Form D · Other Energy
A123 SYSTEMS, INC.
Waltham, MA · CIK 0001167178
Offering snapshot reported Jun 7, 2012 · SEC filing
- Reported sold
- $50M Offering amount: $66.4M
- Investors reported
- 6 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 24, 2012 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jun 7, 2012 | Initial | $50,000,000 | No comparison | 6 | SEC filing |
| Jun 11, 2009 | Amendment | $69,260,134 | $0vs Apr 17, 2009 | 23 | SEC filing |
| Apr 17, 2009 | Initial | $69,260,134 | No comparison | Not reported | SEC filing |
| Jan 30, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jan 31, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Aug 14, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Feb 21, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Feb 21, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jan 27, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Debt, Option to acquire, Security to be acquired
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $2.75M
- Finders' fees
- $0
- Form D file number
- 021-179437
Total offering amount is comprised of $50,000,000 of promissory notes and $16,398,304 of Warrants. The Company issued Warrants to purchase 12,711,864 shares Common Stock at an initial exercise price of $1.29 per share (subject to adjustment).
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Lazard Capital Markets LLC | 134736 |
Source: Form D, filed Jun 7, 2012. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Desh Deshpande | Director |
| Gururaj Deshpande | Director |
| Jason Forcier | Executive |
| Arthur L. Goldstein | Director |
| Gary E. Haroian | Director |
| Dr. Paul E. Jacobs | Director |
| Paul Jacobs | Director |
| Robert J. Johnson | Executive |
| Edward Kopkowski | Executive |
| Mark Little | Director |
| Mark M. Little, Ph.D. | Director |
| Jeffrey Mc Carthy | Director |
| Jeff Mc Carthy | Director |
| David Prytash | Executive |
| Eric Pyenson | Executive |
| Dr. Bart Riley | Director, Executive |
| Gilbert Neal Riley, Jr. | Director, Executive |
| Michael Rubino | Executive |
| David Vieau | Director, Executive |
Issuer details
Industry: Other Energy (See others in industry)
Address:
200 West Street
Waltham, MA, 02451
Waltham, MA, 02451