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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): April 15, 1999
AVIGEN, INC.
(Exact name of registrant as specified in its charter)
DELAWARE
(State or other jurisdiction of incorporation or organization)
0-28272 13-3647119
(Commission File No.) (I.R.S. Employer Identification No.)
1201 HARBOR BAY PARKWAY, SUITE 1000
ALAMEDA, CALIFORNIA 94502
(Address of principal executive offices and zip code)
(510) 748-7150
(Registrant's telephone number, including area code)
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Item 5. Other Events
In April 1999, Avigen completed a successful private placement of its
common stock and common stock warrants, raising approximately $13.1 million. In
the private placement Avigen issued an aggregate of 2,198,210 shares of its
common stock in multiple closings at the closing Nasdaq National Market price on
the respective date of issuance. The closing prices ranged from $5.50 to $6.00
per share. For every five shares purchased, each investor also received a
five-year warrant to purchase one share of the common stock at a twenty-five
percent premium to the respective closing price.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934,
the registrant has duly caused this report to be signed on its behalf by the
undersigned thereunto duly authorized.
AVIGEN, INC.
DATE: May 12, 1999 BY: /s/ Thomas J. Paulson
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Thomas J. Paulson
Vice President, Finance and
Chief Financial Officer
