qualification, and verification of disease-specific biomarkers in all phases of clinical and pre-clinical studies. For rapid multiplexed verification and validation of biomarkers, the Company provides robust and quantitative mass spectrometry-based MRM (Multiple Reaction Monitoring) assays. Caprion has also combined its expertise in cell fractionation and organelle isolation with its CellCarta® platform to identify therapeutic targets through both an organelle approach and through the isolation and sequencing of endogenously-processed peptides. This later-stage biotechnology company has been awarded two consecutive five-year US$13M contracts for Biodefense proteomics research, and is actively pursuing a pipeline of innovative in-vitro diagnostic product candidates in the areas of infectious diseases, oncology, and diabetes. Martin LeBlanc, CEO.

Colby Pharmaceutical Company Menio Park, CA.

PrivateEarly StageMedtech

Colby Pharmaceutical Company is developing new signal transduction, oxidative-stress, and hypoxia-inhibitor drugs to treat tumors that are resistant to therapy. Colby’s lead drug candidate, CPC-100, is intended for prostate cancer patients who have already been through surgery or radiation for their primary prostate tumor and have yielded insufficient results with Androgen Depletion Therapy. This anti-Androgenic, anti-inflammatory, multi-targeted transduction inhibitor drug is intended for the treatment of both Androgen-dependent and Androgen-independent therapy-resistant prostate tumors, unlike most Androgen Receptor-binding anti-Androgenic drugs currently on the market, which are only intended for Androgen-dependent tumors. The Company’s co-leading candidate, CPC-200, is a molecularly-targeted oxidase enzyme inhibitor drug that irreversibly binds to and inactivates the oxidase enzyme-producing hydrogen peroxide in the cell cytoplasm, and is intended for the treatment of high-risk, solid, recurring cancer patients. This earlier-stage biotechnology is establishing global collaborations to further its research. David Zarling, CEO.

CorInnova Houston, TX.

PrivateEarly StageMedtech

CorInnova has developed a breakthrough technological platform for the treatment of heart failure. Congestive heart failure is a gradually progressive condition in which the heart muscle weakens, leading to a decrease in contraction force and inadequate delivery of oxygen-rich blood to the body. Utilizing the knowledge that aberrant cardiac motion leads to congestive heart failure by causing abnormal growth and remodeling of the heart, CorInnova has developed the CardiacSTAR™, a minimally-invasive, direct cardiac compression device that restores normal cardiac motion to the heart through the application of gentle pressure. The CardiacSTARTM will be the first heart assist device on the market that promotes healthy cardiac motion, rather than simply heart ejection or blood flow. This restoration of normal cardiac motion enables the reversal of muscle damage, allowing the heart to remodel itself back to a normal, healthy state. Additionally, the device is bi-ventricular, does not contact the blood, and can be turned on and off safely, thereby overcoming complications of bleeding and stroke that are inherent to left ventricular assist devices. This earlier-stage medical device company’s technology is poised to replace or work in conjunction with already-existent treatments including invasive surgery, pharmaceuticals, and electrical and stem cell therapies. William Altman, CEO.

CellnovoLondon, England.

PrivateLate StageMedtech

Cellnovo has developed a mobile diabetes management system that makes real-time, key data constantly and universally available to diabetes patients, their healthcare teams, and their families. The Cellnovo Pump is one of the smallest insulin pumps available, and can be worn discreetly while it tracks all of a patient’s insulin, Bg, activity, and food for extremely precise pumping. The Cellnovo Handset provides a touch screen interface, has a Bg meter built in, and allows data to move seamlessly from the handset to Cellnovo Online so that healthcare teams can stay constantly updated; parents can also receive text messages to their mobile phones alerting them to changes to their child’s information. Cellnovo Online allows users to log in from anywhere and presents real-time data while utilizing the highest level of data security and adhering to all national and international data privacy standards. This later-stage medical device company has received CE mark approval for the world’s first mobile diabetes management system. William McKeon, CEO.

CerviLenz Changrin Falls, OH.

PrivateLate Stage Medtech

CerviLenz has developed a device that measures cervical length in pregnant women and thereby helps health practitioners determine risk of preterm birth. The CerviLenz® device can be used by health care practitioners to generate valuable clinical data in any office, clinic, or hospital by inserting the device with its measurement probe extended, advancing it along the lateral wall of the cervix, locking the measurement probe, and reading the scale. Practitioners may use the device however often is indicated for preterm risk factors so that appropriate preventive therapy may be enacted if needed. This later-stage medical device company’s product is FDA-cleared. Dean Koch, CEO.

Cyclacel Pharmaceuticals Inc. Berkeley Heights, NJ.

Late StageBiotech

Cyclacel Pharmaceuticals Inc. is a biopharmaceutical company primarily focused on the development of its orally-available anticancer agents that target the cell cycle. Sapacitabine (CYC682) is a cell cycle-modulating nucleoside analop that interferes with DNA synthesis by introducing single-strand DNA breaks leading to the arrest of the cell division cycle at G2 phase; it is entering Phase III development for the treatment of Acute Myeloid Leukemia in the elderly and is in Phase II studies for myelodysplastic syndromes and lung cancer. Seliciclib (CYC202) is a novel, first-in-class CDK-inhibitor that selectively inhibits multiple enzyme targets that are central to the process of cell division and cell cycle control, thereby inducing apoptosis; Seliciclib is in Phase II studies for the treatment of lung cancer and nasopharyngeal cancer and is in a Phase I trial in combination with Sapacitabine. Overall, Cyclacel’s drug pipeline covers all four phases of the cell cycle, which the Company believes will improve its chances of successfully developing drugs that work on their own, in conjunction with approved chemotherapies, or in combination with other target anticancer drugs. This later-stage biotechnology company has also developed compound series for potential usage in the treatments of Inflammatory Kidney Disease, Type 2 Diabetes, and HIV. Spiro Rombotis, CEO.

nasdaqGM: CyCC [MkT CAP: US$27M]

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DATATRAKInternational Mayfield Heghts, OH.

Late StageAllied Biotech/Med. Information

DATATRAK International is a worldwide technology and services company that accelerates drug and device development timelines for the clinical trials industry. The Company provides an end-to-end enterprise solution through its unified software suite, DATATRAK ONE™, which offers all the components necessary for efficiently designing, managing, and, ultimately, delivering clinical trials to regulatory authorities. DATATRAK built its multi-component, comprehensive solution for eClinical projects on a single, unified platform, and expanded this concept to include services delivery via the Company’s Clinical and Consulting Services group. DATATRAK has a complete technology and service offering for Phase I-IV clinical trials, and thereby has successfully supported hundreds of international clinical trials involving thousands of clinical research sites and encompassing tens of thousands of patients in 67 countries. Laurence Birch, CEO.

otHer otC: data.Pk [MkT CAP: US$6M]

CytoSorbentsMommouth Junction, NJ.

Late StageMedtech

CYTOSORBENTS is a critical care-focused, therapeutic device company that uses advanced blood purification to treat life-threatening illnesses commonly seen in the intensive care unit, such as sepsis and infection, severe trauma, burn injury, and acute respiratory distress syndrome. Such illnesses afflict millions each year, with mortality rates often exceeding 30% due to a lack of effective therapies. The leading cause of death in the ICU is the overproduction of cytokines, or “cytokine storm,” and other toxins. CytoSorbents uses highly biocompatible, porous polymer beads to extract these toxins from the blood of patients. CytoSorb™, the Company’s flagship product, has achieved European Union CE Mark approval as a first-in-class extracorporeal cytokine filter; used with standard hemodialysis machines, it is clinically proven to reduce cytokine storm in critically-ill patients. The Company has also developed HemoDefend, a technology platform designed to remove contaminants from the millions of blood transfusion products administered each year. Phillip Chan, CEO

otCBB: Ctso [MkT CAP: US$24M]

Del MarPharmaceuticalsVancouver, BC, Canada.

PrivateEarly StageMedtech

Del Mar Pharmaceuticals develops and commercializes proven anti-cancer therapies in new, high-impact orphan cancer indications in which patients have failed modern biologic therapy. VAL-083 is the Company’s lead drug candidate, and has been indicated by over 40 pre-clinical and clinical studies to be active against a wide range of tumor types, including glioblastoma multiforme (GBM), the most common and aggressive form of brain cancer. According to published data, approximately half of patients diagnosed with GBM will fail both front-line therapy with Temodar™ and second-line therapy with Avastin™; there are currently no approved treatments for such patients. VAL-083 benefits from a historical investment of over $50M by the National Cancer Institute, and is currently undergoing clinical trials for GBM patients. The drug is already approved as a cancer chemotherapeutic in China for the treatment of chronic myelogenous leukemia and solid tumors. This earlier-stage biotechnology company’s access to proprietary ChemState™ bioinformatics tools allows the expedient identification and advancement of potential drug candidates, thereby furthering shareholder value. Jeffrey Bacha, CEO.

Evofem Inc. San Diego, CA.

Private Late Stage Medtech

Evofem Inc. and its subsidiary, Cosmederm Bioscience, advance women’s sexual and reproductive health through the development of personal care products that offer women new options while having met the highest of safety standards. The Company’s areas of focus are contraception, STI prevention, feminine hygiene, and infertility. Evofem is in Phase III contraceptive trials with its Amphora vaginal gel, and currently under development is a broad range of pharmaceutical and OTC products that includes vaginal microbicides to protect women against unwanted pregnancies and sexually transmitted diseases, including the AIDS virus; topical OTC products for treating itch, burn and sting; and Rx topical neuropathic pain drugs. Additionally, the Company is marketing Softcup™, which is a hypo-allergenic, latex-free, flexible cup worn around the cervix to collect menstrual flow; a reusable version is now available as well. This later-stage medical device company is dedicated to educating and empowering women around the world by providing them with novel products and up-to-date news on reproductive issues. Sean Edwards, CEO.

Epion Health is a health care service organization, utilizing a unique product to deliver information to our clients. We deliver health information and electronic tools to patients and physicians. These services are paid for by organizations that have a vested interest in the services being provided to these end users.In addition to the content on the tablet for the patient, the tablet also has valuable information for physicians such as drug reference tools, dosage calculators and other useful medical applications. Most pharmaceutical companies and most payers have developed custom applications for patients and physicians. Our tablet provides a platform to host these applications at the point of care and make them available in the exam room, without requiring the physician to have any knowledge of how to identify and download the best available medical applications. Mark Wilbur, CEO.

EpiCept Corporation Tarrytown, NY.

Later StageBiotech/Sp.Pharma

EpiCept Corporation is a specialty pharmaceutical company that develops novel therapies in the areas of cancer and pain. AmiKet is a prescription analgesic cream in late-stage clinical development that is designed to provide effective long-term relief from pain associated with various peripheral neuropathies including CIPN, PHN and DPN.Ceplene(r) is a product for subcutaneous injection which has been granted full marketing authorization by the European Commission for remission maintenance and prevention of relapse in adult patients with Acute Myeloid Leukemia (AML) in their first complete remission. Ceplene(r) is available in the EU and Israel. The Company also has two oncology drug candidates currently in clinical development, which were discovered using in-housetechnology and have been shown to act as vascular disruption agents against a variety of solid tumors. Jack Talley, CEO.

otHer otC: ePCt.Pk [MkT CAP: US$19M]

EpionCambridge, MA.

Fibrocell Science Inc. Exton, PA.

Late StageBiotech

Fibrocell Science Inc. develops personalized autologous cell therapies for aesthetic, medical, and scientific applications. The Company’s lead product, LAVIV™ (azficel-T), is the first and only personalized aesthetic cell therapy approved by the FDA for the improvement of the appearance of moderate to severe nasolabial fold wrinkles in adults. The Fibrocell Science patented process involves the extraction of a patient’s own natural fibroblasts, cells that contribute to the formation of connective tissue fibers, from a small sample of cells behind the ear and then being multiplied, purified, cryopreserved, and re-injected throughout multiple treatment sessions. These matrix fibers harbor regenerative effects such as improved skin texture, collagen secretion, and wound healing. This later-stage biotechnology company is planning to continue studies for additional aesthetic and therapeutic indications for azficel-T, and is collaborating with UCLA in its research. David Pernock, CEO.

otCBB: FCsC.oB [MkT CAP: US$45M]

Functional Neuromodulation Inc.Ontario, Canada.

PrivateEarly StageMedtech

Functional Neuromodulation Inc. is advancing the application of deep brain stimulation (DBS) therapies to improve the lives of people with Alzheimer’s and other memory and cognitive disorders. DBS uses a surgically implanted medical device to deliver mild electrical pulses to precisely targeted areas of the brain. Functional Neuromodulation has completed a $10.4M round of financing and has partnered with Medtronic, the pioneer of DBS technology; although DBS has been an effective treatment for movement disorders for over 15 years, it has only recently been applied to Alzheimer’s. Functional Neurotechnology is investigating the usage of DBS of the fornix (DBS-f) to drive neural activity and modulate the brain’s memory circuit. The fornix is a major inflow and output pathway in the brain’s memory circuit, and is one of the first areas of the brain affected by Alzheimer’s; thus, DBS of this structure may drive critical neural activity and modulate the memory circuit in patients with early Alzheimer’s. This earlier-stage medical device company expects to begin a Phase II multi-center clinical trial of DBS-f in patients with mild probable Alzheimer’s in 2012.Dan O’Connell, CEO.

2524

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Genta IncorporatedBerkeley Heights, NJ.

Late StageBiotech

Genta Incorporated is a biopharmaceutical company with a diversified and proprietary product portfolio aimed at delivering innovative treatment to patients with cancer. The Company is developing tesetaxel, a novel, orally-absorbed taxane that is in the same class of drugs as paclitaxel and docetaxel. As the leading oral taxane in clinical development, tesetaxel has completed a broad range of studies Phases IIa-b, and the Company has announced that gastric and breast cancers will be the lead indications for Phase III registration studies. Genta is exclusively marketing Ganite® (gallium nitrate injection) in the US, indicated for treatment of symptomatic patients with cancer-related hypercalcemia that is resistant to hydration. The Company has developed oral formulations of the active ingredient in Ganite® that are being evaluated as potential treatments for diseases associated with accelerated bone loss, such as bone metastases in oncology and Paget’s disease and osteoporosis in metabolic bone disease. Raymond Warrell Jr. MD, CEO.

otCBB:Gnta.oB [MkT CAP: US$5M]

GlySure Abingdon, Oxfordshire, UK

PrivateEarly StageMedtech

GlySure has developed an intravascular glucose-monitoring sensor to enable effective clinical implementation of Tight Glycemic Control (TGC) in hospital ICUs. In 2001, research demonstrated that tightly controlling glucose levels in the ICU can significantly decrease mortality rates. However, contemporary methods of glucose monitoring remain time-consuming and costly, which results in far less frequent monitoring than should occur. GlySure’s continuous intravascular glucose sensor seamlessly integrates into existing ICU vascular access, providing hospitals with a safe and easy means of implementing TGC without disrupting preexisting functions of intravascular lines. It requires minimal maintenance throughout a patient’s stay, thereby reducing both time and cost. This earlier-stage medical device company’s trials in human serum, plasma, and whole blood confirmed that the sensor can measure glucose levels across the entire human physiological range with an extremely high degree of accuracy; the fluorophore-receptor indicator of the sensor is patented under exclusive license to GlySure, which is currently conducting its first human-use ICU trials. Chris Jones, CEO.

HeartForce Medical Inc.Vancouver BC, Canada.

PrivateLarge StageMedtech

Heart Force Medical Inc. (HFM) has developed a non-invasive, standalone, portable device with which physicians can quickly measure the mechanical function of the heart in both the systolic and diastolic phases. The Digital Ballistocardiograph (dBG300®) captures forces generated as a result of heart muscle contractions with an accelerometer enclosed in a sensor placed on the chest at the lower end of the sternum, thereby enabling precise measurement of all events in the cardiac cycle and displaying the relative changes in the forces generated as the atria and the ventricles contract. A PC displays the dBG300®, a digitized seismic signal, and an electrocardiograph (ECG) signal as a set of waveforms. The dBG300® provides immediate data regarding the timing of cardiac events immediately during the patient’s visit, without the need for an echocardiogram. The device is intended to be used as part of a physician’s overall assessment of a patient either in a busy office or hospital setting, and complements the range of relatively simple instruments that physicians already employ. This later-stage medical device company has received USFDA Clearance and approval from Health Canada for the dBG300®, with intellectual property and patents underway. Dr. Geoff Houlton, CEO.

Hepregen CorporationMedford, MA.

PrivateEarly StageBiotech

Hepregen Corporation aims to transform the economics and outcomes of drug development with the commercialization of HepatoPac, a long-term, highly functional, bio-engineered, in-vitro, micro-liver platform launched in March 2011 that provides improved prediction of drug effects on the human liver. Liver toxicity is one of the primary reasons that pharmaceutical and biotechnology companies recall some drugs from the market, while never releasing others. HepatoPac provides opportunity for chronic testing of drugs; identification of metabolites, particularly for low-turnover compounds; and evaluation of drug-drug interactions. HepatoPac also fits into existing work-flows and is amenable to High Content Screening, allowing it to become an integral part of pre-clinical analysis for DMPK and Safety. The platform has been utilized by almost 25 biotechnology and pharmaceutical companies, and is on the path to adoption with major pharmaceutical companies. HepatoPac may be leveraged to impact additional areas of drug discovery as well, including drug efficacy assessment, disease modeling, and toxicogenomics. This earlier-stage biotechnology company was awarded a $500,000 grant in May 2011 by the Massachusetts Life Sciences Center. Bernadette Fendrock, CEO.

HistoSonics Inc. Ann Arbor, ML.

PrivateEarly StageMedtech

HistoSonics Inc. is in the late stages of developing a treatment for benign prostatic hyperplasia (BPH), a condition that affects over two million men in the US and for which approximately 400,000 are being treated surgically each year. The Company’s VortxRX device makes use of Histotripsy technology, which employs controlled cavitation via focused, high-intensity ultrasound that produces tiny energetic bubbles that expand and contract in a way that breaks up and destroys unwanted tissue without heat; the result is the non-invasive homogenization of tissue under real-time image guidance with robotic precision. During the homogenization process, prostatic tissue becomes liquefied and is voided through urine, which enables debulking of the prostatic tissue and provides patients with relief from enlarged prostate symptoms. It is a versatile platform that has the potential to replace traditional surgical methods and to reduce patient trauma and health care costs. Histotripsy technology is covered by three issued patents and eight pending patents, and is licensed to this earlier-stage medical device company from the University of Michigan, where it was originally developed by scientists in the Departments of Biomedical Engineering and Urology. Christine Gibbons, CEO

HistogenicsWaltham, MA.

Private Late Stage Medtech

Histogenics is a late-stage, privately-held regenerative medicine company located in Waltham, Massachusetts. The company combines cell therapy and tissue engineering technologies to develop innovative products for tissue repair and regeneration. The Company’s flagship products focus on the treatment of patients with active lifestyles who suffer from articular cartilage-derived pain and immobility. Damaged cartilage cannot repair or restore itself, and if left untreated, can lead to chronic conditions such as osteoarthritis. The Company’s product NeoCart®, developed for regeneration of full thickness cartilage lesions, consists of autologous engineered neocartilage that is grown ex vivo using the patient’s own cells. The discrete three-dimensional piece of neocartilage tissue, having the characteristics of maturing native articular cartilage, is implanted into the defect, where it integrates with surrounding host tissue. NeoCart’s Phase II data demonstrates clear superiority to microfracture procedures, with no adverse events. NeoCart® is currently enrolling in a multi-center Phase III clinical study. This later-stage medical device company has also developed VeriCart™, a single-step, cell-free, three-dimensional collagen scaffold that requires no harvest of cartilage cells and can be used with autologous stem cells, or to augment microfracture procedures; once implanted, the VeriCart™ scaffold attracts chondrocytes and stem cells into the scaffoldto repair cartilage defects. Patrick O’Donnell, CEO.

HyGreen Inc.Gainesville, FL.

PrivateEarly StageMed. Information

HyGreen Inc. has developed a system that actively reminds busy healthcare workers to wash their handsas it records all hand-washing events and patient-staff interactions in the hospital environment. Despite the fact that guidelines from the Centers for Disease Control and Prevention have repeatedly emphasized that hand-washing is the single most important procedure for preventing infections in hospitals, reports continue to indicate that healthcare worker adherence to hand-washing guidelines is low. As health care workers perform hand hygiene, they place their gel-covered hand underneath the HyGreen® sensor, which causes the worker’s badge to blink green; if the HyGreen® bed monitor recognizes that a worker’s badge is not green, a reminder to wash is vibrated. Reports on hand hygiene are available real time via the HyMarks reporting system using various filters and parameters. This later-stage medical information company provides hospitals the first comprehensive and definitive tool to effectively monitor adherence to hand hygiene protocols.Craig Davenport, CEO.

ISCHEM CorporationLa Jolla, CA.

PrivateEarly StageAllied Medtech/Med. Information

ISCHEM Corporation non-invasively identifies and manages vulnerable plaque within asymptomatic persons’ arteries. “Vulnerable” plaque is the type that ruptures and results in heart attack or stroke. Two ISCHEM products are under construction: ISCHEM’s Plaque-Stability product identifies plaque that is likely to break off and cause a heart attack or stroke; the raw data coming from magnetic resonance images of the patient is employed by this informational product. The Company’s Cardiovascular Therapy-Optimization product is similar in construct to the Plaque-Stability product and also alerts physician to probability of heart attack; however, the variables used are biological, as the data used for this informational product is from diagnostic laboratories and patient histories. This earlier-stage medtech company aims to develop the first diagnostic method for detecting problematic plaque, as there currently are none. Joel Huizenga, CEO.

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ImmunoGenetix TherapeuticsLenexa, NK.

PrivateEarly StageBiotech

ImmunoGenetix Therapeutics is a biotechnology company developing advanced DNA immunotherapies for HIV infection, thereby offering a promising and relatively inexpensive alternative to anti-HIV drug cocktails. Extensive research indicates that protective immunity against HIV infection may not be possible; while anti-viral therapies such as the HAART (Highly Active Anti-Retroviral Therapy) cocktail have drastically changed the prognosis for patients, HAART requires the administration of over 20 pills per day, can involve serious side effects such as fatal heart disease, is high-cost, and is becoming less effective as drug-resistant strains of HIV develop. ImmunoGenetix’s lead product candidate, GenePro™, induces a robust antibody and cellular immune response in non-human primates, incorporates a proprietary DNA composition that yields high levels of gene expression and non-infectious HIV protein production, necessitates that anti-viral therapies be increased only when virus levels begin to rise, and is anticipated to be less prone to deactivating HIV mutations than HAART. This earlier-stage biotechnology company has completed a comprehensive non-clinical and clinical development plan for GenePro™ and is working toward an IND. Jim Laufenberg, CEO.

InfoBionic™ Lonwell, MA.

PrivateEarly StageMed. Information

InfoBionic has developed technology that employs a proprietary solution to monitor and gather data from multiple parameters, including ECG, respiration, SpO2, and blood pressure, and analyzes them with sophisticated and proprietary algorithms on remote server (cloud based). This is in marked contrast to manual delivery of devices or local processing on smartphones. RetroControl™ allows the physician 24/7 remote access to patient data from any connected device and provides easy-to-use patient interface with faster results at a lower cost. This earlier-stage medical device mHealth company’s patented automated two-stage method of detecting and verifying arrythmias also removes the need for an Independent Diagnostic Test Facility to manually screen ECG readings with very high false positives. Nancy Briefs, CEO.

InfonautToronto, Ontario, Canada.

PrivateEarly StageMedtech

Infonaut specializes in taking overwhelming volumes and types of data, refining it, and representing it in an intuitive way through a map-based GIS tool that supports fast, information-rich decisions via various applications. Hospital Watch Live merges real-time statistical surveillance data with relevant geographic components, enabling disease mapping, coordination of resources, patient tracking, pandemic simulation, and identification of systemic weak spots. Infection Watch Live is a map-based disease surveillance and alert application that provides an actionable birds-eye view of the spread of contagious respiratory and gastrointestinal conditions through the integration of data from Emergency Department visits, clinics, lab testing, over-the-counter sales, Telehealth reports, and work and school absenteeism. Region Watch Live helps planners uncover problems that become obvious once displayed on a map, and sheds light on issues pertaining to locations of hospitals, utilization rates of various hospital services, demographics, and quantities of hospital beds, emergency responders, and staff; such analysis of HR trends allows for forecasts in service availability, planning for funding distribution, and prediction of initiative impact. This later-stage medical device company has grown into a trusted and essential partner for government healthcare providers, organizations, agencies, and related private-sector companies. Niall Wallace, CEO.

otHer otC: ilns.Pk [MkT CAP: US$2M]

Intellect Neurosciences Inc.New York, NY.

Late StageBiotech

Intellect Neurosciences Inc. is developing a new breed of innovative “disease-modifying” therapeutic drugs designed to slow, arrest, and ultimately prevent serious neurological disorders such as Alzheimer’s disease. The Company focuses primarily on proteinopathies, with its pipeline including small neuroprotective molecules and neopitope-based immunotherapy approaches, antibody drug conjugates, and vaccines that target abnormal tau proteins and beta amyloid (A-beta), the cell toxin responsible for Alzheimer’s disease. ANTISENILIN® is Intellect’s Alzheimer A-beta monoclonal antibody platform technology, which provides a method by which to promote the clearance of A-beta toxin away from sites of damage in the brain using highly specific monoclonal antibodies. RECALL-VAX is the Company’s proprietary chimeric peptide vaccine platform for Alzheimer’s and other tauopathies; it has the potential to stimulate the patient’s immune system to produce antibodies that clear A-beta. This later-stage biotechnology company has also applied for a patent for its antibody drug conjugate platform CONJUMAB-A, which possesses potential applications for a broad spectrum of proteinopathies disorders including Alzheimer’s disease, Early-Onset Familial Alzheimer’s disease, cerebral angiopathy, age-related macular degeneration, glaucoma, and traumatic brain injury.Daniel Chain, CEO.

Interface Biologics, Inc. Toronto, Ontario, Canada.

PrivateEarly StageBiomed

Interface Biologics Inc. (IBI) is a privately- held, early-commercial-stage company that develops transformative biomedical polymer technology to improve the safety and effectiveness of medical devices. IBI’s primary technology focus areas are anti-thrombogenic additives that reduce thrombosis without the need for heparin in blood contacting medical devices, and programmable combination drug delivery devices. IBI has signed three OEM licensing agreements for its anti-thrombogenic additives: Fresenius Medical Care (chronic dialyzers and blood tubing), Minntech Corporation (acute dialyzers), and Navilyst Medical (PICCs, ports and dialysis catheters); Navilyst recently announced that its BioFlo PICC with Endexo technology has recently been approved for use in Canada. Through its work, this later-stage biotechnology company is addressing the $1B that thrombosis costs the US annually. Tom Reeves, CEO.

InvuitySan Francisco, CA.

PrivateLate StageMedtech

Invuity has developed a highly engineered system that, paired with state-of-the-art optics technology, provides unparalleled access and visualization for less invasive surgeries. Medical strides have made a reality of less invasive surgeries in which surgeons work through smaller incisions, which has increased the demand for illumination that is far superior to that which is currently available. Invuity’s Eigr™ photonic technology guides light through an advanced polymer and extracts it using hundreds of micron-sized structures, delivering and shaping illumination uniformly onto a target deep in an incision. This delivers cool and direct illumination to even the smallest of surgical fields into which surgeons struggle to see, without interfering with other surgical instruments, and with off-axis lighting that reduces glare and virtually eliminates shadows. This later-stage medical device company markets specific products for breast cancer, spinal, orthopedic, and head and neck procedure, among others. Phillip Sawyer, CEO.

IsoRay Medical™Richland, WA.

Late StageBiotech

IsoRay Medical™ provides innovative solutions for the treatment and diagnosis of disease using medical isotopes. Cesium-131, a seed brachytherapy radioisotope, is the Company’s powerful new treatment for prostate cancer; brachytherapy is a one-time, minimally invasive procedure that involves the placement of tiny seeds containing a radioactive isotope inside the prostate to kill malignant cells. Compared to other prostate brachytherapy isotopes on the market, Cesium-131 has a higher average energy, which enhances uniformity in radiation, and also has the shortest half-life, which limits side effects and increases the drug’s biological effective dose. This later-stage biotechnology company’s brachytherapy isotope received FDA approval in 2003, and the Company expects to broaden its treatment options with the development of protocols for the treatments of breast, liver, lung, pancreatic, and other cancers and malignancies. Dwight Babcock, CEO.

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Life Medical TechnologiesHopewell Junction, NY.

PrivateLate StageMedtech

Life Medical Technologies provides life-enhancing, innovative medical products to the public through partnerships with various organizations and institutions in its efforts to fight breast cancer and other life-threatening illnesses. The Company’s initial focus is on the manufacture and sale of BreastCare DTS™,an easy-to-use device produced under patent that has received FDA 501(k) clearance for marketing in theUS as an adjunct to mammography and other procedures for the detection of breast disease, including breast cancer. This later-stage medical device company believes that through the use of low-cost medical diagnostic testing and education of the benefits of early detection, people worldwide can take greater control of their health. Carol Fitzgerald, CEO.

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LiteCureNewark, DE.

PrivateLate StageMedtech

LiteCure combines physics, laser science, and engineering to bring advanced laser technology solutions to the health care industry through subsidiaries Companion Therapy and LiteCure™ Medical. Deep Tissue Laser Therapy accelerates the body’s natural healing process through photo-biostimulation, effectively and non-invasively treating chronic conditions, acute conditions, and post-surgical pain. The LightForce™ EX therapy laser by LiteCure™ Medical features up to 15W of therapeutic power to facilitate fast and efficient treatments deep in targeted tissues. The LCT-1000™ allows the clinician to deliver 10 Watts of therapeutic power through a variety of treatment head attachments, and comes with a touch screen that allows quick treatment protocol programming. LiteCure’s Empower™ DS comes with four available treatment heads and the toughest fiber available. Both the LCT-1000™ and the Empower™ DS come with the Company’s patented laser-massage ball treatment head, providing an unrivaled level of versatility. This later-stage medical device company provides alternatives to pharmaceuticals as well as surgery through its FDA-cleared products.Brian Pryor, CEO.

LoneStar Heart Inc. Laguna Hills, CA.

PrivateEarly StageMedtech

LoneStar Heart Inc. is a biomedical company developing new therapies for patients with Congestive Heart Failure (CHF), a condition that is becoming increasingly frequent in developed countries and which cost the US an estimate of $37.2B in 2009 alone. Current CHF therapy is based primarily on drug therapy that is palliative, but not curative. Cardiologists, electrophysiologists, heart surgeons, and basic scientists working with LoneStar Heart have made strides in areas such as the reprogramming of cells by switching gene combinations “on” and “off” and by identifying environments in which cardiac stem cells reside. Currently under clinical development for the treatment of CHF patients with enlarged left ventricles is Algisyl-LVR, a device which consists of an injectable proprietary biopolymer that thickens to form gel-like bodies that remain in the heart muscle as permanent implants that thicken, reshape, and realign as needed; product versions for cardiothoracic surgeons as well as for interventional cardiologists are both underway. This earlier-stage medical device and biotechnology company is also working in close collaboration with scientific teams at the University of Texas Southwestern Medical Center to validate a number of small molecule drugs that have the capacity to switch stem cell behavior into tissue-regenerative mode. Frank Ahmann, CEO.

MEDomicsAzusa, CA.

PrivateLate StageBiotech

MEDomics provides Mutation Expert-based Diagnosis (“MED”) of patients’ genome data to enhance personalized medicine through the employment of bioinformatics, clinical genetics, and mutation. MEDomics is the first fully-certified CLIA lab to focus on NextGen sequencing, which is massively-parallel sequencing accompanied by expert analysis and interpretation sequencing. Interpretation by the Company represents 80% of the information and effort provided to the physician ordering the test, which facilitates a more definitive diagnosis. The Company also has a proprietary bioinformatics database focused on mitochondrial medicine. MitoDX is capable of sequencing the mitochondrial genome thousands of times, providing heterosplasmy down to 1%. MitoNucleomeDX analyzes 312 nuclear genes necessary for mitochondrial function, and while reports are typically 7-20 pages, the key data is usually summarized for the physician in the first 3-5 sentences of a report. This later-stage biotechnology company has more than two decades of experience in the DNA diagnostic field, and is raising $2-3M for expansion. Dr. Steve Sommer, CEO.

MedicalCyberworldsMadison, WI.

PrivateEarly StageMed. Information

Medical Cyberworlds Inc. (MCI) uses proprietary, cutting-edge technology to train people, assess skills, and certify competency in high-stakes interactions, such as crucial conversations between doctors and patients. The Josiah H. Macy Foundation reports that U.S. medical schools excel at teaching facts and technical skills, but are seriously deficient in imparting key professional competencies such as patient-centeredness, cultural competency, interpersonal skills, and patient communication. To help professionals develop communication expertise, MCI has created proprietary technology that is contained in its healthcare product, MPathic-VRTM. The product is a computer application that puts the user into an authentic, high-stakes situation with a Virtual Human (VH) character who expresses emotions in a nuanced and highly believable way. Conversing with the VH, the user is challenged to interpret the VH’s verbal and non-verbal communication, and respond with a winning strategy. As the human and the VH converse, the software application captures user data that can be used for assessment, teaching, and certification. The goal of this earlier-stage medical information company is to create a user experience that is more immersive, compelling, and effective than any current method can provide. Frederick Kron, CEO.

Memen PharmaceuticalsNew York, NY.

PrivateEarly StageBiotech

Memen Pharmaceuticals is a biopharmaceutical company focused on discovering and developing products to treat diseases of the central nervous system (CNS). The Company is initially developing a symptomatic treatment for memory disorders in patients with CNS conditions such as Multiple Sclerosis (MS), Alzheimer’s disease (AD), Mild Cognitive Impairment (MCI), and Traumatic Brain Injury (TBI), among others. Memen currently has two product candidates in development, C105 and SN522. Results of a recent Phase II trial indicate that C105 is capable of exceptional efficacy in improving memory function in patients with memory impairment secondary to MS. This earlier-stage biotechnology company recently met with the FDA to affirm key research goals and methodology, and the Division agreed that the development of an effective treatment for memory impairment in MS patients would be a worthwhile endeavor, as such problems are associated with considerable functional impairment and there is no current effective treatment for them. Dr. David Erlanger, CEO.

Miracor Medical Systems GmbHVienna, Austria.

PrivateLate StageMedtech

Microvisk LimitedSt. Asaph, Denbighshire, UK.

PrivateEarly StageMedtech

Miracor Medical Systems GmbH is developing and commercializing a new technology called Pressure-controlled Intermittent Coronary Sinus Occlusion (PICSO®) to improve outcomes in acute coronary syndrome, heart failure, and cardiac surgery patients. Using an approach called cardioprotected Percutaneous Coronary Intervention (cPCITM), the Miracor PISCO® Impulse System is the only contemporary technology that addresses the entire venous vasculature, intermittently occluding the outflow of venous blood from the heart muscle; this occlusion shortly increases pressure in the myocardium, which redistributes blood flow into affected heart tissue, and in some patients also increases the coronary artery perfusion pressure. The Miracor PICSO® Impulse Catheter incorporates a soft distal atraumatic tip and can be placed from the femoral or jugular vein using a standard coronary sinus sheath, or over the wire into the coronary sinus. Inflation and deflation of the balloon is determined through the Miracor proprietary Wien Algorithm, which utilizes data from the measurement of the coronary sinus pressure and the patient ECG. The Miracor PICSO® Impulse Console can be used during balloon angioplasty, stent placement, or other procedures intended to improve coronary blood flow, and automatically stores data for later analysis. This later-stage medical device company has obtained the CE mark for its product. Jon H. Hoem, CEO.

Microvisk Limited has designed technology to carry out Prothrombin Time Assays, which determine the rate at which blood performs its necessary function of coagulation. Devices and tests currently on the market use optical analysis or chemical reactions, which require a sufficient amount of blood from the patient and are widely considered to be too complex for home use. By contrast, Microvisk technology uses Micro Electro Mechanical Sensors embedded on a disposable strip that incorporates a small cantilever to measure viscosity; these devices can test a single drop of whole blood taken by finger prick from the patient, making the test less intrusive and effectively removing the need for a laboratory. This earlier-stage medical device company provides patients and clinicians with INR values to assist in the correct dosage of Anti-Coagulation Medication such as Warfarin, and will be available as a Point-of-Care and as a Home Use Test. John Curtis, CEO.

Mirna Therapeutics Inc.Austin, TX.

PrivateEarly StageBiotech

Mirna Therapeutics Inc. is a biopharmaceutical research and development company focused on miRNA-directed human therapies. Mirna has identified numerous tumor-suppressing miRNAs encoded in the human genome that play key roles in preventing normal cells from becoming cancerous, but which are reduced or lost in leading human cancers. Mirna’s therapeutic strategy is to bring this tumor-suppressing activity back into target tissue cells by administering mimics of natural miRNAs, an approach known as “miRNA Replacement Therapy.” Replacement of one or more of these key miRNAs results in a strong therapeutic response in animals, supporting the emerging consensus that the systemic administration of miRNAs may be a clinically viable anticancer strategy. This earlier-stage biotechnology company is pursuing partnerships with pharmaceutical and biotechnology companies to leverage its intellectual property and expand the Company’s development pipeline in oncology; Mirna’s intellectual property and research platforms also apply to diseases outside the realm of oncology. Paul Lammers, CEO.

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Nanospectra Biosciences, Inc.Houston, TX.

PrivateEarly StageBiotech

Nanospectra Biosciences Inc. is commercializing particle-based therapies that selectively and precisely destroy solid tumors while minimizing damage to healthy adjacent tissue and preserving critical structures. AuroLase Therapy utilizes the unique “optical tunability” of a new class of nanoparticles that can convert light into heat to thermally destroy solid tumors. The AuroShell® particles accumulate in the tumor after intravenous injection, selectively absorb near-infrared wavelengths of light that can harmlessly penetrate human tissue, and then convert the light into heat, which thermally destroys the tumor and the blood vessels supplying it while preserving surrounding healthy tissue. Nanospectra also sells research-use-only nanoparticles with specific optical characteristics, including gold nanoshells and gold nanorods. The Company is currently conducting an IDE pilot study in patients with refractory head and neck cancer, as well as a similar study for prostate cancer in Mexico in combination with a lung cancer study with CTCA (Cancer Treatment Centers of America), which is scheduled to begin early in 2012 under an open Investigational Device Exemption (IDE); Nanospectra plans to commence additional clinical studies in other cancers in the near future. This earlier-stage biotchnology company is also licensing and manufacturing AuroShells for other nanoparticle-based medical technology companies who are looking to commercialize non-cancer therapies.John K. Stroh, CEO.

otC BB: nnvC.oB [MkT CAP: US$88M]

NanoViricides Inc. West Heaven, CT.

Early StageBiotech

Neodyne BiosciencesMenlo Park. CA.

PrivateEarly StageBiotech.

NeovascVancouver, BC.

Late StageMedtech

NanoViricides Inc. is a pre-clinical, biotechnology company that has developed a platform technology to rapidly create drugs to destroy viruses in and on the body. The Company designs “nanoviricides” that fool viruses into attaching to them in the same way that viruses typically attach to the receptors on a cell surface; once attached, the nanoviricide then encapsulates and destroys the virus. The Company has drug candidates against HIV, seasonal influenzas and bird flu, herpes of the skin and genitals, viral eye diseases caused by herpes and adenoviruses, and dengue viruses. The Company has also filed a dossier on its anti-influenza drug (FluCide) with the FDA, requesting a pre-IND meeting. Members of the scientific board and the research team at this earlier-stage biotechnology company have already filed for and received approval on 12 drugs, three of which are blockbusters. Eugene Seymour MD, CEO.

Neodyne Biosciences is an evidence-based company that develops and commercializes innovative tissue repair devices to minimize scar formation and thereby restore function as well as aesthetic appearance. Scar formation following surgery is a clinical problem that can lead to disability and disfigurement. While studies have shown that providing a tension-free environment around the stressed incision site for several weeks after surgery can dramatically reduce the appearance of scars, there are currently no scar prevention treatments commercially available to shield this area. Neodyne’s technology platform is based on the principle of tension off-loading, or mechanomodulation therapy; it is hypothesized that mechanomodulation therapy can minimize the appearance of scarring through providing a uniform compressive strain across the length of a wound. This earlier-stage biotechnology company has applied for multiple patents, and aims to establish its technology as a global standard of care for the prevention of scarring. Bill Beasley, CEO.

Neovasc is a cardiology company that develops, manufactures, and markets innovative vascular devices. The Company’s pericardial tissue products are based on its proprietary PeriPatch™ surgical tissue technology, which cross-links individual fibers of collagenous tissue to ensure the integrity of the finished product. The Peripatch™ Implantable Surgical Tissue and the Peripatch™ Biologic Vascular Patch are already marketed. The Company is currently testing the Neovasc Reducer™ as a percutaneous treatment for refractory angina, a condition that results from inadequate blood flow to the heart muscle and is unable to be treated through conventional drug, catheter, or surgical therapy. This later-stage medical device company is also in the pre-clinical stages of developing the Tiara, a transcatheter device that will enable treatment of mitral regurgitation, a fatal condition for which conventional surgery is only appropriate for about 20% of patients. Alexei Marko, CEO.

tsX: nvC.v [MkT CAP: US$58M]

otCBB: nGnM.oB [MkT CAP: US$61M]

NeoGenomics Laboratories FortMeyers, FL.

Late StageBiotech

NeoGenomics Laboratories is a high-complexity cancer genetics laboratory that addresses the anatomic pathology and oncology markets’ inquiries related to diagnosis, prognosis, and therapy selection for hematologic and solid tumor cancers. The Company offers cytogenetic studies, which often answer questions in the treatment of hematologic malignancies; immunohistochemistry, which is used in the diagnosis of abnormal cells; fluorescence in-situ Hybridization, which detects and locates the presence or absence of specific DNA sequences on chromosomes; flow cytometry, which rapidly measures the characteristics of individual cells and thereby determines malignancy; and molecular genetics, a rapidly emerging cancer diagnostic branch. This later-stage biotechnology company also offers solution services that include APyX, its web-based laboratory reporting system; an HL7 integration system that transfers files from LIS to EMR seamlessly; and tech-only services that involve test-specific sample preparation and processing to produce result data. Steven Jones, CEO.

nasdaqCM:nUro [MkT CAP: US$5M]

NeuroMetrix Waltham, MA.

Late StageMedtech

NeuroMetrix is a science-based health care company that aims to improve patient care through neurotechnology. The Company’s latest product, NC-stat® DPNCheck™, is a fast, accurate, and quantitative test to evaluate systematic neuropathies such as diabetic peripheral neuropathy (DPN). DPN is a condition that affects 60-70% of diabetes patients and causes pain, falling, and foot ulcers that could lead to amputation, and which costs the US an estimated $11B annually. DPNCheck™ measures sural nerve conduction velocity and response amplitude, which are standard markers for both asymptomatic and clinical DPN. NeuroMetrix also produces ADVANCE, a comprehensive platform for the performance of nerve conduction studies (NCS) and needle electromyography procedures (EMG) that can be used for orthopedics and primary care as well as neurology and physiatry. The ADVANCE NCS/EMG System is designed for efficient nerve conduction studies in either the office or in travel, provides standard nerve conduction studies designed for point-of-care setting, gives immediate diagnostic results, and is compatible with all electrode types. This later-stage medical device company continues development work leading to the next generation of its products after their commercial launches, and will do so for the NC-stat DPNCheck as well. Shai Gozani MD PhD, CEO.

otC BB: nWBo.oB [MkT CAP: US$39M]

NorthwestBiotherapeutics Inc. Bethesda, MD.

Early StageBiotech

Northwest Biotherapeutics Inc. is developing immunotherapy products that generate and enhance immune system responses to treat cancer. The Company’s approach to developing therapies lies in its expertise in the biology of dendritic cells, which naturally activate the immune system and have been shown in clinical trials to significantly extend the time of survival for cancer patients, with no debilitating side effects. Northwest Biotherapeutics’ platform technology, DCVax®, involves extracting a patient’s dendritic cells from the body, loading them with tumor biomarkers or “antigens” in order to create a personalized therapeutic vaccine, and injecting these cells back into the patient to initiate a potent immune response against cancer cells. The Company’s lead product candidate, DCVax®-L, is in Phase II trials for targeting Glioblastoma Multiforme, the most lethal form of brain cancer. DCVax®-Prostate, which targets late-stage prostate cancer, has received FDA clearance to commence a Phase III clinical trial. This earlier-stage biotechnology company is also developing ProstaView™, an experimental monoclonal antibody-based technology that enables the in vivo diagnostic imaging of metastatic prostate cancer, as well as CXCR4, an experimental monoclonal antibody therapy that targets a functional chemokine receptor highly expressed in several cancer types. Linda Powers, CEO.

Nova Nano DiagnosticsPalo Alto, CA.

PrivateEarly StageBiotech

Nova Nano Diagnostics is a new private organization developing ultrasensitive nanoparticles to identify single cells, proteins, antibodies, and other biomarkers for clinical and research needs. The Company’s proprietary nanoparticles, or Nano c-SERS, are the result of a decade of research conducted by a leading technology company, Stanford University and Fred Hutchinson Cancer Research Center collaboration, and support from the NCI. Nova Nano has a library of over 100 unique Nano c-SERS and has demonstrated success in identifying surface and intracellular proteins.Nova Nano Diagnostics is focusing on three business areas: Single Cell Assays for circulating tumor cells, Ultrasensitive Diagnostics for various biomarkers (cancer, endocrine, etc.), and Customized Assay Development. This earlier-stage biotechnology company is also actively pursuing non-dilutive partnerships with biotech and pharmaceutical companies. Cory Zwerling, CEO.

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tsX: ndq [MkT CAP: US$165M]

Novadaq Technologies Mississauga, Ontario, Canada.

Late StageMedtech

Novadaq Technologies develops and markets real-time fluorescence imaging technologies for usage in the operating room. The Company’s primary core technology platform, SPY® Imaging, provides clinically-relevant, anatomically accurate, angiographic images for a wide array of surgical procedures, while reducing post-operative complications as well as hospital costs. SPY® technology is FDA-cleared for usage in coronary artery bypass, cardiovascular, reconstructive, micro-, organ transplant, and plastic surgery, and early studies indicate that SPY® also improves treatment in the area of wound care. In 2009, the Company entered an alliance that led to the development of an integrated system consisting of SPY® Imaging and Intuitive Surgical®, Inc.’s da Vinci® Surgical Robotic System, which received FDA 510(k) clearance to market in early 2011. In late 2010, Novadaq entered into an exclusive sales and marketing agreement with LifeCell™ Corporation, which entails the application of SPY Elite® in open plastic and reconstructive, gastrointestinal, and head and neck surgery. In November 2011, Novadaq announced an agreement with Kinetic Concepts, Inc. to further develop Novadaq’s SPY imaging platform for applications in vascular surgery and wound care for the US and certain OUS markets. In January 2012, Novadaq announced the appointment of MAQUET Cardiovascular as exclusive US distributor of the Company’s CO2 Heart Laser™ System for Transmyocardial Revascularization (TMR). Arun Merawat, CEO.

Novian Health Inc.Chicago, IL.

PrivateLate StageBiotech

Novian Health has developed a minimally invasive treatment for benign breast lesions called Novilase® Breast Therapy, which serves as an alternative to surgical lumpectomy. Novilase® is a laser ablation device that utilizes image-guided probe placement to target a specific treatment zone, and provides real-time monitoring and control of laser ablation to ensure the desired outcome of the procedure. Novilase® offers several advantages over lumpectomy, such as: minimal invasiveness, with access obtained via two small needles that each cause an 1/8 inch nick, as opposed to a 2-3 inch surgical incision; minimal scar generation, eliminating the need for cosmetic reconstructive surgery; reliance on local anesthesia rather than general anesthesia or IV sedation; shorter preparation and quicker recovery time (same-day rather than several-day recovery); performance in an outpatient setting in half an hour; no tissue removal; and reduced risk of surgical complications. The device consists of a Class IV laser source in a mobile cart, a disposable laser, thermal probes, and proprietary treatment software. This later-stage biotechnology company recently received FDA clearance for Novilase® for the treatment of benign breast tumors, and is planning a clinical trial to obtain FDA clearance of Novilase® for malignant breast tumors. Eugene Bajorinas.CEO.

PLC Medical Systems Misford, MA.

Late StageMedtech

PLC Medical Systems specializes in innovative technologies for the cardiac and vascular markets. RenalGuard®, the Company’s newest product, has been developed to help prevent the onset of contrast-induced nephropathy (CIN) in at-risk patients undergoing procedures that use iodinated contrast. Patients who develop CIN after image-guided cardiology and radiology procedures are at increased risk of developing major complications, including dialysis and death. One of the few therapies that has been proven to prevent CIN is high urine rates, which is based on the idea of flushing the contrast through the kidney fast enough to prevent it from damaging the tubules of the kidney. The tools currently available to clinicians do not allow them to safely and reliably induce high urine rates in patients at risk for CIN. RenalGuard Therapy® enables the clinician to safely induce high urine rates by accurately measuring a patient’s urine output and automatically infusing an equal volume of normal saline in real-time. This later-stage medical device company has completed two European studies of the device; both have shown RenalGuard Therapy to be significantly better than the standard of care at reducing the incidence of CIN and related complications. RenalGuard is approved for sale in Europe, and the pivotal study to secure US FDA approval is ongoing.Mark Tauscher, CEO.

OncomotorAzusa, CA.

PrivateEarly StageBiotech

Oncomotor is a new company focused on developing highly sensitive diagnostic tests that can be used in either the doctor’s office or hospital to enable the very early diagnosis of cancer. The Company has harnessed the ability to track the effects of therapeutic drugs on cancer patients, and utilizes NextGen sequencing to identify a “signature” of three somatic mutations within a cancer. Pyrophosphorolysis Activated Polymerization (PAP) can often detect mutations at one part in a million or better; a personalized PAP assay can be developed to detect the cancer signature in plasma, the cellular component of blood, or another accessible tissue, and often does so at 0.5 centimeters or lower, which is below the detection of virtually all imaging methods. In those patients without a known cancer, a PAP assay can be used yearly to screen for about 7,000 mutations, which should provide a signature for 90% of all cancers in the body. The combination of PAP, NextGen sequencing, and interpretation make for a powerful combination for this earlier-stage biotechnology company. Dr. Steve Sommer, CEO.

otCBB:onCs.oB [MkT CAP: US$20M]

OncoSec MedicalSan Diego, CA.

Late StageBiotech

OncoSec Medical is developing novel, localized therapies against solid tumors to overcome side effects associated with non-targeted approaches. Contemporary non-targeted approaches include surgery, which carries the potential of physical disfigurement and/or debilitated organ function; radiation therapy, which can be very damaging to nerves, blood vessels, and organs within the target zone; and chemotherapy, which kills healthy as well as cancerous cells system-wide. OncoSec’s solid tumor therapies consist of an agent capable of selectively killing cancerous cells, coupled with a delivery system. The OncoSec Medical System (OMS) utilizes electroporation, which entails applying a brief electric field to a living cell in order to generate a transient increase in permeability in the cell’s outer membrane; this allows an agent previously injected into the area to flow into targeted cells by an increased factor of 1000 or more, while minimizing any impact on normal tissues. OMS ElectroChemotherapy has been demonstrated through data from Phases 1 through 4 to be safe and highly effective in eradicating solid tumors, including head and neck cancer, melanoma, basal cell carcinoma, squamous cell carcinoma, and liver and pancreatic cancers. This later-stage biotechnology Company is also developing OMS ElectroImmunotherapy to deliver pro-inflammatory cytokine proteins into the body.Punit Dhillon, CEO.

Precision NanoSystems Vancouver, BC, Canada.

PrivateEarly StageBiotech

Protein Sciences

PrivateLate StageBiotech

Precision NanoSystems develops proprietary microfluidic devices for the simple, rapid, reproducible, and cost-effective manufacture of next-generation lipid nanoparticles. The Company’s NanoAssemblr platform, including the NanoAssemblr instrument and formulation cartridges, enables exquisite control over nanoparticle formation for the expedited development and manufacture of previously unobtainable lipid nanoparticle compositions of next-generation, “smart” delivery systems. Precision’s microfluidic technology precisely controls nanoparticle self-assembly at the nanolitre scale, which is enabled by millisecond mixing. Overall, the Company’s proprietary delivery technologies, developed in-house using the NanoAssemblr platform, facilitate improved delivery of bioactive materials to a wider range of cells and tissues in the body. Furthermore, the massive parallelization of single microfluidic mixing reactors enables this earlier-stage biotechnology company to facilitate the easy scale-up of lipid nanoparticle formulations from bench to preclinical and beyond. James Taylor, CEO.

Protein Sciences specializes in vaccine development and protein production. The Company’s mission and inspiration is to save lives and improve health by effectively responding to our changing world through the creation of innovative vaccines and biopharmaceuticals. FluBlok, Protein Sciences’ lead program, is a recombinant protein-based seasonal influenza vaccine that has shown excellent performance in clinic trials through Phase III, and is expected to obtain approved in the next few months; a Biologics License Application (BLA) for approval in adults 18 years and older is under review at the FDA. The Company is also working on a pandemic influenza virus vaccine, PanBlok, which is comprised of purified recombinant hemagglutin anitgens from influenza viruses that have the potential to cause pandemics, such as the H1N1 swine and H5N1 avian influenza viruses. Phase I clinical trials with PanBlok have been completed in the US and Australia, while Phase II clinical development is underway in Japan through a partnership with UMN Pharma, now partnered with Astellas; data suggests that PanBlock is safe and capable of priming people for enhanced immune response upon subsequent vaccination. This later-stage biotechnology company’s work on PanBlok is funded by a $150,000 five-year government grant. Dan Adamas, CEO.

QLIDA Diagnostic Inc. develops in vitro diagnostic tests to detect life-threatening diseases such as cancer and cardiovascular diseases. The Company offers biomarker diagnostic tests for cardiovascular disease. This earlier-stage medical device company was incorporated in 2010 and is based in Philadelphia, Pennsylvania. Michael Jacino, CEO.

QLIDAPhiladelphia, PA.

Private,Early StageMedtech

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Ratio Inc. Madison, WI.

PrivateEarly StageMedtech

Ratio Inc. is developing a pump-patch powered by the expanding polymer hydrogel for the delivery of injectable drugs, thereby enhancing both the effectiveness and life cycle of approved pharmaceuticals. The Company’s lead product candidate, NuPrivo-SC, is a subcutaneous bolus injection system that eliminates the “pinch-and-poke” method of contemporary, pre-filled systems and replaces it with a simplified, ergonomically superior bandage-with-a-button device that accommodates volumes of up to 5 mL and allows for a customizable delivery rate. Ratio is also developing NuPrivo-CI, a wearable delivery system for continuous infusion that is geared to enable clinicians to exploit the far-reaching therapeutic benefits of drug infusion throughout an extended period of time. Also under development for intradermal injection is the NuPrivo-ID, which is based on the Company’s proprietary hollow microneedle technology that reduces sharps risk and decreases the pain that accompanies repetition of injections. This earlier-stage medical device company aims provide clinicians and patients with an industry-leading performance/cost combination.Ben Moga, CEO.

Ridge DiagnosticsSan Diego, CA.

PrivateLater StageBiotech

Ridge Diagnostics is a neurodiagnostic company that offers a proprietary first-in-class blood test for Major Depressive Disorder (MDD). The MDDScore is a multi-analyte immunoassay panel that looks at a combination of ten biochemicals from four different biological pathways in the body selected from Ridge’s Human Biomarker Library; blood levels of these individual body chemicals are measured and then entered into a unique mathematical equation to obtain a single test score that represents a patient’s likelihood of having MDD. The MDDScore has been found to be as or even more specific than commonly used assessment tools such as the HAM-D, Beck, and PHQ-9, and most insurance companies are reimbursing for the test. The Company’s second product is the first antidepressant, personalized medicine blood test to predict a patient’s response to antidepressant therapy. The results that this later-stage biotechnology company provides are intended to be used in conjunction with other clinical and laboratory information, thus aiding physicians in the differential diagnosis of MDD, the selection of proper treatment, and the effective management of patients, while simultaneously empowering patients to more readily accept and manage their diagnosis at a time when antidepressants are the most frequently prescribed drugs in the US.Lonna Williams, CEO.

Rubigo TherapeuticsSt. Paul, MN.

PrivateEarly StageAllied Sp. Pharma/Medtech

Rubigo Therapeutics is focused on obtaining market clearance of a proprietary drug delivery platform initially targeting skin cancer through the improved delivery of an existing FDA-cleared drug, Imiquimod. Skin cancer is rising at an incidence rate of 10% per year worldwide, with US healthcare costs for non-melanoma and melanoma patients estimated at an annual cost of $1B and $1.9B, respectively. Imiquimod, which was FDA-cleared for non-melanoma skin cancer in 2006, has become well-known among dermatologists as being clinically effective against actinic keratosis (pre-squamous cell cancer), basal, and squamous cell carcinomas, as well as outside of the US as treatment for superficial melanoma. However, the current method of delivering Imiquimod, via a topical cream, is frequently connected to adverse events resulting from excessive and uncontrolled delivery. Rubigo’s plans are to obtain market clearance through a 505(b)(2) path and establish distribution partnerships to commercialize a proprietary transdermal drug delivery system that addresses these clinical issues by providing an easy-to-apply, consistent, and controllable delivery of Imiquimod through the Company’s unique polymer film. This earlier-stage medical device company is seeking a Series A preferred investment of $3M to conduct the final pre-IND FDA studies and conduct first-in-human clinical studies. Kevin Nickels, CEO.

RadLogicsLos Gatos, CA.

PrivateEarly StageMed. Information

RadLogics provides a Software-as-a-Services solution for radiologists that substantially improves the accuracy and productivity with which computed tomography (CT) cases may be read and reported. RadLogic’s AlphaPoint software platform has been tested to seamlessly integrate with existent radiology IT infrastructural technology. This earlier-stage medical information company is currently in the process of obtaining FDA 510(k) Class 2 clearance. Moshe Becker, CEO.

Soft Tissue Regeneration Inc.(“STR”)New HAwen, CT.

PrivateEarly StageMedtechh

Soft Tissue Regeneration Inc. (“STR”) is a medical device company that defines new technologies for the soft tissue regeneration segment of the sports medicine market. The Company has developed and tested the L-C Ligament®, a breakthrough biodegradable scaffold that in vivo studies have shown to regenerate the anterior cruciate ligament (ACL). Typical ACL repair consists of using autograft material, which entails unpredictable resorption characteristics and may cause damage to surrounding donor tissue, or allograft material, which is taken from cadavers and can transmit disease or infection. The L-C Ligament® is a breakthrough in facilitating the regeneration of native, natural ACL that is capable of carrying normal load after resorption of the scaffold. STR has obtained exclusive worldwide rights to a patent for the L-C Ligament®. This earlier-stage medical device company has also developed the STR GRAFT, a biodegradable scaffold to augment rotator cuff reconstruction, which has proved successful in several large animal studies and is currently undergoing 501(k) approval in the US. Joseph Reilly, CEO.

Soluprin PharmaceuticalsLong Beach, NY.

PrivateEarly StageBiotech

Soluprin Pharmaceuticals Inc (SPI) was founded to provide the medical community with a novel, intravenous, and sublingual aspirin formulation that will overcome the traditional limitations related to the use of aspirin in clinical settings. There are clear unmet clinical needs in the global market for improved efficacy, safety, and tolerability of aspirin, including in situations involving gastrointestinal ulcers and perforation, stomach bleeding, and tinnutis. SPI’s novel formulation is completely soluble in water; has a neutral PH, in contrast with existing aspirin formulations, which are highly acetic; is expected to have a significantly enhanced safety profile as it relates to internal bleeding; has a very rapid speed of absorption; and is expected to have a median platelet inhibition time that is much shorter than that of conventional aspirin. The Company believes that its product, SOLUPRIN, will be the first intravenous aspirin formulation the receive FDA approval via the 505(b)(2) approval pathway. SPI has developed a strategy that will focus on commercialization in five major markets: pain, cardiovascular disease, chronic migraine, premenstrual syndrome, and the veterinary markets. This earlier-stage biotechnology company is raising $4-5M to complete animal and human trials. Dr. Phillip Felice, CEO.

Smart Perfusion, LLCDenver, NC.

Smart Perfusion has designed the VasoWave™ to assess organ health and viability for transplant, restore organ function, and provide longer-term preservation abilities than are currently available on the market. The system monitors organ viability through electrical measurements of organ structure, providing real data that allows clinicians to make truly informed decisions on using an organ for transplant; currently, less illustrative static criteria is standard. Moreover, while contemporary methods of organ preservation merely slow the deterioration of explanted organs, VasoWave™ technology is designed to keep liver, kidney, heart, pancreas, and lung donation fully alive and functional by emulating the complex pumping of the human heart to ensure uniform supply of nurturing fluids, and by controlling temperatures to optimize metabolism and reduce cellular damage. The system is comprised of a stationary characterization system module for prepping organs post-donation and pre-implantation, as well as a mobile transport unit with a self-contained power source, a CVES perfusion pump, temperature controls, and supporting instrumentation for dynamic monitoring of organ condition in transit. This later-stage medical device company believes that its optimization technologies and process methods will significantly minimize organ damage and potential rejection and reduce the number of organs presently discarded. George Barr, CEO.

SEA MedicalSanta Clara, CA.

PrivateLate StageMedtech

S.E.A. Medical Systems Inc. is a private healthtech company that pioneers smart solutions for the safe manufacture, preparation, delivery, and disposal of intravenous and other liquid medications. The Company’s medical devices catch life-threatening IV drug errors before they harm patients. While IV drug delivery is the most powerful route to administer drugs, the most devastating consequences occur when things go wrong. It is estimated that 7,000 people are killed in U.S. hospitals each year when they receive the wrong medicine or wrong dosage, and such incidents cost large hospitals up to $5.6M per year; 61% of these errors are IV-related. S.E.A. Medical’s unique technology identifies drugs, concentrations, and diluents in IV fluids, and simultaneously measures flow rate and cumulative dose during IV administration. The Company’s products include touch-screen electronic devices, consumables containing sensor chips, drug recognition software, and drug library modules. This later-stage medical device company has numerous patents pending on its technology and products. Michael Weickert, CEO.

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nasdaqCM: sPeX [MkT CAP: US$4M]

SpherixBethesda, MD.

Late StageBiotech

Spherix develops innovative biopharmaceutical products and provides technical and regulatory consulting services through subsidiaries Biospherics and Spherix Consulting. Biospherics has completed a global Phase III clinical trial investigating the usage of D-Tagatose as an oral anti-dyslipidemic agent for type 2 diabetes. D-Tagatose, originally developed as a reduced-calorie sugar substitute, is poorly absorbed in the small intestine, thus preventing stimulation of insulin secretion and thereby lowering blood glucose levels. Spherix owns patents for the usage of D-Tagatose as an oral treatment for glycemic control, and has filed patents for its usage in dyslipidemia and atherosclerosis. Spherix’s new lead product candidate is SPX-106T, a therapeutic combination licensed from the University of Kentucky College of Pharmacy for reducing triglycerides, cholesterol, and atherosclerosis. Subsidiary Spherix Consulting provides scientific and strategic support for suppliers, manufacturers, distributors, and retailers of various foods, consumer products, and pharmaceuticals, particularly in the areas of identifying health risks, environmental risks, and compliance with regulations. The mission of this later-stage biotechnology company is to create and grow shareholder value through successful worldwide commercialization of SPX-106T and D-Tagatose, as well as through the promotion of its consulting practice as a premier product regulatory approval and scientific advisory board. Robert Lodder, CEO.

STRŌMA Medical Corporation is a medical device company focused on permanently changing eye color. STRŌMA uses a combination of amplified light modalities with an iris mapping and tracking system to disrupt the pigment that covers the anterior iris, thereby allowing the normal aqueous flow to remove the pigment and change a brown or hazel eye into a blue or a green eye. The Company was founded in 2009 by a former Stanford professor who invented the concept and obtained the original patent; the Company has since been able to develop the technology, build its first system, complete animal testing using over 300 parameters in 50 animals, and begin its first-in-man study in less than 24 months. Through its initial clinical work, STRŌMA has demonstrated that pigment can be safely and effectively removed from a small spot in the human eye, with no adverse effects. The Company is currently seeking $1.5M capital to optimize the system’s performance and complete a dose study on a full eye in order to achieve its initial clinical effectiveness goal. This earlier-stage biotechnology company anticipates that an additional $13.5M in capital will be necessary to bring a regulatory approved product to multiple markets OUS by the end of 2014. Douglas Daniels, CEO.

Stroma Medical CorporationNewport Beach, CA.

PrivateEarly StageBiotech

nasdaqCM:telk [MkT CAP: US$10M]

Telik Inc. Palo Alto, CA.

Early StageBiotech

Telik, Inc. is a biopharmaceutical company dedicated to discovering, developing, and commercializing novel small molecule drugs to treat cancer. The lead candidate is TELINTRA® (TLK199), which is currently in Phase II clinical development for myelodysplastic syndrome. TELCYTA® (TLK286), is a cancer cell-activated chemotherapeutic that has shown clinical activity in Phase II and Phase III clinical trials. Product candidates in the Company’s pipeline were discovered using its proprietary technology, TRAP®, which enables the rapid and efficient discovery of small molecule drug candidates. This earlier-stage biotechnology company was founded in 1988 and is headquartered in Palo Alto, CA. Michael Wick, CEO.

Thermalin Diabetes LLCCleveland, Ohio.

PrivateEarly StageBiotech

Thermalin Diabetes LLC. is developing a portfolio of next-generation insulin analogs to displace less-effective, recombinant human insulins, and thus fill multiple gaps in the rapidly growing $14B industry. Thermalin’s ultra-rapid-acting, ultra-concentrated, ultra-heat-stable insulins, taken before meals to dampen glucose spikes, are expected to address the deficiencies of short-acting insulin analogs currently available: Thermalin’s insulins can be injected closer to mealtime, cause less weight gain, offer finer glucose control (especially via closed-loop pumps), and reduce the risks associated with premature insulin degradation. This earlier-stage biotechnology company is developing its products as the need for them is rising: based on World Health Organization projections for the rising incidence of Type II diabetes, worldwide insulin sales are expected to grow from $70B over the next 20 years. Richard Berenson, CEO.

Telcare uses cellular-enabled m2m technology to connect patients with chronic diseases to their physicians, caregivers, families, and support network. The company’s first product is the Telcare BGM®, the world’s first FDA-cleared cellular enabled glucose meter. 28 million Americans and more than 100 million people worldwide have diabetes and require home-use glucose meters to control their blood sugar. The glucose monitoring industry is estimated at $12 billion in total size. With the Telcare BGM®, every time a user tests blood sugar, the result is automatically transmitted to Telcare’s FDA-cleared cloud server and the user receives immediate coaching and clinical feedback right on the screen of the meter. There are no extra steps for the user and the cost of the cellular connectivity is included in the price of Telcare’s test strips, which are comparably priced to legacy products in the marketplace. The Telcare server further relays the testing data to physicians’ electronic medical records, to Telcare’s FDA-compliant family of smartphone apps, and to Microsoft Health Vault. These features are of particular value to the parents of children with diabetes and the family members of elderly people with diabetes. Numerous studies demonstrate that connecting patients and caregivers in real time substantially improves compliance with glucose testing and control. Telcare has completed its pre-commercialization process and the product goes on sale January 10 at the Consumer Electronics Show in Las Vegas. Initial customers are motivated consumers, medical providers who are focused on maximizing compliance with diabetes control, and insurance companies with diabetes disease management programs. Telcare was founded in December 2008 and is funded by Qualcomm Ventures and private investors.Jonathan Javitt, CEO.

TelcareBethesda, MD.

otHer otC: sCie.Pk [MkT CAP: US$6M]

SpectraScience San Diego, CA.

Late StageMedtech

SpectraScience designs, develops, manufactures, and markets light-based analysis systems to diagnose whether tissue is normal, pre-cancerous, or cancerous, without removing a physical tissue sample. The WavSTAT Optical Biopsy System® uses light to optically diagnose tissue and provide the physician with a determination in one second. Having obtained the CE Mark for all cancer types, the WavSTAT System is designed to be used as an adjunct to the physician within the current standard of care, and is the first commercially available product that incorporates this patent-protected technology for clinical use.Michael Oliver, CEO.

Symetis S.A.Lausanne, Switzerland.

PrivateLate StageBiotech

Symetis S.A. develops minimally invasive heart valve replacement therapies, known as transcatheter aortic valve implantation (TAVI), for patients suffering from heart valve diseases. The Company’s proprietary Acurate™ Aortic Valve Replacement System features a unique self-positioning design that allows easy implant positioning and alignment within patients suffering from aortic valve stenosis, a condition characterized by a narrowing of the aortic valve opening that increases resistance to blood flow from the left ventricle to the aorta. Currently, for patients who are declined the option of surgery, physicians have little to offer besides medical therapy or balloon valvuloplasty. The Acurate TA™ Aortic Bioprosthesis and Delivery System has received CE mark certification; it includes a self-expanding nitinol stent for TAVI via transapical route, is based on a proprietary diabolo-like geometry combined with a unique reversible delivery sequence, and offers a controlled self-positioning of the valve after delivery, which makes the technology very tolerant with regard to implant positioning prior to full release. This later-stage biotechnology company also markets the Acurate TF™, a system for transfemoral delivery based on the same self-positioning concept. Jacques R. Essinger, CEO.

nasdaqCM: kool [MkT CAP: US$17M]

ThermoGenesis Rancho Cordova, CA.

Late StageMedtech

ThermoGenesis targets the adult stem cell market in the US and Europe by providing physicians, researchers, hospitals, and blood banks with a wide range of cell-based systems. The Company offers automated devices, semi-automated devices, and single-use processing disposables that enable the collection, processing, and cryopreservation of stem cells and other cellular tissues from cord blood and bone marrow. Stem cells are put to use in the practice of regenerative medicine, a field that uses cell-based therapies to repair or restore lost or damaged tissue and cell function. ThermoGenesis also provides the rapid preparation of autologous surgical sealants for wound care, as well as state-of-the-art blood-component thawing and freezing systems. As of June 2011, ThermoGenesis has received FDA clearance to use its Res-Q™ 60 System technology for the safe and rapid preparation of autologous platelet-rich plasma that is derived from a small sample of blood at the patient’s point-of-care, providing a significant new market opportunity for this later-stage medical device company. Mel Engle, CEO.

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Tissue Regeneration Systems (“TRS”) Ann Arbor, MI.

PrivateLate StageBiotech

Tissue Regeneration Systems (“TRS”) is commercializing a breakthrough skeletal reconstruction and bone reconstruction technology platform for the fabrication of bioresorbable implants that fully replace themselves over time with natural bone. Moreover, although their micro-architecture is porous to facilitate bone integration, TRS implants can nonetheless bear load and are strong enough to support function without the need for reinforcement from metal plates. This structural integrity enables them to be used as an alternative to harvested, autologous bone that is fixed with metallic plates for complex skeletal reconstruction. TRS implants are also integrated with an osteoconductive coating that enhances bone regeneration and proliferation. Powerful orthobiologics and bone-growing autologous cells will readily bind to this coating, which allows for a controlled biologic release to further accelerate bone formation. Craniomaxillofacial (“CMF”) surgery is the first commercial target for TRS. The CMF market supports current worldwide sales in excess of $600M. This later-stage medical device company has filed its first 510(k) submission to the FDA, and has additional submissions underway. William Fitzsimmons, CEO.

TrueVision 3D Surgical Santa Barbara, CA.

PrivateLate StageMedtech

TrueVision 3D Surgical has developed a stereoscopic high-definition system that provides visual guidance for microsurgery, and has established itself as the industry leader in computer-aided microsurgery. The Company has achieved early adoption of its proprietary 3-D visualization surgical platform (HW/SW components) by over one hundred leading surgeons and institutions, including Johns Hopkins and the Cleveland Clinic. Furthermore, TrueVision has recently received FDA class 2 clearance for its first surgical guidance therapy, astigmatic correction during cataract surgery. TrueVision’s technology enables the surgeon to use pre-operative data that is updated in real-time, follow onscreen guidance templates, and operate with more precision, thereby resulting in better patient outcomes. The worldwide market for astigmatic correction during cataract surgery constitutes over 7 million patients per year, and is growing rapidly. Early clinical date demonstrates 86% efficacy to sufficiently correct an astigmatism so that the patient does not need corrective eye glasses after surgery. TrueVision has a strong IP position, and has secured a key strategic partnership with a leading medical device Company. This later-stage medical device company seeks $10M of capital to launch this application and reach cash positive status. Forrest Fleming, CEO.

VasomedicalWestbury, NY

Vasomedical provides medical products and services that address clinical needs in the management of patients with heart disease. The company has actualized a state-of-the-art Enhanced External Couterpulsation Therapy (EECP) indicated for the treatment of cardiovascular disease, including angina and heart failure. Building on the strength of 1st generation circulatory assist techniques, Vasomedical’s proprietary EECP serves as a non-invasive outpatient treatment that functions to efficiently maximize blood circulation to the heart and throughout the cardiovascular system, ultimately serving to significantly improve clinical outcomes in cardiology patients including increased exercise capacity, reduction of angina episodes and reduction in the use of nitroglycerin medication. Jun Ma, CEO.

Vigilant Biosciences Norcross, GA.

PrivateEarly StageBiotech

Vigilant Biosciences is developing products to enable early intervention of potentially adverse health outcomes and for general improvement of health. Every hour, a person dies from oral cancer, with human papillomavirus (HPV) serving as the fastest-growing risk factor. There is a high mortality rate of approximately 45% associated with this disease due to its predominantly late-stage diagnosis. Vigilant’s current focus is on the development of a low-cost, innovative, selective adjunctive screening for oral cancer. This earlier-stage biotechnology company recently received a Notice of Allowance from the U.S. Patent and Trademark office for key claims to salivary biomarker technology.Matthew Kim, CEO.

VisionCare Ophthalmic Technologies Saratoga, CA.

PrivateLate StageMedtech

VisionCare Ophthalmic Technologies researches, develops, manufactures, and markets proprietary implantable ophthalmic devices and technologies that are intended to significantly improve vision and quality of life for individuals with untreatable retinal disorders. VisionCare’s lead product, the Implantable Miniature Telescope, is the first FDA-approved implantable medical device demonstrated to improve vision in individuals with the most advanced, irreversible form of age-related macular degeneration (AMD), end-Stage AMD, which is the leading cause of blindness in older Americans. VisionCare’s telescope implant is surgically placed inside the capsular bag after removal of the lens of the eye, which enables the patient to see using natural eye movements; magnification enlarges images before the eye, allowing them to be projected onto healthy perimacular areas of the retina, reducing the patient’s “blind spot” and allowing the patient to distinguish previously unrecognizable images. As of September 2011, Medicare has established reimbursement for the Implantable Miniature Telescope. The goal of this later-stage medical device company is to develop further technological advances to help the vision-impaired. Allen Hill, CEO.

otC: tnXP

TONIX Pharmaceuticals New York, NY.

Early StageBiotech/Sp.Pharma

TONIX Pharmaceuticals develops high-value prescription therapeutics for chronic Central Nervous System (CNS) conditions. The Company’s lead programs are potential new treatments for fibromyalgia (FM) and post-traumatic stress disorder (PTSD). In each of these new treatment regimens, TONIX seeks to use newdoses and formulations of the “classic” ingredient cyclobenzaprine (CBP). CBP is the active ingredient in two FDA-approved prescription muscle relaxants currently on the market, but despite widespread use, CBP’s biological mechanism of action has not yet been fully characterized. TONIX’s new formulations of CBP are optimized for bedtime use, as a recent Phase IIa study published in the Journal of Rheumatology November 2011 issue demonstrates. This earlier-stage biotechnology company believes that a number of other “classic” ingredients also offer significant opportunities; in order to maximize corporate potential, TONIX Pharmaceuticals has established parallel businesses to efficiently develop and distribute its products. Seth Lederman, CEO.

VisionGateArizona.

PrivateLate StageMedtech

VisionGate is dedicated to early cancer detection and prevention through its automated 3-D cell-imaging platform. Cell-CT™ is capable of generating high-resolution 3-D biosignatures from intact cells through a technique called Optical Projection Tomography, which enables early lung cancer screening for symptomatic and high-risk populations through the Lung Cancer Early Detection Test. A cell is transported through the Cell-CT™’s glass micro-capillary by applying pressure to a gel that embeds cells; as the capillary spins, the cell is scanned from multiple perspectives to yield a set of pseudo-projection images that are combined using Filtered Back-Projection, which produces the final 3-D cell volume. Color and opacity may be adjusted during reconstruction to emphasize aspects of the cell that are of interest. This later-stage medical device company’s 3-D cell images can be further processed to identify sub-cellular components of the cell, and then to automatically make measurements on the cells that characterize cell features such as volume, shape, and distribution of chromatin throughout. Scarlett Spring, CEO.

otC BB: WGBs.oB [MkT CAP: US$5M]

WaferGen Biosystems Inc. Freemont, CA.

Early StageMedtech

WaferGen Biosystems Inc. provides genomic analysis solutions for the pharmaceutical and life science industries, thus embracing the new healthcare paradigm brought about by the sequencing of the human genome. WaferGen’s SmartChip System profiles and validates gene expression patterns (biomarkers) to further drug development. The SmartChip System is the first to combine the high-throughput capability and cost efficiencies of microarrays with the sensitivity and accuracy of real-time PCR, enabling researchers to advance from biomarker discovery to verifying and validating high-value genomic targets on a single, integrated platform. Impacts of the system include heightened efficiency in drug development and the enablement of tailored, personalized medicine. This earlier-stage medical device company has an experienced management team that drives a compelling “razor and blade” business model, and has attracted worldwide marquee customers and collaborators.

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Company Profiles. Are based on information provided by the presenting companies which is written by OneMedPlace Science Editor Dr. Romulo Hurtado. Companies information not received prior to production of the printed conference book is available in the electronic version of this conference book which is provided to all registrants. Additionally, all profiles are available on the OMP Database at www.onemedplace.com.

Webcasting. Company presentations are being web-cast and can be seen on the OMP Web site and will be archived accessible to conference registrants. As such, if you are unable to attend these sessions, you may watch them at onemedplace.com.

1x1 Meeting System. OMP created a system atendees to arrange meetings with each others. Meeting space is available on the second floor in the Empire Room.

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2012 Finance Forum Conference notes China Forum II. The objective is to better enable emerging healthcare and life science companies to access this Market. OMP is assembling a database and portal dedicated to this opportunity. Contact forum@onemedplace.com if interested.

Mid-Year Conference in NYC. The second annual New York Finance Forum will be held in the moddle of July in New York. Over 75 companies presented at the second conference and Mayor Michael Bloomberg proclaimed June 27th and 28th OneMedForum Days in NYC.

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